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Full text of "The Marine Mammal Commission compendium of selected treaties, international agreements, and other relevant documents on marine resources, wildlife, and the environment : first update"

The Marine Mamirial Commission 

Compendium of Selected Treaties, 

International Agreements, and Other 

Relevant Documents on Marine 

Resources, Wildlife, and 

\ the Environment 



First Update 



ADVISORY BOARD 

for the 

Marine Mammal Commission 

Compendium 

First Update 



Dayton L. Alverson 
Donald J. Barry 
Donald C. Baur 
Michael J. Bean 
Henry R. Beasley 
Kenneth Berlin 
Patricia Bimie 
E.U. Curtis Bohlen 
Marjorie A. Browne 
Eugene H. Buck 
William T. Burke 
Donald A. Carr 
David A. Colson 
Penny Dalton 
Paul K. Dayton 
Prudence Fox 
John Grandy IV 
Scott A. Hajost 



Margaret Frailey Hayes 
Grant James Hewison 
Casey Jarman 
James C. Kilbourne 
Lee A. Kimball 
Steven G. Kohl 
Jack W. Lentfer 
George J. Mannina, Jr. 
Edward L. Miles 
Steven Murawski 
William F. Perrin 
Arnold W. Reitze, Jr. 
John E. Rejmolds, HI 
Marilou M. Righini 
R. Tucker Scully 
Brent Scott Stewart 
James P. Walsh 
Warren S. Wooster 



The Marine Mammal Commission 

Compendium of Selected Treaties, 

International Agreements, and 

Other Relevant Documents on 

Marine Resources, Wildlife, and 

the Environment 



m3 


Compiled by 
Richard L. Wallace 


KELL, 


for the 




Marine Mammal Commission 

Bethesda, Maryland 

1997 



First Update 



Published with the partial support of: 

National Marine Fisheries Service 
U.S. Department of Commerce 

and 

Bureau of Oceans and International Environmental and Scientific Affairs 
U.S. Department of State 



Table of Contents 



Compendium Update Preface xvii 

Abbreviations and Citations xix 



MULTILATERAL DOCUMENTS 



ANTARCTICA i 

Measures Approved or Recommended Under Article EX in Fvirtherance of the 

Principles and Objectives of the Antarctic Treaty, Venice, 1992 3 

Measures Approved or Recommended Under Article DC in Furtherance of the 

Principles and Objectives of the Antarctic Treaty, Kyoto, 1994 28 

Measures Approved or Recommended Under Article IX in Furtherance of the 

Principles and Objectives of the Antarctic Treaty, Seoul, 1995 35 



ENVIRONMENT AND NATURAL RESOURCES 65 

Convention on Conservation ofNature in the South Pacific, Apia, 1976 67 

Agreement on the Conservation of Bats in Europe, London, 1991 71 

International Guidelines for Preventing the Introduction of Unwanted Aquatic 
Organisms and Pathogens fi-om Ships' Ballast Water and Sediment 
Discharges, London, 1991 76 

North American Agreement on Environmental Cooperation, Washington, D.C., 

Ottawa, and Mexico City, 1993 87 

Establishment Agreement for the Center for International Forestry Research, 

Canberra, 1993 113 

Agreement Establishing the South Pacific Regional Environment Programme 

(SPREP), Apia, 1993 125 

International Tropical Timber Agreement, Geneva, 1994 134 

Protocol to the 1979 Convention on Long-Range Transboundary Air Pollution on 

Fiu-ther Reduction of Sulphiu- Emissions, Oslo, 1994 157 

United Nations Convention to Combat Desertification in Those Countries 
Experiencing Serious Drought and/or Desertification, Particularly in Afi-ica, 
Paris, 1994 179 



The Marine Mammal Commission Compendium 



Agreement Relating to the Implementation of Part XI of the United Nations 

ConventionontheLawoftheSeaof 10 December 1982, New York, 1994 220 

Convention to Ban the Importation into Forum Island Countries of Hazardoxis 
and Radioactive Wastes and to Control the Transboundary Movement and 
Management of Hazardous Wastes within the South Pacific Region, Waigani, 
1995 234 

NON-BINDING DOCUMENTS 261 

Action Pljin for Biosphere Reserves, Paris, 1984 263 

The Nuuk Declaration on Environment and Development in the Arctic, Nuuk, 

1993 279 

ICES Code of Practice on the Introductions and Transfers of Marine Organisms, 

Copenhagen, 1994 288 

The Seville Strategy and the Statutory Framework of the World Network of 

Biosphere Reserves, Paris, 1995 294 



FISHERIES 313 

Nauro Agreement Concerning Co-operation in the Management of Fisheries of 

Common Interest, Naviro, 1982 315 

An Arrangement Implementing the Nauro Agreement Setting Forth 
Minimimi Terms and Conditions of Access to the Fisheries Zones of 

the Parties, Koror, 1993 319 

A Second Arrangement Implementing the Nauro Agreement Setting 
Forth Additional Minimiun Tsrms and Conditions of Access to the 
Fisheries Zones ofthe Parties, Koror, 1990 323 

Western Indian Ocean Tuna Organisation Convention, Mahe, 1991 327 

Palau Arrangement for the Management ofthe Western Pacific Purse Seine 

Fishery, Suva, 1992 335 

Agreement to Promote CompUance with International Conservation and 

Management Measures by Fishing Vessels on the High Seas, Rome, 1993 347 

Convention for the Conservation of Southern Bluefin Tuna, Canberra, 1993 356 

Convention on the Conservation and Management of Pollock Resources in the 

Central Bering Sea, Washington, D.C., 1994 364 

Federated States of Micronesia Arrangement for Regional Fisheries Access, 

Honiara, 1994 373 



Table of Contents 



NON-BINDING DOCUMENTS 401 

United Nations General Assembly Resolution 48/445 on Large-Scale Pelagic 
Drift-net Fishing and Its Impact on the Living Marine Resources of the 
World's Oceans and Seas, New York, 1993 403 

Code of Practice for Minimizing the Risks of Introducing Fish Species, Cairo, 

1990 404 

United Nations General Assembly Resolution 49/116 on Unauthorized Fishing in 
Zones of National Jurisdiction and Its Impact on the Living Marine Resources 
oftheWorld'sOceansandSeas, New York, 1994 410 

United Nations General Assembly Resolution 49/118 on Fisheries Bycatch and 
Discards and Their Impact on the Sustainable Use of the World's Living 
Marine Resources, New York, 1994 412 

United Nations General Assembly Resolution 49/121 on the U.N. Conference on 

Straddling Fish Stocks and Highly Migratory Fish Stocks, New York, 1994 414 

United Nations General Assembly Resolution 49/436 on Large-Scale Pelagic 
Drift-net Fishing and Its Impact on the Living Marine Resources of the 
World's Oceans and Seas, New York, 1994 416 

Declarationof Panama, Panama City, 1995 417 



MARINE MAMMALS 423 

Agreement on the Regulation of Whahng, London, 1937 425 

Amendments to the Schedule to the International Convention for the Regulation 

of Whaling, Kyoto, 1993 430 

Amendments to the Schedule to the International Convention for the Regulation 

of Whahng, Puerto Vallarta, 1994 433 

Amendments to the Schedule to the International Convention for the Regulation 

of Whahng, Dubhn, 1995 435 

MARINE POLLUTION 43? 

Protocol Concerning Marine Pollution Resulting from Exploration and 

Exploitation of the Continental Shelf to the Kuwait Regional Convention for 

Cooperation on the Protection of the Marine Environment from Pollution, 

Kuwait, 1989 439 

Protocol for the Protection of the Marine Environment against Pollution from 
Land-Based Soiuxies to the Kuwait Regional Convention for Cooperation on 
the Protection ofthe Marine Environment from Pollution, Kuwait, 1990 447 

Convention Concerning the Prevention of Major Industrial Accidents, Greneva, 

1993 458 



The Marine Mammal Commission Compendium 



Amendments to the Convention on the International Maritime Organization, 

London, 1993 466 

Amendments to the Annexes to the Convention on the Prevention of Marine 
Pollution by Dimiping of Wastes and Other Matter, 1972, Concerning Phasing 
OutSeaDisposaloflndustrialWaste, London, 1993 468 

Fined Act of the Conference of Plenipotentiairies on the Convention for the 
Protection of the Mediterranean Sea Against Pollution and Its Protocols, 
Barcelona, 1995 471 



bilatp:ral documents 



ARGENTINA 533 

Environment and Natural Resources 533 

Agreement Between the U.S. NationeJ Oceanic and Atmospheric 
Administration and the Ministry of Culture and Education of 
Argentina for Cooperation in the GLOBE Program, Buenos Aires, 1995 . . . 535 



AUSTRALIA 54i 

Environment and Natural Resources 541 

Memorandum of Understanding Between the Environmental Protection 
Agency of the United States of America and the Commonwealth 
Environment Protection Agency of AustraUa for Cooperation in the 

Field of Environmental Protection, Canberra, 1994 543 

Memorandum of Understanding Between the United States National 
Oceanic and Atmospheric Administration and the Department of the 
Environment, Sport and Tferritories of Australia for Cooperation in the 
GLOBE Program, Canberra, 1995 547 



AUSTRIA 553 

Environment and Natural Resources 553 

Memorandum of Understanding on Cooperation in Environmental 
Aspects of Energy PoUcy and the Protection of the Global CUmate 
Between the Department of Energy of the United States of America 
and the Federal Ministry of Environment, Youth and Family Affairs of 

the RepubUc of Austria, Vienna, 1994 555 

Agreement Between the Nationsd Oceanic and Atmospheric 

Administration of the United States of America and the Federal 

Ministry of Education of the Republic of Austria for Cooperation in the 

GLOBE Program, Vienna, 1995 558 



Table of Contents 



BELGIUM 565 

Environment and Natural Resources 565 

Memorandum of Understanding Between the National Oceanic and 
Atmospheric Administration of the United States of America and the 
Ministry of Education of the German-Speaking Commimity (Belgiimi) 

for Cooperation in the GLOBE Program, Brussels, 1995 567 

Memorandiun of Understanding Between the National Oceanic and 
Atmospheric Administration of the United States of America and the 
Department of Education of the Flemish Community (Belgium) for 
Cooperation in the GLOBE Program, Brussels, 1995 573 



BENIN . 579 

Environment and Natural Resources 579 

Agreement of Cooperation Between the Government of the United 
States of America and the Government of the RepubUc of Benin for 
Cooperation in the GLOBE Program, Cotonou, 1995 581 



BOLIVIA 587 

Environment and Natural Resources 587 

Agreement Between the Government of the United States of America 
and the Government of Bolivia for Cooperation in the GLOBE 
Program, La Paz, 1995 589 



CANADA 595 

Environment and Natural Resources 595 

Memorandum of Understanding Between the United States Department 
of Agriculture and Forestry Canada on Cooperation in the Field of 

Forestry-Related Programs, Washington, D.C., 1990 597 

Agreement Between the Government of the United States of America 
and the Government of Canada on Cooperation in the Boreal 
Ecosystem-Atmosphere Study (BOREAS), Washington, D.C., 1994 601 

Fisheries 609 

Amendment to the Treaty Between the Grovemment of the United States 
of America and the Government of Canada Concerning Pacific 

Salmon, Washington, D.C., 1993 611 

Agreement Between the Government of the United States of America 
and the Government of Canada for the Conservation of Salmon Stocks 

Originating ft-om the Yukon River, Washington, D.C., 1995 615 

Agreement Between the Government of the United States of America 
and the Government of Canada on the Estabhshment of a Mediation 
Procedure Regarding the Pacific Salmon Treaty, Montreal, 1995 624 



The Marine Mammal Commission Compendium 



CHINA 627 

Fisheries 627 

Memorandum of Understanding Between the Government of the United 
States of America and the Government of the People's Republic of 
China on Effective Cooperation and Implementation of United 
Nations General Assembly Resolution 46/215 of December 20, 1991, 

Washington, D.C., 1993 629 

Amendment to the Agreement Between the Government of the United 
States of America and the Government of the People's Republic of 
China Concerning Fisheries off the Coasts of the United States, 
Beijing, 1994 631 



COSTA RICA 633 

Environment and Natural Resovirces 633 

Statement of Intent for Bilateral Sustainable Development, Cooperation 
and Joint Implementation of Measures to Reduce Emissions of 
Greenhouse Gases Between the Government of the United States of 
America and the Government of the Republic of Costa Rica, 
Washington, D.C., 1994 635 



CZECH REPUBLIC 639 

Environment and Natiu-al Resources 639 

Agreement Between the U.S. National Oceanic and Atmospheric 
Administration and the Ministry of Education, Youth, and Sports of 
the Czech Republic for Cooperation in the GLOBE Program, Prague, 
1995 641 



EGYPT 647 

Environment and Natural Resources 647 

Agreement Between the National Oceanic and Atmospheric 

Administration of the United States of America and the Ministry of 

Education of the Arab Repubhc of Egypt for Cooperation in the 

GLOBE Program, Cairo, 1995 649 



Table of Contents 



EUROPEAN COMMUNITY 655 

Environment and Natural Resources 655 

Memorandum of Understanding Between the National Science 

Foundation in Washington, D.C., for the United States of America and 
the European Science Foimdation in Strasbourg, France on the 
Participation of the European Science Foundation Consortium in the 
Ocean Drilhng Program as a Regular Member, Washington, D.C., and 
Strasbourg, 1993 657 



FINLAND 663 

Environment and Natured Resources 663 

Agreement Between the U.S. National Ocesinic and Atmospheric 
Administration and the National Board of Education of Finland for 
Cooperation in the GLOBE Program, Helsinki, 1995 665 



FRANCE 671 

Environment and Natural Resources 671 

Memorandum of Understanding Between the National Science 

Foimdation in Washington, D.C., for the United States of America and 
Institut Francais de Recherche pour I'Exploitation de la Mer on the 
Participation of France in the Ocean Drilhng Program, Washington, 
D.C., and Paris, 1993 673 



GERMANY 68i 

Environment and Natural Resources 681 

Memorandimi of Understanding Between the National Science 

Foundation in Washington, D.C., for the United States of America and 

the Deutsche Forschungsgemeinschaft on the Participation of the 

Federal RepubUc of Germany in the Ocean Drilhng Program as a 

Regular Member, Washington, D.C., and Bonn, 1993 683 



IRELAND 689 

Environment and Natural Resources 689 

Agreement Between the U.S. Nationsd Oceeinic and Atmospheric 
Administration and the Department of Education of Ireland for 
Cooperation in the GLOBE Program, Dubhn, 1995 691 



The Marine Mammal Commission Compendium 



ISRAEL 697 

Environment and NaturEil Resources 697 

Agreement Between the National Oceanic and Atmospheric 

Administration of the United States of America and the Ministries of 

the Environment, and Education, Culture and Sport of the State of 

Israel for Cooperation in the GLOBE Program, Jerusalem, 1995 699 



JAPAN 705 

Environment and Natural Resources 705 

Memorandum of Understanding Between the Geological Survey of the 
Department of the Interior of the United States of America and the 
Pubhc Works Research Institute of the Ministry of Construction of 
Japan Concerning Cooperation in the Field of Hydrology, Water 

Resources, and Global CUmate Change, Reston and Tsukuba, 1992 707 

Protocol, Reston and Tsukuba, 1995 711 

Memorandum of Understanding Between the National Science 

Foundation in Washington, D.C., for the United States of America and 

the Ocean Research Institute of the University of Tokyo in Tbkyo, 

Japan on the Participation of Japan in the Ocean Drilling Program as 

a Regular Member, Washington, D.C., and Tokyo, 1993 713 

Fisheries 719 

Agreement Between the Government of the United States of America 
and the Govenmaent of Japan Establishing a Consultative Committee 

on Fisheries, Washington, D.C., 1992 721 

Agreement Between the Govenmient of the United States of America 
and the Government of Japan on Maritime Fishing Boundaries, 
Tbkyo, 1994 723 



KAZAKHSTAN, REPUBLIC OF 727 

Environment and Natural Resoiu-ces 727 

Agreement Between the Government of the United States of America 
and the Grovemment of the Republic of Kazakhstan for Cooperation in 
the Fields of Protection of the Environment and Natural Resoiu"ces, 

Washington, D.C., 1995 729 

Agreement Between the Grovemment of the United States of America 
and the Government of the Republic of Kazakhstan for Cooperation in 
the GLOBE Program, Washington, D.C., 1995 734 



Table of Contents 



KOREA, REPUBLIC OF 74i 

Environment jind Natural Resources 741 

Agreement Between the National Oceanic and Atmospheric 

Administration of the United States of America and the Ministry of 

Education of the RepubUc of Korea for Cooperation in the GLOBE 

Program, Seoul, 1995 743 

Fisheries 749 

Amendment to the Agreement Between the Government of the United 
States of America and the Government of the Repubhc of Korea 
Concerning Fisheries off the Coasts of the United States, Washington, 
D.C., 1993 751 



KYRGYZSTAN, REPUBLIC OF 753 

Environment and Natural Resources 753 

Agreement Between the Nationed Oceanic and Atmospheric 

Administration of the United States of America and the Ministry of 

Education of the Repubhc of Kyrgyzstan for Cooperation in the 

GLOBE Program, Washington, D.C., 1995 755 



LATVIA 761 

Fisheries 761 

Agreement Between the Government of the United States of America 
and the Grovemment of the Republic of Latvia Concerning Fisheries 

offtheCoastsoftheUnitedStates, Washington, D.C., 1993 763 

Amendment, Riga, 1995 771 



MALAYSIA 773 

Marine Pollution 773 

Agreement Between the Government of the United States of America 
and the Government of Malaysia Concerning the Trsmsboundary 
Movement of Hazardous Wastes from Malaysia to the United States, 
Kuala Lumpur, 1995 775 



MEXICO 781 

Environment and Natural Resources 781 

Agreement Between the Government of the United States of America 
and the Grovemment of the United Mexican States on Improvements 
to the Conveying Capacity of the International Boundary Segment of 
the Colorado River, San Diego, 1994 783 



The Marine Mammal Commission Compendium 



Agreement Between the Government of the United States of America 
and the Government of the United Mexican States Concerning the 
Establishment of a Border Environment Cooperation Commission and 
a North American Development Bank, Washington, D.C., and Mexico 
City, 1993 786 

Non-Binding Documents 811 

Memorandimi of Understanding Between the Southwest Fisheries 
Center of the National Marine Fisheries Service, U.S. Department of 
Commerce and the National Fisheries Institute of the Mexican 
Secretariat of Fisheries on Fishery Research and Technological 
Cooperation, Manzanillo, 1992 813 



MOLDOVA 817 

Environment and Natural Resources 817 

Agreement Between the Government of the United States of America 
and the Government of Moldova for Cooperation in the GLOBE 
Program, Washington, D.C., 1995 819 



THE NETHERLANDS 825 

Environment and Natural Resources 825 

Memorandum of Understanding Between the Government of the United 
States of America and the Government of the Netherlands for 
Cooperation in the GLOBE Program, Washington, D.C., 1995 827 



NORWAY 833 

Environment and Natural Resources 833 

Agreement Between the Department of Defense of the United States of 
America and the Ministry of Defense of the Kingdom of Norway for 
Cooperation on Environmental Protection in Defense Matters, 

Baltimore, 1994 835 

Agreement Between the Government of the United States of America 
and the Government of Norway for Cooperation in the GLOBE 
Program, Washington, D.C., 1995 846 



Table of Contents 



POLAND 853 

Fisheries 853 

Amendment to the Agreement Between the Government of the United 
States of America and the Government of the Repubhc of Poland 
Concerning Fisheries off the Coasts of the United States, Washington, 
D.C., 1993 855 



ROMANIA 857 

Environment and Natural Resources 857 

Agreement Between the U.S. National Oceanic and Atmospheric 
Administration and the Ministry of Education of Romania for 
Cooperation in the GLOBE Program, Bucharest and Washington, 
D.C., 1995 859 



RUSSIA 865 

Environment and Natiu-al Resources 865 

Agreement Between the Government of the United States of America 
and the Government of the Russian Federation on Cooperation in 
Research on Radiation Effects for the Purpose of Minimizing the 
Consequences of Radioactive Contamination on Health and the 
Environment, Moscow, 1994 867 

Memorandum of Understanding Between the Forest Service of the 
United States Depjirtment of Agriculture and the Federal Forest 
Service of Russia on Cooperation in the Field of Forestry, Washington, 
D.C., 1994 873 

Agreement Between the Grovermnent of the United States of America 
and the Government of the Russian Federation on Cooperation in the 
Field of Protection of the Environment and Natural Resources, 
Washington, D.C., 1994 878 

Agreement Between the Government of the United States of America 
and the Government of the Russian Federation for Cooperation in the 
GLOBE Program, Moscow, 1994 884 

Agreement Between the Grovenmient of the United States of America 
and the Government of the Russian Federation on Cooperation in the 
Preventionof Pollution of the Environment of the Arctic, Moscow, 1994 . . . 889 

Fisheries 893 

Amendment to the Agreement Between the Government of the United 
States and the Government of the Russian Federation on Mutual 

Fisheries Relations, Washington, D.C., 1993 895 

Amendment to the Agreement Between the Grovemment of the United 
States and the Government of the Russian Federation on Mutual 
Fisheries Relations, Washington, D.C., 1993-1994 898 



The Marine Mammal Commission Compendium 



Non-Binding Documents 901 

Protocol of the U.S.-Russia Workshop on Sea Otter Biology vinder the 

Marine Mammal Project, 02.05-61 U.S.-Russia Environmental 

Agreement, Wasilla, 22 October 1993 903 

Protocol of the Twelfth Meeting of the Marine Mammal Project, 

U.S.-Russia Environmental Protection Agreement, Anchorage, 1993 907 

Protocol of the U.S./Russia Technical Consultation for the Conservation 

ofPolarBearsoftheChukchi/BeringSeaRegion, Nome, 1994 914 

Protocol of the Fifth U.S.-Russia Workshop on Sea Otter Biology, 

Paratunka, 1995 916 

Protocol of the First Technical Meeting Concerning the Intention of the 

United States and Russia to Conclude Bilateral Agreements on the 

Conservation and Management of the Pacific Walrus, 

Petropavlovsk-Kamchatskiy, 1995 921 

Protocol of the U.S.-Russia Working Meeting for the Preparation of Draft 

Principles for the Conservation and Management of the 

Chukotka-Alaska Population of Polar Bears, 

Petropavlovsk-Kamchatskiy, 1995 924 

Protocol of the Thirteenth Working Group Meeting Under Project 

02.05-61 "Marine Manmials," of the U.S.-Russia Environmental 

Agreement, Paratunka, 1995 926 



SWEDEN 935 

Environment and Natiwal Resources 935 

Agreement Between the Department of Defense of the United States of 
America and the Armed Forces of the Kingdom of Sweden for 
Cooperation on Environmental Protection in Defense Matters, 
Stockholm, 1995 . 937 



TUNISIA 949 

Environment and Natural Resources 949 

Agreement Between the National Oceanic and Atmospheric 

Administration of the United States of America and the Ministry of 

Environment of Tunisia for Cooperation in the GLOBE Program, 

Washington, D.C., 1995 951 



TURKEY, REPUBLIC OF 957 

Environment and Natural Resources 957 

Agreement Between the Government of the Republic of Turkey and the 
Grovemment of the United States of America for Cooperation in the 
GLOBE Program, Ankara, 1995 959 



Table of Contents 



UNITED KINGDOM 965 

Environment and Natural Resoiu"ces 965 

Memorandiun of Understanding Between the National Science 

Foundation in Washington, D.C., for the United States of America and 
Natural Environment Research Council on the Participation of the 
United Kingdom in the Ocean Drilling Program as a Regular Member, 
Swindon, 1992 967 

Fisheries 975 

Convention Between the Government of the United States of America 
and the Government of the United Kingdom Concerning Sockeye 
Salmon Fisheries in the Eraser River System, Washington, D.C., 1930 .... 977 

Other 983 

Treaty Between the Government of the United States of America and the 
Grovemment of the United Kingdom of Great Britain and Northern 
Ireland on the Delimitation in the Caribbean of a Maritime Boundary 
Relating to Puerto Rico/U.S. Virgin Islands and the British Virgin 

Islands, London, 1993 985 

Treaty Between the Government of the United States of America and the 
Government of the United Kingdom of Great Britain and Northern 
Ireland on the DeUmitation in the Caribbean of a Maritime Boimdaiy 
Relating to the U.S. Virgin Islands and Anguilla, London, 1993 989 



URUGUAY 993 

Environment and Natural Resources 993 

Agreement Between the National Oceanic and Atmospheric 

Administration of the United States of America and the Ministry of 

Housing, Land Use Planning, and the Environment of the Oriental 

Repubhc of Uruguay for Cooperation in the GLOBE Program, 

Montevideo, 1995 995 



INVOLVING NAT1VI-: ALASKAN CiROUPS 



MARINE MAMMALS looi 

Cooperative Agreement Between the National Oceanic and Atmospheric 
Administration and the Alaska Eskimo Whaling Commission, Washington, 
D.C., 1984 1003 

Inuvialuit Game Council and North Slope Borough Management Agreement for 

PolarBearsoftheSouthemBeaufortSea, Inuvik, 1988 1009 

Memorandum of Agreement Between the U.S. Fish and Wildlife Service, the 
Alaska Sea Otter Commission, and the Alaska Department of Fish and Game, 
Anchorage, 1994 1013 



Preface 



This is the first in a series of updates to the reference work entitled The Marine Mammal 
Commission Compendium of Selected Treaties, International Agreements, and Other Relevant 
Documents on Marine Resources, Wildlife, and the Environment, compiled for the Marine 
Mammal Commission in 1994 by Richard L. Wallace. That work began as a result of a 1991 
project which required gathering two decades of treaties and international agreements 
concerning the management of high seas fisheries. Finding and acquiring copies of the 
documents proved difficult at best, and highlighted the general need to develop a collection of 
fisheries agreements that would facilitate analysis of international law in this area. While 
pursuing the desired agreements, it became clear that access to international legal documents 
in many fields concerning wildUfe, natural resources, and the environment was limited by a 
lack of organization and delays in pubUshing. Many treaties and agreements outlining the 
United States' international legal obligations were inaccessible to all but the most intrepid 
researcher Under Mr. Wallace's skilled direction, what began as a simple research project 
soon blossomed into an enormous undertaking to collect and publish a broad and near- 
comprehensive collection of international legal docvunents concerning wildlife, natural re- 
sources, and the environment. 

The project resulted in the original Compendium, a three-volume, 3,500-page collection of 
international environmental and natural resoxirce law. The original Compendium compiled 
for the first time in one place the complete texts of more than 400 international agreements, 
including bilateral and multilateral treaties, agreements, conventions, accords, memoranda 
of imderstanding, amendments and protocols, and other relevant docimients. It included 
docvunents current through 31 December 1992, as well as a selection of historically important 
documents. Since its publication, the original Compendium has become the preeminent source 
of international environmental law available anywhere, and has been adopted for use by legal 
scholars, government officials, researchers, and students of international law around the world. 

This First Update, also carefully and ably compiled by Mr Wallace, continues the tradition 
of excellence established by the original Compendium. It includes in more than 1,000 pages 
the complete texts of more than 110 international legal docvmients concluded between 
1 January 1993 and 31 December 1995, as well as several older but still relevant docvunents 
not included in the original Compendium. Like the original, the First Update is divided into 
two sections comprising multilateral and bilateral documents involving the United States, 
and then organized logically into several subject areas. Within the multilateral section, the 
documents are arranged using the same subject areas as the original Compendium: Antarc- 
tica, Environment and Natural Resources, Fisheries, Marine Mammals, Marine Pollution, 
and Other Within the bilateral section, the docimients are arranged alphabetically by nation. 
Subheadings under each nation correspond to the subject headings given above. 

Other elements of the First Update also follow the example of the original Compendium. 
Each document is accompanied by useful background information, including its primary 
source citation, the city in which the document was concluded, the date on which it was 
concluded, and, where appUcable, the date it entered into force and the depositary nation for 



The Marine Mammal Commission Compendium 



instruments of ratification. Agreements that are noted as not being in force for the United 
States fall into three categories. These include agreements not yet signed by the United States, 
those signed by the United States but not yet ratified by the U.S. Congress, and those the 
terms of which limit their membership or participation to particular states or regions or 
establish other criteria that exclude the United States fi-om becoming a party 

As with the original Compendium, strict quality control measures were undertaken. 
Gtiidance was again provided by the Advisory Board to ensure the most usefiil and appropriate 
content, structure, and format. Every docimient was meticulously reviewed for completeness, 
legibility, and consistency with other versions, where apphcable. During scanning and type- 
setting, every document was subject to strict quality control measures, including four separate 
proofreadings. A final review of the entire First Update was done before it went to press. 

Almost all the docimients included in the First Update were obtained fi-om individuals or 
offices of the U.S. Department of State, the National Marine Fisheries Service of the U.S. 
Department of Commerce, or the Fish and Wildlife Service of the U.S. Department of the 
Interior Sources of other documents include the International Whaling Commission, Inter- 
national Labour Office, International Council for the Exploration of the Sea, South Pacific 
Forum Secretariat, South Pacific Forvun Fisheries Agency, Ministry of Foreign Affairs of the 
Soloman Islands, and the University of the South Pacific Department of Law. 

I am grateful to many individuals for their participation in this project. First and foremost 
my thanks go to Richard L. Wallace. His leadership, attention to detail, and devotion to the 
projects made both the original Compendium and this First Update possible. Special thanks 
are also due the Marine Mammal Commission's three commissioners, John E. Reynolds, III, 
Vera Alexander, and Paul K Dayton, who were faithful in their support throughout the project. 
I am grateful for the generous support of the National Marine Fisheries Service of the U.S. 
Department of Commerce and the Bureau j»f Oceans and International Environmental and 
Scientific Affairs of the U.S. Department of State. Their financial, research, and practiced 
support has been crucial to the success of the projects. 

The Advisory Board continued its willing and generous support, providing assistance fi-om 
the earUest stages of the original Compendium through the completion of the First Update. 

Several advisors went above and beyond the call of duty in their assistance to Mr. Wallace 
in identifying, tracking down, and providing docmnents for the First Update. Lee A. Kimball 
again proved herself a fiiend and scholar in the field of international law. Her continual 
encouragement and assistance are greatly appreciated. Grant James Hewison also provided 
vital help, especially in procuring docimients concerning issues of import to the South Pacific 
region. Henry R. Beasley, of the National Marine Fisheries Service, and Donald C. Baur, of 
Perkins Coie, also provided crucial support in identifying and collecting documents. 

Finally, the staff members of the U.S. Department of State's Office of the Assistant Legal 
Advisor for Treaty Affairs have been and remain irreplaceable in their knowledge and 
assistance. 



John R. Twiss, Jr. 
Executive Director 
Marine Mammal Commission 
Bethesda, Maryland 
July 1997 



Abbreviations and Citations 



The following list identifies abbreviations and citations used to indicate primary 
soxirces of documents in this volume: 

TIAS United States Treaties and Other 

International Acts Series 

TS United States Treaty Series 

UST United States Treaties and Other 

International Agreements 



MULTILATERAL 



Antarctica 



Measures Approved or Recommended 

Under Article IX in Furtherance of the 

Principles and Objectives of the 

Antarctic Treaty, Venice, 1992 

Done at Venice 20 November 1992 

Primary source citation: Copy of text provided by the 
U.S. Department of State 



Recommendation XVII- 1 
ENVIRONMENTAL MONITORING AND DATA MANAGEMENT 

The Representatives, 

Recalling Recommendations XV-5, XV-16, XVI-12 and paragraphs 106-109 of the Report of the XVIth ATCM; 

Noting the report and the valuable work of the First Meeting of Experts on Environmental Monitoring in Antarctica 
(XVII ATCM/INFO 9) Jind the recommendations set forth in the afore mentioned report; 

Noting that better data management can improve the quaUty of Antarctic Environmental Monitoring, operations, 
and science; 

Noting additionally the report by SCAR-COMNAP (XVII ATCM/WP 5) describing actions that could be taken to 
develop a coordinated data management system with the intent to improve the comparability and accessibility of 
both scientific and environmental data being collected by national programmes, as called for by ATCM Recommen- 
dations XIII-5 and XV-16. 

Recognising that, in the Final Act of the Protocol on Environmental Protection to the Antarctic Treaty, it was agreed 
that it was desirable to ensure effective implementation at an early date; and that paragraph 69 of the Report of the 
XVIth ATCM exhorts the Consultative Parties to ratify the Protocol as soon as possible, and that meanwhile efforts 
also should be made to implement the provisions of the Annexes as rapidly and completely as possible. 

Acknowledging that in order to meet the requirements of the Protocol on Environmental Protection to the Antarctic 
IVeaty that calls, under Articles 3.2 (d) and 3.2 (e), for regular and effective monitoring, to allow assessment of the 
adverse impacts of human activities, it is necessary to focus environment impact monitoring particularly on 
anthropogenic effects at a local level; 

Aware that once estabUshed, the Committee for Environmental Protection may offer its advice on these measures, 
consistent with its terms of reference as provided for in the Protocol; 

Aware that applied monitoring can be expensive and may require long term commitment and that any environmental 
monitoring should be scientifically defensible, practicable and cost-effective; 



The Marine Mammal Commission Compendium 



Recommend to their Governments that they: 

1. Through their SCAR National Committees request SCAR to consider and provide advice on: 

(i) The types of long-term progr2immes, if any, necessary to verify that human activities (such as tourism, 
scientific research or other activities) do not have significant adverse effects on birds, seals and plants; 
and 

(ii) emission standards that should be established to ensure that the combustion of fossil fuels and incinera- 
tion of waste do not contaminate the Antarctic atmosphere, terrestrial, ice, aquatic or marine environ- 
ments in a way that would compromise their scientific values; 

2. Ask their COMNAP Representatives in consultation with SCAR to establish research programmes at a 
representative subset of facilities in Antarctica to determine how different types and sizes of facilities in diffierent 
localities (eg. coastal and inland stations on rocks and on ice shelves) affect the Antarctic environment; 

3. Provide a list of the Antarctic data sets being compiled and archived by their nationals and make this list 
available to other Parties, SCAR and COMNAP, as soon as possible, to form the basis for the development of an 
Antarctic Data Directory; 

4. Establish, as appropriate, national arrangements for obtaining expert advice on the types of data products and 
data access mechanisms which would best meet both the basic scientific requirements and long-term environ- 
mental monitoring requirements. 



Recommendation XVII-2 

REVISED DESCRIPTIONS AND PROPOSED MANAGEMENT 
PLANS FOR SPECIALLY PROTECTED AREAS 

The Representatives, 

Recalling Recommendations XV-8 and XV-9; 

Noting that revised Area Descriptions and proposed Management Plans have been approved by the Scientific 
Committee on Antarctic Research (SCAR); 

Noting also that the format of these revised Area Descriptions and proposed Management Plans accord with Article 
5 of Annex V of the Protocol on Environmental Protection to the Antarctic Treaty adopted under Recommendation 
XVI-10; 

Recommend to their Grovemments that for the Specially Protected Areas listed below: 

(i) the Descriptions inserted in Annex B, Specizdly Protected Areas, of the Agreed Measures for the 
Conservation of AntEirctic Fauna and Flora be deleted; 

(ii) the Descriptions and Management Plans of Specially Protected Areas, annexed to this Recommendation, 
be inserted in Annex B, Specially Protected Areas, of the Agreed Measures for the Conservation of 
Antarctic Fauna and Flora. 

The Specially Protected Areas involved are: 

AREA No. 1 Taylor Rookery, Mac Robertson Land; 

AREA No. 2 Rookery Islands, Holme Bay, Mac Robertson Land; 



Multilateral / Antarctica 



AREA No. 3 Ardery Island and Odbert Island, Budd Coast; 

AREA No. 20 "New College Valley", Caughley Beach, Cape Bird, Ross Island. 

MANAGEMENT PLAN FOR SPECIALLY PROTECTED AREA (SPA) No.1 
TAYLOR ROOKERY, MAC ROBERTSON LAND 

1. DESCRIPTION OF VALUES TO BE PROTECTED 

The area was originally designated a Specially Protected Area because it contains a colony of emperor penguins 
(Aptenodytes forsteri) which is one of the few, and probably the largest, of the known colonies of this species 
located wholly on land. Almost aU other emperor penguins rookeries are located on sea ice. The rookery is also 
important because of long-term monitoring of the population of the penguins (since 1954). The colony is ideal 
for counting since it is surrounded by small rocky hills which make it possible to observe every bird without 
entering the breeding area. A photographic census programme has been carried out annually since 1988, and 
it is believed that this method has resulted in almost complete accuracy of counting. 

2. AIMS AND OBJECTIVES 

Meinagement of the Area aims to: 

* prevent unnecessary disturbance to the emperor penguin colony at Taylor Rookery; and 

* permit research of a compelling scientific nature which can not be undertaken elsewhere, while ensuring no 
significant disturbance to the ecosystem of the Eirea including the penguin colony. 

3. MANAGEMENT ACTIVITIES 

The management plan and activities in the area should be kept under review to ensure that the values for which 
the area was designated are being fiilly protected. Inspection visits may be made only when considered essential 
for management purposes. 

4. PERIOD OF DESIGNATION 

Designated under ATCM Recommendation IV-l in November 1966, for an indefinite period. 

5. DESCRIPTION OF THE AREA 

(a) Geographical coordinates and natural features of the Area: 

The Area consists of the whole of the northernmost rock exposure on the east side of Taylor Glacier, Mac 
Robertson Land (67°26'S; 60°50'E). The rookery is located on a low Ijong rock outcrop in the South-West comer 
of a bay formed by Taylor Glacier to the West, the polar ice cap to the South and the islands of Colbeck Archipelago 
to the East. The area is surrounded by sea ice to the North and East. The Area is some 90 kilometres West of 
Mawson station. There is ice free terrain adjacent to the glacier on the western boundary £ind to the south the 
rock rises steeply to meet the ice of the plateau. The rock itself forms a horseshoe around a central flat area of 
exposed rock and moraine. This Area is covered with snow in winter and is occupied by the emperor penguins. 
The compressed snow melts in summer to form a shallow lake and stream which exits to the North-East. The 
sides of the horseshoe are rounded ridges of rock which are bare and smoothed by ice. 

Otherwise the terrain is rough and dissected with cracks and fissures. The average height of the ridges is about 
30 meters. The Area also has a raised beach which is typical of several found along the coast of Mac Robertson 
Land. The beach is composed of locally derived pebbles, cobbles and boulders between 1 cm and 1 m across. It 
slopes upwards from the shoreline to a well defined platform severzil meters broad and 3 to 6 m above sea level. 

There are no boundary markers since the Area is easily defined by its natural features. 



The Marine Mammal Commission Compendium 



(b) Access to the Area 



Access to the Area is only in accordance with a permit or authority issued by a Contracting Party or its authorised 
representative. 

Restrictions apply to the mode of transport to and within the Area, and access points are prescribed; see Section 
8(a). 

(c) Location of structures including scientific stations, research and refuge facilities both within and near 
the Area: 

There are no structures within the Area and no permanent structures are permitted. A four-berth refuge is 
located in the Colbeck Archipelago, approximately 5 kilometers to the North-East of the Area (see Map B): 
Mawson Station (67°36'S, 62°53'E) is approximately 90 kilometers to the East. 

(d) Location of other protected areas in or near the Area: 

The Rookery Islands (Specially Protected Area No. 2) are located some 80 kilometers to the East of Taylor 
Rookery (see Map A). 

6. roENTIFICATION OF RESTRICTED ZONES 

Access to the emperor penguin colony, marked on Map C, is prohibited unless authorised in a permit. 

7. MAPS OF THE AREA 

Map A shows the location of the Area in relation to the Mawson region; 

Map B shows the location of the field hut on the Colbeck Archipelago, and access routes to the Area; 

Map C shows the Area in greater detail, including the usual location of the penguin colony, and the area where 
all activity such as landing helicopters and instaUing field huts or field camps should take place, where 
permitted. 

8. CONDITIONS UNDER WmCH PERMirS MAY BE GRANTED 

Criteria for issuing a permit to enter the Area are that: 

* it is issued for a compelling scientific purpose which can not be undertaken elsewhere; 

* the actions permitted will not jeopardise the natural ecological system existing in the Area; and 

* the actions permitted are in accordance with the management plan for the Area. 
Conditions applying: 

(a) Access to and movement within the Area: 

i) Whatever possible, access should be from sea ice to the east of Colbeck Archipelago, to avoid 
disturbance to the birds by crossing their pathways fi-om the rookery to the sea (see Map B). 
Persons in the vicinity, not approaching the colony, should also be aware of the penguins pathways, 
£ind take care to cause as little disturbance to them as possible. 

ii) Travel to the Area may be by oversnow vehicle, which is generally only possible during the period 
1 May to 25 December, or by helicopter. Vehicle entry to the Area is prohibited. Oversnow vehicles 
used for trsinsport to the Area are to be left outside the Area, to the East, and entry must be by 
foot. The approach route for vehicles is marked on Map B. 



Multilateral / Antarctica 



iii) Helicopters are not permitted to land in the Area unless sea ice conditions outside the Area are 
such that it would be hazardous for aircraft to land on ice or for personnel to walk on it. If sea ice 
conditions are not suitable, helicopters are authorised to land in the Area, to the North-East at 
the point marked "H", where a headland to the South obscures the colony from view (see Map C). 
Map B shows the helicopter access route. 

iv) The following conditions apply to the use of hehcopters: 

* helicopters are to approach the Area from the East over the sea ice and, where sea ice 
conditions permit, land outside the Area, with access being by foot (see Map B); 

* overflight of the rookery is prohibited; 

* when landing outside the Area, hehcopters should not land, take off or fly within 500 meters 
of the rookery; 

* if landing inside the Area is essential due to sea ice conditions hehcopters should land in the 
North-East of the Area at the point marked "H", where a headland to the South obscures the 
colony from view (see Map C); 

* helicopters approaching to land in the Area must fly as low as possible over the sea ice to avoid 
disturbing the colony; and 

* helicopters are not to be refueled within the Area. 

v) There are no marked pedestrian routes within the Area; pedestrian should keep well away from 
the penguins, unless disturbance to the penguins is authorised by permit. Movement in and 
around the Area should be such that, in general, the routes used by the birds are not crossed. 

vi) Dogs are not to be used for transport to the Area. 

(b) Activities which are, or may be, conducted within the Area, including restrictions on time and place: 

i) The penguins are particularly sensitive to disturbsince during the following periods: 

* when they are incubating eggs, from mid-May to mid-July; and 

* from mid-July, when feeding chicks to mid-December, when the chicks fledge. However 
penguins are known to be present at the rookery during every month except February, when 
no recorded expeditions to the rookery have been made; restrictions therefore apply year- 
round. 

ii) The emperor penguin colony is ideal for counting. Normally the best vantage point for viewing 
and photographing the penguins is a rocky headland which runs adjacent to Taylor Glacier, on 
the western side of the rookery. The ideal time for a census is from 22 June to 5 July, since during 
this time only incubating males are present, each representing one breeding pair. An ongoing 
photographic census programme has been carried out since 1988. 

iii) Other activities which may be conducted in the Area: 

* compelling scientific research which can not be undertaken elsewhere and which will not 
jeopardise the ecosystem of the Area; and 

* compelling management activities, which if not carried out would jeopardise the values for 
which the Area was designated. 



The Marine Mammal Commission Compendium 



(c) The installation, modification, and removal of structures: 

No structures are to be installed in the Area unless essential for scientific purposes; any structure installed 
should be removed when it is no longer required. Only the minimum number of personnel necessary to 
install and to remove the structure should be used. Ttemporary field huts if permitted, should be placed 
well away fi-om the penguin colony at the point marked "X", to the North-East of the Area, where a 
headland to the South obscvu-es the colony from view (see Map C). 

(d) The location of field camps: 
See (c) above. 

(e) Restriction on materials and org£inisms which may be brought into the Area: 

i) No poultry products, including dried food containing egg powder, are to be taken into the Area. 

ii) No depots of food or other suppUes are to be left; within the Area beyond the season for which they 
are required. 

iii) Fuel is not to be depoted in the Area, unless required by a visitor for personal use, (i.e.) for 
cooking/heating in a field hut, and is to be removed when no longer required. 

(f) The taking of, or harmful interference with, native flora and fauna: 

Taking of, or harmful interference with, native flora and fauna is prohibited unless specifically authorised 
by permit issued in accordance with the Agreed Measures for the Conservation of Antarctic Fauna and 
Flora, or Article 3 of Annex II to the Protocol on Environmental Protection to the Antarctic Treaty, 
whichever is appropriate. 

(g) The collection or removal of anything not brought into the Area by the permit holder: 

There is to be no collection or removal of anything not brought into the Area by permit holder unless 
specifically authorised by permit for scientific or management purposes. 

(h) The disposal of waste: 

No wastes, including human wastes, are to be left in the Area. 

(i) Measures that may be necessary to ensure that the aims and objectives of the management plem can 
continue to be met: 

* Permits should specify the maximum number of people allowed entry at any one time. 

* \^sits to the Area should be kept to the minimum necessary to achieve the research and management 
objectives. 

* Access should be permitted where necessary to place or remove structures or equipments. 

(j) Requirements for reports: 

Each permit holder shall submit a report to the permit issuing authorities detailing the activities 
undertaken within the Area including a summary of research findings, and comments indicating 
measures taken to ensure compUance with conditions. Where appropriate, the report may make recom- 
mendations relevant to the management of the Area, in particular, as to whether the values for which the 
Area was designated are being adequately protected. The report should be submitted as soon as 
practicable after the visit to the Area has been completed. 



Multilateral / Antarctica 



TAYLOR ROOKERY 

SPECIALLY PROTECTED AREA No 1 

Emperor Penguin Colony 



KILOMETRES 



MAP 'A' 



ROOKERY ISLANDS 

SPECIALLY PROTECTED AREA No 2 

Colonies of six bird species 




10 



The Marine Mammal Commission Compendium 



MAP 'B' 



^^9> r^ 67"25'S - 

<ff-'cOLBECKc-^ '^O ARCHIPELAGO 

f Q ^ O 

,ovi^®^JY^-_l/ Colbeck f 



Q 



;h route 



I f Norris I 



fesfff*"'"" 




^ 



Byrd Head 

<0 



Tschuffert Peak 
0.5 1 1.5 2 (? 



KILOMETRES 



^ 



• Stump Mt. 



Multilateral / Antarctica 



11 



60°53'E 



MAP 'C 



SEA ICE 



N 



Site for Apple hut. 
Headland to the 
south obscures the 
colony from view. 

Helicopter landing 
p site with low 
\ altitude entry from 

the east. 




.0 50 100 150 200 



METRES 



Area of SPA No 1 



— Contours in metres 
^' Spot height in metres 



12 The Marine Mammal Commission Compendium 

MANAGEMENT PLAN FOR SPECIALLY PROTECTED AREA (SPA) No.2 
ROOKERY ISLANDS, HOLME BAY, Mac ROBERTSON LAND 

1. DESCRIPTION OF VALUES TO BE PROTECTED 

The Rookery Islands contain breeding colonies of six bird species resident in the Mawson area; Ad^he penguin 
( PygosceUs adeliae), Cape petrel ( Daption capensis ), snow petrel ( Pagodroma nivea ), southern giant petrel 
( Macronectes giganteus ), Wilson's storm petrel ( Oceanites oceanicus ) and the Antarctic skua (Catharacta 
maccormicki ). The southern giant petrel breeds nowhere else in the region. The designation of the Area aims to 
safeguard this unusual association of six species and ensure the preservation of a sample offshore island habitat. 

2. AIMS AND OBJECTIVES 

Management of the Area aims to: 

* maintain a reference area unmodified by human interference; 

* permit research of a compelling scientific nature which can not be undertEiken elsewhere, while ensuring no 
significant disturbance to the ecosystem of the Area and maintaining the status of the SPA as a reference 
area; and 

* ensure that the breeding colony of southern giant petrels, which is close to the point of local extinction, is 
not endangered by human impacts. 

3. MANAGEMENT ACTIVITIES 

The management plan and activities in the Area should be kept under review to ensure that the values for which 
the Area was designated are being fully protected. Inspection visits may be made only when considered essential 
for management purposes. 

4. PERIOD OF DESIGNATION 

Designated under ATOM Recommendation IV- 1 in November 1966 for an indefinite period. 

5. DESCRIPTION OF THE AREA 

(a) Geographical coordinates and natural features of the area: 

Rookery Islands are a group of small islands and rocks in the south-western part of Holme Bay, Mac Robertson 
Land, approximately 10 kilometres to the west of the Australian station, Mawson. The Area comprises the 
islands and rocks lying within the rectangle marked on the Map B (see Section 7), the general location of which 
is latitude 67°37'S, longitude 62°33'E. There are no boundary markers delimiting the site. There are approxi- 
mately 75 small islands. They range in size from small rocks which barely remain above water at high tide to 
the largest members of the group which are Giganteus Island (approximately 400 m long, 400 m wide and 30 
m high) and Rookery Island which is of similar area but sUghtly more elongated. Rookery Island is the highest 
of the group reaching an altitude of 62 m. Raised beaches are evident on Giganteus Island. The Rookery Islands 
are outcrops of the Mawson Chamockite, a rock type which is found over an eirea of at least 2000 square 
kilometers along the Mawson Coast of Mac Robertson Land. 

There are terrestrial algae, as yet unidentified, but no known mosses or Uchens. There are no freshwater bodies 
on the Rookery Islands. 

(b) Access to the Area: 

Access to the Area is only in accordance with a current permit issued by a Contracting Party or its authorised 
representative. No access points are prescribed. Restrictions apply to the mode of transport and to the proximity 
of access points to breeding colonies; for this refer to Section (8). 



Multilateral / Antarctica 13 



(c) Location of structures including scientific stations, research and refuge facilities both within and near 
the Area: 

There are no structures within the Area. Mawson Station (67°36'S, 62°53'E) is approximately 10 kilometers to 
the east. 

(d) Location of other protected sireas in or near the Area: 

Taylor Rookery (Specisilly Protected Area No.l) is approximately 80 kilometres west of the islands at latitude 
67°26'S, longitude 60°50'E. 

6. roENTIFICATION OF RESTMCTED ZONES 

Access to Giganteus Island is prohibited except where a permit specifies otherwise. See 8 (a) (vi) below. 

7. MAPS OF THE AREA 

Map A shows the location of the Rookery Islands in the Mawson area, and 
Map B is a more detailed Map of the Area. 

8. CONDITIONS UNDER WHICH PERMITS MAY BE GRANTED 
Criteria for issuing a permit to enter the Area are that: 

* it is issued for a compelling scientific purpose which can not be undertaken elsewhere; 

* the actions permitted will not jeopardise the natural ecological system existing in the Area; and 

* the actions permitted are in accordance with the management plan for the Area. 
Conditions applying: 

(a) Access to and movement within the Area: 

i) Travel may be by oversnow vehicles (depending on sea ice conditions). Visitors must ensure that 
vehicles are taken no closer than 200 meters from concentrations of birds and that they are always 
left at the shoreline. 

ii) As helicopter access may at times be the only viable means of reaching the islands, and as the 
islands are small in size, sdrcraft may land within 500 metres of breeding colonies. Permission to 
land a helicopter may be granted for essential scientific purposes only if it can be demonstrated 
that disturbance will be minimal. 

iii) No refueling within the Area. 

iv) Overflight of the islands is prohibited except where essential for scientific piirposes. Such 
overflight is to be at an altitude of no less than 500 metres. 

v) Dogs are not to be used for transport within the Area. 

vi) Access to Giganteus Island is prohibited except for the purpose of monitoring the southern giant 
petrels ( Macronectes giganteus ) or for activities which may be conducted without threat to their 
population status. As the breeding colony is close to the point of local extinction and the birds are 
easily disturbed, the number of persons granted entry for this purpose must be strictly limited 
and include an experienced ornithologist. 



14 The Marine Mammal Commission Compendium 

(b) Activities which are, or may be conducted within the Area, including restrictions on time and place: 

i) Compelling scientific activities which cannot be conducted elsewhere. 

ii) Compelling management activities, which if not carried out would jeopardise the values for which 
the Area was designated. 

(c) The installation, modification, or removal of structures: 

No structures including field huts, are to be installed in the Area unless essential for scientific purposes; any 
structure installed should be removed when no longer required. Only the minimum number of personnel 
necessary to install and remove the structure should be used. 

(d) The location of field camps: 
See (c) above. 

(e) Restrictions on material and organisms which may be brought into the Area: 

i) Fuel is not to be depoted in the Area, unless required by a researcher for personal use, i.e. for 
cooking/heating in a field hut, and is to be removed when no longer required. 

ii) No poultry products, including dried food containing egg powder, are to be taken into the Area. 

iii) No food or other suppUes should be left within the Area beyond the season for which they are 
required. 

(f) The taking of, or harmful interference with, native flora and fauna: 

Taking of, or harmful interference with, native flora and fauna is prohibited unless specifically authorised 
by permit in accordance with the Agreed Measures for the Conservation of Antarctic Fauna and Flora, or 
Article 3 of Annex II to the Protocol on Environmental Protection to the Antarctic Treaty, whichever is 
appropriate. 

(g) The collection or removal of anything not brought into the Area by the permit holder: 

There is to be no collection or removal of anything not brought into the Area by the permit holder unless 
specifically authorised by permit for scientific or management purposes. 

(h) The disposal of waste: 

No wastes, including human wastes, are to be left in the Area. 

(i) Measures that may be necessary to ensure that the aims and objectives of the management plan can 
continue to be met: 

* permits should specify the maximum numbers of personnel who may enter the Area; 

* visits to the Area should be kept to the minimum necessary to achieve research and management 
objectives; 

* access should be permitted where necessary to place or remove structures or equipments. 



Multilateral / Antarctica 



15 



(j) RequiFements for reports: 

Each permit holder shall submit a report to the permit-issuing authority detailing the activities under- 
taken within the Area including a summary of research findings, and comments indicating measures 
taken to ensure compliance with conditions. Where appropriate, the report may make recommendations 
relevant to the management of the Area, in particular, as to whether the values for which the Area was 
designed are being adequately protected. The report should be submitted as soon as practicable after the 
visit to the Area has been completed. 



1 

62°30'E 
2 



MAP 'A' 



KILOMETRES 



» HOLME i BAY 

o ^ ^ 



i: 



ROOKERY ^ 
ISLANDS 






<:i 







o MAWSON 



MAWSON COAST 



67°40'S- 



16 



The Marine Mammal Commission CoMPENDIU^ 



62°30'E 



Map 'B' 



Wigg Island 



N 







Giganteus Island 









'0 <0 



of] 0° 00 







ROOKERY ISLANDS 

Specially Protected Area 





0- 



67°35'S - 




Multilateral / Anta rctica 17 

MANAGEMENT PLAN FOR SPECIALLY PROTECTED AREA (SPA) No.3 
ARDERY ISLAND AND ODBERT ISLAND, BUDD COAST 

1. DESCRIPTION OF THE VALUES TO BE PROTECTED 

Ardery and Odbert Islands support several breeding species of petrel and provide a sample of their habitat. 
There is no other readily accessible place in eastern Antarctica where the four genera of fulmarine petrels 
( Thalassoica antarctica, Fulmarus glacialoides, Daption capensis and Pagodroma nivea ) breed in the same 
place in sufficient numbers to allow comparative study. Study of these four genera at one location is of high 
ecological importance both from the point of view of understanding and of monitoring the Southern Ocean 
ecosystem. It is beUeved that Ardery Island is imique insofar as it is the only area in the Antarctic which harbours 
two different subspecies of snow petrels. Studies on morphological or ecological differences between these two 
subspecies are not possible anywhere else. In addition both islands have breeding populations of Wilson's storm 
petrels ( Oceanites oceanicus ) and Antarctic skuas ( Catharacta maccormicki ) and Odbert Island supports 
breeding populations of Ad^lie penguins ( Pygoscelis adeliae ). 

2. AIMS AND OBJECTIVES 

Management of the Area aims to: 

* prevent unnecessary disturbance to the colonies of petrels on Ardery and Odbert Islands; and 

* permit research of a compelling scientific nature which cannot be undertaken elsewhere, while ensuring 
that this has no significant impact on the ecosystem in the area. 

3. MANAGEMENT ACTIVITIES 

The management plan and activities in the Area should be kept under review to ensure that the values for which 
the Area was designated are being fully protected. Inspection visits may be made only when considered essential 
for management purposes. 

4. PERIOD OF DESIGNATION 

Designated under Recommendation IV-3 in November 1966 for an indefinite period. 

5. DESCRIPTION OF THE AREA 

(a) Geographical coordinates and natural features of the Area: 

Ardery Island (66°22'S, 110°28'E) and Odbert Island (66°22'S, 110°33'E) form part of the Windmill Islands group 
lying in the East ofVmcennes Bay, off the Budd Coast (see Map A) . They are located 5 km and 0. 6 km respectively 
to the West of Robinson Ridge, South of Casey Station. Odbert Island is approximately 2.5 km long and 0.5 km 
wide. It has a rocky coast which rjiises steeply from the sea to a plateau. The highest point is 100 m above sea 
level. The plateau is dissected by a series of valleys which run to the South from the high flat rim on the northern 
side. These valleys are snow-covered in winter. The hUl tops remain essentially ice and snow free. In some years 
the island remains joined to Robinson Ridge on the mainland by sea ice. Ardery Island is a steep ice-free island 
approximately 1 km long and 0.5 km wide, with an East- West orientation. The highest point is 113 m above 
mean sea level. 

The terrain on both islands is rugged and dissected by fissures. The cliffs are fractured and have many narrow 
exposed ledges which in Summer are occupied by nesting sea birds. On the hillsides and plateau region, the 
exposed rock is ice-smoothed and the valley floors are covered with moraine. Both islands have several small 
tarns which are frozen in Winter and filled with melt water in Summer. Many of these are ephemeral and dry 
out towards the end of Summer. Others which are located below snow banks, are fed continuously by melt water. 



The Marine Mammal Commission Compendium 



(b) Access to the Area: 

Access to the Area may only be in accordance with a permit or authority issued by a Contracting Party or its 
authorised representative. 

Defined landing sites for access by sea and heUcopters to Ardery and Odbert Islands are shown on Map B and 
C respectively. On Ardery Island the preferred boat landing site is at Robertson Landing where there are three 
rock anchors present to tie down a boat or other equipment. It should be noted that all three boat landing sites 
marked on Map B are within 200 metres of colonies of birds, however they represent the only safe landing sites 
on the island and if landings sire undertaken carefully there is no disturbance to the birds. 

There are no defined pedestrian routes within the Area, however pedestrians should avoid disturbance of the 
birds at all times. 

(c) Location of structiires including scientific stations, research and reftige facilities both within and near 
the Area: 

There are no structures within the Area and no permanent structures are permitted. 

The islands lie approximately 12 km South of Casey Station. 

A four-berth refuge hut is located on Robinson's Ridge, 0.5 km ftt)m the shore. 

(d) Location of other protected areas in or near the Area: 

North-East Bailey Peninsula (66°17'S, 110°32'E) (Site of Special Scientific Interest No 16) and Clark Peninsula 
(66°15'S, 110°36'E) (Site of Special Scientific Interest No 17) lie opposite the Windmill Islands (see Map A). 

6. roENTIFICATION OF RESTMCTED ZONES 

Access to the petrel and Ad6Iie penguin colonies marked on Maps B and C is prohibited unless authorised in a 
permit. 

7. MAPSOFTHEAREA 

Three maps of the Area are attached. 

Map A shows the Area and its location. 

Map B (Ardery Island), and 

Map C (Odbert Island) show preferred heUcopter approaches and landing sites, landing sites for access by water 
and the location of the petrel and Ad6he breeding colonies. 

8. CONDITIONS UNDER WfflCH PERMITS MASf BE GRANTED 

Criteria for issuing a permit to enter the Area are that: 

* it is issued for a compeUing scientific purpose which cannot be pursued elsewhere; 

* the actions permitted will not jeopardise the natural ecological system existing in Area; and 

* the actions permitted are in accordance with the management plan for the Area. 



Multilateral / Antarctica 19 

Conditions appljring: 

(a) Access to and movement within the Area: 

i) Travel to the island should be by foot, oversnow vehicle or boat where possible; oversnow vehicles 
used to visit the islands must be left at the shoreline and movement within the area should be by 
foot. 

ii) If access to the islands is not possible by sea or over sea-ice, then helicopters may be used subject 
to the following conditions: 

* overflight of the islands should be avoided at all times, except where it is considered essential 
for scientific purposes. In these instances, overflight must be at an altitude or horizontal 
distance of no less than 500 metres; 

* during the breeding season of penguins and petrels, defined here as the period from 1 
November to 1 April, helicopter movement to the islands should be kept to the minimum; 

* refueling is not to take place within the Area; 

* only personnel who are required to carry out work in the Area should leave the helicopter; 

* the approach to Ardery Island should be at a high altitude and from a southern direction as 
the lowest densities of birds are on the southern cliffs (see Map B); 

* the approach to Odbert Island should preferably be from the South, avoiding cliff areas 
because of the nesting petrels (see Map C). 

(b) Activities which are, or may be, conducted within the Area, including restrictions on time and place: 

i) Compelling scientific activities which cannot be conducted elsewhere. 

ii) CompeUing management activities, which if not carried out would jeopardise the values for which 
the Area was designated. 

iii) Where activities necessitate interference with the birds care should be taken to cause the least 
possible disturbance, particularly during the period 1 November to 1 April. 

(c) The installation, modification, or removal of structures: 

No structures may be erected in the Area unless essential for research purposes. Any structures installed 
on the islands must be removed when no longer required. Installation of a field hut on Ardery Island 
should take place wherever possible before 1 November when the breeding season commences and removal 
should be after 1 April when the fledglings have departed. Installation and removal should be by oversnow 
transport unless sea-ice conditions prevent this. For use of helicopters see (a) ii above. 

(d) The location of field camps: 

If required for field work, a hut may be erected on Ardery Island at the point specified on Map B. There 
are 8 soUd rock anchors available at this spot. 

(e) Restrictions on materials and organisms which may be brought into the Area: 

i) Fuel is not to be depoted on the islands, unless required by a researcher for personal use, i.e. for 
cooking/heating etc., in a field hut on Ardery Island, and is to be removed at the same time as the 
hut. 

ii) No poultry products, including dried food containing egg powder, are to be taken into the Area. 



20 



The Marine Mammal Commission CoMPENDIU^ 



(f) The tsiking of or harmful interference with native flora and fauna: 

Taking of, or harmful interference with, native flora and fauna is prohibited unless specifically authorised by 
permit issued in accordance with the Agreed Measures for the Conservation of Antarctic Fauna and Flora, or 
Article 3 of the Annex II to the Protocol on Environmental Protection to the Antarctic Treaty, whichever is 
appropriate. 

(g) The collection or removsil of anything not brought into the Area by the permit holder: • 

There is to be no collection or removal of anjrthing not brought into the Area by the permit holder unless 
specifically authorised by permit for scientific or management purposes. 

(h) The disposal of waste: 

No wastes, including human wastes, are to be left in the Area. 



MAP 'A' 



66°20'S 



Q) Lilienthal Island 



Berkley 
cj^ Island 

^ O 





^ 


SSSI r 


WILKES STATION (CLOSED) (V^ 


No 17 1, 




Newcomb Bay 


t-- 'f 


WINDMILL 


Shirley Island J^__y\_^ 

CASEY STATION ^ 

Beall Island (T^^ \ 


^ 7/ 

-- SSSI 
^No16 ; 


ISLANDS 


^n^ 


^ 'ii 


Hollin Island P^ 


\ -r.foS 


^ Q 

' -J 


Mldgley Island 


Warrington f _ 
Island \ rJ 


) 



Ardery Island Odbert Island 

^ SPA ( 



Robinson Ridge 



KILOMETRES 



66°20'S 



Multilateral / Antarctica 



21 



ARDERY 
ISLAND 



MAP 'B' 




preferred direction 

of approach for 

helicopters 



METRES 
(approximate scale only) 



LEGEND 



® 



•) J Recommended landing: 
Robertson Landing 

(2) Cave Landing 

(3) Penney Landing 

(4) Recommended location 
^-^ for Apple Hut - 8 rock 

anchors present. The 
northernmost is mari<ed 
by a cairn of stones. 



(j-|) Best helicopter landing for 
^^ general purposes but landing 
anywhere in the Hat central 
areas of Ardery Island is 
possible. 



(+) 3 rock anchors 
(for eg boat) 



petrel colonies 




Ardery Island as seen when approaching from the north. 
(Numbers refer to those in map above) 



22 



The Marine Mammal Commission Compendium 











MAP 'C 
i 




V"^ 






N 


cr^UpE 


^ 


^ 


.c<^^^^ 


^=rV.'-^ 




^IF 


A ^ 


/® 


^h( ^ 


J A 


7> 


\^;L^^ 


'-^ ^ 


-^r> 


^^-^m-y 


^ '09 


/ 






?\ 




"^=^^^^^^^-^ /^=T 


<i ' 




.-'W 


ODBERT 


^^ 




v^^ 




^ 




ISLAND 




preferred direction 

of approach for 

lielicopters 








LEGEND 


200 400 600 

1 1 1 1 








^ petrel colonies 
[JIII Ad6lie rookeries 


METRES 








(approximate scale only) 








® Preferred helicopter landing site 



(j) 



Measures that may be necessary to ensure that the aims and objectives of the management plan can 
continue to be met: 

* permits should specify the maximum number of people allowed entry at any one time; 

* visits to the Area should be kept to the minimum necessary to achieve the research and management 
objectives; 

* access should be permitted where necessary to place or remove structures or equipments. 
Requirements for reports: 



Each permit holder shall submit a report to the permit-issuing authority detailing the activities undertaken 
within the Area including a summary of research findings, and comments indicating measures taken to ensure 
compliance with conditions. Where appropriate, the report may make recommendations releveint to the 
management of the Area, in particular, as to whether the values for which the Area was designated are being 
adequately protected. The report should be submitted as soon as practicable after the visit to the Area has been 
completed. 



Multilateral / Antarctica 23 

SPECIALLY PROTECTED AREA (SPA) No 20 
"NEW COLLEGE VALLEY", Caughley Beach, Cape Bird, Ross Island 

1. GEOGRAPHICAL LOCATION 

The site is in latitude 77°14'S, longitude 166°23'E, in the northern part of Cape Bird ice-free area. It lies between 
Northern Rookery and Middle Rookery and is about 250 m South of the Summer research station. 

2. MANAGEMENT PLAN 

i) Description of Area 

Topography 

The Area consists of the generally west-facing ice-free slopes lying between the cliff top above Caughley 
Beach Eind a Une parallel to and about 100 m East of the edge of the Mount Bird Ice Cap, and between a 
line South of the main stream bed of "Keble Valley" and the South ridge of "New College Valley". It is 
surrounded to the North, South and East by Site of Special Scientific Interest No 10, and to the West 
terminates at the cliff tops above Caughley Beach. Its total area is about 10 ha. 

The ground is largely covered by stones and boulders of volcanic origin which have been reworked by 
glacial action. There are a few glacial erratic boulders of different origin. 

The major feature of the site is "New College Valley" which has been cut by the vigorous flows of meltwater 
received from the Mount Bird Ice Cap during Summer. Tributaries to this stream and two other smaller 
streams in the area are fed by melt from persistent summer snowdrifts and have eroded their own shallow 
gulhes and channels. 

Biological features 

A genered description of the vegetation is provided by Broady (1984/89) as part of a broad survey of 
vegetation at Cape Bird and two other ice-free areas on Ross Island. Longton (1973, 1974) classified the 
bryophyte community at Caughley Beach as the Bryum antarctic um Sociation in which B.antarcticum is 
dominant with occasional B.argenteum . It is not clear from the information presented whether the site 
examined was actually inside the SPA but, if not, it was certainly very close. Sketch maps of moss and 
algae stands within the SPA are provided by Broady (1984). 

Stream vegetation includes luxiuiant red-brown oscillatoriacean ( Cyanobacteria ) mats, rich epilithic 
green filaments and crusts of chlorophj^te algae, and colonies of Nostoc ( Cyanobacteria ). 

The more or less north-west-facing slopes of the main valley and smaller gullies support extensive moss 
stands as scattered small cushions and as confluent growths up to several square meters in extent (total 
cover, over 200 m°). Often the plants and surrounding soil become covered with a white mineral 
encrustation if meltwater supply ceases during the Summer and vegetation and soils dessicate. The 
maximum development of moss is found along the borders of shallow channels taking meltwater from 
snow drifts. Also scattered cushions no more than 5 cm in diameter are found on moist ground where melt 
percolations are not channelled but seep broadly over the surface. Bryophyte biomass at Caughley Beach 
(Longton, 1974) was estimated as 14 and 938 g dry weight per square metre for two stands, with 1.4% 
and 84.7% cover respectively. 

The mosses are generally associated with abundsint red-brown oscillatoriacean mats and occasionally 
with colonies of Nostoc. Other areas of soaked ground are dominated by either Nostoc colonies (approxi- 
mately 100 m_) or oscillatoriacean mats (approximately 200 m_). 

Skuas ( Catharacta maccormicki ) nest on the beach below the chffs to the West of the site and frequently 
overfly and land within the SPA. Adehe penguins ( Pygoscelis adehae ) from large nearby rookeries 



24 The Marine Mammal Commission Compendium 



occasionally traverse the area. Nutrient enrichment of soils occurs from deposited guano as well as from 
windblown particulates from the large penguin rookeries to the North and South. 

ii) Reason for designation 

The area contains some of the most luxuriant stands on Ross Island of moss and algae vegetation and 
associated microflora and microfauna. Because of the susceptibility of this vegetation to damage fi«m 
trampUng, the designation of the area provides protection for its biota, so that the area may serve as a 
conservation reserve representative of the adjacent Site of Special Scientific Interest. 

iii) Date of designation and originator 

The site was established by Recommendation XIII- 12 following its proposal to SCAR by New Zealand in 
October 1984. 

iv) Access points 

The site can be accessed only by passing through the adjacent SSSI. It is best reached by a route directly 
South-East from the summer reseeirch station to the North. Care should be taken to avoid any areas of 
vegetation along the way. 

v) Entry permit requirement 

Entry to the area is only in strict accordance with a current permit, issued by the participating 
Government or its authorised representative, specifically for a compeUing scientific purpose which cannot 
be served elsewhere or for site inspection (but see "Inspection and maintenance" below), and which will 
not jeopardise any aspect of the natural ecosystem or its biota within the area (see Antarctic Treaty Agreed 
Measures for the Conservation of Antarctic Fauna and Flora, Article VIII). Details of the visit should be 
included in the national annual report of Exchange of Information for the same Antarctic station in which 
the activities were carried out. 

vi) Prohibition 

lb avoid or minimize human impact it is forbidden to: 

(a) drive any vehicle within the Area; 

(b) land a heUcopter within the Area; 

(c) overfly the Area by £in aircraft; below 250 m above the highest point; 

(d) incinerate, bury or otherwise dispose of any nonhuman and human waste within the Area; all 
such waste must be removed frova the Area; 

(e) leave depots of fuels, food, or any other supply within the Area; 

(f) erect any form of building within the Area; 

(g) use any sampling or other equipment within the Area which has not been sterilized using an 
acceptable method. 

vii) Pedestrian routes 

Every precaution must be taken to keep clear of visible vegetation and also waterlogged ground, whether 
this has visible vegetation or not. During Summer all these areas are easily damaged by trampling. 
Saturated ground, especially where situated on sloping terrain, is very prone to slip when traversed by 
foot and the marking of deep footprints would be unavoidable. Routes should be taken which pass upslope 
of persistent summer snow drifts, especially during times of thaw. In this way saturated ground would be 
most easily avoided. 



Multilateral / Antarctica 25 



viii) Scientific research and samplimg 

All activities must conform strictly with those specified in the permit to enter the Area. Only for 
exceptional purposes would sampling of vegetation be permitted as there are similar areas of vegetation 
in the adjacent SSSl, as well as outside the designated areas to the South of the site. 

Persons permitted to enter the site should take all reasonable precautions to avoid introducing plants 
and micro-organisms from elsewhere. All sampling apparatus should be sterilized before use and boots 
should be thoroughly cleaned before entry. 

iz) inspection and maintenance 

Inspection visits to the Area should be made once every year to assess the state of the site and to monitor 
any significant biological or environmental changes. However, entry to the site is not necessary for these 
visits as its state can be readily viewed from the surrounding SSSl. Also, as the site is small and contains 
rich terrestrial moss and algal vegetation, on site inspection visits could themselves cause damage. 

3. BIBUOGRAPHY 

BROADY, RA. 1984. The Vegetation of Cape Bird, Ross Island, Antarctica. Melbourne University Prograimme 
in Antarctic Studies, Report No 62, 42pp, 15 tables, 140 figs. 

BROADY, PA. 1989. Broadscale patterns in the distribution of aquatic and terrestrial vegetation at three 
ice-free regions on Ross Island, Antarctica. Hydrobiologia, 172: 77-95. 

LONGTON, R.E. 1973. A classification of terrestrial vegetation near McMurdo Sound, continental Antarctica. 
Canadian Journal of Botany, 51:2339-46. 

LONGTON, R.E. 1974. Microclimate and biomass in communities in the Bryum association on Ross Island, 
continental Antarctica. The Bryologist, 77: 109-22. 

(Postscript: It is intended to place signs close to the boundaries on this site and to choose boundaries which more 
closely follow natural features. The latter requires a more detailed map than presently available. Action on both 
of these will be taken this coming Summer). 



Recommendation XVII-3 
ANTARCTIC PROTECTED AREAS 

NEW HISTORIC SITES AND MONUMENTS 

WOODEN PLAQUE AND ROCK CAIRN AT PENGUINS BAY 

The Representatives, 

Recalling Recommendations I-DC, V-4, VI-14, VII-9, XII-7, XIII-16 and XIV-8; 

Recommend to their Governments that the follovying historic monuments be added to the "List of Historic 
Monuments Identified and Described by the proposing Government or Governments" annexed to Recommendation 
VII-9, and that thereafter they be accorded the respect and protection required by the Recommendation recalled 
above: 

Wooden plaque and rock caim located at Penguins Bay, southern coast of Seymour Island (Marambio), James Ross 
Archipelago (64°16'00''S - 56°39'10"W) . This plaque was placed on 10 November 1903 by the crew of a rescue mission 
of the Argentinian Corvette "Uruguay" in the site where they met members of the Swedish expedition led by Dr Otto 
Nordenskjold. 



26 The Marine Mammal Commission Compendium 



The text of the wooden plaque reads as follows: 

10JCI.1903 "Uruguay," (Argentine Navy) in its journey to give assistance to the Swedish Antarctic 
expedition. 

In January 1990, a rock cairn was erected by Argentina in memory of this event in the place where the plaque is 
located. 



Recommendation XVII-4 

GLOBAL CHANGE RESEARCH AND 
INTERNATIONAL COOPERATION IN ANTARCTICA 

The Representatives, 

Recalling Articles II & III of the Antarctic Treaty and Article VI of the Protocol on Environmental Protection to the 
Antarctic Treaty, and Recommendation XV- 14 on the promotion of international scientific cooperation; 

Reaffirming the Declaration adopted at the XVI th Consultative Meeting on the occasion of the 30th anniversary of 
the entry into force of the Antarctic Treaty; 

Noting the recognition in Agenda 21 of the United Nations Conference on the Environment and Development of the 
importance of Antarctica and the Southern Ocean for the study of global change processes; 

Acknowledging the role that intensified coordination of national research programmes and increased international 
cooperation should play, such as SCAR's publication on "the role of Antarctica in global change"; 

Conscious as well that the development of an implementation plan for Antarctic research contribution to the 
International Geosphere - Biosphere Programme represents a significant step to be accomplished during the Decade 
of International Antarctic Scientific Cooperation (1991-2000) proclaimed by the XVI th ATCM; 

Recommend to their Grovemments that they: 

1. welcome the decision adopted by the Scientific Committee for Antarctic Research at XXII SCAR to establish a 
new group of specialists on global change and the Antarctic, in order to provide linkages and communications 
between national programmes, SCAR Working Group and other Groups of Specialists in areas of relevant 
Antarctic research; 

2. encoiirage SCAR to articulate, in close cooperation with COMNAP, a management structure to implement a 
coordinated programme for global change research in the Antarctic and to contribute through the development 
of Regional Research Centres (RRC's) to the IGBP System for Analysis, Research and Training (START) and to 
other major regional and international programs on global change research; 

3. support initiatives such as the proposal of the SCAR Working Group on Biology and the offer made by Chile to 
hold a workshop on the coordination of biological resesirch on King George Island (Isla 25 de Mayo); the 
Cooperative geoscience of the South Shetland Islands (COGS) whose second workshop was sponsored by the 
National Institute of Polar Research of Japan; and similar initiatives to coordinate research in glaciology and 
solar-terrestrial studies; 

4. note with appreciation the completion of SCAR's proposal for coordinated Antarctic research (the role of 
Antarctica in global change: part 2) to be published late in 1992 and the plan to implement a regional program 
of global change research in the Antarctic, through: 

i) continuing identification of high priority research needs in process studies, monitoring, and modelling; 

ii) identifying other needs in the implementation of the programme, such as logistics, data management, 
etc; 



Multilateral / Antarctica 27 



iii) organising workshops and symposia to synthesise and discuss research results; 

5. that the above mentioned regional programme of Global Change research in the Antarctic should be given a 
high scientific priority and supported to the greater extent feasible by Governments; 

6. may consider applying to the Global Environmental Facility (GEF) and other acceptable funding mechanisms 
to support the proposed new group of specialists and their work. 



Measures Approved or Recommended 

Under Article IX in Furtherance of the 

Principles and Objectives of the 

Antarctic Treaty, Kyoto, 1994 

Done at Kyoto 22 April 1994 

Primary source citation: Copy of text provided by the 
U.S. Department of State 

Recommendation XVIII- 1 
Tourism and non-Governmental Activities 

The Representatives, 

Reafiinning the exceptional character of the Antarctic environment given in particular the fragility of its fauna and 
flora and of the setting which the Antarctic offers for the conduct of scientific activities; 

Acknowledging the increase in the development of tourist activities in the Antarctic; 

Noting that those who visit the Antarctic and organise or conduct tourism and non-governmental activities in the 
Antarctic are currently subject to legally binding obhgations pursuant to national legislation implementing the 
Antfirctic Treaty and associated legal instruments; 

Noting further that such visitors or organisers will be subject to additional legally binding obligations upon entry 
into force of the Protocol on Environmental Protection to the Antarctic Treaty; 

Recognizing the need for visitors and organisers to have practical guidance on how best to plan and carry out any 
visits to the Antarctic; 

Recalling the Finsd Act of the Eleventh Special Antarctic Treaty Consultative Meeting, at which the Protocol was 
adopted, in which the signatories of the Final Act decided that the Annexes of the Protocol should be applied in 
accordance with their legal systems and to the extent practicable; 

Desiring to ensure that those who visit the Antarctic carry out their visits or tours strictly in accordance with existing 
obligations and in so far as is consistent with existing national law, in accordance with the Protocol, pending its entry 
into force; 

Desiring further to facihtate the early entry into force of the Protocol and of the implementation of its provisions in 
relation to those who visit or organise tours to the Antarctic. 

Recommend to their Governments that: 



Multilateral / Antarctica 29 



1. They circulate widely and as quickly as possible the Guidance for Visitors to the Antarctic, and the Guidance for 
Those Organising and Conducting Tburism and Non-governmental Activities in the Antarctic annexed to this 
Recommendation. 

2. They urge those intending to visit or organise and conduct tourism and non-governmental activities in the 
Antarctic to act in accordance with the attached guidance consistent with the relevant provisions of their 
appUcable national law. 



ATTACHMENT 

Guidance for Visitors to the Antarctic 

Activities in the Antarctic are governed by the Antarctic Treaty of 1959 and associated agreements, referred to 
collectively as the Antarctic Treaty system. The Treaty estabUshed Antarctica as a zone of peace and science. 

In 1991, the Antarctic Treaty Consultative Parties adopted the Protocol on Environmental Protection to the Antarctic 
Treaty, which designates the Antarctic as a natural reserve. The Protocol sets out environmental principles, 
procedures and obligations for the comprehensive protection of the Antarctic environment, and its dependent and 
associated ecosystems. The Consultative Parties have agreed that, pending its entry into force, as far as possible and 
in accordance with their legal system, the provisions of the Protocol should be applied as appropriate. 

The Environmental Protocol apphes to tourism and non-governmental activities as well as governmental activities 
in the Antarctic Treaty Area. It is intended to ensure that these activities do not have adverse impacts on the Antarctic 
environment, or on its scientific and aesthetic values. 

This Guidance for Visitors to the Antarctic is intended to ensure that all visitors are aware of, and are therefore 
able to comply with, the Treaty and the Protocol. Visitors are, of course, bound by national laws and regulations 
applicable to activities in the Antarctic. 



A) PROTECT ANTARCTIC WILDLIFE 

Taking or harmful interference with Anteirctic wildlife is prohibited except in accordance with a permit issued by a 
national authority. 

1) Do not use aircraft, vessels, small boats, or other means of transport in ways that disturb wildlife, either at sea 
or on land. 

2) Do not feed, touch, or handle birds or seals, or approach or photograph them in ways that cause them to alter 
their behavior. Special care is needed when animals are breeding or moulting. 

3) Do not damage plants, for example by wsdking, driving, or landing on extensive moss beds or lichen-covered scree 
slopes. 

4) Do not use guns or explosives. Keep noise to the minimum to avoid frightening wildlife. 

5) Do not bring non-native plants or animals into the Antarctic (e.g. Uve poultry, pet dogs and cats, house plants). 



B) RESPECT PROTECTED AREAS 

A variety of areas in the Antarctic have been a£rorded special protection because of their particular ecological, 
scientific, historic or other values. Entry into certain Eireas may be prohibited except in accordance with a permit 
issued by an appropriate national authority. Activities in and near designated Historic Sites and Monimients and 
certain other areas may be subject to special restrictions. 



30 The Marine Mammal Commission Compendium 



1) Know the locations of areas that have been afforded special protection and any restrictions regjirding entry and 
activities that can be carried out in and near them. 

2) Observe applicable restrictions. 

3) Do not damage, remove or destroy Historic Sites or Monuments, or any artefacts associated with them. 

C) RESPECT SCIENTIFIC RESEARCH 

Do not interfere with scientific research, facilities or equipment. 

1) Obtain permission before visiting Antarctic science and logistic support facilities; reconfirm arrangements 24-72 
hours before arriving; and comply strictly with the rules regarding such visits. 

2) Do not interfere with, or remove, scientific equipment or marker posts, and do not disturb experimental study 
sites, field camps, or supplies. 



D) BE SAFE 

Be prepared for severe and changeable weather. Ensure that your equipment sind clothing meet Antarctic standards. 
Remember that the Antarctic environment is inhospitable, unpredictable and potentially dangerous. 

1) Know your capabilities, the dangers posed by the Antarctic environment, and act accordingly. Plan activities with 
safety in mind at all times. 

2) Keep a safe distance from all wildlife, both on land and at sea. 

3) Take note of, and act on, the advice and instructions from your leaders; do not stray from your group. 

4) Do not wsdk onto glaciers or large snow fields without proper equipment and experience; there is a real danger 
of falling into hidden crevasses. 

5) Do not expect a rescue service; self-sufficiency is increased and risks reduced by sound planning, quality 
equipment, and trained personnel. 

6) Do not enter emergency refuges (except in emergencies). If you use equipment or food ft'om a refuge, inform the 
nearest research station or national authority once the emergency is over. 

7) Respect any smoking restrictions, particularly around buildings, and take great care to safeguard against the 
danger of fire. This is a real hazard in the dry environment of Antarctica. 



E) KEEP ANTARCTICA PRISTINE 

Antarctica remains relatively pristine, and has not yet been subjected to large scale human perturbations. It is the 
largest wilderness area on earth. Please keep it that way. 

1) Do not dispose of htter or garbage on land. Open burning is prohibited. 

2) Do not disturb or pollute lakes or stresims. Any materials discarded at sea must be disposed of properly. 

3) Do not paint or engrave names or graffiti on rocks or buildings. 

4) Do not collect or take away biological or geological specimens or man-made artefacts as a souvenir, including 
rocks, bones, eggs, fossils, and parts or contents of buildings. 

5) Do not deface or vandalise buildings, whether occupied, abandoned, or unoccupied, or emergency refuges. 



Multilateral / Antarctica 31 



Guidance for those Organising and Conducting 
Tourism and Non-governmental Activities in the Antarctic 

Antarctica is the largest wilderness area on esirth, unaffected by large scale human activities. Accordingly, this unique 
and pristine environment has been afforded special protection. Furthermore, it is physically remote, inhospitable, 
unpredictable and potentially dangerous. All activities in the Antarctic Treaty Area, therefore, should be planned and 
conducted with both environmental protection and safety in mind. 

Activities in the Antarctic are subject to the Antarctic Treaty of 1959 and associated legal instruments, referred to 
collectively as the Antarctic Treaty system. These include the Convention for the Conservation of Antarctic Seals 
(CCAS' 1972), the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR' 1980) and the 
Recommendations and other measures adopted by the Antarctic Treaty Consultative Parties under the Antarctic 
Treaty 

In 1991, the Consultative Parties to the Antarctic TVeaty adopted the Protocol on Environmental Protection to the 
Antarctic Treaty. This Protocol sets out environmental principles, procedures and obUgations for the comprehensive, 
protection of the Antarctic environment, and its dependent and associated ecosystems. The Consultative Parties have 
agreed that, pending its entry into force, as far as possible and in accordance with their legal systems, that the 
provisions of the Protocol should be appUed as appropriate. 

The Environmental Protocol designates Antarctica as a natural reserve devoted to peace and science, and apphes to 
both governmental and non-governmental activities in the Antarctic Treaty Area. The Protocol seeks to ensure that 
human activities, including tourism, do not have adverse impacts on the Antarctic environment, nor on its scientific 
and aesthetic values. 

The Protocol states, as a matter of principle, that all activities are to be planned and conducted on the basis of 
information sufficient to evaluate their possible impact on the Antarctic environment and its associated ecosystems, 
and on the vailue of Antarctica for the conduct of scientific research. Organisers should be aware that the Environ- 
mental Protocol requires that "activities shall be modified, suspended or cancelled if they result in or threaten to 
result in impacts upon the Antarctic environment or dependent or associated ecosystems." 

Those responsible for organising and conducting tourism and nongovernmental activities must comply fiilly with 
national laws and regulations which implement the Antarctic Treaty system, as well as other national laws and 
regulations implementing international agreements on environmental protection, pollution and safety that relate to 
the Antarctic Treaty Area. They should also abide by the requirements imposed on organisers and operators under 
the Protocol on Environmental Protection and its Annexes, in so far as they have not yet been implemented in national 
law. 



KEY OBLIGATIONS ON ORGANISERS AND OPERATORS 

1) Provide prior notification of, and reports on, their activities to the competent authorities of the appropriate Party 
or Parties. 

2) Conduct an assessment of the potential environmental impacts of their planned activities. 

3) Provide for effective response to environmental emergencies, especially with regard to marine pollution. 

4) Ensure self-sufficiency and safe operations. 

5) Respect scientific research and the Antarctic environment, including restrictions regarding protected areas, and 
the protection of flora and fauna. 

6) Prevent the disposal and discharge of prohibited waste. 



32 The Marine Mammal Commission Compendium 

PROCEDURES TO BE FOLLOWED BY ORGANISERS AND OPERATORS 

(A) When planning to go to the Antarctic 
Organisers and operators should: 

1) Notify the competent national authorities of the appropriate Party or Parties of details of their plsmned activities 
with sufficient time to enable the Party(ies) to comply with their information exchange obligations under Article 
VII (5) of the Antarctic Treaty. The information to be provided is Usted in Attachment A. 

2) Conduct £in environmental assessment in accordance with such procedures as may have been established in 
national law to give effect to Annex I of the Protocol, including, if appropriate, how potential impacts will be 
monitored. 

3) Obtain timely permission from the national authorities responsible for any stations they propose to visit. 

4) Provide information to assist in the preparation of: contingency response plans in accordance with Article 15 of 
the Protocol; waste management plans in accordance with Annex III of the Protocol; and marine pollution 
contingency plans in accordance with Annex IV of the Protocol. 

5) Ensure that expedition leaders and passengers are aware of the location and special regimes which apply to 
Specially Protected Areas and Sites of Special Scientific Interest (and on entry into force of the Protocol, Antarctic 
Specially Protected Areas and Antarctic Specially Managed Areas) and of Historic Sites and Monuments and, in 
particular, relevant management plans. 

6) Obtain a permit, where required by national law, from the competent national authority of the appropriate Party 
or Parties, should they have a reason to enter such areas, or a monitoring site (CEMP Site) designated imder 
CCAMLR. 

7) Ensure that activities are fully self-sufficient and do not require assistance from Parties unless arrangements 
for it have been agreed in advance. 

8) Ensure that they employ experienced and trained personnel, including a sufficient number of guides. 

9) Airange to use equipment, vehicles, vessels, and aircraft appropriate to Antarctic operations. 

10) Be fully conversant with applicable communications, navigation, air traffic control and emergency procedures. 

11) Obtain the best available maps and hydrographic charts, recognising that many areas are not fully or accurately 
surveyed. 

12) Consider the question of insurance (subject to requirements of national law). 

13) Design and conduct information and education programmes to ensure that aU personnel and visitors are aware 
of relevant provisions of the Antarctic Treaty system. 

14) Provide visitors with a copy of the Guidance for Visitors to the Antarctic 

(B) When in the Antarctic Treaty Area 
Organisers and operators should: 

1) Comply with all requirements of the Antarctic Treaty system, and relevant national laws, and ensvu-e that visitors 
are aware of requirements that are relevant to them. 

2) Reconfirm arrangements to visit stations 24-72 hours before their arrival and ensure that visitors are aware of 
any conditions or restrictions established by the station. 

3) Ensure that visitors are supervised by a sufficient number of guides who have adequate experience and training 
in Antarctic conditions and knowledge of the Antarctic Treaty system requirements. 



Multilateral / Antarctica 33 



4) Monitor environmental impacts of their activities, if appropriate, and advise the competent national authorities 
of the appropriate Party or Parties of any adverse or cumulative impacts resulting frova an activity, but which 
were not foreseen by their environmental impact assessment. 

5) Operate ships, yachts, small boats, aircraft, hovercraft, and all other means of transport safely and according to 
appropriate procedures, including those set out in the Antarctic Flight Information Manual (AFIM). 

6) Dispose of waste materials in accordance with Annex III and IV of the Protocol. These annexes prohibit, among 
other things, the discharge of plastics, oU and noxious substances into the Antarctic Treaty Area; regulate the 
discharge of sewage and food waste; and require the removal of most wastes from the area. 

7) Co-operate fully with observers designated by Consultative Parties to conduct inspections of stations, ships, 
aircraft and equipment under Article VII of the Antarctic Treaty, and those to be designated under Article 14 of 
the Environmental Protocol. 

8) Co-operate in monitoring programmes undertaken in accordance with Article 3(2)(d) of the Protocol. 

9) Maintain a careful and complete record of their activities conducted. 

C) On completion of the activities 

Within three months of the end of the activity, orgsinisers Jind operators should report on the conduct of it to the 
appropriate national authority in accordance with national laws and procedures. Reports should include the name, 
details and state of registration of each vessel or aircraft used and the name of their captain or commander; actual 
itinerary; the number of visitors engaged in the activity; places, dates and purposes of landings and the number of 
visitors landed on each occasion; any meteorological observations made, including those made as part of the World 
Meteorological Organization (WMO) Voluntary Observing Ships Scheme; any significant changes in activities and 
their impacts frt>m those predicted before the visit was conducted; and action taken in case of emergency. 

D) Antarctic Treaty System Documents and Information 

Most Antarctic Treaty Parties can provide, through their national contact points, copies of relevant provisions of the 
Antarctic Treaty system and information about national laws and procedures, including: 

• The Antarctic Treaty ( 1959) 

• Convention for the Conservation of Antarctic Seals ( 1972) 

• Convention on the Conservation of Antarctic Marine Living Resources (1980) 

• Protocol on Environmental Protection to the Antarctic TVeaty (1991) 

• Recommendations and other measures adopted under the Antarctic Treaty 

• Final Reports of Consultative Meetings 

• Handbook of the Antarctic Treaty System ( 1994) 

• Hsindbook of the Antarctic Treaty System (in Spanish, 1991 edition) 



34 The Marine Mammal Commission Compendium 

ATTACHMENT A 
INFORMATION TO BE PROVIDED IN ADVANCE NOTICE 

Organisers should provide the following information to the appropriate national authorities in the format requested. 

1. name, nationality, and contact details of the organiser; 

2. where relevant, registered name and national registration and type of any vessel or aircraft to be used (including 
name of the captain or commander, call-sign, radio frequency, INMARSAT number); 

3. intended itinerary including the date of departure and places to be visited in the Antarctic Treaty Area; 

4. activities to be undertaken and purpose; 

5. niunber and qualifications of crew and accompanying guides and expedition staff; 

6. estimated number of visitors to be carried; 

7. carryingcapacity of vessel; 

8. intended use of vessel; 

9. intended use and type of aircraft; 

10. number and type of other vessels, including small boats, to be used in the Antarctic Treaty Area; 

11. information about insurance coverage; 

12. details of equipment to be used, including for safety purposes, and arrangements for self-sufBciency; 

13. and other matters required by national laws. 



Measures Approved or Recommended 

Under Article IX in Furtherance of the 

Principles and Objectives of the 

Antarctic Treaty, Seoul, 1995 

Done at Seoul 19 May 1995 

Primary source citation: Copy of text provided by the 
U.S. Department of State 

MEASURE 1 (1995) 



REVISED DESCRIPTIONS AND MANAGEMENT PLANS FOR SPECIALLY 
PROTECTED AREAS 

The Representatives of the Consultative Parties, 

Recalling Recommendations XV-8 and XV-9 / VIII-3; 

Noting that revised Area Descriptions and proposed Management Plans have been approved by the Scientific 
Committee on Antarctic Research (SCAR); 

Noting also that the format of these revised Area Descriptions and proposed Management Plans accord with 
Article 5 of Annex V of the Protocol on Environmental Protection to the Antarctic Treaty adopted under Recommen- 
dation XVI- 10; 

Recommend to their Governments the following Measure for approval in accordance with paragraph 4 of Article 
DC of the Antarctic Treaty: 

For the Specially Protected Areas listed below: 

(i) the Descriptions inserted in Annex B, Specially Protected Areas, of the Agreed Measures for the 
Conservation of Antarctic Fauna and Flora shall be deleted; 

(ii) the Descriptions and Management Plans of Specially Protected Areas, annexed to this measxire shall be 
inserted in Annex B, Specially Protected Areas, of the Agreed Measures for the Conservation of Antarctic 
Fauna and Flora. 

The Specially Protected Areas concerned are: 

Area No. 13 Moe Island, South Orkney Islands (Annex A); 

Area No. 15 Southern Powell Island and adjacent islands. South Orkney Isleinds (Annex B) 



36 The Marine Mammal Commission Compendium 



Annex A to Measure 1 (1995) 



Management Plan 
for Specially Protected Area (SPA) No. 13 

MOE ISLAND, SOUTH ORKNEY ISLANDS 

1. Description of Values to be Protected 

The Area was originally designated in Recommendation IV-13 (1966, SPANo. 13) after a proposal by the United 
Kingdom on the grounds that Moe Island provided a representative sample of the maritime Antarctic ecosystem, that 
intensive experimental research on the neighbouring Signy Island might alter its ecosystem and that Moe Island 
should be speci2illy protected as a control area for future comparison. 

These grounds are still relevant. Whilst there is no evidence that research activities at Signy Island have 
significantly altered the ecosystems there, a major change has occurred in the low altitude terrestrial system as a 
result of the rapidly expanding Antarctic fur seal (Arctocephalus gazella) population. Plant communities on nearby 
Signy Island have been physically disrupted by trampUng by fur seals and nitrogen enrichment from the seals' excreta 
has resulted in replacement of bryophytes and hchens by the macro-alga Prasiola crispa. Low-lying lakes have been 
significantly affected by enriched run-oS' ft-om the surrounding land. So far Moe Island has not been invaded by fur 
seals to any great extent and its topography makes it less hkely that seals will penetrate to the more sensitive areas. 

The values to be protected are those associated with the biological composition and diversity of a near- pristine 
example of the maritime Antarctic terrestrial and littoral marine ecosystems. In partic\ilar, Moe Island contains the 
greatest continuous expanses of Chorisodontium-Polytrichum moss turf found in the Antarctic. Moe Island has been 
visited on few occasions and has never been the site of occupation for periods of more than a few hours. 

2. Aims and Objectives 

Management of Moe Island aims to: 

- avoid major changes to the structure and composition of the terrestrial vegetation, in particular the moss 
turf bzinks; 

- prevent imnecessary human disturbance to the Area; 

- permit research of a compelling scientific nature which cannot be served elsewhere, particularly research 
related to determining the differences between the ecology of an undisturbed island and that of an adjacent 
occupied and fur seal perturbed island. 

3. Management Activities 

Ensure that the biological condition of Moe Island is adequately monitored, preferably by non invasive methods, 
and that the sign-boards are serviced. 

If fur seals were to gain access to the interior of Moe Island it would be necessary to take action to prevent 
damage to the vulnerable moss banks. This action would most likely consist of the erection of a seal-proof fence at 
the head of the gully at the northeast of Landing Cove. Any direct management activities in the Area would be subject 
to an environmental impact assessment before any decision to proceed is taken. 

4. Period of Designation 

Designated for an indefinite period. 



Multilateral / Antarctica 37 



5. Maps 

Map 1 shows the location of Moe Island in relation to the South Orkney Islands. Map 2 shows Moe Island in 
greater detail. 

6. Description of the Area 

6(i) Geographical coordinates, boundary markers and natural features 

Moe Island, South Orkney Islands, is a small irregularly-shaped island lying 300 m off the southwestern 
extremity of Signy Island, from which it is separated by Fyr Channel. It is about 1.3 km from the northeast to 
southwest and 1 km from northwest to southeast. Its position on Admiralty Chart No. 1775, latitude 60° 44'S, 
longitude 45° 45^, does not agree closely with that in Map 2 (lat. 60° 44'S, long. 45° 41'W). 

The island rises precipitously on the northeastern and southeastern sides to Snipe Peak (226 m altitude). There 
is a subsidiary summit above South Point (102 m altitude) and lower hills on each of three promontories on the 
western side above Corral Point (92 m), Conroy Point (39 m) and SpauU Point (56 m). Small areas of permanent ice 
remain on the east- and south-facing slopes with late snow lying on the steeply dipping western slopes. There are no 
permanent streams or pools. 

The rocks are metamorphic quartz mica schists, with occasional biotite and quartz-rich beds. There is a thin 
bed of undifferentiated amphibolite on the northeastern coast. Much of the island is overlsiin with glacial drift and 
scree. Soils are predominantly immature deposits of fine to coarse clays and sands intermixed with gravels, stones 
and boulders. They are frequently sorted by freeze-thaw action in high or exposed locations into small-scale circles, 
polygons, stripes and lobes. There are deep accumulations of peat (up to 2m thick on western slopes), considerable 
expanses of the surface of which are bare and eroded. 

The dominant pl£uit communities are Andreaea-Usnea feUfield and banks of Chorisodontium-Polytrichum 
moss turf (the Isu-gest known example of this community type in the Antarctic). These moss banks constitute a major 
biological value and the reason for the designation of the Area. The cryptogamic flora is diverse. 

The mites Gamasellus racovitzai and Stereotydeus villosus and the springtail Cryptopygus antarcticus are 
common under stones. 

There were five colonies of chinstrap pengiiins {Pygoscelis antarctica) totaling about 11,000 pairs in 1978-79. 
A more recent visit (February 1994) noted fewer than 100 pairs on the northern side of Landing Cove and more than 
a thousand on the southern side. Numerous other birds breed on the island, notably about 2000 pairs of cape petrels 
{Daption capensis) in 14 colonies (1966) and large numbers of Antarctic prions (Pachyptila desolata). 

WeddeU seals (Leptonychotes weddelli) and leopard seals (Hydruga leptonyx) are found in the bays on the west 
side of the island. Increasing numbers of fur seals (Arctocephalus gazella), mostly juvenile males, come ashore on the 
north side of Landing Cove and have caused some damage to vegetation in that area. However, it is possible that the 
nature of the terrain wiU restrict these animals to this small headland where damage may intensify. 

6(ii) Restricted zones within the Area 

None. 

6(iii) Location of structures within the Area 

A marker board is located at the back of the small shingle beach in the northeast comer of Landing Cove, 
beyond the splash zone on top of a flat rock, to which it is bolted. The board was erected on 2 February 1994. 

There is a cairn and the remains of a survey mast, erected in 1965-66, on Spaull Point. This mast is of interest 
for lichenometric studies zmd should not be removed. There are no other structures on Moe Island. 



38 The Marine Mammal Commission Compendium 



6(iv) Location of other Protected Areas within close proximity 

SPA No. 13, Moe Island, and SPA No. 14, Lynch Island, lies about 10 km north-northeast of Moe Island. SPA 
No. 18, North Coronation Island, lies about 19 km away on the northern side of Coronation Island. SPA No. 15, 
Southern Powell island, is about 41 km to the east. 

7. Permit Conditions 

Entry into the Area is prohibited except in accordance with a Permit issued by appropriate national authorities. 
Conditions for issuing a permit to enter the Area are that: 

- it is issued only for a compelling scientific purpose which cannot be served elsewhere 

- the actions permitted wiU not jeopardize the natural ecological system in the Area 

- any management activities are in support of the objectives of the Management Plan 

- the actions permitted are in accordance with this Management Plan 

- the Permit, or an authorised copy, must be carried within the Specially Protected Area 

- a report or reports are supplied to the authority or authorities named in the Permit. 

7(i) Access to and movement within the Area 

There are no restrictions on landing from the sea, which is the preferred method. No special access points are 
specified, but landings are usually most safely made at the northeast comer of Landing Cove. 

Helicopter landings should be avoided where practicable. HeUcopters may land only on the col between hill 
89 m and the western slope of Snipe Peak, lb avoid overflying bird colonies approach should preferably be ft-om the 
south, though an approach ft'om the north is permissible. 

It is forbidden to overfly the Area below 250 m altitude above the highest point except for access to the landing 
point specified above. 

No pedestrian routes are designated but persons on foot should at all times avoid disturbances to birds or 
damage to vegetation and periglacial features. Vehicles are prohibited on Moe Island. 

7(ii) Activities which are or may be conducted within the Area, including restrictions on time and place 

- Compelling scientific research which CEinnot be undertaken elsewhere and which will not jeopardize the 
ecosystem of the Area 

- Essential management activities, including monitoring 

7(iii) Installation, modification or removal of structures 

No structures are to be erected in the Area, or scientific equipment installed, except for essential scientific or 
management activities, as specified in the Permit. 

7(iv) Location of field camps 

Parties should not normally camp in the Area. If this is essential for reasons of safety, tents should be erected 
having regard to causing the least damage to vegetation or disturbance to fauna. 

7(v) Restrictions on materials and organisms which may be brought into the Area 

No living animals or plant material shall be deliberately introduced into the Area. 



Multilateral / Antarctica 



39 



No poultry products, including food products containing uncooked dried eggs, shall be taken into the Area. 

No herbicides or pesticides shall be brought into the Area. Any other chemicals, which may be introduced for 
a compelling scientific purpose specified in the Permit, shall be removed ft«m the Area at or before the conclusion of 
the activity for which the Permit was granted. 

Fuel, food emd other materials are not to be deposited in the Area, unless required for essential purposes 
connected with the activity for which the Permit has been granted. All such materials introduced are to be removed 
when no longer required. Permanent depots are not permitted. 

7(vi) Taking or harmful interference with native flora and fauna 

This is prohibited, except in accordance with a Permit. Where animal taking or harmful interference is involved 
this should be in accordance with the SCAR Code of Conduct for Use of Animals for Scientific Purposes in Antarctica, 
as a minimum standard. 

7(vii) Collection and removal of anything not brought into the Area by the Permit holder 

Material may be collected or removed from the Area only in accordsince with a Permit, except that debris of 
man-made origin may be removed from the beaches of the Area and dead or pathological specimens of fauna or flora 
may be removed for laboratory examination. 

7(viii) Disposal of waste 

All non-human wastes shall be removed from the Area. Humsin waste may be deposited in the sea. 

7(ix) Measures that may be necessary to ensure that the aims and objectives of the Management Plan continue to be 
met 

Permits may be granted to enter the Area to carry out biological monitoring and site inspection activities, which 
may involve the collection of small amounts of plant material or small numbers of animals for analysis or audit, to 
erect or maintain notice boards, or protective measures. 

7(x) Requirements for reports 

The Principal Permit Holder for each issued Permit shall submit a report of activities conducted in the Area 
using the accepted Visit Report form suggested by SCAR. This report shedl be submitted to the authority named in 
the Permit as soon as practicable, but not later than 6 months after the visit has taken place. Such reports should be 



^outh 



""""^y Island, 




Map 1. Moe Island Specially Protected Area in relation to the South Orkney Islands 



40 



The Marine Mammal Commission Compendium 



^ Spaull /V 

h -"^ Point ^, ^^, 



Landing area for 
small boats 



Corral 
Point 




Conroy Point 




South Point 



S^ MARIHOLM 

9 



LEGEND 



Pennanent snow/ice 
(D Ice-tree area 

Q Moss vegetation 

1 Penguin colony (Chinstrap) 
Limiting oftstiore danger line 

Contour (10 m) 

Index contour (50 m) 

.226 

A Survey station (occupied) 

A 89 

A Survey station (intersected) 

12 

• Spot tieigtit (ptiotogrammetric) 



60*45' S 
500 



Map 2. Moe Island Specially Protected Area 



Multilateral / Antarctica 41 



stored indefinitely and made accessible to interested Parties, SCAR, CCAMLR and COMNAP if requested, to provide 
the dociimentation of human activities within the Area necessary for good management. 



Annex B to Measure 1 (1995) 



Management Plan for Specially Protected Area (SPA) No. 15 

SOUTHERN POWELL ISLAND AND ADJACENT ISLANDS, 
SOUTH ORKNEY ISLANDS 

1. Description of Values to be Protected 

The Area was originally designated in Recommendation IV- 15 (1966, SPANo. 15) after a proposal by the United 
Kingdom on the grounds that Southern Powell Island and the a^acent islands support substantial vegetation and a 
considerable bird and mammal fauna. The Area was representative of the natural ecology of the South Orkney Islands, 
and was rendered more important by the nucleus of an expanding colony of Antarctic fur seals (Arctocephalusgazella). 

These grounds are still relevant, though the expansion of the fur seal colony is progressing only slowly. 

The values to be protected are primarily those associated with the large concentrations of breeding birds and 
seals, and to a lesser extent, the terrestrial vegetation. 

2. Aims and Objectives 

Management of southern Powell Island and adjacent islands aims to: 

- avoid major changes in the structure and composition of the terrestrial vegetation; 

- prevent unnecessary hum£in disturbance to the Area; 

- permit research of a compelling scientific nature which cannot be served elsewhere. 

3. Management Activities 

Because of its use as an anchorage in the past, it is important that the signs, which identify the Area as a 
Specially Protected Area and point out that landing without a Permit is forbidden, are maintained. 

\^sits should be made as necessary to assess the biological composition of the Area, in pEirticular the state of 
the fur seal colony, and to maintain sign boards. 

4. Period of Designation 

Designated under ATCM Recommendation IV- 15 for an indefinite period. 

5. Maps 

Map 1 shows the location of southern Powell Island in relation to the South Orkney Islands. Map 2 shows the 
Area in greater detail. 



42 The Marine Mammal Commission Compendiui 



6. Description of the Area 

6(i) Geographical coordinates and natural features 

The Area, which is centered on latitude 60° 42'S and longitude 45° Ol'W includes all of Powell Island, South 
Orkney Islands, south of the latitude of the southern summit of John Peaks (375 m altitude), together with the whole 
of Fredriksen Island, Michelsen Island (a tidal peninsula at the southern tip of Powell Island), Christofifersen Island, 
Grey Island and unnamed adjacent islands. All but the Crutchley Ice Piedmont of southern Powell Island are ice-free 
in summer, though there are patches of semipermanent or late-lying snow in places. 

The rocks of southern Powell Island, Michelsen Island and Christoffersen Island are conglomerates of 
Cretaceous-Jurassic age. The two promontories to the west of John Peaks are Carboniferous greywacke-shales. There 
are boulders containing plant fossils in the glacial deposits around Falkland Harbour. Much of central and southern 
Fredriksen Island is composed of sandstone and dark phyUitic shales. The north-east, and probably most of the north, 
of this island is highly sheared conglomerate with laminated mudstone. The Area has a thick mantle of glacial fill, 
strongly influenced by seabird guano. 

Michelsen Island is almost devoid of land vegetation, although on the rocks there are extensive commiuiities 
of lichens dominated by nitrophilous crustose species. These are also widespread on Fredriksen Island and elsewhere 
on bird-influenced cliffs and rocks near the shore. The most diverse vegetation on Powell Island occurs on the two 
promontories and associated scree west of Falkland Hsirbour. Here, and on Christoffersen Island and the northern 
part of Fredriksen Island, moss banks with underlying peat occur. Wet areas support stands of moss carpet. There 
are extensive areas of the nitrophilous macroalga Prasiola crispa associated with the penguin colonies in the area. 
Snow alga are prominent on the ice piedmont and snow patches in late summer. 

No information is available on the arthropod fauna, but this is probably very similar to that at Signy Island. 
The springtails Cryptopygus antarcticus and Parisotoma octoculata and the mites Alaskozetes antarcticus, Stereoty- 
deus villosus and Gamasellus racovitzai occur in great niunbers beneath stones. 

There are few observations on marine biota in the Area, but this is likely to be very similar to the well- 
researched Signy Island sirea. The relatively enclosed Fzdkland-EUefsen Hzirbour area and the bay on the east side 
of the peninsula are highly influenced by glacial run-off from the ice piedmont. 

Large numbers of penguins and petrels breed throughout the Area. There are many thousand pairs of chinstrap 
penguins (Pygoscelis antarctica), mostly on Fredriksen Island. Simileirly large numbers of Adelie penguins (P. adeliae) 
occur principjdly on the southern Powell-Michelsen Island area. Here there are also several thousand pairs of gentoo 
penguins (P. papua) and a very few scattered pairs of macaroni penguins (Eudyptes chrysolophus) breeding among 
the gentoos. 

Other breeding birds include southern giant petrels (Macronectes giganteus), cape petrels {Daption capensis), 
snow petrels (Pagodroma nivea), Wilson's storm petrels (Oceanites oceanicus), blue-eyed shags (Phalacrocorax 
atriceps), Dominican gulls (Larus dominicanus), brown skuas (Catharacta lonnbergi), sheathbills (Chionis alba), and 
possibly Antarctic prions (Pachyptila desolata) and blackbeUied storm petrels (Fregatta tropica). 

Michelsen Island is the longest known breeding site in the Antarctic of fur seals since their near extermination 
in the nineteenth century. The number of pups bom annually has increased slowly but fairly steadily from 11 in 1956 
to about 60 in 1989. Thirty-four live pups were recorded in January 1994. Many non-breeding males visit the Area 
during the summer. Other seals are frequent on the beaches, mainly elephant seals (Mirounga leonina) and WeddeU 
seals (Leptonychotes weddellL). Leopard seals (Hydrurga leptonyx) and crabeater seals (Lobodon carcinophagus) are 
occasionally seen on ice floes. 

6(ii) Restricted zones within the Area 

None 

6(iii) Location of structures within the Area 

A marker board (erected January 1994) is positioned on southern Powell Island on top of a small rock outcrop 
at the back of the shingle beach on the east side of the southern promontory of the island. 



Multilateral / Antarctica 43 



On Michelsen Island the marker board (erected January 1994) is situated on a low-lying rock about 50 m from 
the shoreline at the back of a high shingle beach at the southern tip of the island. 

On ChristofFersen Island the marker board (erected January 1994) is located on a small promontory on the 
northeastern shore of the island at the entrance to Falkland Harbour. The board is located at the back of the beach 
just below a small Adelie penguin rookery. 

On Fredriksen Island a marker board (erected January 1994) is located at the northern end of the pebble 
boulder beach on the western side of the island, below a small chinstrap penguin rookery. The board is at the back of 
the beach on top of a small rock outcrop. 

There are no other structures within the Area, but various mooring chains and rings associated with the use 
of Ellefsen and Falkland Harboiu-s by floating whale factories in the 1920s are to be found on the shore. 

6(iv) Location of other Protected Areas within close proximity 

SPA No. 13, Moe Island, and SPA No. 14, Ljfnch Island, are about 35 km west by south and about 35 km west 
of the Area respectively. SPA No. 18, North Coronation Island, is about the same distance away on the northern side 
of Coronation Island. 

7. Permit Conditions 

Entry into the Area is prohibited except in accordance with a Permit issued by an appropriate national 
authority as designated under Article 7 of Annex V of the Protocol on Environmental Protection to the Antarctic 
Treaty. 

Conditions for issuing a Permit to enter the Area are that: 

- it is issued only for a compelling scientific purpose which cannot be served elsewhere; 

- the actions permitted will not jeopardise the natural ecological system in the Area; 

- any management activities are in support of the objectives of this Management Plan; 

- the actions permitted are in accordance with this Management Plan; 

- the Permit must be carried within the Specially Protected Area; 

- a report or reports are suppUed to the authority or authorities named in the Permit. 
7(i) Access to and movement within the Area 

Anchoring within Falkland Harbour and Ellefsen Harbour is prohibited except in emergency. 

No pedestrian routes are designated within the Area, but persons on foot should avoid walking on vegetated 
areas or disturbing wildlife wherever possible. Vehicles are not allowed in the Area. 

It is forbidden to overfly the Area below 250 m altitude above the highest point except for piirposes of landing 
(when essential) on the beach on the east side of the southern most tip of Powell Island. 

7(ii) Activities which are or may be conducted within the Area, including restrictions on time and place 

- Compelling scientific research which cannot be undertaken elsewhere 

- essentijd management activities, including monitoring. 



44 



The Marine Mammal Commission Compendium 



45°30'W 



^outh 



AS'OOW 



SPAN0 18 ^''^'^^y Island. 

■ Northern Coronation ' ><C 

^ Island 

^l/Dt^ . V 1 Island ^^ Island 



SPA No. 15 

Southern Powell 

Island 





Map 1. Southern Powell Island and acljacent islands Specially Protected Area in relation to the South Orkney Islands 



7(iii) Installation, modification or removal of structures 

No structures are to be erected in the Area, or scientific equipment installed, except for essential scientific or 
management activities, as specified in the Permit. 

7(iv) Location of field camps 

Parties shall not camp in the Area, except in an emergency for reasons of safety. In this case, tents should be 
erected having regard to causing the least damage to the vegetation or disturbance to fauna. 

7(v) Restrictions on materials and organisms which may be brought into the Area 

No living animals or plant material shall be deliberately introduced into the Area. 

No poultry products, including food products containing uncooked dried eggs, shall be taken into the Area. 

No herbicides or pesticides shall be brought into the Area. Any other chemicals, which may be introduced for 
a compelling scientific purpose specified in the Permit, shaU be removed ftt)m the Area at or before the conclusion of 
the activity for which the Permit was granted. 

Fuel, food or other materials are not to be deposited in the Area, unless required for essential purposes 
connected with the activity for which the Permit has been granted. All such materials are to be removed when no 
longer required. 

7(vi) Tbking or harmful interference with native flora and fauna 

This is prohibited except in accordance with a Permit. Where animal taking or harmful interference is involved 
this should be in accordance with the SCAR Code of Conduct for Use of Animals for Scientific Purposes in Antarctica, 
as a minimum standard. 

7(vii) Collection and removal of anything not brought into the area by the Permit holder 

Material may be collected or removed fi-om the Area only in accordance with a Permit, except that debris of 
man-made origin may be removed firom the beaches of the Area and dead or pathological specimens of fauna or flora 
may be removed for laboratory examinations. 



Multilateral / Antarctica 



45 




Map 2. Southern Powell Island and adjacent islands Specially Protected Area 



46 The Marine Mammal Commission Compendium 

7(viii) Disposal of waste 

All non-human wastes shall be removed from the Area. Human waste may be deposited in the sea. 

7(ix) Measures that may be necessary to ensure tfiat the aims and objectives of the Management Plan continue to be met 

Permits may be granted to enter the Area to carry out biological monitoring and site inspection activities, which 
may involve the collection of small amounts of plant material or small numbers of animals for analysis or audit, or 
to erect or maintain notice boards, or to carry out protective measures. 

7(x) Requirements for reports 

The principal Permit holder for each issued Permit shall submit a report of activities conducted in the Area 
using the accepted Visit Report form. This report shall be submitted to the appropriate authority or authorities named 
in the Permit as soon as practicable, but not later than six months after the visit has taken place. 

Such reports should be stored indefinitely by the appropriate authority and made accessible to interested Parties, 
SCAR, CCAMLR and COMNAP if requested, to provide the documentation of human activities within the Area 
necessary for good management. 



Measure 2 (1995) 
Revised Description and Management Plan for Sites of Special Scientific Interest 

The Representatives of the Consultative Parties, 

Recommend to their Governments the following Measure for approval in accordance with paragraph 4 of Article 
DC of the Antarctic Treaty; 

For the Site of Special Scientific Interest mentioned below: 

(i) the Management Plan inserted in the Annex to Recommendation XIIl-8 FaciUtation of 
scientific research: Sites of Special Scientific Interest, be deleted; 

(ii) the Management Plan of the Site of Special Scientific Interest, annexed to this Recommenda- 
tion, be inserted in the Annex to Recommendation XIII-8 Facilitation of scientific research: 
Sites of Special Scientific Interest. 

The Site of Special Scientific Interest concerned is: 

SSSI No. 11 Tramway Ridge, Mt. Erebus, Ross Island. 

Management Plan for Site of Special Scientific Interest (SSSI) No. 11 
TRAMWAY RTOGE, MT. EREBUS, ROSS ISLAND 

1. Descriptionof Values to be Protected 

The lower end of Tramway Ridge was originally designated in Recommendation XIII-S (1985, SSSI No. 11) 
after a proposal by New Zealand on the grounds that the Area supports an unusual ecosystem of exceptional scientific 
value to botanists, physiologists and microbiologists. Mt. Erebus (3794 m) is one of only three known high altitude 
localities of fiimarohc activity and associated vegetation in the Antarctic. Trsimway Ridge is an ice free area of gently 
sloping warm ground 1.5 km to the Northwest of the main crater of Mt. Erebus, located at an elevation of between 
3350 m and 3400 m. The single, as yet unidentified, moss species found in the Area is unusual in that it persists in 
the protonematal stage. An unusual variety of a common thermophilic cyanobacterium is especially noteworthy. The 



Multilateral / Antarctica 47 



plant communities which have developed on the fumaroUc soils within the Area differ significantly from those found 
elsewhere in Antarctica. The regional uniqueness of the communities is of substantial scientific interest and value. 
The very limited geographical extent of the ecosystem, its unusual biological features, its exceptional scientific values 
and the ease with which it could be disturbed through trampUng or aUen introductions, are such that the Area requires 
long-term special protection. 

2. Aims and Objectives 

Management at Tramway Ridge aims to: 

- avoid degradation of, or substantial risk to, the values of the Area; 

- prevent unnecessary human disturbance to the Area; 

- permit research on the unique vegetation and microbial communities while ensiiring they are protected 
fi^m over-sampling; 

- minimise the possibUity of introduction of alien plants, animals and microbes to the Area; 

- preserve a part of the Area, which is declared a Restricted Zone, as a reference site for future studies; 

- permit visits for management purposes in support of the objectives of the meinagement plan. 

3. Management Activities 

The following management activities are to be undertaken to protect the values of the Area: 

- Durable wind direction indicators should be erected close to the designated heUcopter landing site whenever 
it is anticipated there will be a number of landings near the Area in a given season. These should be replaced 
as needed and removed when no longer required. 

- Markers, which should be clearly visible fi'om the air and pose no significant threat to the environment, 
should be placed to mark the helicopter landing pad. 

- A line of flags should be placed to mark the preferred snowmobile route (Map A) between the US AP Upper 
and Lower Erebus Huts, which should pass no closer than 200 m to the Area. 

- Signs illustrating the location, boundaries and clearly stating entry restrictions shall be placed on posts 
marking the boundaries of the Area. 

- Signs showing the location of the Area (stating the special restrictions that apply) shall be displayed 
prominently, and a copy of this Management Plan should be kept available, in all of the research hut 
facilities located close to the summit of Mt. Erebus. 

- Markers, signs or structures erected within the Area for scientific or management purposes shall be 
maintained in good condition. 

- '\^sits shall be made as necesssiry (no less than once every five years) to assess whether the Area continues 
to serve the purposes for which it was designated and to ensure management and maintenance measures 
are adequate. 

- National Antarctic Programmes operating in the region shall consult together with a view to ensuring these 
steps are carried out. 

4. Period of Designation 

Designated for an indefinite period. 



48 The Marine Mammal Commission Compendium 



6. Maps and Photographs 

Map A: TVamway Ridge, Mt. Erebus, location image-map. Image is rectified by a fine transformation and 
scale is approximate. Photography USGS/DOSLI (SN7842) 11 November 1993. 

Map B: Tramway Ridge, protected area orthophotograph. Orthophoto and protected area boundary coordi- 
nates are tied to the Camp Area Plane Datum 1981, a local firamework, using the WGS72 spheroid. 
Precise GPS coordinates for the site will differ: these were unavailable at the time of mapping. 
Photography US Navy (SN6480) 9 February 1980. 

Map C: Tramway Ridge, protected area map. Contours are derived from a digital elevation model generated 
using a 10 m grid for the orthophotograph in Map B: accuracy ±2 m. Precise area of warm ground is 
subject to variation seasonally and inter-annually. 

Figure 1: Perspective view of the Tramway Ridge area from an elevation of 6200 m, 5000 m out ft-om the Area 
at a be£iring of 2 15° SW, showing the protected area boundary, the location of the USAP Erebus huts, 
and the preferred heUcopter landing site and snowmobile route. Image source: Map A. 

6. Description of the Area 

6(i) Geographical coordinates, boundary markers and natural features 

The boundary of the designated Area is defined as a square of 200 m by 200.8 m which encompasses most of 
the warm ground area of lower Tramway Ridge (167°06'35"E, 77°31'05"S: Map B). The Area is divided into two parts 
of almost equal size, the northern half being a Restricted Zone. The boundaries of the Area and the Restricted Zone 
(marked by signposts at each comer) and prominent features are shown on Map B. Several bound£iry signposts have 
been offset owing to dangerous ground at the actual comer point. 

The Area is in general on a gentle slope of about 5°, with much of the ice-ft'ee ground in the form of terraces 
which have a typical vertical height of about 0.5 m and steeper sides of up to 30° in slope. The steep sides of the 
terraces have the maximum development of crusts of vegetation, and it is fi-om these sides that visible steam emissions 
occiir. \^sible vegetation covers about 16% of the Area. Low ice hummocks of up to about 1 m high are distributed 
over the Area where steam has fi-ozen. Surface ground temperatures are up to about 75°C. 

The steam- warmed lithosols in the Area provide an unusual habitat of limited extent. The acid reaction of the 
soils, the constant supply of moisture by condensation of steam £ind the regulsir supply of geothermal heat produce 
conditions which contrast markedly with most Antarctic soils. There is no evidence of the presence of microin verte- 
brate animals in the soils. The vegetation comprises protonematal moss and diverse microalgae, which has developed 
on the fiimaroUc soils and differs significantly fi-om other Antarctic plant communities. The single moss species, which 
has not yet been identified, is unusual in that it has never been seen to produce leaves but persists in the protonematal 
stage. The vegetation occiu's in zones related to surface temperature. Warmest ground, fi-om about 35-60°C, is 
colonised by dark blue-green and reddish-brown mats of cyanobacteria, whereas cooler surfaces of about 10-30°C are 
dominated by green crusts of coccoid chlorophjrtes and moss protonema. Bare ground lacking a macroscopically visible 
vegetation occurs between 0-20°C. 

The algal flora comprises four cyanobacteria and 11 coccoid chlorophytes. The presence of a thermophilic 
cyanobacterium is especially noteworthy as it is an unusual variety of the hot spring cyanobacterium Mastigocladus 
laminosus, which is common elsewhere in the world. Thermophilic bacteria have been isolated at 60°C. These include 
heterotrophic and a thiosulfate-utUising autotrophic species. 

6(ii) Restricted zones within the Area 

The northern hfdf of the Area is designated a Restricted Zone in order to preserve part of the Area as a reference 
site for ftiture comparative studies, while the southern half of the Area (which is essentially similar in biology, features 
and character) is available for research progranunes and sample collection. The south boundary of the Restricted 
Zone is defined by a hne that bisects the Area into two halves (Map B), and is marked at both ends by signposts. This 
boundary may be identified on the ground approximately as an extension westwards of the south ridge line of lower 
Tramway Ridge. The other three boundaries of the Restricted Zone are defined by the boundaries of the Area. Access 



Multilateral / Antarctica 49 



to the Restricted Zone is strictly prohibited until such time as it is agreed by management plan review that access 
should be sJlowed. 

6(iii) Structures within and near the Area 

Signposts mark the comer points of the boundaries. The USAP Lower and Upper Erebus Huts are located 
approximately 1 km to the Northeast (3400 m) and Southeast (3612.5 m) respectively. 

6(iv) Location of other SPAs within close proximity of the Area 

None. 

7. Permit Conditions 

Permits may be issued only by appropriate national authorities. Conditions for issuing a Permit to enter the 
Area aie that: 

- it is issued only for scientific study of the ecosystem, or for a compelUng scientific or management purpose 
that cannot be served elsewhere; 

- access to the Restricted Zone shall be prohibited; 

- the actions permitted are not Ukely to jeopardise the natural ecological system or scientific values of the 
Area; 

- any management activities are in support of the objectives of the Management Plan; 

- the actions permitted are in accordance with the Management Plan; 

- any Permit issued shall be valid for a stated period. 

7(i) Access to and movement within the Area 

Landing of helicopters within the Area is strictly prohibited. Helicopter overflight of the Area should be avoided, 
except for essential scientific or management purposes when heUcopters shall in no instance fly lower than 30 m 
above the ground surface of the Area. Use of helicopter smoke bombs is strictly prohibited within 200 m of the Area 
and is discouraged nearby. For short-duration visits which do not require camp establishment, access by hehcopter 
should be to a designated landing site, located outside of the Area and 300 m to the Northwest (Map A and Figure 1). 
For visits which require camp establishment, helicopter access should be to the USAP Upper or Lower Erebus Huts, 
and thence on foot or by land vehicle to the edge of the Area at Trsmiway Ridge. Landing of helicopters at other sites 
close to the Area is strongly discouraged. Only those persons specificeilly authorised by Permit are allowed to enter 
the Area. No special restrictions apply to the air or land routes used to move to and fi-om the Area, although those 
traveling between the Upper and Lower Erebus Huts should keep to the preferred snowmobile route and stay at least 
200 m from the protected area boundary. 

Access into the Area shall be on foot and land vehicles are prohibited. Visitors should avoid walking on visible 
vegetation and, as far as practicable, areas of warm ground. Visitors should be aware that walking in the Area can 
compact soil, alter temperature gradients (which may change rates of steam release), and break thin ice crusts which 
may form over warm ground, with resulting damage to soil and biota below. The presence of snow or ice surfaces is 
not a guaranteed indication of a suitable pathway: therefore every reasonable effort should be made to minimise the 
effects of walking activity. Pedestrian traffic should be kept to the minimum necessary consistent with the objectives 
of any permitted activities. 



50 The Marine Mammal Commission Compendium 

7(ii) Activities that are or may be conducted in the Area, including restrictions on time or place 

- Scientific research which will not jeopardise the ecosystem of the Area; 

- Essential management activities, including monitoring; 

- Entry to the Restricted Zone is prohibited. 

7(iii) Installation, modification or removal of structures 

No structures, except for boundary markers and signs, are to be erected within the Area except as specified in 
a Permit. All scientific equipment installed in the Area must be approved by Permit and clearly identified by country, 
name of the principal investigator and year of installation. All such items should be made of materials that pose 
minimal risk of contamination of the Area. RemovEil of specific equipment for which the Permit has expired shall be 
the responsibility of the authority which granted the original Permit. 

7(iv) Location of field camps 

Camping required for work in the Area should be near the existing USAP Upper or Lower Erebus Hut sites, 
and is discouraged anywhere within 500 m of the boundaries of the Area (Map A). 

7(v) Restrictions on materials and organisms which can be brought into the Area 

lb avoid compromising the microbial ecosystem for which this site is protected no living animals, plant material 
or microorganisms shall be deUberately introduced into the Area and precautions shall be taken against accidental 
introductions. No herbicides or pesticides shall be brought into the Area. Any other chemicals, including radio-nuclides 
or stable isotopes, which may be introduced for scientific or management purposes specified in the Permit, shall be 
removed fi-om the Area at or before the conclusion of the activity for which the Permit was granted. 

Fuels are not to be brought into the Area. Food shaU not be consumed within the Area. Equipment and other 
materials are not to be stored in the Area, unless required for essential purposes connected with the activity for which 
the Permit has been granted. All such materials introduced shall be for a stated period only, shall be removed at or 
before the conclusion of that stated period, and shall be stored and handled so that risk of their introduction into the 
environment is minimised. 

7(vi) Taking of or harmful interference with native flora or fauna 

Taking of or harmfiil interference with native flora or fauna is prohibited, except in accordance vrith a Permit. 
Where taking of animals or harmful interference is involved this should be in accordance with the SCAR Code of 
Conduct for the Use of Animals for Scientific Purposes in Antarctica, as a minimum standard. 

7(vii) Collection or removal of anything not brought into the Area by the Permit holder 

Material may be collected or removed ft'om the Area only in accordance with a Permit. Material of human 
origin, not brought into the Area by the Permit Holder, but which is likely to compromise the values of the Area may 
be removed from any part of the Area, including the Restricted Zone. 

7(viii) Disposal of waste 

All wastes, including all human wastes, must be removed from the Area. Excretion of human wastes is 
prohibited within the Area. 

7(ix) Measures that are necessary to ensure that aims and objectives of the Management Plan can continue to be met 

1. The Permit, or an authorised copy, must be carried within the Area. 

2. Permits may be granted to enter the Area to carry out biological monitoring and site inspection activities, 
which may involve the collection of small samples for analysis or audit to erect or maintain signposts, 
or protective measures. 



Multilateral / Antarctica 51 



3. lb help maintain the scientific value derived from the unique communities found at Tramway Ridge 
visitors shall take special precautions against introductions, especially when visiting several thermal 
regions in a season. Of particular concern are microbial or vegetation introductions sourced from: 

- thermal areas, both Antarctic non-Antarctic; 

- soils at any other Antarctic sites, including those near stations; 

- soils from regions outside Antarctica. 

lb this end, visitors shall take the following measures to minimise the risk of introductions: 

(a) Any sampling equipment or markers brought into the Area shall be sterilised and maintained in a sterile 
condition before being used within the Area, lb the maximum extent practicable, footwear and other 
equipment used or brought into the Area (including backpacks or carry-bags) shall be thoroughly cleaned 
or sterilised and maintained in this condition before entering the Area; 

(b) Sterilisation should be by an acceptable method, such as by UV Ught, autoclave or by washing exposed 
surfaces in 70% ethanol solution in water. 

(c) Sterile protective overclothing shall be worn. The overclothing shall be suitable for working at tempera- 
tures of -20°C or below eind comprise at a minimum sterile overalls to cover arms, legs and body and 
sterile gloves suitable for placing over the top of cold-weather gloves. 

7(x) Requirements for reports 

Parties should ensure that the principal holder of each permit issued submit to the appropriate authority a 
report describing the activities undertaken. Such reports should include, as appropriate, the information identified 
in the Visit Report form suggested by SCAR. Parties should maintain a record of such activities and, in the Annual 
Exchange of Information, should provide summary descriptions of activities conducted by persons subject to their 
jurisdiction, in sufficient detail to allow evaluation of the effectiveness of the management plan. Parties should, 
wherever possible, deposit originals or copies of such original reports in a publicly accessible archive to maintain a 
record of usage, to be used both in any review of the management plan and in organising the scientific use of the Area. 



Unreproducible image: Map A - Tramway Ridge, Mt. Erebus: Antarctic Specially Protected Area No. XX 
Location image-map. 



Unreproducible image: Map B - Tramway Ridge, Mt. Erebus: Antarctic Specially Protected Area No. XX 



Unreproducible image: Figure 1 - Tramway Ridge, Mt. Erebus: Antarctic Specially Protected Area No. XX 
Perspective view fi-om 215°SW 



52 



The Marine Mammal Commission Compendium 




Map C - Tramway Ridge, Mt. Erebus: Antarctic SpeciaUy Protected Area 



No. XX 



Multilateral / Antarctica 53 



Measure 3 (1995) 



Antarctic Protected Area System: 
Specially Protected Areas 

Specially Protected Area No. 24: Pointe-Geologie Archipelago (Jean Rostand, Alexis Carrel, Lamarck and 
Claude Bernard Islands, Bon Docteur Nunatak) 

The Representatives of the Consultative Parties, 

Recalling Recommendations XV-8 and XV-9; 

Noting that a Management Plan for the above Area has been approved by the Scientific Committee on Antarctic 
Research (SCAR); 

Considering that the Point Geologic Archipelago is important as a representative area of considerable 
biological, geological and aesthetic value; contains a high diversity of animals and plants and is an important area 
for scientific research; and that long-term research and monitoring programmes on bird colonies and geology have 
been conducted in the area since 1952; 

Recommend to their Governments the following Measure for approval in accordance with paragraph 4 of Article 
DC of the Antarctic Treaty: 

That the following Area shall be inserted in Annex B, Specially Protected Areas, of the Agreed Measures 
for the Conservation of Antarctic Fauna and Flora, together with the annexed Management Plan: 

Specially Protected Area No. 24 

Jean Rostand, Alexis Carrel, Lamarck eind Claude Bernard Islands, Bon Docteur Nunatak and Breeding Marine 
Emperor Penguin Colony (140 to 140° 02'E; 66° 39'30" to 66°40'33'' S) in the heart of Pointe-Geologie Archipelago, 
coastal area of AdeUe Land in the vicinity of Astrolabe Glacier. 



Annex to Measure 3 (1995) 



SPECIALLY PROTECTED AREA NO. 24 
POINTE-GEOLOGIE ARCHIPELAGO 

JEAN ROSTAND, ALEXIS CARREL, LAMARCK AND CLAUDE 

BERNARD ISLANDS, BON DOCTEUR NUNATAK AND MARINE 

EMPEROR PENGUIN BREEDING COLONY 

MANAGEMENT PLAN 

1. DESCRIPTION OF VALUES TO BE PROTECTED 

Four islands and the breeding site of Emperor penguins are proposed for a new Specially Protected Area on 
the ground that it provides a representative sample of aesthetic, biological and geological values of terrestrial 
Antarctic ecosystems. 



54 The Marine Mammal Commission Compendium 



One mammal specie, Weddell seal {Leptonychotes weddeili) and various bird species are nesting here: Emperor 
penguin (Aptenodytes forsteri); South Polar skua (Catharacta maccormicki); Adelie penguin (pygoscelis adeliae); 
WUson's storm petrel {Oceanites oceanicus); Southern giant petrel [Macronectes giganteus); Snow petrel (Pagodroma 
nivea); Capy petrel (Daption capensis). 

Well-marked hills display asymetrical transverse profiles with gently dipping northern slopes compared to the 
steeper southern ones. The terrain is affected by numerous cracks and fractures leading to very rough surfaces. The 
basement rocks mainly consist of sillimanite, cordierite and garnet-rich gneisses which Eire intruded by abundant 
dikes of pink anatexites. The lowest parts of the islands are covered by morainic boiilders (from a few centimeters to 
more than a meter across). 

Long-term research and monitoring programmes have been continuing a long time already (since 1952 or 1964 
according to the species). A data base implemented in 1981 is directed by C.E.B.C. (Centre d'Etudes biologiques de 
Chize). 

The Emperor penguins breeding colony is a site of Special Scientific Interest which could further be included 
in the Convention on Conservation of Antarctic Marine Living Resources Environmental Monitoring Programme 
(CCAMLR/CEMP) in order to achieve the Convention's requirements. 

2. AIMS AND OBJECTIVES 

Management of Point-G^ologie area aims to: 

* prevent unnecessary disturbance on the area face to the growing flux of cruising tourist ship. 

* permit research of a compelling scientific nature which cannot be served elsewhere. 

* avoid major change to the structure and composition of flora and fauna and the association of different 
species of vertebrates harboured in the area, which therefore constitutes one of the most representative for 
both faunistic and scientific interest on Adelie coast. 

* permit research on ethological, ecological, physiological and biochemical programmes in progress especially 
those related to demographic monitoring and impact assessment of surrounding human activities compris- 
ing tourism. Physiology smd biochemistry programmes relating to fasting mechanisms and thermogenesis 
of emperor penguins could be pursued in compUance with permit provisions. 

* permit research in geology with a particular attention to the programmation of visits, especially when 
thermomechanical means for SEunpling are required. 

3. MANAGEMENT ACnvmES 

The Plan is kept under review to ensure that the values of the area are wholly protected. Any direct 
management action to the area would be subject to an environmental impact assessment before being undertaken. 

Inspection visits are restricted to essential management purposes. 

4. PERIOD OF DESIGNATION 

The Area is designated for an indefinite period. 

5. MAPS 

Map 2 shows with dotted lines location of each island and other zones of the area inside Pointe-G^ologie 
Archipelago. 



Multilateral / Antarctica 



55 




56 



The Marine Mammal Commission Compendium 



66°39'30" 



Colonies of 

D Adelie penguins 

O Soutliern giant petrels 

•^ Snow petrels 

• Cape petrels 
>- landing point 
I building 




Map 1. Pointe G^ologie Archipelago showing the SpeciEilly Protected Area (dotted hnes) and avifavina breeding sites. 
The South polar skuas territories and the Wilson's storm petrels nests are not mapped (see table 1). The additional 
access of terrestrial vehicles to the continent (Nunatak) is Indicated with large arrows. 



Multilateral / Antarctica 



57 



DESCRIPTION OF THE AREA 



Geographical coordinates, boundary markers and natural features 



Jean ROSTAND. Alexis CARREL. LAMARCK and Claude BERNAEID Islands. Bon Docteur Nunatak and 
Emperor penguins breeding colony are situated in the heart of Pointe-G^ologie Archipelago, coastal area of Adelie 
Land (140 to 140°02'E; eB'SS'SO" to 66°40'30''S). 

The area consists of the southernmost exposure of the Pointe-Geologle Archipelago, between the Petrels Island 
and the Western edge of the Astrolable glacier. It is a very large ice free ground within AdeUe Land. 

As a whole, the surface of the outcropping rocks does not exceed 2 squeire kilometers. The highest points are 
distributed along NE-SW ridges (CI. Bernard Island: 47.6m; J.B. Lamarck Island: 22.2m; J. Rostand Island: 36.39m; 
Carrel Island: 28.24m and Nunatak: 28.50m). During the summer, only the southern flanks of the islands are still 
covered by compressed snow caps. There are no boundary markers since natural features delimit the wholly protected 
islands. However, markers could further be set up in Nunatak. No tracks or roads exist in the area. 

Table 1. Annual breeding area of seabirds in the Specially Protected Area (SPA). The population breeding within the 
SPA is given compared to the Pointe Geologie (PG) population (from Thomas 1986). 



Islands 



Emperor 
penguin 



AdeUe 
penguin 



South 
polar skua 



Snow 
petrel 



Cape 
petrel 



Wilson's Southern 

storm petrel giant petrel 



Claude Bernard 
Lamarck 
Jean Rostand 
Alexis Carrel 
Nunatak 



3421 


5 


153 


192 


178 


1007 


1 


38 


15 


45 


4793 


3 


53 


18 


35 


4075 


6 


25 




72 


1961 


1 


11 




41 



Emperor Penguin 
Breeding Colony 


3119 


- 


- 


■ 


■ 


" 


" 


Tbtal 


3119 


15257 


16 


280 


225 


371 


11 


%SPA/P 


100 


71 


67 


36 


68 


31 


79 



Table 2. Presence of birds on breeding colonies. 



Emperor AdeUe South Snow Cape Wilson's Southern 

penguin penguin polar skua petrel petrel storm petrel giant petrel 



First arrival 
First laying 
Last departure 



March October 

May November 

January March 



October September October November July 

November November November December October 

March March March March April 



58 The Marine Mammal Commission Compendium 



Table 3. Sensibility to human disturbance £ind status of the Pointe Geologic populations. 



Emperor Adelie South Snow Cape Wilson's Southern 

penguin penguin polar skua petrel petrel storm petrel giant petrel 



Sensibility to High Medium Low Medium High High High 

human disturbance 

Status 1952-1984 decreasing increasing stable ? ? ? decreasing 

Status 1984-1993 stable increasing stable stable stable ? stable 

ii) Identification of restricted or prohibited zones 

Access to every part of the area is prohibited unless authorized by a permit. 

Location of breeding colonies is shown on the map. The birds are present in colonies from October to March, 
except Emperor penguins, which breed in winter (Table 2). Their sensibihty to human disturbance varies depending 
on the species (Table 3). The implantation of the Dumont dTJrville station has resulted in a drastic decrease of the 
populations of Emperor penguins and Southern giant petrels in Pointe-G6ologie Archipelago. For the last ten years 
the breeding areas of these birds have been protected and the populations are now consecutively stable (Table 3). 

No one, except permit holders, is allowed to approach or to distxu'b the Emperor penguin colony in siny manner 
when eggs are incubating from mid-July, to mid-December when the chicks fledge. The psirticularly sensitive Emperor 
penguins are equally protected beyond the definite limits of their breeding area since the colony is not always located 
in the ssime place. 

The southeastern part of Jean Rostand Island is designated as a Restricted Zone in order to preserve the 
remaining breeding colony of Southern giant petrels. All access to the Restricted Zone is prohibited during the 
breeding period from August to February. The access is restricted to one ornithologist permit holder in order to monitor 
the population three times each year. The boundary of the Restricted Zone is defined by a 20 meters-width buffer 
zone £iround the colony and is msirked on the soil. The prohibition of access to the Restricted Zone shall be for an 
indefinite period, but shall be subject to reevaluation each time the Management Plan is reviewed. 

Hi) Location of structures in the Area 

Prevost hut and a shelter are located on ROSTAND Island. There are no other buildings sinywhere else in the 
Area. 

iv) Location in or near the area of other "Antarctic Specially Protected Areas" or "Antarctic Specially Managed 
Areas". 

The region nearby is being considered for an "Antarctic Specially Managed Area" (ASMA) including Dumont 
dTJrville station and other surrounding areas of activities. 

7. CONDinONS UNDER WHICH PERMITS MAY BE GRANTED 

i) Access to and movement within the Area 

No helicopters, nor terrestrial vehicles are authorised within the Area. No overflights over the Area, either by 
heUcopters or other aeroplanes are authorized. 

Access to the area is therefore only permitted by foot or by zodiacs (in summer). 

However, very rare departures of terrestrial vehicles from Nunatak are allowed. Only when sea ice conditions 
hinder firom proceeding otherwise and with special attention to the presence of birds in the area. 

Access to and movement within the area shall, in any case, be limited in order to avoid unnecessary disturbance 
to birds, especially by crossing their pathways and to ensure that breeding areas or their access are not damaged or 
endangered. 



Multilateral / Antarctica 59 



ii) Activities which are or may be conducted within the Area, including restrictions on time and place 

- compelling scientific activities which cannot be conducted elsewhere and for necessary management 
activities with regard to the special provisions relating to Emperor penguins and the Restricted Zone of 
Southern Giant Petrels (see 6.ii). 

- visitors granted entry in the Area by a permit shall ensure that no disturbances will occur from their visits 
to monitoring programmes. 

Hi) Installation, modification or removal of structures 

No structures are to be erected in the area or scientific equipment installed except for essential scientific or 
management activities as specified in the permit. 

iv) The location of field camps 

Only safety tents should be erected with the intent of causing the least damage or disturbance to fauna. 

v) Restriction on materials and organisms which may be brought into the Area 

- no living animals or plant materials shall be deliberately introduced into the Area 

- no poultry products, including food products containing uncooked dried eggs should be taken into the Area 

- no chemicals shall be brought into the Area, except chemicals which may be introduced for a compelling 
scientific purpose as specified in the permit. Any chemical introduced shall be removed from the Area at or 
before the conclusion of the activity for which the permit was granted 

- fuel, food and other materials are not to be deposited in the area, unless required for essential purposes 
connected with the activity for which the permit has been granted. Such materials introduced are to the 
removed when no longer required. Permanent depots are not permitted. 

vi) The taking of or harmful interference with flora and fauna 

Taking of or harmful interference with native flora and fauna is prohibited, except in accordance with a permit. 
Where animal taking or harmfiil interference is involved, this should be in accordance with the SCAR Code of Conduct 
for the Use of Animals for Scientific Purposes in Antarctica, as a minimum standard. 

vii) The collection or removal of anything not brought into the Area by the permit holder 

Collection or removal of anything not brought into the Area by a permit holder is prohibited unless specified 
in the permit for scientific or management purposes. However, debris of man-made origin may be removed from the 
area and dead or pathological specimens of fauna or flora may be removed for laboratory examination. 

viii) The disposal of waste 

AH non-human wastes shall be removed from the Area. 

ix) Measures that may be necessary to ensure that the aims and objectives of the Management Plan can continue 
to be met 

Permits may be granted to enter the Area to carry out monitoring, other scientific programmes and sites 
inspection activities, which may involve the collection of small amounts of biological materials and animals. 

Permits shall specify the maximum number of persons allowed entry at one time. 

Visits to the Area should be kept to the minimum necessary to achieve the scientific and management 
objectives. 



60 The Marine Mammal Commission Compendium 



x) Requirements for reports of visits to the Area 

Parties should ensure that the principal holder of each permit issued submit to the appropriate authority a 
report describing the activities undertaken. Such reports should include, as appropriate, the information identified 
in the Visit Report form suggested by SCAR. Parties should maintain a record of such activities and, in the Annual 
Exchange of Information, should provide summary descriptions of activities conducted by persons subject to their 
jurisdiction, in sufficient detail to allow evjduation of the effectiveness of the management plan. Parties should, 
wherever possible, deposit originals or copies of such original reports in a publicly accessible archive to maintain a 
record of usage, to be used both in any review of the management plan and in organising the scientific use of the Area. 



MEASURE 4 (1995) 



ANTARCTIC PROTECTED AREA SYSTEM: 
NEW fflSTORIC SITES AND MONUMENTS 

The Representatives of the Consultative Parties, 

Recalling the Measures adopted in Recommendations l-DC, V-4, VI-14, VII-9, XII-7, XIII-16, and XIV-8; 

Reconune nd to their Governments the following Measure for approval in accordance with paragraph 4 of Article 
IX of the Antarctic Treaty; that the following historic monuments be added to the "List of Historic Monuments 
Identified and Described by the Proposing Government or Governments" annexed to Recommendation VII-9. 

- Port Lockroy, Base A , on Goudier Island, ofTWiencke Island, Antarctic Peninsula (Lat 64°49' S, Long 63°31' 
W). Of historic importance as an Operation Tabarin base and for scientific research. 

- Argentine Islands, Base F (Wordie House) , South-west comer of Winter Island, one of the group known as 
the Argentine Islands (Lat 65°15' S, Long 64°16' W). Of historic interest as an example of an early British 
scientific base. 

- Horseshoe Island, Base Y , Marguerite Bay, West Graham Land (Lat 67°49' S, Long 67° 18' W). Noteworthy 
as a relatively unaltered and completely equipped base of a later period. Blaiklock, the refuge hut nearby, 
is taken to be an integral part of the base. 

- Stonington Island, Base E , Northern end of Stonington Island, Marguerite Bay, West Graham Land (Long 
68° 11' S, 67°00' W). Of historical importance in the early period of exploration and later British Antarctic 
Survey (BAS) history of the 1960s and 70s. 

- Message Post, Svend Fojm Island . A pole with a box attached was placed on 16 January 1895 during the 
whaling expedition of Henryk Bull and Captain Leonard Kristensen of the ship "Antarctica." It was 
examined and found intact by the British Antarctic Expedition of 1898-1900 and then sighted from the 
beach by the USS Edisto in 1956 and USCGS Glacier in 1965 (latitude approximately 71°52'S, longitude 
171°10'E). 

- Prestrud's Cairn , at the foot of main bluff Scott Nunataks, Queen Alexandra Mountains. A small rock cairn 
at the foot of the main bluff on the north side of the Aunataks by Lieutenant K Prestrud on 3 December 
1911 during the Norwegian Antarctic Expedition of 1910-1912 (latitude 77°12'S, longitude 154°30'W). 

- Rock Shelter "Granite House", Cape Geology, Granite Harbour. This shelter was constructed in December 
1911 for use as a field kitchen by Taylor's second geological excursion during the British Antarctic 
Expedition of 1910-1913. It was enclosed on three sides with granite boulder walls and used as a sledge to 
form a roof tree which supported seal skins anchored by heavy rocks (latitude 77°00'E, longitude 162° 32'E). 
A 1981 inspection of the "house" found it in good condition although the sledge had begun to disintegrate. 
The most recent visit to the site in 1990 reported that this deterioration was accelerating. 



Multilateral / Antarctica 61 



Depot, Hells Gate Moraine , Inexpressible Isl£ind, Terra Nova Bay. An emergency depot, consisting of a sledge 
loaded with supplies and equipment, was placed on 25 January 1913 by the British Antarctic Expedition 
at the close of the 1910-1913 expedition. The depot was established by the crew of the Tferra Nova to provide 
security in the event the ship was unable to return and pick them up (latitude 74°56'S, longitude 163°48'E). 
In 1994, the sledge and supplies were removed in order to stabilise their condition as wind sind scoria 
particles had started to cause rapid deterioration. 

Message Post, Cape Crozier. Erected on 22 January 1902 by Captain Robert F Scott's Discovery Expedition 
(the National Antarctic Expedition of 1901-1904) and consists of a post to which a metal cylinder was 
attached containing an account of the Expedition's movements. It was intended to provide information for 
the expedition relief ships (latitude 77°27'S, longitude 69°16'E). The message post, although weathered, 
still stands, its grain blasted into high relief by countless storms. The record cylinder no longer exists. 

Message Post, Cape Wadworth, Coulman Island. A metal cylinder nailed to a red pole 8 meters above sea 
level placed by Captain R. F. Scott on 15 January 1902. He also painted the rocks behind the post red and 
white to make it more conspicuous (latitude 73°19'S, longitude 169°47'E). 

Whalers Bay Whaling Station , Whalers Bay, Deception Island. Established in 1906 by Captain Adolfo 
Andresen. Of historical importance as an example of an Antarctic whaling station. 



Measure 5 (1995) 

fflSTORIC SITES AND MONUMENTS: AMENDMENT 

The Representatives of the Consultative Parties, 

Recalling Recommendations I-DC, VI-14, VII-9, XII-7, XIII-16 and XIV-8; 

Recommend to their Governments the following Measure for approval in accordance with psiragraph 4 of Article 
DC of the Antarctic Treaty: 

That the description of Historic Site Number 14, which is contained in the "List of Historic Monuments 
Identified and Described by the proposing Government or GJovemments" annexed to Recommendation 
VII-9, be amended to read: 

Site Number 14: Inexpressible Island, Terra Nova Bay, Scott Coast 

"Site of ice cave at Inexpressible Bay, Tferra Nova Bay, constructed in March 19 12 by Victor Campbell's Northern 
Party, British Antarctic Expedition, 1910-13 (Lat 70°54'S, Long 163°43'E). The Party spent the wdnter of 1912 in this 



62 The Marine Mammal Commission Compendium 



Annex B 
Decisions 



Decision 1 (1995) 
Measures, Decisions and Resolutions 



Measures 



(a) A text which contains provisions intended to be legally binding once it has been approved by all the 
Antarctic Treaty Consultative Parties will be expressed as a Measure recommended for approval in 
accordance with paragraph 4 of Article DC of the Antarctic Treaty, and referred to as a "Measure." 

(b) Measures will be numbered consecutively, followed by the year of adoption. 

2. Decisions 

(a) A decision taken at an Antarctic Treaty Consultative Meeting on an internal organizationEil matter will 
be operative at adoption or at such other time as may be specified, and will be referred to as a "Decision." 

(b) Decisions will be numbered consecutively, followed by the year of adoption. 

3. Resolutions 

(a) A hortatory text adopted at an Antarctic Treaty Consultative Meeting will be contained in a Resolution. 

(b) Resolutions will be numbered consecutively, followed by the year of adoption. 

4. Final Reports of ATCMs 

(a) Part II, Annex A of the Final Report of each Antarctic Treaty Consultative Meeting will contain the full 
text of Measiires adopted at the Meeting. 

(b) Part II , Annex B of the Final Report of each Antsirctic Treaty Consultative Meeting will contain the full 
text of any Decisions adopted at that Meeting. 

(c) Part II, Annex C of the Finsd Report of each Antarctic Treaty Consultative Meeting will contain the ftill 
text of any Resolutions adopted at that Meeting. 

5. Nothing in this Decision affects in any way anything done by previous Antarctic Treaty Consultative Meetings. 

6. This Decision will be operative at adoption. 



Multilateral / Antarctica 63 



Decision 2 (1995) 



Rules of Procedure: Amendment 

Rule 24 of the Rules of Procedure, as amended at the XVTIth Antarctic Treaty Consultative Meeting, shall be 
replaced by the following: 

"Measures, Decisions, and Resolutions and Final Report 

24. Without prejudice to Rule 21, Measures, Decisions and Resolutions, as referred to in Decision 1 ( 1995), shall 
be adopted by the Representatives of all Consultative Parties present and will thereafter be subject to the provisions 
of Decision 1 (1995)." 



MULTILATERAL 



Environment and 
Natural Resources 



65 



Convention on Conservation of Nature 
in the South Pacific, Apia, 1976 



Done at Apia 12 June 1976 

Entered into force 28 June 1990* 

Depositary: Western Samoa 

Primary source citation: Copy of text provided by 
lUCN/the World Conservation Union 



CONVENTION ON CONSERVATION OF NATURE 
IN THE SOUTH PACIFIC, APIA, 1976 

THE CONTRACTING PAMTIES. 

HAVING IN MIND the Principles set out in the Declaration adopted by the United Nations Conference on the Human 
Environment at Stockholm in June 1972; 

CONVINCED of the urgency for action inspired by these Principles, especially in relation to the maintenance of the 
capacity of the earth to produce essential renewable natural resources, the safeguarding of representative samples 
of natural ecosystems, and the safeguarding of the heritage of wildlife and its habitat; 

CONSCIOUS of the importance of natural resources from a nutritional, scientific, educational, cultural and aesthetic 
point of view; 

CONSCIOUS also of the dangers threatening these irreplaceable resources; 

RECOGNIZING the special importance in the South Pacific of indigenous customs and traditional cultural practices 
and the need to give due consideration to such matters; 

DESIROUS of taking action for the conservation, utilization and development of these resources through carefiil 
planning and management for the benefit of present and future generations; 

HAVE AGREED as follows: 



ARTICLE I 

For the purpose of this Convention: 

(a) "Protected area" means national park or national reserve; 



' The United States is not a party to this Convention. 



67 



68 The Marine Mammal Commission Compendiua 



(b) "National park" means an area established for the protection and conservation of ecosystems, containing animal 
and plant species, geomorphological sites and habitats of special scientific, educative and recreational interest 
or a natural landscape, of great beauty, which is under the control of the appropriate pubhc authority and open 
to visits by the pubhc; 

(c) "National reserve" means an area recognized and controlled by the appropriate public authority and estabUshed 
for protection and conservation of nature, and includes strict nature reserve, managed nature reserve, wilderness 
reserve, fauna or flora reserve, game reserve, bird sanctuEiry, geological or forest reserve, archaeological reserve 
and historical reserve, these being reserves affording various degrees of protection to the natural and cultural 
heritage according to the purposes for which they Jire established. 



ARTICLE n 

Each Contracting Party shall, to the extent that it is itself involved, encourage the creation of protected areas 
which together with existing protected areas will safeguard representative samples of the natiiral ecosystems 
occurring therein (particular attention being given to endangered species), as well as superlative scenery, 
striking geological formations, and regions and objects of aesthetic interest or historic, cultural, or scientific 
value. 

Each Contracting Party shall notify the body charged with the continuing bureau duties under this Convention 
of the estabUshment of any protected area and of the legislation and the methods of administrative control 
adopted in connection therewith. 



ARTICLE m 

The boundaries of national parks shall not be altered so as to reduce their areas, nor shall any portions of such 
parks be capable of aUenation, except after the fullest examination. 

The resources of national parks shall not be subject to exploitation for commercial profit, except after the ftillest 
examination. 

The hunting, killing, capture or collection of specimens (including eggs and shells) of the fauna and destruction 
or collection of specimens of the flora in national parks shall be prohibited, except when carried out by or under 
the direction or control of the appropriate authorities or for duly authorized scientific investigations. 

Provision shall be made for visitors to enter and use national parks, under appropriate conditions, for 
inspirational, educative, cultural and recreative purposes. 



ARTICLE IV 

National reserves shall be maintained inviolate, as far as practicable, it being understood that in addition to such 
uses as are consistent with the purposes for which a national reserve was established, permission may be given to 
carry out scientific investigations. 



ARTICLE V 

The Contracting Parties shall, in addition to the protection given to indigenous fauna and flora in protected 
areas, use their best endeavours to protect such fauna and flora (special attention being given to migratory 
species) so as to safeguard them from unwise exploitation and other threats that may lead to their extinction. 



Multilateral / Environment and Natural Resources 69 



2. Each Contracting Party shall establish and maintain a list of species of its indigenous fauna and flora that are 
threatened with extinction. Such lists shall be prepared as soon as possible after this Convention has come into 
force and shall be communicated to the body charged with the continuing bureau duties under this Convention. 

3. Each Contracting Party shall protect as completely as possible as a matter of special urgency and importance 
the species included in the Ust it has established in accordance with the provisions of the last preceding 
paragraph. The hunting, kilUng, capture or collection of specimens (including eggs and shells) of such species 
shall be allowed only with the permission of the appropriate authority. Such permission shall be granted only 
under special circumstances, in order to further scientific purposes or when essential for the msiintenance of the 
equilibrium of the ecosystem or for the administration of the area in which the animal or plant is found. 

4. Each Contracting Party shall carefully consider the consequences of the deUberate introduction into ecosystems 
of species which have not previously occurred therein. 



ARTICLE VI 

Notwithstanding the provisions of Articles III, FV and V, a Contracting Party may make appropriate provision for 
customary use of areas and species in accordance with traditional cultural practices. 



ARTICLE VII 

1. The Contracting Parties shall cooperate amongst themselves in promoting the objectives of this Convention, 
especially within the framework of the South Pacific Commission. 

2. The Contracting Parties shall wherever practicable conduct research relating to the conservation of nature. They 
shall as appropriate coordinate such research with research carried out by other Parties. They shall cooperate 
in the exchange of information on the results of such research and on the management of protected areas and 
of protected species. 

3. The Contracting Parties shall cooperate in the interchange and training of personnel for the conservation of 
nature. 

4. The Contracting Parties shall work towards harmonization of objectives relating to the conservation of nature. 

5. With a view to attaining the objectives of this Convention the Contracting Parties shall examine the possibility 
of developing programmes of education and public awareness relating to conservation of nature. 



ARTICLE Vra 

1. The Contracting Parties shall maintain consultations with one another with the object of giving effect to the 
provisions of this Convention. 

2. The South Pacific Commission shall provide for the continuing bureau duties under this Convention, including 
the circulation to the Contracting Parties of information and documents to be provided by the Parties under the 
provisions of the Convention. 



ARTICLE IX 

AState may at the time of deposit of its instrument of ratification, acceptance, approval or accession declare that the 
provisions of this Convention on Conservation of Nature in the South Pacific do not apply to its territories outside 
the territorial scope of the South Pacific Commission. 



70 The Marine Mammal Commission Compendium 



ARTICLE X 

This Convention shall be open for signature at Apia until 31 December 1977 by all States members of the South 
Pacific Commission or eligible to be invited to become members of that Commission. 



ARTICLE XI 

This Convention shall be subject to ratification, acceptance or approval. Instruments of ratification, acceptance or 
approval shall be deposited with the Government of the Independent State of Western Samoa which shall be the 
Depositary. 



ARTICLE Xn 

This Convention shall be open indefinitely for accession by the States referred to in Article X and by other States 
which are unanimously invited by the Contracting Parties to accede to it. Instruments of accession shall be deposited 
with the Depositary. 



ARTICLE Xm 

This Convention shall enter into force ninety days after the date of deposit of the fourth instrument of ratification, 
acceptance, approval or accession with the Depositary. 

For each State which ratifies, accepts or approves this Convention or accedes thereto after the deposit of the 
fourth instrument of ratification, acceptance, approval or accession, the Convention shall enter into force ninety 
days after the deposit by such State of its instrument of ratification, acceptance, approval or accession. 



ARTICLE XIV 

Any Contracting Party many denounce this Convention by written notification to the Depositary at any time after 
five years fi-om the date of entry into force of the Convention. The denunciation shall take effect twelve months after 
the Depositary has received the notification. 



ARTICLE XV 

1. The original of this Convention in the EngUsh and French languages, each version being equally authentic, shall 
be deposited with the Depositary, which shall transmit certified copies thereof to all States that have signed it 
or deposited instruments of accession to it. 

2. The Depositary shall inform all signatory and acceding States of signatures, deposits of instruments of 
ratification, acceptance, approval or accession, entry into force of this Convention, and notifications of denun- 
ciation. 

3. The Depositary shall transmit certified copies of this Convention to the Secretary-General of the United Nations 
for registration and publication in accordance with Article 102 of the Charter of the United Nations. 

IN WITNESS WHEREOF the undersigned, being duly authorized by their Governments, have signed this Conven- 
tion. 

DONE at Apia this twelfth day of June One Thousand Nine Hundred and Seventy-Six. 



Agreement on the Conservation of Bats 
in Europe, London, 1991 



Done at London 10 September 1991 

Not in force* 

Depositary: United Kingdom 

Primary source citation: Copy of text provided 
by the United Nations 



AGREEMENT 
ON THE CONSERVATION OF BATS IN EUROPE 

The Contracting Parties 

Recalling the Convention on the Conservation of Migratory Species of Wild Animals opened for signature in 
Bonn on 23 June 1979; 

Recognising the unfavourable conservation status of bats in Europe and non-European Range States and in 
particular the serious threat to them from habitat degradation, disturbance of roosting sites and certain pesticides; 

Conscious that the threats facing bats in Europe and non-European Range States are common to both 
migratory and nonmigratory species and that roosts are often shared by migratory and nonmigratory species; 

Recalling that the first meeting of the Conference of the Parties to the Convention on the Conservation of 
Migratory Species of \^d Animals held in Bonn in October 1985 agreed to add European species of CHIROPTERA 
(Rhinolophidae and Vespertilionidae) to Appendix II of the Convention and instructed the Secretariat of the 
Convention to take appropriate measures to develop Ein Agreement for these species; 

Convinced that the conclusion of an Agreement for these species would greatly benefit the conservation of bats 
in Europe; 

Have agreed as foUows: 



ARTICLE I 
Scope and Interpretation 

For the purposes of this Agreement: 

(a) "Convention" means the Convention on the Conservation of Migratory Species of TWld Animals (Bonn 
1979); 

*The United States is not a parly to this Agreement This Agreement was concluded pursuant to the 1979 Convention on the Conservation of Migratory 
Species of Wild Animals. 



71 



72 The Marine Mammal Commission Compendium 



(b) "^ats" meEins European populations of CHIROPTERA(Rhinolophidae and Vespeitilionidae) occurring 
in Europe and non-European Range States; 

(c) "Hange State" means any State (whether or not it is a party to the Convention) that exercises jurisdiction 
over any part of the range of a species covered by this Agreement; 

(d) "Regional Economic Integration Organisation" means an organisation constituted by sovereign States 
to which this Agreement apphes 2ind which has competence in respect of matters covered by this 
Agreement and has been duly authorised, in accordance with its internal procedures, to sign, ratify, 
accept, approve or accede to it; 

(e) "Parties" means, unless the context otherwise indicates. Parties to this Agreement; 

(f) "In Europe" means the continent of Europe. 



ARTICLE n 
General Provisions 

1. This Agreement is an AGREEMENT within the meaning of paragraph 3 of Article IV of the Convention. 

2. The provisions of this Agreement shall not relieve Parties of their obligations under any existing treaty, 
convention or agreement. 

3. Each Party to this Agreement shall designate one or more competent authorities to whom it shall assign 
responsibihty for the implementation of this Agreement. It shall communicate the name and address of its authority 
or authorities to the other Parties to this Agreement. 

4. Appropriate administrative and financial support for this Agreement shall be determined by its Parties in 
consultation with the Parties to the Convention. 



ARTICLE in 
Fundamental Obligations 

1. Each Party shall prohibit the deUberate capture, keeping or killing of bats except under permit from its 
competent authority. 

2. Each Party shall identify those sites within its own area of jurisdiction which are important for conservation 
statxis, including for the shelter and protection, of bats. It shall, taking into account as necessary economic and social 
considerations, protect such sites from damage or disturbance. In addition, each Party shall endeavour to identify 
and protect important feeding areas for bats frvm damage or distiu-bance. 

3. When deciding which habitats to protect for general conservation purposes each Party shall give due weight to 
habitats that are important for bats. 

4. Each Party shall take appropriate measures to promote the conservation of bats and shall promote public 
awareness of the importance of bat conservation. 

5. Each Party shall assign to an appropriate body responsibilities for the provision of advice on bat conservation 
and management within its territory particularly with regard to bats in buildings. Parties shall exchange information 
on their experiences in this matter. 

6. Each Party shall take such additional action as it considers necessary to safeguard populations of bats which 
it identifies as being subject to threat and shall report under Article VI on the action taken. 



Multilateral / Environment and Natural Resources 73 



7. Each Party shEill, as appropriate, promote research programmes relating to the conservation and management 
of bats. Parties shall consult each other on such research programmes, and shsdl endeavour to coordinate such 
research and conservation programmes. 

8. Each Party shall, wherever appropriate, consider the potential effects of pesticides on bats, when assessing 
pesticides for use, and shall endeavour to replace timber treatment chemicals which are highly toxic to bats with 
safer alternatives. 



ARTICLE IV 
National Implementation 

1. Each Party shall adopt and enforce such legislative and administrative measures as may be necessary for the 
purpose of giving effect to this Agreement. 

2. The provisions of this Agreement shall in no way affect the right of Parties to adopt stricter measures concerning 
the conservation of bats. 



ARTICLE V 
Meetings of the Parties 

1. There shall be periodic meetings of the Parties to this Agreement. The Government of the United Kingdom shall 
call the first meeting of the Parties to the Agreement not later than 3 years after the date of entry into force of the 
Agreement. The Parties to the Agreement shjdl adopt rules of procedure for their meetings and financial rules, 
including the provisions on the budget and the scale of contributions for the next financial period. Such rules shall 
be adopted by a two-thirds majority of the Parties present and voting. Decisions taken under the financial rules shsdl 
require a three-quarters majority of the Parties present and voting. 

2. At their meetings the Parties may establish such scientific and other working groups as they see fit. 

3. Any Range State or Regional Economic Integration Organisation not a Party to this Agreement, the Secretariat 
of the Convention, the Council of Europe in its capacity as the Secretariat of the Convention on the Conservation of 
European Wildlife and Natural Habitats and similar intergovernmental organisations may be represented by 
observers at meetings of the Parties. Any agency or body technically quEdified in the conservation and management 
of bats may be represented by observers at meetings of the Parties unless at least one-third of the Parties present 
object. Only Parties may vote at meetings of the Parties. 

4. Except as provided for in paragraph 5 below, each Party to this Agreement shall have one vote. 

5. Regional Economic Integration Organisations which are Parties to this Agreement shall, in matters within their 
competence, exercise their right to vote with a number of votes equal to the number of their Member States which 
are Parties to the Agreement and present at the time of the vote. A Regional Economic Integration Organisation shall 
not exercise its right to vote if its Member States exercise theirs, and vice versa. 



ARTICLE VI 
Reports on Implementation 

Each Party shall present to each meeting of the Parties an up-to-date report on its implementation of this 
Agreement. It shall circulate the report to the Parties not less than 90 days before the opening of the ordinary meeting. 



74 The Marine Mammal Commission Compendium 



ARTICLE Vn 
Amendment of the Agreement 

1. This Agreement may be amended at any meeting of the Psirties. 

2. Proposals for amendment may be made by any Party. 

3. The text of any proposed amendment and the reasons for it shall be communicated to the Depositary at least 
90 days before the opening of the meeting. The Depositary shall transmit copies forthwith to the Psirties. 

4. Amendments shall be adopted by a two-thirds majority of the Parties present and voting and shall enter into 
force for those Parties which have accepted them 60 days after the deposit of the fifth instrument of acceptance of 
the amendment with the Depositary. Thereafter, they shall enter into force for a Party 30 days after the date of deposit 
of its instrument of acceptance of the amendment with the Depositary. 



ARTICLE Vra 
Reservations 

The provisions of this Agreement shall not be subject to general reservations. However, a Range State or 
Regional Economic Integration Organisation may, on becoming a Party in accordance with Articles X or XI, enter a 
specific reservation with regard to any particular species of bat. 



ARTICLE IX 
Settlement of Disputes 

Any dispute which may arise between Parties with respect to the interpretation or appUcation of the provisions 
of this Agreement shall be subject to negotiation between the Parties involved in the dispute. 



ARTICLE X 
Signature, Ratification, Acceptance and Approval 

This Agreement shaJl be open to signature by Range States or Regional Economic Integration Organisations 
who may become Parties either by: 

(a) signature without reservation in respect of ratification, acceptance or approval; or 

(b) signature with reservation in respect of ratification, acceptance or approval, followed by ratification, 
acceptance or approval. 

Instruments of ratification, acceptance or approval shall be deposited with the Depositary. 

This Agreement shall remain open for signature untU the date of entry into force of the Agreement. 



ARTICLE XI 
Accession 

This Agreement shall be open for accession by Range States or Regional Economic Integration Organisations 
after the date of entry into force of the Agreement. Instruments of accession shall be deposited with the Depositary. 



Multilateral / Environment and Natural Resources 75 



ARTICLE Xn 
Entry into Force 

This Agreement shall enter into force on the ninetieth day following the date on which five Range States have 
become Parties in accordance with Article X. Thereafter it shall enter into force for a signatory or acceding State on 
the thirtieth day after the deposit of its instrument of ratification, acceptance, approval or accession. 



ARTICLE Xra 
Denunciation and Termination 

Any Party may denounce this Agreement by written notification to the Depositary at any time. The denuncia- 
tion shall take effect twelve months after the date on which the Depositary has received the notification. The 
Agreement shall remain in force for at least ten years, and thereafter shall terminate on the date on which there 
cease to be at least five Parties thereto. 



ARTICLE XIV 
Depositary 

The original of the Agreement, in English, French and German, each version being equally authentic, shall be 
deposited with the Government of the United Kingdom, which shall be the Depositary and shall transmit certified 
copies thereof to all States and any Regional Economic Integration Organisations that have signed the Agreement 
or deposited instruments of ratification, acceptance, approval or accession. 

The Depositary shall inform all Range States and Regional Economic Integration Organisations of signatures, 
deposit of instruments of ratification, acceptance, approval or accession, entry into force of this Agreement, 
amendments thereto, reservations and notifications of denunciation. 



International Guidelines for Preventing 
the Introduction of Unwanted Aquatic 
Organisms and Pathogens from Ships' 

Ballast Water and Sediment Discharges, 
London, 1991 

Done at London 4 July 1991 

Primary source citation: Copy of text provided by the 
U.S. Department of State 



ANNEX 16 

RESOLUTION MEPC.50(31) 

adopted on 4 July 1991 

EVTERNATIONAL GUIDELINES FOR PREVENTING THE INTRODUCTION OF 

UNWANTED AQUATIC ORGANISMS AND PATHOGENS FROM SHIPS' BALLAST 

WATER AND SEDIMENT DISCHARGES 

THE MARINE ENVIRONMENT PROTECTION COMMITTEE, 

RECALLING Resolution 18 of the International Conference on Marine Pollution, 1973, requesting research 
into the role of ballast water as a medium for the spreading of epidemic disease bacteria, 

RECOGNIZING that the discharge of ballast water and sediment has led to unplanned and unwanted 
introductions of non-native plants, animals and pathogens that are known to have caused injury to public health and 
property and to the environment, 

FURTHER RECOGNIZING the need to alert Member States to the significance of the problem and to seek 
international co-operative measures to resolve it, 

OBSERVING that the unwanted introduction of plants, animals and pathogens through the uncontrolled 
discharge of ballast water and sediment has important global implications that can be effectively, equitably and 
responsibly addressed through coordinated and co-operative action, 

ACKNOWLEDGING that Member States have a right to introduce ballast water and sediment discharge 
procedures to protect their waters from unwanted plants, animals and pathogens carried in ships' ballast water and 
sediment, 

FURTHER ACKNOWLEDGING that port States and Administrations have a responsibility to help ensure 
that ballast water, loaded in their ports and harbours, or carried in their ships, does not contain plants, animals or 
pathogens that pose a threat to the waters of other States, 

BEING CONSCIOUS of the essential role that the carriage of ballast water performs in the safe and effective 
operation of ships, 



76 



Multilateral / Environment and Natural Resources 77 



BEING AWARE of the need to work collaboratively to seek effective methods that can be safely used to minimize 
the probability that aquatic organisms and pathogens will be transferred between geographic areas by way of ships' 
ballast water or sediment, 

HAVING CONSIDERED the International GuideUnes for Preventing the Introduction of Unwanted Aquatic 
Organisms and Pathogens from Ships' Ballast Water and Sediment Discharges, 

1. ADOPTS the International Guidelines for Preventing the Introduction of Unwanted Aquatic Organisms and 
Pathogens from Ships' Ballast Water and Sediment Discharges; 

2. RECOMMENDS that Member States apply appropriate provisions of the GuideUnes to minimize the probability 
that ballast water and sediment will contain unwanted aquatic organisms and pathogens and as guidance in the 
development of a long-term solution to the problem of the discharge of ballast water and sediment leading to the 
unplanned and unwanted introductions of non-native plants, animals and pathogens that are known to have caused 
injury to pubUc health and property and to the environment; 

3. URGES Member States and non-governmental organizations to carry out and co-operate in research into all 
aspects of the problem, with a view to further developing the Guidelines as a basis for a new technical annex to 
MARPOL 73/78; 

4. FURTHER URGES Member States to carry out research into the extent of the problem in their waters and to 
notify the Organization of their findings; 

5. REQUESTS the Secretary-GtenerjJ to arrange for the circulation, to all Member States and non-governmental 
organizations, of all submitted research data and information on the problem. 

ANNEX 

INTERNATIONAL GUIDELINES FOR PREVENTING THE INTRODUCTION OF UNWANTED AQUATIC 

ORGANISMS AND PATHOGENS FROM SHIPS' BALLAST WATER AND SEDIMENT DISCHARGES 

1 Introduction 

1.1 Studies carried out in several countries have shown that many species of bacteria, plants, and animals can 
survive in a viable form in the ballast water and sediment carried in ships, even after journeys of several weeks' 
duration. Subsequent discharge of contaminated ballast water or sediment, into the waters of port States, may result 
in the establishment of unwanted species which can seriously upset the existing ecological balaince. Although other 
media have been identified for transferring organisms between geographically separated water bodies, ballast water 
discharge from ships appears to have been among the most prominent. The introduction of diseases may also arise 
as a result of port State waters being innoculated with large quantities of ballast water containing viruses or bacteria, 
thereby posing health threats to indigenous human, animal and plant life. 

1.2 The potential for ballast water discharges to cause harm, was recognized by Resolution 18 of the International 
Conference on Marine Pollution, 1973, from which conference emerged the MARPOL Convention. Resolution 18 called 
upon the World Health Organization, in collaboration with the International Maritime Organization, to carry out 
research into the role of ballast water as a medium for the spreading of epidemic disease bacteria. 

1.3 It is the aim of these Guidelines to provide Administrations and Port State Authorities with guidance on 
procedures that will minimize the risk from the introduction of unwanted aquatic organisms and pathogens from 
ships' ballast water and sediment. The selection of an appropriate procedure wiU depend upon several factors, 
including the type or types of organisms being targeted, the level of risks involved, its environmental acceptability, 
and the economic and ecological costs involved. 

1.4 The choice of procedures wiU also depend upon whether the measure is a short-term response to an identified 
problem or a long-term strategy aimed at completely eliminating the possibility of the introduction of species by 
ballast water In the short term, operational measures such as ballast water exchange at sea may be appropriate 
where they have been shown to be effective and are accepted by Port State Authorities and Administrations. For the 
longer term, more effective strategies, possibly involving structural or equipment modifications to ships, may need 
to be considered. 



78 The Marine Mammal Commission Compendiuj 



2 Definitions 

For the purposes of these guidelines, the following definitions apply: 

"Administration" means the Government of the State under whose authority the ship is operating. 

"Member States" means States that are Members of the International Maritime Organization. 

"Organization" means the International Maritime Organization (IMO). 

"Port State Authority" means any official or organization authorized by the Government of a port State to 
administer guidelines or enforce standards and regulations relevant to the implementation of national and 
international shipping control measures. 

3 Application 

The Guidelines can apply to all ships, however a Port State Authority shall determine the extent to which these 
Guidelines do apply. 

4 General principles 

4.1 Member States may adopt ballast water and sediment discharge procedures to protect the health of their 
citizens fi-om foreign infectious agents, to safeguard fisheries and aquaculture production against similar exotic risks 
and to protect the environment generally. 

4.2 Application of baUast water and sediment dischsu-ge procedures to minimize the risk of importing tmwanted 
aquatic organisms and pathogens may range from regulations based upon quarantine laws to guidelines providing 
suggested measures for controlling or reducing the problem. 

4.3 In all cases, a Port State Authority must consider the overall effect of ballast water and sediment discharge 
procedures on the safety of ships and those on board. Regulations or guidelines will be ineffective if compUance is 
dependent upon the acceptance of operational measures that put a ship or its crew at risk. 

4.4 Ballast water and sediment discharge procedures should be practicable, efiTective, designed to minimize cost 
and delays to ships, and based upon these Guidelines whenever practicable. 

4.5 The ability of aquatic organisms and pathogens to survive, after transportation in ballast water, may be reduced 
if significant differences in ambient conditions prevail - e.g. ssdinity, temperature, nutrients and light intensity. 

4.6 If ft-esh water (FW), brackish water (BW) and ftilly saline water (SW) are considered, the following matrix 
provides, in most cases, an indication of the probability that aquatic organisms and pathogens will survive after being 
transferred. 



Multilateral / Environment and Natural Resources 



79 



\s,^ Discharged 
\. Ballast 

Receiving \\^ 
Waters \^ 


FW 


BW 


SW 


FW 


HIGH 


MED 


LOW 


BW 


MED 


HIGH 


HIGH 


SW 


LOW 


HIGH 


HIGH 



PROBABILITY OF ORGANISMS SURVIVAL AND REPRODUCTION 

4.7 The duration of ballast water within jin enclosed baUast tank will also be a factor in determining the number 
of surviving organisms. For example, even after 60 days some organisms may remain in ballast water in a viable 
condition. 

4.8 Because some aquatic organisms and pathogens that may exist in sediments carried by ships can survive for 
several months or longer, disposal of such sediment should be carefully managed and reported to Port State 
Authorities. 

4.9 In implementing ballast water and sediment discharge procedures. Port State Authorities should take account 
of all relevant factors. 



5 Implementation 

5. 1 Member States, applying ballast water and sediment discharge procedures, should notify the Organization of 
specific requirements and provide to the Organization, for the information of other Member States and non-govern- 
mental organizations, copies of £my regulations, standards or guidelines being appUed. 

5.2 Administrations and non-governmental shipping organizations should provide the widest possible distribution 
of information on ballast water £ind sediment discharge procedures being applied to shipping by Port State 
Authorities. Failure to do so may lead to unnecessary delays for ships seeking entry to port States where ballast water 
and sediment discharge procedures are being applied. 

5.3 In accordance with paragraph 5.2 above, ship operators and ships' crews should be familiar with the 
requirements of Port State Authorities with respect to ballast water and sediment dischfirge procedures, including 
information that will be needed to obtain entry clearance. In this respect. Masters should be made aware that 
penalties may be applied by Port State Authorities for failure to comply with nationsd requirements. 

5.4 Member States and non-governmental organizations should provide to the Organization, for circulation, 
details of Einy research and development studies that they carry out, with respect to the control of aquatic organisms 
and pathogens in ballast water and sediment found in ships. 

5.5 Administrations are encouraged to report to the Organization incidences where compliance with bttllast water 
and sediment discharge procedures required by Port State Authorities have resulted in ship safety problems, 
unacceptably high costs, or delays to ships. 



80 The Marine Mammal Commission Compendium 



5.6 Member States should provide, to the Organization, details of annual compliance records for ballast water and 
sediment discharge procedures that they are applying. These records should report all incidences of non-compliance 
with regulations or guidelines and cite, by ship's name, official number and flag, all non-complying vessels. 

5.7 Member States should notify the Orgsinization of any local outbreaks of infectious diseases or water-borne 
organisms, that have been identified as a cause of concern to health and environmental authorities in other countries, 
and for which ballast water or sediment discharges may be vectors of transmission. This information should be relayed 
by the Organization, without delay, to ah Member States and non-governmental organizations. Member States should 
ensure that problem species, endemic to their waters, are not being transferred from locally loaded ballast water. 
Masters of ships should be notified of the existence of problem species, including local outbreaks of phytoplankton 
blooms, and advised to exchange or treat their ballast water and sediment accordingly. 

5.8 Member States should determine the environmental sensitivity of their waters to the extent deemed necessary. 
Ballast water and sediment dischsirge procedures should take into account the environmental sensitivity of these 
waters. 

6 Ship operational procedures 

6.1 When loading ballast, every effort should be made to ensure that only clean bsdlast water is being taken on 
and that the uptake of sediment with the ballast water is minimized. Where practicable, ships should endeavour to 
avoid taking on ballast water in shallow water areas, or in the vicinity of dredging operations, to reduce the likelihood 
that the water will contain silt, which may harbour the cysts of unwanted aquatic organisms and pathogens, and to 
otherwise reduce the probabihty that unwanted aquatic organisms and pathogens are present in the water. Areas 
where there is a known outbreak of diseases, commvuiicable through ballast water, or in which phytoplankton blooms 
are occurring, should be avoided wherever practicable as a source of ballast. 

6.2 When taking on ballast water, records of the dates, geographical locations, salinity and amount of ballast water 
taken on should be recorded in the ship's log book. To enable monitoring by the Organization and Port State 
Authorities, a report in the format shown in the appendix to these Guidelines should be completed by the ship's Master 
and made avEiilable to the Port State Authority. Procedures to be followed by the ship should be described in detail 
in the ship's operational manual. The sjmiple used to determine the salinity of loaded ballast water should be obtfiined, 
wherever possible, from the ballast tanks themselves or from a supply piping tap. Surface sea water samples should 
not be taken as indicative of the water in the ballast tanks since seawater salinity may vary significantly with depth. 

6.3 Subject to accessibility, all sources of sediment retention such as anchors, cables, chain lockers and suction 
wells should be cleaned routinely to reduce the possibility of spreading contamination. 

7 Strategies for preventing the introduction of unwanted aquatic organisms and pathogens from ship's ballast 
water and sediment discharges 

7.1 General 

7.1.1 In determining appropriate strategies for ballast water and sediment discharge procedures, the following 
criteria, inter aha , should be taken into account: 

— operational practicability; 

— effectiveness; 

— seafarer and ship safety; 

— environmental acceptability; 

— water and sediment control; 

— monitoring; and 

— cost effectiveness. 



Multilateral / Environment and Natural Resources 81 



7.1.2 Approaches that may be effective in controlhng the incidence and introduction of aquatic organisms and 
pathogens, include: 

— the non-release of ballast water; 

— ballast water exchange and sediment removal at sea or in areas designated as acceptable for the purpose 
by the Port State Authority; 

— ballast water management practices-'aimed at preventing or minimizing the uptake of contaminated water 
or sediment in ballasting and deballasting operations; and 

— discharge of ballast water into shore-based facilities for treatment or controlled disposal. 

7.1.3 In considering which particular approach, or combination of approaches to use. Port State Authorities 
should have regard to the factors Usted in paragraph 7.1.1. 

7.2 Non-release of ballast water 

The most effective means of preventing the introduction of unwanted aquatic organisms and pathogens from 
ships' ballast waters and sediments is to avoid, wherever possible, the discharge of bedlast water. 

7.3 Ballast water exchange and sediment removal 

7.3.1 In the absence of more scientifically based means of control, exchange of ballast water in deep ocean zireas 
or open seas currently offers a means of Umiting the probability that fresh water or coastal species will be transferred 
in ballast water. Responsibility for deciding on such action must rest with the Master, taking into account prevailing 
safety, stability smd structural factors and influences at the time. 

7.3.2 Unlike coastal and estuarine waters that are rich in nutrients and life forms, deep ocean water or open seas 
contain few organisms. Those that do exist are unlikely to adapt readily to a new coastal or fresh water environment, 
hence the probability of transferring unwanted organisms, through ballast water discharges, can be greatly reduced 
by ocean or open sea ballast exchanges preferably in water depths of 2,000 m or more. In those cases where ships do 
not encoimter water depths of at least 2,000 m, exchange of ballast water should occur well clear of coastal and 
estuarine influences. There is evidence to suggest that, despite contact with water of high salinity, the cysts of some 
organisms can survive for protracted periods in the sediment within ballast tanks and elsewhere on a ship. Hence, 
where ballast water exchange is being used as a control measure, care should be taken to flush out ballast tanks, 
chain lockers and other locations where silt may accumulate, to dislodge jmd remove such accumulations, wherever 
practicable. 

7.3.3 Care should also be taken when removing sediment deposits while a ship is in port or in coastal waters to 
ensvire that the sediment is not disposed of directly into adjacent waters. Sediment should be removed to land-fill 
locations designated by the port State Authority or, alternatively, sterilized to kill all living organisms that it may 
contain prior to being discharged into local water bodies or otherwise disposed. 

7.3.4 Ships likely to be required to exchange ballast during a voyage should take into account the following 
requirements: 

.1 stabUity to be maintained at all times to values not less than those recommended by the Organization (or 
required by the Administration); 

.2 longitudinal stress V2dues not to exceed those permitted by the ship's classification society with reg£urd to 
prevailing sea conditions; and 

.3 exchange of ballast in tanks or holds where significant structural loads may be generated by sloshing action 
in the partially filled tank or hold to be carried out in favourable sea and swell conditions such that the risk 
of structural damage is minimized. 



82 The Marine Mammal Commission Compendium 



7.3.5 Where the requirements of paragraph 7.3.4 cannot be met during an "at sea" exchange of ballast water, a 
"flow through" exchange of ballast water may be an acceptable alternative for those tanks. Procedures for exchange 
of this type should be approved by the Administration. 

7.3.6 Where the requirements of paragraph 7.3.4 can be met during an "at sea" exchange of ballast water, before 
taking on exchange ballast water, tanks should be drained until pump suction is lost. This will minimize the likelihood 
of residual organism survival. 

7.3.7 Where a port State Authority requires that an "at sea" exchange of ballast water be made, and, due to 
weather, sea conditions or operational impracticability such action cannot be taken, the ship should report this fact 
to the port State Authority prior to entering its national waters, so that appropriate alternative action can be 
arranged. 

7.3.8 Alternative action will also be necessary in those instances where ships may not leave a continental shelf 
during their voyage. Unless specific alternative instructions have been issued by a port State Authority applying 
ballast water and sediment controls, ships should report non-compliance prior to entering the port State's waters. 

7.3.9 Port State Authorities applying ballast water exchange and sediment removal procedures may require ships 
to complete a ballast water control form or some other acceptable system of reporting. A model form for this piirpose 
is in the appendix. Port State Authorities should arrange for such reporting forms to be distributed to ships, together 
with instructions for completion of the form and procedures for its return to the appropriate authorities. 

7.3. 10 In those cases where a ship arrives at a port without having carried out an "at sea" ballast water exchange, 
or has otherwise failed to carry out any alternative procedvu-es acceptable to port State Authorities, the ship may be 
req\iired to proceed to an approved location to carry out the necessary exchange, treat the bsdlast water " in situ ", seal 
the ballast tanks against discharge in the port State's waters, pump the ballast water to a shore reception faciUty, or 
prove, by laboratory analysis, that the ballast water is acceptable. 

7.3. 11 lb facilitate administration of ballast water exchange and sediment removal procedures on board ships, a 
responsible officer famihar with those procedures should be appointed to maintain appropriate records and to ensure 
that all ballast water exchange and sediment removal procedures are followed 2ind recorded. Written bedlast water 
and sediment removal procedures should be included in the ship's operational manual. 

7.3.12 Port State Authorities applying ballast water exchange and sediment discharge procedures may wish to 
monitor compliance with and effectiveness of their controls. 

7.3.13 Effectiveness monitoring may also be undertaken by port State Authorities, by taking and analysing ballast 
water and sediment samples fttym ships complying with prescribed exchange procedvu-es, to test for the continued 
survival of unwanted aquatic organisms and pathogens. 

7.3. 14 Where ballast water or sediment sampling for compUance or effectiveness monitoring is being luidertaken, 
port State Authorities should minimize delays to ships when taking such samples. Use of plankton nets, either by a 
vertical tow through ballasted deep tanks or cargo holds, or by attachment to an open firemain hydrant, suitably 
cross-connected to the ballast main, is one suggested means of ballast water sampling. Sediment samples may be 
taken frova areas where sediment is most likely to accumulate such as around outlet pipes, bulkhead and hold comers, 
etc. to the extent that these are accessible. Appropriate safety precautions must be employed wherever the taking of 
water or sediment samples requires tank entry. 

7.3.15 Port State Authorities may also wish, subject to relevant safety considerations, to sample sediment in 
suction wells, chain lockers or other areas where sediment may accumulate. 

7.3.16 In some cases, ships bound for ports which apply strategies for preventing the introduction of unwanted 
aquatic organisms and pathogens from ships' ballast water and sediments may avoid "at sea" exchange of ballast 
water, or other control procedures, by having their ballast water or harbour source samples analysed by a laboratory 
that is acceptable to the port State Authority. Where sampled and analysed ballast or harbour source water is found 
to be free from unwanted aquatic organisms or pathogens, an analyst's certificate, attesting to that fact, should be 
made available to port State Authorities. When analysis of ballast or harbour source water or sediment is being used 
as a control procedure, port State Authorities should provide Administrations with a target listing of unwanted 
aquatic organisms or pathogens. 



Multilateral / Environment and Natural Resources 83 



7.3.17 Port State Authorities may sample or require samples to analyse ballast water and sediment, before 
permitting a vessel to proceed to discharge its ballast water in environmentally sensitive locations. In the event that 
unwanted aquatic organisms or pathogens are found to be present in the samples, ships may be prohibited from 
discharging ballast or sediment, except to shore reception facilities or in designated marine areas. 

7.4 Ballast water management practices 

7.4.1 Port State Authorities may allow the use of appropriate ballast water management practices, aimed at 
preventing or minimizing the uptake and discharge of contaminated water or sediment in ballasting and deballasting 
operations. Such practices may be used when adjudged as reducing the risks of introducing imwanted aquatic 
organisms and pathogens to a level acceptable to Port State Authorities, who may set conditions with which such 
practices need to comply for this purpose. 

7.4.2 Such conditions should include appropriate ballast water management plans, training of ships' officers and 
crew, and the nomination of key control personnel. 

7.5 Shore reception facilities 

7.5.1 Where adequate shore reception faciUties exist, discharge of ship's ballast water in port into such faciUties 
may provide an acceptable means of control. Port State Authorities utilizing this strategy should ensure that the 
discharged ballast water has been effectively treated before release. Any treatment used should itself be environmen- 
tally acceptable. 

7.5.2 Reception facilities should be made available for the safe disposal of tank sediment when ships are 
undergoing repair or refit. Sediment, removed from ballast tanks and other areas of accumulation, should be disposed 
of in accordsince with paragraph 7.3.3 above. 

7.5.3 Member States should provide the Organization and ships with information on the locations, capacities, 
availabihty, and any appUcable fees relevsint to reception facilities being provided for the safe disposal of ballast water 
and removed sediment. 

8 Training, education and ships management plans 

8.1 Administrations and non-governmental shipping organizations should ensure that ships' crews are made 
aware of the ecological and health hazards posed by the indiscriminate loading and discharging of ballast water and 
of the need to maintain tanks and equipment, such as anchors, cables and hawse pipes, free from sediment. 

8.2 Training curricula for ships' crews should include instruction on the apphcation of ballast water and sediment 
discharge procedures, based upon the information contained in these Guidelines. Instruction should also be provided 
on the maintenance of log book records, indicating the dates and times of ballast water loading, exchange or discharge, 
salinity and the geographical location where such operations are carried out. 

8.3 Ships' crews should receive adequate instruction on the methods of ballast water and sediment discharge 
procedures being applied on their ship, including appropriate safety traini n g in the relevant procedures. 

8.4 Ballast water management plans should be incorporated in ships' operational manuals for the guidance of the 
ships' crews. Such plans should include, but not necessarily be limited to, information on the following: 

— ballast water loading and discharging procedures and precautions; 

— ballast water and sediment sampling and testing; 

— controls applied by port State Authorities; 

— reporting and information requirements; 

— exchange £ind treatment options or requirements; 

— crew safety guidelines; 



84 The Marine Mammal Commission Compendiuj 



— sediment disposal arrangements; and 

— crew education and training. 

8.5 Ships' operational manuals should include reference to these Guidelines and to the need to comply with any 
ballast water and sediment discharge procedures imposed by port State Authorities. 

9 Future considerations 

9. 1 There is a clear need to research and develop revised and additional measures, particularly as new information 
on organisms and pathogens of concern becomes available. Areas for further research include, inter alia : 

— treatment by chemicals and biocides; 

— heat treatment; 

— oxygen deprivation control; 

— tank coatings; 

— filters; and 

— ultraviolet light disinfection. 

It must be made clear, however, that there is a lack of research knowledge and practical experience on the cost, safety, 
effectiveness and environmental acceptability of these possible approaches. Any proposed chemical or biocidal 
treatments should be environmentally safe and in compliance with international conventions. Authorities carrying 
out or commissioning research studies into these or other relevant areas are encouraged to work co-operatively and 
provide information on the results to the Organization. 

9.2 In the longer term and to the extent possible, changes in ship design may be warranted to prevent the 
introduction of unwanted aquatic organisms and pathogens from ships. For example, subdivision of tanks, piping 
Eirrangements and pumping procedures should be designed and constructed to minimize uptake and accumulation 
of sediment in ballast tanks. 

9.3 Classification societies are urged to include provisions for ballast water and sediment discharge procedures in 
their rule requirements. 



Multilateral / Environment and Natural Resources 



85 



APPENDIX 

BALLAST WATER CONTROL REPORT FORM 

(Td be completed by ship's Master prior to arrival and 

provided to Port State Authority upon request) 

NAME OF SHIP: 

PORT OF REGISTRY: 

OFFICIAL NO. OR 

CALL SIGN: 

OWNERS/OPERATORS: 

AGENT: 

IMO GUIDELINES CARRIED? YES /_/ NO /_/ 

CONTROL ACTION TAKEN? /_/ Non-release of ballast 

/_/ Ballast water exchange 
/_/ Ballast water management practices 
/_/ Use of shore reception facilities 
/_/ Other (spediy) 

// Nil 



86 



The Marine Mammal Commission Compendium 



m « S 
p2 ^ -fi 



O -C 



■g ^ g. -G -J 

^ ^ S Q, 08 

« T) CO So K 






£^ 




cs -a 



5^ 



North American Agreement on 

Environmental Cooperation, 

Washington, D.C., Ottawa, and 

Mexico City, 1993 



Done at Washington, D.C. 9 and 14 September 1993, 

Ottawa 12 and 14 September 1993, and Mexico City 

8 and 14 September 1993 

Entered into force 1 January 1994 

Primary source citation: Copy of text provided by the 
U.S. Department of State 



NORTH AMERICAN AGREEMENT ON ENVIRONMENTAL 

COOPERATION BETWEEN THE GOVERNMENT OF THE UNITED 

STATES OF AMERICA, THE GOVERNMENT OF CANADA AND 

THE GOVERNMENT OF THE UNITED MEXICAN STATES 

1993 



PREAMBLE 

The Government of the United States of America, the Government of Canada and the Government of the United 
Mexican States: 

CONVINCED of the importance of the conservation, protection and enhancement of the environment in their 
territories and the essential role of cooperation in these areas in achieving sustainable development for the 
well-being of present and future generations; 

REAFFIRMING the sovereign right of States to exploit their own resources pursuant to their own environ- 
mental and development pohcies and their responsibility to ensure that activities within their jurisdiction or 
control do not cause damage to the environment of other States or of areas beyond the limits of national 
jurisdiction; 

RECOGNIZING the interrelationship of their environments; 

ACKNOWLEDGING the growing economic and social links between them, including the North American 
Free Trade Agreement (NAFTA); 

RECONFIRMING the importance of the environmental goals and objectives of the NAFTA, including 
enhanced levels of environmental protection; 



87 



The Marine Mammal Commission Compendium 



EMPHASIZING the importance of public participation in conserving, protecting and enhancing the environ- 
ment; 

NOTING the existence of differences in their respective natural endowments, chmatic and geographical 
conditions, and economic, technological and infrastructural capabilities; 

REAFFIRMING the Stockholm Declaration on the Human Environment of 1972 and the Rio Declaration on 
Environment and Development of 1992; 

RECALLING their tradition of environmental cooperation and expressing their desire to support and build 
on international environmental agreements and existing policies and laws, in order to promote cooperation 
between them; and 

CONVINCED of the benefits to be derived from a framework, including a Commission, to facihtate effective 
cooperation on the conservation, protection and enhancement of the environment in their territories; 

HAVE AGREED AS FOLLOWS: 



PART ONE 
OBJECTIVES 

Article 1: Objectives 

The objectives of this Agreement are to: 

(a) foster the protection and improvement of the environment in the territories of the Parties for the 
well-being of present and future generations; 

(b) promote sustainable development based on cooperation and mutually supportive environmental and 
economic poUcies; 

(c) increase cooperation between the Parties to better conserve, protect, and enhance the environment, 
including wild flora and fauna: 

(d) support the environmental goals and objectives of the NAFTA; 

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

(0 strengthen cooperation on the development and improvement of environmental laws, regulations, 
procedures, policies and practices; 

(g) enhance compUance with, and enforcement of, environmental laws and regulations; 

(h) promote transparency and public participation in the development of environmental laws, regulations 
and policies; 

(i) promote economically eflRcient and effective environmental measures; and 

(j) promote pollution prevention poUcies and practices. 



Multilateral / Environment and Natural Resources 89 

PART TWO 
OBLIGATIONS 

Article 2: Creneral Commitments 

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

(a) periodically prepare and make publicly available reports on the state of the environment; 

(b) develop and review environmental emergency preparedness measures; 

(c) promote education in environmental matters, including environmental law; 

(d) further scientific research and technology development in respect of environmental matters; 

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

(f) promote the use of economic instruments for the efficient achievement of environmental goals. 

2. Each Party shall consider implementing in its law any recommendation developed by the Council under Article 
10(5)(b). 

3. Each Party shall consider prohibiting the export to the territories of the other Parties of a pesticide or toxic 
substance whose use is prohibited within the Party's territory. When a Party adopts a measure prohibiting or severely 
restricting the use of a pesticide or toxic substance in its territory, it shall notify the other Parties of the measure, 
either directly or through an appropriate international organization. 

Article 3: Levels of Protection 

Recognizing the right of each Party to estabUsh its own level of domestic environmental protection and 
environmental development poUcies and priorities, and to adopt or modify accordingly its environmental laws and 
regulations, each Party shall ensure that its laws and regulations provide for high levels of environmental protection 
and shall strive to continue to improve those laws and regulations. 

Article 4: Publication 

1. Each Psirty shall ensure that its laws, regulations, procedures and administrative rulings of general application 
respecting any matter covered by this Agreement are promptly published or otherwise made available in such a 
manner as to enable interested persons and Parties to become acquainted with them. 

2. lb the extent possible, each Party shall: 

(a) pubUsh in advance any such measure that it proposes to adopt; and 

(b) provide interested persons and Parties a reasonable opportunity to comment on such proposed measvu-es. 

Article 5: Government Enforcement Action 

1. With the aim of achieving high levels of environmental protection and compliance with its environmental laws 
and regulations, each Party shall effectively enforce its environmental laws and regulations through appropriate 
government action, subject to Article 37, such as: 

(a) appointing and training inspectors; 



90 The Marine Mammal Commission Compendium 

(b) monitoring compliance and investigating suspected violations, including through on-site inspections; 

(c) seeking assurances of voluntary compUance and compliance agreements; 

(d) publicly releasing non-compUance information; 

(e) issuing bulletins or other periodic statements on enforcement procedures; 

(f) promoting environmental audits; 

(g) requiring record keeping and reporting; 

(h) providing or encouraging mediation and arbitration services; 

(i) using licenses, permits or authorizations; 

(j) initiating, in a timely manner, judicial, quasi-judicial or administrative proceedings to seek appropriate 
sanctions or remedies for violations of its environmental laws and regulations; 

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

(1) issuing administrative orders, including orders of a preventative, curative or emergency nature. 

2. Each Party shall ensure that judicial, quasi-judicial or administrative enforcement proceedings are available 
under its law to sanction or remedy violations of its environmental laws and regulations. 

3. Sanctions and remedies provided for a violation of a Party's environmental laws and regulations shall, as 
appropriate: 

(a) take into consideration the nature and gravity of the violation, any economic benefit derived from the 
violation by the violator, the economic condition of the violator, and other relevant factors; and 

(b) include compliance agreements, fines, imprisonment, ii^unctions, the closure of faciUties, and the cost 
of containing or cleaning up pollution. 

Article 6: Private Access to Remedies 

1. Each Party shall ensure that interested persons may request the Party's competent authorities to investigate 
alleged violations of its environmental laws and regulations and shall give such requests due consideration in 
accordance with law. 

2. Each Party shall ensure that persons with a legally recognized interest under its law in a particular matter 
have appropriate access to administrative, quasi-judicial or judicial proceedings for the enforcement of the Partes 
environmental laws and regulations. 

3. Private access to remedies shall include rights, in accordance with the Party's law, such as: 

(a) to sue another person under that Party's jurisdiction for damages; 

(b) to seek sanctions or remedies such as monetary penalties, emergency closures or orders to mitigate the 
consequences of violations of its environmental laws and regulations; 

(c) to request the competent authorities to take appropriate action to enforce that Psirt/s environmental 
laws and regulations in order to protect the environment or to avoid environmental harm; or 

(d) to seek injunctions where a person suffers, or may suffer, loss, damage or injury as a result of conduct 
by another person under that Party's jvu^sdiction contrary to that Party's environmental laws and 
regulations or from tortious conduct. 



Multilateral / Environment and Natural Resources 91 



Article 7: Procedural Guarantees 

1. Each Party shall ensure that its administrative, quasi-judicial and judicial proceedings referred to in Articles 
5(2) and 6(2) are fair, open and equitable, and to this end shall provide that such proceedings: 

(a) comply with due process of law: 

(b) are open to the public, except where the administration of justice otherwise requires; 

(c) entitle the parties to the proceedings to support or defend their respective positions and to present 
information or evidence; and 

(d) are not unnecessarily compUcated and do not entail unreasonable charges or time limits or unwarranted 
delays. 

2. Each Party shall provide that final decisions on the merits of the case in such proceedings are: 

(a) in writing and preferably state the reasons on which the decisions are based; 

(b) made available with undue delay to the parties to the proceedings and, consistent with its law, to the 
public; and 

(c) based on information or evidence in respect of which the parties were offered the opportunity to be heard. 

3. Each Party shall provide, as appropriate, that parties to such proceedings have the right, in accordance with 
its law, to seek review and, where warranted, correction of final decisions issued in such proceedings. 

4. Each Party shall ensure that tribunals that conduct or review such proceedings are impartial and independent 
and do not have any substantial interest in the outcome of the matter 



PART THREE 
COMMISSION FOR ENVIRONMENTAL COOPERATION 

Article 8: The Commission 

1. The Parties hereby estabhsh the Commission for Environmental Cooperation. 

2. The Commission shall comprise a Council, a Secretariat and a Joint PubUc Advisory Committee. 

Section A: The Council 

Article 9: CouncU Structure and Procedures 

1. The Council shall comprise cabinet-level or equivalent representatives of the Parties, or their designees. 

2. The Council shall establish its rules and procedures. 

3. The Council shall convene: 

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

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



92 The Marine Mammal Commission Compendium 



Regular sessions shall be chaired successively by each Party. 

4. The Council shall hold public meetings in the course of all regular sessions. Other meetings held in the course 
of regular or special sessions shall be public where the Council so decides. 

5. The Council may: 

(a) establish, aind assign responsibilities to, ad hoc or standing committees, working groups or expert 
groups; 

(b) seek the advice of non-governmental organizations or persons, including independent experts; and 

(c) take such other action in the exercise of its functions as the Parties may agree. 

6. All decisions and recommendations of the Council shall be taken by consensus, except as the Council may 
otherwise decide or as otherwise provided in this Agreement. 

7. All decisions and recommendations of the Council shall be made public, except as the Council may otherwise 
decide or as otherwise provided in this Agreement. 

Article 10: Council Functions 

1. The Council shall be the governing body of the Commission and shall: 

(a) serve as a forum for the discussion of environmental matters within the scope of this Agreement; 

(b) oversee the implementation and develop recommendations on the further elaboration of this Agreement 
and, to this end, the Council shall, within four years after the date of entry into force of this Agreement, 
review its operation and effectiveness in the light of experience; 

(c) oversee the Secretariat; 

(d) address questions and differences that may arise between the Parties regarding the interpretation or 
appUcation of this Agreement; 

(e) approve the annual program and budget of the Commission; and 

(f) promote and facilitate cooperation between the Parties with respect to environmental matters. 

2. The Council may consider, and develop recommendations regarding: 

(a) comparability of techniques and methodologies for data gathering and analysis, data management and 
electronic data communications on matters covered by this Agreement; 

(b) pollution prevention techniques and strategies; 

(c) approaches and common indicators for reporting on the state of the environment; 

(d) the use of economic instruments for the pursuit of domestic and internationally agreed environmental 
objectives; 

(e) scientific research and technology development in respect of environmental matters; 

(f) promotion of pubUc awareness regarding the environment; 

(g) transboundary and border environmental issues, such as the long-range transport of air and marine 
pollutants; 



Multilateral / Environm ent and Natural Resources 93 

(h) exotic species that may be harmful; 

(i) the protection of endangered and threatened species; 

(k) environmental emergency preparedness and response activities; 

(1) environmental matters as they relate to economic development; 

(m) the environmental implications of goods throughout their life cycles; 

(n) human resource training and development in the environmental field; 

(o) the exchange of environmental scientists and officials; 

(p) approaches to environmental compUance and enforcement; 

(q) ecologically sensitive national accounts; 

(r) eco-labelling; and 

(s) other matters as it may decide. 

3. The Council shall strengthen cooperation on the development and continuing improvement of environmental 
laws and regulations, including by: 

(a) promoting the exchange of information on criteria Jind methodologies used in establishing domestic 
environmental standards; and 

(b) without reducing levels of environmental protection, establishing a process for developing recommen- 
dations on greater compatibility of environmental technical regulations, standards and conformity 
assessment procedures in a manner consistent with the NAFTA. 

4. The Council shall encourage: 

(a) effective enforcement by each Party of its environmental laws and regulations; 

(b) compUance with those laws and regulations; and 

(c) technical cooperation between the Parties. 

5. The Coimcil shall promote and, as appropriate, develop recommendations regarding: 

(a) public access to information concerning the environment that it held by public authorities of each Party, 
including information on hsizardous materials and activities in its commvmities, and opportunity to 
participate in decision-making processes related to such public access; and 

(b) appropriate Umits for specific pollutants, taking into account differences in ecosystems. 

6. The Council shall cooperate with the NAFTA Free Trade Commission to achieve the environmental goals and 
objectives of the NAFTA by: 

(a) acting as a point of inquiry and receipt for comments from non-governmental organizations and persons 
concerning those goals and objectives; 

(b) providing assistance in consultations vmder Article 1114 of the NAFTA where a Party considers that 
{mother Party is waiving or derogating from, or offering to waive or otherwise derogate from, an 
environmental measure as an encouragement to estabUsh, acquire, expand or retain an investment of 
an investor, with a view to avoiding any such encouragement; 



94 The Marine Mammal Commission Compendium 

(c) contributing to the prevention or resolution of environment-related trade disputes by: 

(i) seeking to avoid disputes between the Parties; 

(ii) making recommendations to the Free Trade Commission with respect to the avoidance of such 
disputes, and 

(iii) identifying experts able to provide information or technical advice to NAFTAcommittees, working 
groups and other NAFTA bodies; 

(d) considering on an ongoing basis the environmental effects of the NAFTA; and 

(e) otherwise assisting the Free Trade Commission in environment-related matters. 

7. Recognizing the significant bilateral nature of many transboundary environmental issues, the Council shall, 
with a view to agreement between the Parties pursuant to this Article within three years on obligations, consider 
and develop recommendations with respect to: 

(a) assessing the environmental impact of proposed projects subject to decisions by a competent govermnent 
authority and likely to cause significant adverse transboundary effects, including a full evaluation of 
comments provided by other Parties and persons of other Parties; 

(b) notification, provision of relevant information and consultation between Parties with respect to such 
projects; and 

(c) mitigation of the potential adverse efiects of such projects. 

8. The Council shall encourage the establishment of each Party of appropriate administrative procedures 
pursuant to its environmental laws to permit another Party to seek the reduction, elimination or mitigation of 
trsinsboundary pollution on a reciprocal basis. 

9. The Council shall consider and, as appropriate, develop recommendations on the provision by a Party, on a 
reciprocal basis, of access to and rights and remedies before its courts and administrative agencies for persons in 
another Pzirty's territory who have suffered or are likely to suffer damage or irgury caused by pollution originating 
in its territory £is if the damage or injury were suffered in its territory. 

Section B: The Secretariat 

Article 11: Secretariat Structure and Procedures 

1. The Secretariat shall be headed by an Executive Director, who shall be chosen by the Council for a three-year 
term, which may be renewed by the Council for one additionsd three-year term. The position of Executive Director 
shall rotate consecutively between nationals of each Party. The Council may remove the Executive Director solely for 
cause. 

2. The Executive Director shall appoint and supervise the staff' of the Secretariat, regulate their powers and 
duties and fix their remuneration in accordance with general standards to be established by the Council. The general 
standards shall provide that: 

(a) staff shall be appointed and retained, and their conditions of employment shall be determined, strictly 
on the basis of efficiency, competence and integrity; 

(b) in appointing staff, the Executive Director shall take into accoimt lists of candidates prepsired by the 
Parties and by the Joint Public Advisory Committee: 



Multilateral / Environment and Natural Resources 95 



(c) due regard shall be paid to the importance of recrtiiting an equitable proportion of the professional staff 
from among the nationals of each Party; and 

(d) the Executive Director shall inform the Council of all appointments. 

3. The Council may decide, by a two-thirds vote, to reject any appointment that does not meet the general 
standards. Any such decision shall be made and held in confidence. 

4. In the performance of their duties, the Executive Director and the staff shall not seek or receive instructions 
from any government or any other authority external to the Council. Each Party shall respect the international 
character of the responsibilities of the Executive Director and the staff and shall not seek to influence them in the 
discharge of their responsibilities. 

5. The Secretariat shall provide technical, administrative and operational support to the Council and to 
committees and groups estabUshed by the Council, and such other support as the Council may direct. 

6. The Executive Director shall submit for the approval of the Council the annual program and budget of the 
Commission, including provision for proposed cooperative activities and for the Secretariat to respond to contingen- 
cies. 

7. The Secretariat shall, as appropriate, provide the Parties and the public information on where they may receive 
technical advice and expertise with respect to environmental matters. 

8. The Secretariat shall safeguard: 

(a) from disclosure information it receives that could identify a non-governmental organization or person 
making a submission if the person or organization so requests or the Secretariat otherwise considers it 
appropriate; and 

(b) from public disclosure any information it receives iroxa any non-governmental organization or person 
where the information is designated by that non-governmental organization or person as confidential 
or proprietary. 

Article 12: Annual Report of the Commission 

1. The Secretariat shall prepare Ein annual report of the Commission in accordance with instructions from the 
Council. The Secretariat shall submit a draft of the report for review by the Coimcil. The final report shall be released 
pubUcly. 

2. The report shall cover: 

(a) activities and expenses of the Commission during the previous year; 

(b) the approved program and budget of the Commission for the subsequent year; 

(c) the actions taken by each Party in connection with its obligations under this Agreement, including data 
on the Party's environmental enforcement activities; 

(d) relevtmt views and information submitted by non-governmental organizations and persons, including 
summary data regarding submissions, and any other relevant information the Council deems appropri- 
ate; 

(e) recommendations made on any matter within the scope of this Agreement; and 

(f) any other matter that the Council instructs the Secretariat to include. 

3. The report shall periodically address the state of the environment in the territories of the Parties. 



96 The Marine Mammal Commission Compendium 



Article 13: Secretariat Reports 

1. The Secretariat may prepjire a report of the Council on any matter within the scope of the annual program. 
Should the Secretariat wish to prepare a report on any other environmental matter related to the cooperative 
functions of this Agreement, it shall notify the Council and may proceed unless, within 30 days of such notification, 
the Council objects by a two-thirds vote to the preparation of this report. Such other environmental matters shall not 
include issues related to whether a Party has failed to enforce its environmental laws and regulations. Where the 
Secretariat does not have specific expertise in the matter under review, it shall obtain the assistance of one or more 
independent experts of recognized experience in the matter to assist in the preparation of the report. 

2. In preparing such a report, the Secretariat may draw upon any relevant technical, scientific or other 
information, including information: 

(a) that is pubUcly available; 

(b) submitted by interested non-governmental organizations and persons; 

(c) submitted by the Joint Public Advisory Committee; 

(d) furnished by a Party; 

(e) gathered through pubUc consultations, such as conferences, seminsirs and symposia; or 

(f) developed by the Secretariat, or by independent experts engaged pursuant to paragraph 1. 

3. The Secretariat shsJl submit its report to the Council, which shall make it publicly available, normally within 
60 days following its submission, unless the Council otherwise decides. 

Article 14: Submissions on Enforcement Matters 

1. The Secretariat may consider a submission from any non-governmental organization or person asserting that 
a Party is failing to effectively enforce its environmental law, if the Secretariat finds that the submission: 

(a) is in writing in a language designated by that Party in a notification to the Secretariat; 

(b) clearly identifies the person or organization making the submission; 

(c) provides sufficient information to allow the Secretariat to review the submission, including any 
documentary evidence on which the submission may be based; 

(d) appears to be aimed at promoting enforcement rather than at hairassing industry; 

(e) indicates that the matter has been communicated in writing to the relevant authorities of the Party and 
indicates the Party's response, if any; and 

(f) is filed by a person or organization residing or established in the territory of a Party. 

2. Where the Secretariat determines that a submission meets the criteria set out in paragraph 1, the Secretariat 
shall determine whether the submission merits requesting a response from the Party. In deciding whether to request 
a response, the Secretariat shall be guided by whether: 

(a) the submission alleges harm to the person or organization making the submission; 

(b) the submission, alone or in combination with other submissions, raises matters whose further study in 
this process would advance the goals of this Agreement; 

(c) private remedies available under the Party's law have been pursued; and 



Multilateral / Environment and Natural Resources 97 



(d) the submission is drawn exclusively from mass media reports. 

Where the Secretariat makes such a request, it shall forward to the Party a copy of the submission and any supporting 
information with the submission. 

3. The Party shall advise the Secretariat within 30 days or, in exceptional circumstances and on notification to 
the Secretariat, within 60 days of delivery of the request: 

(a) whether the matter is the subject of a pending judicial or administrative proceeding, in which case the 
Secretariat shall proceed no further; and 

(b) of any other information that the Party wishes to submit, such as 

(i) whether the matter was previously the subject of a judicial or administrative proceeding, and 

(ii) whether private remedies in connection with the matter are available to the person or organiza- 
tion making the submission and whether they have been pursued. 

Article 15: Factual Record 

1. If the Secretariat considers that the submission, in the light of any response provided by the Party, warrants 
developing a factual record, the Secretariat shall so inform the Council and provide it reasons. 

2. The Secretariat shall prepare a factual record if the Council, by a two-thirds vote, instructs it to do so. 

3. The preparation of a factueJ record by the Secretariat pursuant to this Article shall be without prejudice to 
any iiirther steps that may be taken with respect to any submission. 

4. In preparing a factual record, the Secretariat shall consider any information furnished by a Party and may 
consider any relevant technical, scientific or other information: 

(a) that is publicly available; 

(b) submitted by interested non-governmental orgsinizations or persons; 

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

(d) developed by the Secretariat or by independent experts. 

5. The Secretariat shall submit a draft factual record to the Council. Any Party may provide comments on the 
accuracy of this draft within 45 days thereafter. 

6. The Secretariat shaU incorporate, as appropriate, any such comments in the final factual record and submit 
it to the CoimcU. 

7. The Council may, by a two-thirds vote, make the final factual record pubUcly available, normally within 60 
days following its submission. 



Section C: Advisory Committee 



Article 16: Joint Public Advisory Committee 



1. The Joint Public Advisory Committee shall comprise 15 members, imless the Council otherwise decides. Each 
Party or, if the Party so decides, its National Advisory Committee convened under Article 17, shall appoint an equal 
number of members. 



98 The Marine Mammal Commission Compendium 



2. The Council shall estabUsh the rules of procedure for the Joint Public Advisory Committee, which shall choose 
its own chair. 

3. The Joint PubUc Advisory Committee shall convene at least once a year at the time of the regular session of 
the Council and at such other times as the Council, or the Committee's chair with the consent of a majority of its 
members, may decide. 

4. The Joint Public Advisory Committee may provide advice to the Council on any matter within the scope of this 
Agreement, including on any documents provided to it under paragraph 6, and on the implementation and further 
elaboration of this Agreement, and may perform such other functions as the Council may direct. 

5. The Joint Public Advisory Committee may provide relevant technical, scientific or other information to the 
Secretariat, including for purposes of developing a factual record under Article 15. The Secretariat shall forward to 
the Council copies of any such information. 

6. The Secretariat shall provide to the Joint Public Advisory Committee at the time they are submitted to the 
Council copies of the proposed annual program and budget of the Commission, the draft annual report, sind einy report 
the Secretariat prepares pursuant to Article 13. 

7. The Council may, by a two-thirds vote, make a factual record available to the Joint Public Advisory Committee. 

Article 17: National Advisory Committees 

Each Party may convene a national advisory committee, comprising members of its pubUc, including repre- 
sentatives of non-governmental organizations and persons, to advise it on the implementation and further elaboration 
of this Agreement. 

Article 18: Governmental Committees 

Each Party may convene a governmental committee, which may comprise or include representatives of federal 
and state or provincial governments, to advise it on the implementation and further elaboration of this Agreement. 



Section D: Official Languages 



Article 19: Official Languages 



The ofiGcial languages of the Commission shall be English, French and Spanish. All annual reports imder 
Article 12, reports submitted to the Coimcil imder Article 13, factual reports submitted to the Council under Article 
15(6) and panel reports under Part Five shall be available in each official language at the time they are made public. 
The Coimcil shall estabUsh rules and procedures regarding interpretation and translation. 



PART FOUR 
COOPERATION AND PROVISION OF INFORMATION 

Article 20: Cooperation 

1. The Parties shall at all times endeavor to agree on the interpretation and appUcation of this Agreement, and 
shall make every attempt through cooperation and consultations to resolve any matter that might aifect its operation. 



Multilateral / Environment and Natural Resources 99 



2. lb the maximuin extent possible, each Party shall notify any other Party with an interest in the matter of any 
proposed or actual environmental measure that the Party considers might materially affect the operation of this 
Agreement or otherwise substantially affect that other Party's interests under this Agreement. 

3. On request of any other Party, a Party shall promptly provide information and respond to questions pertaining 
to any such actued or proposed environmental measure, whether or not that other Party has been previously notified 
of that measure. 

4. Any Party may notify any other Party of, £md provide to that Party, any credible information regarding possible 
violations of its environmental law, specific £md sufficient to allow the other Party to inquire into the matter. The 
notified Party shall take appropriate steps in accordance with its law to so inquire and to respond to the other Party. 

Article 21: Provision of Information 

1. On request of the Council or the Secretariat, each Party shall, in accordance with its law, provide such 
information as the Council or the Secretariat may require, including: 

(a) promptly making avsiilable any information in its possession required for the preparation of a report or 
factual record, including compliances and enforcement data; and 

(b) taking all reasonable steps to make available any other such information requested. 

2. If a Party considers that a request for information from the Secretariat is excessive or otherwise unduly 
burdensome, it may so notify the Council. The Secretariat shall revise the scope of the request to comply with any 
limitations established by the Coimcil by a two-thirds vote. 

3. If a Party does not make available information requested by the Secretariat, as may be limited pursuant to 
paragraph 2, it shall promptly advise the Secretariat of its reasons in writing. 



PART FIVE 
CONSULTATION AND RESOLUTION OF DISPUTES 

Article 22: Consultations 

1. Any Party may request in writing consultations with any other Party regarding whether there has been a 
persistent pattern of failure by that other Party to effectively enforce its environmental law. 

2. The requesting Party shall deliver the request to the other Party and to the Secretariat. 

3. Unless the CovmcU otherwise provides in its rules and procedures established under Article 9(2), a third Party 
that considers it has a substantial interest in the matter shall be entitled to participate in the consultations on deUvery 
of written notice to the other Parties and to the Secretariat. 

4. The consulting Parties shall make every attempt to arrive at a mutually satisfactory resolution of the matter 
through consultations under this Article. 

Article 23: Initiation of Procedures 

1. If the consulting Parties fail to resolve the matter pursuant to Article 22 within 60 days of delivery of a request 
for consultations, or such other period as the consiilting Parties may agree, any such Party may request in writing a 
special session of the CouncU. 



100 The Marine Mammal Commission Compendium 



2. The requesting Party shall state in the request the matter complained of and shall deliver the request to the 
other Parties and to the Secretariat. 

3. Unless it decides otherwise, the Council shall convene within 20 days of deUvery of the request and shall 
endeavor to resolve the dispute promptly. 

4. The Council may: 

(a) call on such technical advisers or create such working groups or expert groups as it deems necessary, 

(b) have recourse to good offices, conciliation, mediation or such other dispute resolution procedures, or 

(c) make recommendations, as may assist the consulting Parties to reach a mutually satisfactory resolution 
of the dispute. Any such recommendations shall be made pubUc if the Council, by a two-thirds vote, so 
decides. 

5. Where the Council decides that a matter is more properly covered by another agreement or arrangement to 
which the consulting Parties are party, it shall refer the matter to those Parties for appropriate action in accordance 
with such other agreement or arrangement. 

Article 24: Request for an Arbitral Panel 

1. If the matter has not been resolved within 60 days after the Council has convened pursuant to Article 23, the 
Council shall, on the written request of any consulting Party and by a two-thirds vote, convene an arbitral panel to 
consider the matter where the alleged persistent pattern of failure by the Party complained against to effectively 
enforce its environmental law relates to a situation involving workplaces, firms, companies or sectors that produce 
goods or provide services: 

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

(b) that compete, in the territory of the Party complained against, with goods or services produced or 
provided by persons of another Party. 

2. Athird Party that considers it has a substantial interest in the matter shall be entitled to join as a complaining 
Party on deUvery of written notice of its intention to participate to the disputing Parties and the Secretariat. The 
notice shall be dehvered at the earhest possible time, and in any event no later than seven days after the date of the 
vote of the Council to convene a panel. 

3. Unless otherwise agreed by the disputing P£u:ties, the panel shall be established and perform its functions in 
a manner consistent with the provisions of this Part. 

Article 25: Roster 

1. The Council shall establish and maintain a roster of up to 45 individuals who are willing and able to serve as 
panelists. The roster members shall be appointed by consensus for terms of three years, and may be reappointed. 

2. Roster members shall: 

(a) have expertise or experience in environmental law or its enforcement, or in the resolution of disputes 
arising under international agreements, or other relevant scientific, technical or professional expertise 
or experience; 

(b) be chosen strictly on the basis of objectivity, reUabUity and sound judgment; 

(c) be independent of, and not be affiliated with or take instructions fi-om, any Party, the Secretariat or the 
Joint Pubhc Advisory Committee; and 



Multilateral / Environment and Natural Resources 101 



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

Article 26: Qualifications of Panelists 

1. All panelists shall meet the qualifications set out in Article 25(2). 

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

(a) they have participated pursuant to Article 23(4); or 

(b) they have, or a person or organization with which they are afQliated has, an interest, as set out in the 
code of conduct estabUshed under Article 25(2)(d). 

Article 27: Panel Selection 

1. Where there are two disputing Parties, the following procedures shall apply: 

(a) The panel shall comprise five members. 

(b) The disputing Parties shall endeavor to agree on the chair of the panel within 15 days after the Coimcil 
votes to convene the panel. If the disputing Parties are unable to agree on the chair within this period, 
the disputing Party chosen by lot shall select within five days a chair who is not a citizen of that Party. 

(c) Within 15 days of selection of the chair, each disputing Party shall select two panelists who are citizens 
of the other disputing Party. 

(d) If a disputing Party fails to select its panelists within such period, such panelists shall be selected by 
lot fix)m among the roster members who are citizens of the other disputing Party. 

2. Where there are more than two disputing Parties, the following procedures shall apply: 

(a) The panel shall comprise five members. 

(b) The disputing Parties shall endeavor to agree on the chair of the panel within 15 days after the Council 
votes to convene the panel. If the disputing Parties are unable to agree on the chair within this period, 
the Party or Parties on the side of the dispute chosen by lot shall select within 10 days a chair who is 
not a citizen of such Party or Parties. 

(c) Within 30 days of selection of the chair, the Party complained against shall select two panelists, one of 
whom is a citizen of a complaining Party, and the other of whom is a citizen of another complaining 
Party. The complaining Parties shall select two paneUsts who are citizens of the Party complained 
against. 

(d) If any disputing Party fails to select a panelist within such period, such panelist shall be selected by lot 
in accordance with the citizenship criteria of subparagraph (c). 

3. PaneUsts shall normally be selected fi-om the roster. Any disputing Party may exercise a peremptory challenge 
against any individual not on the roster who is proposed as a panelist by a disputing Party within 30 days after the 
individual has been proposed. 

4. If a disputing Party beheves that a paneUst is in violation of the code of conduct, the disputing Parties shall 
consult and, if they agree, the panelist shall be removed and a new panelist shall be selected with this Article. 

Article 28: Rules of Procedure 

1. The Council shall establish Model Rules of Procedure. The procediu-es shall provide: 



102 The Marine Mammal Commission Compendium 

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

(b) the opportunity to make initial and rebuttal written submissions; and 

(c) that no panel may disclose which panelists are associated with majority or minority opinions. 

2. Unless the disputing Parties otherwise agree, panels convened under this Part shall be established and conduct 
their proceedings in accordance with the Model Rules of Procedure. 

3. Unless the disputing Parties otherwise agree within 20 days after the Council votes to convene the panel, the 
terms of reference shall be: 

"Td examine, in Ught of the relevant provisions of the Agreement, including those contained in Part Five, 
whether there has been a persistent pattern of failure by the Party complained against to effectively enforce 
its environmental law, and to make findings, determinations and recommendations in accordsince with Article 
31(2)." 

Article 29: Third Party Participation 

A Party that is not a disputing Party, on delivery of a written notice to the disputing Parties and to the 
Secretariat, shall be entitled to attend all hearings, to make written and oral submissions to the p£inel and to receive 
written submissions of the disputing Parties. 

Article 30: Role of Experts 

On request of a disputing Party, or on its own initiative, the panel may seek information and technical advice 
from any person or body that it deems appropriate, provided that the disputing Parties so agree and subject to such 
terms and conditions as such Parties may agree. 

Article 31: Initial Report 

1. Unless the disputing Parties otherwise agree, the panel shall base its report on the submissions and arguments 
of the Parties and on any other information before it pursuant to Article 30. 

2. Unless the disputing Parties otherwise agree, the panel shall, within 180 days after the last paneUst is selected, 
present to the disputing Parties an initial report containing: 

(a) findings of fact; 

(b) its determination as to whether there has been a persistent pattern of failure by the Party complained 
against to effectively enforce its environmental law, or any other determination requested in the terms 
of reference; and 

(c) in the event the panel makes an affirmative determination under subparagraph (b), its recommenda- 
tions, if any, for the resolution of the dispute, which normally shall be that the Party complained against 
adopt and implement an action plan sufficient to remedy the pattern of non-enforcement. 

3. Panelists may furnish separate opinions on matters not unanimously agreed. 

4. Adisputrng Party may submit written comments to the panel on its initial report within 30 days of presentation 
of the report. 

5. In such an event, and after considering such written comments, the panel, on its own initiative or on the request 
of any disputing Party, may: 

(a) request the views of any participating Party; 



Multilateral / Environment and Natural Resources 103 

(b) reconsider its report; and 

(c) make any fiu-ther examination that it considers appropriate. 

Article 32: Final Report 

1. The panel shall present to the disputing Parties a final report, including any separate opinions on matters not 
unanimously agreed, within 60 days of presentation of the initial report, unless the disputing Parties otherwise agree. 

2. The disputing Parties shall transmit to the Council the final report of the panel, as well as any written views 
that a disputing Party desires to be appended, on a confidential basis within 15 days after it is presented to them. 

3. The final report of the panel shedl be pubUshed five days after it is transmitted to the Council. 

Article 33: Implementation of Final Report 

If, in its final report, a panel determines that there has been a persistent pattern of failure by the Party 
complained against to effectively enforce its environmental law, the disputing Parties may agree on a mutually 
satisfactory action plan, which normally shall conform with the determinations and recommendations of the panel. 
The disputing Parties shall promptly notify the Secretariat and the Council of any agreed resolution of the dispute. 

Article 34: Review of Implementation 

1. If, in its final report, a panel determines that there has been a persistent pattern of failiu-e by the Ptirty 
complained against to effectively enforce its environmental law, and: 

(a) the disputing Parties have not agreed on an action plan under Article 33 within 60 days of the date of 
the final report, or 

(b) the disputing Parties cannot agree on whether the Party complained agEunst is fully implementing 
(i) an action plan agreed under Article 33, 

(ii) an action plan deemed to have been established by a panel under paragraph 2, or 

(iii) an action plan approved or established by a panel under paragraph 4, 

any disputing Party may request that the panel be reconvened. The requesting Party shall deliver the request in 
writing to the other Parties and to the Secretariat. The Council shall reconvene the panel on delivery of the request 
to the Secretariat. 

2. No Party may make a request under paragraph 1(a) earlier than 60 days, or later than 120 days, after the date 
of the final report. If the disputing Parties have not agreed to an action plan and if no request weis made under 
paragraph 1(a), the last action plan, if any, submitted by the Party complained against to the complaining Party or 
Parties within 60 days of the date of the final report, or such other period as the disputing Parties may agree, shall 
be deemed to have been esteblished by the panel 120 days Eifter the date of the final report. 

3. A request under paragraph 1(b) may be made no earlier than 180 days after an action plan has been: 

(a) agreed under Article 33; 

(b) deemed to have been estebUshed by a panel under paragraph 2; or 

(c) approved or esteblished by a panel imder paragraph 4; 
and only during the term of any such action plan. 



104 The Marine Mammal Commission Compendium 



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

(a) shall determine whether any action plan proposed by the Party complained against is sufficient to 
remedy the pattern of non-enforcement and 

(i) if so, shall approve the plan, or 

(ii) if not, shall estabhsh such a plan consistent with the law of the Party complained against, and 

(b) may, where warranted, impose a monetary enforcement assessment in accordance with Annex 34, 
within 90 days after the panel has been reconvened or such other period as the disputing Parties may agree. 

5. Where a panel has been reconvened under paragraph Kb), it shall determine either that: 

(a) the Party complained against is fully implementing the action plan, in which case the panel may not 
impose a monetary enforcement assessment, or 

(b) the Party complained against is not folly implementing the action plan, in which case the panel shall 
impose a monetary enforcement assessment in accordance with Annex 34, 

within 60 days after it has been reconvened or such other period as the disputing Parties may agree. 

6. A panel reconvened under this Article shall provide that the Party complained against shall fully implement 
any action plan referred to in paragraph 4(a)(ii) or 5(b), and pay any monetary enforcement assessment imposed 
under paragraph 4(b) or 5(b), and any such provisions shall be final. 

Article 35: Further Proceeding 

A complaining Party may, at any time beginning 180 days after a panel determination under Article 34(5)(b), 
request in writing that a panel be reconvened to determine whether the Party complained against is fully implement- 
ing the action plan. On delivery of the request to the other Parties and the Secretariat, the Council shall reconvene 
the panel. The panel shall make the determination within 60 days after it has been reconvened or such other period 
as the disputing Parties may agree. 

Article 36: Suspension of Benefits 

1. Subject to Annex 36A, where a Psirty fails to pay a monetary enforcement assessment within 180 days after it 
is imposed by a panel: 

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

(b) under Article 34(5)(b), except where benefits may be suspended under paragraph 2(a), 

any complaining Party or Parties may suspend, in accordance with Annex 36B, the apphcation to the Party 
complained against of NAFTA benefits in an amount no greater than that sufficient to collect the monetary 
enforcement assessment. 

2. Subject to Annex 36A, where a panel has made a determination under Article 34(5)(b) and the panel: 

(a) has previously imposed a monetary enforcement assessment under Article 34(4)(b) or estabUshed an 
action plan under Article 34(4)(a)(u); or 

(b) has subsequently determined under Article 35 that a Party is not fiiUy implementing an action plan; 



Multilateral / Environment and Natural Resources 105 



the complaining Party or Parties may, in accordance with Annex 36B, suspend annually the application to the Party 
complained against of NAFTA benefits in an amount no greater than the monetary enforcement assessment 
imposed by the panel under Article 34(5)(b). 

3. Where more ihan one complaining Party suspends benefits under paragraph 1 or 2, the combined suspension 
shall be no greater than the amount of the monetary enforcement assessment. 

4. Where a Party has suspended benefits under paragraph 1 or 2, the Council shall, on the delivery of a written 
request by the Party complained against to the other Parties and the Secretariat, reconvene the panel to determine 
whether the monetary enforcement assessment has been paid or collected, or whether the Party complained against 
is ftilly implementing the action plan, as the case may be. The panel shall submit its report within 45 days after it 
has been reconvened. If the panel determines that the assessment has been paid or collected, or that the Party 
complained against is fully implementing the action plan, the suspension of benefits under paragraph 1 or 2, as the 
case may be, shall be terminated. 

5. On the written request of the Party complained against, delivered to the other Parties and the Secretariat, the 
Council shall reconvene the panel to determine whether the suspension of benefits by the complaining Party or Parties 
pursuant to paragraph 1 or 2 is manifestly excessive. Within 45 days of the request, the panel shall present a report 
to the disputing Parties containing its determination. 



PART SIX 
GENERAL PROVISIONS 

Article 37: Enforcement Principle 

Nothing in this Agreement shall be construed to empower a Party's authorities to undertake environmental 
law enforcement activities in the territory of another Party. 

Article 38: Private Rights 

No Party may provide for a right of action under its law against any other Party on the ground that another 
Party has acted in a manner inconsistent with this Agreement. 

Article 39: Protection of Information 

1. Nothing in this Agreement shall be construed to require a Party to make available or allow access to 
information: 

(a) the disclosure of which would impede its environmental law enforcement; or 

(b) that is protected from disclosure by its law governing business or proprietary information, personal 
privacy or the confidentiality of governmental decision making. 

2. If a Party provides confidential or proprietary information to another Party, the Council, the Secretariat or the 
Joint Public Advisory Committee, the recipient shall treat the information on the same basis as the Party providing 
the information. 

3. Confidential or proprietary information provided by a Party to a panel vmder this Agreement shall be treated 
in accordEmce with the rules of procedure estabhshed under Article 28. 



106 The Marine Mammal Commission Compendium 



Article 40; Relation to Other Environmental Agreements 

Nothing in this Agreement shall be construed to affect the existing rights and obligations of the Parties tmder 
other international environmental agreements, including conservation agreements, to which such Parties are party. 



Article 41: EMent of Obligations 

Annex 41 applies to the Parties specified in that Annex. 

Article 42: National Security 

Nothing in this Agreement shall be construed: 

(a) to require any Party to make available or provide access to information the disclosure of which it 
determines to be contrary to its essential secmity interests; or 

(b) to prevent any Party from taking any actions that it considers necessary for the protection of its essential 
security interests relating to 

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

(ii) the implementation of national policies or international agreements respecting the non-prolifera- 
tion of nuclear weapons or other nuclear explosive devices. 

Article 43: Funding of the Commission 

Each Party shall contribute an equal share of the annual budget of the Commission, subject to the availability 
of appropriated funds in accordance with the Party's legal procedures. No Party shall be obligated to pay more than 
any other Party in respect of an annual budget. 

Article 44: Privileges and Immunities 

The Executive Director and staff of the Secretariat shall enjoy in the territory of each Party such privileges 
and immunities as are necessary for the exercise of their functions. 



Article 45: Definitions 



For purposes of this Agreement: 



A Party has not failed to "effectively enforce its environmental law" or to comply with Article 5( 1) in a particular 
case where the action or inaction in question by agencies or officials of that Party: 

(a) reflects a reasonable exercise of their discretion in respect of investigatory, prosecutorial, regulatory or 
compliance matters; or 

(b) results from bona fide decisions to allocate resources to enforcement in respect of other environmental 
matters determined to have higher priorities; 

"non-governmental organization" means any scientific, professional, business, non-profit, or public interest 
organization or association which is neither affiliated with, nor under the direction of, a government; 

"persistent pattern" means a sustained or recurring course of action or inaction beginning sifter the date of entry 
into force of this Agreement; 



Multilateral / Environment and Natural Resources 107 



"province" means a province of Canada, and includes the Yukon Tterritory and the Northwest Tterritories and their 
successors; and 

"territorjf" means for a Party the territory of that Party as set out in Annex 45. 

2. For purposes of Article 14(1) and Part Five: 

(a) "environmental law" means any statute or regulation of a Party, or provision thereof, the primsiry 
purpose of which is the protection of the environment, or the prevention of a danger to human life or 
health, through 

(i) the prevention, abatement or control of the release, discharge, or emission of pollutants or 
environmental contaminants, 

(ii) the control of environmentally haz£irdous or toxic chemicals, substances, materials and wastes, 
and the dissemination of information related thereto, or 

(iii) the protection of wild flora or fauna, including endangered species, their habitat, and specially 
protected natural areas 

in the Partjf's territory, but does not include any statute or regulation, or provision thereof, directly 
related to worker safety or health. 

(b) For greater certainty, the term "environmental law" does not include any statute or regulation, or 
provision thereof, the primary source of which is managing the commercial harvest or exploitation, or 
subsistence or aboriginal harvesting, of natural resources. 

(c) The primary purpose of a psirticular statutory or regulatory provision for purposes of subparagraphs (a) 
and (b) shall be determined by reference to its primary purpose, rather than to the primary purpose of 
the statute or regulation of which it is part. 

3. For purposes of Article 14(3), 'judicial or administrative proceeding" means: 

(a) a domestic judicial, quasi-judicial or administrative action piu-sued by the Party in a timely fashion and 
in accordance with the law. Such actions comprise: mediation; arbitration; the process of issuing a 
license, permit, or authorization; seeking an assurance of voluntary compUance or a compliance 
agreement; seeking sanctions or remedies in an administrative or judicial forum; and the process of 
issuing an administrative order; and 

(b) an international dispute resolution proceeding to which the Party is party. 



PART SEVEN 
FINAL PROVISIONS 

Article 46: Annexes 

The Annexes to this Agreement constitute an integral part of the Agreement. 

Article 47: Entry into Force 

This Agreement shall enter into force on January 1, 1994, immediately after entry into force of the NAFTA, on 
an exchange of written notifications certifying the completion of necessary leg£d procedures. 



108 The Marine Mammal Commission Compendium 

Article 48: Amendments 

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

2. When so agreed, and approved in accordance with the apphcable legal procedures of each Party, a modification 
or addition shall constitute an integral part of this Agreement. 

Article 49: Accession 

Any country or group of countries may accede to this Agreement subject to such terms and conditions as may 
be agreed between such country or countries and the Council and following approval in accordance with the applicable 
legal procedvu^s of each country. 

Article 50: \^thdrawal 

A Party may withdraw from this Agreement six months £ifter it provides written notice of withdrawal to the 
other Parties. If a Party withdraws, the Agreement shall remain in force for the remaining Parties. 

Article 51: Authentic Texts 

The English, French, and Spanish texts of this Agreement are equally authentic. 

IN WITNESS WHEREOF, the undersigned, being duly authorized by the respective Governments, have 
signed this Agreement. 

ANNEX 34 
MONETARY ENFORCEMENT ASSESSMENTS 

1. For the first year after the date of entry into force of this Agreement, any monetary enforcement assessment 
shall be no greater than 20 miUion dollars (U.S.) or its equivalent in the currency of the Party complsdned against. 
Thereafter, any monetary enforcement assessment shall be no greater than .007 piercent of total trade in goods 
between the Parties during the most recent year for which data are available. 

2. In determining the amount of the assessment, the panel shall take into account: 

(a) the pervasiveness and duration of the Party's persistent pattern of failure to effectively enforce its 
environmental law; 

(b) the level of enforcement that could reasonably be expected of a Party given its resource constraints; 

(c) the reasons, if any, provided by the Party for not fully implementing an action plan; 

(d) efforts made by the Party to begin remedying the pattern of non-enforcement after the fi n al report of 
the panel; and 

(e) any other relevant factors. 

3. All monetary enforcement assessments shall be paid in the currency of the Party complained against into a 
fund estabUshed in the name of the Commission by the Council and shall be expended at the direction of the Council 
to improve or enhance the environment or environmental law enforcement in the Party complained against, consistent 
with its law. 



Multilateral / Environment and Natural Resources 109 

ANNEX 36A 
CANADIAN DOMESTIC ENFORCEMENT AND COLLECTION 

1. For the purposes of this Annex, '^anel detennmation" means: 

(a) a determination by a panel under Article 34(4)(b) or 5(b) that provides thfft Canada shall pay a monetary 
enforcement assessment; and 

(b) a determination by a panel imder Article 34(5)(b) that provides that Canada shall fiilly implement sm 
action plan where the panel: 

(i) has previously estabhshed an action plan under Article 34(4)(a)(ii) or imposed a monetary 
enforcement assessment vmder Article 34(4)(b); or 

(ii) has subsequently determined under Article 35 that Canada is not fully implementing an action 
plan. 

2. Canada shall adopt and maintain procedures that provide that: 

(a) subject to subparagraph (b), the Commission, at the request of a complaining Party, may in its own name 
file in a court of competent jurisdiction a certified copy of a panel determination; 

(b) the Commission may file in court a panel determination that is a panel determination described in 
paragraph 1(a) only if Canada has failed to comply with the determination within 180 days of when the 
determination was made; 

(c) when filed, the panel determination, for purposes of enforcement, shall become an order of the court; 

(d) the Commission may take proceedings for enforcement of a panel determination that is made an order 
of the coiut, in that court, against the person against whom the panel determination is addressed in 
accordance with paragraph 6 of Annex 41; 

(e) proceedings to enforce a panel determination that has been made an order of the court shall be conducted 
by way of summary proceedings; 

(f) in proceedings to enforce a panel determination that is a panel determination described in paragraph 
Kb) and that has been made an order of the court, the court shall promptly refer any question of fact or 
any question of interpretation of the panel determination to the panel that made the panel determina- 
tion, and the decision of the panel shall be binding on the court; 

(g) a panel determination that has been made an order of the court shedl not be subject to domestic review 
or appeal; and 

(h) an order made by the court in proceedings to enforce a panel determination that has been made an order 
of the court shall not be subject to review or appeal. 

3. Where Canada is the Party complained against, the procedures adopted and msdntained by Canada under this 
Annex shall apply and the procedures set out in Article 36 shall not apply. 

4. Any change by Canada to the procedures adopted and maintained by Canada vmder this Annex that have the 
effect of imdermining the provisions of this Annex shall be considered a breach of this Agreement. 



110 The Marine Mammal Commission Compendium 

ANNEX 36B 
SUSPENSION OF BENEFITS 

1. Where a complaining Party suspends NAFTA tariff benefits in accordance with this Agreement, the Party may 
increase the rates of duty on originating goods of the Party complained against to levels not to exceed the lesser of: 

(a) the rate that was applicable to those goods prior to the date of entry into force of the NAFTA, and 

(b) the Most-Favored-Nation rate applicable to those goods on the date the Party suspends such benefits, 

and such increase may be applied only for such time as is necessary to collect, through such increase, the monetary 
enforcement assessment. 

2. In considering what tariff or other benefits to suspend pursuant to Article 36( 1) or (2): 

(a) a complaining Party shall first seek to suspend benefits in the same sector or sectors as that in respect 
of which there has been a persistent pattern of failure by the Party complained against to effectively 
enforce its environmental law; and 

(b) a complaining Party that considers it is not practicable or effective to suspend benefits in the same sector 
or sectors may suspend benefits in other sectors. 

ANNEX 41 
EXTENT OF OBUGATIONS 

1. On the date of signature of this Agreement, or of the exchange of written notifications under Article 47, Canada 
shall set out in a declaration a list of any provinces for which Canada is to be bound in respect of matters within their 
jurisdiction. The declaration shall be effective on delivery to the other Parties, and shall carry no impUcation as to 
the internal distribution of powers within Canada. Canada shall notify the other Parties six months in advance of 
any modifications to its declaration. 

2. When considering whether to instruct the Secretariat to prepare a factual record pursuant to Article 15, the 
Council shall take into account whether the submission was made by a non-governmental organization or enterprise 
incorporated or otherwise organized under the laws of a province not included in the declaration made under 
paragraph 1. 

3. Canada may not request consultations vmder Article 22 or a Council meeting under Article 23 or request the 
establishment of a panel or join as a complaining Party under Article 24 against another Party at the instance, or 
primarily for the benefit, of any government of a province not included in the declaration made under paragraph 1. 

4. Canada may not request a CovmcU meeting under Article 23, or request the estabUshment of a panel or join 
as a complaining Party under Article 24 concerning whether there has been a persistent pattern of failure by another 
Party to effectively enforce its environmental law, imless Canada states in writing that the matter would be imder 
federal jurisdiction if it were to arise within the territory of Canada, or: 

(a) Canada states in writing that the matter would be under provincial jurisdiction if it were to arise 
within the territory of Canada; and 

(b) the provinces included in the declaration account for at least 55 percent of Canada's Gross Domestic 
Product (GDP) for the most recent year in which data are available; and 

(c) where the matter concerns a specific industry or sector, at least 55 percent of total Canadian production 
in that industry or sector is accounted for by the provinces included in the declaration for the most recent 
year in which data are available. 



Multilateral / Environment and Natural Resources 111 



5. No other Party may request a Council meeting under Article 23 or request the estabUshment of a panel or join 
as a complaining Party under Article 24 concerning whether there has been a persistent failure to effectively enforce 
an environmental law of a province unless that province is included in the declaration made imder paragraph 1 and 
the requirements of subparagraphs 4(b) and (c) have been met. 

6. Canada shall, no later than the date on which an arbitrjd panel is convened pursuant to Article 24 respecting 
a matter within the scope of psiragraph 5 of this Annex, notify in writing the complaining Parties and the Secretariat 
of whether any monetary enforcement assessment or action plan imposed by a panel lander Article 34(4) or 34(5) 
against Canada shall be addressed to Her Majesty in right of Canada or Her Majesty in right of the province concerned. 

7. Canada shall use its best efforts to make this Agreement apphcable to as many of its provinces as possible. 

8. Two years after the date of entry into force of this Agreement, the Council shall review the operation of this 
Annex and, in particular, shall consider whether the Parties should amend the thresholds established in 
paragraph 4. 



ANNEX 45 
COUNTRY-SPECIFIC DEFINITIONS 

For purposes of this Agreement: 
"territory" means: 

(a) with respect to Canada, the territory to which its customs laws apply, including any areas beyond the 
territorial seas of Canada within which, in accordance with international law and its domestic law, 
Canada may exercise rights with respect to the seabed and subsoil and their natural resources; 

(b) with respect to Mexico, 

(i) the states of the Federation and the Federal District, 

(ii) the islands, including the reefs and keys, in adjacent seas, 

(iii) the islands of Guadalupe and Revillagigedo situated in the Pacific Ocean, 

(iv) the continental shelf and the submstrine shelf of such islands, keys and reefs, 

(v) the waters of the territorial seas, in accordance with international law, and its interior meiritime 
waters, 

(vi) the space located above the national territory, in accordance with international law, and 

(vii) any areas beyond the territorial seas of Mexico within which, in accordance with international 
law, including the United Nations Convention on the Law of the Sea, and its domestic law, Mexico 
may exercise rights with respect to the seabed and subsoil and their natural resources; and 

(c) with respect to the United States, 

(i) the customs territory of the United States, which includes the 50 states, the District of Columbia 
and Puerto Rico, 

(ii) the foreign trade zones located in the United States and Puerto Rico; and 

(ui) any areas beyond the territorial seas of the United States within which, in accordance with 
international law and its domestic law, the United States may exercise rights with respect to the 
seabed and subsoil and their natural resources. 



112 The Marine Mammal Commission Compendium 



DONE in triplicate at 

Washington, D.C., on the 9th day and the 14th day of September 1993, 
Ottawa, on the 12th day and the 14th day of September 1993, 
Mexico, D.F., on the 8th day and the 14th day of September 1993. 

FAIT en tiois exemplaires k 

Washington, D.C., le 9ifeme jour et le 14ifeme jovir de septembre 1993, 
Ottawa, le 12ifeme jour et le 14ifeme jour de septembre 1993, 
Mexico, D.F., le Sifeme jour et le 14ifeme jour de septembre 1993. 

HECHO en tres originales en 

Washington, D.C., a los 9 dlas y a los 14 dlas de septiembre 1993, 
Ottawa, a los 12 dlas y a los 14 dlas de septiembre 1993, 
Mexico, D.F., a los 8 dlas y a los 14 dlas de septiembre 1993. 

[Signature] 

FOR THE GOVERNMENT OF THE UNITED STATES OF AMERICA 

POUR LE GOUVERNEMENT DES ETATS-UNIS D'AMERIQUE 

FOR EL GOBIERNO DE LOS ESTADOS UNIDOS DE AMERICA 

[Signature] 

FOR THE GOVERNMENT OF CANADA 

POUR LE GOUVERNEMENT DU CANADA 

POR EL GOBIERNO DE CANADA 

[Signature] 

FOR THE GOVERNMENT OF THE UNITED MEXICAN STATES 

POUR LE GOUVERNEMENT DES ETATS-UNIS MEXICAINS 

POR EL GOBIERNO DE LOS ESTADOS UNIDOS MEXICANOS 



Establishment Agreement for the 

Center for International Forestry 

Research, Canberra, 1993 



Done at Canberra 5 March 1993 

Entered into force 5 March 1993; entered into force 
3 May 1993 for the United States 

Depositary: Australia 

Primary source citation: TIAS 11960 



ESTABLISHMENT AGREEMENT FOR THE CENTER FOR 
INTERNATIONAL FORESTRY RESEARCH 

WHEREAS the Consultative Group on International Agricultural Research (hereinafter referred to as CGIAR) is an 
informal association of national governments, international organizations and private institutions co-sponsored by 
the World Bank, the Food and Agricultural Organization of the United Nations (hereinafter referred to as FAO) and 
the United Nations Development Programme (hereinafter referred to as UNDP) formed for the purpose of contribut- 
ing to sustainable improvements in the productivity of agriculture, forestry and fisheries in developing countries in 
ways that enhance nutrition and well-being, especially among low-income people; 

WHEREAS the CGIAR has agreed that there should be established a Center for International Forestry Research 
(CIFOR) which will be concerned with forestry research that benefits developing countries; 

WHEREAS, acknowledging that different regions in the world have their own unique and differing problems whose 
solution could be aided by international research, CIFOR will be a decentralized body with a headquarters in 
Indonesia and regional programs located in various coimtries; 

WHEREAS CIFOR is intended to be an International Research Center within the CGIAR system; 

WHEREAS members of the CGIAR intend to provide funds for the regular budget of CIFOR to enable the Center to 
assume its functions; and 

WHEREAS the Parties to this Agreement wish to create CIFOR as an independent institution with suitable 
governance, full juridical personaUty and appropriate international status, authorities, privileges and immunities 
and the conditions necessary to enable it to operate effectively toward the attainment of its objectives; 

THE PARTIES HAVE AGREED AS FOLLOWS: 



113 



114 The Marine Mammal Commission Compendium 



Article 1 
Establishment 

There shall be established an independent international organization entitled the "Center for International Forestry 
Research" (hereinafter referred to as "CIFOR" or "the Center") which shall operate in accordance with the Constitu- 
tion appended hereto and forming an integral part of this Agreement. 



Article 2 
Financial obligations 

The Parties shall not be under any obligation to provide financial support to CIFOR beyond voluntary contributions. 
The Parties shall not be under any responsibility, individually or collectively, for any debts, liabilities or obhgations 
of the Center. Financing of the Center's activities shall be undertaken pursuant to Article 17 of the Constitution. 



Article 3 
Signature and accession 

1. This Agreement shall be open for signature by States at Canberra at the Department of Foreign Affairs and 
Trade of Australia. It shall remain open for signature for a period of two years fi-om the date of first signature. 

2. After the expiration of the period specified in paragraph 1, this Agreement shall remain open for accession by 
any State, subject to prior approval by the Board of TYnistees of CIFOR by simple mEyority. 

3. Instruments of accession shall be deposited with the Depositary of this Agreement. 

4. The Government of Australia shall be the Depositary of this Agreement. 



Article 4 
Entry into force 

1. This Agreement and the Constitution appended hereto shall enter into force upon signature by three States. 
The three original signatories to this Agreement shall thereafter be referred to as "the sponsors". 

2. For each State depositing an instrument of accession, after the entry into force of this Agreement, this 
Agreement shall enter into force on the first day of the month after the date of receipt by the Depositary of such 
instrument. 



Article 5 
Amendment 

The amendment of this Agreement and fundamental provisions of the Constitution (as defined in Article 21 of the 
Constitution) shall be subject to the approval of the Parties to this Agreement. Such proposed amendments shall, 
following approval by the Board, be conveyed to Parties to this Agreement and shall enter into force 30 days after 
receipt by the Depositary of instruments of acceptance of the amendment fi^m all Parties to this Agreement. 



Multilateral / Environment and Natural Resources 115 



Article 6 
Withdrawal and dissolution 

Any Party to this Agreement may withdraw upon six months written notice to the other Parties through the 
Depositary. Such withdrawal shall in no way affect contractual or other obligations entered into by the Center prior 
to notice of withdrawal being given. 



Article 7 
Authentic Text 

The authentic text of the present Agreement, including the Constitution appended thereto, shall be in the English 
language. 

IN WITNESS WHEREOF, the undersigned Plenipotentiaries, being duly authorized by their respective Govern- 
ments, have signed this Agreement. 

DONE at Canberra in a single original in the EngUsh language, on the fifth day of March, 1993. 

[Signature] 

For the Government of Australia: 

[Signature] 

For the Government of Sweden: 

[Signature] 

For the Government of Switzerland: 

For the Government of the 

United States of America: [Signature] May 3, 1993 

For the Government of 

For the Grovemment of 

For the Grovemment of 

For the Government of 

For the Government of 

For the Government of 

For the Government of 

For the Grovemment of 

For the Government of 

For the Government of 



116 The Marine Mammal Commission Compendium 



CONSTITUTION FOR THE 
CENTER FOR INTERNATIONAL FORESTRY RESEARCH 

Article 1 
Establishment 

The Center for International Forestry Research (hereinafter referred to as "CIFOR" or "the Center") is hereby 
constituted as an international organization and governed by this constitution. 

Article 2 
Status 

1. The Center shall operate as a non-profit autonomous organization, international in status and non-political 
in management, staffing and operations. The Center shall be organized exclusively for the purpose of scientific 
research, information dissemination, and technology transfer in forestry. 

2. CIFOR shall possess full juridical international personality and enjoy such legal capacities as may be necessary 
for the exercise of its functions and the fulfilment of its purpose. 

Articles 
Location of Headquarters 

The country of location of CIFOR's headquarters shaU be designated by the Board of Trustees of CIFOR after 
consultation within the Consultative Group on International Agricultural Research (hereinafter referred to as 
"CGIAR"), and in accordance with the requirements for the exercise of the functions and the fulfilment of the purposes 
of CIFOR. The Board of Trustees may estabUsh offices in other locations as required to support the Center's programs. 

Article 4 
Purpose 

1. The purpose of the Center is to contribute to the sustained well-being of people in developing countries, 
particularly in the tropics, through collaborative strategic and applied research and related activities in forest 
systems and forestry, and by promoting the transfer of appropriate new technologies and the adoption of new methods 
of social orgsmization, for national development. 

2 . By "forestry" is meant the science, the art and the practice of managing and using for human benefit the natural 
resources that occur on and in association with lands bearing forest or with a forest vocation. A "forest system" is a 
fiinctional complex of forest and its biophysical, social, cultural, economic and political environment. 

Article 5 
Guiding principles 

The Center's guiding principles are: 

(a) The provision of a focal point within the CGIAR for leadership in forestry research worldwide by defining 
and updating a global research agenda of priority problems and by assessing the Center's comparative 
advantage vis-h-vis existing institutions; 

(b) A commitment to strategic research aimed at better understanding of mechanisms and processes, and 
adopting an ecosystem approach to forest systems, an holistic view in policy and socio-economic studies, 
and an integrated approach in forest products utilization research; 



Multilateral / Environment and Natural Resources 117 



(c) The marshalling of the necessary critical mass of interdisciplinary scientific expertise and resources to 
ensure efficient and effective implementation of activities to meet cleeirly. defined program objectives; 
and 

(d) Arecognition that research must rem£iin relevant to and serve the needs of developing countries in their 
efforts to achieve sustainable land-use practices, minimise further degradation of forested lands and 
promote social equity. 

Articles 
Activities 

1. CIFOR shall conduct, promote and support research that can provide the basis for sustainable forestry and 
forest systems in developing countries, thereby enhancing the environment, development and well-being of their 
peoples. 

2. CIFOR shall formulate a research program to underpin the science of forestry, by developing and maintaining 
the necessary scientific and technological base and the necessary staff expertise. This program shall be directed 
towards innovation and technology development and the transfer of the results of such work to CIFOR's stakeholders 
for the ultimate benefit of people in developing countries. 

3. CIFOR shall operate through a variety of mechanisms suited to the needs of its constituent progrsims, including 
networking, collaborative and contractual arrangements, £md in-house research. 

4. CIFOR shall monitor forestry research globally and shall obtain and process information relevant to developing 
countries. CIFOR shEill act as a distributor of this information where and when it is needed. 

5. CIFOR shall keep itself informed of the policies, practices and capabihties of other agencies active in forestry 
and forestry research and shall, upon request, serve in an advisory role on these matters within and outside the 
CGIAR. 

6. CIFOR shall perform such other activities as its Board of Trustees may find necessary or usefiil in furtherance 
of its purpose set forth in Article 4 hereof 

7. CIFOR's activities shall contribute to increasing the forestry research capacity of developing countries. These 
activities shall be undertaken in the context of strategic problem-solving research aimed at: 

Objective 1. Understanding the biophysical and socioeconomic environments of present and potential forest 

systems and forestry, and their fiinctional relationships. 

Objective 2. Creating the potential for sustainable improved productivity of forest systems for the benefit of 

people in developing countries. 

Objective 3. Providing anfdysis, information and advice to assist in making poUcy decisions about forests and 

land use. 

Objective 4. Increasing national forestry research capacity. 

Article 7 
Powers 

1. In fiirtherance of the aforesaid aims and activities, CIFOR shall have the following powers: 

(a) to receive or otherwise lawfully obtain from any governmental authority or from any corporation, 
company, association, person, firm, foundation or other entity whether international, regional or 
national, such charters, licences, rights, concessions or similar rights, and assistance - fiuEincial or 
otherwise - as are conducive to sind necessary for the attaiimient of the aims of the Center; 



118 The Marine Mammal Commission Compendium 



(b) to receive, acquire or otherwise lawfully obtain from any governmental authority or from any corpora- 
tion, company, association, person, firm, foundation or other entity, whether international, regional or 
national, by donation, grant, exchange, devise, bequest, purchase or lease, either absolutely or in trust, 
contributions consisting of such properties, real, personal, or mixed including funds and valuable effects 
or items, as may be useful or necessary to pursue the aims and activities of the Center and to hold, 
operate, administer, use, sell, convey or dispose of the sziid properties; 

(c) to enter into Agreements, Memoranda of Understanding and Contracts; 

(d) to employ persons according to its own regulations; 

(e) to institute, and defend in, legal proceedings; and 

(f) to perform all acts and functions as may be found necessary, expedient, suitable or proper for the 
furtherance, accomplishment or attainment of any and/or all of the purposes and activities herein stated, 
or which shall appear, at any time, as conducive to or necessary and useful for the aims and activities 
of the Center. 

2. No part of the esimings of the Center shall inure to the benefit of, or be distributable to, its members, trustees, 
officers, or other private persons, except that the Center shall be authorized and empowered to pay reasonable 
compensation for services rendered and to make payments and distributions in furtherance of the purpose set forth 
in Article 4 hereof 

Article 8 
Organs 

The organs of CIFOR shall be: 

(a) The Board of Trustees (hereinafter referred to as "the Board"); and 

(b) The Director General. 

Article 9 
Composition of the Board 

1. The Board shall consist of up to seventeen members, selected as follows: 

(a) three members elected by the Board upon nomination by the CGIAR, and up to eleven members-at-large 
elected by the Board; 

(b) one Chairperson appointed in accordance with Article 13 below; 

(c) one ex-o£5cio member appointed by the court which hosts the headquarters of CIFOR; 

(d) the Chairperson of the Board of Trustees of the International Centre for Research in Agroforestry 
(hereinafter referred to as "ICRAF"), as an ex-officio member; and 

(e) the Director General of CIFOR as a non-voting ex-ofiBcio member. 

2. The members of the Board, except the Director General who serves as a member for her/his whole term of office 
and the member appointed by the host country, sheJl be appointed for terms of no more than three years as determined 
by the Board in advance of the appointment. Vacancies among members nominated by the CGIAR and among the 
members-at-large by reason of their retirement, death, incapacity or any other cause shall be filled in the same 
mannpr as the original appointments. A new member appointed to replace a member during the latter's term may 
be appointed for the remaining term of the member being replaced or for some other term of no more than three years. 



Multilateral / Environment and Natural Resources 119 



3. The members of the Board are eligible for reappointment for a second term but shall not serve more than two 
successive terms, except that the member elected as Chairperson may have her/his term extended by the Board in 
order to coincide with her/his appointment as Chairperson, provided that no member shall serve for more than eight 
consecutive years on the Board, lb ensure continuity of policies and operations, members shall serve staggered terms 
as determined by the BoEird. 

4. The members of the Board - other than the ex-officio members - serve in a personal capacity and shall not be 
considered, nor shall they act, as ofiBcial representatives of governments or organizations. 

5. The term of ofiBce and the selection of the member appointed by the host country shall be determined by the 
host country. 

6. Regard shall be paid especially to proposed members' professional experience and qualifications, to appropriate 
geographicsd distribution, and to organizations or countries which have concern for and provide substantial support 
to the Center. Approximately one-half of aU Board members shall come from developing countries covered by CIFOR's 
activities. 

7. The Center shall provide a Secretsiry to the Board from among the senior staff of CIFOR, on nomination of the 
Director General and selection by the Board. 

Article 10 
The Founding Board 

1. The Founding Board shall consist of fifteen members, selected as follows: 

(a) three voting members selected by the members of the CGIAR as their nominees; 

(b) up to eleven voting members selected by the members of the CGIAR in accordance with Article 9, 
paragraph 6; and 

(c) the Chairperson of the Board of Ibrustees of the ICRAF, as an ex-offido voting member. 

2. Following the conclusion of a headquarters agreement between CIFOR and its host country, the host coimtry 
may appoint an ex-officio member to serve as a voting member of the Founding Board. 

3. The Founding Board shall elect a Director General of CIFOR in accordance with Article 14, paragraph 1, to 
serve on the Founding Board as an ex-officio non-voting member. 

4. At the inaugural meeting of the Founding Board a Chairperson shall be elected in accordance with Article 13, 
paragraph 1, below. 

5. Founding members of the Board (those referred to in subparagraphs 1(a) and (b)), may serve for a minimum 
period of three years and a maximum of six years. At the end of the first three year period one half of the Board 
members shall retire. The order of retirement shall be determined by the Board. 

6. When a vacancy occurs amongst members of the Founding Board, such vacancy shall be filled as follows: 

(a) Non-ex-officio voting members shall be replaced by election by the Board in accordance with Article 12. 
Cb) The Chairperson shall be re-elected in accordance with Article 13. 

(c) Ex-officio members of the Board shall be reappointed in the same manner as their original appointments. 
Subsequent appointments to the Board shall be made in accordance with Article 9. 



120 The Marine Mammal Commission Compendium 



Article 11 
Fvmctions and powers of the Board 

1. The Board shall govern CIFOR in all affairs of the Center Its role shall be to ensure that: 

(a) the Center has objectives, programs and plans that are consistent with its purpose; 

(b) the Center is managed effectively by the Director General in harmony with the agreed objectives, 
programs and budgets, £ind in accordance with legal and regulatory requirements; and 

(c) the future well-being of CIFOR is not jeopardized by exposing its financial resources, its staff or its 
credibility to imprudent risks. 

2. lb this end, the Board shall have the following duties: 

(a) definition of objectives and approval of plans to meet the Center's purpose and to monitor the 
achievement of this purpose; 

(b) specification of policies to be followed by the Director General in pursuing the specified objectives; 

(c) appointment of the Director Genereil , determination of her/his terms of employment, monitoring her/his 
performance and dismissal of the Director Genersil if her/his performance is inadequate; 

(d) approval of the Center's broad organizational framework; 

(e) approval of personnel policies including scales of salaries and benefits; 

(f) determination of priorities relating to major elements within and between the Center's programs; 

(g) approval of the Center's program and budget and the Center's Annual Report; 
(h) ensuring the Center's cost-effectiveness, financial integrity and accountability; 
(i) appointment of an external auditor and approval of an annual audit plan; 

(j) approval of an investment policy and monitoring of its implementation; 

(k) overseeing of major borrowing, major expansion including the acquisition of major equipment and 
facilities, and the disposal of major assets; 

(1) ensuring that due consideration is given to the recommendations and suggestions made by reviews 
pertinent to the Center's operation and activities; 

(m) ensuring that Board members have no conflict of interest; 

(n) maintaining the composition of the Board with respect to the expertise needed to discharge the fiill range 
of its responsibilities, and monitoring and evsJuating the performance of the Center; and 

(o) perform all other acts that may be considered necessary, suitable and proper for the attainment of the 
purpose of the Center as set forth in Article 4 hereof 

3. The Board shall designate an Executive Committee of its members which shall have the power to act for the 
Board in the interim between Board meetings, and on matters which the Board delegates to it. All interim actions of 
the executive committee shall be reported to the full Board at its next meeting. 

4. The Board may establish such other subsidiary committees as it deems necessary for the performance of its 
functions. 



Multilateral / Environment and Natural Resources 121 



5. The Board shall ensure that appropriate mechanisms are in place for adequate consultation with recognized 
international stakeholders. 

6. The Director General of ICRAF may be invited to be an observer on the Board, for as long as reciprocity of such 
arrangement is agreed with ICRAF. 

Article 12 
Voting by the Board 

Voting by the Board of TVustees is regulated as follows: 

(a) each member of the Board has one vote, except the Director General who has no vote; 

(b) the Chairperson of the Board has a casting vote; and 

(c) decisions of the Board shall be made by a majority of the voting members present except as specified 
otherwise in this Constitution. 

Article 13 
Procedure of the Board 

1. The Board shall elect one member as Chairperson from among the non-ex-officio members. The normal term 
of the Chairperson shall be three years. The Board may re-elect its Chairperson for a second term of not more than 
three years, provided that total Board membership shall not exceed eight years at the expiry of such second term. 

2. The Board shall meet at least once annually. 

3. The Board shall adopt its own rules of procedure, consistent with this Constitution. 

4. A majority of the members shall constitute a quorum for Bosird meetings. 

Article 14 
Appointment of the Director General 

1. The appointment of the Director General of CIFOR, her/his term of office, and Einy termination for cause shall 
be decided by a two-thirds majority of all voting members of the Board. 

2. The Director General shall be appointed initially for a fixed term not exceeding five years with a substantive 
review of the Director General's performance before the end of that term. The appointment may be renewed for a 
second term to be determined by the Board. 

Article 15 
Functions and powers of the Director General 

1. The Director General is responsible to the Boaird for the operation and management of CIFOR and for assuring 
that its programs and objectives are properly developed and carried out. The Director General is the Chief Executive 
Officer of the Center. 

2. The Director General shall implement the policies determined by the Board, follow the guideUnes laid down 
by the Board for the functioning of the Center and carry out the directions of the Board. Specificsdly, the Director 
General shall: 

(a) develop strategic and operational plans for the functioning of the Center and keep these plans under 
continuing review; 



122 The Marine Mammal Commission Compendium 



(b) develop program and budget submissions and prepare the Center's Annual Report; 

(c) supervise the planning and direction of the Center's research programs and other activities to ensure 
effective programming and project implementation, analysis and evaluation of on-going programs and 
to provide vision and insight into global problems in developing strategies for future programs; 

(d) recruit and manage highly qualified and appropriately experienced staff; 

(e) keep and have available for review by the Bosu-d and other appropriate parties, financial accounts and 
other records on a current basis; 

(f) keep the Chairperson of the Board advised on matters of consequence that relate to the Center; and 

(g) perform such other functions as are delegated to her/him by the Board. 

3. The Director General is the legal representative of CIFOR and is authorized by the Board to sign all deeds, 
contracts, agreements, and other legal documents which are necessary to ensure the normal operation of the Center. 
The Board may stipulate the extent to which these powers may be delegated by the Director General. Such delegation 
shall be evidenced by an instrument in writing, naming the person(s) or position(s) to whom the delegation is made. 
Contracts and agreements which affect the governance, objectives, location, expansion or dissolution of CIFOR, or 
major issues of the relationship with the host country, shall be subject to approval by the Board. 

Article 16 
Staffing 

1. The paramount consideration in the emplo}rment of staff and in the determination of the conditions of service 
shall be the necessity of securing the highest standards of quality, efiBciency, competence and integrity. 

2. The staff shall be appointed by the Director General under staff regulations approved by the Board. 

3. Employment practices of CIFOR shall not discriminate on the basis of gender, race, creed, colour, age, marital 
status or sexual preference. 

4. Salary scales, insurance, pension schemes and any other terms of employment shall be laid down in staff 
regulations. 

Article 17 
Financing 

1. The financial operations of the Center shsill be governed by financial regulations to be adopted by the Board. 

2. The regular budget of the Center shall be funded primarily by members of the CGIAR. 

3. In accordance with Article 19, the Center may enter into finjmcial arrangements with other sources to 
implement its program. 

4. The budget of the Center shsJl be subject to annual approval by the Board. 

5. A fiill financial audit of the operations of the Center shall be conducted on an annual basis by an independent 
international accounting firm appointed by the Board upon recommendation by the Director General. The results of 
such audits shall be made available by the Director General to the Board for its consideration and approval, and to 
those CGIAR members funding the Center. 



Multilateral / Environment and Natural Resources 123 



Article 18 
Relationship with the CGIAR 

CIFOR Is an International Research Center within the CGIAR system. As such, the Center shall provide the CGIAR 
with details of its program and budget as approved by the Board. In addition, the Board shall arrange for periodic 
review of its program and of its management by an independent review panel appointed in consultation with the 
CGIAR. 

Article 19 
Relationships with other Organizations 

In order to achieve its objectives in the most efBcient way, CIFOR may enter into agreements for cooperation with 
relevant national, regional or international organizations, foundations, agencies £ind institutions. 

Article 20 
Rights, privileges and immunities 

1. CIFOR shall make arrangements with its host country to ensure that the Center, its staff members and official 
visitors shall enjoy in the territory of the host country the ssime rights, privileges and immunities as are customarily 
accorded to other international organizations, their officials, staff and official visitors. Such rights, privileges and 
immunities shall be specifically defined in a Headqu£irters Agreement with the host country. 

2. Similarly, CIFOR may, pursuant to Article 7, subparagraph 1(c), of this Constitution, enter into agreements 
or arrangements with the other countries in which it works for the purpose of granting CIFOR, its officials and staff 
such privileges and immunities as are required for such work. 

3. The privileges and immunities referred to in the preceding paragraphs are to be provided solely to ensure in 
all circumstances the unimpeded functioning of CIFOR, and the complete independence of the persons to whom they 
are accorded. 

Article 21 
Amendments 

This Constitution may be amended by the Board by a three-fourths majority of all voting members of the Board, 
provided notice of such a proposed amendment together with its full text shall have been mailed to all members of 
the Board at least eight weeks in advance of meetings, or such notice is waived by sJl voting members of the Board. 
Amendments of fundamental provisions of the Constitution shall be, in addition, subject to approval by the Parties 
to the Estabhshment Agreement in accordance with Article 5 of that Agreement. Those provisions shall include: the 
status, country of location and the purpose of the Center, the number and method of selection of the Board members, 
and the dissolution of CIFOR. 

Article 22 
Dissolution 

1. Subject to approval of a majority of the Parties to the Estabhshment Agreement, CIFOR may be dissolved by 
a three-fourths majority of all voting members of the Board, if it is determined that the purpose of CIFOR has been 
achieved to a satisfactory degree or if it is determined that CIFOR will no longer be able to function effectively. 

2. Upon dissolution, any rem ainin g debts, UabUities or obUgations of the Center shall be subject to Article 2 of 
the Estabhshment Agreement. In case of dissolution, the deposition of assets other than land and fixed capital 
improvements thereon, shall be determined by the Parties to the Estabhshment Agreement, who have made a 
financial contribution to the Center in the financial year prior to dissolution (hereafter "the contributors"), after 
receiving recommendations from the Board. The disposition of any land and permanent fixed capital improvements 
thereon shall, upon dissolution, be similarly determined by the contributors, subject to the relevant provisions of the 



124 The Marine Mammal Commission Compendium 



Headquarters Agreement with the host country. Upon dissolution of CIFOR, the assets of the Center - excluding the 
land and fixed capital improvements thereon - shall firstly be used for paying for, or making provisions for, payment 
of all the liabUities and debts of the Center. Following payment of such liabilities, any remaining assets of CIFOR 
shall be disposed of by the contributors exclusively for the purposes of the Center in such a manner, or to such 
organization or organizations, dedicated to and operated exclusively for educationEd or scientific purposes as the 
contributors shall determine. Any such assets not disposed of in accordance with the provisions of this Article, shall 
be disposed of in accordance with the relevant laws of the jurisdiction in which the headquarters of CIFOR are located. 



Agreement Establishing the South 

Pacific Regional Environment 

Programme (SPREP), Apia, 1993 



Done at Apia 16 June 1993 

Entered into force 31 August 1995* 

Depositary: Western Samoa 

Primary source citation: Copy of text provided by the 
U.S. Department of State 



AGREEMENT ESTABLISfflNG THE SOUTH PACIFIC REGIONAL 
ENVIRONMENT PROGRAMME (SPREP) 

Certified as True Copies of the Original. 

[Signature] 

(Mose Pouvi Sua) 

SECRETARY FOR FOREIGN AFFAIRS 

[seal] 

THE PARTIES, 

Recognising the importance of protecting the environment and conserving the natursil resovu-ces of the South Pacific 
region; 

Conscious of their responsibility to preserve their natural heritage for the benefit and enjoyment of present and future 
generations and their role as custodians of natural resources of global importance; 

Recognising the special hydrological, geological, atmospheric and ecological characteristics of the region which require 
special care and responsible management; 

Seeking to ensure that resource development takes proper account of the need to protect and preserve the unique 
environmental values of the region and of the principles of sustainable development; 

Recognising the need for co-operation within the region and with competent international, regional and sub-regional 
organisations in order to ensure coordination and co-operation in efforts to protect the environment and use the 
natural resources of the region on a sustainable basis; 

Wishing to estabhsh a comprehensive Progranmie to assist the region in maintaining and improving its environment 
and to act as the central coordinating point for environmental protection measures within the region; 



* This agreement has not been ratified by and is therefore not yet in force for the United States. 



125 



126 The Marine Mammal Commission Compendium 



Recalling the decision taken at the Conference on the Human Environment in the South Pacific, held at Rarotonga, 
Cook Islands, on 8-11 March 1982, to establish the South Pacific Regional Environment Programme as a separate 
entity within the South Pacific Commission; 

Recalling with appreciation the role of UNEP, ESCAP, the South Pacific Forum and the South Pacific Conference in 
supporting the establishment and encouraging the development of the South Pacific Regional Environment Pro- 
gramme as a regional programme and as part of the UNEP Regional Seas Programme; 

Noting with satisfaction that the Convention for the Protection of the Natural Resources sind Environment of the 
South Pacific Region, done at Noumea on 24 November 1986, and its related Protocols, and the Convention on 
Conservation of Nature in the South Pacific, done at Apia on 12 June 1976, entered into force in 1990; 

Appreciative of the valuable efforts that have been undertaken by the South Pacific Regional Environment 
Programme to promote environmental protection within the region and the support given to the Programme by the 
South Pacific Commission; 

Taking into account the decisions of the Third and Fourth Intergovernmental Meetings of the South Pacific Regional 
Environment Programme, held in Noumea in September 1990 and July 1991, and the endorsement of the Thirtieth 
South Pacific Conference, held in Noumea in October 1990; and 

Desiring to accord the South Pacific Regional Environment Programme the full and formal legal status necessary to 
operate as an autonomous body, to manage fully its own aifairs and to provide the basis for the continued operation 
of SPREP in accordance with the traditions of cooperation in the region; 

HAVE AGREED AS FOLLOWS: 



Article 1 
Establishment of SPREP 

1 . The South Pacific Regional Environment Programme (hereinafter referred to as SPREP) is hereby established 
as an intergovernmental organisation. 

2. The organs of SPREP are the SPREP Meeting and the Secretariat. 

3. The Secretariat shall be located in Apia, Western Samoa, unless the SPREP Meeting decides otherwise. 



Article 2 
Purposes 

1. The purposes of SPREP are to promote co-operation in the South Pacific region and to provide assistance in 
order to protect and improve its environment and to ensure sustainable development for present and fiiture 
generations. SPREP shall achieve these purposes through the Action Plan adopted from time to time by the SPREP 
Meeting, setting the strategies and objectives of SPREP. 

2. The Action Plan shall include: 

(a) co-ordinating regional activities addressing the environment; 

(b) monitoring and assessing the state of the environment in the region including the impacts of human 
activities on the ecosystems of the region and encouraging development undertaken to be directed 
towards maintaining or enhancing environmental qualities; 



Multilateral / Environment and Natural Resources 127 



(c) promoting and developing programmes, including research programmes, to protect the atmosphere and 
terrestrial, freshwater, coastal and marine ecosystems and species, while ensuring ecologically sustain- 
able utilisation of resources; 

(d) reducing, through prevention and management, atmospheric, land based, freshwater and marine 
pollution; 

(e) strengthening national and regional capabilities and institutional arrangements; 

(f) increasing and improving training, educational and pubUc awareness activities; and 

(g) promoting integrated legal, planning and management mechanisms. 

Article 3 
SPREP Meetings 

1. The SPREP Meeting shall be open to the Membership of the Parties to this Agreement and, with the appropriate 
authorisation of the Party having responsibility for its international affairs, of each of the following: 

American Samoa 

French Polynesia 

Guam 

New Caledonia 

Northern Mariana Islands 

Palau 

Tbkelau 

WaUis and Futuna. 

2. The SPREP Meeting shall be held at such times as the SPREP Meeting may determine. A special SPREP 
Meeting may be held at any time as provided in the Rules of Procedure. 

3. The SPREP Meeting shall be the plenary body and its functions shall be: 

(a) to provide a forum for Members to consult on matters of common concern with regard to the protection 
and improvement of the environment of the South Pacific region and, in particular, to further the 
purposes of SPREP; 

(b) to approve and review the Action Plan for SPREP and to determine the general poUcies of SPREP; 

(c) to adopt the report of the Director on the operation of SPREP; 

(d) to adopt the work programmes of SPREP and review progress in their implementation; 

(e) to adopt the Budget estimates of SPREP; 

(f) to make recommendations to Members; 

(g) to appoint the Director; 

(h) to give directions to the Director concerning the implementation of the Work Programme; 

(i) to approve rules and conditions for the appointment of the staff of the Secretariat; and 

(j) to carry out such other ftinctions as are specified in this Agreement or are necessary for the effective 
functioning of SPREP 



128 The Marine Mammal Commission Compendium 



4. The SPREP Meeting may establish such committees and subcommittees and other subsidiary bodies as it 
considers necessary. 

5. In addition to the functions referred to in paragraph (3) of this Article, the SPREP Meeting shall, through such 
mechanisms as it considers appropriate, consult and co-operate with the Meetings of Parties to: 

(a) the Convention on Conservation of Nature in the South Pacific adopted at Apia on 12 June 1976; 

(b) the Convention for the Protection of the Natural Resources and Environment of the South Pacific Region 
adopted at Noumea on 24 November 1986 and related Protocols; and 

(c) any other international or regional Agreement that may be concluded for the protection of the environ- 
ment of the South Pacific region, 

with a view to ensuring the achievement of the purpose of SPREP and of this Agreement and facilitating the 
achievement of the purposes of those Conventions. 



Article 4 
Meeting Procedure 

1. The SPREP Meeting shall elect from among its Members a Chairperson and such other officers as it decides, 
who shall remain in office until the next SPREP Meeting. In principle, the role of the Chairperson shall rotate as 
decided by the SPREP Meeting. 

2. The SPREP Meeting shall adopt its own Rules of Procedure. 

3. (a) The Parties shall ensure the full involvement of all Members in the work of the SPREP Meeting. The 

work of the SPREP Meeting shall be conducted on the basis of consensus of all Members, taking into 
account the practices and procedures of the South Pacific region. 

(b) In the event that a decision is required in the SPREP Meeting, that decision shall be taken by a consensus 
of the Parties. The consensus of the Parties shall ensure that the views of all Members of the SPREP 
Meeting have been properly considered and taken into account in reaching that consensus. 

4. The attendance by observers in SPREP Meetings shall be provided for in the Rules of Procedure. 

5. The SPREP Meeting shall be convened by the Director. 

6. The working languages of SPREP shall include Enghsh and French. 

Article 5 
Budget 

1. The Budget estimates for SPREP shall be prepared by the Director 

2. Adoption of the Budget of SPREP and determination of all other questions relating to the Budget shall be by 
consensus. 

3. The SPREP Meeting shall adopt financial regulations for the administration of SPREP. Such regulations may 
authorise SPREP to accept contributions fix)m private and pubUc sources. 



Multilateral / Environment and Natural Resources 129 

Article 6 
Director 

1. The Director of SPREP shall be the head of the Secretariat. 

2. The Director shall appoint staff to the Secretariat in accordance with such rules and conditions as the SPREP 
Meeting may determine. 

3. The Director shall report annually to the South Pacific Conference and the South Pacific Forum on the activities 
ofSPRER 

4. The Director shall be responsible to the SPREP Meeting for the administration and management of SPREP 
and such other functions as the SPREP Meeting may decide. 

Article 7 
Functions of the Secretariat 

1. The functions of the Secretariat shall be to implement the activities of SPREP, which shall include: 

(a) to promote, imdertake and co-ordinate the implementation of the SPREP Action Plan through the 
annual Programmes of Work, and review and report regularly on progress thereon to Members; 

(b) to carry out research and studies as required to implement the SPREP Action Plan through the annual 
Programmes of Work; 

(c) to advise and assist Members on the implementation of activities csuried out under the SPREP Action 
Plan or consistent with its purpose; 

(d) to provide a means of regular consultation among Members on the implementation of activities under 
the SPREP Action Plan and on other relevant issues; 

(e) to co-ordinate and estabhsh working arrangements with relevant national, regionsd and international 
organisations; 

(f) to gather and disseminate relevsmt information for Members and other interested Governments and 
organisations; 

(g) to promote the development and training of personnel of Members and to promote pubhc aweireness and 
education, including the pubhcation of materials; 

(h) to assist Members in the acquisition, interpretation and evaluation of scientific and technical data and 
information; 

(i) to undertake such other activities and follow such procedures as the SPREP Meeting may decide; and 

(j) to seek financial and technical resovu-ces for SPREP. 

2. In addition to the fiinctions described in paragraph (1) of this Article, the Secretariat shall be responsible for 
the co-ordination and implementation of any functions that the SPREP Meeting may agree to undertake relating to: 

(a) the Convention on Conservation of Nature in the South Pacific; 



130 



The Marine Mammal Commission Compendium 



(b) the Convention for the Protection of the Natural Resources and Environment of the South Pacific Region, 
the Protocol for the Prevention of Pollution of the South Pacific Region by Diunping, and the Protocol 
Concerning Co-operation in Combating Pollution Emergencies in the South Pacific Region; and 

(c) any other international or regional Agreement that may be concluded for the protection of the environ- 
ment of the South Pacific region. 



Article 8 
Legal Status, Privileges and Immunities 

1. SPREP shall have such legal personality as is necessary for it to carry out its functions and responsibilities 
and, in particular, shall have the capacity to contract, to acquire and dispose of moveable and immoveable property 
and to sue and be sued. 

2. SPREP, its oflBcers and employees, together with representatives to the SPREP Meeting, shall eiyoy such 
privileges and immunities necessary for the fulfillment of their functions, as may be agreed between SPREP and the 
Party in whose territory the Secretariat is located, and as may be provided by other Parties. 

Article 9 
Sovereign Rights and Jurisdiction of States 

Nothing in this Agreement shall be interpreted as prejudicing the sovereignty of the Parties over their territory, 
territorial sea, internal or archipelagic waters, or their sovereign rights: 

(a) in their exclusive economic zones and fishing zones for the purpose of exploring or exploiting, conserving 
and managing the natural resources, whether Uving or non-living, of the waters superjacent to the 
sea-bed and of the sea-bed and its subsoil, and with regard to other activities for the economic 
exploitation and exploration of the zone; or 

(b) over their continental shelves for the purpose of exploring them and exploiting the natural resources 
thereof 



Article 10 
Signature, Ratification, Acceptance, Approval and Accession 

1. This Agreement shall be open for signature fi^m the sixteenth day of June 1993 until the sixteenth day of Jime 
1994, and shall thereafter remain open for accession, by: 



Australia 

Cook Islands 

Federated States 
of Micronesia 

Republic of Fiji 

RepubUc of France 

Repubhc of Kiribati 



Republic of the 
Marshall Islands 

Republic of Nauru 

New Zealand 

Niue 

Papua New Guinea 

Solomon Islands 



Kingdom of Tbnga 

T^ivalu 

United Kingdom of 
Great Britain and 
Northern Ireland on 
behalf of Pitcaim 
Islands 

United States of 
America 



Republic of Vanuatu 
Western Samoa. 



Multilateral / Environment and Natural Resources 131 

2. This Agreement is subject to ratification, acceptance, or approval by the Signatories. 

3. Reservations to this Agreement shall not be permitted. 

4. This Agreement shall enter into force thirty days from the date of deposit of the tenth instrument of ratification, 
acceptance, approval, or accession with the Depositary, and thereafter for each State, thirty days aft«r the date of 
deposit of its instrument of ratification, acceptance, approval, or accession with the Depositary. 

5. Following the expiry of the period when this Agreement is open for signature, and provided that this Agreement 
has entered into force, this Agreement shall be open for accession by any State other than those referred to in this 
Article which, desiring to accede to this Agreement, may so notify the Depositary, which shall in turn notify the 
Parties. In the absence of a written objection by a Party within six months of receipt of such notification, a State may 
accede by deposit of an instrument of accession with the Depositary, and accession shfdl take effect thirty days after 
the date of deposit. 

6. The Government of Western Samoa is hereby designated as the Depositary. 

7. The Depositary shall transmit certified copies of this Agreement to all Members and shall register this 
Agreement in accordance with Article 102 of the Charter of the United Nations. 

Article 11 
Amendment and Withdrawal 

1. Any Party may propose amendments to this Agreement for consideration by the SPREP Meeting. The text of 
any amendment shall be circulated to Members no less than six months in advance of the Meeting at which it is to 
be considered. 

2. An amendment shall be adopted at a SPREP Meeting by consensus of all Parties attending the SPREP Meeting 
and shall enterinto force thirty days after the receipt by the Depositary of instruments of ratification, acceptance or 
approval of that amendment by all Parties. 

3. Any Party to this Agreement may withdraw from this Agreement by giving written notice to the Depositary. 
Withdrawal shall take effect one year after receipt of such notice by the Depositary. 

IN WITNESS WHEREOF the undersigned, being duly authorised by their respective Governments, have signed this 
Agreement. 

Done at Apia this sixteenth day of June 1993 in a single copy in the Enghsh and French languages, the two texts 
being equally authentic. 

For the Government of Austraha: 



For the Government of the Cook Islands: 



this day of _ 



this day of _ 



For the Government of the Federated States of Micronesia: 

this day of _ 



132 



The Marine Mammal Commission Compendium 



For the Government of the Republic of Fqi: 



[Signature] 

this 16th day of June 1993 



For the Government of the Republic of France: 



[Signature] 

this 16th day of June 1993 



For the Government of the Republic of Kiribati: 



[Signature] 

this 16th day of June 1993 



For the Government of the Republic of the Marshall Islsmds: [Signature] 

this 16th day of June 1993 



For the Government of the Republic of Nauru: 



[Signature] 

this 16th day of June 1993 



For the Government of New Zealand: 



this day of 1993 



For the Government of Nine: 



[Signature] 

this 16th day of June 1993 



For the Government of Papua New Guinea: 



[Signature] 

this 16th day of June 1993 



For the Government of Solomon Islands: 



[Signature] 

this 16th day of June 1993 



For the Government of the Kingdom of Tbnga: 



this day of 1993 



Multilateral / Environment and Natural Resources 



133 



For the Government of Tuvalu: 



[Signature] 

this 16th day of June 1993 



For the Government of the United Kingdom 
of Great Britain and Northern Ireland 
on behalf of Pitcaim Islands: 



this day of 1993 



For the Government of the United States of America: 



[Signature] 

this 16th day of June 1993 



For the Government of the Repubhc of Vanuatu: 



[Signature] 

this 16th day of June 1993 



For the Government of Western Samoa: 



[Signature] 

this 16th day of June 1993 



International Tropical Timber 
Agreement, Geneva, 1994 



Done at Geneva 26 January 1994 

Entered into force 1 February 1995 

Depositary: United Nations 

Primary source citation: Copy of text provided by the 
U.S. Department of State 



INTERNATIONAL TROPICAL TIMBER AGREEMENT 

1994 



UNITED NATIONS 
1994 



PREAMBLE 

The Parties to this Agreement, 

Recalling the Declaration and the Programme of Action on the Establishment of A New International Economic 
Order; the Integrated Programme for Commodities; ANew Partnership for Development: the Cartagena Commitment 
and the relevant objectives contained in the Spirit of Cartagena, 

Recalling the International Tropical Timber Agreement, 1983, and recognizing the work of the International 
Tropical Timber Organization and its achievements since its inception, including a strategy for achieving interna- 
tional trade in tropical timber from sustainably managed sources, 

RecaUing further the Rio Declaration on Environment and Development, the Non-Legally Binding Authorita- 
tive Statement of Principles for a Global Consensus on the Management, Conservation and Sustainable Development 
of all Types of Forests, and the relevant Chapters of Agenda 21 as adopted by the United Nations Conference on 
Environment and Development in June 1992, in Rio de Janeiro; the United Nations Framework Convention on 
Climate Change; and the Convention on Biological Diversity, 

Recognizing the importance of timber to the economies of countries with timber-producing forests. 

Further recognizing the need to promote and apply comparable and appropriate guidehnes and criteria for the 
management, conservation and sustainable development of all tjrpes of timber-producing forests. 

Taking into account the linkages of tropical timber trade and the international timber market and the need 
for taking a global perspective in order to improve transparency in the international timber market. 



134 



Multilateral / Environment and Natural Resources 135 



Noting the commitment of all members, made in Bali, Indonesia, in May 1990, to achieve exports of tropical 
timber products from sustainably managed sources by the year 2000 and recognizing Principle 10 of the Non-Legally 
Binding Authoritative Statement of Principles for a Global Consensus on the Management, Conservation and 
Sustainable Development of all Types of Forests which states that new and additional financial resources should be 
provided to developing countries to enable them to sustainably manage, conserve and develop their forests, including 
through afforestation, reforestation and combatting deforestation and forest and land degradation. 

Noting also the statement of commitment to maintain, or achieve by the year 2000, the sustainable manage- 
ment of their respective forests made by consuming members who are parties to the International TVopical Timber 
Agreement, 1983 at the fourth session of the United Nations Conference for the Negotiation of a Successor Agreement 
to the International Tropical Timber Agreement, 1983 in Geneva on 21 January 1994, 

Desiring to strengthen the framework of international cooperation and poUcy development between members 
in finding solutions to the problems facing the tropical timber economy. 

Have agreed as follows: 

CHAPTER I. OBJECTIVES 

Article 1 
Objectives 

Recognizing the sovereignty of members over their natural resources, as defined in Principle 1 (a) of the 
Non-Legally Binding Authoritative Statement of Principles for a Global Consensus on the Management, Conservation 
£ind Sustainable Development of all Types of Forests, the objectives of the International Tropical Timber Agreement, 
1994 (hereinafter referred to as "l^his Agreement") are: 

(a) Td provide an effective framework for consultation, international cooperation and policy development 
among all members with regard to all relevant aspects of the world timber economy; 

(b) lb provide a forum for consultation to promote non-discriminatory timber trade practices; 

(c) lb contribute to the process of sustainable development; 

(d) lb enhance the capacity of members to implement a strategy for achieving exports of tropical timber 
and timber products fttjm sustainably managed sources by the year 2000; 

(e) lb promote the expansion and diversification of international trade in tropical timber from sustainable 
sources by improving the structural conditions in international markets, by taking into account, on the 
one hand, a long-term increase in consumption and continuity of supphes, and, on the other, prices which 
reflect the costs of sustainable forest management and which are remunerative and equitable for 
members, and the improvement of market access; 

(f) lb promote and support research and development with a view to improving forest management and 
efficiency of wood utilization as well as increasing the capacity to conserve and enhance other forest 
values in timber-producing tropical forests; 

(g) To develop and contribute towards mechanisms for the provision of new and additional financial 
resources and expertise needed to enhance the capacity of producing members to attain the objectives 
of this Agreement; 

(h) lb improve market inteUigence with a view to ensuring greater transparency in the international timber 
market, including the gathering, compilation, and dissemination of trade-related data, including data 
related to species being traded; 



136 The Marine Mammal Commission Compendium 



(i) lb promote increased and further processing of tropical timber from sustainable sources in producing 
member countries with a view to promoting their industrialization and thereby increasing their 
employment opportunities and export earnings; 

(j) To encourage members to support and develop industrial tropical timber reforestation and forest 
management activities as well as rehabUitation of degraded forest land, with due regard for the interests 
of local communities dependent on forest resources; 

i! 

(k) lb improve marketing and distribution of tropical timber exports from sustainable managed sources; I 

(1) To encourage members to develop national poUcies aimed at sustainable utilization and conservation of . 
timber-producing forests and their genetic resources and at maintaining the ecological balance in the i: 

regions concerned, in the context of tropical timber trade; / 

(m) lb promote the access to, and transfer of, technologies and technical cooperation to implement the I 

objectives of this Agreement, including on concessional and preferential terms and conditions, as 
mutually agreed; and 

(n) To encourage information-sharing on the international timber market. 



CHAPTER n. DEFINITIONS 

Article 2 
Definitions 

For the purposes of this Agreement: 

1. "Tropical timber" means non-coniferous tropical wood for industrial uses, which grows or is produced in the 
coimtries situated between the Tropic of Cancer and the Tropic of Capricorn. The term covers logs, sawnwood, veneer 
sheets and plywood. Plywood which includes in some measure conifers of tropical origin shall also be covered by this 
definition; 

2. "Further processing" means the transformation of logs into primary wood products, semi-finished and finished 
products made wholly or almost wholly of tropical timber; 

3. "Member" means a Government or an intergovernmental organization referred to in article 5 which has 
consented to be bound by this Agreement whether it is in force provisionally or definitively; 

4. "Producing member" means any country with tropical forest resources and/or a net exporter of tropical timber 
in volume terms which is Usted in annex A and which becomes a party to this Agreement, or any country vnth tropical 
forest resources and/or a net exporter of tropical timber in volume terms which is not so Usted £ind which becomes a 
party to this Agreement and which the Council, with the consent of that country, declares to be a producing member; 

5. "Consuming member" means any country Usted in annex B which becomes a party to this Agreement, or £my 
country not so Usted which becomes a party to this Agreement and which the Council, wdth the consent of that country, 
declares to be a consuming member; 

6. "Organization" means the International Tropical Timber Organization established in accordance with 
article 3; 

7. "CouncU" means the International Tropical Timber Council estabUshed in accordance with article 6; 

8. "Special vote" means a vote requiring at least two thirds of the votes cast by producing members present and 
voting and at least 60 per cent of the votes cast by consuming members present and voting, counted separately, on 



Multilateral / Environment and Natural Resources 137 



condition that these votes are cast by at least half of the producing members present and voting and at least half of 
the consuming members present and voting; 

9. "Simple distributed majority vote" means a vote requiring more than half of the votes cast by producing 
members present and voting and more than half of the votes cast by consuming members present and voting, counted 
separately; 

10. "Financial year" means the period from 1 January to 31 December inclusive; 

11. "Freely usable currencies" means the deutsche mark, the French franc, the Japanese yen, the pound sterling, 
the United States doUar and any other currency which has been designated from time to time by a competent 
international monetary organization as being in fact widely used to make pa3anents for international transactions 
and widely traded in the principal exchange markets. 



CHAPTER in. ORGANIZATION AND ADMINISTRATION 

Article 3 
Headquarters and structure of the International Tropical Timber Organization 

1. The International Tropical Timber Organization established by the International Tropical Timber Agreement, 
1983 shall continue in being for the purposes of administering the provisions and supervising the operation of this 
Agreement. 

2. The Organization shall function through the Council established under article 6, the committees and other 
subsidiary bodies referred to in article 26 and the Executive Director and staff. 

3. The headquEirters of the Organization shall be in Yokohama, unless the Council, by special vote, decides 
otherwise. 

4. The headquarters of the Organization shall at all times be located in the territory of a member. 

Article 4 
Membership in the Organization 

There shall be two categories of membership in the Organization, namely: 

(a) Producing; and 

(b) Constuning. 

Articles 
Membership by intergovenunental organizations 

1. Any reference in this Agreement to "Governments" shall be construed as including the Eiu-opean Community 
and any other intergovernmental organization having responsibihties in respect of the negotiation, conclusion and 
appUcation of international agreements, in particular commodity agreements. Accordingly, any reference in this 
Agreement to signature, ratification, acceptance or approval, or to notification of provisional application, or to 
accession shall, in the case of such intergovernmental organizations, be construed as including a reference to 
signature, ratification, acceptance or approval, or to notification of provisional application, or to accession, by such 
intergovernmental organizations. 



138 The Marine Mammal Commission Compendium 



2. In the case of voting on matters within their competence, such intergovernmental organizations shall vote with 
a number of votes equal to the total number of votes attributable to their member States in accordsmce with article 
10. In such cases, the member States of such intergovernmental organizations shall not be entitled to exercise their 
individual voting rights. 



CHAPTER IV. INTERNATIONAL TROPICAL TIMBER COUNCIL 

Articles 
Composition of the International Tropical Timber Council 

1. The highest authority of the Organization shall be the International l^opical Timber CouncU, which shall 
consist of all the members of the Organization. 

2. Each member shall be represented in the Council by one representative and may designate alternates and 
advisers to attend sessions of the Council. 

3. An alternate representative shall be empowered to act and vote on behalf of the representative during the 
latter's absence or in special circumstances. 

Article 7 
Powers and functions of the Council 

1. The Council shall exercise all such powers and perform or arrange for the performance of all such functions as 
are necessary to carry out the provisions of this Agreement. 

2. The Council shall, by special vote, adopt such rules and regulations as are necessary to carry out the provisions 
of this Agreement and as are consistent therewith, including its own rules of procedure £md the financial rules and 
staff regulations of the Organization. Such financial rules shall, inter aha , govern the receipt and expenditure of 
fiinds under the Administrative Account, the Special Account and the Bali Partnership Fund. The Council may, in its 
rules of procedure, provide for a procedure whereby it may, without meeting, decide specific questions. 

3. The Council shall keep such records as are reqmred for the performance of its functions under this Agreement. 

Articles 
Chairman and Vice-Chairman of the Council 

1. The CoimcU shall elect for each calendar year a Chairman and a Vice-Chairman, whose salaries shall not be 
paid by the Organization. 

2. The Chairman and the \^ce-Chairman shall be elected, one fi:t)m among the representatives of producing 
members and the other from among the representatives of consuming members. These offices shall alternate each 
year between the two categories of members, provided, however, that this shall not prohibit the re-election of either 
or both, under exceptional circumstances, by special vote of the Council. 

3. In the temporary absence of the Chairman, the \^ce-Chairman shall act in his place. In the temporary absence 
of both the Chairman and the Vice-Chairman, or in the absence of one or both of them for the rest of the term for 
which they were elected, the Council may elect new officers fi-om among the representatives of the producing members 
and/or from among the representatives of the consuming members, as the case may be, on a temporary basis or for 
the rest of the term for which the predecessor or predecessors were elected. 



Multilateral / Environment and Natural Resources 139 



Articles 
Sessions of the Council 

1. As a general rule, the Council shall hold at least one regular session a year. 

2. The Council shall meet in special session whenever it so decides or at the request of: 

(a) The Executive Director, in agreement with the Chairman of the Council; or 

(b) A majority of producing members or a majority of consuming members; or 

(c) Members holding at least 500 votes. 

3. Sessions of the Council shall be held at the headquarters of the organization unless the Council, by special 
vote, decides otherwise. If on the invitation of any member the Council meets elsewhere than at the headquarters of 
the Organization, that member shall pay the additional cost of holding the meeting away from headquarters. 

4. Notice of any sessions and the agenda for such sessions shall be communicated to members by the Executive 
Director at least six weeks in advance, except in cases of emergency, when notice shall be communicated at least 
seven days in advance. 

Article 10 
Distribution of votes 

1. The producing members shall together hold 1,000 votes and the consuming members shall together hold 1,000 
votes. 

2. The votes of the producing members shall be distributed as follows: 

(a) Four hundred votes shall be distributed equally among the three producing regions of Africa, Asia-Pacific 
and Latin America. The votes thus allocated to each of these regions shall then be distributed equally 
among the producing members of that region; 

(b) Three hundred votes shall be distributed among the producing members in accordance with their 
respective shares of the total tropical forest resources of all producing members; and 

(c) Three hundred votes shall be distributed among the producing members in proportion to the average of 
the values of their respective net exports of tropical timber during the most recent three-year period for 
which definitive figures are available. 

3. Notwithstanding the provisions of paragraph 2 of this article, the total votes allocated to the producing 
members from the Afi^can region, calculated in accordance with paragraph 2 of this article, shall be distributed 
equally among all producing members from the Airican region. If there are any remaining votes, each of these votes 
shall be allocated to a producing member from the African region: the first to the producing member which is allocated 
the highest number of votes calculated in accordance with paragraph 2 of this article, the second to the producing 
member which is allocated the second highest number of votes, and so on until all the remaining votes have been 
distributed. 

4. For purposes of the calculation of the distribution of votes under paragraph 2 (b) of this article, "tropical forest 
resources" means productive closed broad-leaved forests as defined by the Food and Agriculture Organization (FAO). 

5. The votes of the consuming members shall be distributed as follows: each consuming member shall have 10 
initial votes: the remaining votes shall be distributed among the consuming members in proportion to the average 
volume of their respective net imports of tropical timber during the three-year period commencing four calendar years 
prior to the distribution of votes. 



140 The Marine Mammal Commission Compendium 



6. The Council shall distribute the votes for each financial year at the beginning of its first session of that year 
in accordance with the provisions of this article. Such distribution shall remain in effect for the rest of that year, 
except as provided for in paragraph 7 of this article. 

7. Whenever the membership of the Organization changes or when any member has its voting rights suspended 
or restored under any provision of this Agreement, the Council shall redistribute the votes within the affected category 
or categories of members in accordance with the provisions of this article. The Council shall, in that event, decide 
when such redistribution shall become effective. 

8. There shall be no fractional votes. 

Article 11 
Voting procedure of the Council 

1. Each member shall be entitled to cast the number of votes it holds and no member shall be entitled to divide 
its votes. A member may, however, cast differently from such votes any votes which it is authorized to cast under 
paragraph 2 of this article. 

2. By written notification to the Chairman of the Council, any producing member may authorize, under its own 
responsibility, any other producing member, and any consuming member may authorize, under its own responsibility, 
any other consuming member, to represent its interests and to cast its votes at any meeting of the Council. 

3. When abstaining, a member shall be deemed not to have cast its votes. 

Article 12 
Decisions and recommendations of the Council 

1. The Council shall endeavour to take all decisions and to make aU recommendations by consensus. If consensus 
cannot be reached, the Covmcil shall take all decisions and make all recommendations by a simple distributed majority 
vote, unless this Agreement provides for a special vote. 

2. WTiere a member avails itself of the provisions of article 11, paragraph 2, and its votes are cast at a meeting 
of the Council, such member shall, for the purposes of paragraph 1 of this article, be considered as present and voting. 

Article 13 
Quorum for the Council 

1. The quorum for any meeting of the Council shall be the presence of a majority of members of each category 
referred to in Eirticle 4, provided that such members hold at least two thirds of the total votes in their respective 
categories. 

2. If there is no quorum in accordance with paragraph 1 of this article on the day fixed for the meeting and on 
the following day, the quorum on the subsequent days of the session shall be the presence of a majority of members 
of each category referred to in article 4, provided that such members hold a majority of the total votes in their 
respective categories. 

3. Representation in accordance with article 11, psiragraph 2, shall be considered as presence. 



Multilateral / Environment and Natural Resources 141 



Article 14 
Cooperation and coordination with other organizations 

1. The Council shall make arrangements as appropriate for consultations and cooperation with the United 
Nations and its organs, including the United Nations Conference on Trade and Development (UNCTAD) and the 
Commission on Sustainable Development (CSD), intergovernmental organizations, including the General Agreement 
on Tariffs and Trade (GATT) and the Convention on International Trade in Endangered Species of Wild Fauna and 
Flora (CITES), and non-governmental organizations. 

2. The Organization shall, to the maximum extent possible, utihze the facilities, services and expertise of existing 
intergovernmental, governmental or non-governmental organizations, in order to avoid dupUcation of efforts in 
achieving the objectives of this Agreement and to enhance the complementEirity and the efficiency of their activities. 

Article 15 
Admission of observers 

The Council may invite any non-member Government or any of the organizations referred to in article 14, 
article 20 and article 29, interested in the activities of the orgsmization to attend as observers any of the meetings of 
the Council. 

Article 16 
Executive Director and staff 

1. The Coimcil shall, by special vote, appoint the Executive Director 

2. The terms and conditions of appointment of the Executive Director shall be determined by the Council. 

3. The Executive Director shall be the chief administrative officer of the Organization and shall be responsible 
to the Coimcil for the administration sind operation of this Agreement in accordance with decisions of the Council. 

4. The Executive Director shall appoint the staff in accordance with regulations to be estabUshed by the Council. 
The Council shall, by special vote, decide the nimiber of executive and professional staff the Executive Director may 
appoint. Any changes in the number of executive and professional staff shall be decided by the Council by special 
vote. The staff shall be responsible to the Executive Director. 

5. Neither the Executive Director nor any member of the staff shall have any financial interest in the timber 
industry or trade, or associated commercial activities. 

6. In the performance of their duties, the Executive Director and staff shall not seek or receive instructions from 
any member or from any authority external to the Organization. They shall refrain from any action which might 
reflect adversely on their positions as international officials ultimately responsible to the Coimcil. Each member shall 
respect the exclusively international character of the responsibUities of the Executive Director and staff and shall 
not seek to influence them in the discharge of their responsibilities. 



142 The Marine Mammal Commission Compendium 



CHAPTER V. PRIVILEGES AND IMMUNITIES 

Article 17 
Privileges and immunities 

1. The Organization shall have legal personality. It shall in particular have the capacity to contract, to acquire 
and dispose of movable and immovable property, and to institute legal proceedings. 

2. The status, privileges and immunities of the Organization, of its Executive Director, its staff and experts, and 
of representatives of members while in the territory of Japan shall continue to be governed by the Headquarters 
Agreement between the Grovemment of Japan and the International Tropical Timber Organization signed at TDkyo 
on 27 February 1988, with such amendments as may be necessEuy for the proper functioning of this Agreement. 

3. The Organization may conclude, with one or more countries, agreements to be approved by the Council relating 
to such capacity, privileges and immunities as may be necessary for the proper fimctioning of this Agreement. 

4. If the headquarters of the Organization is moved to another country, the member in question shall, as soon as 
possible, conclude with the Organization a headquarters agreement to be approved by the Council. Pending the 
conclusion of such an Agreement, the Organization shall request the new host Government to grant, within the Umits 
of its national legislation, exemption from taxation on remuneration paid by the Organization to its employees, and 
on the assets, income and other property of the Organization. 

5. The headquarters agreement shall be independent of this Agreement. It shall, however, terminate: 

(a) By agreement between the host Government £ind the Organization; 

(b) In the event of the headquarters of the Organization being moved from the country of the host 
Government; or 

(c) In the event of the Organization ceasing to exist. 



CHAPTER VI. FINANCE 

Article 18 
Financial accounts 

1. There shall be estabUshed: 

(a) The Administrative Account; 

(b) The Special Account; 

(c) The Bah Partnership Fund; and 

(d) Such other accounts as the Council shall deem appropriate and necessary. 

2. The Executive Director shall be responsible for the administration of these accounts and the Council shall 
make provision therefor in the finsmcial rules of the Organization. 



Multilateral / Environment and Natural Resources 143 



Article 19 
Administrative Account 

1. The expenses necessary for the administration of this Agreement shall be brought into the Administrative 
Account £ind shall be met by annual contributions paid by members in accordance with their respective constitutional 
or institutional procedures and assessed in accordance with paragraphs 3, 4 and 5 of this article. 

2. The expenses of delegations to the Council, the committees and any other subsidiary bodies of the Council 
referred to in article 26 shall be met by the members concerned. In cases where a member requests special services 
from the Organization, the Council shall require that member to pay the costs of such services. 

3. Before the end of each financial year, the Council shall approve the administrative budget of the Organization 
for the following financial year and shall assess the contribution of each member to that budget. 

4. The contribution of each member to the administrative budget for each financial year shsill be in the proportion 
which the number of its votes at the time the administrative budget for that financial year is approved bears to the 
total votes of all the members. In assessing contributions, the votes of each member shall be csdculated without regard 
to the suspension of any member's voting rights or any redistribution of votes resulting therefrom. 

5. The initial contribution of any member joining the Organization after the entry into force of this Agreement 
shall be assessed by the Council on the basis of the number of votes to be held by that member and the period remaining 
in the current financial year, but the assessment made upon other members from the current financial year shall not 
thereby be altered. 

6. Contributions to administrative budgets shall become due on the first day of each financial year. Contributions 
of members in respect of the financial year in which they join the Organization shall be due on the date on which 
they become members. 

7. If a member has not paid its fuU contribution to the administrative budget within four months after such 
contribution becomes due in accordance with paragraph 6 of this article, the Executive Director shall request that 
member to make payment as quickly as possible. If that member has still not paid its contribution within two months 
after such request, that member shall be requested to state the reasons for its inabUity to make payment. If at the 
expiry of seven months from the due date of contribution, that member has still not paid its contribution, its voting 
rights shall be suspended until such time as it has paid in full its contribution, unless the Covmcil, by specisd vote, 
decides otherwise. If, on the contrary, a member has paid its fuU contribution to the administrative budget within 
four months after such contribution becomes due in accordance with paragraph 6 of this article, the member's 
contribution shall receive a discovmt as may be established by the Council in the financial rules of the Organization. 

8. A member whose rights have been suspended under paragraph 7 of this article shall remain Uable to pay its 
contribution. 

Article 20 
Special Account 

1. There shall be estabUshed two sub-accoimts under the Special Account: 

(a) The Pre-Project Sub-Account; and 

(b) The Project Sub-Account. 

2. The possible sources of fineince for the Special Account may be: 

(a) The Common Fund for Commodities; 

(b) Regional and international financial institutions; and 



144 The Marine Mammal Commission Compendium 

(c) Voluntary contributions. 

3. The resources of the Special Account shall be used only for approved pre-projects or projects. 

4. All expenditures under the Pre-Project Sub-Account shall be reimbursed from the Project Sub-Account if 
projects are subsequently approved and funded. If within six months of the entry into force of this Agreement the 
Council does not receive any funds for the Pre-Project Sub-Account, it shall review the situation and take appropriate 
action. 

5. All receipts pertaining to specific identifiable pre-projects or projects under the Special Account shall be 
brought into that Account. All expenditures incurred on such pre-projects or projects, including remuneration and 
travel expenses of consultants and experts, shall be charged to the same Account. 

6. The Council shall, by special vote, estabUsh terms and conditions on which it would, when and where 
appropriate, sponsor projects for loan financing, where a member or members have voluntarily assumed fiill 
obligations and responsibiUties for such loans. The Organization shall have no obligations for such loans. 

7. The Council may nominate and sponsor any entity with the consent of that entity, including a member or 
members, to receive loans for the financing of approved projects and to undertake all the obligations involved, except 
that the Organization shall reserve to itself the right to monitor the use of resources and to follow up on the 
implementation of projects so financed. However, the Organization shall not be responsible for guarantees voluntarily 
provided by individual members or other entities. 

8. No member shall be responsible by reason of its membership in the Organization for any Uability arising fi:«m 
borrowing or lending by any other member or entity in connection with projects. 

9. In the event that voluntary unearmarked funds are offered to the Organization, the Council may accept such 
funds. Such funds may be utilized for approved pre-projects and projects. 

10. The Executive Director shiJl endeavour to seek, on such terms and conditions as the Council may decide, 
adequate and assured finance for pre-projects and projects approved by the Council. 

11. Contributions for specified approved projects shall be used only for the projects for which they were originally 
intended, unless otherwise decided by the Council in agreement with the contributor After the completion of a project, 
the organization shall retiim to each contributor for specific projects the balance of any funds remaining pro rata to 
each contributor's share in the total of the contributions originally made available for financing that project, tinless 
otherwise agreed to by the contributor. 

Article 21 
The Bali Partnership Fund 

1. A Fund for sustainable management of tropical timber-producing forests is hereby established to assist 
producing members to make the investments necessary to achieve the objective of article 1 (d) of this Agreement. 

2. The F»ind shall be constituted by: 

(a) Contributions ft-om donor members; 

(b) Fifty per cent of income earned as a result of activities related to the Special Account; 

(c) Resources fi^)m other private and pubUc sources which the Organization may accept consistent with its 
financial rules. 

3. Resources of the Fund shall be sJlocated by the CouncU only for pre-projects and projects for the purpose set 
out in psu-agraph 1 of this article and approved in accordance with article 25. 



Multilateral / Environment and Natural Resources 145 



4. In allocating resources of the Fund, the Council shall take into account: 

(a) The special needs of members whose forestry sectors' contribution to their economies is adversely 
affected by the implementation of the strategy for achieving the exports of tropical timber and timber 
products from sustainably managed sources by the year 2000; 

(b) The needs of members with significant forest areas who establish conservation programmes in timber- 
producing forests. 

5. The Council shall examine smnually the adequacy of the resources available to the Fund and endeavour to 
obtain additional resources needed by producing members to achieve the purpose of the Fund. The abihty of members 
to implement the strategy referred to in paragraph 4 (a) of this article will be influenced by the availabUity of 
resources. 

6. The Council shall establish pohcies and financial rules for the operation of the Fund, including rules covering 
the settlement of accounts on termination or expiry of this Agreement. 

Article 22 
Forms of payment 

1. Contributions to the Administrative Account shall be payable in freely usable currencies and shall be exempt 
from foreign-exchange restrictions. 

2. Financial contributions to the Special Account and the Bali Partnership Fund shall be payable in freely usable 
currencies and shall be exempt fi:x)m foreign-exchange restrictions. 

3. The Coxincil may also decide to accept other forms of contributions to the Special Account or the Bali 
Partnership Fund, including scientific and technical equipment or personnel, to meet the reqiiirements of approved 
projects. 

Article 23 
Audit and publication of accounts 

1. The Council shall appoint independent auditors for the purpose of auditing the accounts of the Organization. 

2. Independently audited statements of the Administrative Account, of the Special Account and of the Bali 
Partnership Fund shaU be made available to members as soon as possible after the close of each financial year, but 
not later than six months aStei that date, and be considered for approved by the Council at its next session, as 
appropriate. A summary of the audited accounts and balance sheet shall thereafter be pubhshed. 



CHAPTER Vn. OPERATIONAL ACTIVITIES 

Article 24 
Policy work of the Organization 

In order to achieve the objectives set out in article 1, the Organization shall undertake poUcy work and project 
activities in the areas of Economic Information and Market Intelligence, Reforestation and Forest Management and 
Forest Industry, in a balanced manner, to the extent possible integrating poUcy work and project activities. 



146 The Marine Mammal Commission Compendium 



Project activities of the Organization 

1. Bearing in mind the needs of developing countries, members may submit pre-project and project proposals to 
the Council in the fields of research and development, market intelligence, further and increased wood processing in 
producing member countries, and reforestation and forest management. Pre-projects and projects should contribute 
to the achievement of one or more of the objectives of this Agreement. 

2. The Council, in approving pre-projects and projects, shall take into account: 

(a) Their relevance to the objectives of this Agreement; 

(b) Their environmented and social effects; 

(c) The desirability of maintaining an appropriate geographical balance; 

(d) The interests and characteristics of each of the developing producing regions; 

(e) The desirability of equitable distribution of resources among the fields referred to in paragraph 1 of this 
article; 

(f) Their cost-effectiveness; and 

(g) The need to avoid duplication of efforts. 

3. The Council shall establish a schedule and procediu-e for submitting, appraising, and prioritizing pre-projects 
and projects seeking funding from the Organization, as well as for their implementation, monitoring and evaluation. 
The Council shall decide on the approval of pre-projects and projects for financing or sponsorship in accordance with 
article 20 or article 21. 

4. The Executive Director may suspend disbursement of the organization's funds to a pre-project or project if they 
are being used contrary to the project document or in cases of fraud, waste, neglect or mismanagement. The Executive 
Director will provide to the Council at its next session a report for its consideration. The Council shall take appropriate 
action. 

5. The Council may, by special vote, terminate its sponsorship of any pre-project or project. 

Article 26 
Establishment of Committees 

1. The following are hereby estabUshed as Committees of the Organization: 

(a) Committee on Economic Information and Market Intelligence; 

(b) Committee on Reforestation and Forest Management; 

(c) Committee on Forest Industry; and 

(d) Committee on Finance and Administration. 

2. The Council may, by special vote, estabUsh such other committees and subsidiary bodies as it deems 
appropriate and necessary. 

3. Participation in each of the committees shall be open to all members. The rules of procedure of the committees 
shall be decided by the Council. 



Multilateral / Environment and Natural Resources 147 



4. The committees and subsidiary bodies referred to in paragraphs 1 and 2 of this article shall be responsible to, 
and work under the general direction of, the Council. Meetings of the committees and subsidiary bodies shall be 
convened by the Council. 

Article 27 
Functions of the Committees 

1. The Committee on Economic Information and Market Intelligence shall: 

(a) Keep under review the availability and quality of statistics and other information required by the 
Organization; 

(b) Analyse the statistical data and specific indicators as decided by the Council for the monitoring of 
international timber trade; 

(c) Keep under continuous review the international timber market, its current situation and short-term 
prospects on the basis of the data mentioned in subparagraph (b) above and other relevant information, 
including information related to undocumented trade; 

(d) Make recommendations to the Council on the need for, and nature of, appropriate studies on tropical 
timber, including prices, market elasticity, market substitutabiUty, marketing of new products, and 
long-term prospects of the international tropical timber market, and monitor and review any studies 
commissioned by the Council; 

(e) Carry out any other tasks related to the economic, technical and statistical aspects of timber assigned 
to it by the Council; 

(f) Assist in the provision of technical cooperation of developing member countries to improve their relevant 
statistical services. 

2. The Committee on Reforestation and Forest Management shall: 

(a) Promote cooperation between members as partners in development of forest activities in member 
countries, inter alia , in the following areas: 

(i) Reforestation; 

(ii) Rehabilitation; 

(iii) Forest management; 

(b) Encourage the increase of technical assistance and transfer of technology in the fields of reforestation 
and forest management to developing countries; 

(c) Follow up ongoing activities in this field, and identify and consider problems and possible solutions to 
them in cooperation with the competent organizations; 

(d) Review regularly the futiu-e needs of international trade in industrial tropical timber and, on this basis, 
identify and consider appropriate possible schemes and measures in the field of reforestation, rehabili- 
tation and forest management; 

(e) Facilitate the transfer of knowledge in the field of reforestation and forest management with the 
assistance of competent organizations; 

(f) Coordinate and harmonize these activities for cooperation in the field of reforestation and forest 
management with relevant activities pursued elsewhere, such as those under the auspices of the 
Food and Agriculture Organization of the United Nations (FAO), the United Nations Environment 



148 The Marine Mammal Commission Compendium 



Programme (UNEP), the World Bank, the United Nations Development Programme (UNDP), regional 
development banks and other competent orgEinizations. 

3. The Committee on Forest Industry shall: 

(a) Promote cooperation between member coimtries as partners in the development of processing activities 
in producing member countries, inter alia , in the following areas: 

(i) Product development through transfer of technology; 

(ii) Human resources development and training; 

(iii) Standardization of nomenclature of tropical timber; 

(iv) Harmonization of spediications of processed products; 

(v) Encouragement of investment Eind joint ventures; and 

(vi) Marketing, including the promotion of lesser known and lesser used species; 

(b) Promote the exchange of information in order to facilitate structural changes involved in increased and 
further processing in the interests of all member coiuitries, in particular developing member countries; 

(c) Follow up ongoing activities in this field, and identify and consider problems and possible solutions to 
them in cooperation with the competent organizations; 

(d) Encourage the increase of technical cooperation for the processing of tropical timber for the benefit of 
producing member countries. 

4. In order to promote the policy and project work of the Organization in a balanced manner, the Committee on 
Economic Information and Market Intelligence, the Committee on Reforestation and Forest Management and the 
Committee on Forest Industry shall each: 

(a) Be responsible for ensuring the effective appraisal, monitoring and evaluation of pre-projects and 
projects; 

(b) Make recommendations to the Council relating to pre-projects and projects; 

(c) Follow up the implementation of pre-projects and projects and provide for the collection and dissemina- 
tion of their results as widely as possible for the benefit of all members; 

(d) Develop and advance policy ideas to the Council; 

(e) Review regularly the results of project and policy work and make reconunendations to the Council on 
the future of the Organization's programme; 

(f) Review regularly the strategies, criteria and priority areas for programme development and project work 
contained in the Organization's Action Plan and recommend revisions to the Council; 

(g) Take account of the need to strengthen capacity building and human resource development in member 
countries; 

(h) Carry out any other task related to the objectives of this Agreement assigned to them by the Council. 

5. Research and development shall be a common function of the Committees referred to in paragraphs 1, 2, 
and 3 of this article. 



Multilateral / Environment and Natural Resources 149 



The Committee on Finance and Administration shall: 

(a) Examine and make recommendations to the Council regarding the approval of the Organization's 
administrative budget proposals and the management operations of the Organization; 

(b) Review the assets of the organization to ensure prudent asset management and that the organization 
has sufficient reserves to carry out its work; 

(c) Examine and make recommendations to the Council on the budgetary impUcations of the Organization's 
annual work programme, and the actions that might be taken to secure the resoiu'ces needed to 
implement it; 

(d) Recommend to the CouncU the choice of independent auditors and review the independent audited 
statements; 

(e) Recommend to the council any modifications it may judge necessary to the Rules of Procedure or the 
Financial Rules; 

(f) Review the Organization's revenues and the extent to which they constrain the work of the Secretariat. 



CHAPTER Vra. RELATIONSHIP WITH THE COMMON 
FUND FOR COMMODITIES 

Article 28 
Relationahip with the Common Fund for Commodities 

The Organization shall take full advantage of the facilities of the Common Fund for Commodities. 

CHAPTER IX. STATISTICS, STUDIES AND INFORMATION 

Article 29 
Statistics, studies and information 

1. The Council shall establish close relationships with relevant intergovernmental, governmental and non-gov- 
ernmental organizations, in order to help ensure the avsdlabihty of recent reUable data and information on the trade 
in tropical timber, as well as relevant information on non-tropical timber and on the management of timber-producing 
forests. As deemed necessary for the operation of this Agreement, the Organization, in cooperation with such 
organizations, shall compile, collate and, where relevant, pubhsh statistical information on production, supply, trade, 
stocks, consumption and market prices of timber, the extent of timber resources £md the management of timber-pro- 
ducing forests. 

2. Members shall, to the fullest extent possible not inconsistent with their national legislation, furnish, within a 
reasonable time, statistics and information on timber, its trade and the activities aimed at achieving sustainable 
management of timber-producing forests as well as other relevant information as requested by the Council. The 
Council shall decide on lie tjrpe of information to be provided under this paragraph and on the format in which it is 
to be presented. 

3. The Council shall arrange to have any relevant studies undertaken of the trends and of short- and long-term 
problems of the international timber markets and of the progress towards the achievement of sustainable manage- 
ment of timber-producing forests. 



150 The Marine Mammal Commission Compendium 

Article 30 
Annual report and review 

1. The Covincil shall, within six months after the close of each calendar year, pubUsh an annual report on its 
activities and such other information as it considers appropriate. 

2. The Council sh£ill annually review and assess: 

(a) The intemationsil timber situation; 

(b) Other factors, issues and developments considered relevant to achieve the objectives of this Agreement. 

3. The review shall be carried out in the light of: 

(a) Information supphed by members in relation to national production, trade, supply, stocks, consumption 
and prices of timber; 

(b) Other statistical data and specific indicators provided by members as requested by the Council; 

(c) Information supphed by members on their progress towards the sustainable management of their 
timber-producing forests; 

(d) Such other relevant information as may be avzdlable to the Council either directly or through the 
organizations in the United Nations system and intergovernmental, governmental or non-governmental 
organizations. 

4. The Council shall promote the exchange of views among member countries regarding: 

(a) The status of sustainable management of timber-producing forests and related matters in member 
countries; 

(b) Resource flows and requirements in relation to objectives, criteria and guidelines set by the Organiza- 
tion. 

5. Upon request, the Council shall endeavour to enhance the technical capacity of member countries, in particular 
developing member countries, to obtain the data necessary for adequate information-sharing, including the provision 
of resources for training and facilities to members. 

6. The results of the review shall be included in the reports of the Council's deliberations. 

CHAPTER X. MISCELLANEOUS 

Article 31 
Complaints and disputes 

Any complaint that a member has failed to fulfil its obligations under this Agreement and any dispute 
concerning the interpretation or application of this Agreement shall be referred to the Council for decision. Decisions 
of the Council on these matters shall be final and binding. 



Multilateral / Environment and Natural Resources 151 



Article 32 
Crcneral obligations of members 

1. Members shall, for the duration of this Agreement, use their best endeavours and cooperate to promote the 
attainment of its objectives and to avoid any action contrary thereto. 

2. Members vmdertake to accept and carry out the decisions of the Council under the provisions of this Agreement 
and shall refrain ftt)m implementing measures which would have the effect of limiting or running counter to them. 

Article 33 
Relief from obligations 

1. Where it is necessary on account of exceptional circumstances or emergency or force majeure not expressly 
provided for in this Agreement, the Council may, by special vote, reUeve a member of an obUgation under this 
Agreement if it is satisfied by an explanation frt>m that member regarding the reasons why the obligation cannot be 
met. 

2. The Council, in granting reUef to a member under paragraph 1 of this article, shall state explicitly the terms 
and conditions on which, and the period for which, the member is relieved of such obUgation, and the reasons for 
which the relief is granted. 

Article 34 
Differential and remedial measures and special measures 

1. Developing importing members whose interests are adversely affected by measures taken under this Agree- 
ment may apply to the Council for appropriate differential and remedial measures. The Council shall consider taking 
appropriate measures in accordance with section III, paragraphs 3 and 4, of resolution 93 (IV) of the United Nations 
Conference on Trade and Development. 

2. Members in the category of least developed coimtries as defined by the United Nations may apply to the Council 
for special measures in accordance with section III, paragraph 4, of resolution 93 (IV) and with paragraphs 56 and 
57 of the Paris Declaration and Programme of Action for the Least Developed Countries for the 1990s. 

Article 35 
Review 

The Council shall review the scope of this Agreement four years after its entry into force. 

Article 36 
Non-discrimination 

Nothing in this Agreement authorizes the use of measures to restrict or ban international trade in, and in 
particular as they concern imports of and utilization of, timber and timber products. 



152 The Marine Mammal Commission Compendium 



CHAPTER XI. FINAL PROVISIONS 

Article 37 
Depositary 

The Secretary -General of the United Nations is hereby designated as the depositary of this Agreement. 

Article 38 
Signature, ratification, acceptance and approval 

1. This Agreement shall be open for signature, at United Nations Headquarters from 1 April 1994 until one month 
after the date of its entry into force, by Governments invited to the United Nations Conference for the Negotiation 
of a Successor Agreement to the International Tropical Timber Agreement, 1983. 

2. Any Government referred to in pjiragraph 1 of this article may: 

(a) At the time of signing this Agreement, declare that by such signature it expresses its consent to be bound 
by this Agreement (definitive signature); or 

(b) After signing this Agreement, ratify, accept or approve it by the deposit of an instrument to that effect 
with the depositary. 

Article 39 
Accession 

1. This Agreement shall be open for accession by the Governments of all States upon conditions established by 
the Council, which shall include a time-limit for the deposit of instruments of accession. The Council may, however, 
grant extensions of time to Governments which are unable to accede by the time-Umit set in the conditions of accession. 

2. Accession shall be effected by the deposit of an instrument of accession with the depositary. 

Article 40 
Notification of provisional application 

A signatory Government which intends to ratify, accept or approve this Agreement, or a Government for which 
the Council has estabhshed conditions for accession but which has not yet been able to deposit its instrument, may, 
at £iny time, notify the depositary that it will apply this Agreement provisionally either when it enters into force in 
accordance with article 41, or, if it is already in force, at a specified date. 

Article 41 
Entry into force 

1. This Agreement shall enter into force definitively on 1 February 1995 or on any date thereafter, if 12 
Governments of producing countries holding at least 55 per cent of the total votes as set out in annex A to this 
Agreement, and 16 Governments of consuming countries holding at least 70 per cent of the total votes as set out in 
annex B to this Agreement have signed this Agreement definitively or have ratified, accepted or approved it or acceded 
thereto pursuant to article 38, paragraph 2, or article 39. 



Multilateral / Environment and Natural Resources 153 



2. If this Agreement has not entered into force definitively on 1 February 1995, it shall enter into force 
provisionally on that date or on any date within six months thereafter, if 10 GJovemments of producing countries 
holding at least 50 per cent of the total votes as set out in annex A to this Agreement, and 14 Governments of consuming 
countries holding at least 65 per cent of the total votes as set out in annex B to this Agreement have signed this 
Agreement definitively or have ratified, accepted or approved it pursuant to article 38, paragraph 2, or have notified 
the depositary under 2irticie 40 that they will apply this Agreement provisionsJly. 

3. If the requirements for entry into force under paragraph 1 or paragraph 2 of this article have not been met on 
1 September 1995, the Secretary-General of the United Nations shall invite those Governments which have signed 
this Agreement definitively or have ratified, accepted or approved it pursuant to article 38, paragraph 2, or have 
notified the depositary that they wiU apply this Agreement provisionally, to meet at the earhest time practicable to 
decide whether to put this Agreement into force provisionally or definitively among themselves in whole or in part. 
Governments which decide to put this Agreement into force provisionally among themselves may meet fixjm time to 
time to review the situation and decide whether this Agreement shall enter into force definitively among themselves. 

4. For any Government which has not notified the depositary under article 40 that it will apply this Agreement 
provisionally and which deposits its instrument of ratification, acceptance, approval or accession after the entry into 
force of this Agreement, this Agreement shall enter into force on the date of such deposit. 

5. The Executive Director of the Organization shall convene the Council as soon as possible after the entry into 
force of this Agreement. 



Amendments 

1. The CouncU may, by special vote, recommend an amendment of this Agreement to members. 

2. The Council shall fix a date by which members shall notify the depositary of their acceptance of the amendment. 

3. An amendment shall enter into force 90 days after the depositary has received notifications of acceptance from 
members constituting at least two thirds of the producing members and accounting for at least 75 per cent of the 
votes of the producing members, and from members constituting at least two thirds of the consuming members and 
accounting for at least 75 per cent of the votes of the consuming members. 

4. After the depositary informs the Coimcil that the reqviirements for entry into force of the amendment have 
been met, and notwithstanding the provisions of paragraph 2 of this article relating to the date fixed by the Council, 
a member may still notify the depositary of its acceptance of the amendment, provided that such notification is made 
before the entry into force of the amendment. 

5. Any member which has not notified its acceptance of an amendment by the date on which such amendment 
enters into force shall cease to be a party to this Agreement as from that date, unless such member has satisfied the 
Council that its acceptance could not be obtained in time owing to difficulties in completing its constitutional or 
institutional procedures, and the Council decides to extend for that member the period for acceptance of the 
amendment. Such member shall not be bound by the amendment before it has notified its acceptance thereof 

6. Kthe requirements for the entry into force of the amendment have not been met by the date fixed by the Council 
in accordance with paragraph 2 of this article, the amendment shall be considered withdrawn. 

Article 43 
\WthdrawaI 

1. Amember may withdraw from this Agreement at any time after the entry into force of this Agreement by giving 
written notice of withdrawal to the depositary. That member shall simultaneously inform the Council of the action 
it has taken. 



154 The Marine Mammal Commission Compendium 



2. Withdrawal shall become effective 90 days after the notice is received by the depositary. 

3. Financial obligations to the Organization incurred by a member under this Agreement shall not be terminated 
by its withdrawal. 

Article 44 
Exclusion 

If the CouncU decides that any member is in breach of its obligations under this Agreement and decides further 
that such breach significantly impairs the operation of this Agreement, it may, by special vote, exclude that member 
from this Agreement. The Council shall immediately so notify the depositary. Six months after the date of the Council's 
decision, that member shall cease to be a party to this Agreement. 

Article 45 

Settlement of accounts with withdrawing or excluded members 
or members unable to accept an amendment 

1. The Council shall determine any settlement of accounts with a member which ceases to be a party to this 
Agreement owing to: 

(a) Non-acceptance of an amendment to this Agreement under article 42; 

(b) Withdrawal from this Agreement under article 43; or 

(c) Exclusion from this Agreement under article 44. 

2. The Council shall retain any contribution psdd to the Administrative Account, to the Special Account or to the 
Bah Psutnership Fund by a member which ceases to be a party to this Agreement. 

3. A member which has ceased to be a party to this Agreement shall not be entitled to any share of the proceeds 
of liquidation or the other assets of the Orgsmization. Nor shall such member be Uable for payment of any part of the 
deficit, if any, of the Organization upon termination of this Agreement. 

Article 46 
Duration, extension and termination 

1. This Agreement shall remain in force for a period of four years after its entry into force unless the Council, by 
special vote, decides to extend, renegotiate or terminate it in accordance with the provisions of this article. 

2. The Council may, by special vote, decide to extend this Agreement for two periods of three years each. 

3. If, before the expiry of the four-year period referred to in paragraph 1 of this article, or before the expiry of an 
extension period referred to in paragraph 2 of this article, as the case may be, a new agreement to replace this 
Agreement has been negotiated but has not yet entered into force either definitively or provisionally, the Council may, 
by special vote, extend this Agreement until the provisional or definitive entry into force of the new agreement. 

4. If a new agreement is negotiated and enters into force during any period of extension of this Agreement under 
paragraph 2 or paragraph 3 of this article, this Agreement, as extended, shall terminate upon the entry into force of 
the new agreement. 

5. The Council may at any time, by special vote, decide to terminate this Agreement with e£fect from such date 
as it may determine. 



Multilateral / Environment and Natural Resources 155 



8. Notwithstanding the termination of this Agreement, the Council shall continue in being for a period not 
exceeding 18 months to cany out the hquidation of the Organization, including the settlement of accounts, and, 
subject to relevant decisions to be taken by special vote, shall have during that period such powers and functions as 
may be necessary for these purposes. 

7. The Council shall notify the depositary of any decision taken under this article. 

Article 47 
Reservations 

Reservations may not be made with respect to any of the provisions of this Agreement. 

Article 48 
Supplementary and transitional prov isions 

1. This Agreement shall be the successor to the International Tropical Timber Agreement, 1983. 

2. All acts by or on behalf of the Organization or any of its organs under the International Tropical Timber 
Agreement, 1983, which are in effect on the date of entry into force of this Agreement and the terms of which do not 
provide for expiry on that date shall remain in effect unless changed under the provisions of this Agreement. 

IN WITNESS WHEREOF the undersigned, being duly authorized thereto, have affixed their signatures under 
this Agreement on the dates indicated. 

DONE at Geneva, on twenty-six January, one thousand nine hundred and ninety-four, the text of this 
Agreement in the Arabic, Chinese, EngUsh, French, Russian and Spanish languages being equally authentic. 

ANNEXA 

List of producing countries with tropical forest resources and/or net exporters 
of tropical timber in volume terms, and allocation of votes for the purposes 

of article 41 

Bolivia 21 

BrazU 133 

Cameroon 23 

Colombia 24 

Congo 23 

Costa Rica 9 

Cote d'lvoire 23 

Dominican Republic 9 

Ecuador 14 

El Salvador 9 

Equatorial Guinea 23 

Gabon 23 

Ghana 23 

Guyana 14 

Honduras 9 

India 34 

Indonesia 170 

Liberia 23 

Malaysia 139 



156 The Marine Mammal Commission Compendium 



Mexico 


14 


Myanmar 


33 


Panama 


10 


Papua New Guinea 


28 


Paraguay 


11 


Peru 


25 


Philippines 


25 


Tanzania, United Republic of 


23 


Thailand 


20 


Tbgo 


23 


Trinidad and Tbbago 


9 


Venezuela 


10 


Zaire 


23 



Ibtal 1 000 



ANNEXB 

List of consuming countries and allocation 
of votes for the purposes of article 41 

Afghanistan 10 

Algeria 13 

Australia 18 

Austria 11 

Bahrain 11 

Bulgaria 10 

Canada 12 

Chile 10 

China 36 

Egypt 14 

European Community (302) 

Belgium/Luxembourg 26 

Denmark 11 

France 44 

Germany 35 

Greece 13 

Ireland 13 

Italy 35 

Netherlands 40 

Portugal 18 

Spain 25 

United Kingdom 42 

Finland 10 

Japan 320 

Nepal 10 

New Zealand 10 

Norway 10 

Republic of Korea 97 

Russian Federation 13 

Slovakia 11 

Sweden 10 

Switzerland 11 

United States of America 51 

Ibtal 1 000 



Protocol to the 1979 Convention on 

Long-Range Transboundary Air 

Pollution on Further Reduction of 

Sulphur Emissions, Oslo, 1994 



Done at Oslo 14 June 1994 

Not in force 

Primary source citation: United Nations Certified 
True Copy XXVII.I.(e) 



PROTOCOL TO THE 1979 CONVENTION ON LONG-RANGE 

TRANSBOUNDARY AIR POLLUTION ON FURTHER REDUCTION 

OF SULPHUR EMISSIONS 

The Parties , 

Determined to implement the Convention on Long-range Transboundary Air Pollution, 

Concerned that emissions of sulphur and other air pollutants continue to be transported across international 
boundaries and, in exposed parts of Europe and North America, are causing widespread damage to natural resources 
of vital environmental £ind economic importance, such as forests, soUs and waters, and to materials, including historic 
monuments, and, under certain circumstances, have harmful effects on hiunan health. 

Resolved to take precautionary measures to anticipate, prevent or minimize emissions of air pollutants and 
mitigate their adverse effects, 

Convinced that where there are threats of serious or irreversible damage, lack of full scientific certainty should 
not be used as a reason for postponing such measures, taking into account that such precautionary measures to deal 
with emissions of air pollutants should be cost-effective, 

Mindful that measures to control emissions of sulphur and other air pollutants would edso contribute to the 
protection of the sensitive Arctic environment. 

Considering that the predominant sources of air pollution contributing to the acidification of the environment 
are the combustion of fossil fuels for energy production, and the main technological processes in various industrial 
sectors, as well as transport, which lead to emissions of sulphur, nitrogen oxides, and other pollutants. 

Conscious of the need for a cost-effective regional approach to combating air pollution that takes account of 
the variations in effects and abatement costs between countries, 

Desiring to take further and more effective action to control and reduce sulphur emissions. 



157 



158 The Marine Mammal Commission Compendiuj 



Cognizant that any sulphur control pohcy, however cost-eflfective it may be at the regional level, will result in 
a relatively heavy economic burden on countries with economies that are in transition to a market economy, 

Bearing in mind that measures taken to reduce sulphur emissions should not constitute a means of arbitrary 
or unjustifiable discrimination or a disguised restriction on international competition and trade, 

Taking into consideration existing scientific and technical data on emissions, atmospheric processes and effects 
on the environment of sulphur oxides, as well as on abatement costs. 

Aware that, in addition to emissions of sulphur, emissions of nitrogen oxides and of ammonia are also causing 
acidification of the environment, 

Noting that under the United Nations Framework Convention on Climate Change, adopted in New York on 9 
May 1992, there is agreement to establish national policies and take corresponding measures to combat climate 
change, which can be expected to lead to reductions of sulphur emissions, 

AfRrming the need to ensure environmentally sound and sustainable development, 

Recognizing the need to continue scientific and technical cooperation to elaborate further the approach based 
on critical loads and critical levels, including efforts to assess several air pollutants and various effects on the 
environment, materials and human health. 

Underlining that scientific and technical knowledge is developing and that it will be necessary to take such 
developments into account when reviewing the adequacy of the obUgations entered into under the present Protocol 
and deciding on fiirther action. 

Acknowledging the Protocol on the Reduction of Sulphur Emissions or Their Transboundary Fluxes by at least 
30 per cent, adopted in Helsinki on 8 July 1985, and the measures already taken by many countries which have had 
the eflfect of reducing sulphur emissions, 

Have agreed as follows: 

Article 1 

DEFmrnoNS 

For the purposes of the present Protocol, 

1. "Convention" means the Convention on Long-range Transboundary Air Pollution, adopted in Geneva on 13 
November 1979; 

2. "EMEP" means the Cooperative Programme for Monitoring and Evaluation of the Long-range Transmission 
of Air Pollutants in Europe; 

3. "Executive Body" means the Executive Body for the Convention constituted under article 10, paragraph 1, of 
the Convention; 

4. "Commission" means the United Nations Economic Commission for Europe; 

5. "Parties" means, unless the context otherwise requires, the Parties to the present Protocol; 

6. "Geographical scope of EMEP" means the area defined in article 1, paragraph 4, of the Protocol to the 1979 
Convention on Long-range Trsmsbovrndary Air Pollution on Long-term Financing of the Cooperative Programme for 
Monitoring and Evaluation of the Long-range Transmission of Air Pollutants in Europe (EMEP), adopted in Geneva 
on 28 September 1984; 



Multilateral / Environment and Natural Resources 159 



7. "SOMA" means a sulphur oxides management area designated in annex III under the conditions laid down in 
article 2, paragraph 3; 

8. "Criticjd load" means a quantitative estimate of an exposure to one or more pollutants below which significant 
harmful effects on specified sensitive elements of the environment do not occur, according to present knowledge; 

9. "Critical levels" means the concentration of pollutants in the atmosphere above which direct adverse effects 
on receptors, such as human beings, plants, ecosystems or materials, may occur, according to present knowledge; 

10. "Critical sulphur deposition" means a quantitative estimate of the exposure to oxidized sulphur compounds, 
taking into account the effects of base cation uptake and base cation deposition, below which significant harmful 
effects on specified sensitive elements of the environment do not occur, according to present knowledge; 

11. "Emission" means the discharge of substances into the atmosphere; 

12. "Sulphur emissions" means all emissions of sulphur compounds expressed as kilotonnes of sulphur dioxide (kt 
SOo) to the atmosphere originating fix>m anthropogenic sources excluding from ships in international traffic outside 
territorial waters; 

13. "Fuel" means any solid, Uquid or gaseous combustible material with the exception of domestic refuse and toxic 
or dangerous waste; 

14. "Stationeiry combustion source" means any technical apparatus or group of technical apparatus that is 
co-located on a common site and is or could be discharging waste gases through a common stack, in which fuels are 
oxidized in order to use the heat generated; 

15. "Major new stationary combustion source" means any stationary combustion source the construction or 
substantial modification of which is authorized after 31 December 1995 and the thermal input of which, when 
operating at rated capacity, is at least 50 MW^. It is a matter for the competent national authorities to decide whether 
a modification is substantial or not, taking into account such factors as the environmental benefits of the modification; 

16. "Major existing stationary combustion source" means tuiy existing stationary combustion source the thermal 
input of which, when operating at rated capacity, is at least 50 MW^; 

17. "Gas oil" means any petroleum product within HS 2710, or any petroleum product which, by reason of its 
distillation limits, falls within the category of middle distillates intended for use as fuel and of which at least 85% by 
volume, including distillation losses, distUs at 350°C; 

18. "Emission limit value" means the permissible concentration of sulphur compounds expressed as sulphur 
dioxide in the waste gases from a stationary combustion source expressed in terms of mass per volume of the waste 
gases expressed in mg SOg/Nm^, assuming an oxygen content by volume in the waste gas of 3% in the case of Uquid 
and gaseous fuels and 6% in the case of soUd fuels; 

19. "Emission limitation" means the permissible total quantity of sulphur compounds expressed as sulphur dioxide 
discharged from a combustion source or group of combustion sources located either on a common site or within a 
defined geographical area, expressed in kilotonnes per year, 

20. "Desulphurization rate" mesins the ratio of the quantity of sulphiu- which is separated at the combustion soiuxe 
site over a given period to the quantity of sulphur contained in the fuel which is introduced into the combustion source 
facihties and which is used over the same period; 

2 1. "Sulphur budget" means a matrix of calcvdated contributions to the deposition of oxidized sulphur compounds 
in receiving areas, originating from the emissions from specified areas. 



160 The Marine Mammal Commission Compendium 



Article 2 
BASIC OBUGATIONS 

1. The Parties shall control and reduce their sulphur emissions in order to protect human health and the 
environment from adverse effects, in particular acidifying effects, and to ensure, as far as possible, without entailing 
excessive costs, that depositions of oxidized sulphur compounds in the long term do not exceed critical loads for sulphur 
given, in annex I, as critical sulphur depositions, in accordance with present scientific knowledge. 

2. As a first step, the Parties shall, as a minimum, reduce and maintain their annual sulphur emissions in 
accordance with the timing £ind levels specified in aimex II. 

3. In addition, any Party: 

(a) Whose total land area is greater than 2 milUon square kilometres; 

(b) Which has committed itself under paragraph 2 above to a national sulphur emission ceiling no greater 
than the lesser of its 1990 emissions or its obligation in the 1985 Helsinki Protocol on the Reduction of Sulphur 
Emissions or Their Transboundary Fluxes by at least 30 per cent, as indicated in annex II; 

(c) Whose annuEd sulphur emissions that contribute to acidification in areas under the jurisdiction of one 
or more other Parties originate only frtim within areas under its jurisdiction that are listed as SOMAs in annex 
III, and has presented documentation to this effect; and 

(d) Which has specified upon signature of, or accession to, the present Protocol its intention to act in 
accordance with this paragraph, 

shall, as a minimum, reduce and maintain its annual sulphur emissions in the area so listed in accordance with the 
timing and levels specified in £innex II. 

4. Furthermore, the Parties shall make use of the most effective measures for the reduction of sulphur emissions, 
appropriate in their partictilar circumstances, for new and existing sources, which include, inter aha : 

Measures to increase energy efiiciency; 

Measures to increase the use of renewable energy; 

Measures to reduce the sulphur content of psirticular fuels and to encourage the use of fuel with a low 
sulphur content, including the combined use of high-sulphur with low-sulphur or sulphur-free fiiel; 

Measures to apply best available control technologies not entailing excessive cost, 

using the guidance in annex FV. 

5. Each Party, except those Parties subject to the United States/Canada Air Quality Agreement of 1991, shall as 
a minimum: 

(a) Apply emission limit values at least as stringent as those specified in annex V to all major new stationary 
combustion sources; 

(b) No later than 1 July 2004 apply, as far as possible without entaihng excessive costs, emission limit values 
at least as stringent as those specified in annex V to those major existing stationary combustion sources the 
thermal input of which is above 500 MW^j^ taking into account the remaining lifetime of a plant, calculated 
from the date of entry into force of the present Protocol, or apply equivalent emission limitations or other 
appropriate provisions, provided that these achieve the sulphur emission ceilings specified in annex II and, 
subsequently, further approach the critical loads as given in annex I; and no later than 1 July 2004 apply 
emission hmit values or emission limitations to those major existing stationary combustion sources the thermal 
input of which is between 50 and 500 MW^j^ using annex V as guidance. 



Multilateral / Environment and Natural Resources 161 



(c) No later than two years after the date of entry into force of the present Protocol apply national standards 
for the sulphur content of gas oil at least as stringent as those specified in annex V. In cases where the supply 
of gas oil cannot otherwise be ensured, a State may extend the time period given in this subparagraph to a 
period of up to ten years. In this case it shall specify, in a declsiration to be deposited together with the 
instrument of ratification, acceptance, approval or accession, its intention to extend the time period. 

6. The Parties may, in addition, apply economic instruments to encourage the adoption of cost-effective ap- 
proaches to the reduction of sulphur emissions. 

7. The Parties to this Protocol may, at a session of the Executive Body, in accordance with rules and conditions 
which the Executive Body shall elaborate and adopt, decide whether two or more Parties may jointly implement the 
obUgations set out in annex II. These rules and conditions shall ensure the fulfilment of the obhgations set out in 
parsigraph 2 above and also promote the achievement of the environmentjd objectives set out in paragraph 1 above. 

8. The Parties shall, subject to the outcome of the first review provided for under article 8 and no later than one 
year after the completion of that review, commence negotiations on further obligations to reduce emissions. 



Article 3 
EXCHANGE OF TECHNOLOGY 

1. The Parties shall, consistent with their national laws, regulations and practices, facilitate the exchange of 
technologies and techniques, including those that increase energy efficiency, the use of renewable energy and the 
processing of low-sulphur fuels, to reduce sulphur emissions, particularly through the promotion of: 

(a) The commercial exchsmge of available technology; 

(b) Direct industrial contacts and cooperation, including joint ventures; 

(c) The exchange of information and experience; 

(d) Theprovisionof technical assistance. 

2. In promoting the activities specified in paragraph 1 above, the Parties shall create favourable conditions by 
faciUtating contacts and cooperation among appropriate organizations and individuals in the private and public 
sectors that are capable of providing technology, design and engineering services, equipment or finance. 

3. The Parties shall, no later than six months after the date of entry into force of the present Protocol, commence 
consideration of procedures to create more favourable conditions for the exchange of technology to reduce sulphur 
emissions. 



Article 4 

NATIONAL STRATEGIES, POLICIES, PROGRAMMES, MEASURES AND 

INFORMATION 

Each Party shall, in order to implement its obhgations under article 2: 

(a) Adopt national strategies, poUcies and programmes, no later than six months after the present Protocol 
enters into force for it; and 

(b) Take and apply national measures to control £md reduce its sulphur emissions. 



162 The Marine Mammal Commission Compendium 



2. Each Party shall collect and mamtain information on: 

(a) Actual levels of sulphur emissions, and of ambient concentrations and depositions of oxidized sulphur 
and other acidifying compounds, taking into account, for those Parties within the geographical scope of EMEP, 
the work plan of EMEP; and 

(b) The effects of depositions of oxidized sulphur and other acidifying compounds. 

Article 5 
REPORTING 

1. Each Party shall report, through the Executive Secretary of the Commission, to the Executive Body, on a 
periodic basis as determined by the Executive Body, information on: 

(a) The implementation of national strategies, policies, programmes and measures referred to in article 4, 
paragraph 1; 

(b) The levels of national annual sulphur emissions, in accordance with guidelines adopted by the Executive 
Body, containing emission data for all relevant source categories; and 

(c) The implementation of other obligations that it has entered into under the present Protocol, 

in conformity with a decision regarding format and content to be adopted by the Parties at a session of the Executive 
Body. The terms of this decision shall be reviewed as necessary to identify any additional elements regarding the 
format and/or content of the information that are to be included in the reports. 

2. Each Party within the geographical scope of EMEP shall report, through the Executive Secretary of the 
Commission, to EMEP, on a periodic basis to be determined by the Steering Body of EMEP and approved by the 
Parties at a session of the Executive Body, information on the levels of sulphur emissions with temporal and spatial 
resolution as specified by the Steering Body of EMEP. 

3. In good time before each annual session of the Executive Body, EMEP shall provide information on: 

(a) Ambient concentration and deposition of oxidized sulphur compounds and 

(b) Calculations of sulphur budgets. 

Parties in areas outside the geographical scope of EMEP shall make available similar information if requested to do 
so by the Executive Body. 

4. The Executive Body shall, in accordance with article 10, paragraph 2 (b), of the Convention, Eirrange for the 
preparation of information on the effects of depositions of oxidized sulphur emd other acidiiying compoimds. 

5. The Parties shall, at sessions of the Executive Body, arrange for the preparation, at regular intervals, of revised 
information on calculated and internationally optimized allocations of emission reductions for the States within the 
geographical scope of EMEP, with integrated assessment models, with a view to reducing fiuther, for the purposes of 
article 2, paragraph 1, of the present Protocol, the difference between actual depositions of oxidized sulphur 
compounds and critical load values. 



Article 6 
RESEARCH, DEVELOPMENT AND MONITORING 

The Parties shall encourage research, development, monitoring and cooperation related to: 



Multilateral / Environment and Natural Resources 163 



(a) The international harmonization of methods for the establishment of critical loads and critical levels 
and the elaboration of procedures for such harmonization; 

(b) The improvement of monitoring techniques and systems and of the modelling of transport, concentra- 
tions and deposition of sulphur compounds; 

(c) Strategies for the fiirther reduction of sulphur emissions based on critical loads and critical levels as 
well as on technical developments, and the improvement of integrated assessment modelling to calctilate 
internationally optimized allocations of emission reductions taking into account an equitable distribution of 
abatement costs; 

(d) The understanding of the wider effects of sulphur emissions on human health, the environment, in 
particular acidification, and materials, including historic and cultural monuments, taking into account the 
relationship between sulphur oxides, nitrogen oxides, ammonia, volatile organic compounds and tropospheric 
ozone; 

(e) Emission abatement technologies, and technologies and techniques to enhance energy efficiency, energy 
conservation and the use of renewable energy; 

(f) The economic evaluation of benefits for the environment and human health resulting from the reduction 
of sulphur emissions. 



Article 7 
COMPLIANCE 

1. An Implementation Committee is hereby estabUshed to review the implementation of the present Protocol and 
compliance by the Parties with their obligations. It shall report to the Parties at sessions of the Executive Body and 
may make such recommendations to them as it considers appropriate. 

2. Upon consideration of a report, and any recommendations, of the Implementation Committee, the Psuities, 
taking into account the circumstances of a matter and in accordance with Convention practice, may decide upon and 
call for action to bring about full comphance with the present Protocol, including measures to assist a Party's 
comphance with the Protocol, and to further the objectives of the Protocol. 

3. The Parties shall, at the first session of the Executive Body after the entry into force of the present Protocol, 
adopt a decision that sets out the structure sind functions of the Implementation Committee as well as procedures 
for its review of comphance. 

4. The appUcation of the comphance procedure shall be without prejudice to the provisions of article 9 of the 
present Protocol. 



Article 8 
REVIEWS BY THE PARTIES AT SESSIONS OF THE EXECUTIVE BODY 

1. The Parties shall, at sessions of the Executive Body, pursuant to article 10, paragraph 2 (a), of the Convention, 
review the information supphed by the Parties and EMEP, the data on the effects of depositions of sulphur and other 
acidifying compounds and the reports of the Implementation Committee referred to in article 7, paragraph 1, of the 
present Protocol. 

2. (a) The Parties shall, at sessions of the Executive Body, keep under review the obligations set out in the 
present Protocol, including: 



164 The Marine Mammal Commission Compendium 



(i) Their obligations in relation to their calculated and internationally optimized allocations of emission 
reductions referred to in article 5, paragraph 5; and 

(ii) The adequacy of the obligations and the progress made towards the achievement of the objectives of the 
present Protocol; 

(b) Reviews shall take into account the best available scientific information on acidification, including 
assessments of critical loads, technological developments, changing economic conditions and the fulfilment of 
the obligations on emission levels; 

(c) In the context of such reviews, any Party whose obligations on sulphur emission ceilings iinder annex 
II hereto do not conform to the calculated and internationally optimized allocations of emission reductions for 
that Party, required to reduce the difference between depositions of sulphur in 1990 and critical sulphur 
depositions within the geographical scope of EMEP by at least 60%, shall make every effort to undertake revised 
obUgations; 

(d) The procedures, methods £ind timing for such reviews shall be specified by the Parties at a session of 
the Executive Body. The first such review shall be completed in 1997. 



Article 9 
SETTLEMENT OF DISPUTES 

1. In the event of a dispute between any two or more Parties concerning the interpretation or appUcation of the 
present Protocol, the Parties concerned shall seek a settlement of the dispute through negotiation or any other 
peaceful means of their own choice. The parties to the dispute shall inform the Executive Body of their dispute. 

2. When ratifying, accepting, approving or acceding to the present Protocol, or at any time thereafter, a Party 
which is not a regional economic integration organization may declare in a written instrument submitted to the 
Depositary that, in respect of any dispute concerning the interpretation or application of the Protocol, it recognizes 
one or both of the following means of dispute settlement as compulsory ipso facto and without agreement, in relation 
to any Party accepting the same obligation: 

(a) Submission of the dispute to the International Court of Justice; 

(b) Arbitration in accordance with procedures to be adopted by the Parties at a session of the Executive 
Body as soon as practicable, in an annex on arbitration. 

A Party which is a regional economic integration organization may make a declaration with like effect in relation to 
arbitration in accordance with the procediu-es referred to in subparagraph (b) above. 

3. A declaration made under paragraph 2 above shall remain in force until it expires in accordance with its terms 
or until three months after written notice of its revocation has been deposited with the Depositary. 

4. Anew declaration, a notice of revocation or the expiry of a declaration shall not in any way affect proceedings 
pending before the International Court of Justice or the arbitral tribunsd, unless the parties to the dispute agree 
otherwise. 

5. Except in a case where the parties to a dispute have accepted the same means of dispute settlement under 
paragraph 2, if after twelve months following notification by one Party to another that a dispute exists between them, 
the Parties concerned have not been able to settle their dispute through the means mentioned in paragraph 1 above, 
the dispute shall be submitted, at the request of any of the parties to the dispute, to conciliation. 

6. For the purpose of paragraph 5, a conciliation commission shall be created. The commission shall be composed 
of an equal number of members appointed by each party concerned or, where parties in concUiation share the same 
interest, by the group sharing that interest, and a chairman chosen jointly by the members so appointed. The 
commission shall render a recommendatory award, which the parties shall consider in good faith. 



Multilateral / Environment and Natural Resources 165 



Article 10 

ANNEXES 

The annexes to the present Protocol shall form an integral part of the Protocol. Annexes I and IV are 
recommendatory in character. 



Article 11 
AMENDMENTS AND ADJUSTMENTS 

1. Any Party may propose amendments to the present Protocol. Any Party to the Convention may propose an 
adjustment to annex II to the present Protocol to add to it its name, together with emission levels, sulphur emission 
ceilings and percentage emission reductions. 

2. Such proposed amendments and adjustments shall be submitted in writing to the Executive Secretary of the 
Commission, who shall communicate them to all Parties. The Parties shall discuss the proposed amendments and 
adjustments at the next session of the Executive Body, provided that those proposals have been circulated by the 
Executive Secretary to the Parties at least ninety days in advance. 

3. Amendments to the present Protocol and to its sinnexes II, III and V shall be adopted by consensus of the 
Parties present at a session of the Executive Body, and shall enter into force for the Parties which have accepted them 
on the ninetieth day after the date on which two thirds of the Parties have deposited with the Depositary their 
instruments of acceptance thereof Amendments shall enter into force for any other Party on the ninetieth day after 
the date on which that Party has deposited its instrument of acceptance thereof 

4. Amendments to the annexes to the present Protocol, other than to the annexes referred to in paragraph 3 
above, shall be adopted by consensus of the Parties present at a session of the Executive Body. On the expiry of ninety 
days from the date of its communication by the Executive Secretary of the Commission, an amendment to any such 
annex shall become effective for those Parties which have not submitted to the Depositary a notification in accordance 
with the provisions of paragraph 5 below, provided that at least sixteen Parties have not submitted such a notification. 

5. Any Party that is unable to approve an amendment to an annex, other than to an annex referred to in paragraph 
3 above, shall so notify the Depositary in writing within ninety days from the date of the communication of its adoption. 
The Depositary shall without delay notify all Pzirties of any such notification received. A Party may at any time 
substitute an acceptance for its previous notification and, upon deposit of an instrument of acceptance with the 
Depositary, the amendment to such an annex shall become effective for that Party. 

6. Adjustments to annex II shaU be adopted by consensus of the Parties present at a session of the Executive 
Body and shall become effective for all Parties to the present Protocol on the ninetieth day following the date on which 
the Executive Secretary of the Commission notifies those Parties in writing of the adoption of the adjustment. 



Article 12 
SIGNATURE 

1. The present Protocol shall be open for signature at Oslo on 14 June 1994, then at United Nations Headquarters 
in New York until 12 December 1994 by States members of the Commission as weU as States having consultative 
status with the Commission, pursuant to paragraph 8 of Economic and Social Council resolution 36 (IV) of 28 March 
1947, and by regional economic integration organizations, constituted by sovereign States members of the Commis- 
sion, which have competence in respect of the negotiation, conclusion and appUcation of international agreements in 
matters covered by the Protocol, provided that the States and organizations concerned are Parties to the Convention 
and are listed in annex II. 



166 The Marine Mammal Commission Compendium 



2. In matters within their competence, such regional economic integration organizations shall, on their own 
behalf, exercise the rights and fulfil the responsibilities which the present Protocol attributes to their member States. 
In such cases, the member States of these organizations shall not be entitled to exercise such rights individually. 



Article 13 
RATIFICATION, ACCEPTANCE, APPROVAL AND ACCESSION 

1. The present Protocol shall be subject to ratification, acceptance or approval by Signatories. 

2. The present ftotocol shall be open for accession as irom 12 December 1994 by the States and organizations 
that meet the requirements of article 12, paragraph 1. 

Article 14 
DEPOSITARY 

The instruments of ratification, acceptance, approval or accession shall be deposited with the Secretary- 
General of the United Nations, who will perform the functions of Depositary. 

Article 15 
ENTRY INTO FORCE 

1. The present Protocol shall enter into force on the ninetieth day following the date on which the sixteenth 
instrument of ratification, acceptance, approval or accession has been deposited with the Depositary. 

2. For each State and organization referred to in article 12, paragraph 1, which ratifies, accepts or approves the 
present Protocol or accedes thereto after the deposit of the sixteenth instrument of ratification, acceptance, approval 
or accession, the Protocol shall enter into force on the ninetieth day following the date of deposit by such Party of its 
instrument of ratification, acceptance, approval or accession. 

Article 16 
WITHDRAWAL 

At any time after five years fi-om the date on which the present Protocol has come into force with respect to a 
Party, that Psirty may withdraw fi-om it by giving written notification to the Depositary. Any such withdrawal shall 
take effect on the ninetieth day following the date of its receipt by the Depositary, or on such later date as may be 
specified in the notification of the withdrawal. 

Article 17 
AUTHENTIC TEXTS 

The original of the present Protocol, of which the EngUsh, French and Russian texts are equally authentic, 
shall be deposited with the Secretary-General of the United Nations. 



Multilateral / Environment and Natural Resources 



167 



IN WITNESS WHEREOF the undersigned, being duly authorized thereto, have signed the present Protocol. 
DONE at Oslo, this fourteenth day of June one thousand nine hundred and ninety-four. 

Annex I 

CRITICAL SULPHUR DEPOSITION 
(5-percentile in centigrams of sulphiir per square metre per year) 



13 14 16 16 17 18 19 20 21 22 23 24 25 26 27 26 29 30 31 32 33 34 35 36 37 38 




168 



The Marine Mammal Commission Compendium 



Annex II 
SULPHUR EMISSION CEILINGS AND PERCENTAGE EMISSION REDUCTIONS 



The sulphur emission ceilings listed in the table below give the obUgations referred to in paragraphs 2 and 3 
of article 2 of the present Protocol. The 1980 and 1990 emission levels and the percentage emission reductions listed 
are given for information purposes only. 





Emission 


Sulphur emission | 


Percentage emission 




levels 


ceilings^' 




reductions 






kt SO2 per year 


kt SO2 per year 




(base year 1980bO 






1980 1990 


2000 2005 


2010 


2000 2005 2010 


Austria 


397 90 


78 




80 




Belarus 


740 


456 400 


370 


38 46 


50 


Belgium 


828 443 


248 232 


215 


70 72 


74 


Bulgaria 


2050 2020 


1374 1230 


1127 


33 40 


45 


Canada - national 


4614 3700 


3200 




30 




-SOMA 


3245 


1750 




46 




Croatia 


150 160 


133 125 


117 


11 17 


22 


Czech RepubUc 


2257 1876 


1128 902 


632 


50 60 


72 


Denmark 


451 180 


90 




80 




Finland 


584 260 


116 




80 




France 


3348 1202 


868 770 


737 


74 77 


78 


Germany 


7494 5803 


1300 990 




83 87 




Greece 


400 510 


595 580 


570 


3 


4 


Hungary 


1632 1010 


898 816 


653 


45 50 


60 


Ireland 


222 168 


155 




30 




Italy 


3800 


1330 1042 




65 73 




Liechtenstein 


0.4 0.1 


0.1 




75 




Luxembourg 


24 


10 




58 




Netherlands 


466 207 


106 




77 




Norway 


142 54 


34 




76 




Poland 


4100 3210 


2583 2173 


1397 


37 47 


66 


Portugal 


266 284 


304 294 




3 




Russian Federation!^ 


7161 4460 


4440 4297 


4297 


38 40 


40 


Slovakia 


843 539 


337 295 


240 


60 65 


72 


Slovenia 


235 195 


130 94 


71 


45 60 


70 


Spain 


3319 2316 


2143 




35 




Sweden 


507 130 


100 




80 




Switzerland 


126 62 


60 




52 




Ukraine 


3850 


2310 




40 




United Kingdom 


4898 3780 


2449 1470 


980 


50 70 


80 


European Community 


25513 


9598 




62 





Multilateral / Environment and Natural Resources 169 



Annex II (continued) 

Notes 

a/ If, in a given year before 2005, a Party finds that, due to a particularly cold winter, a particularly dry 
summer and an unforeseen short-term loss of capacity in the power supply system, domesticjJly or in a neighbouring 
country, it cannot comply with its obligations under this annex, it may fulfil those obUgations by averaging its national 
annual sulphur emissions for the year in question, the year preceding that year and the year following it, provided 
that the emission level in any single year is not more than 20% above the sulphur emission ceihng. 

The reason for exceedance in any given year and the method by which the three-year average figure will be 
achieved, shall be reported to the Implementation Committee. 

b/ For Greece and Portugal percentage emission reductions given are based on the sulphur emission ceilings 
indicated for the year 2000. 

d European part within the EMEP area. 



Annex I II 
DESIGNATION OF SULPHUR OXIDES MANAGEMENT AREAS (SOMAs) 

The following SOMA is listed for the purposes of the present Protocol: 

South-east Canada SOMA 

This is an area of 1 milUon km^ which includes all the territory of the provinces of Prince Edward Island, Nova 
Scotia and New Brunswick, all the territory of the province of Quebec south of a straight line between Havre-St.Pierre 
on the north coast of the Gulf of Sciint Lawrence and the point where the Quebec-Ontario boundary intersects the 
James Bay coastUne, and all the territory of the province of Ontario south of a straight line between the point where 
the Ontario-Quebec boundary intersects the James Bay coastline and Nipigon River near the north shore of Lake 
Superior. 

Annex IV 

CONTROL TECHNOLOGIES FOR SULPHUR EMISSIONS 
FROM STATIONARY SOURCES 

I. INTRODUCTION 

1. The aim of this annex is to provide guidance for identifying sulphur control options and technologies for giving 
effect to the obUgations of the present Protocol. 

2. The annex is based on information on general options for the reduction of sulphur emissions and in particular 
on emission control technology performance and costs contained in official documentation of the Executive Body and 
its subsidiary bodies. 

3. Unless otherwise indicated, the reduction measures Usted are considered, on the basis of operational experience 
of several years in most cases, to be the most well-estabUshed and economically feasible best available technologies. 
However, the continuously expanding experience of low-emission measures and technologies at new plants as well 
as of the retrofitting of existing plants will necessitate regular review of this annex. 



170 The Marine Mammal Commission CoMPENDIU^ 



4. Although the annex lists a number of measures and technologies spanning a wide range of costs and efficiencies, 
it cannot be considered as an exhaustive statement of control options. Moreover, the choice of control measures and 
technologies for any particular case will depend on a number of factors, including cvirrent legislation and regulatory 
provisions and, in particular, control technology requirements, primary energy patterns, industrial infrastructure, 
economic cinnimstances and specific in-plant conditions. 

5. The annex mainly addresses the control of oxidized sulphur emissions considered as the sum of sulphur dioxide 
(SOj) and sulphur trioxide (SO3), expressed as SOj. The share of sulphur emitted as either sulphur oxides or other 
sulphur compounds from non-combustion processes and other sovirces is small compared to sulphur emissions from 
combustion. 

6. When measures or technologies are planned for sulphur sources emitting other components, in particular 
nitrogen oxides (NO^j), particulates, heavy metals and volatile organic compounds (VOCs), it is worthwhile to consider 
them in conjunction with pollutant-specific control options in order to maximize the overall abatement effect and 
minimize the impact on the environment and, especially, to avoid the transfer of air pollution problems to other media 
(such as waste water and sohd waste). 

n. MAJOR STATIONARY SOURCES FOR SULPHUR EMISSIONS 

7. Fossil fuel combustion processes are the main source of anthropogenic sulphur emissions from stationary 
sources. In addition, some non-combustion processes may contribute considerably to the emissions. The major 
stationary source categories, based on EMEP/CORINAIR'90, include: 

(i) Public power, cogeneration and district heating plants: 

(a) Boilers; 

(b) Stationary combustion turbines and internal combustion engines; 
(ii) Commercial, institutional and residential combustion plants: 

(a) Commercial boilers; 

(b) Domestic heaters; 

(iii) Industrial combustion plants and processes with combustion: 

(a) Boilers and process heaters; 

(b) Processes, e.g. metallurgical operations such as roasting and sintering, coke oven plants, proc- 
essing of titanium dioxide (TiOj), etc.; 

(c) Pulp production; 

(iv) Non-combustion processes, e.g. sulphuric acid production, specific organic synthesis processes, treat- 
ment of metallic surfaces; 

(v) Extraction, processing and distribution of fossil fuels; 

(vi) Waste treatment and disposal, e.g. thermal treatment of municipal and industrial waste. 

8. Overall data (1990) for the ECE region indicate that about 88% of total sulphur emissions originate from all 
combustion processes (20% from industrial combustion), 5% from production processes £ind 7% from oil refineries. 
The power plant sector in many countries is the m^jor single contributor to sulphur emissions. In some countries, 
the industrial sector (including refineries) is also an importEint SOj emitter. Although emissions from refineries in 
the ECE region are relatively small, their impact on sulphur emissions from other sources is large due to the sulphur 
in the oil products. Typically 60% of the sulphur intake present in the crudes remains in the products, 30% is recovered 
as elemental sulphur and 10% is emitted from refinery stacks. 



Multilateral / Environment and Natural Resources 171 

m. GENERAL OPTIONS FOR REDUCTION OF SULPHUR EMISSIONS FROM COMBUSTION 

9. General options for reduction of sulphur emissions are: 
(i) Energy management measures:*/ 

(a) Energy saving 

The rational use of energy (improved energy efHciency/process operation, cogeneration and/or demand-side 
management) usually results in a reduction in sulphur emissions. 

(b) Energy mix 

In general, sulphur emissions can be reduced by increasing the proportion of non-combustion energy sources 
(i.e. hydro, nuclear, wind, etc.) to the energy mix. However, further environmental impacts have to be considered. 

(ii) Tachnological options: 

(a) Fuel switching 

The SO2 emissions during combustion are directly related to the sulphur content of the fuel used. 

Fuel switching (e.g. from high- to low-sulphur coals and/or liquid fuels, or from coal to gas) leads to lower 
sulphur emissions, but there may be certain restrictions, such as the availability of low-sulphur fuels and the 
adaptability of existing combustion systems to different fuels. In many ECE countries, some coal or oU combustion 
plants are being replaced by gas-fired combustion plsmts. Dujd-fuel plants may facihtate fuel switching. 

(b) P^iel cleaning 

Cleaning of natural gas is state-of-the-art technology and widely applied for operational reasons. 

Cleaning of process gas (acid refinery gas, coke oven gas, biogas, etc.) is also state-of-the-art technology. 

Desulphurization of Uquid fuels (light and middle fractions) is state-of-the-art technology. 

Desulphurization of heavy fractions is technically feasible; nevertheless, the crude properties should be kept 
in mind. Desulphurization of atmospheric residue (bottom products from atmospheric crude distillation imits) for the 
production of low-sulphur fuel oil is not, however, commonly practised; processing low-sulphur crude is usually 
preferable. Hydro-cracking and full conversion technology have matured and combine high sulphur retention with 
improved yield of light products. The number of ftill conversion refineries is as yet limited. Such refineries typically 
recover 80 to 90% of the sulphur intake £ind convert all residues into hght products or other marketable products. 
For this type of refinery, energy consumption and investment costs are increased. Typical sulphur content for refinery 
products is given in table 1 below. 

Current technologies to clean hard coal can remove approximately 50% of the inorganic sulphur (depending 
on coal properties) but none of the organic sulphur. More effective technologies are being developed which, however, 
involve higher specific investment and costs. Thus the efficiency of sulphur removal by coal cleaning is limited 
compared to flue gas desulphurization. There may be a coimtry-specific optimization potential for the best combina- 
tion of fuel cleaning and flue gas cleaning. 



*/ Options (i) (a) and (b) are integrated in the energy structure and policy of a Party. Implementation status, efGdency and costs per sector i 



not considered here 



172 The Marine Mammal Commission Compendium 



Table 1 



Sxilphur content fi'om refinery products 
(S content (%)) 



TVpical present values Anticipated future values 



Gasoline 0.1 0.05 

Jet kerosene 0.1 0.01 

Diesel 0.05 - 0.3 < 0.05 

Heating oil 0.1 - 0.2 < 0.1 

Fuel oil 0.2 - 3.5 < 1 

Marine diesel 0.5 - 1.0 < 0.5 

Blinker oil 3.0 - 5.0 < 1 (coastal areas) 



< 2 (high seas) 



(c) Advanced combustion technologies 

These combustion technologies with improved thermal efficiency and reduced sulphiu- emissions include: 
fluidized-bed combustion (FBC): bubbUng (BFBC), circulating (CFBC) and pressurized (PFBC); integrated gasifica- 
tion combined-cycle (IGCC); and combined-cycle gas turbines (CCGT). 

Stationary combustion turbines can be integrated into combustion systems in existing conventional power 
plants which can increase overall efficiency by 5 to 7%, leading, for example, to a significant reduction in SOg 
emissions. However, major alterations to the existing furnace system become necessary. 

Fluidized-bed combustion is a combustion technology for burning hard coal and brown coal, but it can also 
bum other soUd fuels such as petroleum coke and low-grade fuels such as waste, peat and wood. Emissions can 
additionally be reduced by integrated combustion control in the system due to the addition of lime/limestone to the 
bed material. The total installed capacity of FBC has reached approximately 30,000 MW^^ (250 to 350 plants), 
including 8,000 MW^j^ in the capacity range of greater than 50 MW^j^. By-products from this process may cause 
problems with respect to use and/or disposal, and further development is required. 

The ICjCC process includes coal gasification and combined-cycle power generation in a gas and steam turbine. 
The gasified coal is burnt in the combustion chamber of the gas turbine. Sulphvu- emission control is achieved by the 
use of state-of-the-art technology for raw gas cleaning facihties upstream of the gas turbine. The technology also 
exists for heavy oil residues and bitumen emulsions. The installed capacity is presently about 1,000 MW^, (5 plants). 

Combined-cycle gas-turbine power stations using natural gas as fuel with an energy efficiency of approximately 
48 to 52% are currently being plaimed. 

(d) Process and combustion modifications 

Combustion modifications comparable to the measures used for NO^^ emission control do not exist, as during 
combustion the organically and/or inorganically bound sulphur is Edmost completely oxidized (a certain percentage 
depending on the fuel properties and combustion technology is retained in the ash). 

In this annex dry additive processes for conventional boilers are considered as process modifications due to the 
injection of an agent into the combustion unit. However, experience has shown that, when applying these processes, 
thermal capacity is lowered, the Ca/S ratio is high and sulphur removal low. Problems with the ftirther utilization of 
the by-product have to be considered, so that this solution should usually be applied as an intermediate measure and 
for smaller units (table 2). 



Multilateral / Environment and Natural Resources 



173 



Table 2 

Emissions of sulphur oxides obtained from the application of technological 

options to fossil-fuelled boilers 





Uncontrolled 


Additive 


Wet 




Spray dry 




emissions 


injection 


scrubbing ^ 


absorption b' 


Reduction efficiency (%) 




up to 60 


95 




up to 90 




Energy efficiency 
kW^i/103 m3/h) 




0.1-1 


6-10 




3-6 




Tbtal installed capacity 

(ECE Eur)(MWj^) 






194,000 




16,000 




Type of by-product 




Mix of Ca salts 
and fiy ashes 


Gypsum (sludge/waste 
water) 


MixofCaSog* 
and fly ashes 


y2H20 


Specific investment 
(costECU(1990)/kW^,) 




20-50 


60 - 250 




50 - 220 






mg/mSi^ g/kWh^, 


mg/mSc' g/kWh^, 


mg/m^s/ 


giTcWh^l 


mg/m3<^ 


g/kWh,, 


Hard coal ^ 


1,000- 3.5-35 
10,000 


400- 1.4-14 
4,000 


<400 
(<200, 1% S) 


<1.4 
<0.7 


<400 
(<200, 1% S) 


<1.4 
<0.7 


Brown coal ^ 


1,000- 4.2-84 
20,000 


400- 1.7-33.6 
8,000 


<400 
(<200, 1% S) 


<1.7 
<0.8 


<400 
(<200, 1% S) 


<1.7 
<0.8 


Heavy oil i/ 


1,000- 2.8-28 
10,000 


400- 1.1-11 
4,000 


<400 
(<200, 1%S) 


<1.1 
<0.6 


<400 
(<200, 1%S) 


<1.1 
<0.6 




Ammonia 


Wellman 


Activated 


Combined 




scrubbing ^ 


Lord a/ 


carbon 


a/ 


catalytic ^ 


Reduction efficiency (%) 


up to 90 


95 


95 




95 




Energy efficiency 
(kW^,/103 m3/h) 


3-10 


10-15 


4-8 




2 




Tbtal installed capacity 
(ECE Eur) (MWjj^) 


200 


2,000 


700 




1,300 




Type of by-product 


Ammonia 
fertilizer 


Elemental S 
Sulphuric acid 
(99 vol.%) 


Elemental S 
Sulphuric acid 
(99 vol.%) 




Sulphuric acid 

(70 wt.%) 




Specific investment 
(cost ECU(1990)/kW^,) 


230-270 e/ 


200-300 e/ 


280-320 e'f 




320-350 e'f 






raslxrfi'^ g/kWh^i 


mg/m3<^ g/kWh^l 


mg/m^c' 


g/kWh,, 


mg/vcfi^ 


g/kWh,, 


Hard coal * 


<400 <1.4 
(<200, <0.7 

1%S) 


<400 <1.4 
(<200, <0.7 

1%S) 


<400 
(<200, 1% S) 


<1.4 
<0.7 


<400 
(<200, 1% S) 


<1.4 
<0.7 


Brown coal ^ 


<400 <1.7 
(<200, <0.8 

1%S) 


<400 <1.7 
(<200, <0.8 

1%S) 


<400 
(<200, 1%S) 


<1.7 
<0.8 


<400 
(<200, 1% S) 


<1.7 
<0.8 


Heavy oil ^ 


<400 <1.1 
(<200, <0.6 

1%S) 


<400 <1.1 
(<200, <0.6 

1%S) 


<400 
(<200, 1% S) 


<1.1 
<0.6 


<400 
(<200, 1% S) 


<1.1 
<0.6 



174 The Marine Mammal Commission Compendium 



Table 2 (continued) 



a/ For high sulphur content in the fuel the removal efficiency has to be adapted. However, the scope for 
doing so may be process-specific. Availabihty of these processes is usually 95%. 

b/ Limited applicability for high-sulphur fiiels. 

d Emission in mg/m^ (STP), dry, 6% oxygen for solid fuels, 3% oxygen for liquid fuels. 

d/ Conversion factor depends on fuel properties, specific fuel gas volume and thermal efficiency of boiler 
(conversion factors (m^/kWh^j, thermal efficiency: 36%) used: hard coal: 3.50; brown coal: 4.20; heavy 
oU: 2.80). 

e/ Specific investment cost relates to a small sample of installations. 

il Specific investment cost includes denitrification process. 

The table was estabUshed mainly for large combustion installations in the public sector. However, the control 
options are also valid for other sectors with similar exhaust gases. 

(e) Flue gas desulphurization (FGD) processes 

These processes aim at removing already formed sulphur oxides, and are also referred to as secondary 
measures. The state-of-the-art technologies for flue gas treatment processes are all based on the removal of sulphur 
by wet, dry or semi-dry and catalytic chemical processes. 

lb achieve the most efficient programme for sulphur emission reductions beyond the energy management 
measures listed in (i) above a combination of technological options identified in (ii) above should be considered. 

In some cases options for reducing sulphur emissions may also result in the reduction of emissions of COg, NO^^ 
and other pollutants. 

In pubUc power, cogeneration and district heating plants, flue gas treatment processes used include: Ume/hme- 
stone wet scrubbing (LWS), spray dry absorption (SDA); Wellman Lord process (WL), ammonia scrubbing (AS), and 
combined NOj/SO removal processes (activated carbon process (AC) and combined catalytic NOySOj^ removal). 

In the power generation sector, LWS and SDA cover 85% and 10%, respectively, of the installed FGD capacity. 

Several new flue gas desulphurization processes, such as electron beam dry scrubbing (EBDS) and Mark 13A, 
have not yet passed the pUot stage. 

Table 2 above shows the efficiency of the above-mentioned secondary measures based on the practical 
experience gathered from a large number of implemented plants. The implemented capacity as well as the capacity 
range are also mentioned. Despite comparable characteristics for several sulphur abatement technologies, local or 
plant-specific influences may lead to the exclusion of a given technology. 

Table 2 also includes the usual investment cost ranges for the sulphur abatement technologies listed in sections 
(ii) (c), (d) and (e). However, when applying these technologies to individual cases it should be noted that investment 
costs of emission reduction measures will depend amongst other things on the particular technologies used, the 
required control systems, the plant size, the extent of the required reduction and the time-scale of planned 
maintenance cycles. The table thus gives only a broad range of investment costs. Investment costs for retrofit generally 
exceed those for new plants. 



Multilateral / Environment and Natural Resources 175 



IV. CONTROL TECHNIQUES FOR OTHER SECTORS 

10. The control techniques hsted in section 9 (ii) (a) to (e) are vaUd not only in the power plant sector but also in 
various other sectors of industry. Several years of operationjd experience have been acquired, in most cases in the 
power plant sector. 

11. The appUcation of sulphur abatement technologies in the industrial sector merely depends on the process's 
specific hmitations in the relevant sectors. Important contributors to sulphur emissions and corresponding reduction 
measures are presented in table 3 below. 



Table 3 



Source 


Reduction measures 


Roasting of non-ferrous sulphides 
Viscose production 


Wet sulphuric acid catalytic process (WSA) 
Double-contact process 


Sulphuric acid production 


Double-contact process, improved yield 


Kraft pulp production 


Variety of process-integrated measures 



12. In the sectors hsted in table 3, process-integrated measures, including raw materials changes (if necessary 
combined with sector-speciiic flue gas treatment), can be used to achieve the most effective reduction of sulphvir 
emissions. 

13. Reported examples are the following: 

(a) In new kraft pulp miUs, sulphur emission of less than 1 kg of sulphur per tonne of pulp AD (air dried) 
can be achieved; 'JU 

(b) In sulphite pulp mill s, 1 to 1.5 kg of sulphur per tonne of pulp AD can be achieved; 

(c) In the case of roasting of sulphides, removal efiBciencies of 80 to 99% for 10,000 to 200,000 m^/h units 
have been reported (depending on the process); 

(d) For one iron ore sintering plant, an FGD unit of 320,000 m^/h capacity achieves a clean gas value below 
100 mg S0^m3 at 6% O^, 

(e) Coke ovens are achieving less than 400 mg SOj/Nm^ at 6% O^, 

(f) Sulphuric acid plants achieve a conversion rate larger than 99%; 

(g) Advanced Claus plant achieves sulphur recovery of more than 99%. 

V. BY-PRODUCTS AND SIDE-EFFECTS 

14. As efforts to reduce sulphur emissions from stationary sources are increased in the countries of the ECE region, 
the quantities of by-products will also increase. 

15. Options which would lead to usable by-products should be selected. Furthermore, options that lead to increased 
thermal efficiency and minimize the waste disposal issue whenever possible should be selected. Although most 
by-products are usable or recyclable products such as gypsum, ammonia salts, sulphuric acid or sulphur, factors such 
as market conditions and quahty standards need to be taken into account. Further utilization of FBC and SDA 
by-products have to be improved and investigated, as disposal sites and disposal criteria hmit disposal in several 
countries. 



V Control of sulphur-to-sodium ratio is required, i.e. removal of sulphur in the form of neutral salts and use of sulphur-free sodium make-up. 



176 The Marine Mammal Commission Compendium 



16. The following side-effects will not prevent the implementation of any technology or method but shovdd be 
considered when several sulphur abatement options are possible: 

(a) Energy requirements of the gas treatment processes; 

(b) Corrosion attack due to the formation of sulphuric acid by the reaction of sulphur oxides with water 
vapour; 

(c) Increased use of water and waste water treatment; 

(d) Reagent requirements; 

(e) SoUd waste disposal. 

VI. MONITORING AND REPORTING 

17. The measures taken to carry out national strategies and policies for the abatement of air pollution include: 
legislation and regulatory provisions, economic incentives and disincentives, as well as technological requirements 
(best available technology). 

18. In general, standards are set, per emission source, according to plant size, operating mode, combustion 
technology, fuel type and whether it is a new or existing plant. An siltemative approach also used is to set a target 
for the reduction of total sulphur emissions from a group of sources and to allow a choice of where to take action to 
reach this target (the bubble concept). 

19. Efforts to Umit the sulphur emissions to the levels set out in the national framework legislation have to be 
controlled by a permanent monitoring and reporting system and reported to the supervising authorities. 

20. Several monitoring systems, using both continuous and discontinuous measurement methods, are available. 
However, quality requirements vary. Measurements are to be carried out by qualified institutes using measuring and 
monitoring systems. Tb this end, a certification system can provide the best assurance. 

21. In the framework of modem automated monitoring systems and process control equipment, reporting does not 
create a problem. The collection of data for further use is a state-of-the-art technique; however, data to be reported 
to competent authorities differ from case to case. To obtain better comparability, data sets and prescribing regulations 
should be harmonized. Harmonization is also desirable for quality assurance of measuring and monitoring systems. 
This should be taken into account when comparing data. 

22. lb avoid discrepancies and inconsistencies, key issues and parameters, including the following, must be well 
defined: 

(a) Definition of standards expressed as ppmv, mg/Nm^, g/GJ, kg/h or kg/tonne of product. Most of these 
units need to be calculated and need specification in terms of gas temperature, humidity, pressure, oxygen 
content or heat input value; 

(b) Definition of the period over which standards are to be averaged, expressed as hours, months or a year; 

(c) Definition of failure times and corresponding emergency regulations regarding bjrpass of monitoring 
systems or shut-down of the installation; 

(d) Definition of methods for back-filling of data missed or lost as result of equipment failure; 

(e) Definition of the parameter set to be measured. Depending on the type of industrial process, the 
necessary information may differ. This also involves the location of the measurement point within the system. 

23. Quality control of measurements has to be ensured. 



Multilateral / Environment and Natural Resources 



177 



Annex V 
EMISSION AND SULPHUR CONTENT LIMIT VALUES 

A. EMISSION LIMIT VALUES FOR MAJOR STATIONARY COMBUSTION SOURCES a^ 





(i) 
(MW^,) 


(ii) 

Emission limit value 

(mg SOa/NmS b/) 


(iii) 
Desulphurization rate 

(%) 


1. SOLID FUELS 

(based on 6% oxygen in flue 

gas) 


50-100 
100-500 

>500 


2000 

2000-400 
(linear decrease) 

400 


40 (for 100-167 MWjj,) 

40-90 (linear increase 

for 167-500 MW^^) 

90 


2. LIQUID FUELS 
(based on 3% oxygen in flue 

gas) 


50-300 
300-500 

>500 


1700 

1 700-400 
(Unear decrease) 

400 


90 
90 


3. GASEOUS FUELS 
(based on 3% oxygen in flue 
gas) 

Gaseous fuels in general 

Liquefied gas 

Low calorific gases from 
gasification of refinery 
residues, coke oven gas, 
blast-furiiace gas 




35 

5 
800 





B. GAS OIL 


Sulphur content (%) 


Diesel for on-road vehicles 
Other types 


0.05 
0.2 



Notes 

a/ As guidance, for a plant with a multi-fuel firing unit involving the simultaneous use of two or more tj^pes 
of fuels, the competent authorities shall set emission Umit values taking into account the emission limit values 
from column (ii) relevant for each individual fuel, the rate of thermal input deUvered by each fuel and, for 
refineries, the relevant specific characteristics of the plant. For refineries, such a combined Umit value shall 
under no circumstances exceed 1700 mg SOj/Nm^. 

In particular, the Umit values shaU not apply to the foUowing plants: 

Plants in which the products of combustion are used for direct heating, drying, or any other treatment 
of objects or materials, e.g. reheating furnaces, furnaces for heat treatment; 

Post-combustion plants, i.e. any technical apparatus designed to purify the waste gases by combustion 
which is not operated as an independent combustion plant; 

FaciUties for the regeneration of catalytic cracking catalysts; 

FaciUties for the conversion of hydrogen sulphide into sulphur; 



Reactors used in the chemical industry; 



178 The Marine Mammal Commission Compendium 

Coke battery furnaces; 

Cowpers; 

Waste incinerators; 

Plants powered by diesel, petrol and gas engines or by gas turbines, irrespective of the fuel used. 

In a case where a Party, due to the high sulphur content of indigenous solid or liquid fuels, cannot meet the 
emission limit values set forth in column (ii), it may apply the desulphurization rates set forth in column (iii) or a 
maximum limit value of 800 mg SOg/Nm^ (although preferably not more than 650 mg SOj/Nm^). The Party shall 
report any such apphcation to the Implementation Committee in the calendar year in which it is made. 

Where two or more separate new plants are installed in such a way that, taking technical and economic factors 
into account, their waste gases could, in the judgement of the competent authorities, be discharged through a common 
stack, the combination formed by such plants is to be regarded as a single unit. 

b/ mg SOj/Nm^ is defined at a temperature of 273°K and a pressure of 101.3 kPa, after correction for the 
water vapour content. 



United Nations Convention to Combat 

Desertification in Those Countries 

Experiencing Serious Drought and/or 

Desertification, Particularly in Africa, 

Paris, 1994 



Done at Paris 17 June 1994 

Entered into force 26 December 1996* 

Depositary: United Nations 

Primary source citation: United Nations Certified 
True Copy (XXVII.IO) 



UNITED NATIONS CONVENTION TO COMBAT 

DESERTIFICATION IN THOSE COUNTRIES EXPERIENCING 

SERIOUS DROUGHT AND/OR DESERTIFICATION, 

PARTICULARLY IN AFRICA 

The Parties to this Convention, 

Affirming that hiunan beings in affected or threatened areas are at the centre of concerns to combat 
desertification and mitigate the effects of drought, 

Reflecting the urgent concern of the international community, including States and international organiza- 
tions, about the adverse impacts of desertification and drought. 

Aware that arid, semi-arid and dry sub-humid areas together account for a significEint proportion of the Earth's 
land area and are the habitat and source of livelihood for a large segment of its population, 

Acknowledging that desertification and drought are problems of global dimension in that they affect all regions 
of the world and that joint action of the international community is needed to combat desertification and/or mitigate 
the effects of drought, 

Noting the high concentration of developing countries, notably the least developed countries, among those 
experiencing serious drought and/or desertification, and the particulsirly tragic consequences of these phenomena in 
Africa, 

Noting also that desertification is caused by complex interactions among physical, biological, poUtical, social, 
ciiltural and economic factors, 

* This Convention is not in force for the United States. 



180 The Marine Mammal Commission Compendium 



Considering the impact of trade and relevant aspects of international economic relations on the ability of 
affected countries to combat desertification adequately, 

Conscious that sustainable economic growth, social development and poverty eradication are priorities of 
affected developing countries, particularly in Africa, and are essentied to meeting sustainability objectives, 

Mindful that desertification and drought affect sustainable development through their interrelationships with 
important social problems such as poverty, poor health and nutrition, lack of food security, and those arising from 
migration, displacement of persons and demographic dynamics, 

Appreciating the significance of the past efforts and experience of States and international organizations in 
combating desertification and mitigating the effects of drought, particularly in implementing the Plan of Action to 
Combat Desertification which was adopted at the United Nations Conference on Desertification in 1977, 

Realizing that, despite efforts in the past, progress in combating desertification and mitigating the effects of 
drought has not met expectations and that a new and more effective approach is needed at all levels within the 
framework of sustainable development. 

Recognizing the validity and relevance of decisions adopted at the United Nations Conference on Environment 
and Development, particularly of Agenda 21 and its chapter 12, which provide a basis for combating desertification. 

Reaffirming in this light the commitments of developed countries as contained in paragraph 13 of chapter 33 
of Agenda 21, 

Recalling General Assembly resolution 47/188, particularly the priority in it prescribed for Africa, and all other 
relevant United Nations resolutions, decisions and programmes on desertification sind drought, as well as relevant 
declsu-ations by African countries and those from other regions. 

Reaffirming the Rio Declaration on Environment and Development which states, in its Principle 2, that States 
have, in accordance with the Charter of the United Nations and the principles of international law, the sovereign 
right to exploit their own resources pursuant to their own environmental and developmental poUcies, and the 
responsibility to ensure that activities within their jiuisdiction or control do not cause damage to the environment 
of other States or of areas beyond the limits of national jurisdiction. 

Recognizing that national Governments play a critical role in combating desertification and mitigating the 
effects of drought and that progress in that respect depends on local implementation of action programmes in affected 
areas. 

Recognizing also the importance and necessity of international cooperation and partnership in combating 
desertification and mitigating the effects of drought, 

Recognizing further the importance of the provision to affected developing covmtries, particularly in Africa, of 
effective means, inter aUa substantial financial resources, including new and additional funding, and access to 
technology, without which it will be difficiilt for them to implement fully their commitments under this Convention, 

Expressing concern over the impact of desertification and drought on affected countries in Central Asia and 
the Transcaucasus, 

Stressing the important role played by women in regions affected by desertification and/or drought, particularly 
in rural areas of developing countries, and the importance of ensuring the full participation of both men and women 
at all levels in programmes to combat desertification and mitigate the effects of drought, 

Emphasizing the special role of non-governmental organizations and other major groups in programmes to 
combat desertification and mitigate the effects of drought. 

Bearing in mind the relationship between desertification and other environmental problems of global dimen- 
sion facing the international and national communities, 



Multilateral / Environment and Natural Resources 181 



Bearing also in mind the contribution that combating desertification can make to achieving the objectives of 
the United Nations Frsimework Convention on Climate Change, the Convention on Biological Diversity and other 
related environmental conventions, 

Believing that strategies to combat desertification and mitigate the effects of drought will be most effective if 
they are based on sound systematic observation and rigorous scientific knowledge and if they are continuously 
re-evaluated, 

Recognizing the urgent need to improve the effectiveness and coordination of international cooperation to 
faciUtate the implementation of national plans and priorities. 

Determined to take appropriate action in combating desertification and mitigating the effects of drought for 
the benefit of present and future generations, 

Have agreed as follows: 



PARTI 
INTRODUCTION 

Article 1 
Use of terms 

For the purposes of this Convention: 

(a) "desertification" means land degradation in arid, semi-arid and dry sub-humid areas resulting from 
various factors, including climatic variations and human activities; 

(b) "combating desertification" includes activities which are part of the integrated development of land in 
arid, semi-arid and dry sub-humid areas for sustainable development which are aimed at: 

(i) prevention and/or reduction of land degradation; 

(ii) rehabihtation of partly degraded land; and 

(iii) reclamation of desertified land; 

(c) "drought" means the naturally occurring phenomenon that exists when precipitation has been signifi- 
csmtly below normal recorded levels, causing serious hydrological imbalances that adversely affect land 
resource production systems; 

(d) "mitigating the effects of drought" means activities related to the prediction of drought and intended to 
reduce the vulnerabihty of society and natural systems to drought as it relates to combating desertifi- 
cation; 

(e) "land" means the terrestrial bio-productive system that comprises soil, vegetation, other biota, 2ind the 
ecological and hydrological processes that operate within the system; 

(f) "land degradation" means reduction or loss, in arid, semi-arid and dry sub-humid areas, of the biological 
or economic productivity and complexity of rainfed croplsind, irrigated cropland, or range, pasture, forest 
and woodlands resulting from land uses or from a process or combination of processes, including 
processes arising from human activities and habitation patterns, such as: 

(i) soil erosion caused by wind and/or water; 

(ii) deterioration of the physical, chemical and biological or economic properties of soil; and 



182 The Marine Mammal Commission Compendium 



(iii) long-term loss of natural vegetation; 

(g) "arid, semi-arid and dry sub-humid areas" means zireas, other than polar and sub-polar regions, in which 
the ratio of annual precipitation to potential evapotranspiration falls within the range from 0.05 to 0.65; 

(h) "affected areas" means arid, semi-arid and/or dry sub-humid areas affected or threatened by desertifi- 
cation; 

(i) "affected countries" means countries whose lands include, in whole or in part, affected areas; 

(j) "regional economic integration organization" means an organization constituted by sovereign States of 
a given region which has competence in respect of matters governed by this Convention and has been 
duly authorized, in accordance with its internal procedures, to sign, ratify, accept, approve or accede to 
this Convention; 

(k) "developed country Parties" means developed country Parties and regional economic integration organi- 
zations constituted by developed countries. 

Article 2 
Objective 

1. The objective of this Convention is to combat desertification and mitigate the effects of drought in 
countries experiencing serious drought and/or desertification, particularly in Africa, through effective action at all 
levels, supported by international cooperation and partnership arrangements, in the framework of an integrated 
approach which is consistent with Agenda 21, with a view to contributing to the achievement of sustainable 
development in affected areas. 

2. Achieving this objective violl involve long-term integrated strategies that focus simultaneously, in 
affected areas, on improved productivity of land, and the rehabilitation, conservation and sustainable management 
of land and water resources, leading to improved living conditions, in particular at the community level. 

Article 3 
Principles 

In order to achieve the objective of this Convention and to implement its provisions, the Parties shall be guided, 
inter alia , by the following: 

(a) the Parties should ensure that decisions on the design and implementation of programmes to combat 
desertification and/or mitigate the effects of drought are taken with the participation of populations and 
local communities and that an enabUng environment is created at higher levels to facilitate action at 
national and local levels; 

(b) the Parties should, in a spirit of international solidarity and partnership, improve cooperation and 
coordination at subregional, regional and international levels, and better focus financial, human, 
organizational and technical resources where they are needed; 

(c) the Parties should develop, in a spirit of psirtnership, cooperation among all levels of government, 
communities, non-governmental organizations and landholders to establish a better understanding of 
the nature and value of land and scarce water resources in affected areas and to work towards their 
sustainable use; and 

(d) the Parties should take into fiill consideration the special needs and circumstances of affected developing 
country Parties, particularly the least developed among them. 



Multilateral / Environment and Natural Resources 183 

EARTH 
GENERAL PROVISIONS 

Article 4 
General obligations 

1. The Parties shall implement their obligations under this Convention, individually or jointly, either 
through existing or prospective bilateral and multilatersil arrangements or a combination thereof, as appropriate, 
emphasizing the need to coordinate efforts and develop a coherent long-term strategy at all levels. 

2. In pursuing the objective of this Convention, the Parties shall: 

(a) adopt an integrated approach addressing the physiczil, biological and socio-economic aspects of the 
processes of desertification and drought; 

(b) give due attention, within the relevant international and regional bodies, to the situation of affected 
developing country Parties with regard to international trade, msirketing arrangements and debt with 
a view to establishing an enabUng international economic environment conducive to the promotion of 
sustainable development; 

(c) integrate strategies for poverty eradication into efforts to combat desertification and mitigate the effects 
of drought; 

(d) promote cooperation among £iffected country Parties in the fields of environmental protection and the 
conservation of land and water resources, as they relate to desertification and drought; 

(e) strengthen subregional, regional and international cooperation; 

(f) cooperate within relevstnt intergovernmental organizations; 

(g) determine institutional mechanisms, if appropriate, keeping in mind the need to avoid duplication; and 

(h) promote the use of existing bilatereil and multilatersJ financial mechanisms and arrangements that 
mobilize and channel substantial financial resources to affected developing country Parties in combating 
desertification and mitigating the effects of drought. 

3. Affected developing country Parties are eligible for assistance in the implementation of the Convention. 

Article 5 
Obligations of affected country Parties 

In addition to their obligations pursuant to article 4, affected country Parties undertake to: 

(a) give due priority to combating desertification and mitigating the effects of drought, and allocate 
adequate resources in accordance with their circumstances and capabilities; 

(b) establish strategies and priorities, within the ft-amework of sustainable development plans and/or 
policies, to combat desertification and mitigate the effects of drought; 

(c) address the imderlying causes of desertification and pay special attention to the socio-economic factors 
contributing to desertification processes; 

(d) promote awareness and facilitate the participation of local populations, particularly women and youth, 
with the support of non-governmental organizations, in efforts to combat desertification and mitigate 
the effects of drought; and 



184 The Marine Mammal Commission Compendium 



(e) provide an enabling environment by strengthening, as appropriate, relevant existing legislation and, 
where they do not exist, enacting new laws and estabUshing long-term policies and action programmes. 

Articles 
Obligations of developed country Parties 

In addition to their general obUgations pursuant to article 4, developed country Parties undertake to: 

(a) actively support, as agreed individually or jointly, the efforts of affected developing country Parties, 
particulsirly those in Africa, and the least developed countries, to combat desertification and mitigate 
the efTects of drought; 

(b) provide substantial financial resources and other forms of support to assist afiected developing country 
Parties, particularly those in Africa, effectively to develop and implement their own long-term plans and 
strategies to combat desertification and mitigate the effects of drought; 

(c) promote the mobUization of new and additional funding pursuant to article 20, paragraph 2 (b); 

(d) encourage the mobilization of funding from the private sector and other non-governmental sources; and 

(e) promote and facilitate access by affected country Parties, particularly affected developing country 
Parties, to appropriate technology, knowledge and know-how. 

Article? 
Priority for Africa 

In implementing this Convention, the Parties shall give priority to affected African country Parties, in the Ught 
of the particular situation prevailing in that region, while not neglecting affected developing country Parties in other 
regions. 

Articles 
Relationship with other conventions 

1. The Parties shsdl encourage the coordination of activities carried out under this Convention and, if they 
are Parties to them, under other relevant international agreements, particularly the United Nations Framework 
Convention on Climate Change and the Convention on Biological Diversity, in order to derive maximxmi benefit fi-om 
activities under each agreement while avoiding dupUcation of effort. The Parties shall encourage the conduct of joint 
programmes, particularly in the fields of research, training, systematic observation and information collection and 
exchange, to the extent that such activities may contribute to achieving the objectives of the agreements concerned. 

2. The provisions of this Convention shall not affect the rights and obUgations of any Party deriving firom 
a bilateral, regional or international agreement into which it has entered prior to the entry into force of this 
Convention for it. 



Multilateral / Environment and Natural Resources 185 



PART in 

ACTION PROGRAMMES, SCIENTIFIC AND TECHNICAL 
COOPERATION AND SUPPORTING MEASURES 

Section 1: Action programmes 

Articles 
Basic approach 

1 . In carrying out their obligations pursuant to article 5, affected developing country Parties and any other 
affected country Party in the framework of its regional implementation annex or, otherwise, that has notified the 
Permanent Secretariat in writing of its intention to prepare a national action progranune, shall, as appropriate, 
prepare, make pubUc and implement national action programmes, utilizing and building, to the extent possible, on 
existing relevant successful plans and programmes, and subregional and regional action programmes, as the central 
element of the strategy to combat desertification and mitigate the effects of drought. Such programmes shall be 
updated through a continuing participatory process on the basis of lessons frx>m field action, as well as the results of 
research. The preparation of national action programmes shall be closely interUnked with other efforts to formvdate 
national poUcies for sustainable development. 

2. In the provision by developed country Parties of different forms of assistance under the terms of article 
6, priority shall be given to supporting, as agreed, national, subregional eind regional action programmes of affected 
developing covmtry Parties, particularly those in Africa, either directly or through relevant multilateral organizations 
or both. 

3. The Parties shall encourage organs, funds and programmes of the United Nations system and other 
relevEint intergovernmental organizations, academic institutions, the scientific community and non-governmental 
organizations in a position to cooperate, in accordance with their mandates and capabilities, to support the 
elaboration, implementation and follow-up of action programmes. 

Article 10 
National action programmes 

1. The purpose of national action programmes is to identify the factors contributing to desertification and 
practical measures necessary to combat desertification and mitigate the effects of drought. 

2. National action programmes shall specify the respective roles of government, local communities and 
land users and the resources available and needed. They shall, inter alia : 

(a) incorporate long-term strategies to combat desertification and mitigate the effects of drought, emphasize 
implementation and be integrated with national poUcies for sustainable development; 

(b) allow for modifications to be made in response to circumstances and be sufBciently flexible at the local 
level to cope with different socio-economic, biological and geo-physical conditions; 

(c) give particular attention to the implementation of preventive measures for lands that are not yet 
degraded or which are only sUghtly degraded; 

(d) enhance national cUmatological, meteorological and hydrological capabilities and the means to provide 
for drought early warning; 

(e) promote policies and strengthen institutional frameworks which develop cooperation eind coordination, 
in a spirit of partnership, between the donor community, governments at all levels, local populations 
and community groups, and facihtate access by local popvdations to appropriate information and 
technology; 



186 The Marine Mammal Commission Compendium 



(f) provide for effective participation at the local, national and regional levels of non-governmental 
organizations and loc£il populations, both women and men, particularly resource users, including 
farmers and pastoralists and their representative organizations, in policy planning, decision-making, 
and implementation and review of national action programmes; and 

(g) require regular review of, and progress reports on, their implementation. 

3. National action programmes may include, inter alia , some or all of the following measures to prepare 
for and mitigate the effects of drought: 

(a) estabUshment and/or strengthening, £is appropriate, of early warning systems, including local and 
national faciUties and joint systems at the subregional and regional levels, and mechanisms for assisting 
environmentally displaced persons; 

(b) strengthening of drought preparedness and management, including drought contingency plans at the 
local, national, subregional and regional levels, which take into consideration seasonal to interEinnual 
cUmate predictions; 

(c) estabUshment and/or strengthening, as appropriate, of food security systems, including storage and 
marketing facilities, particularly in rural areas; 

(d) establishment of alternative livelihood projects that could provide incomes in drought prone areas; and 

(e) development of sustainable irrigation programmes for both crops and livestock. 

4. Taking into account the circumstances and requirements specific to each affected country Party, national 
action programmes include, as appropriate, inter alia , measures in some or all of the following priority fields as they 
relate to combating desertification and mitigating the effects of drought in affected areas and to their populations: 
promotion of alternative livelihoods and improvement of national economic environments with a view to strengthen- 
ing programmes aimed at the eradication of poverty and at ensuring food security; demographic dynamics; sustain- 
able management of natural resources; sustainable agricultural practices; development and efficient use of various 
energy sources; institutional and legal frameworks; strengthening of capabihties for assessment and systematic 
observation, including hydrological and meteorological services, and capacity building, education and pubUc aware- 



Article 11 
Subregumal and regional action programmes 

Affected country Parties shall consult and cooperate to prepare, as appropriate, in accordance with relevant 
regional implementation annexes, subregional and/or regional action programmes to harmonize, complement and 
increase the efficiency of national programmes. The provisions of article 10 shall apply mutatis mutandis to 
subregional and regional programmes. Such cooperation may include agreed joint programmes for the sustainable 
management of transboundeiry natural resources, scientific and technical cooperation, and strengthening of relevant 
institutions. 

Article 12 
International cooperation 

Affected coimtry Parties, in collaboration with other Parties and the international community, should cooperate 
to ensure the promotion of an enabling international environment in the implementation of the Convention. Such 
cooperation should also cover fields of technology transfer as well as scientific research and development, information 
collection and dissemination and financial resources. 



Multilateral / Environment and Natural Resources 187 



Article 13 
Support for the elaboration and implementation of action programmes 

1. Measures to support action programmes pursuant to sirticle 9 include, inter alia : 

(a) financial cooperation to provide predictability for action programmes, allowing for necessary long-term 
planning; 

(b) elaboration and use of cooperation mechsinisms which better enable support at the local level, including 
action through non-governmental organizations, in order to promote the replicabiUty of successful pilot 
programme activities where relevant; 

(c) increased flexibility in project design, funding and implementation in keeping with the experimental, 
iterative approach indicated for participatory action at the local community level; and 

(d) as appropriate, administrative and budgetary procedures that increase the efficiency of cooperation and 
of support programmes. 

2. In providing such support to affected developing country Parties, priority shall be given to AfricEin 
country Parties and to least developed country Parties. 

Article 14 
Coordination in the elaboration and implementation of action programmes 

1. The Parties shall work closely together, directly and through relevant intergovernmental organizations, 
in the elaboration eind implementation of action programmes. 

2. The Pfirties shall develop operationEil mechanisms, particuleu-ly at the nationsd emd field levels, to ensure 
the fullest possible coordination among developed country Parties, developing country Parties and relevant intergov- 
ernmental and non-governmental organizations, in order to avoid duplication, h£irmomze interventions and ap- 
proaches, and maximize the impact of assistance. In affected developing country Parties, priority will be given to 
coordinating activities related to international cooperation in order to maximize the efficient use of resources, to 
ensure responsive assistance, and to facilitate the implementation of national action programmes and priorities under 
this Convention. 

Article 15 
Regional implementation annexes 

Elements for incorporation in action programmes shall be selected and adapted to the socio-economic, 
geographical and cUmatic factors applicable to affected country Parties or regions, as weD as to their level of 
development. GuideUnes for the preparation of action programmes and their exact focus and content for particular 
subregions and regions are set out in the regional implementation annexes. 



Section 2: Scientific and technical cooperation 

Article 16 
Information collection^ analysis and exchange 

The Parties agree, according to their respective capabiUties, to integrate and coordinate the collection, analysis 
and exchange of relevant short term and long term data and information to ensure systematic observation of land 
degradation in affected areas and to understand better and assess the process and effects of drought and desertifica- 
tion. This would help accomphsh, Inter alia , early warning and advance plan n ing for periods of adverse chmatic 



188 The Marine Mammal Commission Compendium 



variation in a form suited for practical application by users at all levels, including especially local populations, lb 
this end, they shall, as appropriate: 

(a) facilitate and strengthen the functioning of the global network of institutions and facilities for the 
collection, analysis and exchange of information, as well as for systematic observation at all levels, which 
shall, inter aha : 

(i) aim to use compatible standards and systems; 

(ii) encompass relevant data and stations, including in remote areas; 

(iii) use and disseminate modem technology for data collection, transmission and assessment on l£ind 
degradation; and 

(iv) link national, subregional and regional data and information centers more closely with global 
information sources; 

(b) ensure that the collection, analysis and exchange of information address the needs of local communities 
and those of decision makers, with a view to resolving specific problems, and that local communities are 
involved in these activities; 

(c) support and further develop bilateral and multilateral programmes and projects aimed at defining, 
conducting, assessing and financing the collection, analysis and exchange of data and information, 
including, inter aha , integrated sets of physical, biological, social and economic indicators; 

(d) make full use of the expertise of competent intergovemmentjd and non-governmental organizations, 
particularly to disseminate relevant information and experiences among target groups in different 
regions; 

(e) give fiill weight to the collection, analysis and exchange of socio-economic data, and their integration 
with physical and biological data; 

(f) exchange Eind make fully, openly and promptly available information from all publicly available sources 
relevant to combating desertification and mitigating the effects of drought; and 

(g) subject to their respective national legislation and/or policies, exchange information on local and 
traditional knowledge, ensuring adequate protection for it and providing appropriate return from the 
benefits derived from it, on an equitable basis and on mutually agreed terms, to the local populations 
concerned. 

Article 17 
Research and development 

1. The Parties undertake, according to their respective capabilities, to promote technical and scientific 
cooperation in the fields of combating desertification and mitigating the effects of drought through appropriate 
national, subregional, regional and international institutions, lb this end, they shall support research activities that: 

(a) contribute to increased knowledge of the processes leading to desertification and drought and the impact 
of, and distinction between, causal factors, both natural and human, with a view to combating 
desertification and mitigating the effects of drought, and achieving improved productivity as well as 
sustainable use and management of resources; 

(b) respond to well-defined objectives, address the specific needs of local populations and lead to the 
identification and implementation of solutions that improve the living standards of people in affected 
areas; 

(c) protect, integrate, enhance and vahdate traditional and local knowledge, know-how and practices, 
ensuring, subject to their respective national legislation and/or policies, that the owners of that 



Multilateral / Environment and Natural Resources 189 



knowledge will directly benefit on an equitable basis and on mutually agreed terms from £my commercial 
utilization of it or frt>m any technological development derived from that knowledge; 

(d) develop and strengthen national, subregional and regional research capabilities in affected developing 
country Parties, particularly in Africa, including the development of local skills and the strengthening 
of appropriate capacities, especially in countries with a weak research base, giving pEuticular attention 
to multidisciplinary and participative socio-economic research; 

(e) take into account, where relevant, the relationship between poverty, migration caused by environmental 
factors, and desertification; 

(f) promote the conduct of joint research programmes between national, subregional, regional and inter- 
national research organizations, in both the pubUc and private sectors, for the development of improved, 
afibrdable and accessible technologies for sustainable development through effective participation of 
local populations and communities; and 

(g) enhance the availabihty of water resources in affected areas, by means of, inter alia , cloud-seeding. 

2. Research priorities for peirticular regions and subregions, reflecting different local conditions, should be 
included in action programmes. The Conference of the Parties shall review research priorities periodically on the 
advice of the Committee on Science and Itechnology. 

Article 18 
I^ansfer, acquisition, adaptation and development of technology 

1. The Parties undertake, as mutually agreed and in accordance with their respective national legislation 
£md/or poUcies, to promote, finance and/or faciUtate the financing of the transfer, acquisition, adaptation and 
development of environmentally soimd, economically viable and socially acceptable technologies relevant to combat- 
ing desertification and/or mitigating the effects of drought, with a view to contributing to the achievement of 
sustainable development in affected areas. Such cooperation shall be conducted bilaterally or multUaterally, as 
appropriate, making full use of the expertise of intergovernmental and non-govemmental organizations. The Parties 
shall, in particular: 

(a) fully utilize relevant existing national, subregional, regional and international information systems and 
clearing-houses for the dissemination of information on available technologies, their sources, their 
environmental risks and the broad terms under which they may be acquired; 

(b) facilitate access, in particular by affected developing country Parties, on favourable terms, including on 
concessional and preferential terms, as mutually agreed, taking into account the need to protect 
intellectual property rights, to technologies most suitable to practical apphcation for specific needs of 
local populations, paying special attention to the social, cultural, economic and environmental impact 
of such technology; 

(c) facilitate technology cooperation among affected country Parties through financial assistance or other 
appropriate means; 

(d) extend technology cooperation with affected developing country Peirties, including, where relevant, joint 
ventures, especially to sectors which foster alternative livelihoods; and 

(e) take appropriate measures to create domestic market conditions and incentives, fiscal or otherwise, 
conducive to the development, transfer, acquisition and adaptation of suitable technology, knowledge, 
know-how and practices, including measures to ensure adequate and effective protection of intellectual 
property rights. 

2. The Parties shall, according to their respective capabihties, and subject to their respective national 
legislation and/or policies, protect, promote and use in particular relevant traditional sind local technology, knowledge, 
know-how and practices and, to that end, they undertake to: 



190 The Marine Mammal Commission Compendium 



(a) make inventories of such technology, knowledge, know-how and practices and their potential uses with 
the part;icipation of local populations, and disseminate such information, where appropriate, in coop- 
eration with relevant intergovernmental and non-governmental organizations; 

(b) ensure that such technology, knowledge, know-how and practices are adequately protected and that 
local populations benefit directly, on an equitable basis and as mutually agreed, from any commercial 
utihzation of them or from any technological development derived therefrom; 

(c) encourage and actively support the improvement and dissemination of such technology, knowledge, 
know-how and practices or of the development of new technology based on them; and 

(d) facilitate, as appropriate, the adaptation of such technology, knowledge, know-how and practices to vdde 
use and integrate them with modem technology, as appropriate. 



Section 3: Supporting measures 

Article 19 
Capacity-building, education and public awareness 

1. The Parties recognize the significance of capacity-building — that is to say, institution-building, training 
and development of relevsint local and national capacities — in efforts to combat desertification and mitigate the efiiects 
of drought. They shall promote, as appropriate, capacity-bmlding: 

(a) through the full participation at all levels of local people, particularly at the local level, especially women 
and youth, with the cooperation of non-governmental and local organizations; 

(b) by strengthening training and research capacity at the national level in the field of desertification and 
drought; 

(c) by establishing and/or strengthening support and extension services to disseminate relevant technology 
methods and techniques more effectively, and by training field agents and members of rural organiza- 
tions in participatory approaches for the conservation and sustainable use of natural resources; 

(d) by fostering the use and dissemination of the knowledge, know-how and practices of local people in 
technical cooperation programmes, wherever possible; 

(e) by adapting, where necessary, relevant environmentally sound technology and traditioned methods of 
agriciilture and pastoralism to modem socio-economic conditions; 

(f) by providing appropriate training and technology in the use of alternative energy sources, particularly 
renewable energy resources, aimed particularly at reducing dependence on wood for fuel; 

(g) through cooperation, as mutually agreed, to strengthen the capacity of affected developing country 
Parties to develop and implement programmes in the field of collection, analysis and exchange of 
information pursuant to article 16; 

(h) through innovative ways of promoting alternative livelihoods, including training in new skills; 

(i) by training of decision makers, managers, and personnel who are responsible for the collection and 
analysis of data for the dissemination and use of early warning information on drought conditions and 
for food production; 

(j) through more effective operation of existing national institutions and legal frameworks and, where 
necessary, creation of new ones, along with strengthening of strategic planning and management; and 



Multilateral / Environment and Natural Resources 191 



(k) by means of exchange visitor programmes to enhance capacity-building in affected country Parties 
through a long-term, interactive process of learning and study. 

2. Affected developing country Parties shall conduct, in cooperation with other Parties and competent 
intergovernmental and non-governmental organizations, as appropriate, an interdisciplinary review of available 
capacity and facilities at the local and national levels, and the potential for strengthening them. 

3. The Parties shall cooperate with each other and through competent intergovernmental organizations, 
as weU as with non-governmental organizations, in undertaking and supporting public awareness and educational 
programmes in both affected and, where relevant, unaffected country Parties to promote understanding of the causes 
and effects of desertification and drought and of the importance of meeting the objective of this Convention, lb that 
end, they shall: 

(a) organize awareness campaigns for the general public; 

(b) promote, on a permanent basis, access by the public to relevant information, and wide public participa- 
tion in education and awareness activities; 

(c) encourage the establishment of associations that contribute to public awareness; 

(d) develop and exchange educational and public awar2ness material, where possible in local languages, 
exchange and second experts to train personnel of affected developing country Parties in carrying out 
relevant education and awareness programmes, and fully utilize relevant educational material available 
in competent international bodies; 

(e) assess educational needs in affected areas, elaborate appropriate school curricula and expEind, as 
needed, educational and adult literacy programmes and opportunities for all, in particular for girls and 
women, on the identification, conservation and sustainable use and management of the natural 
resources of affected areas; and 

(f) develop interdisciplinary participatory programmes integrating desertification and drought awareness 
into educational systems and in non-formal, adult, distance and practical educational programmes. 

4. The Conference of the Parties shall estabUsh and/or strengthen networks of regional education and 
training centers to combat desertification and mitigate the effects of drought. These networks shall be coordinated 
by an institution created or designated for that purpose, in order to train scientific, technical and management 
personnel and to strengthen existing institutions responsible for education and training in affected country Parties, 
where appropriate, with a view to harmonizing programmes and to orgsmizing exchanges of experience among them. 
These networks shall cooperate closely with relevant intergovernmental and non-governmental organizations to 
avoid duplication of effort. 

Article 20 
Financial resources 

1. Given the central importance of financing to the achievement of the objective of the Convention, the 
Parties, taking into accoimt their capabilities, shall make every effort to ensure that adequate financial resources 
are available for programmes to combat desertification and mitigate the effects of drought. 

2. In this connection, developed country Parties, while giving priority to affected African country Parties 
without neglecting affected developing country Parties in other regions, in accordance with article 7, undertake to: 

(a) mobilize substantial financial resources, including grants and concessional loans, in order to support 
the implementation of programmes to combat desertification and mitigate the effects of drought; 

(b) promote the mobilization of adequate, timely and predictable financial resources, including new and 
additional funding from the Global Environment Facility of the agreed incremental costs of those 
activities concerning desertification that relate to its fotu- focal areas, in conformity with the relevant 
provisions of the Instrument establishing the Global Environment Facility; 



192 The Marine Mammal Commission Compendium 



(c) facilitate through international cooperation the transfer of technology, knowledge and know-how; and 

(d) explore, in cooperation with affected developing country Parties, innovative methods and incentives for 
mobilizing and channelling resources, including those of foundations, non-governmental organizations 
and other private sector entities, particularly debt swaps and other innovative means which increase 
financing by reducing the external debt burden of affected developing country Parties, particularly those 
in Africa. 

3. Affected developing country Parties, taking into account their capabilities, undertake to mobilize 
adequate financial resources for the implementation of their nationsd action programmes. 

4. In mobUizing financial resources, the Parties shall seek full use and continued qualitative improvement 
of all national, bilateral and multilateral funding sources and mechanisms, using consortia, joint programmes and 
parallel financing, and shsdl seek to involve private sector funding sources and mechanisms, including those of 
non-governmental org8inizations. lb this end, the Parties shsdl fully utilize the operational mechanisms developed 
pursuant to article 14. 

5. In order to mobilize the financial resources necessary for affected developing country Parties to combat 
desertification and mitigate the effects of drought, the Parties shall: 

(a) rationalize and strengthen the management of resources already allocated for combating desertification 
and mitigating the effects of drought by using them more effectively and efficiently, assessing their 
successes and shortcomings, removing hindrances to their effective use and, where necessary, reorient- 
ing programmes in Ught of the integrated long-term approach adopted pursuant to this Convention; 

(b) give due priority and attention within the governing bodies of multilateral financial institutions, 
faculties and funds, including regional development banks and funds, to supporting affected developing 
country Parties, particularly those in Africa, in activities which advance implementation of the Conven- 
tion, notably action programmes they undertsike in the framework of regional implementation annexes; 
and 

(c) examine ways in which regional and subregional cooperation can be strengthened to support efforts 
(indertaken at the national level. 

6. Other Parties are encouraged to provide, on a voluntary basis, knowledge, know-how and techniques 
related to desertification and/or financial resources to affected developing country Parties. 

7. The fuU implementation by affected developing country Parties, particularly those in Africa, of their 
obligations under the Convention will be greatly assisted by the fulfillment by developed coimtry Parties of their 
obligations under the Convention, including in particular those regarding financial resources and transfer of 
technology. In fulfilling their obUgations, developed country Parties should take fully into account that economic and 
social development and poverty eradication are the first priorities of eiffected developing country Parties, particularly 
those in Africa. 

Article 21 
Financicd mechanisms 

1. The Conference of the Parties shall promote the availabihty of financial mechanisms and shall 
encourage such mechanisms to seek to maximize the availability of ftinding for affected developing country Parties, 
particulsirly those in Africa, to implement the Convention, lb this end, the Conference of the Parties shall consider 
for adoption inter alia approaches and policies that: 

(a) facilitate the provision of necessary funding at the national, subregional, regional and global levels for 
activities pursuant to relevant provisions of the Convention; 

(b) promote mviltiple-source funding approaches, mechanisms and arrangements and their assessment, 
consistent with article 20; 



Multilateral / Environment and Natural Resources 193 



(c) provide on a regular basis, to interested Parties and relevant intergovernmental and non-governmental 
organizations, information on available sources of funds and on funding patterns in order to facilitate 
coordination among them; 

(d) facilitate the establishment, as appropriate, of mechanisms, such as national desertification funds, 
including those involving the participation of non-governmental organizations, to channel financial 
resources rapidly and efficiently to the local level in affected developing country Parties; and 

(e) strengthen existing funds and financial mechanisms at the subregional and regional levels, particularly 
in Africa, to support more effectively the implementation of the Convention. 

2. The Conference of the Parties shall also encourage the provision, through vsirious mechanisms within 
the United Nations system and through multilateral financial institutions, of support at the national, subregional 
and regional levels to activities that enable developing country Parties to meet their obligations under the Convention. 

3. Affected developing country Parties shall utihze, and where necessary, establish and/or strengthen, 
national coordinating mechanisms, integrated in national development programmes, that would ensure the efficient 
use of all available financial resources. They shall also utilize participatory processes involving non-governmental 
organizations, local groups and the private sector, in rsiising funds, in elaborating as well as implementing 
programmes and in assuring access to funding by groups at the local level. These actions can be enhanced by improved 
coordination and flexible programming on the part of those providing assistance. 

4. In order to increase the effectiveness and efficiency of existing financial mechanisms, a Global Mecha- 
nism to promote actions leading to the mobihzation and channelling of substantial financial resources, including for 
the transfer of technology, on a grant basis, and/or on concessionsd or other terms, to affected developing country 
Parties, is hereby established. This Global Mechanism shall function under the authority and guidance of the 
Conference of the Parties and be accountable to it. 

5. The Conference of the Parties shall identify, at its fu-st ordinary session, an organization to house the 
Global Mechanism. The Conference of the Parties and the organization it has identified shall agree upon modahties 
for this Global Mechanism to ensure inter aha that such Mechanism: 

(a) identifies and draws up an inventory of relevant bilateral and multilateral cooperation programmes 
that Eire available to implement the Convention; 

(b) provides advice, on request, to Parties on innovative methods of financing and sources of financial 
assistance and on improving the coordination of cooperation activities at the national level; 

(c) provides interested Parties and relevant intergovernmental and non-governmental organizations with 
information on available sources of funds and on funding patterns in order to facilitate coordination 
among them; and 

(d) reports to the Conference of the Parties, beginning at its second ordinary session, on its activities. 

6. The Conference of the Parties shall, at its first session, make appropriate arrangements with the 
organization it has identified to house the Global Mechanism for the administrative operations of such Mechanism, 
drawing to the extent possible on existing budgetary and human resources. 

7. The Conference of the Parties shjJl, at its third ordinary session, review the policies, operational 
modalities and activities of the GlobsJ Mechanism accountable to it pursuant to paragraph 4, taking into accoimt the 
provisions of article 7. On the basis of this review, it sh£dl consider and take appropriate action. 



194 The Marine Mammal Commission Compendium 

PART IV 
INSTITUTIONS 

Article 22 
Conference of the Parties 

1. A Conference of the Parties is hereby established. 

2. The Conference of the Parties is the supreme body of the Convention. It shall make, within its mandate, 
the decisions necessary to promote its effective implementation. In particular, it shall: 

(a) regularly review the implementation of the Convention and the functioning of its institutional arrange- 
ments in the Ught of the experience gained at the national, subregional, regional and international levels 
£ind on the basis of the evolution of scientific and technological knowledge; 

(b) promote and facihtate the exchange of information on measures adopted by the Parties, and determine 
the form and timetable for transmitting the information to be submitted pursuEint to article 26, review 
the reports and make recommendations on them; 

(c) estabUsh such subsidiary bodies as are deemed necessary for the implementation of the Convention; 

(d) review reports submitted by its subsidiary bodies and provide guidance to them; 

(e) agree upon and adopt, by consensus, rules of procedure and financial rules for itself and any subsidiaiy 
bodies; 

(f) adopt amendments to the Convention pursuant to articles 30 and 31; 

(g) approve a programme and budget for its activities, including those of its subsidiary bodies, and 
undertake necessary arrangements for their financing; 

(h) as appropriate, seek the cooperation of, and utihze the services of and information provided by, 
competent bodies or agencies, whether national or international, intergovernmental or non-govemmen- 
tal; 

(i) promote and strengthen the relationship with other relevtmt conventions while avoiding dupUcation of 
effort; and 

(j ) exercise such other functions as may be necessary for the achievement of the objective of the Convention. 

3. The Conference of the Parties shall, at its first session, adopt its own rules of procedure, by consensus, 
which shall include decision-making procedures for matters not already covered by decision-making procedures 
stipulated in the Convention. Such procedures may include specified majorities required for the adoption of particular 
decisions. 

4. The first session of the Conference of the Parties shall be convened by the interim secretariat referred 
to in article 35 and shall take place not later than one year after the date of entry into force of the Convention. Unless 
otherwise decided by the Conference of the Parties, the second, third and fourth ordinary sessions shall be held yearly, 
and thereafter, ordinary sessions shall be held every two years. 

5. Extraordinary sessions of the Conference of the Parties shall be held at such other times as may be 
decided either by the Conference of the Parties in ordinary session or at the written request of any Party, provided 
that, within three months of the request being communicated to the Parties by the Permanent Secretariat, it is 
supported by at least one third of the Parties. 



Multilateral / Environment and Natural Resources 195 



6. At each ordinary session, the Conference of the Parties shall elect a Bureau. The structure and functions 
of the Bureau shall be determined in the rules of procedure. In appointing the Bureau, due regard shall be paid to 
the need to ensure equitable geographical distribution and adequate representation of affected country Parties, 
pEirticularly those in Africa. 

7. The United Nations, its speciahzed agencies and any State member thereof or observers thereto not 
Party to the Convention, may be represented at sessions of the Conference of the Parties as observers. Any body or 
agency, whether national or international, governmental or non-governmental, which is quzdified in matters covered 
by the Convention, and which has informed the Permanent Secretariat of its wish to be represented at a session of 
the Conference of the Parties as an observer, may be so 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. 

8. The Conference of the Psirties may request competent national and international organizations which 
have relevant expertise to provide it with information relevant to article 16, paragraph (g), article 17, paragraph 1 (c) 
and article 18, paragraph 2 (b). 

Article 23 
Permanent Secretariat 

1. A Permanent Secretariat is hereby established. 

2. The functions of the Permanent Secretariat shall be: 

(a) to m£ike arrangements for sessions of the Conference of the Parties and its subsidiary bodies established 
under the Convention and to provide them with services as required; 

(b) to compile and transmit reports submitted to it; 

(c) to facilitate assistance to affected developing country Parties, on request, particularly those in Africa, 
in the compilation and communication of information required under the Convention; 

(d) to coordinate its activities with the secretariats of other relevant international bodies and conventions; 

(e) to enter, under the guidance of the Conference of the Parties, into such administrative and contractual 
arrangements as may be required for the effective discharge of its functions; 

(f) to prep£ire reports on the execution of its ftmctions under this Convention and present them to the 
Conference of the Parties; and 

(g) to perform such other secretariat functions as may be determined by the Conference of the Parties. 

3. The Conference of the Parties, at its first session, shall designate a Permanent Secretariat and make 
arrangements for its functioning. 

Article 24 
Committee on Science and Technology 

1. A Committee on Science and Technology is hereby established as a subsidiary body of the Conference of 
the Parties to provide it with information and advice on scientific and technological matters relating to combating 
desertification and mitigating the effects of drought. The Committee shall meet in conjunction with the ordinary 
sessions of the Conference of the Parties and shall be multidisciplinary and open to the participation of all Parties. 
It shall be composed of government representatives competent in the relevant fields of expertise. The Conference of 
the Parties shall decide, at its first session, on the terms of reference of the Committee. 



196 The Marine Mammal Commission Compendium 



2. The Conference of the Parties shall estabUsh and maintain a roster of independent experts with 
expertise and experience in the relevant fields. The roster shall be based on nominations received in writing from the 
Parties, taking into account the need for a multidisciplinary approach and broad geographical representation. 

3. The Conference of the Parties may, as necessary, appoint ad hoc panels to provide it, through the 
Committee, with information and advice on specific issues regarding the state of the art in fields of science and 
technology relev£int to combating desertification and mitigating the effects of drought. These panels shall be composed 
of experts whose names are taken from the roster, taking into account the need for a multidisciplinary approach and 
broad geographical representation. These experts shall have scientific backgrounds and field experience £ind shall be 
appointed by the Conference of the Parties on the recommendation of the Committee. The Conference of the Parties 
shall decide on the terms of reference and the modalities of work of these panels. 

Article 25 
Networking of institutions, agencies and bodies 

1. The Committee on Science and Technology shall, under the supervision of the Conference of the Parties, 
make provision for the undertaking of a survey and evaluation of the relevant existing networks, institutions, agencies 
and bodies willing to become units of a network. Such a network shall support the implementation of the Convention. 

2. On the basis of the results of the survey and evaluation referred to in paragraph 1, the Committee on 
Science and Tfechnology shall make recommendations to the Conference of the Parties on ways and means to facilitate 
and strengthen networking of the units at the local, national and other levels, with a view to ensuring that the 
thematic needs set out in articles 16 to 19 are addressed. 

3. Taking into account these recommendations, the Conference of the Parties shall: 

(a) identify those national, subregional, regional and international units that are most appropriate for 
networking, and recommend operational procedures, and a time-frame, for them; and 

(b) identify the units best suited to facilitating and strengthening such networking at all levels. 



PARTY 
PROCEDURES 

Article 26 
Communication of information 

1. Each Party shall communicate to the Conference of the Parties for consideration at its ordinary sessions, 
through the Permanent Secretariat, reports on the measures which it has taken for the implementation of the 
Convention. The Conference of the Parties shall determine the timetable for submission and the format of such 
reports. 

2. Affected country Parties shall provide a description of the strategies established pursuant to article 5 
and of any relevant information on their implementation. 

3. Affected country Parties which implement action programmes pursuant to articles 9 to 15 shall provide 
a detailed description of the programmes and of their implementation. 

4. Any group of affected country Parties may make a joint communication on measures taken at the 
subregional and/or regional levels in the framework of action programmes. 

5. Developed country Parties shall report on measures taken to assist in the preparation and implemen- 
tation of action programmes, including information on the financial resources they have provided, or are providing, 
under the Convention. 



Multilateral / Environment and Natural Resources 197 



6. Information communicated pursuant to paragraphs 1 to 4 shall be transmitted by the Permanent 
Secretariat as soon as possible to the Conference of the Parties and to any relevant subsidiary body. 

7. The Conference of the Parties shsill facihtate the provision to affected developing countries, particularly 
those in Africa, on request, of technical and financial support in compiling and communicating information in 
accordance with this article, as well as identifying the technical and financied needs associated with action 
programmes. 

Article 27 
Measures to resolve questions on implementation 

The Conference of the Parties shall consider and adopt procedures Eind institutional mechanisms for the 
resolution of questions that may arise with regard to the implementation of the Convention. 

Article 28 
Settlement of disputes 

1. Parties shall settle any dispute between them concerning the interpretation or appUcation of the 
Convention through negotiation or other peaceful means of their own choice. 

2. When ratifying, accepting, approving, or acceding to the Convention, or at any time thereafter, a Party 
which is not a regional economic integration organization may declare in a written instrument submitted to the 
Depositary that, in respect of any dispute concerning the interpretation or application of the Convention, it recognizes 
one or both of the following means of dispute settlement as compulsory in relation to any Party accepting the same 
obligation: 

(a) arbitration in accordance with procedures adopted by the Conference of the Parties in an aimex as soon 
as practicable; 

(b) submission of the dispute to the International Court of Justice. 

3. A Party which is a regional economic integration organization may make a declaration with like effect 
in relation to arbitration in accordance with the procedure referred to in paragraph 2 (a). 

4. A decleiration made pursuant to paragraph 2 shall remain in force until it expires in accordance with 
its terms or untU three months after written notice of its revocation has been deposited with the Depositary. 

5. The expiry of a declaration, a notice of revocation or a new declaration shall not in any way affect 
proceedings pending before an arbitral tribunal or the International Court of Justice unless the Parties to the dispute 
otherwise agree. 

6. If the Parties to a dispute have not accepted the same or £iny procediu-e pursuant to paragraph 2 and if 
they have not been able to settle their dispute within twelve months following notification by one Party to another 
that a dispute exists between them, the dispute shall be submitted to conciUation at the request of any Party to the 
dispute, in accordance with procedures adopted by the Conference of the Parties in an annex as soon as practicable. 

Article 29 
Status of annexes 

1. Annexes form an integral part of the Convention and, unless expressly provided otherwise, a reference 
to the Convention also constitutes a reference to its annexes. 

2. The Parties shall interpret the provisions of the annexes in a manner that is in conformity with their 
rights and obligations under the articles of this Convention. 



198 The Marine Mammal Commission Compendium 



Article 30 
Amendments to the Convention 

1. Any Party may propose amendments to the Convention. 

2. Amendments to the Convention shall be adopted at an ordinary session of the Conference of the Psirties. 
The text of any proposed amendment shall be communicated to the Parties by the Permanent Secretariat at least six 
months before the meeting at which it is proposed for adoption. The Permanent Secretariat shall also communicate 
proposed amendments to the signatories to the Convention. 

3. The Parties shall make every effort to reach agreement on any proposed amendment to the Convention 
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-thirds majority vote of the Parties present and voting at the meeting. The adopted 
amendment shall be communicated by the Permanent Secretariat to the Depositary, who shall circulate it to all 
Parties for their ratification, acceptance, approval or accession. 

4. Instruments of ratification, acceptance, approval or accession in respect of an amendment shall be 
deposited with the Depositary. An amendment adopted pursuant to paragraph 3 shall enter into force for those Parties 
having accepted it on the ninetieth day after the date of receipt by the Depositary of an instrument of ratification, 
acceptance, approval or accession by at least two thirds of the Parties to the Convention which were Parties at the 
time of the adoption of the amendment. 

5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which 
that Psirty deposits with the Depositary its instrument of ratification, acceptance or approval of, or accession to the 
said amendment. 

6. For the purposes of this article and article 31, "Parties present and voting" means Parties present Jind 
casting an affirmative or negative vote. 

Article 31 
Adoption and amendment of annexes 

1. Any additional annex to the convention and any amendment to an annex shedl be proposed and adopted 
in accordance with the procedure for amendment of the Convention set forth in article 30, provided that, in adopting 
an additional regional implementation annex or amendment to any regional implementation annex, the majority 
provided for in that article shall include a two-thirds majority vote of the Parties of the region concerned present and 
voting. The adoption or amendment of an annex shall be communicated by the Depositary to all Parties. 

2. An annex, other than an additionsil regional implementation annex, or an amendment to an annex, other 
than an amendment to any regional implementation annex, that has been adopted in accordance with paragraph 1, 
shall enter into force for all Parties to the Convention six months afl,er the date of communication by the Depositary 
to such Parties of the adoption of such annex or amendment, except for those Parties that have notified the Depositary 
in writing within that period of their non-acceptance of such annex or amendment. Such annex or amendment shall 
enter into force for Parties which withdraw their notification of non-acceptance on the ninetieth day after the date 
on which withdrawal of such notification has been received by the Depositary. 

3. An additional regional implementation annex or amendment to any regional implementation annex 
that has been adopted in accordance wdth paragraph 1, shall enter into force for all Parties to the Convention six 
months afl;er the date of the communication by the Depositary to such Parties of the adoption of such annex or 
amendment, except with respect to: 

(a) any Party that has notified the Depositary in writing, within such six month period, of its non-acceptance 
of that additional regional implementation annex or of the amendment to the regional implementation 
annex, in which case such annex or amendment shall enter into force for Psirties which withdraw their 
notification of non-acceptance on the ninetieth day after the date on which withdrawal of such 
notification has been received by the Depositary; and 



Multilateral / Environment and Natural Resources 199 



(b) any Psirty that has made a declaration with respect to additional regional implementation annexes or 
amendments to regional implementation annexes in accordance with article 34, paragraph 4, in which 
case any such annex or amendment shaU enter into force for such a Party on the ninetieth day after the 
date of deposit with the Depositary of its instrument of ratification, acceptance, approval or accession 
with respect to such annex or amendment. 

4. If the adoption of an annex or an amendment to an annex involves an amendment to the Convention, 
that annex or amendment to an annex shall not enter into force until such time as the amendment to the Convention 
enters into force. 

Article 32 
Right to vote 

1. Except as provided for in paragraph 2, each Party to the Convention shall have one vote. 

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 that are Parties to the Convention. 
Such an organization shall not exercise its right to vote if any of its member States exercises its right, and vice versa. 



PART VI 
FINAL PROVISIONS 

Article 33 
Signature 

This Convention shall be opened for signature at Paris, on 14-15 October 1994, by States Members of the United 
Nations or any of its specialized agencies or that are Parties to the Statute of the International Court of Justice and 
by regional economic integration organizations. It shall remain open for signature, thereafter, at the United Nations 
Headquarters in New York untU 13 October 1995. 

Article 34 
Ratification, acceptance, approval and accession 

1. The Convention shall be subject to ratification, acceptance, approval or accession by States and by 
regional economic integration orgsmizations. It shall be open for accession from the day after the date on which the 
Convention is closed for signature. Instruments of ratification, acceptance, approval or accession shall be deposited 
with the Depositary. 

2. Any regional economic integration organization which becomes a Party to the Convention without any 
of its member States being a Party to the Convention shall be bound by aU the obligations under the Convention. 
Where one or more member States of such an organization are also Party to the Convention, the organization and 
its member States shall decide on their respective responsibilities for the performance of their obligations under the 
Convention. In such cases, the organization and the member States shall not be entitled to exercise rights imder the 
Convention concurrently. 

3. In their instruments of ratification, acceptance, approval or accession, regional economic integration 
organizations shall declare the extent of their competence with respect to the matters governed by the Convention. 
They shall also promptly inform the Depositary, who shall in turn inform the Parties, of any substantial modification 
in the extent of their competence. 

4. In its instrument of ratification, acceptance, approval or accession, any Party may declare that, with 
respect to it, any additional regional implementation annex or any amendment to any regional implementation annex 



200 The Marine Mammal Commission Compendium 



shall enter into force only upon the deposit of its instrument of ratification, acceptance, approval or accession with 
respect thereto. 

Article 35 
Interim arrangements 

The secretariat functions referred to in article 23 will be carried out on an interim basis by the secretariat 
established by the General Assembly of the United Nations in its resolution 47/188 of 22 December 1992, until the 
completion of the first session of the Conference of the Parties. 

Article 36 
Entry into force 

1. The Convention shall enter into force on the ninetieth day after the date of deposit of the fiftieth 
instrument of ratification, acceptance, approval or accession. 

2. For each State or regional economic integration organization ratifying, accepting, approving or acceding 
to the Convention after the deposit of the fiftieth instrument of ratification, acceptance, approval or accession, the 
Convention shall enter into force on the ninetieth day after the date of deposit by such State or regional economic 
integration organization of its instrument of ratification, acceptance, approved or accession. 

3. For the purposes of paragraphs 1 and 2, any instrument deposited by a regional economic integration 
organization shall not be counted as additional to those deposited by States members of the organization. 

Article 37 
ReservatioTis 

No reservations may be made to this Convention. 

Article 38 
Withdrawal 

1. At any time after three years ft-om the date on which the Convention has entered into force for a Party, 
that Party may withdraw from the Convention by giving written notification to the Depositary. 

2. Any such withdrawal shall take effect upon expiry of one year from the date of receipt by the Depositary 
of the notification of withdrawal, or on such later date as may be specified in the notification of withdrawal. 

Article 39 
Depositary 

The Secretary-General of the United Nations shall be the Depositary of the Convention. 

Article 40 
Authentic texts 

The original of the present convention, of which the Arabic, Chinese, EngUsh, 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 the present 
Convention. 



Multilateral / Environment and Natural Resources 201 



DONE AT Paris, this 17th day of June one thousand nine hundred and ninety-four. 

ANNEXI 
REGIONAL IMPLEMENTATION ANNEX FOR AFRICA 

Article 1 
Scope 

This Annex apphes to Africa, in relation to each Party and in conformity with the Convention, in particular its 
article 7, for the purpose of combating desertification and/or mitigating the effects of drought in its arid, semi-arid 
and dry sub-humid areas. 

Article 2 
Purpose 

The purpose of this Annex, at the national, subregional zind regional levels in Africa and in the Ught of its 
particular conditions, is to: 

(a) identify measures and arrangements, including the nature and processes of assistance provided by 
developed country Parties, in accordance with the relevant provisions of the Convention; 

(b) provide for the efficient and practical implementation of the Convention to address conditions specific 
to Africa; and 

(c) promote processes and activities relating to combating desertification and/or mitigating the effects of 
drought within the arid, semi-arid and dry sub-humid areas of Africa. 

Article 3 
Particular conditions of the African region 

In carrying out their obligations under the Convention, the Parties shall, in the implementation of this Annex, 
adopt a basic approach that takes into consideration the following particular conditions of Africa: 

(a) the high proportion of arid, semi-arid and dry sub-humid areas; 

(b) the substantial nvmiber of countries and populations adversely ziffected by desertification sind by the 
frequent reciurence of severe drought; 

(c) the large number of affected countries that are land-locked; 

(d) the widespread poverty prevalent in most affected coimtries, the large number of least developed 
countries among them, and their need for significant amounts of external assistance, in the form of 
grants and loans on concessional terms, to pursue their development objectives; 

(e) the difficult socio-economic conditions, exacerbated by deteriorating and fluctuating terms of trade, 
external indebtedness and poUtical instabihty, which induce internal, regional and international 
migrations; 

(f) the heavy rehance of populations on natural resources for subsistence which, compounded by the effects 
of demographic trends and factors, a weak technological base and unsustainable production practices, 
contributes to serious resource degradation; 



202 The Marine Mammal Commission Compendium 



(g) the insufficient institutional and legal frameworks, the weak infrastructural base and the insufficient 
scientific, technical and educational capacity, leading to substantial capacity-building requirements; 
and 

(h) the central role of actions to combat desertification and/or mitigate the effects of drought in the national 
development priorities of affected African countries. 

Article 4 
Commitments and obligations of African country Parties 

1. In accordance with their respective capabUities, African country Parties undertake to: 

(a) adopt the combating of desertification and/or the mitigation of the effects of drought as a central strategy 
in their efforts to eradicate poverty; 

(b) promote regional cooperation and integration, in a spirit of solidarity and partnership based on mutual 
interest, in programmes and activities to combat desertification and/or mitigate the effects of drought; 

(c) rationaUze and strengthen existing institutions concerned with desertification and drought and involve 
other existing institutions, as appropriate, in order to make them more effective and to ensure more 
efficient use of resources; 

(d) promote the exchange of information on appropriate technology, knowledge, know-how and practices 
between and among them; and 

(e) develop contingency plans for mitigating the effects of drought in areas degraded by desertification 
and/or drought. 

2. Pursuant to the general and specific obligations set out in articles 4 and 5 of the Convention, affected 
African country Parties shall aim to: 

(a) make appropriate financial allocations from their national budgets consistent with national conditions 
and capabilities and reflecting the new priority Africa has accorded to the phenomenon of desertification 
and/or drought; 

(b) sustain and strengthen reforms currently in progress towards greater decentrahzation and resource 
tenure as well as reinforce participation of local populations and communities; and 

(c) identify and mobilize new and additional national financial resources, and expand, as a matter of 
priority, existing national capabiUties and facUities to mobilize domestic financial resoiirces. 

Article 5 
Commitments and obligations of developed country Parties 

1. In fulfilling their obligations pursuant to articles 4, 6 and 7 of the Convention, developed country Parties 
shall give priority to affected African country Parties and, in this context, shall: 

(a) assist them to combat desertification and/or mitigate the effects of drought by, inter aha , providing 
and/or facilitating access to financial and/or other resources, and promoting, financing and/or facihtat- 
ing the financing of the transfer, adaptation and access to appropriate environmented technologies and 
know-how, as mutually agreed and in accordance with national poUcies, taking into accoimt their 
adoption of poverty eradication as a central strategy; 

(b) continue to allocate significant resources and/or increase resources to combat desertification and/or 
mitigate the effects of drought; and 



Multilateral / Environment and Natural Resources 203 



(c) assist them in strengthening capacities to enable them to improve their institutional frameworks, as 
well as their scientific and technical capabilities, information collection and analysis, and research and 
development for the purpose of combating desertification and/or mitigating the effects of drought. 

2. Other country Parties may provide, on a voluntary basis, technology, knowledge and know-how relating 
to desertification and/or financial resources, to affected African country Parties. The transfer of such knowledge, 
know-how and techniques is facilitated by international cooperation. 

Article 6 
Strategic planning framework for sustainable development 

1. National action programmes shall be a central and integral part of a broader process of formulating 
national policies for the sustainable development of affected African country Parties. 

2. A consultative and participatory process involving appropriate levels of government, local populations, 
communities and non-governmental organizations shall be undertaken to provide guidance on a strategy with flexible 
planning to allow maximum participation from local populations and communities. As appropriate, bilateral and 
multilateral assistance agencies may be involved in this process at the request of an affected African country Party. 

Article? 
Timetable for preparation of action programmes 

Pending entry into force of this Convention, the Afincan country Parties, in cooperation with other members 
of the international community, as appropriate, shall, to the extent possible, provisionally apply those provisions of 
the Convention relating to the preparation of national, subregional and regional action programmes. 

Article 8 
Content of national action programmes 

1. Consistent with article 10 of the Convention, the overall strategy of national action programmes shall 
emphasize integrated local development programmes for affected areas, based on participatory mechanisms and on 
integration of strategies for poverty eradication into efforts to combat desertification and mitigate the effects of 
drought. The programmes shall aim at strengthening the capacity of local authorities and ensuring the active 
involvement of local populations, communities and groups, with emphasis on education and training, mobilization of 
non-governmental organizations with proven expertise and strengthening of decentralized governmental structures. 

2. National action programmes shall, as appropriate, include the following general features: 

(a) the use, in developing and implementing national action programmes, of past experiences in combating 
desertification and/or mitigating the effects of drought, taking into account social, economic and 
ecological conditions; 

(b) the identification of factors contributing to desertification and/or drought and the resources and 
capacities available and required, and the setting up of appropriate policies and institutional and other 
responses and measures necessary to combat those phenomena and/or mitigate their effects; and 

(c) the increase in participation of local populations and communities, including women, farmers Jind 
pastoralists, and delegation to them of more responsibility for management. 

3. National action programmes shall also, as appropriate, include the following: 

(a) measures to improve the economic environment with a view to eradicating poverty: 

(i) increasing incomes and employment opportunities, especially for the poorest members of the 
conununity, by: 



204 The Marine Mammal Commission Compendium 

developing markets for farm and livestock products; 

creating financial instruments suited to local needs; 

encouraging diversification in agriculture and the setting-up of agricultural enterprises; 
and 

developing economic activities of a para-agricultural or non-agricultiiral type; 

(ii) improving the long-term prospects of rural economies by the creation of: 

incentives for productive investment and access to the mesins of production; and 

price and tax poUcies and commercial practices that promote grovrth; 

(iii) defining and applying population eind migration policies to reduce population pressure on land; 
and 

(iv) promoting the use of drought resistant crops and the application of integrated dry-land farming 
systems for food security purposes; 

(b) measures to conserve natural resources: 

(i) ensuring integrated and sustainable management of natural resources, including: 

agricultiiral land and pastoral land; 

vegetation cover and wildlife; 

forests; 

water resources; and 

biological diversity; 

(ii) training with regard to, and strengthening, pubUc awareness and environmental education 
campaigns and disseminating knowledge of techniques relating to the sustainable management 
of natural resources; and 

(iii) ensuring the development and efiicient use of diverse energy sources, the promotion of alternative 
sources of energy, particularly solar energy, wind energy and bio-gas, and specific arrangements 
for the transfer, acquisition and adaptation of relevant technology to alleviate the pressure on 
fragile natural resovu-ces; 

(c) measures to improve institutional organization: 

(i) defining the roles and responsibilities of central government and local authorities within the 
fi-amework of a land use planning policy; 

(ii) encouraging a poUcy of active decentralization, devolving responsibility for management and 
decision-making to local authorities, and encouraging initiatives and the assumption of respon- 
sibihty by local communities and the estabUshment of locsd structures; and 

(iii) adjusting, as appropriate, the institutional and regulatory frsimework of natural resource man- 
agement to provide security of land tenure for local populations; 



Multilateral / Environment and Natural Resources 205 



(d) measures to improve knowledge of desertification: 

(i) promoting research and the collection, processing and exchange of information on the scientific, 
technical and socio-economic aspects of desertification; 

(ii) improving national capabilities in research and in the collection, processing, exchange and 
analysis of information so as to increase understanding and to translate the results of the analysis 
into operational terms; and 

(iii) encouraging the medium- and long-term study of: 

socio-economic and cultural trends in affected areas; 

quahtative and quantitative trends in natural resources; and 

the interaction between climate and desertification; 2ind 

(e) measures to monitor and assess the effects of drought: 

(i) developing strategies to evaluate the impacts of natursQ climate variability on regional drought 
and desertification and/or to utilize predictions of cUmate variability on seasonal to interannual 
time scales in efforts to mitigate the effects of drought; 

(ii) improving early warning and response capacity, efficiently managing emergency relief and food 
aid, and improving food stocking and distribution systems, cattle protection schemes and pubHc 
works Eind alternative livelihoods for drought prone areas; and 

(iii) monitoring and assessing ecological degradation to provide reliable and timely information on 
the process and dynamics of resource degradation in order to facilitate better policy formulations 
and responses. 

Article 9 
Preparation of national action programmes and implementation and evaluation indicators 

Each affected Afi^can country Party shall designate an appropriate national coordinating body to function as 
a catalyst in the preparation, implementation and evaluation of its national action programme. This coordinating 
body shall, in the light of article 3 and as appropriate: 

(a) undertake an identification and review of actions, beginning with a locally driven consultation process, 
involving local populations and communities and with the cooperation of local administrative authori- 
ties, developed country Parties and intergovernmental and non-governmental organizations, on the 
basis of initial consultations of those concerned at the national level; 

(b) identify and analyze the constraints, needs smd gaps affecting development and sustainable land use 
and recommend practical measures to avoid duphcation by making full use of relevant ongoing efforts 
and promote implementation of results; 

(c) facUitate, design and formulate project activities based on interactive, flexible approaches in order to 
ensure active participation of the population in affected areas, to minimize the negative impact of such 
activities, and to identify and prioritize requirements for financial assistance and technical cooperation; 

(d) estabhsh pertinent, quantifiable and readily verifiable indicators to ensure the assessment and evalu- 
ation of national action programmes, which encompass actions in the short, medium £ind long terms, 
and of the implementation of such programmes; and 

(e) prepare progress reports on the implementation of the national action programmes. 



206 The Marine Mammal Commission Compendium 



Article 10 
Organizational framework of subregioneU action programmes 

1. Pursuant to article 4 of the Convention, African country Parties shall cooperate in the preparation and 
implementation of subregional action programmes for central, eastern, northern, southern and western Africa and, 
in that regard, may delegate the following responsibilities to relevant subregional intergovernmental organizations: 

(a) acting as focal points for preparatory activities and coordinating the implementation of the subregional 
action programmes; 

(b) assisting in the preparation emd implementation of national action programmes; 

(c) facilitating the exchange of information, experience and know-how as well as providing advice on the 
review of national legislation; and 

(d) any other responsibilities relating to the implementation of subregional action programmes. 

2. Specialized subregional institutions may provide support, upon request, and/or be entrusted with the 
responsibility to coordinate activities in their respective fields of competence. 

Article 11 
Content and preparation of subregional action programmes 

Subregional action programmes shall focus on issues that are better addressed at the subregional level. They 
shall establish, where necessary, mechanisms for the management of shared natural resources. Such mechanisms 
shall effectively handle transboundary problems associated with desertification and/or drought and shall provide 
support for the harmonious implementation of national action programmes. Priority areas for subregional action 
programmes shall, as appropriate, focus on: 

(a) joint programmes for the sustainable management of transboundary natural resources through bilateral 
and multilateral mechanisms, as appropriate; 

(b) coordination of programmes to develop jdtemative energy sources; 

(c) cooperation in the management and control of pests as well as of plant and animal diseases; 

(d) capacity-building, education and pubUc awareness activities that 2u-e better carried out or supported at 
the subregional level; 

(e) scientific and technical cooperation, particularly in the climatological, meteorological and hydrological 
fields, including networking for data collection and assessment, information sharing and project 
monitoring, and coordination and prioritization of research and development activities; 

(f) early warning systems and joint planning for mitigating the effects of drought, including measures to 
address the problems resulting from environmentally induced migrations; 

(g) exploration of ways of sharing experiences, particularly regarding participation of local populations and 
conmiunities, and creation of an enabling environment for improved land use management and for use 
of appropriate technologies; 

(h) strengthening of the capacity of subregional organizations to coordinate and provide technical services, 
as well as establishment, reorientation and strengthening of subregional centers and institutions; and 

(i) development of policies in fields, such as trade, which have impact upon affected areas and populations, 
including pohcies for the coordination of regional marketing regimes and for common infrastructure. 



Multilateral / Environment and Natural Resources 207 



Article 12 
Organizational framework of the regional action programme 

1. Pursuant to article 11 of the Convention, African country Parties shall jointly determine the procedures 
for preparing and implementing the regional action progrsimme. 

2 . The Parties may provide appropriate support to relevant African regional institutions and organizations 
to enable them to assist African country Parties to fulfil their responsibiUties under the Convention. 

Article 13 
Content of the regional action programme 

The regional action programme includes measures relating to combating desertification and/or mitigating the 
effects of drought in the following priority areas, as appropriate: 

(a) development of regional cooperation and coordination of subregional action programmes for building 
regional consensus on key poUcy areas, including through regular consultations of subregional organi- 
zations; 

(b) promotion of capacity-building in activities which are better implemented at the regional level; 

(c) the seeking of solutions with the international community to global economic and social issues that have 
an impact on affected areas taking into account article 4, paragraph 2 (b) of the Convention; 

(d) promotion among the affected country Parties of Africa and its subregions, as well as with other affected 
regions, of exchange of information and appropriate techniques, technical know-how and relevant 
experience; promotion of scientific and technologicEil cooperation psulicularly in the fields of cUmatology, 
meteorology, hydrology, water resource development and alternative energy sources; coordination of 
subregional and regional research activities; and identification of regiontd priorities for research and 
development; 

(e) coordination of networks for systematic observation and assessment and information exchange, as well 
as their integration into world-wide networks; and 

(0 coordination of and reinforcement of subregional and regional early warning systems and drought 
contingency plans. 

Article 14 
Financial resources 

1. Pursuant to article 20 of the Convention and article 4, paragraph 2, affected African country Parties 
shall endeavour to provide a macroeconomic framework conducive to the mobilization of financial resources and shall 
develop poUcies and establish procedures to channel resources more effectively to local development programmes, 
including through non-governmental organizations, as appropriate. 

2. Pursuant to article 21, paragraphs 4 and 5 of the Convention, the Parties agree to establish an inventory 
of sources of funding at the national, subregional, regional and international levels to ensure the rational use of 
existing resources and to identify gaps in resource allocation, to facUitate implementation of the action programmes. 
The inventory shall be regularly reviewed and updated. 

3. Consistent with article 7 of the Convention, the developed country Parties shall continue to allocate 
significant resources and/or increased resources as well as other forms of assistance to affected African country Parties 
on the basis of partnership agreements and arrangements referred to in article 18, giving, inter alia , due attention 
to matters related to debt, international trade and mau-keting arrangements in accordance with article 4, paragraph 
2 (b) of the Convention. 



208 The Marine Mammal Commission Compendium 



Article 15 
Financial mechanisms 

1. Consistent with article 7 of the Convention underscoring the priority to affected African country Parties 
and considering the particular situation prevailing in this region, the Parties shall pay special attention to the 
implementation in Africa of the provisions of article 21, paragraph 1 (d) and (e) of the Convention, notably by: 

(a) facilitating the establishment of mechanisms, such as national desertification funds, to channel 
financial resources to the local level; and 

(b) strengthening existing funds and financial mechanisms at the subregional and regional levels. 

2. Consistent with articles 20 and 21 of the Convention, the Parties which are also members of the 
governing bodies of relevant regional and subregional financial institutions, including the African Development Bank 
and the African Development Fund, shall promote efforts to give due priority and attention to the activities of those 
institutions that advance the implementation of this Annex. 

3. The Parties shall streamline, to the extent possible, procedures for channelling funds to affected African 
country Parties. 

Article 16 
Technical assistance and cooperation 

The Parties undertake, in accordance with their respective capabiUties, to rationalize technical assistance to, 
and cooperation with, African country Parties with a view to increasing project and programme effectiveness by, 
inter alia : 

(a) limiting the costs of support measures and backstopping, especially overhead costs; in any case, such 
costs shall only represent an appropriately low percentage of the total cost of the project so as to 
maximize project efficiency; 

(b) giving preference to the utilization of competent national experts or, where necessary, competent experts 
from within the subregion and/or region, in project design, preparation and implementation, and to the 
building of local expertise where it does not exist; find 

(c) effectively managing and coordinating, as well as efficiently utihzing, technical assistance to be 
provided. 

Article 17 
Transfer, acquisition, adaptation and ticcess to environmentally sound technology 

In implementing article 18 of the Convention relating to transfer, acquisition, adaptation and development of 
technology, the Parties undertake to give priority to African country Parties and, as necessary, to develop with them 
new models of partnership and cooperation with a view to strengthening capacity-biulding in the fields of scientific 
research and development and information collection sind dissemination to enable them to implement their strategies 
to combat desertification and mitigate the effects of drought. 

Article 18 
Coordination and partnership agreements 

1. African country Parties shall coordinate the preparation, negotiation and implementation of national, 
subregional and regional action programmes. They may involve, as appropriate, other Parties and relevant intergov- 
ernmental and non-governmental organizations in this process. 



Multilateral / Environment and Natural Resources 209 



2. The objectives of such coordination shall be to ensure that financial and technical cooperation is 
consistent with the Convention and to provide the necessary continuity in the use and administration of resources. 

3. African country Parties shall organize consultative processes at the national, subregional and regional 
levels. These consultative processes may: 

(a) serve as a forum to negotiate and conclude partnership agreements based on national, subregional and 
regional action programmes; and 

(b) specify the contribution of African country Parties and other members of the consultative groups to the 
programmes and identify priorities and agreements on implementation and evaluation indicators, as 
well as funding arrangements for implementation. 

4. The Permanent Secretariat may, at the request of African country Parties, pursuant to article 23 of the 
Convention, facilitate the convocation of such consultative processes by: 

(a) providing advice on the orgEinization of effective consultative arrangements, drawing on experiences 
from other such arrangements; 

(b) providing information to relevant bilateral and multilateral agencies concerning consultative meetings 
or processes, and encouraging their active involvement; and 

(c) providing other information that may be relevant in establishing or improving consiiltative arrange- 
ments. 

5. The subregional and regional coordinating bodies shall, inter alia : 

(a) recommend appropriate adjustments to partnership agreements; 

(b) monitor, assess and report on the implementation of the agreed subregional and regional programmes; 
and 

(c) aim to ensure efiRcient communication and cooperation among African country Parties. 

6. Participation in the consultative groups shall, as appropriate, be open to Governments, interested 
groups and donors, relevant organs, funds and programmes of the United Nations system, relevant subregional and 
regional organizations, and representatives of relevant non-governmental organizations. Participsmts of each con- 
sultative group shall determine the modalities of its management and operation. 

7. Pursuant to article 14 of the Convention, developed country Parties £ire encouraged to develop, on their 
own initiative, an informal process of consultation and coordination among themselves, at the national, subregional 
and regional levels, and, at the request of an affected African country Party or of an appropriate subregional or 
regional organization, to participate in a national, subregional or regional consultative process that would evaluate 
and respond to assistance needs in order to faciUtate implementation. 

Article 19 
Follow-up arrangements 

Follow-up of this Annex shall be carried out by African country Parties in accordance with the Convention as 
follows: 

(a) at the national level, by a mechanism the composition of which should be determined by each affected 
African country Party and which shall include representatives of local communities and shall function 
under the supervision of the national coordinating body referred to in article 9; 

(b) at the subregional level, by a multidisciplinary scientific and technical consultative committee, the 
composition and modaUties of operation of which shedl be determined by the African country Parties of 
the subregion concerned; and 



210 The Marine Mammal Commission Compendium 



(c) at the regional level, by mechanisms defined in accordance with the relevant provisions of the Treaty 
establishing the African Economic Commimity, and by an African Scientific and Ttechnical Advisory 
Committee. 



ANNEXn 
REGIONAL IMPLEMENTATION ANNEX FOR ASIA 

Article 1 
Purpose 

The purpose of this Annex is to provide guidelines eind arrangements for the effective implementation of the 
Convention in the sifFected country Parties of the Asian region in the light of its particular conditions. 

Article 2 
PcuticuUw conditions of the Asian region 

In carrying out their obligations under the Convention, the Parties shall, as appropriate, take into considera- 
tion the following particular conditions which apply in varying degrees to the affected country Parties of the region: 

(a) the high proportion of areas in their territories affected by, or vulnerable to, desertification and drought 
and the broad diversity of these Eireas with regard to climate, topography, land use and socio-economic 
systems; 

(b) the heavy pressure on natural resources for livelihoods; 

(c) the existence of production systems, directly related to widespread poverty, leading to land degradation 
and to pressure on scarce water resources; 

(d) the significant impact of conditions in the world economy and social problems such as poverty, poor 
he2dth and nutrition, lack of food security, migration, displaced persons and demographic dynamics; 

(e) their expanding, but still insufficient, capacity and institutional frameworks to deal with national 
desertification and drought problems; and 

(f) their need for international cooperation to pursue sustainable development objectives relating to 
combating desertification and mitigating the effects of drought. 

Articles 
Framework for national action programmes 

1. National action programmes shall be an integral part of broader national policies for sustainable 
development of the affected country Parties of the region. 

2. The affected country Psirties shall, as appropriate, develop national action progrEimmes pursuant to 
articles 9 to 11 of the Convention, paying special attention to article 10, paragraph 2 (f). As appropriate, bilateral and 
multilateral cooperation agencies may be involved in this process at the request of the affected country Party 
concerned. 



Multilateral / Environment and Natural Resources 211 



Article 4 
National action programmes 

1. In preparing and implementing national action programmes, the affected country Parties of the region, 
consistent with their respective circumstances and policies, may, inter alia , as appropriate: 

(a) designate appropriate bodies responsible for the preparation, coordination and implementation of their 
action programmes; 

(b) involve affected populations, including local communities, in the elaboration, coordination and imple- 
mentation of their action programmes through a locally driven consultative process, with the cooperation 
of local authorities and relevant national and non-governmental orgsinizations; 

(c) survey the state of the environment in affected areas to assess the causes and consequences of 
desertification and to determine priority areas for action; 

(d) evaluate, with the participation of affected populations, past and current programmes for combating 
desertification and mitigating the effects of drought, in order to design a strategy and elaborate activities 
in their action programmes; 

(e) prepare technical and financial programmes based on the information derived from the activities in 
subparagraphs (a) to (d); 

(f) develop and utihze procedures and benchmarks for evaluating implementation of their action pro- 
grammes; 

(g) promote the integrated management of drainage basins, the conservation of soil resources, and the 
enhancement £ind efficient use of water resources; 

(h) strengthen and/or establish information, evsduation and follow-up and early warning systems in regions 
prone to desertification and drought, taking account of climatological, meteorological, hydrological, 
biological and other relevant factors; and 

(i) formulate in a spirit of partnership, where international cooperation, including financial and technical 
resources, is involved, appropriate arrangements supporting their action programmes. 

2. Consistent with article 10 of the Convention, the overall strategy of national action programmes shall 
emphasize integrated local development programmes for affected areas, based on participatory mechanisms and on 
the integration of strategies for poverty eradication into efforts to combat desertification and mitigate the effects of 
drought. Sectoral measures in the action programmes shall be grouped in priority fields which take account of the 
broad diversity of affected areas in the region referred to in article 2 (a). 

Article 5 
Subregional and joint fiction programmes 

1. Pursuant to article 11 of the Convention, affected country Parties in Asia may mutually agree to consult 
and cooperate with other Parties, as appropriate, to prepare and implement subregional or joint action programmes, 
as appropriate, in order to complement, and increase effectiveness in the implementation of, national action 
programmes. In either case, the relevant Parties may jointly agree to entrust subregional, including bilateral or 
national organizations, or specialized institutions, with responsibilities relating to the preparation, coordination and 
implementation of programmes. Such organizations or institutions may also act as focal points for the promotion and 
coordination of actions pursuant to articles 16 to 18 of the Convention. 

2. In preparing and implementing subregional or joint action programmes, the affected country Parties of 
the region shall, inter alia , as appropriate: 



212 The Marine Mammal Commission Compendium 



(a) identiiy, in cooperation with national institutions, priorities relating to combating desertification and 
mitigating the effects of drought which can better be met by such programmes, as well as relevant 
activities which could be effectively carried out through them; 

(b) evaluate the operational capacities and activities of relevant regional, subregional and national insti- 
tutions; 

(c) assess existing programmes relating to desertification and drought among all or some parties of the 
region or subregion and their relationship with national action programmes; and 

(d) formulate in a spirit of partnership, where international cooperation, including financial and technical 
resources, is involved, appropriate bilateral and/or multilateral arrangements supporting the pro- 
grammes. 

3. Subregional or joint action programmes may include agreed joint programmes for the sustainable 
management of transboundary natural resources relating to desertification, priorities for coordination and other 
activities in the fields of capacity-building, scientific and technical cooperation, particularly drought early warning 
systems and information sharing, and means of strengthening the relevant subregional and other organizations or 
institutions. 

Articles 
Regional activities 

Regional activities for the enhancement of subregional or joint action programmes may include, inter alia , 
measures to strengthen institutions and mechanisms for coordination and cooperation at the national, subregional 
and regional levels, and to promote the implementation of articles 16 to 19 of the Convention. These activities may 
also include: 

(a) promoting and strengthening technical cooperation networks; 

(b) preparing inventories of technologies, knowledge, know-how and practices, as well as traditional and 
local technologies and know-how, and promoting their dissemination and use; 

(c) evaluating the requirements for technology transfer and promoting the adaptation and' use of such 
technologies; and 

(d) encouraging public awareness programmes and promoting capacity-building at all levels, strengthening 
training, research and development and building systems for human resource development. 

Article 7 
Financial resources and mechanisms 

1. The Piulies shall, in view of the importance of combating desertification and mitigating the effects of 
drought in the Asian region, promote the mobihzation of substantial financial resources and the availability of 
financial mechanisms, pursuant to articles 20 and 21 of the Convention. 

2. In conformity with the Convention and on the basis of the coordinating mechanism provided for in article 
8 and in accordance with their national development policies, affected country Parties of the region shall, individually 
or jointly: 

(a) adopt measures to rationalize and strengthen mechanisms to supply funds through public and private 
investment with a view to achieving specific results in action to combat desertification and mitigate the 
effects of drought; 

(b) identify international cooperation requirements in support of national efforts, particularly financial, 
technical and technological; and 



Multilateral / Environment and Natural Resources 213 



(c) promote the participation of bilateral and/or multilateral financial cooperation institutions with a view 
to ensuring implementation of the Convention. 

3. The Parties shall streamline, to the extent possible, procedures for channelling funds to affected country 
Parties in the region. 

Article 8 
Cttoperation and coordination mechanisms 

1. Affected country Parties, through the appropriate bodies designated pursuant to article 4, paragraph 
1 (a), and other Parties in the region, may, as appropriate, set up a mechanism for, inter alia , the following purposes: 

(a) exchange of information, experience, knowledge and know-how; 

(b) cooperation and coordination of actions, including bilateral £uid multUatersd arrangements, at the 
subregional and regional levels; 

(c) promotion of scientific, technical, technological and financial cooperation pursuEint to articles 5 to 7; 

(d) identification of external cooperation requirements; and 

(e) follow-up £ind evaluation of the implementation of action programmes. 

2. Affected country Parties, through the appropriate bodies designated pursuant to article 4, paragraph 
1 (a), and other Parties in the region, may also, as appropriate, consult and coordinate as regards the national, 
subregioneJ and joint action programmes. They may involve, as appropriate, other Parties and relevant intergovern- 
mental and non-governmental organizations in this process. Such coordination shall, inter alia , seek to secure 
agreement on opportunities for international cooperation in accordance with articles 20 and 21 of the Convention, 
enhance technical cooperation and channel resources so that they are used effectively. 

3. Affected country Parties of the region shall hold periodic coordination meetings, and the Permanent 
Secretariat may, at their request, pursuant to article 23 of the Convention, facilitate the convocation of such 
coordination meetings by: 

(a) providing advice on the organization of effective coordination arrangements, drawing on experience from 
other such arrangements; 

(b) providing information to relevant bUateral and multilateral agencies concerning coordination meetings, 
and encouraging their active involvement; and 

(c) providing other information that may be relevant in estabUshing or improving coordination processes. 



ANNEX in 

REGIONAL IMPLEMENTATION ANNEX FOR 
LATIN AMERICA AND THE CARIBBEAN 

Article 1 
Purpose 

The purpose of this Annex is to provide general guidelines for the implementation of the Convention in the 
Latin American and Caribbean region, in light of its particular conditions. 



214 The Marine Mammal Commission Compendium 



Article 2 
Particular conditions of the Latin American and Caribbean region 

The Parties shall, in accordance with the provisions of the Convention, take into consideration the following 
particular conditions of the region: 

(a) the existence of broad expanses which are vulnerable and have been severely affected by desertification 
and/or drought and in which diverse characteristics may be observed, depending on the area in which 
they occur; this cumulative and intensifying process has negative social, cultural, economic and 
environmental effects which are all the more serious in that the region contains one of the largest 
resources of biological diversity in the world; 

(b) the frequent use of unsustainable development practices in affected areas as a result of complex 
interactions among physical, biological, political, social, cultural and economic factors, including 
international economic factors such as external indebtedness, deteriorating terms of trade and trade 
practices which affect markets for agricultural, fishery and forestry products; and 

(c) a sharp drop in the productivity of ecosystems being the main consequence of desertification and 
drought, taking the form of a decline in agricultural, livestock and forestry yields and a loss of biological 
diversity; from the social point of view, the results are impoverishment, migration, internal population 
movements, and the deterioration of the quzJity of life; the region will therefore have to adopt an 
integrated approach to problems of desertification and drought by promoting sustainable development 
models that £ire in keeping with the environmental, economic and social situation in each country. 

Article 3 
Action programmes 

1. In conformity with the Convention, in particular its articles 9 to 11, and in accordance with their national 
development policies, affected country Parties of the region shall, as appropriate, prepare and implement national 
action programmes to combat desertification and mitigate the effects of drought as an integral part of their national 
poUcies for sustainable development. Subregional and regional programmes may be prepared and implemented in 
accordance with the requirements of the region. 

2. In the preparation of their national action programmes, affected country Parties of the region shall pay 
particular attention to article 10, paragraph 2 (f) of the Convention. 

Article 4 
Content of national tuition programmes 

In the Mght of their respective situations, the affected country Parties of the region may take account, inter 
alia , of the following thematic issues in developing their national strategies for action to combat desertification and/or 
mitigate the effects of drought, pursuant to article 5 of the Convention: 

(a) increasing capacities, education and pubUc awareness, technical, scientific and technological coopera- 
tion and financial resources and mechanisms; 

(b) eradicating poverty and improving the quality of human life; 

(c) achieving food security and sustainable development and management of agricultural, livestock-rear- 
ing, forestry and multipurpose activities; 

(d) sustainable management of natural resources, especially the rational management of drainage basins; 

(e) sustainable management of natural resources in high-altitude areas; 



Multilateral / Environment and Natural Resources 215 



(f) rational management and conservation of soil resources and exploitation and efficient use of water 
resources; 

(g) formulation and application of emergency plans to mitigate the effects of drought; 

(h) strengthening and/or establishing information, evaluation and follow-up and early warning systems in 
areas prone to desertification and drought, taking account of climatological, meteorological, hydrologi- 
cal, biological, soil, economic and social factors; 

(i) developing, msinaging and efficiently using diverse sources of energy, including the promotion of 
alternative sources; 

(j) conservation and sustainable use of biodiversity in accordance with the provisions of the Convention on 
Biological Diversity; 

(k) consideration of demographic aspects related to desertification and drought; and 

(1) establishing or strengthening institutional and legal frameworks permitting appUcation of the Conven- 
tion and aimed, inter aha , at decentralizing administrative structures and functions relating to 
desertification and drought, with the participation of affected communities and society in general. 

Article 5 
Technical, scientific and technological cooperation 

In conformity with the Convention, in particular its articles 16 to 18, and on the basis of the coordinating 
mechanism provided for in article 7, affected country Parties of the region shall, individually or jointly: 

(a) promote the strengthening of technical cooperation networks and national, subregional and regional 
information systems, as well as their integration, as appropriate, in world-wide sources of information; 

(b) prepare an inventory of available technologies and know-how and promote their dissemination and use; 

(c) promote the use of traditional technology, knowledge, know-how and practices pursuant to article 18, 
paragraph 2 (b), of the Convention; 

(d) identify transfer of technology requirements; and 

(e) promote the development, adaptation, adoption and transfer of relevant existing and new environmen- 
tally sound technologies. 

Articles 
Financial reaourcea and mechanisms 

In conformity with the Convention, in particular its articles 20 and 21, on the basis of the coordinating 
mechanism provided for in article 7 and in accordance with their national development policies, affected country 
Parties of the region shall, individually or jointly: 

(a) adopt measures to rationaUze and strengthen mechanisms to supply funds through public and private 
investment with a view to achieving specific results in action to combat desertification and mitigate the 
effects of drought; 

(b) identify international cooperation requirements in support of national efforts; and 

(c) promote the participation of bilateral and/or mviltilateral financial cooperation institutions with a view 
to ensuring implementation of the Convention. 



216 The Marine Mammal Commission Compendium 



Article? 
Institutional framework 

1. In order to give effect to this Annex, affected country Parties of the region shall: 

(a) estabUsh and/or strengthen national focal points to coordinate action to combat desertification and/or 
mitigate the effects of drought; and 

(b) set up a mechanism to coordinate the national focal points for the following purposes: 
(i) exchanges of information and experience; 

(ii) coordination of activities at the subregional and regional levels; 

(iii) promotion of technical, scientific, technological and financial cooperation; 

(iv) identification of external cooperation requirements; and 

(v) follow-up and evaluation of the implementation of action programmes. 

2. Affected country Parties of the region shall hold periodic coordination meetings and the Permanent 
Secretariat may, at their request, pursuant to article 23 of the Convention, facilitate the convocation of such 
coordination meetings, by: 

(a) providing advice on the organization of effective coordination arrangements, drawing on experience from 
other such arrangements; 

(b) providing information to relevant bilateral and multilateral agencies concerning coordination meetings, 
and encouraging their active involvement; and 

(c) providing other information that may be relevant in estabUshing or improving coordination processes. 

ANNEXIV 

REGIONAL IMPLEMENTATION ANNEX FOR 
THE NORTHERN MEDITERRANEAN 

Article I 
Purpose 

The purpose of this Annex is to provide guidelines and arrangements necessary for the effective implementation 
of the Convention in affected country Parties of the northern Mediterranean region in the light of its particular 
conditions. 

Article 2 
Particular conditions of the northern Mediterranean region 

The particular conditions of the northern Mediterranean region referred to in article 1 include: 

(a) semi-arid climatic conditions affecting large areas, seasonal droughts, very high rainfall variability and 
sudden and high-intensity rainfall; 

(b) poor and highly erodible soUs, prone to develop surface crusts; 



Multilateral / Environment and Natural Resources 217 

(c) uneven relief with steep slopes and very diversified landscapes; 

(d) extensive forest coverage losses due to frequent wildfires; 

(e) crisis conditions in traditional agriculture with associated land abEindonment and deterioration of soil 
and water conservation structures; 

(f) unsustainable exploitation of water resources leading to serious environmental damage, including 
chemical pollution, salinization and exhaustion of aquifers; and 

(g) concentration of economic activity in coastal areas as a result of urban growth, industrial activities, 
tourism and irrigated agriculture. 

Article 3 
Strategic planning frameicork for sustainable development 

1. National action programmes shall be a central and integral part of the strategic planning framework 
for sustainable development of the affected country Parties of the northern Mediterranean. 

2. Aconsultative and participatory process, involving appropriate levels of government, local communities 
and non-governmental organizations, shall be undertaken to provide guidance on a strategy with flexible planning 
to allow maximum local participation, pursuant to article 10, paragraph 2 (f) of the Convention. 

Article 4 
Obligation to prepare national tiction programmes and timetable 

Affected country Parties of the northern Mediterranesm region shall prepare national action programmes and, 
as appropriate, subregional, regional or joint action programmes. The preparation of such programmes shall be 
finalized as soon as practicable. 

Articles 
Preparation and implementtUion of the national programmes 

In preparing and implementing nationsd action programmes pursuant to articles 9 and 10 of the Convention, 
each affected country Party of the region shall, as appropriate: 

(a) designate appropriate bodies responsible for the preparation, coordination and implementation of its 
programme; 

(b) involve affected populations, including local communities, in the elaboration, coordination and imple- 
mentation of the progranune through a locally driven consultative process, with the cooperation of local 
authorities and relevant non-govemmental organizations; 

(c) survey the state of the environment in affected areas to assess the causes and consequences of 
desertification and to determine priority areas for action; 

(d) eveJuate, with the participation of affected population, past and ciurent programmes in order to design 
a strategy and elaborate activities in the action programme; 

(e) prepare technical and financial programmes based on the information gained through the activities in 
subparagraphs (a) to (d); and 

(f) develop and utilize procedures and benchmarks for monitoring and evaluating the implementation of 
the programme. 



218 The Marine Mammal Commission Compendium 



Articles 
Content of national action programmea 

Affected country Parties of the region may include, in their national action programmes, measures relating to: 

(a) legislative, InstitutionEd and administrative areas; 

(b) land use patterns, management of water resources, soil conservation, forestry, agiicultural activities 
and pasture and range management; 

(c) management and conservation of wildlife smd other forms of biological diversity; 

(d) protection ag£iinst forest fires; 

(e) promotion of alternative hvelihoods; and 

(f) research, training and public awareness. 

Article 7 
Subregional, regional and Joint action programmea 

1. Affected country Parties of the region may, in accordance with article 11 of the Convention, prepare and 
implement subregional Eind/or regional action programmes in order to complement and increase the efficiency of 
national action programmes. Two or more affected country Parties of the region, may similarly agree to prepare a 
joint action programme between or among them. 

2. The provisions of articles 5 £ind 6 shall apply mutatis mutandis to the preparation and implementation 
of subregional, regional and joint action programmes. In addition, such programmes may include the conduct of 
research and development activities concerning selected ecosystems in affected areas. 

3. In preparing and implementing subregional, regional or joint action programmes, affected country 
Parties of the region shall, as appropriate: 

(a) identify. In cooperation with national institutions, national objectives relating to desertification which 
can better be met by such programmes and relevant activities which could be effectively carried out 
through them; 

(b) evaluate the operational capacities and activities of relevant regional, subregional and national insti- 
tutions; and 

(c) assess existing programmes relating to desertification among Parties of the region and their relationship 
with national action programmes. 

Articles 
Coordination of subregional, regional and joint action programmea 

Affected country Parties preparing a subregional, regional or joint action programme may establish a 
coordination committee composed of representatives of each affected country Party concerned to review progress In 
combating desertification, harmonize national action programmes, make recommendations at the various stages of 
preparation and Implementation of the subregional, regional or joint action programme, and act as a focal point for 
the promotion and coordination of technical cooperation pursuant to articles 16 to 19 of the Convention. 



Multilateral / Environment and Natural Resources 219 



Articles 
Non-eligibility for financial assistance 

In implementing national, subregional, regionzd and joint action programmes, affected developed country 
Parties of the region are not eligible to receive financial assistance under this Convention. 

Article 10 
Coordination with other subregions and regions 

Subregional, regional and joint action programmes in the northern Mediterranean region may be prepeired 
and implemented in collaboration with those of other subregions or regions, particularly with those of the subregion 
of northern Africa. 



Agreement Relating to the 
Implementation of Part XI of the United 

Nations Convention on the Law of the 
Sea of 10 December 1982, New York, 1994 



Done at New York 28 July 1994 

Entered into force 28 July 1996* 

Depositary: United Nations 

Primary source citation: United Nations Certified 
True Copy XX.6(a) 



AGREEMENT RELATING TO THE IMPLEMENTATION OF PART XI 

OF THE UNITED NATIONS CONVENTION ON THE LAW OF THE 

SEA OF 10 DECEMBER 1982 

The States Parties to this Agreement , 

Recognizing the important contribution of the United Nations Convention on the Law of the Sea of 10 December 
1982 (hereinafter referred to as "the Convention") to the maintenance of peace, justice and progress for all peoples of 
the world. 

Reaffirming that the seabed and ocean floor and subsoil thereof, beyond the Umits of national jurisdiction 
(hereinafter referred to as "the Area"), as well as the resources of the Area, are the common heritage of mankind, 

Mindful of the importance of the Convention for the protection and preservation of the marine environment 
and of the growing concern for the global environment, 

Having considered the report of the Secretary-General of the United Nations on the results of the informed 
consultations among States held from 1990 to 1994 on outstanding issues relating to Part XI and related provisions 
of the Convention (hereinafter referred to as "Part XI"), 

Noting the poUtical and economic changes, including market-oriented approaches, affecting the implementa- 
tion of Part XI, 

Wishing to faciUtate universal participation in the Convention, 

Considering that an agreement relating to the implementation of Part XI would best meet that objective. 

Have agreed as follows: 



This Agreement is not in force for the United States. 



220 



Multilateral / Environment and Natural Resources 221 

Article 1 
Implementation of Part XI 

1. The States Parties to this Agreement undertake to implement Part XI in accordance with this Agreement. 

2. The Annex forms an integral part of this Agreement. 

Article 2 
Relationship between this Agreement and Part XT 

1. The provisions of this Agreement and Part XI shall be interpreted and appUed together as a single instrument. 
In the event of any inconsistency between this Agreement and Part XI, the provisions of this Agreement shall prevail. 

2. Articles 309 to 319 of the Convention shall apply to this Agreement as they apply to the Convention. 

Article 3 
Signature 

This Agreement shall remain open for signature at United Nations Headquarters by the States and entities 
referred to in article 305, paragraph 1 (a), (c), (d), (e) and (f), of the Convention for 12 months from the date of its 
adoption. 

Article 4 
Consent to be bound 

1. After the adoption of this Agreement, any instrument of ratification or formal confirmation of or accession to 
the Convention shall also represent consent to be bound by this Agreement. 

2. No State or entity may estabUsh its consent to be bound by this Agreement unless it has previously established 
or estabhshes at the same time its consent to be bound by the Convention. 

3. A State or entity referred to in article 3 may express its consent to be bound by this Agreement by: 

(a) Signature not subject to ratification, formal confirmation or the procedure set out in article 5; 

(b) Signature subject to ratification or formed confirmation, followed by ratification or formal confirmation; 

(c) Signature subject to the procedure set out in article 5; or 

(d) Accession. 

4. Formal confirmation by the entities referred to in article 305, paragraph 1 (f), of the Convention shall be in 
accordance with Annex DC of the Convention. 

5. The instruments of ratification, formal confirmation or accession shall be deposited with the Secretary-General 
of the United Nations. 



222 The Marine Mammal Commission Compendium 



Article 5 
Simplified procedure 

1. A State or entity which has deposited before the date of the adoption of this Agreement an instrument of 
ratification or formal confirmation of or accession to the Convention and which has signed this Agreement in 
accordance with article 4, paragraph 3 (c), shall be considered to have estabUshed its consent to be bound by this 
Agreement 12 months after the date of its adoption, unless that State or entity notifies the depositary in writing 
before that date that it is not availing itself of the simplified procedure set out in this article. 

2. In the event of such notification, consent to be bound by this Agreement shall be established in accordance 
with article 4, paragraph 3 (b). 



Article 6 
Entry into force 

1. This Agreement shall enter into force 30 days after the date on which 40 States have established their consent 
to be bound in accordance with articles 4 and 5, provided that such States include at least seven of the States referred 
to in paragraph 1(a) of resolution II of the Third United Nations Conference on the Law of the Sea (hereinafter referred 
to as "resolution II") and that at least five of those States are developed States. If these conditions for entry into force 
are fulfilled before 16 November 1994, this Agreement shall enter into force on 16 November 1994. 

2. For each State or entity establishing its consent to be bound by this Agreement after the requirements set out 
in p£iragraph 1 have been fiilfilled, this Agreement shall enter into force on the thirtieth day following the date of 
establishment of its consent to be bound. 



Article 7 
Provisional application 

1. If on 16 November 1994 this Agreement has not entered into force, it shall be applied provisionally pending 
its entry into force by: 

(a) States which have consented to its adoption in the General Assembly of the United Nations, except any 
such State which before 16 November 1994 notifies the depositary in writing either that it will not so apply this 
Agreement or that it will consent to such application only upon subsequent signature or notification in vmting; 

(b) States and entities which sign this Agreement, except any such State or entity which notifies the 
depositary in writing at the time of signature that it will not so apply this Agreement; 

(c) States and entities which consent to its provisional application by so notifying the depositary in writing; 

(d) States which accede to this Agreement. 

2. All such States and entities shall apply this Agreement provisionally in accordance with their national or 
internal laws and regulations, with effect fhjm 16 November 1994 or the date of signature, notification of consent or 
accession, if later. 

3. Provisional application shall terminate upon the date of entry into force of this Agreement. In any event, 
provisional application shall terminate on 16 November 1998 if at that date the requirement in article 6, paragraph 
1, of consent to be bound by this Agreement by at least seven of the States (of which at least five must be developed 
States) referred to in paragraph 1 (a) of resolution II has not been fulfilled. 



Multilateral / Environment and Natural Resources 223 



Article 8 
States Parties 

1. For the purposes of this Agreement, "States Parties" means States which have consented to be bound by this 
Agreement and for which this Agreement is in force. 

2. This Agreement apphes mutatis mutandis to the entities referred to in aiticle 305, paragraph 1 (c), (d), (e) and 
(f), of the Convention which become Parties to this Agreement in accordance with the conditions relevant to each, 
and to that extent "States PEuties" refers to those entities. 



Article 9 
Depositary 

The Secretary-General of the United Nations shall be the depositary of this Agreement. 

Article 10 
Authentic texts 

The original of this Agreement, of which the Arabic, Chinese, EngUsh, French, Russian and Spanish texts are 
equally authentic, shall be deposited with the Secret£u-y-General of the United Nations. 

IN WITNESS WHEREOF, the undersigned Plenipotentiaries, being duly authorized thereto, have signed this 
Agreement. 

DONE AT NEW YORK, this 28 day of July, one thousand nine hundred and ninety-four. 

ANNEX 



SECTION 1. COSTS TO STATES PARTIES AND 
INSTITUTIONAL ARRANGEMENTS 

1. The International Seabed Authority (hereinafter referred to as "the Authority") is the organization through 
which States Parties to the Convention shall, in accordance with the regime for the Area established in Part XI and 
this Agreement, organize and control activities in the Area, particularly with a view to administering the resources 
of the Area. The powers and functions of the Authority shall be those expressly conferred upon it by the Convention. 
The Authority shall have such incidental powers, consistent with the Convention, as are impUcit in, and necessary 
for, the exercise of those powers and functions with respect to activities in the Area. 

2. In order to minimize costs to States Parties, all orgEins and subsidisuy bodies to be established under the 
Convention and this Agreement shall be cost-effective. This principle shall also apply to the frequency, duration and 
scheduling of meetings. 

3. The setting up and the functioning of the organs and subsidiary bodies of the Authority shall be based on an 
evolutionary approach, taking into account the functional needs of the organs and subsidiary bodies concerned in 
order that they may discharge efiiectively their respective responsibilities at various stages of the development of 
activities in the Area. 



224 The Marine Mammal Commission Compendium 



4. The early functions of the Authority upon entry into force of the Convention shall be carried out by the Assembly, 
the Council, the Secretariat, the Legal and Ttechnical Commission and the Finance Committee. The functions of the 
Economic Planning Commission shall be performed by the Legal and Tfechnical Commission until such time as the 
Council decides otherwise or until the approval of the first plan of work for exploitation. 

5. Between the entry into force of the Convention and the approvsd of the first plan of work for exploitation, the 
Authority shall concentrate on: 

(a) Processing of appUcations for approval of plans of work for exploration in accordance with Part XI and 
this Agreement; 

(b) Implementation of decisions of the Preparatory Commission for the International Seabed Authority and 
for the International Tribunal for the Law of the Sea (hereinafter referred to as "the Preparatory Commission") 
relating to the registered pioneer investors and their certifying States, including their rights and obligations, in 
accordance with article 308, paragraph 5, of the Convention and resolution II, paragraph 13; 

(c) Monitoring of compUance with plans of work for exploration approved in the form of contracts; 

(d) Monitoring and review of trends and developments relating to deep seabed mining activities, including 
regular analysis of world metal market conditions and metal prices, trends and prospects; 

(e) Study of the potential impact of mineral production from the Area on the economies of developing 
land-based producers of those minerals which are likely to be most seriously affected, with a view to minimizing their 
difficulties and assisting them in their economic ac^ustment, taking into account the work done in this reg£U"d by the 
Preparatory Commission; 

(f) Adoption of rules, regulations and procedures necessary for the conduct of activities in the Area as they 
progress. Notwithstanding the provisions of Annex III, article 17, paragraph 2 (b) and (c), of the Convention, such 
rules, regulations and procedures shsJl take into account the terms of this Agreement, the prolonged delay in 
commercial deep seabed mining and the likely pace of activities in the Area; 

(g) Adoption of rules, regulations and procedures incorporating applicable standards for the protection and 
preservation of the marine environment; 

(h) Promotion and encouragement of the conduct of marine scientific research with respect to activities in 
the Area and the collection and dissemination of the results of such research and analysis, when available, wdth 
particular emphasis on research related to the environmental impact of activities in the Area; 

(i) Acquisition of scientific knowledge and monitoring of the development of msirine technology relevant to 
activities in the Area, in psulicular technology relating to the protection and preservation of the marine environment; 

(j) Assessment of available data relating to prospecting and exploration; 

(k) Timely elaboration of rules, regulations and procedures for exploitation, including those relating to the 
protection and preservation of the marine environment. 

6. (a) An application for approval of a plan of work for exploration shall be considered by the Council following 
the receipt of a recommendation on the appUcation from the Legal and Technical Commission. The processing of an 
application for approval of a plan of work for exploration shall be in accordance with the provisions of the Convention, 
including Annex III thereof, and this Agreement, and subject to the following: 

(i) A plan of work for exploration submitted on behalf of a State or entity, or any component of such entity, 
referred to in resolution II, p£u-agraph 1 (a) (ii) or (iii), other than a registered pioneer investor, which 
had already undertaken substantial activities in the Area prior to the entry into force of the Convention, 
or its successor in interest, shall be considered to have met the financial and technical qualifications 
necessary for approval of a plan of work if the sponsoring State or States certify that the applicant has 
expended an amount equivalent to at least US$ 30 milhon in research and exploration activities and 
has expended no less than 10 per cent of that amount in the location, survey and evaluation of the area 
referred to in the plan of work. If the plan of work otherwise satisfies the reqviirements of the Convention 



Multilateral / Environment and Natural Resources 225 



and any rules, regulations and procedures adopted pursuant thereto, it shall be approved by the Council 
in the form of a contract. The provisions of section 3, paragraph 11, of this Annex shall be interpreted 
and appUed accordingly; 

(ii) Notwithstanding the provisions of resolution II, paragraph 8 (a), a registered pioneer investor may 
request approval of a plsin of work for exploration within 36 months of the entry into force of the 
Convention. The plan of work for exploration shall consist of documents, reports and other data 
submitted to the Preparatory Commission both before and after registration and shall be accompanied 
by a certificate of comphance, consisting of a factual report describing the status of fulfillment of 
obligations under the pioneer investor regime, issued by the Preparatory Commission in accordance 
with resolution II, paragraph 11 (a). Such a plan of work shall be considered to be approved. Such an 
approved plan of work shall be in the form of a contract concluded between the Authority and the 
registered pioneer investor in accordance with Part XI and this Agreement. The fee of US$ 250,000 paid 
pursuant to resolution II, paragraph 7 (a), shall be deemed to be the fee relating to the exploration phase 
pursuant to section 8, paragraph 3, of this Annex. Section 3, paragraph 11, of this Annex shall be 
interpreted and apphed accordingly; 

(iii) In accordance with the principle of non-discrimination, a contract with a State or entity or any 
component of such entity referred to in subparagraph (a) (i) shall include arrangements which shall be 
similar to and no less favourable than those agreed with any registered pioneer investor referred to in 
subparagraph (a) (ii). If any of the States or entities or any components of such entities referred to in 
subparagraph (a) (i) are granted more favourable arrangements, the Council shall make similar and no 
less favourable arrangements with regard to the rights and obligations assumed by the registered 
pioneer investors referred to in subparagraph (a) (ii), provided that such arrangements do not affect or 
prejudice the interests of the Authority; 

(iv) A State sponsoring an application for a plan of work pursuant to the provisions of subparagraph (a) (i) 
or (ii) may be a State Party or a State which is applying this Agreement provisionally in accordance with 
article 7, or a State which is a member of the Authority on a provisional basis in accordance with 
paragraph 12; 

(v) Resolution II, paragraph 8 (c), shall be interpreted and applied in accordance with subparagraph (a) 

(iv). 

(b) The approval of a plan of work for exploration shall be in accordance with article 153, paragraph 3, of 
the Convention. 

7. An appUcation for approval of a plan of work shall be accompanied by sin assessment of the potential 
environmental impacts of the proposed activities and by a description of a programme for oceanographic and baseline 
environmental studies in accordance with the rules, regulations and procedures adopted by the Authority. 

8. An appUcation for approval of a plan of work for exploration, subject to paragraph 6 (a) (i) or (ii), shall be 
processed in accordance with the procedures set out in section 3, paragraph 11, of this Annex. 

9. A pl£in of work for exploration shall be approved for a period of 15 years. Upon the expiration of a plan of work 
for exploration, the contractor shzQl apply for a plan of work for exploitation vmless the contractor has already done 
so or has obtained an extension for the plan of work for exploration. Contractors may apply for such extensions for 
periods of not more than five years each. Such extensions shall be approved if the contractor has made efforts in good 
faith to comply with the requirements of the plan of work but for reasons beyond the contractor's control has been 
unable to complete the necessary preparatory work for proceeding to the exploitation stage or if the prevaihng 
economic circumstances do not justify proceeding to the exploitation stage. 

10. Designation of a reserved area for the Authority in accordance with Annex III, article 8, of the Convention shall 
take place in connection with approval of an appUcation for a plan of work for exploration or approval of an appUcation 
for a plan of work for exploration and exploitation. 

11. Notwithstanding the provisions of paragraph 9, an approved plsin of work for exploration which is sponsored 
by at least one State provisionally applying this Agreement shall terminate if such a State ceases to apply this 



226 The Marine Mammal Commission Compendium 



Agreement provisionally and has not become a member on a provisional basis in accordance with paragraph 12 or 
has not become a State Party. 

12. Upon the entry into force of this Agreement, States and entities referred to in article 3 of this Agreement which 
have been applying it provisionally in accordance with article 7 and for which it is not in force may continue to be 
members of the Authority on a provisional bfisis pending its entry into force for such States and entities, in accordance 
with the following subparagraphs: 

(a) If this Agreement enters into force before 16 November 1996, such States and entities shall be entitled 
to continue to participate as members of the Authority on a provisional basis upon notification to the depositary of 
the Agreement by such a State or entity of its intention to participate as a member on a provisional basis. Such 
membership shall terminate either on 16 November 1996 or upon the entry into force of this Agreement and the 
Convention for such member, whichever is earlier. The Council may, upon the request of the State or entity concerned, 
extend such membership beyond 16 November 1996 for a further period or periods not exceeding a total of two years 
provided that the Council is satisfied that the State or entity concerned has been making efforts in good faith to 
become a party to the Agreement and the Convention; 

(b) If this Agreement enters into force after 15 November 1996, such States and entities may request the 
Council to grant continued membership in the Authority on a provisional basis for a period or periods not extending 
beyond 16 November 1998. The Council shall grant such membership with effect fiom the date of the request if it is 
satisfied that the State or entity has been making efforts in good faith to become a party to the Agreement and the 
Convention; 

(c) States and entities which are members of the Authority on a provisional basis in accordance with 
subparagraph (a) or (b) shall apply the terms of Part XI and this Agreement in accordance with their national or 
internal laws, regulations and annual budgetary appropriations and shall have the same rights and obligations as 
other members, including: 

(i) The obligation to contribute to the administrative budget of the Authority in accordance with the scale 
of assessed contributions; 

(ii) The right to sponsor an application for approval of a plan of work for exploration. In the case of entities 
whose components are natural or juridical persons possessing the nationality of more than one State, a 
plan of work for exploration shall not be approved unless all the States whose natural or juridical persons 
comprise those entities are States Psirties or members on a provisional basis; 

(d) Notwithstanding the provisions of paragraph 9, an approved plan of work in the form of a contract for 
exploration which was sponsored pursuant to subparagraph (c) (ii) by a State which was a member on a provisional 
basis shall terminate if such membership ceases and the State or entity has not become a State Party; 

(e) If such a member has failed to make its assessed contributions or otherwise failed to comply with its 
obligations in accordance with this paragraph, its membership on a provisional basis shall be terminated. 

13. The reference in Annex III, article 10, of the Convention to performance which has not been satisfactory shall 
be interpreted to mean that the contractor has failed to comply with the requirements of an approved plan of work 
in spite of a written warning or wsu-nings fit)m the Authority to the contractor to comply therewith. 

14. The Authority shaU have its own budget. Until the end of the year following the year during which this 
Agreement enters into force, the administrative expenses of the Authority shall be met through the budget of the 
United Nations. Thereafter, the administrative expenses of the Authority shall be met by assessed contributions of 
its members, including any members on a provisional basis, in accordance with articles 171, subparagraph (a), and 
173 of the Convention and this Agreement, until the Authority has sufficient funds fit)m other sources to meet those 
expenses. The Authority shall not exercise the power referred to in article 174, paragraph 1, of the Convention to 
borrow funds to finance its administrative budget. 

15. The Authority shfill elaborate and adopt, in accordance with firticle 162, paragraph 2 (o) (ii), of the Convention, 
rules, regulations and procedures based on the principles contained in sections 2, 5, 6, 7 and 8 of this Annex, as well 
as any additional rules, regulations £ind procedures necessary to facUitate the approval of plans of work for exploration 
or exploitation, in accordance with the following subparagraphs: 



Multilateral / Environment and Natural Resources 227 



(a) The Council may iindertake such elaboration any time it deems that aU or any of such rules, regulations 
or procedures are required for the conduct of activities in the Area, or when it determines that commercial exploitation 
is imminent, or at the request of a State whose national intends to apply for approval of a plan of work for exploitation; 

(b) If a request is made by a State referred to in subparagraph (a) the Council shall, in accordance with 
article 162, paragraph 2 (o), of the Convention, complete the adoption of such rules, regulations and procedures within 
two years of the request; 

(c) If the Covmcil has not completed the elaboration of the rules, regulations and procedures relating to 
exploitation within the prescribed time and an application for approval of a plan of work for exploitation is pending, 
it shall none the less consider and provisionally approve such plan of work based on the provisions of the Convention 
and any rules, regulations and procedures that the Council may have adopted provisionally, or on the basis of the 
norms contained in the Convention and the terms and principles contained in this Annex as well as the principle of 
non-discrimination among contractors. 

16. The draft rules, regulations and procedures and any recommendations relating to the provisions of Part XI, as 
contained in the reports and recommendations of the Preparatory Commission, shall be taken into account by the 
Authority in the adoption of rules, regulations and procedures in accordance with Part XI and this Agreement. 

17. The relevant provisions of Part XI, section 4, of the Convention shall be interpreted and applied in accordance 
with this Agreement. 



SECTION 2. THE ENTERPRISE 

1. The Secretariat of the Authority shall perform the functions of the Enterprise until it begins to operate 
independently of the Secretariat. The Secretary-General of the Authority shall appoint from within the staff of the 
Authority an interim Director-General to oversee the performance of these fimctions by the Secretariat. 

These functions shall be: 

(a) Monitoring and review of trends and developments relating to deep seabed mining activities, including 
regular analysis of world metal market conditions and metal prices, trends and prospects; 

(b) Assessment of the results of the conduct of marine scientific research with respect to activities in the 
Area, with particular emphasis on research related to the environmental impact of activities in the Area; 

(c) Assessment of available data relating to prospecting eind exploration, Including the criteria for such 
activities; 

(d) Assessment of technological developments relevant to activities in the Area, in psirticular technology 
relating to the protection and preservation of the marine environment; 

(e) Evaluation of information and data relating to areas reserved for the Authority; 

(f) Assessmentof approaches to joint- venture operations; 

(g) Collection of information on the availability of trained msuipower; 

(h) Study of managerial policy options for the administration of the Enterprise at different stages of its 
operations. 

2. The Enterprise shaU conduct its initial deep seabed mining operations through joint ventures. Upon the 
approval of a plan of work for exploitation for an entity other than the Enterprise, or upon receipt by the Council of 
an application for a joint-venture operation with the Enterprise, the Council shall take up the issue of the functioning 
of the Enterprise independently of the Secretariat of the Authority. If joint- venture operations with the Enterprise 
accord with sound commercial principles, the Council shall issue a directive pursuant to article 170, paragraph 2, of 
the Convention providing for such independent functioning. 



228 The Marine Mammal Commission Compendium 



3. The obligation of States Parties to fund one mine site of the Enterprise as provided for in Annex FV, article 11, 
paragraph 3, of the Convention shall not apply and States Parties shall be under no obligation to finance any of the 
operations in any mine site of the Enterprise or under its joint- venture arrangements. 

4. The obligations appUcable to contractors shall apply to the Enterprise. Notwithstanding the provisions of 
article 153, paragraph 3, and Annex III, article 3, paragraph 5, of the Convention, a plan of work for the Enterprise 
upon its approval shall be in the form of a contract concluded between the Authority and the Enterprise. 

5. A contractor which has contributed a particular area to the Authority as a reserved £irea has the right of first 
refiisal to enter into a joint-venture arrangement with the Enterprise for exploration and exploitation of that Jirea. 
If the Enterprise does not submit an application for a plan of work for activities in respect of such a reserved area 
within 15 years of the commencement of its functions independent of the Secretariat of the Authority or within 15 
years of the date on which that area is reserved for the Authority, whichever is the later, the contractor which 
contributed the area shall be entitled to apply for a plan of work for that area provided it offers in good faith to include 
the Enterprise as a joint-venture partner. 

6. Article 170, paragraph 4, Annex IV and other provisions of the Convention relating to the Enterprise shall be 
interpreted and appUed in accordance with this section. 



SECTIONS. DECISION-MAKING 

1. The general poUcies of the Authority shall be established by the Assembly in collaboration with the Council. 

2. As a general rule, decision-making in the organs of the Authority should be by consensus. 

3. If all efforts to reach a decision by consensus have been exhausted, decisions by voting in the Assembly on 
questions of procedure shall be taken by a majority of members present and voting, and decisions on questions of 
substance shall be taken by a two-thirds majority of members present and voting, as provided for in article 159, 
paragraph 8, of the Convention. 

4. Decisions of the Assembly on any matter for which the Council also has competence or on any administrative, 
budgetary or financial matter shall be based on the recommendations of the Council. If the Assembly does not accept 
the recommendation of the Council on any matter, it shall return the matter to the Council for further consideration. 
The Council shall reconsider the matter in the light of the views expressed by the Assembly. 

5. If all efforts to reach a decision by consensus have been exhausted, decisions by voting in the Council on 
questions of procedure shall be taken by a majority of members present and voting, and decisions on questions of 
substance, except where the Convention provides for decisions by consensus in the Council, shall be taken by a 
two-thirds majority of members present and voting, provided that such decisions zire not opposed by a majority in 
any one of the chambers referred to in paragraph 9. In taking decisions the Council shall seek to promote the interests 
of all the members of the Authority. 

6. The Council may defer the taking of a decision in order to facilitate further negotiation whenever it appears 
that all efforts at achieving consensus on a question have not been exhausted. 

7. Decisions by the Assembly or the Council having financial or budgetary implications shall be based on the 
recommendations of the Finance Committee. 

8. The provisions of article 161, paragraph 8 (b) and (c), of the Convention shall not apply. 

9. (a) Each group of States elected under paragraph 15 (a) to (c) shall be treated as a chamber for the purposes 
of voting in the Council. The developing States elected vmder paragraph 15 (d) and (e) shall be treated as a single 
chamber for the purposes of voting in the Council. 

(b) Before electing the members of the Council, the Assembly shall establish lists of countries fulfilling the 
criteria for membership in the groups of States in paragraph 15 (a) to (d). If a State fulfils the criteria for membership 



Multilateral / Environment and Natural Resources 229 



in more than one group, it may only be proposed by one group for election to the Council and it shall represent only 
that group in voting in the Council. 

10. Each group of States in paragraph 15 (a) to (d) shall be represented in the Council by those members nominated 
by that group. Each group shall nominate only as many candidates as the number of seats required to be filled by 
that group. When the number of potential candidates in each of the groups referred to in paragraph 15 (a) to (e) 
exceeds the number of seats available in each of those respective groups, as a general rule, the principle of rotation 
shall apply. States members of each of those groups shall determine how this principle shall apply in those groups. 

11. (a) The Council shall approve a recommendation by the Legal and Technical Commission for approval of a 
plan of work unless by a two-thirds majority of its members present and voting, including a majority of members 
present and voting in each of the chambers of the Council, the Council decides to disapprove a plan of work. If the 
Council does not take a decision on a recommendation for approval of a plan of work within a prescribed period, the 
recommendation shall be deemed to have been approved by the Council at the end of that period. The prescribed 
period shall normally be 60 days unless the Council decides to provide for a longer period. If the Comcmission 
recommends the disapproval of a plan of work or does not make a recommendation, the Council may nevertheless 
approve the plan of work in accordance with its rules of procedure for decision-making on questions of substance. 

(b) The provisions of article 162, paragraph 2 (j), of the Convention shall not apply. 

12. Where a dispute arises relating to the disapproval of a plan of work, such dispute shall be submitted to the 
dispute settlement procedures set out in the Convention. 

13. Decisions by voting in the Legal and Ifechnical Commission shall be by a majority of members present and 
voting. 

14. Part XI, section 4, subsections B and C, of the Convention shall be interpreted and appUed in accordance with 
this section. 

15. The Council shall consist of 36 members of the Authority elected by the Assembly in the following order: 

(a) Four members from among those States Parties which, during the last five years for which statistics 
are available, have either consumed more than 2 per cent in value terms of total world consumption or have had net 
imports of more than 2 per cent in value terms of total world imports of the commodities produced fi-om the categories 
of minerals to be derived from the Area, provided that the four members shall include one State fi-om the Eastern 
European region having the Isirgest economy in that region in terms of gross domestic product and the State, on the 
date of entry into force of the Convention, having the largest economy in terms of gross domestic product, if such 
States wish to be represented in this group; 

(b) Four members fi-om among the eight States Parties which have made the largest investments in 
preparation for and in the conduct of activities in the Area, either directly or through their nationals; 

(c) Four members from among States Parties which, on the basis of production in areas under their 
jurisdiction, are major net exporters of the categories of minerals to be derived firom the Area, including at least two 
developing States whose exports of such minerals have a substantial bearing upon their economies; 

(d) Six members fi-om among developing States Parties, representing special interests. The special interests 
to be represented shall include those of States with large populations. States which are land-locked or geographically 
disadvantaged, island States, States which Jire major importers of the categories of minerals to be derived fi-om the 
Area, States which are potential producers of such minerals and least developed States; 

(e) Eighteen members elected according to the principle of ensuring an equitable geographical distribution 
of seats in the Council as a whole, provided that each geographical region shall have at lejist one member elected 
under this subparagraph. For this purpose, the geographical regions shall be AfHca, Asia, Eastern Europe, Latin 
America and the Caribbean and Western Europe and Others. 

16. The provisions of article 161, paragraph 1, of the Convention shall not apply. 



230 The Marine Mammal Commission Compendium 



SECTION 4. REVIEW CONFERENCE 

The provisions relating to the Review Conference in article 155, paragraphs 1, 3 and 4, of the Convention shall 
not apply. Notwithstanding the provisions of article 314, paragraph 2, of the Convention, the Assembly, on the 
recommendation of the Council, may imdertake at any time a review of the matters referred to in article 155, 
paragraph 1, of the Convention. Amendments relating to this Agreement and Part XI shall be subject to the proced- 
ures contained in articles 314, 315 and 316 of the Convention, provided that the principles, regime and other terms 
referred to in article 155, paragraph 2, of the Convention shall be maintained and the rights referred to in paragraph 
5 of that article shall not be affected. 



SECTIONS. TRANSFER OF TECHNOLOGY 

1. In addition to the provisions of article 144 of the Convention, transfer of technology for the purposes of Part 
XI shall be governed by the following principles: 

(a) The Enterprise, £ind developing States wishing to obtain deep seabed mining technology, shall seek to 
obtain such technology on fair and reasonable commercial terms and conditions on the open market, or through 
joint-venture arrangements; 

(b) If the Enterprise or developing States are unable to obtain deep seabed mining technology, the Authority 
may request all or any of the contractors and their respective sponsoring State or States to cooperate with it in 
facilitating the acquisition of deep seabed mining technology by the Enterprise or its joint venture, or by a developing 
State or States seeking to acquire such technology on fair and reasonable commercial terms and conditions, consistent 
with the effective protection of intellectual property rights. States Pfirties undertake to cooperate fiiUy and effectively 
with the Authority for this purpose and to ensvu-e that contractors sponsored by them also cooperate fiilly with the 
Authority; 

(c) As a general rule. States Parties shall promote international technical and scientific cooperation with 
regard to activities in the Area either between the parties concerned or by developing training, technical assistance 
Eind scientific cooperation programmes in marine science and technology and the protection and preservation of the 
marine environment. 

2. The provisions of Annex III, articles, of the Convention shall not apply. 



SECTION 6. PRODUCTION POUCY 

1. The production policy of the Authority shall be based on the following principles. 

(a) Development of the resources of the Area shall take place in accordance with sound commercial 
principles; 

(b) The provisions of the General Agreement on Tariffs and Trade, its relevant codes and successor or 
superseding agreements shall apply with respect to activities in the Area; 

(c) In particular, there shall be no subsidization of activities in the Area except as may be permitted under 
the agreements referred to in subparagraph (b). Subsidization for the purpose of these principles shall be defined in 
terms of the agreements referred to in subparagraph (b); 

(d) There shall be no discrimination between minerals derived from the Area and from other sources. There 
shall be no preferential access to markets for such minerals or for imports of commodities produced from such 
minerals, in particular: 

(i) By the use of tariff or non- tariff bsuriers; and 



Multilateral / Environment and Natural Resources 231 



(ii) Given by States Parties to such minerals or commodities produced by their state enterprises or by 
natiual or juridical persons which possess their nationality or are controlled by them or their nationals; 

(e) The plan of work for exploitation approved by the Authority in respect of each mining area shall indicate 
an anticipated production schedule which shall include the estimated maximum amounts of minerals that would be 
produced per year under the plan of work; 

(f) The following shall apply to the settlement of disputes concerning the provisions of the agreements 
referred to in subparagraph (b): 

(i) Where the States Parties concerned are parties to such agreements, they shall have recourse to the 
dispute settlement procedures of those agreements; 

(ii) Where one or more of the States Parties concerned are not parties to such agreements, they shall have 
recourse to the dispute settlement procedures set out in the Convention; 

(g) In circumstances where a determination is made under the agreements referred to in subparagraph (b) 
that a State Party has engaged in subsidization which is prohibited or has resulted in adverse effects on the interests 
of another State Party and appropriate steps have not been taken by the relevant State Party or States Parties, a 
State Party may request the Council to take appropriate measures. 

2. The principles contained in paragraph 1 shall not affect the rights and obligations under any provision of the 
agreements referred to in paragraph 1 (b), as well as the relevant fi«e trade and customs union agreements, in 
relations between States Parties which are parties to such agreements. 

3. The acceptance by a contractor of subsidies other than those which may be permitted under the agreements 
referred to in paragraph 1 (b) shall constitute a violation of the fundamental terms of the contract forming a plan of 
work for the carrying out of activities in the Area. 

4. Any State Party which has reason to beUeve that there has been a breach of the requirements of psiragraphs 
1(b) to (d) or 3 may initiate dispute settlement procedtires in conformity with paragraph 1 (f) or (g). 

5. A State Party may at any time bring to the attention of the Coimcil activities which in its view are inconsistent 
with the requirements of paragraph 1 (b) to (d). 

6. The Authority shall develop rules, regulations £ind procedures which ensure the implementation of the 
provisions of this section, including relevant rules, regulations and procedures governing the approval of plans of 
work. 

7. The provisions of article 151, paragraphs 1 to 7 and 9, article 162, paragraph 2 (q), article 165, paragraph 2 
(n), and Annex III, article 6, paragraph 5, and article 7, of the Convention shall not apply. 



SECTION 7. ECONOMIC ASSISTANCE 

1. The policy of the Authority of assisting developing covmtries which suffer serious adverse effects on their export 
earnings or economies resulting from a reduction in the price of an affected mineral or in the volume of exports of 
that mineral, to the extent that such reduction is caused by activities in the Area, shall be based on the following 
principles: 

(a) The Authority shall establish an economic assistance fund from a portion of the funds of the Authority 
which exceeds those necessary to cover the administrative expenses of the Authority. The amount set aside for this 
purpose shall be determined by the Council from time to time, upon the recommendation of the Finance Committee. 
Only funds from payments received from contractors, including the Enterprise, and voluntary contributions shall be 
used for the estabUshment of the economic assistance fund; 



232 The Marine Mammal Commission Compendium 



(b) Developing land-based producer States whose economies have been determined to be seriously affected 
by the production of minerals from the deep seabed shall be assisted from the economic assistance fund of the 
Authority; 

(c) The Authority shall provide assistance from the fund to affected developing land-based producer States, 
where appropriate, in cooperation with existing global or regional development institutions which have the infra- 
structure and expertise to carry out such assistance programmes; 

(d) The extent and period of such assistance shall be determined on a case-by-case basis. In doing so, due 
consideration shall be given to the nature and magnitude of the problems encountered by affected developing 
land-based producer States. 

2. Article 151, paragraph 10, of the Convention shall be implemented by means of measures of economic 
assistance referred to in paragraph 1. Article 160, paragraph 2(1), article 162, paragraph 2 (n), article 164, paragraph 
2 (d), article 171, subparagraph (f), and article 173, paragraph 2 (c), of the Convention shall be interpreted accordingly. 



SECTION 8. FINANCIAL TERMS OF CONTRACTS 

1. The following principles shall provide the basis for estabUshing rules, regulations and procedures for financial 
terms of contracts: 

(a) The system of payments to the Authority shall be fair both to the contractor and to the Authority and 
shall provide adequate means of determining compUance by the contractor with such system; 

(b) The rates of payments under the system shall be within the range of those prevailing in respect of 
land-based mining of the same or similar minersda in order to avoid giving deep seabed miners an artificial competitive 
advantage or imposing on them a competitive disadvantage; 

(c) The system should not be complicated and should not impose major administrative costs on the Authority 
or on a contractor. Consideration should be given to the adoption of a royalty system or a combination of a royalty 
and profit-sharing system. If alternative systems are decided upon, the contractor has the right to choose the system 
applicable to its contract. Any subsequent change in choice between alternative systems, however, shall be made by 
agreement between the Authority and the contractor; 

(d) An annual fixed fee shall be payable from the date of commencement of commercial production. This fee 
may be credited against other payments due under the system adopted in accordance with subparagraph (c). The 
amount of the fee shall be estabhshed by the CovmcU; 

(e) The system of payments may be revised periodically in the Ught of changing circumstances. Any changes 
shall be applied in a non-discriminatory manner. Such changes may apply to existing contracts only at the election 
of the contractor. Any subsequent ch3inge in choice between alternative systems shall be made by agreement between 
the Authority and the contractor; 

(0 Disputes concerning the interpretation or appUcation of the rules and regulations based on these 
principles shall be subject to the dispute settlement procediwes set out in the Convention. 

2. The provisions of Annex III, article 13, paragraphs 3 to 10, of the Convention shall not apply. 

3. With regard to the implementation of Annex III, article 13, paragraph 2, of the Convention, the fee for 
processing applications for approval of a plan of work limited to one phase, either the exploration phase or the 
exploitation phase, shall be US$ 250,000. 



Multilateral / Environment and Natural Resources 233 



SECTIONS. THE FINANCE COMMITTEE 

1. There is hereby established a Finance Committee. The Committee shall be composed of 15 members with 
appropriate qualifications relevant to financial matters. States Parties shall nominate candidates of the highest 
standards of competence and integrity. 

2. No two members of the Finance Committee shall be nationals of the same State Party. 

3. Members of the Finance Committee shall be elected by the Assembly and due account shall be taken of the 
need for equitable geographical distribution and the representation of special interests. Each group of States referred 
to in section 3, paragraph 15 (a), (b), (c) and (d), of this Annex shall be represented on the Committee by at least one 
member. UntU the Authority has sufficient fimds other than assessed contributions to meet its administrative 
expenses, the membership of the Committee shall include representatives of the five largest financial contributors 
to the administrative budget of the Authority. Thereafter, the election of one member fi-om each group shall be on the 
basis of nomination by the members of the respective group, without prejudice to the possibihty of fiirther members 
being elected fi-om each group. 

4. Members of the Finance Committee shall hold office for a term of five years. They shall be ehgible for re-election 
for a further term. 

5. In the event of the death, incapacity or resignation of a member of the Finance Committee prior to the expiration 
of the term of office, the Assembly shall elect for the remainder of the term a member fi-om the same geographical 
region or group of States. 

6. Members of the Finance Committee shall have no financial interest in any activity relating to matters upon 
which the Committee has the responsibUity to make recommendations. They shall not disclose, even after the 
termination of their functions, any confidential information coming to their knowledge by reason of their duties for 
the Authority. 

7. Decisions by the Assembly and the Council on the following issues shall take into accoiuit recommendations 
of the Finance Committee: 

(a) Draft financial rules, regulations and procedures of the organs of the Authority and the financial 
management and internal financial administration of the Authority; 

(b) Assessment of contributions of members to the administrative budget of the Authority in accordance 
with article 160, paragraph 2 (e), of the Convention; 

(c) All relevant financial matters, including the proposed annual budget prepared by the Secretary-General 
of the Authority in accordance with article 172 of the Convention and the financial aspects of the implementation of 
the programmes of work of the Secretariat; 

(d) The administrative budget; 

(e) Finaincial obligations of States Parties arising fi-om the implementation of this Agreement and Part XI 
as well as the administrative and budgetary implications of proposals and recommendations involving expenditure 
from the funds of the Authority; 

(f) Rules, regulations and procedures on the equitable sharing of financial and other economic benefits 
derived from activities in the Area and the decisions to be made thereon. 

8. Decisions in the Finance Committee on questions of procedure shall be taken by a majority of members present 
and voting. Decisions on questions of substance shall be taken by consensus. 

9. The requirement of article 162, paragraph 2 (y), of the Convention to estabhsh a subsidiary organ to deal with 
financial matters shall be deemed to have been fulfilled by the estabhshment of the Finance Committee in accordance 
with this section. 



Convention to Ban the Importation 
into Forum Island Countries of 

Hazardous and Radioactive Wastes 

and to Control the Transboundary 

Movement and Management of 

Hazardous Wastes Within the 

South Pacific Region, Waigani, 1995 



Done at Waigani 16 September 1995 

Not in Force* 

Depositary: South Pacific Forum Secretariat 

Primary source citation: Copy of text provided by the 
South Pacific Forum Secretariat 



CONVENTION TO BAN THE IMPORTATION INTO FORUM 

ISLAND COUNTRIES OF HAZARDOUS AND RADIOACTIVE 

WASTES AND TO CONTROL THE TRANSBOUNDARY MOVEMENT 

AND MANAGEMENT OF HAZARDOUS WASTES WITHIN THE 

SOUTH PACIFIC REGION 

PREAMBLE 

The Parties to this Convention: 

Conscious of their responsibility to protect, preserve and improve the environment of the South Pacific for the good 
health, benefit and eivJ0}rment of present and future generations of the people of the South Pacific; 

Concerned about the growing threat to human health and the environment posed by the increasing generation of 
hazardous wastes and the disposal of such wastes by environmentally unsoimd methods; 

Concerned also about the dangers posed by radioactive wastes to the people and environment of the South Pacific; 

Aware that their responsibiUties to protect, preserve and improve the environment of the South Pacific can be met 
only by cooperative efifort among all peoples of the South Pacific based on an understanding of the needs and capacities 
of all Parties; 



• The United States is not a party to this convention. 



Multilateral / Environment and Natural Resources 235 



Taking full account of the Programme of Action for the Sustainable Development of Small Island Developing States 
adopted in Barbados on 6 May 1994; 

Noting with concern that a number of approaches have been made to certain Island Countries of the South Pacific 
by unscrupulous foreign waste dealers for the importation into and the disposal within the South Pacific of hazardous 
wastes generated in other countries; 

Concerned by the slowness of progress towards a satisfactory resolution of the issues surrounding international 
trade in goods which have been banned, cancelled or refused registration in the country of manufacture for human 
health or environmental reasons; 

Recalling their commitments under existing regional treaties and arrangements for the protection and preservation 
of the environment of the South Pacific, including the Convention for the Protection of the Natural Resources and 
Environment of the South Pacific Region, signed in Noumea on 24 November 1986, the Protocol concerning 
Cooperation in Combating Pollution Emergencies in the South Pacific Region, adopted by Parties on 25 November 
1986, and the South Pacific Nuclear Free Zone Treaty, signed in Rarotonga on 6 August 1985; 

Further Recalling the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes jmd 
their Disposal adopted by the Conference of the Plenipotentiaries on 22 March 1989, and noting decisions of its 
Conference of the Parties including Decision II 12 of 25 March 1994; 

Desiring to conclude an agreement under Article 11 of the Basel Convention; 

Mindful of the International Atomic Energy Agency (IAEA) Code of Practice on the International Transboundary 
Movement of Radioactive Waste and recognising the need for its strict observance in the South Pacific Region; 

Noting as well the preliminary negotiations on a Convention on the Ssife Management of Nuclear Waste; 

Further Recalling the Declaration of the United Nations Conference on the Human Environment (Stockholm, 
1972), the Cairo Guidelines and Principles for the Environmentally Sound Management of Hazardous Wastes adopted 
by the Governing Council of the United Nations Environment Programme (UNEP) by Decision 14/30 of 17 June 1987 
and the Recommendations of the United Nations Committee of Experts on the Transport of Dangerous Goods 
(formulated in 1957 and updated biennially); 

Recalling also Agenda 21 adopted by the United Nations Conference on Environment and Development in Rio de 
Janeiro on 14 June 1992, which reaffirms that effective control of the generation, storage, treatment, recycling and 
reuse, transport, recovery, and disposal of hazardous wastes is of parsimount importance for proper health, environ- 
mental protection and natural resources management and sustainable development; 

Resolving to prohibit the importation of hazardous wastes into Pacific Island Developing Parties, and to regulate 
and facUitate the environmentally sound management of such wastes generated within the Convention Area; and 

Resolving also to prohibit the importation of all radioactive wastes into Pacific Island Developing Parties while at 
the same time recognising that the standards, procedures and the authorities responsible for the environmentally 
sound management of radioactive wastes wiU differ fi:om those in respect of hazardous wastes. 

Have agreed as follows: 

ARTICLE 1 
Definitions 

For the purposes of this Convention: 

"Approved site or facility" means a site or facility for the disposal of hazardous wastes which is authorised or 
permitted to operate for this purpose by a relevant authority of the Party where the site or facility is located; 



236 



The Marine Mammal Commission Compendium 



"Area under the jurisdiction of a Party" means any land, marine area or airspace within which a Party exercises 
administrative and regulatory responsibility in accordance with international law in regard to the protection of 
human health or the environment; 

"Authorised transboundary movement" means a transboundary movement of hazardous wastes to which the 
consent of the Parties concerned has been given in accordance with the provisions of this Convention; 

"Basel Convention" means the Convention on the Control of Transboundary Movements of Hazardous Wastes sind 
their Disposal, 1989; 

"Carrier" means any person who carries out the trsmsport of hazardous wastes; 

"Cleaner production" means the conceptual and procedural approach to production that demands that all phases 
of the life-cycle of a product or process should be addressed, with the objective of prevention or minimisation of short 
and long-term risks to humans and to the environment; 

"Competent authority" means any one governmental authority designated by a Party to be responsible within 
such geographic£d areas as the Party may think fit for receiving the notification of a transboundary movement of 
hazardous wastes and any information related to it, and for responding to such a notification, as provided in Article 
6 of this Convention; 

"Convention Area" shall comprise: 

(i) the land territory, internal waters, territorial sea, continental shelf, archipelagic waters and 
exclusive economic zones estabUshed in accordance with international law of: 



American Samoa 

Australia 

Cook IslEinds 

Federated States of Micronesia 

Fyi 

French Polynesia 

Guam 

Kiribati 

Republic of Marshall Islands 

Nauru 

New Caledonia and Dependencies 

New Zealand 

Niue 



- The Commonwealth of 
Northern Mariana Islands 

- Republic of Palau 

- Papua New Guinea 

- Pitcaim Islands 

- Solomon Islands 

- Tokelau 

- Tonga 

- Tuvalu 

- Vanuatu 

- Wallis and Futuna 

- Western Samoa; 



(ii) those areas of high seas which are enclosed from all sides by the exclusive economic zones 
referred to in sub-paragraph (i); 

(iii) £u-eas of the Pacific Ocean which have been included in the Convention Area pursuant to Article 
2.6; 

"Countries concerned" means countries of export, import or transit whether or not Parties to this Convention; 

"Days" means calendar days unless otherwise specified; 

"Disposal" means any operation specified in Annex V to this Convention; 

"Disposer" means any person for whom hazardous wastes are destined and who carries out the actual disposal of 
such wastes; 

"Domestically prohibited goods" means substances or products which have been banned, cancelled or refiised 
registration by government regulatory action, or voluntarily withdrawn fh)m registration in the country of manufac- 
ture, for human health or environmental reasons; 



Multilateral / Environment and Natural Resources 237 



"Environmentally sound management of hazardous wastes" means taking all practicable steps to ensure that 
haz£irdous wastes Eire managed in a manner which will protect human health and the environment against the 
adverse effects which may result from such wastes; 

"Exporter" means any person under the jurisdiction of the exporting Party who arranges for hazardous wastes to 
be exported; 

"Exporting Party" means a Party from which a transbovmdary movement of hazardous wastes is planned to be 
initiated or is initiated; 

"Focal point" means the entity of a Party referred to in Article 5 of this Convention responsible for receiving and 
submitting information as provided for in Articles 7 and 14; 

"Forum Island Countries" means all Members of the South Pacific Forum with the exception of Australia and New 
Zealand; 

"Generator" means any person whose activity produces hazardous wastes or, if that person is not known, the person 
who is in possession and/or control of those wastes; 

"Hazardous wastes" means wastes as specified in Article 2 of this Convention; 

"lAElA" means the International Atomic Energy Agency; 

"Illegal traffic" means any transboimdary movement of hazardous wastes as specified in Article 9 of this Convention; 

"Importer" means any person under the jurisdiction of the importing Party who arranges for hazardous wastes to 
be imported; 

"Importing Party" means a Party to which transboimdary movement of hazardous wastes is planned or takes place 
for the purpose of disposal therein or for the purpose of loading prior to disposal in an area not under the national 
jurisdiction of any State; 

"London Convention" means the Convention on the Prevention of Marine Pollution by Dumping of Wastes and 
Other Matter, 1972; 

"Management" means the prevention and reduction of hazardous wastes and the collection, transport, storage, and 
treatment or disposal, of hazardous wastes including after-care of disposal sites; 

"Other Party" means a Party listed in Annex IV or any Party which is accepted by the Conference of the Parties to 
be an Other Party in accordance with the procedures estabUshed pursuant to Article 13.4(g); 

"Pacific Island Developing Party" means a Party listed in Annex III or any Party which is accepted by the 
Conference of the Parties to be a Pacific Island Developing Party in accordance with the procedures established 
pursuant to Article 13.4(g); 

"Party" means a Party to this Convention; 

"Person" means any natural or legal person; 

"Precautionary principle" means the principle that in order to protect the environment, the precautionary 
approach shall be widely applied by Parties according to their capabilities. Where there are threats of serious or 
irreversible damage, lack of fiiU scientific certainty shall not be used as a reason for postponing cost-effective measm-es 
to prevent environmental degradation; 

"Radioactive wastes" means wastes which, as a result of being radioactive, are subject to other international control 
systems, including international instruments, applying specifically to radioactive materials; 

"Secretariat" means the Secretariat established pursuant to Article 14 of this Convention; 



238 The Marine Mammal Commission Compendius 



"SPREP" means the South Pacific Regional Environment Programme; 

"Transboundary movement" means any movement of hazardous wastes from an area under the jurisdiction of 
any Party, to or through an area under the jurisdiction of another Party, or to or through an area not under the 
jurisdiction of another Party, provided at least two Parties are involved in the movement; 

"Transit Party" means any Party, other than the exporting Party or importing Party, through which a movement 
of hazardous wastes is planned or takes place; 

"Vessels" and "Aircraft" mean waterbome or airborne craft of any type whatsoever. This expression includes air 
cushioned craft and floating craft, whether self-propelled or not; 

"Wastes" means substances or materials which Eure disposed of, or are intended to be disposed of, or are required to 
be disposed of, by provisions of national legislation. 

ARTICLE 2 
Scope of the Convention and Area of Coverage 

Scope of the Convention 

1. The following substances shall be 'hazardous wastes" for the purposes of this Convention: 

(a) Wastes that belong to any category contained in Annex I of this Convention, unless they do not possess 
any of the characteristics contained in Annex II of this Convention; and 

(b) Wastes that are not covered under sub-paragraph (a) above, but which are defined as, or are considered 
to be, hazEirdous wastes by the national legislation of the exporting, importing or transit Party to, from 
or through which such wastes are to be sent. 

2. Radioactive wastes are excluded from the scope of this Convention except as specifically provided for in Articles 
4.1, 4.2, 4.3, and 4.5 of this Convention. 

3. Wastes which derive from the normal operations of a vessel, the discharge of which is covered by another 
international instrument, shall not fall within the scope of this Convention. 

4. Nothing in this Convention shall affect in any way the sovereignty of States over their territorial sea, the 
sovereign rights and jiirisdiction that States have in their exclusive economic zones and continental shelves, and the 
exercise by vessels and aircraft of all States of navigational rights and fi^edoms, as provided for in international law 
and as reflected in the 1982 United Nations Convention on the Law of the Sea and other relevant international 
instruments. 

5. Nothing in this Convention shall affect in any way the rights and obligations of any Party under international 
law including under other international agreements in force. Such agreements include the London Convention as 
amended; the 1982 United Nations Convention on the Law of the Sea, including in particvlwr Articles 31, 210 and 
236 thereof; the South Pacific Nuclear Free Zone Treaty, 1985, including in particular Article 7 thereof; and the 
International Convention for the Prevention of Pollution from Ships, 1973. 

Area of Coverage 

6. A Party may add areas under its jurisdiction within the Pacific Ocean between the Tropic of Cancer and 60 
degrees South latitude and between 130 degrees East longitude and 120 degrees West longitude to the Convention 
Area. Such addition shall be notified to the Depositary who shall promptly notify the other Parties and the Secretariat. 
Such £u-eas shall be incorporated within the Convention Area ninety days after notification to the Parties by the 
Depositary, provided there has been no objection to the proposal to add new areas by any Party. If there is any such 
objection the Parties concerned will consult with a view to resolving the matter. 



Multilateral / Environment and Natural Resources 239 



ARTICLES 
National Definitions of Hazardous Wastes 

1. Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the wastes, 
other than those listed in Annex I of this Convention, considered or defined as hazardous under its national legislation 
and of any requirements concerning transboundary movement procedures applicable to such wastes. 

2. Each Party shsill subsequently inform the Secretariat of any significant changes to the information it has 
provided pursuant to paragraph 1 of this Article. 

3. The Secretariat shall forthwith inform all Parties of the information it has received pursuant to paragraphs 1 
and 2 of this Article. 

4. Psirties shall be responsible for making the information transmitted to them by the Secretariat under paragraph 
3 of this Article available to their exporters, importers and other appropriate bodies. 

ARTICLE 4 
General Obligations 

1. Hazardous Wastes and Radioactive Wastes Import and Export Ban 

(a) Each Pacific Island Developing Party shall take appropriate legal, administrative and other measures 
within the area under its jurisdiction to ban the import of all hazardous wastes and radioactive wastes 
from outside the Convention Area. Such import shall be deemed an Ulegal and criminal act; and 

(b) Each Other Party shall take appropriate legal, administrative and other measures within the area under 
its jurisdiction to ban the export of all hazardous wastes and radioactive wastes to all Forum Island 
Countries, or to territories located in the Convention Area with the exception of those that have the 
status of Other Parties in accordance with Annex IV. Such export shall be deemed an illegsd and criminal 
act. 

2. lb facihtate compliance with paragraph 1 of this Article, all Parties: 

(a) Shall forward in a timely manner all information relating to illegal hazardous wastes sind radioactive 
wastes import activity within the area under its jurisdiction to the Secretariat who shall distribute the 
information as soon as possible to all Parties; and 

(b) Shall cooperate to ensure that no illegal import of hazardous wastes and radioactive wastes from a 
non-Party enters areas under the jurisdiction of a Party to this Convention. 

3. Ban on Dumping of Hazardous Wastes and Radioactive Wastes at Sea 

(a) Each Party which is a Party to the London Convention, the South Pacific Nuclear Free Zone Treaty, 
1985, the 1982 United Nations Convention on the Law of the Sea or the Protocol for the Prevention of 
Pollution of the South Pacific Region by Dumping, 1986, reaffirms the commitments under those 
instruments which require it to prohibit dumping of hazardous wastes and radioactive wastes at sea; 
Eind 

(b) Each Party which is not a Party either to the London Convention or the Protocol for the Prevention of 
Pollution of the South Pacific Region by Dumping, 1986, should consider becoming a Party to both of 
those instruments. 

4. Wastes Located in the Convention Area 

Each Party shall: 



240 The Marine Mammal Commission Compendium 



(a) Ensure that within the area under its jurisdiction, the generation of hazardous wastes is reduced at its 
source to a minimum taking into account social, technological and economic needs; 

(b) Take appropriate legal, administrative and other measxu-es to ensure that within the area under its 
jurisdiction, all transboundary movements of hazardous wastes generated within the Convention Area 
are carried out in accordance with the provisions of this Convention; 

(c) Ensure the availabihty of adequate treatment sind disposal facilities for the environmentally sound 
management of hazardous wastes, which shall be located, to the extent practicable, within areas under 
its jurisdiction, taking into account social, technological and economic considerations. However, where 
Parties are for geographic, social or economic reasons unable to dispose safely of hazardous wastes within 
those areas, cooperation should t£ike place as provided for under Article 10 of this Convention; 

(d) In cooperation with SPREP, participate in the development of programmes to manage and simplify the 
transboundary movement of hazardous wastes which cannot be disposed of in an environmentally sound 
manner in the countries in which they are located. Provided that such programmes do not derogate from 
the environmentally sound management of hazardous wastes as required by this Convention, they may 
be registered as arrangements under Article 11 of this Convention; 

(e) Develop a national hazardous wastes management strategy which is compatible with the SPREP South 
Pacific Regional Pollution Prevention, Waste Minimization and Management Programme; 

(f) Submit to the Secretariat such reports as the Conference of the Parties may require regarding the 
hazardous wastes generated in the area under its jurisdiction in order to enable the Secretariat to 
produce a regular hazardous wastes report; 

(g) Subject to Article 11 of this Convention, prohibit within the area under its jurisdiction hazardous wastes 
from being exported to or imported from non-Parties within the Convention Area; and 

(h) Take appropriate legal, administrative and other measures to prohibit vessels flying its flag or aircraft 
registered in its territory from carrying out activities in contravention of this Convention. 

5. Radioactive Wastes 

(a) Parties shall give active consideration to the implementation of the IAEA Code of Practice on the 
International Transboundary Movement of Radioactive Wastes and such other international and 
national standards which are at least as stringent; and 

(b) Subject to available resources. Parties shall actively participate in the development of the Convention 
on the Safe Management of Nuclear Waste. 

6. Domestically Prohibited Goods: 

(a) Subject to available resources, Parties shall endeavour to participate in relevant international fora to 
find an appropriate global solution to the problems associated with the intemationsil trade of domesti- 
cally prohibited goods; and 

(b) Nothing in this Convention shall be interpreted as limiting the sovereign right of Parties to act 
individually or collectively, consistent with their international obligations, to ban the importation of 
domestically prohibited goods into areas under their jurisdiction. 

ARTICLES 
Competent Authorities and Focal Points 

1. lb facilitate the implementation of this Convention, each Party shall designate or estabhsh one competent 
authority and one focal point. A Party need not designate or establish new or separate authorities to perform the 
fiinctions of the competent authority and the focal point. 



Multilateral / Environment and Natural Resources 241 



2. The competent authority shall be responsible for the implementation of notification procedures for transboun- 
dary movement of hazardous wastes in accordance with the provisions of Article 6 of this Convention. 

3. The focal point shall be responsible for transmitting and receiving information in accordance with the provisions 
of Article 7 of this Convention. 

4. The Parties shall inform the Secretariat, within three months of the date of the entry into force of this Convention 
for them, which authorities they have designated or estabhshed as the competent authority and the focal point. 

ARTICLE 6 
Notification Procedures for Transboundary Movements of Hazardous Wastes between Parties 

1. The exporting Party shall notify, or shall require the generator or exporter to notify, in writing, through its 
competent authority, the competent authority of the countries concerned of any proposed transboundary movement 
of hazardous wastes. Such notification shall contain the declarations Euid information specified in Annex VI A of this 
Convention, written in a language acceptable to the importing Party. Only one notification needs to be sent to each 
country concerned. 

2. The importing Party shall acknowledge within reasonable time, which in the case of Other Parties shall not 
exceed fourteen working days, the receipt of the notification referred to in paragraph 1 of this Article. The importing 
Party shall have sixty days after issuing the acknowledgement to inform the notifier that it is consenting to the 
movement, with or without conditions, denying permission for the movement or requesting additional information. 
In the event that additional information has been sought, a new period of twenty one days recommences from the 
time of receipt of the additional information. 

3. The exporting Party shall not allow the transboundary movement until it has received: 

(a) Writtenconsent of the importing Party; 

(b) Written consent from every transit Party; 

(c) Written consent of every non-Party country of transit; 

(d) Written confirmation fit)m the importing Party of the existence of a contract between the exporter and 
the disposer specifying the environmentally sound management of the wastes in question; and 

(e) Written confirmation firom the exporter of the existence of adequate insurance, bond or other guarantee 
satisfactory to the exporting Party. 

4. Each transit Party shall acknowledge within reasonable time, which, in the case of Other Parties shall not 
exceed fourteen working days, the receipt of the notification referred to in paragraph 1 of this Article. Each transit 
Party shall have sixty days after issuing the acknowledgement to inform the notifier that it is consenting to the 
movement, with or without conditions, denying permission for the movement or requesting additional information. 
In the event that additional information has been sought, a new period of twenty one days recommences from the 
time of receipt of the additional information. 

5. In the case of a transboundary movement of hazardous wastes, where the wastes are legally defined as or are 
considered to be hazardous wastes only: 

(a) By the exporting Party, the requirement at paragraph 10 of this Article, that any transbovmdary 
movement shall be covered by insurance, bond or other guarantee shall be as required by the exporting 
Party; or 

(b) By the importing Party, or the tremsit Party, the requirements of paragraphs 1, 3, 4, and 6 of this Article 
that apply to the exporter and exporting Party, shall apply mutatis mutandis to the importer or disposer 
and importing Party, respectively; or 

(c) By any transit Party, the provisions of paragraph 4 of this Article shall apply to such Party. 



242 The Marine Mammal Commission Compendium 



6. The exporting Party may, subject to the written consent of the countries concerned, allow the generator or the 
exporter to use a general notification where hazardous wastes having the same physical and chemical characteristics 
are shipped regularly to the same disposer via the same customs office of exit of the exporting Party, via the same 
customs office of entry of the importing Party, and, in the case of transit, via the same customs office of entry and exit 
of the Party or Parties of transit. 

7. The countries concerned may make their written consent to the use of the general notification referred to in 
paragraph 6 of this Article subject to the supply of certain information, such as the exact quantities or periodical lists 
of hazardous wastes to be shipped. 

8. The general notification and written consent referred to in paragraphs 6 and 7 of this Article may cover multiple 
shipments of hazardous wastes during a mziximum period of twelve months. 

9. Each transboundary movement of hazardous wastes shall be accompanied by a movement document which 
includes the information listed in Annex VI B. The Parties to this Convention shall require that each person who 
takes charge of a transboundary movement of hazardous wastes sign the movement document either upon dehvery 
or receipt of the wastes in question. They shall also require the disposer to inform both the exporter and the competent 
authority of the exporting Party of receipt by the disposer of the wastes in question and, in due course, of the 
completion of disposal as specified in the notification. If no such information is received by the exporting Party, the 
competent authority of the exporting Party or the exporter shall so notify the importing Party. 

10. Any transboundary movement of hazardous wastes shall be covered by instirance, bond or other guarantee as 
may be required or agreed to by the importing Party or any transit Party. 

ARTICLE? 
Transmission of Information 

1. The Parties shall ensure that in the case of an accident occurring during the transboundary movement of 
hazardous wastes or their disposal which is likely to present risks to human health and the environment in other 
States and Parties, those States and Parties and the Secretariat are immediately informed. 

2. The Parties shall inform one another, through the Secretariat, of: 

(a) Changes regarding the designation of competent authorities and/or focal points, pursuant to Article 5 

of this Convention; and 

(b> Changes in their national definition of hazardous wastes, pursuant to Article 3 of this Convention. 

3. The Parties, consistent with national laws and regulations, shall set up information collection and dissemination 
mechanisms on hazardous wastes to enable the Secretariat to fulfil the fiinctions Usted in Article 14. 

ARTICLE 8 
Duty to Re-import 

1. The exporting Party shall adopt appropriate administrative and legal measiu-es to ensure that when an 
authorised transboundary movement of hazardous wastes cannot be completed in accordance with the terms of the 
contract or of this Convention, the wastes in question are returned to it by the exporter. Td this end, the importing 
Party and the transit Party or Parties shall not oppose, hinder or prevent the return of those wastes to the exporting 
Party 

2. Notwithstanding the provisions of paragraph 1 of this Article, where an authonsed transboundary movement 
of hazardous wastes cannot be completed within the terms of the contract or the terms of this Convention, the 
exporting Party need not re-import those wastes provided that alternative arrangements are made for the disposed 
of the wastes in a manner which is compatible with the environmentally sound management of hazardous wastes as 
required by this Convention and other international legal obhgations. Such disposal shall take place within ninety 
days from the time that the importing Party informed the exporting Party and the Secretariat, or such other period 
of time as the Parties concerned agree. 



Multilateral / Environment and Natural Resources 243 



ARTICLES 
Illegal Traffic 

1. For the purpose of this Convention, any transboundary movement of hazardous wastes shall be deemed to be 
Ulegsd traffic if: 

(a) Carried out without notification, pursuant to the provisions of this Convention, to all countries 
concerned; 

(b) Csirried out without the consent, pursuant to the provisions of this Convention, of a country concerned; 

(c) Consent is obtained from countries concerned through falsification, misrepresentation or fraud; 

(d) The contents do not conform in a material way with the supporting docimientation; 

(e) It results in deliberate disposal of hazardous wastes in contravention of this Convention, other relevant 
international instruments and of general principles of international law; or 

(f) It is in contravention of the import or export bans established by Article 4. 1. 

2. Each Party shall introduce or adopt appropriate national legislation to prevent and punish illegal traffic. The 
Parties shall cooperate with a view to achieving the objects of this Article. 

3. (a) In the case of a transboundary movement of hazardous wastes deemed to be Ulegal traffic as the result 

of conduct on the part of the exporter or generator, the exporting Party shall ensvire that, within thirty 
days from the time the exporting Party has been informed about the illegal traffic or such other period 
of time the countries concerned may agree, the wastes in question are either: 

(i) taken back by the exporter or generator or if necessary by itself into the exporting Party; or, if 
impracticable, 

(ii) otherwise disposed of in accordance with the provisions of this Convention; 

(b) In the case of paragraph 3(a)(i) of this Article, the Parties concerned shall not oppose, hinder or prevent 

the return of those wastes to the exporting Party. 

4. In the case of a transboundary movement of hazardous wastes deemed to be illegal traffic as a result of conduct 
on the part of the importer or disposer, the importing Party shall ensure that the wastes in question are disposed of 
in an environmentally sound manner by the importer or disposer or, if necessary, by itself within thirty days from 
the time the illegal traffic has come to the attention of the importing Psirty or such time as the countries concerned 
may agree, lb this end, the importing Party and the exporting Party shall cooperate, as necessary, in the dispos£d of 
the wastes in an environmentally sound manner. 

5. In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or 
to the importer or disposer, the Parties concerned or any other Parties, as appropriate, shall ensure through 
cooperation that the wastes in question are disposed of as soon as possible in an environmentally sound manner either 
in the exporting Pjirty or the importing Party or elsewhere as appropriate. 

6. The Secretariat shall imdertake the necessary coordination with the Secretariat of the Basel Convention in 
relation to the effective prevention and monitoring of illegal traffic in hazardous wastes. Such coordination shall 
include: 

(a) Exchanging information on incidents or alleged incidents of illegal traffic in the Convention Area and 
on the appropriate steps to remedy such incidents; and 

(b) Providing assistance in the field of capacity building including development of national legislation and 
of appropriate infrastructure in the Pacific Island Developing Parties with a view to the prevention and 
penalization of Ulegal traffic of hazardous wastes. 



244 The Marine Mammal Commission Compendium 



ARTICLE 10 
Cooperation Among Parties and International Cooperation 

1. The Parties to this Convention shall cooperate with one another, non-Psirties and relevant regional and 
international orgjinisations, to facilitate the availabihty of adequate treatment and disposal facilities and to improve 
and achieve the environmentally sound management of hazardous wastes. Such facilities shall be located within the 
Convention Area to the extent practicable taking into account social, technological and economic considerations. 

2. lb this end, the Parties shall: 

(a) Upon request, make information available, whether on a bilateral or regional basis, with a view to 
promoting the environmentally sound management of hazardous wastes, including harmonisation of 
relevant technical standards and practices; 

(b) Cooperate in monitoring the effects of hazardous wastes and their management on human health and 
the environment; 

(c) Cooperate, subject to their national laws and poUcies, in the development and implementation of new 
environmentally sound and cleaner production technologies £ind the improvement of existing technolo- 
gies. Such cooperation shall be with a view to eliminating, as far as practicable, the generation of 
hazardous wastes and achieving more effective and efficient methods of ensuring their management in 
an environmentally sound manner, including the study of the economic, social and environmental 
impacts of the adoption of such new £ind improved technologies; 

(d) Cooperate, subject to their national laws and policies, actively in the transfer of technology and 
management systems related to the environmentally sound management of hazardous wastes. They 
shall also cooperate in developing the technical capacity and infrastructure of Parties, especially those 
which may need and request technical assistance in this field; and 

(e) Cooperate in developing appropriate technical guidelines and/or codes of practice. 

3. The Secretariat shall encourage Other Parties and other concerned developed countries to take all practicable 
steps to promote, facilitate and finance, as appropriate, the transfer of, or access to, environmentally sound 
technologies and know-how to Pacific Island Developing Parties, to enable them to implement the provisions of this 
Convention. Other Parties undertake to cooperate with the Secretariat in this regard. 

4. Taking into account the needs of developing countries. Parties shall encourage cooperation with international 
organisations in order to promote, among other things, public awareness, the development of rational management 
of hazardous wastes, and the adoption of new technologies which are environmentally sound, including cleaner 
production technologies. 

ARTICLE 11 
Bilateral, Regional or Multilateral Agreements or Arrangements 

1. Notwithstanding the provisions of Article 4.4(g), Parties to this Convention may enter into bilateral, regional 
or multilateral agreements or arrangements with non-Parties regarding the transboundary movement and manage- 
ment of hazardous wastes provided that such agreements or arrangements do not derogate from the provisions of 
Article 4.1 or from the environmentally sound management of such wastes as required by this Convention. 

2. The Parties shall notify the Secretariat of any bUateral, regional or multUatersil agreements or arrangements 
referred to in paragraph 1 of this Article and those which they have entered into prior to the entry into force of this 
Convention for them, for the purpose of controlling transboundary movements of hazardous wastes which take place 
entirely among the parties to such agreements or arrsmgements. 

3. The provisions of this Convention shall not affect transboundary movements of hazardous wastes which take 
place pursuant to such agreements or arrangements provided that such agreements or arrangements are compatible 
with the environmentally sound management of hazardous wastes as required by this Convention. 



Multilateral / Environment and Natural Resources 245 



ARTICLE 12 
Liabilities and Compensation 

The Conference of the Parties shall consider the preparation and adoption of appropriate arrangements in the field 
of UabiUty and compensation arising from transboundary movements of hazardous wastes in the Convention Area 
without prejudice to the appUcation and further development of relevant rules of international law. 

ARTICLE 13 
Conference of the Parties 

1. A Conference of the Parties to this Convention is hereby estabUshed. The first meeting of the Conference of the 
Parties shall be convened 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. The quorum for meetings of the Conference of the Parties shall be two-thirds of the Parties. 

2. The Conference of the Parties shall adopt by consensus at its first ordinary meeting, or as soon as practicable 
thereafter. Rules of Procedure. It shall also adopt by consensus financial rules, including the scale of contributions 
of the Parties to this Convention to the regulsir budget. 

3. The first meeting of the Conference of the Parties shall consider the adoption of any additional measures in 
accordance with the Precautionary principle relating to the implementation of this Convention. 

4. The Conference of the Parties shall keep under continuous review and evaluation the effective implementation 
of this Convention, 2md in particular, shall: 

(a) Promote the harmonisation, at high levels of protection, of appropriate legislation, policies, strategies 
and measvires for minimising harm to human health and the environment; 

(b) Consider and adopt, where necessary, amendments to this Convention, and its annexes, taking into 
consideration, inter alia, available scientific, technical, economic and environmental information; 

(c) Examine and approve the regular budget prepared by the Secretariat in accordance with Article 14; 

(d) Consider and undertake any additional action that may be necesssiry for the achievement of the purposes 
of this Convention in the light of experience gained in the operation of the Convention and developments 
elsewhere; 

(e) Consider and adopt protocols as necessary; 

(fl Estabhsh and/or designate such subsidiary bodies or agencies as are deemed necessary for the imple- 

mentation of this Convention; and 

(g) Determine and adopt appropriate rules and procedures for the acceptance of new Parties to this 

Convention in accordance with Article 23 and Annexes III and IV. 

5. Any State which is eligible to become a Party to this Convention may be represented as an observer at meetings 
of the Conference of the Parties. Any other State or any body or agency, whether national, regional or international, 
governmental or non-governmental, with an interest in the subject matter of this Convention 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 iinless at least one-third of the Parties present object. The admission and participation of observers shsdl 
be subject to the rules of procedure adopted by the Conference of the Parties. 



246 The Marine Mammal Commission Compendium 



ARTICLE 14 
Secretariat 

A Secretariat for this Convention is hereby estabUshed. The functions of the Secretariat shall be to: 

(a) Arrange and service meetings of the Parties to this Convention; 

(b) Prepare the regular budget of the Conference of the Parties, as required by this Convention; 

(c) Prepare and transmit reports based upon information received in accordance with Articles 3, 4, 7, and 
11 of this Convention; 

(d) Prepare and transmit information derived fixim meetings of subsidiary bodies eind agencies established 
under Article 13 of this Convention or provided by relevant inter-governmental and non-governmental 
entities; 

(e) Ensure coordination with the Secretariat of the Basel Convention and other relevant international and 
regional bodies, and in psirticular to enter into such administrative arrangements as may be reqmred 
for the effective discharge of its functions; 

(f) Communicate with the competent authorities and focal points estabUshed by the Parties in accordance 
with Article 5 of this Convention as well as appropriate inter-governmental and non-governmental 
organisations which may provide financial and/or technical assistzince in the implementation of this 
Convention; 

(g) Compile information concerning approved sites and facilities available for the disposal of hazardous 
wastes and means of transport to these sites and facilities and to circulate this information; 

(h) Receive and convey on request to Parties information on available sources of technical and scientific 

expertise; 

(i) Receive and convey on request to Parties information on consultants or consulting firms having the 

necessary technical competence in the field which can assist them with examining a notification for a 
transboundary movement of hazardous wastes, the concurrence of a shipment of hazardous wastes with 
the relevant notification, and/or whether the proposed disposal facilities for hazardous wastes are 
environmentally sound, when they have reason to beUeve that the wastes in question will not be 
managed in an environmentally sound manner; 

(j) Assist Parties to this Convention in their identification of cases of illegal traffic and to circulate 

immediately to the Parties concerned any information it has received regarding illegal traffic, and to 
undertake the necessary coordination with the Secretariat of the Basel Convention as provided for in 
Article 9.6; 

(k) lb cooperate with countries concerned and with relevant and competent international organisations and 

agencies in the provision of experts and equipment for the purpose of rapid assistance in the event of 
an emergency situation in the Convention Area; 

(1) lb report the information prescribed in paragraph 2 of this Article, to the Parties to this Convention, 

before the end of each calendar year; and 

(m) lb perform such other functions relevant to the purposes of this Convention as may be determined by 
the Conference of the Parties. 



Multilateral / Environment and Natural Resources 247 



2. The Secretariat shall transmit to the Parties, before the end of each calendar year, a report taking into account 
material provided by Parties under Articles 4.4(f) and 7.3 on the previous calendar year, containing the following: 

(a) Information regarding transboundary movement of hazardous wastes in which Parties have been 
involved, including: 

(i) the quantity of hazardous wastes exported, their category, characteristics, destination, any 
transit country and disposal method as stated in the notification; 

(ii) the amount of haz£irdous wastes imported, their category, characteristics, origin, £ind disposal 
methods; 

(iii) disposals which did not proceed as intended; and 

(iv) efforts to achieve a reduction of the amount of hazardous wastes subject to transboundary 
movement. 

(b) Information on measures adopted by Parties in the implementation of this Convention; 

(c) Information where it is available on the effects on human health and the environment fi^)m the 
generation, transportation and disposal of hazardous wastes in the Convention Area. The information 
may take the form of statistical data; 

(d) Information on accidents occurring during transboundary movements, treatment and disposal of 
hzizardous wastes and on measures undertaken to deal with them; 

(e) Information on environmentally sound treatment and disposal options operated by Parties; and 

(f) Information on measures undertaken by Parties for the development of cleaner production technologies 
for the reduction and/or eUmination of the production of hazardous wastes. 

3. The Secretariat's functions shall be carried out by SPREP. 

ARTICLE 15 
Revolving Fund 

The Conference of the Parties shall consider the establishment of a revolving fund to assist on an interim basis in 
case of emergency situations to minimise damage from disasters or accidents arising from transboundary movement 
or disposal of hazardous wastes within the Convention Area. 

ARTICLE 16 
Amendments to this Convention 

1. Any Party may propose amendments to this Convention. 

2. Amendments to this Convention may be adopted only at a meeting of the Conference of the Parties at which at 
least two-thirds of the Parties are represented. The text of any proposed amendment to this Convention shall be 
communicated to the Parties 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 and 
to the Depositary for their information. 

3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention 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-thirds majority vote of Parties present and voting, each Party having one vote, and 
shall be submitted by the Depositary to all Parties for ratification, approval or acceptance. 



248 The Marine Mammal Commission Compendium 



4. Instruments of ratification, acceptEince or approval of amendments shall be deposited with the Depositary. 
Amendments shall enter into force between Parties having accepted such amendments on the ninetieth day following 
the date of receipt by the Depositary of the instruments of at least three-fourths of the Parties to this Convention. 
Thereafter the amendments shall enter into force for any other Party on the ninetieth day after the date on which 
that Party deposits its instnmient. 

5. For the purpose of this Article, "Parties present and voting" means Parties present and casting an afiirmative 
or negative vote. 

ARTICLE 17 
Protocols to this Convention 

1. The Conference of the Parties may, at any ordinary meeting, adopt protocols to this Convention. 

2. The text of any proposed protocol shall be communicated to the Parties by the Secretariat at least six months 
before the meeting at which it is proposed for adoption. 

3. The procedure specified in Article 16.3 shall apply to the adoption of, and any amendments to, siny protocol. 

4. The requirements for the entry into force of any protocol or subsequent amendments to such protocol shsdl be 
established by that protocol. 

5. Decisions imder any protocol shall be tsiken only by the Parties to that protocol. 

ARTICLE 18 
Adoption and Amendment of Annexes 

1. The annexes to this Convention shall form an integral part of this Convention and, unless expressly provided 
otherwise, a reference to this Convention constitutes, at the same time a reference to £ujy annexes thereto. Such 
annexes shall be restricted to scientific, technical and administrative matters. 

2. The following procedures shall apply to the proposal, adoption and entry into force of additional annexes, or 
amendments to annexes, to this Convention: 

(a) Such additional annexes or amendments to annexes shall be proposed and adopted according to the 
procediu-e laid down in Articles 16.1, 16.2 and 16.3 of this Convention; 

(b) Any Party that is unable to accept such additional annexes or amendments to annexes, shall so notify 
the Depositary, in writing, within six months from the date of the communication of the adoption by the 
Depositary. The Depositary shsdl without delay notify all Parties of any such notification received. A 
Party may at any time substitute an acceptance for a previous declaration of objection and the aimexes 
or amendments to annexes shall thereupon enter into force for that Party; and 

(c) Upon the expiration of six months from the date of the circulation of the communication by the 
Depositary, the annexes or amendments to annexes shall enter into force for all Parties to this 
Convention, which have not submitted a notification in accordance with the provisions of sub-paragraph 
(b) above. 

3. If an additional annex or an amendment to an annex involves an amendment to this Convention or to any 
protocol, the additional annex or amended annex shsdl not enter into force until such time as the amendment to this 
Convention or to the protocol enters into force. 



Multilateral / Environment and Natural Resources 249 



ARTICLE 19 
Verification 

1. Any Party which has reason to beheve that another Party is acting or has acted in breach of its obligations under 
this Convention may inform the Secretariat thereof, and in such an event, shall simultaneously and immediately 
inform, directly or through the Secretariat, the Party against whom the allegations are made. All relevant information 
should be submitted by the Secretariat to the Parties. 

2. The Conference of the Parties shall consider the adoption of a protocol dealing with detailed procedures and 
arrangements for the verification of alleged breaches of obhgations under this Convention. 

ARTICLE 20 
Settlement of Disputes 

1. In case of a dispute between Parties as to the interpretation or apphcation of, or compUance with, this Convention 
or any protocol thereto, the Parties concerned shall seek a settlement of the dispute through negotiation, mediation 
or any other peaceful means of their own choice. 

2. If the Parties concerned cannot settle their dispute through the means mentioned in paragraph 1 of this Article, 
the dispute, if the Parties to the dispute agree, shall be submitted to arbitration under the conditions set out in Annex 
VII of this Convention or to the International Court of Justice. However, failure to reach common agreement on 
submission of the dispute to arbitration or to the International Court of Justice shall not absolve the Parties &om 
the responsibUity of continuing to seek to resolve it by the means referred to in paragraph 1. 

3. When ratifying, accepting, approving or acceding to this Convention, or at any time thereafter, a Party may 
declare that it recognises as compulsory ipso facto and without special agreement, in relation to any Party accepting 
the same obUgation: 

(a) Arbitration in accordance with the procedures set out in Annex VII; and/or 

(b) Submission of the dispute to the International Court of Justice. 

Such declaration shall be notified in writing to the Secretariat which shall communicate it to the Parties. 

ARTICLE 21 
Signature 

1. This Convention shall be open for signature by the Members of the South Pacific Forum at Waigani, Papua New 
Guinea, on 16 September 1995. 

2. This Convention shall remain open for signature by the Members of the South Pacific Forum from 22 September 
1995 until 21 March 1996 at the South Pacific Forum Secretariat, Suva. 

ARTICLE 22 
Ratification, Acceptance or Approval 

This Convention shall be subject to ratification, acceptance or approval by Members of the South Pacific Forum. 
Instruments of ratification, acceptance or approval shall be deposited with the Depositary. 

ARTICLE 23 
Accession 

1. This Convention shall be open for accession by Members of the South Pacific Forum from the day after the date 
on which the Convention is closed for signature. The instruments of accession shall be deposited with the Depositary. 



250 The Marine Mammal Commission Compendiuj 



2. Other States not members of the South Pacific Forum which have territories in the Convention Area may accede 
to the Convention. In addition, other States which do not have territories in the Convention Area may also accede to 
the Convention pursuant to a decision of the Conference of the Parties under Article 13.4(g). 

ARTICLE 24 
Entry into Force 

This Convention shall enter into force thirty days from the date of deposit of the tenth instrument of ratification, 
acceptance, approval or accession and thereafter for each State thirty days after the deposit of its instrument of 
ratification, acceptance, approval or accession. 

ARTICLE 25 
Reservations and Declarations 

1. No reservations or exceptions shall be made to this Convention. 

2. Paragraph 1 of this Article does not preclude a signatory or Party when signing, ratifying or acceding to this 
Convention, from making declarations or statements, however phrased or named, with a view, inter alia, to the 
harmonisation of its laws sind regulations with the provisions of this Convention, provided that such declarations or 
statements do not purport to exclude or to modify the legal effect of the provisions of this Convention in their 
appUcation to that Party. 

ARTICLE 26 
Withdrawal 

1. At any time after three years fi^m the date on which this Convention has entered into force for a Party, that 
Party may withdraw by giving written notification to the Depositary. 

2. Withdrawal shall be effective one year after receipt of notification by the Depositary, or on such later date as 
may be specified in the notification. 

3. Withdrawal shall not exempt any withdrawing Party from fiilfilling any obligations it might have incurred under 
this Convention, whilst a Party to this Convention. 

ARTICLE 27 
Depositary 

The Secretary General of the South Pacific Forum Secretariat shall be the Depositary of this Convention and of any 
protocols thereto. 

ARTICLE 28 
Registration 

This Convention, as soon as it enters into force, shall be registered by the Depositary with the Secretary-General of 
the United Nations in conformity with Article 102 of the Charter of the United Nations. 

IN WITNESS WHEREOF the undersigned, being duly authorised to that effect, have signed this Convention: 

For the Government of For the Government of the 

Australia Cook Islands 

[Signature] [Signature] 



Multilateral / Environment and Natural Resources 



251 



For the Government of the 
Federated States of Micronesia 

[Signature] 

For the Government of the 
Republic of Kiribati 

[Signature] 

For the Government of 
New Zealand 

[Signature] 

For the Government of the 
Republic of Palau 

[Signature] 

For the Grovemment of the 
Republic of the Marshall Islands 



For the Government of Tonga 

[Signature] 

For the Government of Vanuatu 

[Signature] 



For the Government of the 
Republic of F^i 

[Signature] 

For the Ctovemment of the 
Republic of Nauru 

[Signature] 

For the Gk>venunent of Niue 

[Signature] 



For the Government of 
Papua New Guinea 

[Signature] 

For the Government of 
Solomon Islands 

[Signature] 

For the Government of 'Hivalu 



For the Government of 
Western Samoa 

[Signature] 



DONE at Waigani, Papua New Guinea, on the sixteenth day of September in the yesac one thousand nine hundred 
and ninety five, in a single original in the English language. 



ANNEXI 



CATEGORIES OF WASTES WHICH ARE HAZARDOUS WASTES 



Wastes Streams: 



Yl 
Y2 
Y3 
Y4 
Y5 
Y6 
Y7 
Y8 
Y9 
YIO 

YU 
Y12 
Y13 



Clinical wastes from medical care in hospitals, medical centres and clinics. 

Wastes fi:wm the production and prepjiration of pharmaceutical products. 

Waste pharmaceuticals, drugs and medicines. 

Wastes from the production, formulation and use of biocides and phytopharmaceuticEds. 

Wastes from the manufacture, formulation and use of wood preserving chemicals. 

Wastes from the production, formulation and use of organic solvents. 

Wastes from heat treatment and tempering operations containing cyanides. 

Waste mineral oils unfit for their originally intended use. 

Waste oils/water, hydrocarbons/water mixtures, emulsions. 

Waste substances and articles containing or contaminated with polychlorinated biphenyls (PCBs) 
and/or polychlorinated terphenyls (PCft) £md/or polybrominated biphenyls (PBBs). 

Waste tarry residues arising frova refining, distillation and any pyrolytic treatment. 

Wastes from production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish. 

Wastes fit>m production, formulation and use of resins, latex, plasticisers, glues/adhesives. 



252 



The Marine Mammal Commission Compendium 



Y15 
Y16 
Y17 
Y18 
Y46 

Y47 



Waste chemical substsmces arising from research and development or teaching activities which are 
not identified and/or are new and whose effects on hiunam hesdth and/or the environment are not 
known. 

Wastes of an explosive nature not subject to other legislation. 

Wastes from production, formulation and use of photographic chemicals and processing materials. 

Wastes resulting from surface treatment of metals and plastics. 

Residues arising from industrial waste disposal operations. 

Wastes collected from households, including sewage and sewage sludges with the exception of clean 
sorted recyclable wastes which do not possess any of the hazardous characteristics defined in Annex II. 

Residues arising from the incineration of household wastes. 



Waste shaving as constituents: 

Y19 : Metal carbonyls. 

Y20 : BeryUium; beryllium compounds. 

Y21 : Hexavalent chromium compounds. 

Y22 : Copper compounds. 

Y23 : Zinc compounds. 

Y24 Arsenic; arsenic compounds. 

Y25 Selenium; selenium compounds. 

Y26 : Cadmium; cadmium compoiinds. 

Y27 : Antimony; antimony compounds. 

Y28 : Tsllurium; tellurium compounds. 

Y29 : Mercury; mercury compounds. 

Y30 : Thallium; thallium compounds. 

Y31 : Lead; lead compounds. 

Y32 : Inorganic fluorine compounds excluding calcium fluoride. 

Y33 : Inorganic cyanides. 

Y34 : Acidic solutions or acids in solid form. 

Y35 : Basic solutions or bases in solid form. 

Y36 : Asbestos (dust and fibres). 

Y37 : Organic phosphorus compounds. 

Y38 : Organic cyanides. 

Y39 : Phenols; phenol compounds including chlorophenols. 

Y40 : Ethers. 

Y41 : Halogenated organic solvents. 

Y42 : Organic solvents excluding halogenated solvents. 

Y43 : Any congener of polychlorinated dibenzo-furan. 

Y44 Any congener of polychlorinated dibenzo-p-dioxin. 

Y45 : OTganohalogencompoundsotherthansubstancesreferredtointhisAnnex(e.g.Y39,Y41,Y42,Y43,Y44). 



Multilateral / Environment and Natural Resources 253 

ANNEXn 

LIST OF HAZARDOUS CHARACTERISTICS 

UN CLASS* CODE CHARACTERISTICS 

1 HI Explosive 

An explosive substance or waste is a solid or liquid substance or waste (or mixture of 
substances or wastes) which is in itself capable by chemical reaction of producing gas at 
such a temperature and pressure and at such speed as to cause damage to the surroundings. 

3 H3 Flammable Uquids 

The word "flammable" has the same meaning as "inflammable". Flammable Uquids are 
Uquids, or mixtures of Uquids, or Uquids containing soUds in solution or suspension (for 
example, paints, varnishes, lacquers, etc., but not including substances or wastes otherwise 
classified on account of their dsingerous characteristics) which give off a flanunable vapour 
at temperatures of not more than 60.5 degrees C, closed-cup test, or not more than 65.6 
degrees C, open-cup test. (Since the results of open-cup tests and of closed-cup tests are not 
strictly comparable and even individual results by the same test are often variable, 
regulations varying from the above figures to make allowance for such differences would be 
within the spirit of this definition). 

4.1 H4.1 Flammable soUds 

SoUds, or waste soUds, other thsin those classed as explosives, which under conditions 
encountered in transport are readily combustible, or may cause or contribute to fire through 
friction. 

4.2 H4.2 Substances or wastes Uable to spontaneous combustion 

Substances or wastes which are Uable to spontaneous heating under normal conditions 
encoimtered in transport, or to heating up on contact with air, and being then Uable to catch 
fire. 

4.3 H4.3 Substances or wastes which, in contact with water, emit flammable gases 

Substances or wastes which, by interaction with water, are Uable to become spontaneously 
flammable or to give off flammable gases in dangerous quantities. 

5.1 H5.1 Oxidizing 

Substances or wastes which, while in themselves not necessarily combustible, may, 
generaUy by yielding oxygen cause, or contribute to, the combustion of other materials. 

5.2 H.5.2 Organic peroxides 

Organic substances or wastes which contain the bivalent-0 - 0-structure are thermaUy 
unstable substances which may imdergo exothermic self-accelerating decomposition. 

6.1 H6.1 Poisonous (Acute) 

Substances or wastes liable either to cause death or serious injury or to harm human health 
if swallowed or inhaled or by skin contact. 

6.2 H6.2 Infectious substances 

Substances or wastes containing viable micro organisms or their toxins which are known 
or suspected to cause disease in animals or humans. 

8 H8 Corrosives 

Substances or wastes which, by chemical action, will cause severe damage when in contact 
with Uving tissue, or in the case of leakage, wiU materiaUy damage, or even destroy, other 
goods or the means of transport; they may also cause other hazards. 



Corresponds to the hazard classification system included in the United Nations Recommendations on the Transport of Dangerous Goods 
(ST/SG/AC. lO/l/Rev.5. United Nations, New York, 1988). 



254 The Marine Mammal Commission Compendium 



HIO Liberation of toxic gases in contact with air or water 

Substances or wastes which, by interaction with air or water, are liable to give off toxic gases 
in dangerous quantities. 

Hll Tbxic (Delayed or chronic) 

Substances or wastes which, if they are inhaled or ingested or if they penetrate the skin, 
may involve delayed or chronic effects, including carcinogenicity. 

H12 Ecotoxic 

Substances or wastes which, if released, present or may present immediate or delayed 
adverse impacts to the environment by means of bioaccumulation and/or toxic effects upon 
biotic systems. 

HIS Capable, by any means, after dispossd, of yielding smother material, e.g. leachate, which 

possesses any of the characteristics Usted above. 



Tests 

The potential hazards posed by certain types of wastes are not yet fially documented; tests to define quantitatively 
these hazEirds do not exist. Further research is necessary in order to develop means to characterise potential hazards 
posed to human health and the environment by these wastes. Standsirdised tests have been derived with respect to 
pure subst£inces and materials. Many countries have developed national tests which can be applied to materials Usted 
in Annex I, in order to decide if these materials exhibit any of the characteristics listed in this Annex. 

ANNEXra 
PACIFIC ISLAND DEVELOPING PARTIES 

(1) The following Members of the South Pacific Forum, on becoming party to this Convention, shall be considered 
to be Pacific Island Developing Parties for the purposes of the Convention: 

- Cook Islands 

- Federated States of Micronesia 

- Fiji 

- Kiribati 

- Republic of Marshall Islands 

- Nauru 
-Niue 

- Republic of Palau 

- Papua New Guinea 

- Solomon Islands 
-Tbnga 
-TXivalu 

- Vanuatu 

- Western Samoa. 

(2) The Conference of the Parties may, in accordance with Article 13.4(g), and upon agreement with such 
prospective party, accept the status of £iny new Party to this Convention as a Pacific Island Developing Party. 



Multilateral / Environment and Natural Resources 255 



ANNEX IV 
OTHER PARTIES 

(1) The following Members of the South Pacific Forum, on becoming party to this Convention, shall be considered 
to be Other Parties for the purposes of the Convention: 

-Australia 
- New Zealand. 

(2) (a) The Conference of the Parties may, in accordance with Article 13.4(g), and upon agreement with such 

prospective party, accept the status of any new Party to this Convention as an Other Party; 

(b) An Other Party may designate a territory located within the Convention Area to which, upon agreement 

by the Conference of the Parties, the provisions of Article 4.1 of this Convention shall be applied mutatis 
mutandis in the same manner as they apply to a Pacific Island Developing Party. 

ANNEXV 
DISPOSAL OPERATIONS 

A. OPERATIONS WHICH DO NOT LEAD TO THE POSSIBILITY OF RESOURCE RECOVERY, RECYCLING, 
RECLAMATION, DIRECT RE-USE OR ALTERNATIVE USES. 

Section A encompasses all such disposal operations which occur in practice. 

Dl Deposit into or onto land (e.g. landfill, etc). 

D2 Land treatment (e.g. biodegradation of hquid or sludgy discards in soUs, etc). 

D3 Deep injection (e.g. injection of pumpable discards into wells, salt domes or naturally occurring repositories, 
etc). 

D4 Surface impoundment (e.g. placement of liquid or sludge discards into pits, ponds, or lagoons, etc). 

D5 Specially engineered landfill (e.g. placement into lined discrete cells which are capped and isolated fix)m one an- 
other and the environment, etc). 

D6 Release into a water body except seas/oceans. 

D7 Release into seas/oceans including sea-bed insertion. 

D8 Biological treatment not specified elsewhere in this Annex which results in final compounds or mixtures which 
are discarded by means of any of the operations in Section A. 

D9 Physico-chemical treatment not specified elsewhere in this Annex which results in final compounds or mixtures 
which are discarded by means of any of the operations in Section A (e.g. evaporation, drying, calcination, neu- 
tralisation, precipitation, etc). 

DIO Incineration on land. 

Dll Incineration at sea. 

D12 Permanent storage (e.g. emplacement of containers in a mine, etc). 

D13 Blending or mixing prior to submission to any of the operations in Section A. 



256 The Marine Mammal Commission Compendium 

D14 Repackaging prior to submission to any of the operations in Section A. 

D15 Storage pending any of the operations in Section A. 

B. OPERATIONS WHICH MAY LEAD TO RESOURCE RECOVERY, RECYCLING, RECLAMATION, DIRECT 
RE-USE OR ALTERNATIVE USES. 

Section B encompasses aU such operations with respect to materials legally defined as or considered to be 
hazardous wastes and which otherwise would have been destined for operations included in Section A. 

Rl Use as a fuel (other than in direct incineration) or other means to generate energy. 

R2 Solvent reclamation/regeneration. 

R3 Recycling/reclamation of organic substances which are not used as solvents. 

R4 Recycling/reclamation of metals and metal compounds. 

R5 Recycling/reclamation of other inorganic materisds. 

R6 Regeneration of acids and bases. 

R7 Recovery of components used for pollution abatement. 

R8 Recovery of components from catalysts. 

R9 Used oil re-refining or other reuses of previously used oil. 

RIO Land treatment resulting in benefit to agriculture or ecological improvement. 

Rll Uses of residual materials obtained from any of the operations numbered Rl-RlO. 

R12 Exchange of wastes for submission to any of the operations numbered Rl-Rll. 

R13 Accumulation of material intended for any operation in Section B. 

ANNEXVIA 
INFORMATION TO BE PROVIDED ON NOTIFICATION 

1. Reason for wastes export. 

2. Exporter of the wastes. 1/ 

3. Generators) of the wastes and site of generation. 1/ 

4. Importer and disposer of the wastes and actual site of disposal. 1/ 

5. Intended carriers) of the wastes or their agents, if known. 1/ 

6. Country of export of the wastes. 
Competent authority. 2/ 

7. Expected countries of trsmsit. 
Competent authority. 2/ 

8. Country of import of the wastes. 
Competent authority. 2/ 



Multilateral / Environment and Natural Resources 257 



9. General or single notification. 

10. Projected date(s) of shipment(s) and period of time over which wastes are to be exported and proposed itinerary 
(including point of entry and exit). 3/ 

11. Means of transport envisaged (road, rail, sea, air, inland waters). 

12. Information relating to insurance. 4/ 

13. Designation and physical description of the wastes including Y niunber and UN number and its composition 5/ 
and information on any special handling requirements including emergency provisions in case of accidents. 

14. Type of packaging envisaged (e.g. bulk, drummed, tanker). 

15. Estimated quantity in weight/volume. 6/ 

16. Process by which the wastes are generated. 7/ 

17. For wastes Usted in Annex 1, classifications from Annex II: hazardous chsiracteristic, H number, and UN class. 

18. Method of disposal as per Annex V. 

19. Declaration by the generator and exporter that the information is correct. 

20. Information transmitted (including technical description of the plant) to the exporter or generator fi:t)m the 
disposer of the wastes upon which the latter has based their assessment that there was no reason to believe that 
the wastes wall not be msinaged in an environmentally sound manner in accordance with the laws and regulations 
of the country of import. 

21. Information concerning the contract between the exporter and the disposer. 

NOTES: 

1/ Full name and address, telephone, telex or telefax number and the name, address, telephone, telex, or telefax 
number of the person to be contacted. 

2/ Full name and address, telephone, telex or telefax number. 

3/ In the case of a general notification covering several shipments, either the expected dates of each shipment or, 
if this is not known, the expected fi-equency of the shipments wall be required. 

4/ Information to be provided on relevant insurance requirements and how they are met by exporter, carrier, and 
disposer. 

5/ The nature and the concentration of the most hazardous components, in terms of toxicity and other dangers 
presented by the wastes both in handling and in relation to the proposed disposal method. 

6/ In the case of a general notification covering several shipments, both the estimated total quantity and the 
estimated quantities for each individual shipment will be required. 

7/ Insofar as this is necessary to assess the hazard and determine the appropriateness of the proposed disposal 
operations. 



258 The Marine Mammal Commission Compendium 

ANNEX VIB 
INFORMATION TO BE PROVIDED ON THE MOVEMENT DOCUMENT 

1. Exporterof the wastes. 1/ 

2. Generator(s) of the WEistes and site of generation. 1/ 

3. Disposer of the wastes and actual site of disposal. 1/ 

4. Carriers) of the wastes 1/ or their agent(s). 

5. Subject of general or single notification. 

6. The date the transboundary movement started and date(s) and signattire on receipt by each person who takes 
charge of the wastes. 

7. Means of transport (road, rail, inland waterway, sea, tdr) including countries of export, transit and import, also 
point of entry and exit where these have been designated. 

8. General description of the wastes (physical state, proper UN shipping name and class, UN number, Y number 
and H number as appUcable). 

9. Information on special handling requirements including emergency provisions in case of accidents. 

10. Type and number of packages. 

11. Quantity in weight/volume. 

12. Declaration by the generator or exporter that the information is correct. 

13. Declaration by the generator or exporter indicating no objection from the competent authorities of all Parties. 

14. Certification by disposer of receipt at designated disposal facility and indication of method of disposal and of the 
approximate date of disposal. 

NOTES: 

The information required on the movement document shall where possible be integrated into one document with that 
required tmder transport rules. Where this is not possible, the information should complement rather than duplicate 
that required under the transport rules. The movement document shall carry instructions as to who is to provide 
information and fill-out any form. 

1/ Full name and address, telephone, telex or telefax number and the name, address, telephone, telex or telefax 
number of the person to be contacted in case of emergency. 

ANNEX Vn 
ARBITRATION 

ARTICLE 1 

Unless the agreement referred to in Article 20 of this Convention provides otherwise, the arbitration procedure shall 
be conducted in accordance with Articles 2 to 10 below. 



Multilateral / Environment and Natural Resources 259 



ARTICLE 2 

The claimant party shall notify the Secretariat that the Parties have agreed to submit the dispute to arbitration 
pursuant to Articles 20.2 or 20.3 of this Convention and include, in particular, the zirticles of this Convention, the 
interpretation or apphcation of which, are at issue. The Secretariat shall forward the information thus received to 
all Parties to this Convention. 

ARTICLES 

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 arbitral tribunal. The latter shall not be a nation2d of one of the Parties to the dispute, nor have their 
usual place of residence in the territory of one of the Parties, nor be employed by any of them, nor have dealt with 
the case in £iny other capacity. 

ARTICLE 4 

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 Forum Secretariat in consultation with the Director of SPREP 
shall, at the request of either Party, designate that person within a further two months period. 

2. If one of the Parties to the dispute does not appoint an arbitrator within two months of the receipt of the request, 
the other Party may inform the Secretary General of the Forum Secretariat who shall, in consultation with the 
Director of SPREP, designate the president of the arbitral tribunal within a further two months period. Upon 
designation, the president of the arbitral tribunal shall request the Party which has not appointed an arbitrator 
to do so within two months. After such period, the president shall inform the Secretary General of the Forum 
Secretariat who shall make this appointment within a fiirther two months period, in consultation with the 
Director of SPREP 

ARTICLES 

1. The £irbitral tribunal shall render its decision in accordance with international law and in accordance with the 
provisions of this Convention. 

2. Any arbitral tribunal estabhshed under the provisions of this Annex shall decide its own rules of procedure. 

ARTICLES 

1. The decisions of the arbitral tribunal, both on procedure and on substance, shall be taken by majority vote of its 
members. 

2. The arbitral tribunal may take all appropriate measures in order to establish the facts. It may, at the request 
of one of the Parties, recommend essential interim measures of protection. 

3. The Parties to the dispute shall provide all facUities necessary for the effective conduct of the proceedings. 

4. The absence or default of a Party in the dispute shall not constitute an impediment to the proceedings. 

ARTICLE 7 

The arbitral tribunal may heeir and determine counter-claims arising directly out of the subject matter of the dispute. 



260 The Marine Mammal Commission Compendium 



ARTICLE 8 

Unless the arbitral tribunal determines otherwise because of the particular circumstances of the case, the expenses 
of the arbitrsd tribunal, including the remuneration of its members, shall be borne by the Parties to the dispute in 
equal shares. The arbitral tribunal shall keep a record of all its expenses, and shall furnish a final statement thereof 
to the Parties. 

ARTICLES 

Any 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, can intervene in the proceedings with the consent of the arbitral tribunal. 

ARTICLE 10 

1. The arbitral tribunal shall render its award within five months of the date on which it is established unless it 
finds it necessary to extend the time-limit for a period which should not exceed five months. 

2. The award of the arbitral tribunal shall be accompanied by a statement of reasons. It shall be final and binding 
upon the Parties to the dispute. 

3. Any dispute which may arise between the Parties concerning the interpretation or execution of the award may 
be submitted by either Party to the arbitrsJ tribunal which made the award or, if the latter cannot be seized 
thereof, to smother tribunal constituted for this purpose in the same manner as the first. 



MULTILATERAL 



Environment and 
Natural Resources 



NON-BINDING DOCUMENTS 



261 



Action Plan for Biosphere Reserves, 
Paris, 1984 

Done at Paris 8 December 1984 

Primary source citation: Copy of text provided by 
UNESCO 



ACTION PLAN FOR BIOSPHERE RESERVES 

On the basis of the results of the First International Biosphere Reserve Congress, jointly convened in Minsk in 1983 
by Unesco and UNEP in co-operation with FAO and lUCN, at the invitation of the USSR, and of consultations with 
conservation specialists and scientists which have since taken place, an Action Plan for Biosphere Reserves was adopted 
by the International Co-ordinating Council of the Programme on Man and the Biosphere at its eighth session (Paris, 
3-8 December 1984) and is presented in this document as a programme framework. 

This framework identifies a range of actions for consideration by governments and concerned international organiza- 
tions in developing the multiple functions of biosphere reserves within the overall context of the MAS Programme. 
Those actions concretely serve the implementation of the World Conservation Strategy. While a number of actions are 
of a permanent nature, the stress is placed on activities which can be carried out in the period 1985-89. In summary, 
governments and international organizations are invited to undertake activities which will improve and expand the 
international biosphere reserve network, to develop basic knowledge for conserving ecosystems and biological diversity, 
and to make biosphere reserves more effective in linking conservation and development in fulfilling the broad objectives 
ofMAB. Although each government has its own priorities, from an international perspective there is a minimum set 
of activities which should be implemented in each biosphere reserve and for which international organizations should 
provide support as appropriate. These are: baseline inventories of flora and fauna and their uses; monitoring; 
preparation of a history of research; establishment of research facilities and research programmes; establishment of 
training and education programmes; and preparation of a management plan which addresses biosphere reserve 
functions. The approved Action Plan, together with an indication of financing requirements, will be submitted in due 
course for consideration by the governing organs of UNEP, Unesco, FAO and lUCN. 

Introduction 

1. The Man and the Biosphere (MAB) Programme, launched in 1971, is a worldwide programme of international 
scientific co-operation dealing with people-environment interactions in the whole range of bioclimatic and geographic 
situations of the biosphere — from polar to tropical zones, from islands and coastal areas to high mountain regions, 
from sparsely populated regions to dense human settlements. Research under the MAB Programme is designed to 
provide the information needed to solve practical problems of resource management. It also aims to fill the still 
significant gaps in the understanding of the structure and ftmction of ecosystems, and of the impact of different tjrpes 
of human intervention. Key ingredients in the MAB Programme are the involvement of decision-makers and IoceJ 
people in research projects, training and demonstration in the field and the pooling of discipUnes from the social, 
biological and physical sciences in addressing complex environmental problems. 

2. The International Co-ordinating Council which supervises the MAB Programme, at its first session in 1971, 
decided that one of the themes of this programme was to be the 'conservation of natural areas and the genetic material 
they contain'. Under this theme was introduced the concept of the biosphere reserve which was intended to be a series 
of protected areas, linked through a coordinated international network, which would demonstrate the value of 
conservation and its relationship with development. The concept was innovative because of this network character 



263 



264 The Marine Mammal Commission Compendium 



and because it combined nature conservation with scientiiic research, environmental monitoring, training, demon- 
stration, environmental education and local participation. 

3. Since the very beginning of the implementation of the concept of biosphere reserves as representative ecological 
areas, the international biosphere reserve network has formed a geographic focus for implementing the MAB 
Programme. 

4. The first biosphere reserves were designated in 1976. Subsequently, the network has grown steadUy until 1984; 
at present, it consists of a total of 243 in 65 countries. In this same period, co-operation with other international 
organizations involved with conservation and sustainable development has been strengthened, particularly the Food 
and Agriculture Organization (FAO), the United Nations Environment Programme (UNEP) and the International 
Union for Conservation of Nature and Natural Resources (lUCN). Representatives of these organizations meet 
together regularly through the Ecosystem Conservation Group to co-ordinate action. 

5. FAO has a major interest in biosphere reserves because of their contribution to the in situ conservation of 
genetic resources, especially wild crop relatives, forest species, and ancestors and close relatives of domestic livestock. 
UNEP is promoting the value of the international network for conservation in general, and in particular, for 
environmental monitoring using comparable methodologies and parameters. lUCN considers that biosphere reserves 
constitute a useful concept for regional planning in which conservation is Unked directly with sustainable develop- 
ment, in line with the World Conservation Strategy. 

6. It was therefore in the joint interests of FAO, UNEP, lUCN and Unesco that the First International Biosphere 
Reserve Congress was convened in 1983 to review the experience of the past ten years and to estabhsh a general 
framework to guide the future development of the biosphere reserve network. 

The characteristics of biosphere reserves 

7. The main characteristics of biosphere reserves are: 

(a) Biosphere reserves are protected areas of representative terrestrial and coastal environments which 
have been internationally recognized for their value in conservation and in providing the scientific 
knowledge, skills and human values to support sustainable development. 

(b) Biosphere reserves are united to form a worldwide network which facilitates sharing of information 
relevant to the conservation and management of natural and managed ecosystems. 

(c) Each biosphere reserve includes representative examples of natural or minimally disturbed ecosystems 
(core areas) within one of the world's biogeographical provinces; and as many of the following types of 
areas as possible: 

(i) centres of endemism and of genetic richness or unique natural features of exceptional scientific 
interest (which may be part or all of the core area); 

(ii) areas suitable for experimental manipulation to develop, assess and demonstrate the methods 
for sustainable development; 

(iii) examples of harmonious landscapes resulting from traditional patterns of land use; 

(iv) examples of modified or degraded ecosystems that are suitable for restoration to natural or 
near natural conditions. 

Collectively, the various types of above areas provide the fi-amework for cjirrying out the scientific and 
management functions of biosphere reserves. 

(d) Each biosphere reserve should be large enough to be an effective conservation unit, and have value as 
a benchmark for measurements of long-term changes in the biosphere. 

(e) Biosphere reserves should provide opportunities for ecological research, education, demonstration and 
training. 



Multilateral / Environment and Natural Resources 265 



(f) The Tjuffer zone' may consist of any one or some combination of (ii) to (iv) of (c) above, which are areas 
suitable or used for research purposes. In addition, the "buffer zone' may also include a large area which 
may be undehneated but where efforts are made to develop co-operative activities which ensure that 
uses are managed in a manner compatible with the conservation and research functions of the other 
areas of the reserve cited in (c) above. This multiple-use area may contain a variety of agricultural 
activities, settlements and other uses and may vary in space and time, thus forming an 'area of 
co-operation' or 'zone of influence'. 

(g) Biosphere reserves must have adequate long-term legislative, regulatory or institutional protection. 
Biosphere reserves may coincide with or incorporate existing or proposed protected areas, such as 
national parks or protected research sites. This is because some of these protected areas are often the 
best examples of the natural unaltered landscape or because they constitute suitable areas for carrying 
out the various functions of biosphere reserves. 

(h) People should be considered as part of a biosphere reserve. People constitute an essentisil component of 
the landscape and their activities are fundamental for its long-term conservation and compatible use. 
People and their activities are not excluded fr«m a biosphere reserve; rather they are encouraged to 
participate in its management and this ensures a stronger social acceptance of conservation activities. 

(i) Normally, there is no need for changes in land-holding or regulation following the designation of a 
biosphere reserve except where changes are required to ensure the strict protection of the core area or 
of specific research sites. 

8. The above characteristics however may give an insufficient impression of the breadth of the concept. Successfiil 
biosphere reserves constitute models of the harmonious marriage of conservation and development. They provide 
visible examples of the apphcation of the World Conservation Strategy — sustainable development in action. 

Functions of biosphere reserves 

Conservation as an open system 

9. Although it has long been clear that the whole variety of organisms and ecosystems cannot be safeguarded 
satisfactorily forever if their sole refuges are protected areas of the more conventional tjrpes, this is the only approach 
that has been appUed widely in practice so far. If genetic conservation is to be successful in weathering natural and 
man-induced environmental change, a more open system of conservation is required, in which areas of undisturbed 
natured ecosystems can be surrounded by areas of sympathetic and compatible use. The biosphere reserve provides 
these conditions. It should, perhaps, be looked upon less as a "reserve' than as an area of ecologically representative 
landscape in which land use is controlled, but may range from complete protection to intensive, yet sustainable, 
production. Under certain ciromastances these £ireas need not even be contiguous but separate from one another 
('cluster concept' of biosphere reserves). This arrangement of graded control allows for a flexibility of treatment that 
is necessary if conservation is to be assured under changing circumstances. 

10. Because they contain a substantial proportion of the indigenous flora and faima of a biogeographic region, 
biosphere reserves are important reservoirs of genetic material. These resources increasingly find application in 
developing new pharmaceuticals, industrial chemicals, building materials, food sources, pest control agents, and 
other products to improve human well-being. The genetic resources of biosphere reserves also may provide genetic 
material for re-estabUshing indigenous species in Eireas where they have been eradicated, thereby enhancing the 
stability and diversity of regional ecosystems. Within peirticular natural regions, biosphere reserves are linked to 
form local and regional networks with other types of protected areas which safegueird complementary ecosystems 
and elements of biological diversity. 

11. Aunique aspect of biosphere reserves is the conservation, where practicable, of traditional land use systems, 
illustrating harmonious relationships between indigenous populations and the environment. These systems often 
reflect centuries of human experience and can provide information of immense vjdue in improving the productivity 
and sustainabihty of modem land use and management practices. In addition to providing important sites for 
scientific study, the inclusion of such areas can help to foster pride on the part of local populations in their traditions, 
and to provide the basis for improving their means of livelihood, through the judicious use of science and technology, 
in ways which respect these traditions. 



266 The Marine Mammal Commission Compendium 



Research and monitoring function 

12. Because of their secure protection, generally large size, and the inclusion of areas free from significant human 
impact, biosphere reserves typically provide ideal sites for monitoring changes in the physical and biological 
components of the biosphere. Their protection and scientific mission make biosphere reserves particularly attractive 
sites for gathering scientific information. Scientists can have more confidence than in most other areas that the 
integrity of study sites wiU be respected, and that collected data will contribute to a growing data bank of increasing 
scientific significance. As land use changes and human impacts progressively decrease the availability of suitable 
monitoring sites, scientific interest in biosphere reserves will increase. 

13. In most protected areas, research is a secondary fiinction which is intended to provide information to enable 
effective response to immediate resource management problems within the protected areas themselves. In biosphere 
reserves, interdisciplinary research programmes involving the natural and social sciences are encouraged to develop 
models for sustainable conservation of the ecosystems of a large natural region. Biosphere reserves provide sites for 
co-ordinated research, including research to determine requirements for conserving biological diversity, to assess the 
impacts of pollution on the structure and functions of ecosystems, to evaluate the effects of traditional and modem 
land use practices on ecosystem processes, and to develop sustainable production systems for degraded areas. 

14. Additionally, the international network provides a framework for comparative studies of similar problems in 
different parts of the world; for testing, standardizing and transferring new methodologies; and for co-ordinating the 
development of information management systems. 

The education and training function 

15. Biosphere reserves can serve as important field centres for the education and training of scientists, resource 
managers, protected area administrators, visitors, and local people. The strong emphasis on developing educational 
and training programmes within biosphere reserves is probably unique. The nature of these programmes depends 
on the particular conditions, capabiUties, and needs of the biosphere reserve and the surrounding region. However, 
the following kinds of activities are generally encouraged: academic and professional training; environmental 
education; demonstration and extension; training for local people supplemented by the provision of employment 
opportunities. 

The co-operation function 

16. Co-operation not only serves as the master integrator of the other fiinctions, but also provides the moral force 
behind the biosphere reserve concept. Biosphere reserve status can provide a framework for improving co-operation 
at the locsd, regional, and international level. Co-operation is increasingly regarded as an aspect of good management 
for all categories of protected areas. However, biosphere reserves are distinguished from other categories of protected 
areas in several ways, as follows. 

17. First, co-operation has been embodied, specifically and visibly, in the biosphere reserve concept from its 
inception. Unlike other protected areas, it is an essential part of the symboUsm, sind a key factor in fostering personal 
commitment on the part of growing numbers of people. 

18. Second, co-operation at the local and regional levels is broadly based, involving diverse interests tmd people 
with different perspectives. Efforts are directed towards finding practical and sustainable strategies for dealing with 
complex and interrelated environmental, land use, and socio-economic problems Eiffecting a particular biogeographic 
region. For this reason, the range of interests involved in planning and implementing the biosphere reserve concept 
typically includes biosphere reserve administrators, natural and social scientists, resource managers, environmental 
and development interests, government decision-makers and local people. Communication between these groups is 
based on the need to integrate conservation and development within the biogeographic region, and on the recognition 
of the value of a biosphere reserve. Through these co-operative efforts, an area around the biosphere reserve can 
eventually be developed, which represents a zone of influence in which co-operative activities and harmonious land 
uses can be implemented. The spatial dimensions of this area expand as more participants co-operate in building the 
biosphere reserve. Developing the network of co-operation for carrying out the mission of the biosphere reserve is an 
open-ended process. 



Multilateral / Environment and Natural Resources 



267 




Schematic map indicating the location of existing biosphere reserves. At the end of 1984, 243 biosphere reserves had been designated in 
65 countries. In some areas, particularly Europe, where their density is high, individual stars may correspond to several biosphere 
reserves. 

19. Biosphere reserves can also provide the catalyst for establishing appropriate mechanisms to marshal the 
professional capabilities of government agencies and academic institutions to provide a perspective on the ecosystem 
use and management problems of particular regions. 

20. Finally, all biosphere reserves are part of the international network, which provides a framework for 
communication within and among biogeographic regions. Co-operation involves the sharing of technology and 
information, and the development of co-ordinated monitoring and research projects, to provide better information on 
problems of common interest. Biosphere reserves are particularly suitable for co-operative monitoring of regional and 
global pollutants and their effects on natural and managed ecosystems, for co-operative ecosystem modelling, for 
assessment and forecasting, and in comparative assessment of alternative systems for msinaging renewable re- 
sources. Co-operation may also involve the exchange and training of specialists to assist in selecting biosphere 
reserves and developing their functions. 

The Action Plan 

21. There are three main thrusts in the programme framework of the Action Plan, all designed to promote and 
implement the concept of the biosphere reserve and to make it a more efifective agent for sustainable development. 
These are: improving and expanding the network; using the network to increase knowledge; and making biosphere 
reserves more effective in demonstrating the value of integrating conservation and development. 



Improving and expanding the network 

22. One of the principal objectives of the Action Plan is to improve and expand the world coverage of biosphere 
reserves by including: (a) representative ecological sireas within each of the world's biogeographical regions, in their 
natural state and as modified by man to varying degrees; (b) centres of endemism and of genetic richness; and (c) 
areas for carrying the full range of biosphere reserve functions. 

Developing basic knowledge for conserving ecosystems and biological diversity 

23. A number of actions are concerned with generating and disseminating useful knowledge, in particular: (a) 
using biosphere reserves for background global monitoring of chosen biological, chemical and physical variables; (b) 
carrying out research in basic ecological processes, which can be applied in management, and in 'conservation science'; 
(c) monitoring the results and effectiveness of management; (d) assembling traditional knowledge about the use of 



268 The Marine Mammal Commission Compendium 



species and ecosystems; and (e) spreading all such knowledge by example, publication, wide dissemination in various 
other forms, training, exchange of staff and of local people and by setting up demonstration biosphere reserves to 
illustrate these matters to a wide public. 

Making biosphere reserves more effective in linking conservation and development 

24. Existing and new biosphere reserves are to be made more effective in various ways: (a) ensuring that biosphere 
reserves meet the criteria and serve the purposes intended for them, and are not just other sorts of protected areas 
given another name; (b) guaranteeing their protection by legislation and/or management; (c) linking goals of 
conservation and development; (d) improving the effectiveness of management and monitoring the standards of 
management; (e) incorporating in present and future management the traditional skills of those who Uve in and 
around biosphere reserves; and (f) ensuring the imderstanding and participation of local people who Etre affected by 
the biosphere reserves. 

25. Although it is expected that biosphere reserves will be established and maintained on a permanent basis, the 
Action Plan concentrates on recommendations for action during the period 1985 to 1989, which coincides with the 
United Nations Systems- wide Medium-term Environment Programme as well as the medivmi-term plEins of several 
of the sponsoring organizations. It is designed to be both resdistic and practical. Some actions will be initiated or 
undertaken by United Nations organizations (in particular Unesco, UNEP, FAO, WHO and WMO) £md by lUCN. Due 
consideration will be given to appropriate requirements of the World Conservation Strategy and other relevant action 
plans such as the United Nations Plan to Combat Desertification. However, most actions will be a matter for individual 
countries to implement in accordance with their own priorities. Success, therefore, will largely depend on the support 
of governments — in their domestic policies, in the attitudes they take in the governing bodies of international 
organizations and in asking for and giving technical assistance. 

26. This Action Plan presents a set of recommended actions which governments and international organizations 
can implement, better to fulfil the functions of biosphere reserves. Given a reasonable level of funding and 
international support, substantial progress can be made in implementing most of these recommendations by 1989. 
It is proposed that a meeting be held to review the progress made and draw up directions for fiiture actions in 1990. 

27. Every government estabUshes its own priorities for implementing activities in biosphere reserves. These 
activities all contribute to the worldwide network to the extent that their results are shared among the co-operating 
nations. However, from an international perspective, there is a minimum set of activities which should be imple- 
mented in each biosphere reserve. These include: 

• BaseUne inventories of species of fauna and flora and their present and traditional uses (to provide the basis for 
further resesirch, monitoring, and information activities). 

• Establishment of procedure for monitoring key biological parameters. 

• Preparation of a history of research, which specifies what research has been carried out and includes a complete 
bibliography of relevant pubUcations, as well as an analysis of the relationship with other ongoing pilot projects, 
and especially national or international projects of the MAB Programme. 

• Establishment of research facilities and a research programme which outlines the research activities envisaged 
for the following five years or so. 

• EstabUshment of a training/education programme appropriate for local needs and conditions. 

• Preparation of a management plan which specifies the steps to be taken in developing biosphere reserve functions 
(this may often involve only minor alterations to existing management plans). 



Multilateral / Environment and Natural Resources 269 



Objectives and actions 

Objective 1. International network: to enhance the role of the international network of biosphere 
reserves in global ecosystem conservation 

28. In spite of vigorous action during the past decade to make governments aware of the importance of biosphere 
reserves and to promote their estabUshment, there are still many gaps and deficiencies in the network. 

• Many important representative types of ecosystem are still to be included, especially of coastal and aquatic 
ecosystems. 

• Only a few biosphere reserves established so far cover the ftill range of purposes for which biosphere reserves were 
intended. 

• Few reserves have been estabhshed which include centres of high biological diversity and endemism, particularly 
the centres of concentration of the wild relatives of economically important plants and animals. 

• The significance of the biosphere reserve concept and the added importance of having a network are not fully 
appreciated, so a number of countries have not yet responded, and others have proposed areas that only partially 
profit from the advantages offered by this concept of land use. 

29. This is an important objective; because, without a full network, many of the other objectives can only be 
partially satisfied. Action on it is, therefore, crucial. Promotion of the philosophy of the biosphere reserve and 
strengthening the network are, of coiu-se, tasks that will never be fully complete; but it should be possible by 1990 to 
lay firm groundwork for subsequent continuing action. 

Recommended actions 

Action 1. In order to provide the basis for a rational selection of biosphere reserves that would give a complete 
biogeographical cover, lUCN, in co-operation with UNEP, should prepare and pubUsh: 

Classification of 'representative ecological areas' on land; and classification of "representative ecological areas' 
covering intertidal and marine habitats in coastal areas. 

Action 2. In order to move rapidly and systematically in expanding the network of biosphere reserves, Unesco, 
UNEP, FAO and lUCN should co-ordinate their planned activities and develop a phased programme to identify gaps 
in ecosystem representation and biosphere reserve functions, and to stimulate action based on these evaluations. The 
results of these evaluations should be widely publicized. 

Action 3. Governments should be urged to take such action as appropriate to fill the identified gaps in ecosystem 
representation and biosphere reserve fiinctions. In this they are encouraged to consult and co-operate with the 
governments of neighbouring countries to develop a coherent and co-ordinated approach. Governments should also 
develop basic information for refining and accelerating the selection of biosphere reserves, and should take fiill 
advantage of recent advances in remote-sensing. 

Action 4. In order to take the first steps in establishing a series of biosphere reserves covering the main areas of 
specific and genetic diversity, FAO and lUCN should develop a survey of centres of endemism, and of centres of 
concentration of wild relatives of economic species, starting with a pilot project for one biogeographic realm and for 
a few selected groups of organisms. Following completion of the pilot project, Unesco, UNEP, FAO and lUCN should, 
if appropriate, develop a programme for extending the project to other parts of the world and to other groups. 

Action 5. In order to make the network of aquatic and wetland biosphere reserves more complete and effective, 
rUCN should convene a working group to examine the special managerial, legislative and institutional problems 
related to such reserves and develop necessary guideUnes for their solution. 

Action 6. Unesco should immediately establish a Biosphere Reserve Scientific Advisory Panel to refine criteria 
for the selection and msinagement of biosphere reserves, to evaluate proposals for new biosphere reserves and to 
review from time to time the effectiveness of the network. 



270 



The Marine Mammal Commission Compendium 



Tropical humid forests 






Temperale broadleat forests 
or woodlands and sub-polar 

deciduous 



O 



TropK^al grasslands 
t^i ' , /I 'w Temperate grasslarwJs 



CD 




Map indicating the major biomes of the world. The international network of biosphere reserves is intended to cover systematically all 
biogeographical provinces. Although existing classifications of these provinces have been used so far, a more detailed and refined 
classification is being worked out for guiding the further development of the network. 



Objective 2. Management: to improve and upgrade the management of existing and new biosphere 
reserves to correspond with their multipurpose objectives 

30. The long-term security of biosphere reserves should be assured through legal instruments, regulations or a 
management framework directly applicable to the biosphere reserve or to its separate management units and land 
ownerships. In many countries, the legal and administrative protection normally afforded to national parks, ecological 
reseeirch areas and other protected areas is adequate for the protection of biosphere reserves. Where such legal and 
administrative protection does not exist, it should be developed especially for the area concerned before it is nominated 
as a biosphere reserve. 

31. In the land surrounding the core area and the research sites, the objective is to encourage uses and activities 
which do not adversely affect the conservation and research functions of the biosphere reserve. Protection in these 



Multilateral / Environment and Natural Resources 



271 




areas may involve laws or regulations to promote land uses which are compatible with the biosphere reserve. However, 
the buffer zones and surrounding areas frequently are multiple-use areas in which compatible uses depend on 
voluntary co-operation to protect the biosphere reserve. A wide range of situations, involving various combinations 
of legal instruments, administrative regulations, and voluntary co-operation are possible depending on the particular 
ecological, socio-economic, cultural and institutional context of the reserve. In the particular case of marine habitats 
in coastal areas, special provision should be made so that the adjacent littoral and the catchment basins of its drainage 
system are adequately protected. 

Recommended actions 

Action 7. To ensure an adequate basis for protection and management of biosphere reserves, governments and 
responsible administrators are encouraged to review legal instruments relating to biosphere reserve units and to 
pursue revisions where needed. 



Action 8. In order to assess the adequacy of existing laws and to help design new legislation, where appropriate, 
rUCN in co-operation with FAO should collect and synthesize information on the managerisd requirements of 



272 The Marine Mammal Commission Compendium 



biosphere reserves, on the legislative measures used by governments to secure these, and on the institutional 
arrangements which can be adopted for the satisfactory administration and management of biosphere reserves. FAO, 
rUCN and Unesco should make this information available on request and prepare and publish guidelines on the 
subject. 

Action 9. Td improve the effectiveness of biosphere reserves in carrying out their multiple functions, MAB 
National Committees should be asked to review the management of existing biosphere reserves, develop management 
guidelines, and recommend implementing measures to improve the standard of management appropriate to the legal, 
administrative, ecological, cultural and socio-economic conditions affecting the reserves. 

Action 10. In order to assist in the task of bringing the management of biosphere reserves up to the highest possible 
standard, FAO and lUCN, in co-operation with UNEP and Unesco, should assist biosphere reserve administrators 
to develop model management plans for up to four biosphere reserves chosen to cover a range of different purposes, 
and should distribute these extensively. 

Action 11. Unesco, in co-operation with UNEP, FAO and lUCN, should continue to provide missions to governments 
to advise on selection, establishment, legislation and management of national systems of biosphere reserves, and on 
the setting up and management of such reserves. Biosphere reserves should be recommended as an integral part of 
any National Conservation Strategy. 

Objective 3. In situ conservation: to promote the conservation of key species and ecosystems in biosphere 
reserves 

32. There are great differences between species in their requirements for space and in the size of population that 
is genetically viable and would preserve its full genetic potential. These considerations are very significant in the 
choice of biosphere reserves (their size, shape and internal heterogeneity) and in their management; in general the 
smaller and more uniform the reserve, the more intervention likely to be required. Special problems are associated 
with wide-ranging vertebrates, especially predatory mammals and birds, and with migratory species. These are fields 
in which more research is needed and in which new knowledge and experience is constantly accumulating. 

33. Closer collaboration and a greater exchange of information is needed between those dealing with the in situ 
and the ex situ conservation of the same groups of organisms. 

Recommended actions 

Action 12. In order to ensure the conservation in situ of key species and ecosystems, governments should be asked 
to take specific and urgent measures in relation to particular species and ecosystems of great importance or under 
particular threat. 

Action 13. In order to illustrate the principles and methods of ire situ conservation of wild relatives of economically 
important species, pilot projects should be initiated by FAO, in co-operation with UNEP, to demonstrate management 
techniques allowing their conservation in existing or potential biosphere reserves. 

Action 14. FAO, in co-operation with Unesco, should set up mechanisms for the exchange of information between 
those biosphere reserves providing for the in situ conservation of selected groups of organisms and those institutions 
dealing with the ex situ conservation of the same groups. 

Objective 4. Research: to promote co-ordinated research projects on conservation science and ecology 
within biosphere reserves 

34. The development of the research function of biosphere reserves commands the highest priority. Biosphere 
reserves provide securely protected sites for carrying out long-term basic and applied research programmes to develop 
the scientific basis for the sustainable use and the long-term conservation of these natural and managed ecosystems, 
in conformity with the objectives of the MAB Programme. 

35. The data obtained from long-term research programmes in biosphere reserves are particularly valuable for 
the development of models to enable the prediction of environmental changes and trends, and their possible effects 
on human society. 



Multilateral / Environment and Natural Resources 273 



36. Of particular importance is the role of biosphere reserves in providing an international framework for 
comparative research, between natural and managed ecosystems within a given biosphere reserve or between 
separate biosphere reserves in the network which either have sinalogous ecological characteristics or sumlsir ecological 
problems. MAB research undertaken within the biosphere reserve network can be linked, to great mutual advantage, 
to other international research programmes. 

Recommended actions 

Action 15. In order to develop the research potential of the biosphere reserve network, governments should be 
encouraged to set up co-operative, bUateral or multilateral pUot projects involving: (a) basic and applied research; (b) 
comparative research involving managed and natural ecosystems; (c) comparative research involving biosphere 
reserves with analogous ecological characteristics or similar ecological problems; (d) application of new technologies 
(e.g. remote sensing or modelling) in such research; and (e) development and expansion of north-south, south-south, 
and north-north linkages for research and educational purposes. 

Action 16. Unesco should try to marshal resources from other institutions to assist governments to conduct 
research in selected biosphere reserves on the priority research topics identified under the MAB Programme (such 
as on tropical mountains, soil biological processes, succession and regeneration, multipurpose plants, restoration of 
degraded ecosystems, etc.) in order to strengthen the cohesiveness of the Programme. 

Action 17. Unesco, in co-operation with FAO, WHO and lUCN, should develop and maintain a register of plant and 
a n i m al taxa occurring in biosphere reserves. This register should include basic information on the ecology, distribution 
and status of these taxa, paying due attention to those of potential agricultural or medical interest. In addition, 
Unesco, in co-operation with these same organizations, should organize the systematic collection and storage of 
information on the uses (traditional and modem) of these taxa and should build up a data bank and an information 
service to synthesize and disseminate this information. 

Action 18. Unesco, in co-operation with UNEP, should review the development of the science relating to the 
conservation of biological diversity and should publish a review of the state-of-the-art and recommendations for 
action. 

Action 19. Unesco should try to marshal the resources from other institutions to assist governments to conduct 
research in conservation science relating to biosphere reserves, with emphasis on studies to guide the design of 
protected areas and the management of genetic resources. 

Action 20. In order to show how development may be based on local knowledge, Unesco, in co-operation with UNEP, 
should assist governments to initiate pilot projects to demonstrate how knowledge of traditional uses may be combined 
with modem scientific work to allow rational, sustainable use of local resources. 

Action 21. In order to promote the restoration of degraded ecosystems, Unesco should encourage governments to 
support research in this field and should develop a mechanism for the exchange and dissemination of information 
about relevant successful experiences in biosphere reserves. 

Objective 5. Monitoring: to develop monitoring activities in biospiiere reserves in order to provide a basis 
for scientific research and management activities and contribute to the understanding of environmental 
change 

37. Because of their scientific objectives and protective status, many biosphere reserves are of particular value for 
the long-term monitoring of global biogeochemical cycles, ecological processes, and the effects of human use on the 
biosphere (particularly as sites for monitoring background levels of pollutants). Fully and properly used, they can 
make a great contribution to global monitoring and can provide ground truth data for remote sensing and other 
purposes. In this, close collaboration is needed with UNEP (GEMS programme), WMO (World Climate Programme), 
FAO and other organizations. 

Recommended actions 

Action 22. In order to maximize the contribution of biosphere reserves to international environmental monitoring 
programmes, UNEP (GEMS) and Unesco should encourage governments to make biosphere reserves available for 
global environmental monitoring progrsmimes. UNEP in collaboration with FAO, WHO, WMO, ICSU and other 



274 The Marine Mammal Commission Compendium 



interested organizations should; (a) identify those parameters of global scientific significance that can be easily and 
inexpensively monitored on a long-term basis, and design appropriate monitoring programmes; (b) develop stand- 
ardized, reliable, and widely applicable methods for collecting and comparing data and assuring quaUty control; (c) 
select biosphere reserves which are suitable for this work and promote the use of these sites with the governments 
concerned; and (d) seek support for the monitoring of abiotic and biotic parameters of different ecosystem components 
(e.g. litter, soil, atmosphere, water, etc.) in biosphere reserves, including biological indicators of environmental change. 

Action 23. In order to increase its contribution towards the integrated monitoring of the biosphere, WMO should 
further develop any methodologies and instrumentation necessary for the monitoring of the atmospheric component 
and initiate collection and analysis of the relevant data. WMO should also, as far as possible and appropriate, use 
biosphere reserves for background monitoring of the atmosphere and for long-term monitoring of climate. 

Objective 6. Regional planning: to enhance the role of biosphere reserves in regional planning and 
development 

38. Integrated rural development projects which strengthen the functions of biosphere reserves are a means for 
ensuring the success of the biosphere reserve concept. One of the most valuable features of biosphere reserves is that 
they offer an excellent way of integrating conservation with development — by building on the knowledge of indigenous 
peoples about the sustainable management of their ecosystems and about the properties and vjJues of the plants and 
animals therein. When this is appropriately supplemented by modem science and technology, such knowledge should 
enable even better use to be made of those ecosystems while preserving their essential character — and to do this in 
ways that benefit local peoples and are acceptable to them. Such measures will also serve to safeguard the primitive 
cultivars of economic crops. This path of development is especially suitable in many areas of the developing world 
but could also be followed with advantage in some of the less favoured rural areas of developed countries. 

39. This path may take a number of forms, for example: 

• Increasing the productivity of locally adapted systems of farming, in ways that retain the richness of the local 
flora and fauna and the protective character of the vegetation. 

• Developing, around core areas that should be strictly protected as genetic reserves, patterns of more productive 
yet sustainable Ismd use that are of benefit to local people and are acceptable to them. 

• Linking biosphere reserves to major development projects to ensure that these contain appropriate elements of 
protection and of the sustainable use of local ecosystems. 

40. Biosphere reserves, by definition and intent, have economic and social benefits for local people, but also have 
value in demonstrating sustainable development tied to conservation in the wider biogeographical region. While 
biosphere reserves have these inherent benefits, they need to be publicized. Biosphere reserves provide a framework 
demonstrating the economic benefits which can result from the protection of natural and managed ecosystems. 

Recommended actions 

Action 24. To demonstrate the value of biosphere reserves in integrated regional planning, governments should 
develop existing biosphere reserves as models of balanced and sustainable development. These models should be used 
to demonstrate the economic and social benefits of conservation. Where biosphere reserves have not yet been 
established, governments should set up such areas, and also consider nominating for biosphere reserve designation 
successful projects which integrate conservation (involving a protected area) and rural development, or projects which 
have such potential. 

Action 25. In order to ensure that large development projects contain the requisite elements of conservation, the 
World Bank and other international and regional development-financing organizations should ensure that any 
development project financed by them should not affect the basic functions of existing biosphere reser\'es. These 
organizations should support the establishment of biosphere reserves as a compensatory measure to mitigate the 
adverse ecological effects of the development project, financed by them, which would affect major ecosystems. They 
should also consider support for rural development projects involving biosphere reserves which will help to develop 
the full range of biosphere reserve functions. 



Multilateral / Environment and Natural Resources 275 



Objective 7. Local participation: to promote local participation in the management of biosphere reserves 

41. For biosphere reserves to be successful, it is essential that they be locally acceptable. This is not always easy 
for a number of reasons. There may be conflict between the requirements of short-term economic pursuits and 
conservation; there may be different local views on land use; and the local and national interests may diverge. Careful 
consultation zind planning are necessEiry, as well as a continual dialogue involving tact, understanding and imagina- 
tion. 

42. Moreover, the situation is seldom stable. Growing populations, changing expectations, improved technology 
or communications, and economic pressures from outside may change the whole pattern of land use and local 
perceptions of priorities. The biosphere reserve should be able to evolve in harmony with all these changes to enable 
local populations to adjust to demographic and economic transitions without environmental deterioration. 

Recommended actions 

Action 26. In order to obtain the commitment of people who live in or adjacent to biosphere reserves, governments 
should ensvu-e that these people axe encouraged to participate in planning for the management of the area. Where 
possible, they should also participate in the scientific research, monitoring, and other activities taking place in the 
reserve. Furthermore, governments should encourage the setting up of mechanisms for consultation so that conflicts 
may be resolved and changing local perceptions may be reflected in the management of the reserve. 

Action 27. Unesco, in co-operation with governments, should develop pilot projects in biosphere reserves to 
demonstrate the successful involvement of local people, and should arrange for the transfer of staff, knowledge and 
skills among such projects. 

Action 28. Unesco, in co-operation with governments, should collect and disseminate information about successful 
arrangements for consultation and participation. Unesco should in particular encourage studies on the mechanism 
of participation of institutions and local people in the development of biosphere reserve functions under different 
social, economic Eind cultural conditions. 

Objective 8. Environmental education and training: to promote environmental education and training 
related to biosphere reserves and to use the full potential of the reserves for these purposes 

43. Biosphere reserves play a valuable role in environmental education and in the training of specialists and 
practitioners. They can introduce local people to the idea that protecting naturjd Eureas Eind sustainable development 
are to their benefit. Local people could also be made aware of the wider national and international significance of the 
areas in which they live. Biosphere reserves could also be used much more in educating various sectors of the public 
in these same things. 

44. The network would also provide ideal conditions for training resource mEinagers and resesu-ch workers . Because 
of the special features of the network, there are exceptional opportunities for sharing experience of working in 
comparable ecosystems and analogous conditions in other parts of the world, and for developing special relations in 
international training between pairs or groups of institutions with shared problems or interests. 

Recommended actions 

Action 29. Unesco should assist governments to strengthen the environmental education function of biosphere 
reserves, and to provide facilities which will heighten the awareness of local people and visitors on environmental 
matters. 

Action 30. Unesco should assist governments to include conservation as a subject in the curricula of training 
institutions, with particular reference to the role of the biosphere reserve concept and network, and to use their 
biosphere reserves for field training of speciahsts in ecology and life sciences, as well as future biosphere reserve 
managers. 



276 The Marine Mammal Commission Compendium 



Objective 9. Information: to use fully the potential of the network to generate and spread knowledge 
about the conservation and management of the biosphere and to promote the biosphere reserve concept 
through information and demonstration 

45. An important purpose of the biosphere reserve network is the generation and dissemination of knowledge. 
This concept of an information network, in particular, distinguishes biosphere reserves from other protected areas. 
The full potential of this aspect of the biosphere reserve network should be developed. 

46. It is important that the information from biosphere reserves be published in scientific literature, in the form 
of guidelines and handbooks presented as attractive and persuasive materials for various sectors of the public. 
Personal contact is also very importfint. The exchange of people among biosphere reserves can play a vital role in 
enabling the sharing of skills and experience. 

Recommended actions 

Action 31. Unesco, in co-operation with UNEP and lUCN, should prepare and distribute attractive brochures and 
audiovisual material which would explain the characteristics and functions of biosphere reserve networks to a wide 
audience. 

Action 32. lb develop the biosphere reserve information system, Unesco should: (a) determine a suitable structure 
for a decentraUzed system for collection, storage, synthesis, evaluation and dissemination of information associated 
with biosphere reserves; (b) define the various potential users and beneficiaries of the particular kinds of information; 
(c) establish mechanisms that ensure that this information reaches the intended users. 

Action 33. Governments should be asked to contribute to the biosphere reserve information system by providing 
the following types of information: (a) publications and audio- visual material relating directly to the biosphere reserve 
concept; (b) basic information on the geographical, biological (including species' Usts), and social characteristics of 
each biosphere reserve; (c) bibUography of scientific literature relating to individual biosphere reserves; (d) legislative 
and administrative provisions for biosphere reserves; (e) the details of management plans; (f) history of relevant 
research and monitoring. 

Action 34. Unesco should use already existing information systems to disseminate scientific bibUographies and 
data relating to biosphere reserves. 

Action 35. Unesco should encourage governments to develop model biosphere reserves which demonstrate to the 
international scientific community, to national and local leaders, and to poUticians and decision makers the usefulness 
and intemationed importance of biosphere reserves for conservation, science and society. 



Multilateral / Environment and Natural Resources 



277 



Actions 



Synopsis 



Co-operating 
entities 



Priority 



International network 

1 Classificationof 'representative ecological 
areas' 

2 Identification ofgaps in ecosystem 
representation and biosphere reserve 
functions 

3 Filling gaps in ecosystem representation 
and biosphere reserve functions 

4 Survey of centres of endemism 

5 Management, legislative and institutional 
problems of wetland biosphere reserves 

6 Establish a Biosphere Reserve Scientific 
Advisory Panel 

Management 

7 Review legal instruments on biosphere 
reserves 

8 Collection, synthesis and dissemination 
of information on legislative measures 

9 Review biosphere reserve management 
and develop management guidelines 

10 Develop model management plans and 
pilot projects 

11 Missions to advise governments on 
selection, establishment, legislation and 
management of biosphere reserves 

In situ conservation 

12 Special and urgent protection of species 
and ecosystems under threat 

13 /n situ conservation of wild relatives 

14 Mechanisms for information exchange 
between in situ biosphere reserves and 
ex situ institutions 

Research 

15 Develop research potential of biosphere 
reserves 

16 Marshal resources for priority MAB 
research 

17 Register of plant and animal taxa in 
biosphere reserves 

18 Prepare state-of-the-art on conservation 
science with recommendations for action 

19 Marshal resources to conduct research in 
conservation science in biosphere reserves 

20 Initiate pilot projects on traditional uses 
combined with modem science 

21 Support research and information 
exchange on restoration of degraded 
ecosystems 

Monitoring 

22 Identify parameters of global scientific 
significance 

23 Use of biosphere reserves for atmospheric 
monitoring and long-term monitoring of 
climate 



Unesco, UNEP, FAO 
andlUCN 

Governments 

FAO, lUCN, Unesco, 

UNEP 

lUCN 

Unesco 

Governments 

lUCN, FAO, Unesco 

Governments 

FAO, lUCN, UNEP, 

Unesco 

Unesco, UNEP, FAO 

andlUCN 



FAO, UNEP 
FAO, Unesco 



Governments 

Unesco 

Unesco, FAO, WHO 
andlUCN 
Unesco, UNEP 

Unesco 

Unesco, UNEP 

Unesco 



UNEP, Unesco, FAO, 
WHO, WMO, ICSU 
WMO 



278 



The Marine Mammal Commission Compendius 



Addons 



Synopsis 



Co-operating 
entities 



Priority 



Status 
(X = 
ongoing) 



Regional planning 

24 Develop model biosphere reserves to 
demonstrate value in integrated regional 
planning 

25 Involve biosphere reserves in development 
projects 



Local participation 

26 Ensure local involvement in biosphere 
reserves 

27 Develop pilot projects based upon 
principles of local involvement 

28 Disseminate information and study 
mechanisms for the participation of local 
people in biosphere reserves 

Education and training 

29 Strengthen environmental education 
function in biosphere reserves 

30 Promote conservation in curricula and use 
of biosphere reserves in field training 

Information 

31 Prepare and distribute promotional 
material on biosphere reserves 

32 Develop decentralized information system 
on biosphere reserves 

33 Governments to contribute to this 
information system 

34 Use existing information systems to 
disseminate biosphere reserve data 

35 Develop model biosphere reserves in range 
of ecological and socio-economic context 



World Bank, 
development 
financing 
organizations 



Unesco 


1 


Unesco 


2 


Unesco, UNEP, lUCN 


1 


Unesco 


2 


Governments 


1 


Unesco 


2 


Unesco 


1 



The Nuuk Declaration on Environment 
and Development in the Arctic, Nuuk, 

1993 



Done at Nuuk 16 September 1993 

Primary source citation: Copy of text provided by the 
United Nations 



THE NUUK DECLARATION ON ENVIRONMENT AND 
DEVELOPMENT IN THE ARCTIC 

We, the Ministers of the Arctic Countries, 

Recognizing the special role and responsibilities of the Arctic Countries with respect to the protection of the Arctic 
environment, 

Acknowledging that the Arctic environment consists of ecosystems with iinique features and resources which are 
especially slow to recover from the impact of human activities, and as such, require special protective measures, 

Further acknowledging that the indigenous peoples who have been permanent residents of the Arctic for millenia, 
are at risk from environmental degradation, 

Determined, individually and jointly, to conserve and protect the Arctic environment for the benefit of present and 
ftiture generations, as well as for the global environment. 

Noting that in order to achieve sustainable development, environmental protection shall constitute an integral part 
of the development process and cannot be considered in isolation from it. 

Recognizing the importance of applying the results of the United Nations Conference on Environment and Develop- 
ment to the Arctic region, 

Welcoming the efforts of the eight Arctic Countries to implement, through the Arctic Environmental Protection 
Strategy, relevant provisions of the Rio Declaration, Agenda 21 and the Forest Principles, efforts which include the 
Arctic Monitoring and Assessment Program (AMAP), and the Working Groups on the Conservation of Arctic Flora 
and Fauna (CAFF), Emergency Prevention, Preparedness and Response, and the Protection of the Arctic Marine 
Environment, 

Affirming Principle 2 of the Rio Declaration on Environment and Development which affirms that States have, in 
accordance with the Charter of the United Nations and the principles of international law, the sovereign right to 
exploit their own resources pursuant to their own environmental and developmental poUcies, and the responsibiUty 
to ensure that activities within their jiirisdiction or control do not cause damage to the environment of other States 
or of areas beyond the limits of national jurisdiction, 

Further affirming Principle 22 of the Rio Declaration, which states that: "indigenous people and their communities 
.... have a vital role in environmental management and development because of their knowledge and traditional 



280 The Marine Mammal Commission Compendium 



practices. States should recognize and duly support their identity, culture and interests and enable their effective 
participation in the achievement of sustainable development." 

hereby make the following Declaration: 

1. We reaffirm our commitment to the protection of the Arctic Environment as a priority and to the implementation 
of the Arctic Environmental Protection Strategy. 

2. We adopt the report of the Second Ministerial Conference of the Arctic Environmental Protection Strategy, and 
endorse its provisions to implement the Strategy, in particular: 

- seeking resources to enable each country to fully participate in the program activities under the Arctic Environ- 
mental Protection Strategy; 

- endeavouring to support, through these resources, joint projects in order to ensure that each country is able to 
participate in the activities of the Arctic Monitoring and Assessment Program (AMAP), including the completion 
of national implementation plans and the comprehensive assessment of results; 

- estabhshing a working group to assess the need for further action or instruments to prevent pollution of the Arctic 
marine environment and to evaluate the need for action in appropriate international fora to obtain international 
recognition of the particularly sensitive character of the ice-covered sea areas of the Arctic; 

- reaffirming the commitment to sustainable development, including the sustainable use of renewable resources 
by indigenous peoples, and to that end agreeing to establish a Task Force for this purpose; 

- underlining the necessity of a notification system and improved cooperation for mutual aid in case of accidents in 
the Arctic area; 

- reaffirming that management, planning and development activities shall provide for the conservation, sustainable 
use and protection of Arctic flora and fauna for the benefit and enjoyment of present and future generations, 
including local populations and indigenous peoples. 

3. We will cooperate to conserve, protect and, as appropriate, restore the ecosystems of the Arctic. We will in 
particular cooperate to strengthen the knowledge base and to develop information and monitoring systems for the 
Arctic region. 

4. We recognize that effective domestic environmental legislation is a prerequisite to the protection of the 
environment. As Ministers we shall promote legislation required for the protection of the Arctic environment. 

5. We support the achievements of the United Nations Conference on Environment and Development, and state 
our beUefs that the Principles of the Rio Declaration on Environment and Development have particular relevance 
with respect to sustainable development in the Arctic. 

6. We believe that decisions relating to Arctic activities must be made in a transparent fashion and therefore 
undertake to facilitate, through national rules £ind legislation, appropriate access to information concerning such 
decisions, to participation in such decisions and to judicial and administrative proceedings. 

7. We recognize the special role of the indigenous peoples in environmental management and development in the 
Arctic, and of the significance of their knowledge and traditional practices, and will promote their effective 
participation in the achievement of sustainable development in the Arctic. 

8. We beheve that development in the Arctic must incorporate the appUcation of precautionary approaches to 
development with environmental implications, including prior assessment and systematic observation of the impacts 
of such development. Therefore we shall maintain, as appropriate, or put into place as quickly as possible, an 
internationally transparent domestic process for the environmental impact assessment of proposed activities that 
are likely to have a significant adverse impact on the Arctic environment and are subject to decisions by competent 
national authorities, lb this end we support the implementation of the provisions of the Convention on Environmental 
Impact Assessment in a Transboundary Context. 



Multilateral / Environment and Natural Resources 281 



9. We underline the importance of prior and timely notification and consultation regarding activities that may 
have significant adverse transboundary environmental effects, including preparedness for natural disasters and 
other emergencies that are likely to produce sudden harmful effects on the Arctic environment or its peoples. 

10. We recognize the need for effective appUcation of existing legal instruments relevant to protection of the Arctic 
environment, and will cooperate in the future development of such instruments, as needed. We support the early 
ratification of the United Nations Conventions on Biological Diversity and Climate Change. 

11. We undertake to consider the development of regional instruments concerned with the protection of the Arctic 
environment. 

In witness whereof we have signed the present Declaration. 

For the Grovemment of Canada: For the Government of Denmark: 

[Signature] [Signature] [Signature] 

LEE CLARK NIELS HELVEG PETERSEN SVEND AUKEN 

For the Government of Finland: For the Government of Iceland: 

[Signature] [Signature] 

SIRPAPIETIKAINEN OSSUR SKARHEDENSSON 

For the Government of Norway: For the Government of the Russian Federation: 

[Signature] [Signature] 

B0RRE PETTERSEN VICTOR I. DANILOV-DANILIAN 

For the Government of Sweden: For the Government of the United States of America: 

[Signature] [Signatvu-e] 

GORAN A. PERSSON DAVID A. COLSON 

Nuuk, 16 September 1993 



REPORT 

Representatives of the Governments of Canada, Denmark, Finland, Iceland, Norway, the Russian Federation, Sweden 
and the United States of America met on 16 September 1993 at Nuuk, Greenland, for the Second Ministerial 
Conference on the Protection of the Arctic Environment. The Ministerial Conference was also attended by observers 
from Chile, Germany, the Netherlands, Poland, the United Nations Environment Programme, the Nordic Council, 
the Northern Forum, the International Arctic Science Committee, the Inuit Circumpolar Conference, the Saami 
Council, and the Russian Association of Peoples of the North. 

The Ministers reaffirmed their commitment to protect and preserve the Arctic environment and fully recognized the 
special relationship of the indigenous peoples and local populations to the Arctic and their unique contribution to the 
protection of the Arctic environment. 

The Ministers noted that protection of the Arctic environment requires that development activities be pursued in a 
sustainable manner, taking into account the special sensitivity of the Arctic environment, including the need to apply 
precautionary approaches. This requires prior assessment and systematic observation of the impacts of such 
development. The Ministers agreed to maintain, as appropriate, or put into place as quickly as possible, domestic 
processes for the environmental impact assessment of proposed activities that are likely to have a significant adverse 
impact on the Arctic environment, and are subject to decisions by competent national authorities. lb this end, the 
Ministers supported the implementation of the provisions of the Convention on Environmental Impact Assessment 
in a Transboundary Context. 



282 The Marine Mammal Commission Compendium 



The Ministers reviewed progress in the elaboration and implementation of the Arctic Environmental Protection 
Strategy (AEPS), and confirmed their intention to monitor, on a continuing basis, the threats to the Arctic 
environment through the preparation and updating of reports on the state of the Arctic environment, in order to 
initiate further cooperative action. 

Arctic Monitoring and Assessment Program (AMAP) 

The Ministers considered and accepted with appreciation the status report entitled "Update on Issues of Concern to 
the Arctic Environment", prepared by the Task Force of the Arctic Monitoring and Assessment Program. They noted 
with satisfaction that the Arctic Countries have now developed a comprehensive monitoring program which focuses 
on the monitoring of three priority categories of pollutants (persistent organics, heavy metals and radionuchdes) in 
the atmospheric, terrestrial, freshwater, and marine environments and in humans. They noted that the comprehen- 
sive plan also includes monitoring on sub-regional priorities such as acidification and Arctic haze, oil pollution, UV 
radiation and eutrophication. They welcomed the national reports on how AMAP would be implemented and noted 
the necessity of developing the methodology of assessment. 

Joint efforts by AMAP and relevant other international organi2ations to collect data on emissions and discharges of 
contaminants, and to develop atmospheric transport models linking source regions with Arctic receptors, are also 
underway. These latter activities, when completed, will assist in providing information with which to evaluate the 
efiectiveness of control proposals. 

It is of concern that the Arctic continues to be a depository for loadings of persistent organic contaminants, such 
as PCBs and DDT, through long-range transport from industrialized and agricultural areas in Asia, Europe, and 
North and Central America and through local sources. Persistent organics accumulate in the fatty tissues of wildlife. 
This is of particular concern in the Arctic, where hpid-rich wildlife are consumed by local residents, thereby providing 
a pathway for these contaminants to humans. Researchers and health authorities fear that chronic exposure to 
persistent organics may have harmful efiects on top predators and humans. 

Studies continue to confirm that the Arctic acts as a sink for heavy metals which enter the northern environments 
from local sources and from sources outside the Arctic. Research has shown that effects on ecosystems in the Arctic 
are evident in areas with particularly high emissions of heavy metals. Exposure for humans has in seversd areas 
exceeded the norms of the World Health Organization. In the marine environment, mammals in some areas contain 
elevated concentrations of heavy metals, especially mercury and cadmium. 

The concentration levels of radionuclides in the Arctic Ocean which have been observed at the present time are 
generally low and do not appear to pose a widespread risk at present. But, knowledge of sotu-ces and releases is 
insufficient and assessments of future consequences cannot be performed at this stage. There is significant concern 
with reg£u-d to the risks associated with potential releases of radionuclides into the environment from different 
sources, including dumped radioactive materials and wastes, run-off, leakages and accidental releases. Authorities 
thus agree that additional investigation is necessary, and studies should continue. 

Taking into account different negative consequences for terrestrial and aquatic ecosystems and also for human health 
caused by methods and technologies appUed for the use of Arctic natural resources (first of all through chemical 
pollution observed in the environment of regions with high concentration of industried and mining enterprises) the 
eight Arctic Countries nationally and in collaboration with other states and international organizations and in the 
framework of bilateral and multilateral agreements, will undertake urgent measures 

- to exchange available information and data on emissions and discharges of contaminants to the Arctic Region, 
and to promote, as appropriate, the exchange of relevant know-how, experience and technologies on which to base 
efifective pollution abatement measures; 

- to identify and, as appropriate, assess sources of contamination and their pathways to the Arctic, including an 
inventory of waste sites of imminent and substantial endangerment to human health and the Arctic environment; 

- to develop, on the basis of these and other assessments, proposals fumed at reduction of discharges, contamination 
and cleaning-up by countries of their regions affected by severe contamination and to gain support for these 
reductions in the nations with the responsibility for the contaminations. 

Studies continue to demonstrate that acid deposition is a severe environmental threat in large regions of the Arctic, 
particularly northern Fennoscandia and the Kola Peninsula. Acidifying substances are emitted by industry and the 
combustion of fuels, and reach the Arctic environment from local and distant sources. 



Multilateral / Environment and Natural Resources 283 



The Ministers noted with satisfaction the progress achieved within the United Nations Economic Commission for 
Europe (UN-ECE) to undertake the work necessary to provide by 1994 the basis for possible protocols to control and 
reduce emissions of these substances under the auspices of the Convention on Long-range Transboundary Air 
Pollution (LRTAP). The Ministers agreed to support the development of appropriate protocols under the LRTAP 
auspices, and to consult with non-ECE nations whose emissions and discharges may affect the Arctic, to achieve their 
participation in the protocols. They also agreed to continue to take measures to reduce and/or control the use of a 
number of persistent organic pollutants and heavy metals which may include the ultimate goal of eliminating the 
emission or discharge of organohalogen compoimds to dangerous levels in the marine environment as noted in the 
Earth Summit. 

The Ministers agreed to accord acidification priority pollutant status in a subregional context under AMAP, and to 
aim at an ambitious protection level, in line with the agreed European reference scenario, in the on-going negotiations 
on the second Sulphur Protocol. The Arctic implications of nitrogen depositions in relation to acidification should be 
considered when the second step of the Protocol on reduction and control of Nitrogen Oxides imder the said Convention 
will be negotiated. 

Depletion of the ozone layer has been detected in the Northern Hemisphere and can be expected to continue for 
some time. Ozone reduction results in enhancement of UV-B radiation which has harmful effects on ecosystems and 
humans. 

Climate change, resulting from anthropogenic enhancement of the earth's natural greenhouse effect, is expected to 
be significant in the Polar regions. Increased temperature and precipitation in the Arctic may result in dramatic 
ecological and socioeconomic effects. 

Noting the existing global cooperation on climate change and stratospheric ozone programs, the Ministers requested 
AMAP to regiilarly review the integrated results of these programs with a view to identifying gaps in the scope of the 
monitoring and research under these fora and with a view to ensuring that specific issues related to the Arctic region 
are placed on the agenda of the appropriate international bodies. The Ministers also requested AMAP to coordinate 
their monitoring programs with those planned by other programs in order to maximize data collection in logistically 
difBcult areas and to integrate results as well as to contribute to the assessment of potential synergistic effects of 
multiple stresses on the Arctic and its inhabitants. 

Radioactive Pollution 

The Ministers agreed that their respective Governments within their jurisdiction will 

- ensure that nuclear installations that may affect the Arctic meet international nuclear and radiological safety 
standards estabhshed by the International Atomic Energy Agency (IAEA); 

- ensm-e that no disposal of radioactive waste or material will be made in Arctic waters in violation of provisions of 
the London Convention ( 1972). They will work and cooperate to provide, in the nearest possible future, conditions 
for a ban on all dumping of radioactive waste in Arctic waters, taking into account the revision of the London 
Convention; 

- initiate action to prevent further increase in activity levels of anthropogenically-derived radionuclides, irrespec- 
tive of sources, and to reduce such levels, in order to keep the contamination as low as reasonably achievable; 

- initiate clean-up programs for contaminated areas, as appropriate. 

The Ministers decided to request AMAP, in cooperation with appropriate international and national agencies 

- to establish reUable and comprehensive systems for identification and characterization of present and potential 
sources of significant radioactive contamination and for monitoring levels of such contamination; 

- to establish data bases of sources, type and levels of radionucUde contamination of the atmospheric, the aquatic 
and the terrestrial environments of the Arctic sind Northern areas; 

- to perform a long term assessment of potential releases to the environment of radioactive materials (e.g. fit)m 
nuclear installations, waste disposal sites and contaminated regions), and to improve risk prediction capabilities. 



284 The Marine Mammal Commission Compendium 



Based on i.a. the AMAP risk assessment, the Ministers agreed that their respective Governments would, as 
appropriate, undertake measures to reduce environmental threats. 

The Ministers noted with satisfaction the establishment of a subgroup of AMAP with the mandate to forge linkages 
between AMAP, and, in particular, the International Atomic Energy Agency (IAEA), the Nuclesir Energy Agency of 
the OECD (NEA), the North Atlantic Cooperation Council (NACC), NATO's Committee of Challenge of Modem Society 
(CCMS) and relevant organizations at the regional level (e.g. the Barents Euro-Arctic Council) to improve required 
coordination, and to provide initial guidance to the radiological assessment process. 

AMAP Structure 

The Ministers, allowing for the institutional character of the work of AMAP, decided to substitute the AMAP Task 
Force by a Working Group to be responsible for the guidance of the work of AMAP, as decided upon at Rovaniemi and 
at Nuuk. 

The Ministers requested AMAP to maintain a directory of bilateral and multilateral agreements related to environ- 
mental matters in the Arctic. 

Protection of the Arctic Marine Environment 

The Ministers noted, with concern, the information provided by AMAP, by the report on Facts and Problems Related 
to Radioactive Waste Disposal in the Seas Adjacent to the Tterritory of the Russian Federation (White Book), and by 
other studies regarding threats to the Arctic marine environment from land-based and maritime sources. Taking into 
account Chapter 17 of Agenda 21, adopted by the United Nations Conference on Environment and Development 
(UNCED), they agreed, in implementing chapter 7 of the AEPS, to establish a joint process 

- to assess the need, taking into consideration the nature of the threats, for further action or instruments on the 
international and/or national level to prevent pollution of the Arctic marine environment; 

- to coordinate work with the AMAP and CAFF (Conservation of Arctic Flora and Fauna) working groups in 
addressing the Arctic marine environment; 

- to evaluate the need for coordinated action in appropriate international fora to obteiin international recognition 
of the particularly sensitive character of the ice-covered sea areas of the Arctic. 

A Working Group, led by Norway, with representatives from all Arctic Countries, was formed to manage this initiative 
and to report on its findings and recommendations before the next Ministerial Conference. 

The Ministers acknowledged the work of the CIS ofiBce of the Advisory Committee on Protection of the Sea (ACOPS) 
and noted the conclusions and recommendations of the ACOPS conference on pollution of the coasts of the CIS, with 
special emphasis on the Arctic, held in Arkhangelsk, Russian Federation, 19-23 July 1993. 

Emergency Prevention, Preparedness and Response 

The Ministers noted with satisfaction that the eight Arctic Countries have embarked upon cooperative action on 
emergency prevention, preparedness and response in the Arctic and endorsed the recommendations presented in the 
progress report. A hst of contact points and a reporting system have been estabUshed for notification and mutual 
assistance in the Arctic area. 

The Ministers requested the Emergency Prevention, Preparedness and Response Working Group, led by Sweden, 

- to complete, by the end of 1994, the inventory and qusilitative risk assessment for facilities or activities that may 
pose a risk of significant accidental pollution; 

- to propose, as a supplement to existing international agreements, adequate arrangements for prevention, 
preparedness and response in those parts of the Arctic area where regional or bilateral cooperation is not in place; 

- to improve cooperation in the field of research and development related to emergency prevention, preparedness 
and response through existing cold-cUmate mechanisms such as the Arctic Marine Oil Spill Progamme (AMOP); 

- to promote mutual aid mechanisms for assessment of and response to emergencies; 



Multilateral / Environment and Natural Resources 285 



- to consider fiarther cooperative measures in the field of emergency prevention, preparedness and response. This 
would include the involvement of indigenous peoples. 

The Ministers welcomed the generous offer of the United States to host the next meeting of this group in 1994. 

Conservation of Arctic Flora and Fauna (CAFF) 

The Ministers noted with satisfaction the progress achieved through the Conservation of Arctic Flora and Fauna 
(CAFF) Working Group. The CAFF Working Group has created a distinct forum for scientists, indigenous peoples 
and conservation managers to exchange information and data, to cooperate on the exchange of information on the 
research and management of Arctic flora and fauna and their habitats, and to examine and improve upon regulatory 
and conservation practices. 

The Ministers endorsed 

- the direction and thrust of the CAFF program, as reflected in the work plan adopted in its first two meetings; 

- the practical approach taken by the CAFF to focus on specific issues through these work plans, as exemplified in 
the draft "State of Habitat Protection in the Arctic" Report; 

- the CAFF program as a concrete example of coop>eration to implement the conservation measures called for in the 
Convention on Biological Diversity; 

CAFF as a demonstration of international cooperation for conservation and sustainable use of Arctic resources 
using an ecosystem approach; and 

- the initiatives undertaken by CAFF to link conservation and wise use of flora and fauna to other components of 
the AEPS, through, for example, intensified cooperation with AMAP to ensure coherence in Arctic environmental 
protection efforts. 

The Ministers noted with pleasure the progress made by the CAFF Working Group towards improving the 
conservation of Arctic flora and fauna. 

The Ministers considered the following specific CAFF projects: 

Habitat Conservation 

The Ministers were looking forward to the completion of the report on "State of Habitat Protection in the Arctic" as 
recommended by the CAFF Working Group. The report will include the following subjects: mapping of protected areas 
in the Arctic; review of management practices and regulations pertaining to these protected areas; assessment of 
gaps in the protected area system; and examples of habitat conservation measures outside the protected areas in the 
Arctic. 

In addition, the Ministers requested the CAFF Working Group to prepare a plan for developing a network of Arctic 
protected areas that will ensure necessary protection of Arctic ecosystems, recognize the role of indigenous cultures, 
and provide a common process by which Arctic Countries may advance formation of circumpolar protected areas. 

Integrating Indigenous Knowledge 

The Ministers acknowledged the efibrts of the CAFF Working Group to identify specific initiatives for developing a 
process of collecting and integrating indigenous ecological knowledge and better defining psirticipation of indigenous 
peoples in the overall Arctic Environmental Protection Strategy. These initiatives include, inter alia, an environ- 
mental and ecological mapping project based on traditional knowledge and a directory of indigenous knowledge data 



The Ministers reaSirmed their commitment to the principle of sustainable utilization and conservation of Arctic 
resources, particularly for the benefit of indigenous peoples. 

Flora and Fauna Conservation 

The Ministers noted with satisfaction that the CAFF Working Group has successfully compiled circumpolar lists of 
rare, vulnerable and endangered species of flora and fauna, and is now turning its attention to the conservation needs 
of a selected number of those species. CAFFs review of existing species names and of identification criteria for species 
at risk, together with its decision to develop means for comparability, is encouraged by the Ministers. 



286 The Marine Mammal Commission Compendium 



The Ministers also acknowledged the importance of CAFFs identification of the full spectrum of human-caused 
threats to Arctic species and their habitats and endorsed its decision to further evaluate them. 

All this work will help to further define gaps in knowledge about the Arctic ecosystems, identify sensitive indicators 
of environmental change, focus attention on resource conservation issues of common interest Eind concern, and is 
leading to the development of appropriate conservation strategies, as exemplified by the prep£iration of the Circum- 
polar Murre Conservation Strategy. The Ministers encouraged CAFFs continuation of the ecosystem approach as a 
basis for promoting more effective conservation of Arctic resources. 

CAFF and AEPS 

The Ministers noted with pleasure the initiative of the CAFF Working Group and the AMAP Task Force to collaborate 
on ensuring compatibiUty of the two programs. The Ministers further acknowledged the decision of both the CAFF 
Working Group and the AMAP Task Force to collaborate to identify specific joint initiatives such as species Usts for 
monitoring activities and compatible data bases. In due course, linkages between CAFF and the AEPS activities on 
the Protection of the Marine Environment and Emergency Prevention, Preparedness and Response should also be 
developed. 

CAFF Structure 

The Ministers endorsed the administrative structure adopted by CAFF estabUshing a chair and vice chair, and the 
decision to develop a scientific firamework for the CAFF program. The Ministers welcomed the generous offers of 
Iceland to host the 1994 meeting and of Russia to host the 1995 session. The Ministers noted with pleasure CAFF's 
decision to establish a secretariat on an interim basis, generously funded by the Canadian Government for its first 
year. 

Indigenous Knowledge 

The Ministers reaffirmed their commitment to sustainable development, including the sustainable use of renewable 
resources by indigenous peoples. In consequence, the Ministers agreed that a Task Force should be established by 
the Senior Arctic Officials to explore and propose additional steps governments shoiild take to this end, and welcomed 
the kind offer of the Canadian Government to propose the terms of reference and the work plan for the Task Force 
by the end of 1993. 

lb enhance the participation and contribution of indigenous people in the conservation and protection of the Arctic 
environment, and in order to bring their knowledge to bear on these matters, the Ministers agreed to explore various 
sources of support for indigenous organizations accredited to the AEPS, to enable them to determine how best they 
should participate in the AEPS. 

The Ministers accepted the generous offer by the Government of Iceland to host a seminar on indigenous knowledge, 
and fiirther agreed that this meeting would be an opportune time to review the situation in this area. 

Consultations in International Fora 

The Ministers agreed that, when appropriate, informal consultations Emiong the eight Arctic Countries on Arctic 
environmental issues should be held in connection with meetings in relevant international fora, at the initiative of 
the country designated to host the next Ministerial Conference or the next Senior Arctic Affairs Officials Meeting, 
respectively. 

Financial and Organizational Questions 

The Ministers underlined the importance of resources being made available and endeavouring to support projects to 
ensure that each country is able to participate in the activities of the Arctic Environmental Protection Strategy, 
including the completion of their national AMAP implementation plans and to participate in the comprehensive 
assessment of its results. The Ministers noted that the AMAP Audit Report recommends the allocation of additional 
resources for the implementation of AMAP to the extent that can ensure the fulfillment of the goals set in the AEPS 
and in this report. The Ministers also noted that the CAFF Report identifies the need to develop strategies for financial 
support of projects and look forward to its recommendations. 

The Ministers requested Senior Arctic Affairs Officials to keep the question of a financing strategy on their agenda 
with a view to presenting, in due course, recommendations to the Ministers. 

The Ministers expressed their gratitude to the Governments of Norway and Canada for providing AMAP and CAFF 
with initial fiinding for their respective secretariats and called upon participating countries to consider contributing 



Multilateral / Environment and Natural Resources 287 



resources to these secretariats. The Ministers also expressed their appreciation of the support of the coordination 
activities, provided by the Government of Denmark and the Home Rule Government of Greenland, in preparation of 
the Ministerial Conference. 

Participation of Observers 

The Ministers noted the interest of some non-Arctic Governments, intergovernmental organizations, and non-gov- 
ernmental organizations to participate in Ministerisd Conferences and other meetings of the AEPS. They reaffirmed 
that the decision to invite observers should be based on a pragmatic and functional evaluation of their involvement 
in and contribution to Arctic environmental questions, and they noted a procedure, adopted by the Senior Arctic 
Affairs 0£5cials, to accredit new observers. 

Taking into account that it is of great importance for the success of the Arctic Environmental Protection Strategy 
that the ecological and environmental knowledge of circumpolar indigenous peoples is effectively incorporated into 
the process, the Ministers agreed to continue to promote cooperation with the Arctic indigenous peoples, including 
representatives of the Inuit Circumpolar Conference, the Saami Council £ind the Russian Association of Peoples of 
the North. 

Date and Venue of the Third Ministerial Conference 

The Ministers accepted the kind invitation of the Government of Canada to host the next Ministerial Conference in 
1995, at a date to be decided. 

The Ministers also requested Senior Arctic Affairs Officials to hold regular consultative meetings, at least once a year, 
to monitor and review progress in the implementation of the AEPS. 

Nuuk, 16 September 1993 

Annex I 

Participation of indigenous peoples 

Statement 1) by Mr. Svend Auken, Minister for the Environment of Denmark 

The Danish Government Jind the Greenland Home Rule Government have noticed the recommendations of the 
indigenous peoples' organizations regarding a special program area within the AEPS to address all issues related to 
the participation of indigenous peoples. 

We have also noticed the idea of establishing a Secretariat with the aim of creating and supporting such a program. 

The Government of Denmark, in cooperation with the Greenland Home Rule Government, is pleased to annoimce 
that we can support this recommendation not only verbally, but also by offering to establish a small Secretariat for 
this purpose in Denmark. 

The aim of the Secreteiriat would be to allow indigenous peoples' organizations to participate in the AEPS process, 
e.g. 

- by facilitating meetings among indigenous peoples' organizations to assist them in how to best make contributions 
to the AEPS process, 

- by facilitating timely distribution of AEPS documentation to the indigenous habitants of the Arctic, 

- by facilitating on-going work on indigenous knowledge, 

- by facilitating the dialogue among indigenous peoples' organizations. 

The time frame for the establishment of the Secretariat will be connected with the seminar in Iceland on traditional 
knowledge." 



1) This statement is reproduced for information purposes and is not part of the report. 



ICES Code of Practice on the 

Introductions and Transfers of Marine 

Organisms, Copenhagen, 1994 

Done at Copenhagen September 1994 

Primary source citation: Copy of text provided by the 
International Council for the Exploration of the Sea 



ICES CODE OF PRACTICE ON THE INTRODUCTIONS 
AND TRANSFERS OF MARINE ORGANISMS 1994 



Preamble 

Global interest in marine aquaculture (mariculture) began to increase dramatically in the 1950s and 1960s. A natural 
complement to this interest was the search for fish, shellfish (molluscan and crustacean), and plant species whose 
biology was well known and which already had achieved or could achieve success in mc^s cultivation. Once identified, 
these species were thus potential candidates for movement to new locations in the world for the purpose of establishing 
new fisheries and new mariculture resources. Such animals and plants that are not native to these new locations are 
referred to as non-indigenous, introduced, exotic, or alien species. Organisms transported and released within their 
present range are referred to as transferred species. 

While great successes have been achieved by these activities, leading to the creation of new and important fishery and 
mariculture resources, three challenges have surfaced over the past several decades relative to the global translocation 
of species to new regions. 

The first challenge is posed by the inadvertent coincident movement of harmful organisms associated with the target 
(host) species. The mass transfer of large numbers of animals and plants without inspection, quarantine, or other 
management procedures has inevitably led to the simultaneous introduction of disease agents, causing harm to the 
development and growth of the new fishery resources and to native fisheries. 

The second challenge lies in the ecological and environmental impacts of introduced and transferred species, especially 
those that may escape the confines of cultivation and become established as wild stocks. These new populations can 
have an impact on native species. 

The third and most recent challenge to be addressed stems from the genetic impact of introduced and transferred 
species, relative to the mixing of farmed and wild stocks as well as to the release of genetically modified organisms. 

The International Council for the Exploration of the Sea, through its Working Group on Introductions and Transfers 
of Marine Organisms and its cooperation with other ICES Working Groups and with the European Inland Fisheries 
Advisory Commission (EIFAC) of the Food and Agriculture Organization of the United Nations (FAO), has addressed 
these three levels of concern since 1973. 

On 10 October 1973, the Council adopted the first version of what was to become an internationally recognized "Code 
of Practice" on the movement and translocation of non-native species for fisheries enhancement and mariculture 



Multilateral / Environment and Natural Resources 289 



purposes. The Code was set forth "to reduce the risks of adverse effects arising from introduction by non-indigenous 
marine species". Subsequent modifications proposed by the ICES Working Group on the Pathology and Diseases of 
Marine Organisms in 1978 and by the then newly reconvened ICES Working Group on the Introduction of Non- 
Indigenous Marine Organisms in 1979, led to the publication of a "Revised Code" adopted by ICES in October 1979. 
The "1979 Code" became the standard for international policy and the version of the Code most widely used, cited, and 
translated for the next 10 years. Minor revisions and additions over the decade resulted in the adoption in October 
1990 of a "1990 Revised Code." 

The "1994 Code" presented here was adopted by ICES in September 1994 (ICES, 1994). It incorporates further changes 
and adds critical new sections relative to genetic issues. The latter include consideration, under Section TV (c), of the 
need to assess the genetic impacts that releases — such as of farmed salmon or other fish — could have on the natural 
genetic diversity of native stocks and thus on the environment in general; and a new Section V on recommended 
procedures for the consideration of the release of genetically modified organisms. 



A brief outline of the ICES Code of Practice 1994 

The ICES Code of Practice sets forth recommended procedures and practices to diminish the risks of detrimental 
effects from the intentional introduction and transfer of marine (including brackish water) organisms. The Code is 
aimed at a broad audience since it applies to both public (commercial and governmental) and private (including 
scientific) interests. In short, any persons engaged in activities that could lead to the intentional or accidental release 
of exotic species should be aware of the procedures covered by the Code of Practice. 

The Code is divided into five sections of recommendations relating to: (1) the steps to take prior to introducing a new 
species, (2) the steps to take after deciding to proceed with an introduction, (3) the prevention of unauthorized 
introductions by Member Countries, (4) policies for ongoing introductions or transfers which have been an established 
part of commercial practice, and (5) the steps to take prior to releasing genetically modified Organisms. A section on 
"Definitions" is included with the Code. 

The content of Sections I, II, and IV has been referred to above and in ICES reports (ICES, 1984, 1988, and 1994). 
Section III, while brief, acknowledges the need to understand the vectors, other than intentional releases, that can 
bring exotic species to one's shores. In recent yesirs, for example, the release of exotic organisms via a ship's ballast 
water has become a pressing issue, with profound implications for fisheries resources, mariculture, and other 
activities. Section V is the newer section noted earUer. 

The Code is presented in a manner that permits broad and flexible application to a wide range of circumstances and 
requirements in many different countries, while at the same time adhering to a set of basic scientific principles and 
guidelines. 

ICES Member Countries contemplating new introductions are requested to present to the Council a detailed 
prospectus on the rationale and plans for any new introduction; the contents of the prospectus are detailed in Section I 
of the Code. The Council may then request its Working Group on Introductions and Transfers of Marine Organisms 
to consider the prospectus and comment on it. The Working Group, in turn, may request more information before 
commenting on a proposal. 

If an introduction or transfer proceeds, ICES requests Member Countries to keep the Council informed about it, both 
through providing details of the brood stock established and the fate of the progeny, and through submitting progress 
reports after a species is released into the wild. The specifics of this stage are detailed in Section II of the Code. 

ICES has published two extended guides to the Code, one in 1984 as Cooperative Research Report (CRR) No. 130, 
entitled "Guidelines for Implementing the ICES Code of Practice Concerning Introductions and Transfers of Marine 
Species", and one in 1988 as Cooperative Research Report No. 159, entitled "Codes of Practice and Manual of 
Procedures for Consideration of Introductions and Transfers of Marine and Freshwater Organisms". These reports 
are available in many libraries and from the ICES Secretariat. The Working Group on Introductions and Transfers 
of Marine Organisms is in the process (1995) of revising these documents, and inquiry regarding the date when the 
new ICES Cooperative Research Report will be available should be addressed to ICES. 



290 The Marine Mammal Commission Compendium 



ICES views the Code of Practice as a guide to recommendations and procedures. As with all Codes, the current one 
has evolved with experience and with changing technological developments. The latest (1994) version of the Code 
reflects the past 20 years of experience with its use and appUcation and with the evolution of new fisheries £ind genetic 
technologies. While initially designed for the ICES Member Countries concerned with the North Atlantic and adjacent 
seas, the Code soon found use as far away as the Pacific islands. 

We are pleased to present the ICES Code of Practice in this fashion for wide consideration, and we welcome advice 
and comments from both Member Countries and our colleagues throughout the world. Recommendations and 
suggestions should be directed to the General Secretary of ICES in Copenhagen, Denmark. 

James T. Carlton 

Chairman, ICES Working Group on Introductions and 

Transfers of Marine Organisms 

Katherine Richardson 

Chairman, ICES Advisory Committee 

on the Marine Environment 

ICES Code of Practice on the Introductions and Transfers of Marine Organisms 1994 

The introduction and transfer of marine organisms, including genetically modified organisms, carry the risk of 
introducing not only pests and disease agents but also many other species. Both intentional and unintentional 
introductions may have undesirable ecological and genetic effects in the receiving ecosystem, as well as potential 
economic impacts. This Code of Practice provides recommendations for dealing with new intentional introductions, 
and also recommends procedures for species which are part of existing commercial practice, in order to reduce the risks 
of adverse effects that could arise from such movements. 

I Recommended procedure for all species prior to reacliing a decision regarding new introductions. 

(A recommended procedure for introduced or transferred species which are part of current commercial practice 
is given in Section IV; a recommended procedure for the consideration of the release of genetically modified 
organisms is given in Section V.) 

(a) Member Countries contemplating any new introduction should be requested to present to the Council at an 
early stage a detailed prospectus on the proposed new introduction(s) for evaluation and comment. 

(b) The prospectus should include the purpose and objectives of the introduction, the stage(s) in the life cycle 
proposed for introduction, the area of origin and the target area(s) of release, and a review of the biology and 
ecology of the species as these pertain to the introduction (such as the physical, chemical, and biological 
requirements for reproduction and growth, and natural and human-mediated dispersal mechanisms). 

(c) The prospectus should also include a detailed analysis of the potential impacts on the aquatic ecosystem of the 
proposed introduction. This analysis should include a thorough review of: 

(i) the ecological, genetic, and disease impacts and relationships of the proposed introduction in its natural 
range and environment; 

(ii) the potential ecological, genetic, and disease impacts and relationships of the proposed introduction in 
the proposed release site and environment. These aspects should include but not necessarily be limited 
to: 

• potential habitat breadth, 

• prey (including the potential for altered diets and feeding strategies), 

• predators, 

• competitors. 



Multilateral / Environment and Natural Resources 291 

• hybridization potential and changes in any other genetic attributes, and 

• the role played by disease agents and associated organisms and epibiota. 

Potential predation upon, competition with, disturbance of, and genetic impacts upon, native and 
previously introduced species should receive the utmost attention. The potential for the proposed 
introduction and associated disease agents and other organisms to spread beyond the release site and 
interact with species in other regions shoxild be addressed. The effects of any previous intentional or 
accidental introductions of the same or similar species in other regions should be carefully evaluated. 

(d) The prospectus should conclude with an overall assessment of the issues, problems, and benefits 
associated with the proposed introduction. Quantitative risk assessments, as far as reasonably practi- 
cable, could be included. 

(e) The CouncU should then consider the possible outcome of the proposed introduction, sind offer advice on 
the acceptability of the choice. 

n If the decision is taken to proceed with the introduction, the following action is recommended: 

(a) A brood stock should be estabUshed in a quarantine situation approved by the country of receipt, in 
sufficient time to allow adequate evaluation of the stock's health status. 

The first generation progeny of the introduced species can be transplanted to the natural environment 
if no disease agents or parasites become evident in the first generation progeny, but not the original 
import. In the case offish, brood stock should be developed fi-om stocks imported as eggs or juveniles, 
to allow sufficient time for observation in quarantine. 

(b) The first generation progeny should be placed on a limited scale into open waters to assess ecological 
interactions with native species. 

(c) AU effluents from hatcheries or estabUshments used for quarantine purposes in recipient countries 
should be sterilized in an approved manner (which should include the killing of all Uving organisms 
present in the effluents). 

(d) A continuing study should be made of the introduced species in its new environment, and progress 
reports submitted to the International Coimcil for the Exploration of the Sea. 

in Regulatory agencies of all Member Countries are encouraged to use the strongest possible meas- 
ures to prevent unauthorized or unapproved introductions. 

IV Recommended procedure for Introduced or transferred species which are part of current commer- 
cial practice. 

(a) Periodic inspection (including microscopic examination) of material prior to exportation to confirm 
freedom fi:t)m introducible pests and disease agents. If inspection reveals any undesirable development, 
importation must be immediately discontinued. Findings and remedial actions should be reported to 
the International Council for the Exploration of the Sea. 

and/or 

(b) Quarantining, inspection, and control, whenever possible and where appropriate. 

(c) Consider and/or monitor the genetic impact that introductions or transfers have on indigenous species, 
in order to reduce or prevent detrimental changes to genetic diversity. 

It is appreciated that countries wiU have different requirements toward the selection of the place of 
inspection and control of the consignment, either in the country of origin or in the country of receipt. 



292 The Marine Mammal Commission Compendium 



V Recommended procedure for the consideration of the release of genetically modified organisms 
(GMOs). 

(a) Recognizing that little information exists on the genetic, ecological, and other effects of the release of 
genetically modified organisms into the natural environment (where such releases may result in the 
mixing of altered and wild populations of the same species, and in changes to the environment), the 
Council urges Member Countries to estabUsh strong legal measures* to regulate such releases, including 
the mandatory hcensing of physical or juridical persons engaged in genetically modifying, or in 
importing, using, or releEising any genetically modified organism. 

(b) Member Countries contemplating any release of genetically modified organisms into open marine and 
fi-esh water environments are requested at an early stage to notify the Council before such releases are 
made. This notification should include a risk assessment of the effects of this release on the environment 
and on natural populations. 

(c) It is recommended that, whenever feasible, initial releases of GMOs be reproductively sterile in order 
to minimize impacts on the genetic structure of natural populations. 

(d) Research should be undertaken to evaluate the ecological effects of the release of GMOs. 

DEFINrnONS 

For the application of this Code, the following definitions should be used. 

Brood stock 

Specimens of a species, either as eggs, juvenUes, or adults, from which a first or subsequent generation may be 
produced for possible introduction to the environment. 

Country of origin 

The country where the species is native. 

Current commercial practice 

EstabUshed and ongoing cultivation, rearing, or placement of an introduced or transferred species in the environment 
for economic or recreational purposes, which has been ongoing for a number of years. 

Disease agent 

For the purpose of the Code, "disease agent" is understood to mean all organisms, including parasites, that cause 
disease. (A List of prescribed disease agents, parasites, and other harmful agents is made for each introduced or 
transferred species in order that adequate methods for inspection are available. The discovery of other agents, etc., 
during such inspection should always be recorded and reported.) 

Genetic diversity 

All of the genetic variation in an individual, population, or species (ICES, 1988). 

Genetically modified organism (GMO) 

An organism in which the genetic material has been altered anthropogenically.** 

Introduced species 

( = non-in digenous species, = esotic species) 

• Such as the European Economic Conununity "Council Directive of 23 April 1990 on the Deliberate Release into the Environment of Genetically 

Modified Organisms (90/220/EEC)", Official Journal of European Communities, No. L, 117: 15—27 ( 1990). 
** Such technologies include the isolation, characterization, and modification of genes and their introduction into living cells as well as techniques for 

the production of living cells with new combinations of genetic material by the fusion of two or more cells. 



Multilateral / Environment and Natural Resources 293 



Any species intentionally or accidentally transported and released by humans into an environment outside its present 
range. 

Marine species 

Any aquatic species that does not spend its entire life cycle in fresh water. 

Quarantined species 

Any species held in a confined or enclosed system that is designed to prevent any possibility of the release of the 
species, or any of its disease agents or any other associated organisms into the environment. 

Transferred species 
(= transplanted species) 

Any species intentionally or accidentally transported and released within its present range. 

NOTES 

(a) It is understood that an introduced species is what is also referred to as an introduction, and a transferred 
species as a transfer. 

(b) Introduced species are understood to include exotic species, while transferred species include exotic individuals 
or populations of a species. 

(c) It is understood for the purpose of the Code that introduced and transferred species may have the same 
potential to carry £ind transmit disease or any other associated organisms into a new locality where the disease 
or associated organism does not at present occur. 

REFERENCES 

ICES. 1984. GuideUnes for Implementing the ICES Code of Practice Concerning Introductions and Transfers of 
Marine Species. Cooperative Research Report No. 130. 20 pp. 

ICES. 1988. Codes of Practice and Msmutd of Procedures for Consideration of Introductions and Transfers of Marine 
and Freshwater Organisms. Cooperative Research Report No. 159. 44 pp. 

ICES. 1994. Report of the ICES Advisory Committee on the Marine Environment, 1994, Annex 3. ICES Cooperative 
Research Report No. 204. 122 pp. 



The Seville Strategy and the Statutory 

Framework of the World Network of 

Biosphere Reserves, Paris, 1995 

Done at Paris November 1995 

Primary source citation: Copy of text provided by 
UNESCO 



BIOSPHERE RESERVES 

THE SEVILLE STRATEGY and 

THE STATUTORY FRAMEWORK OF THE WORLD NETWORK 

Man and the Biosphere Programme 
CONTENTS 

28 C/Resolution 2.4 ofthe UNESCO General Conference 

The Seville Strategy for Biosphere Reserves 

Biosphere Reserves: the first twenty years 

The Biosphere Reserve Concept 

The Vision from Seville for the 21st century 

Goals 

Implementation indicators 

Statutory Framework of the World Network of Biosphere Reserves 

Biosphere reserves are designed to deal with one ofthe most important questions the world faces today: How can we 
reconcile the conservation of biodiversity, the quest for economic and social development and the maintenance of 
associated cultural values? Biosphere reserves are areas of terrestrial and coastal / marine ecosystems which are 
internationally recognised under UNESCO's Man and the Biosphere (MAB) Programme. In March 1995, an interna- 
tional conference of experts was organised by UNESCO in Seville (Spain). The Seville Strategy that was elaborated 
there recommends the action to be taken for the future development of biosphere reserves in the 21st century. The Seville 
Conference also helped to finalise a Statutory Framework setting out the conditions for the functioning ofthe World 
Network of Biosphere Reserves. Both these documents were adopted as 28 C/Resolution 2.4 ofthe UNESCO General 
Conference in November 1995 which is presented in this document. One ofthe highlights of these documents is the new 



294 



Multilateral / Environment and Natural Resources 295 



role that biosphere reserves can play in serving to implement the results of the United Nations Conference on 
Environment and Development (Rio 1995) and notably the Convention on Biological Diversity. 



28 C/Resolution 2.4 of the UNESCO General Conference (November 1995) 

The General Conference, 

Emphasizing that the Seville Conference has confirmed the special importance of the biosphere reserves established 
within the framework of the programme on Man and the Biosphere (MAB) for the conservation of biological 
diversity, in harmony with the safeguarding of the cultirral values associated with them, 

Considering that biosphere reserves constitute ideal sites for research, long-term monitoring, training, education and 
the promotion of public awareness while enabling local communities to become ftiUy involved in the conserva- 
tion and sustainable use of resources. 

Considering that they are also demonstration sites and hubs of action in the context of regional development and 
land-use planning, 

Considering that the World Network of Biosphere Reserves thus makes a major contribution to the implementation 
of the goals set by Agenda 21 and by the international conventions adopted at and after the Rio Conference, 
in pEirticular the Convention on Biological Diversity, 

Believing that it is necessary to expand and improve the present Network and to encourage regional and world-level 
exchanges, in particular by providing support for the efforts of the developing countries to establish, strengthen 
and promote biosphere reserves, 

1. Approves the Seville Strategy2 and invites the Director-General to deploy the resources necessary for its 
effective implementation and to ensure that it enjoys the widest possible dissemination to all parties concerned; 

2. Invites Member States to implement the Seville Strategy and to muster the resources necessary for that 
piu^ose; 

3. Invites international and regional intergovernmental organizations and the appropriate nongovernmental 
organizations to co-operate with UNESCO to ensure the operational development of the World Network of 
Biosphere Reserves and appeals to the funding bodies to mobilize the corresponding resources; 

4. Adopts the Statutory Framework of the World Network of Biosphere Reserves, annexed hereto, and invites: 

(a) Member States to have regard to it in determining and implementing their policies in respect of 
biosphere reserves; 

(b) the Director-General to provide the secretariat of the World Network of Biosphere Reserves in accord- 
ance with the provisions of the Statutory Freimework and thus contribute to the smooth functioning and 
strengthening of the Network. 



BIOSPHERE RESERVES: THE FHIST TWENTY YEARS 

Biosphere reserves are designed to deal with one of the most important questions the World faces today: how 
can we reconcile conservation of biodiversity and biological resources with their sustainable use? An effective 
Biosphere reserve involves natural and social scientists; conservation and development groups; management 
authorities and local comnmnities — all working together on this complex issue. 

The concept of biosphere reserves was originated by a Task Force of UNESCO's Man and the Biosphere (MAB) 
Programme in 1974. The biosphere reserve network was launched in 1976, and, as of March 1995, had grown to 
include 324 reserves in 82 countries. The network is a key component in MAB's objective of achieving a sust£iinable 



296 The Marine Mammal Commission Compendiui 



balance between the sometimes-conflicting goals of conserving biologicEil diversity, promoting economic development, 
and maintaining associated cultural values. Biosphere reserves are sites where this objective is tested, refined, 
demonstrated and implemented. 

In 1983, UNESCO and UNEP jointly convened the First International Biosphere Reserve Congress in Minsk 
(Belarus), in cooperation with FAO and lUCN. The Congress's activities gave rise in 1984 to an "Action Plan for 
Biosphere Reserves," which was formally endorsed by the UNESCO General Conference and by the Governing 
Council of UNEP. While much of this Action Plan remains valid today, the context in which biosphere reserves operate 
has changed considerably as was shown by the UNCED process and, in particular, the Convention on Biological 
Diversity. The Convention was signed at the "Earth Summit" in Rio de Janeiro in June 1992, entered into force in 
December 1993 and has now been ratified by more than 100 countries. The major objectives of the Convention are: 
conservation of biological diversity; sustainable use of its components; and fair and equitable sharing of benefits 
arising from the utilization of genetic resources. Biosphere reserves promote this integrated approach and are thus 
well placed to contribute to the implementation of the Convention. 

In the decade since the Minsk Congress, thinking about protected areas as a whole and about the biosphere 
reserves has been developing along parallel lines. Most importantly, the link between conservation of biodiversity 
and the development needs of local communities — a centred component of the biosphere reserve approach — is now 
recognized as a key feature of the successfiil management of most national parks, nature reserves and other protected 
areas. At the Fourth World Congress on National Parks and Protected Areas, held in Caracas, Venezuela, in February 
1992, the world's protected-area planners and managers adopted many of the ideas (community involvement, the 
links between conservation and development, the importance of international collaboration) that are essential aspects 
of biosphere reserves. The Congress also approved a resolution in support of biosphere reserves. 

There have also been important innovations in the management of biosphere reserves themselves. New 
methodologies for involving stakeholders in decision-making processes and resolving conflicts have been developed, 
and increased attention has been given to the need to use regional approaches. New kinds of biosphere reserves, such 
as cluster and transboundary reserves, have been devised, and many biosphere reserves have evolved considerably, 
from a primary focus on conservation to a greater integration of conservation and development through increasing 
cooperation among stakeholders. And new international networks, ftieled by technological advances, including more 
powerful computers and the Internet, have greatly faciUtated communication and cooperation between biosphere 
reserves in different countries. 

In this context, the Executive Bo£u-d of UNESCO decided in 1991 to estabUsh an Advisory Committee for 
Biosphere Reserves. This Advisory Committee considered that it was time to evaluate the effectiveness of the 1984 
Action Plan, to sinalyze its implementation, and to develop a strategy for biosphere reserves as we move into the 21st 
Century. 

Tb this end, and in accordance with Resolution 27/C/2.3 of the General Conference, UNESCO organised the 
International Conference on Biosphere Reserves at the invitation of the Spanish authorities in Seville (Spain) from 
20 to 25 March 1995. This Conference was attended by some 400 experts from 102 countries and 15 international 
and regional organisations. The Conference was organised to enable an evaluation of the experience in implementing 
the 1984 Action Plan, a reflection on the role for biosphere reserves in the context of the 21st century (which gave 
rise to the vision statement) and the elaboration of a draft Statutory Framework for the World Network. The 
Conference drew up the Seville Strategy which is presented below. The International Co-ordinating Council of the 
Man and the Biosphere (MAB) Programme, meeting for its 13th session (12-16 June 1995) gave its strong support 
to the Seville Strategy. 



THE BIOSPHERE RESERVE CONCEPT 

Biosphere reserves are "areas of terrestrial and coastal/marine ecosystems or a combination thereof, which are 
internationally recognized within the framework of UNESCO's Programme on Man and the Biosphere (MAB)" 
(.Statutory Framework of the World Network of Biosphere Reserves). Reserves are nominated by national governments; 
each reserve must meet a minimal set of criteria and adhere to a minimal set of conditions before being admitted to 
the Network. Each biosphere reserve is intended to fulfill three complementary functions: a conservation function, 
to preserve genetic resources, species, ecosystems and landscapes; a development function, to foster sustainable 
economic and human development, and a logistic support function, to support demonstration projects, environ- 



Multilateral / Environment and Natural Resources 297 



mental education and training, and research and monitoring related to local, national and global issues of conserva- 
tion and sustainable development. 

Physically, each biosphere reserve should contain three elements: one or more core areas, which are securely 
protected sites for conserving biological diversity, monitoring minimally disturbed ecosystems, and undertaking 
non-destructive research and other low-impact uses (such as education); a clearly identified buffer zone, which 
usually surrounds or adjoins the core areas, and is used for cooperative activities compatible with sound ecological 
practices, including environmental education, recreation, ecotourism and appUed and basic research; and a flexible 
transition area, or area of cooperation, which may contain a vsiriety of agricultmral activities, settlements and other 
uses and in which local communities, management agencies, scientists, non-governmental organizations, cultural 
groups, economic interests and other stakeholders work together to manage and sustainably develop the area's 
resources. Although originally envisioned as a series of concentric rings, the three zones have been implemented in 
many different ways in order to meet local needs and conditions. In fact, one of the greatest strengths of the biosphere 
reserve concept has been the flexibility and creativity with which it has been realized, in various situations. 

Some countries have enacted legislation specifically to establish biosphere reserves. In many others, the core 
areas and buffer zones are designated (in whole or in part) as protected areas under national law. A large nimiber of 
biosphere reserves simultaneously belong to other national systems of protected areas (such as national parks or 
nature reserves) and/or other international networks (such as World Heritage or Ramsar sites). 

Ownership zirrangements may vary, too. The core areas of biosphere reserves are mostly public land but can 
be also privately owned or belong to non-governmental organizations. In many cases, the buffer zone is in private or 
community ownership, and this is generally the case for the transition area. The Seville Strategy for Biosphere 
Reserves reflects this wide range of circumstances. 



THE VISION FROM SEVILLE FOR THE 21ST CENTURY 

What future does the world face as we move towards the 21st century? Current trends in population growth 
and distribution, increasing demands for energy and natural resources, globalisation of the economy and the effects 
of trade patterns on rural areas, the erosion of cultural distinctiveness, centralization and difficulty of access to 
relevant information, and uneven spread of technological innovations — all these paint a sobering picture of environ- 
ment and development prospects in the near future. 

The UNCED process laid out the alternative of working towards sustainable development, incorporating care 
of the environment and greater social equity, including respect for rural communities and their accumulated wisdom. 
Agenda 21, the Conventions on Biological Diversity, Climate Change, and Desertification, and other multi-lateral 
agreements, show the way forward at the international level. 

But the global community also needs working examples that encapsulate the ideas of UNCED for promoting 
both conservation and sustainable development. These examples can only work if they express all the social, cultiural, 
spiritual and economic needs of society, and are also based on so\md science. 

Biosphere reserves offer such models. Rather than forming islands in world increasingly affected by severe 
human impacts, they can become theatres for reconcUing people and nature, they can bring knowledge of the past to 
the needs of the future, they can demonstrate how to overcome the problems of the sectoral nature of our institutions. 
In short, biosphere reserves are much more than just protected areas. 

Thus biosphere reserves are poised to take on a new role. Not only will they be a means for the 
people who live and work within and around them to attain a balanced relationship with the 
natural world, they will also contribute to the needs of society as a whole by showing a way to a 
more sustainable future. This is at the heart of our vision for biosphere reserves in the 21st century. 

The International Conference on Biosphere Reserve, organised by UNESCO in Seville (Spain) on 20-25 March 
1995, adopted a two-pronged approach: 

• to examine past experience in implementing the innovative concept of the biosphere reserve; 



298 The Marine Mammal Commission CoMPENDIU^ 



• to look to the future to identify what emphasis should now be given to their three functions of conservation, 
development £ind logistical support. 

The Seville Conference concluded that, in spite of the problems and limitations encountered with the 
estabUshment of biosphere reserves, the programme as a whole had been innovative and had had many successes. 
In particular, the three basic functions would be as valid as ever in the coming years. In the implementation of these 
functions and in the hght of the analysis undertaken, the following ten key directions were identified by the 
Conference and which are the foimdations of the new Seville Strategy. 

1. Strengthen the contribution which biosphere reserves make to the implementation of international agreements 
promoting conservation and sustainable development, especially to the Convention on Biological Diversity and 
other agreements such as those on climate change, desertification and forests. 

2. Develop biosphere reserves that include a wide variety of environmental, biological, economic and cultural 
situations, going from largely undisturbed regions and spreading towards cities. There is a particular potential, 
and need, to apply the biosphere reserve concept in the coastal and marine environment. 

3. Strengthen the emerging regional, inter-regional and thematic networks of biosphere reserves as components 
within the World Network of Biosphere Reserves. 

4. Reinforce scientific research, monitoring, training and education in biosphere reserves since conservation and 
rational use of resources in these areas require a sound base in the natural and social sciences as well as the 
humanities. This need is particvdarly acute in countries where biosphere reserves lack human and fmancisd 
resources and should receive priority attention. 

5. Ensure that all zones of biosphere reserves contribute appropriately to conservation, sustainable development 
and scientific understanding. 

6. Extend the transition area to embrace large areas suitable for approaches such as ecosystem management, 
and use biosphere reserves to explore and demonstrate approaches to sustainable development at the regional 
scale. For this, more attention should be given to the transition area. 

7. Reflect more fully the human dimensions of biosphere reserves. Connections should be made between ciiltural 
and biological diversity. Traditional knowledge and genetic resources should be conserved and their role in 
sustainable development should be recognized and encouraged. 

8. Promote the management of each biosphere reserve essentially as a "pact" between the local community and 
society as a whole. Management should be open, evolving and adaptive. Such an approach will help ensiire 
that biosphere reserves — and their local communities — are better placed to respond to external political, 
economic and social pressures. 

9. Bring together all interest groups and sectors in a partnership approach to biosphere reserves both at site and 
network levels. Information should flow finely among all concerned. 

10. Invest in the future. Biosphere reserves should be used to further our understanding of humanitys relationship 
with the natural world, through programmes of public awareness, information and formal and informal 
education, based on a long-term, inter-generational perspective. 

In siun, biosphere reserves should preserve and generate natural and cultural values through management 
that is scientifically correct, culturally creative and operationally sustainable. The World Network of Biosphere 
Reserves, as implemented through the Seville Strategy, is thus an integrating tool which can help to create greater 
sohdarity among peoples and nations of the world. 



THE STRATEGY 

The following Strategy provides recommendations for developing effective biosphere reserves and for setting 
out the conditions for the appropriate functioning of the World Network of Biosphere Reserves. It does not repeat the 



Multilateral / Environment and Natural Resources 299 



general principles of the Convention on Biological Diversity nor Agenda 21, but instead identifies the specific role of 
biosphere reserves in developing a new vision of the relationship between conservation and development. Thus, the 
document is deUberately focused on a few priorities. 

The Strategy suggests the level (international, national, individual biosphere reserve) at which each recom- 
mendation will be most effective. However, given the large variety of different national and local management 
situations, these recommended levels of actions should be seen merely as guidelines, and adapted to fit the situation 
at hand. Especially note that the "national" level shoiild be interpreted to include other governmental levels higher 
than the individual reserve (e.g., provincial, state, county, etc.). In some countries, national or local NGOs may also 
be appropriate substitutes for this level. Similarly, the "international" level often includes regional and inter-regional 
activities. 

The Strategy also includes recommended Implementation Indicators, i.e. a check-Ust of actions that wiU enable 
all involved to follow and evaluate the implementation of the Strategy. Criteria used in developing the Indicators 
were: availability (can the information be gathered relatively easUy), simplicity (are the data unambiguous), and 
usefulness (will the information be useful to reserve managers. National Committees, and/or the network at large). 
One role of the Implementation Indicators is to assemble a database of successful implementation mechanisms and 
to exchange this information among all members of the network. 

GOAL I: USE BIOSPHERE RESERVES TO CONSERVE NATURAL AND CULTURAL DIVERSITY 

Objective I.l: Improve the coverage of natural and cultural biodiversity by means of the World Network of 
Biosphere Reserves. 

RecommeTided at the international level: 

1. Promote biosphere reserves as means of implementing the goals of the Convention on Biological Diversity. 

2. Promote a comprehensive approach to biogeographical classification that takes into account such ideas as 
vulnerability analysis, in order to develop a system encompassing socio-ecological factors. 

Recommended at the national level: 

3. Prepare a biogeographical analysis of the country as a basis, inter alia, for assessing coverage of the World 
Biosphere Reserve Network. 

4. In light of the analysis, and taking into account existing protected areas, establish, strengthen or extend 
biosphere reserves as necessary, giving special attention to fi-agmented habitats, threatened ecosystems, and 
fi-agile and vulnerable environments, both natural and cultural. 

Objective I^: Integrate biosphere reserves into conservation planning. 

Recommended at the international level: 

1. Encourage the establishment of transboundary biosphere reserves as a means of deaUng with the conservation 
of organisms, ecosystems, and genetic resources that cross national boundaries. 

Recommended at the national level: 

2. Integrate biosphere reserves in strategies for biodiversity conservation and sustainable use, in plans for 
protected areas, and in the national biodiversity strategies and action plans provided for in Article 6 of the 
Convention on Biological Diversity. 

3. When appUcable, include projects to strengthen and develop biosphere reserves in programmes to be initiated 
and funded under the Convention on Biological Diversity and other multilateral conventions. 

4. Link biosphere reserves with each other, and with other protected areas, through green corridors and in other 
ways that enhance biodiversity conservation, and ensure that these Unks are maintained. 



300 The Marine Mammal Commission Compendium 



5. Use biosphere reserves for in situ conservation of genetic resources, including wild relatives of cultivated and 
domesticated species, and consider using the reserves as rehabilitation/re-introduction sites, and lirik them as 
appropriate with ex situ conservation and use programmes. 

GOAL n: UTILIZE BIOSPHERE RESERVES AS MODELS OF LAND MANAGEMENT AND OF 
APPROACHES TO SUSTAINABLE DEVELOPMENT 

Objective H.l: Secure the support and involvement of local people. 

Recommended at the international level: 

1. Prepare guidelines for key aspects of biosphere reserve management, including the resolution of conflicts, 
provision of local benefits, and involvement of stakeholders in decision-making and in responsibility for 
management. 

Recommended at the national level: 

2. Incorporate biosphere reserves into plans for implementing the sustainable use goals of Agenda 21 and the 
Convention on Biological Diversity. 

3. Establish, strengthen or extend biosphere reserves to include areas where traditional life styles and indigenous 
uses of biodiversity are practiced (including sacred sites), and/or where there are critical interactions between 
people and their environment (e.g., peri-urban areas, degraded rural areas, coastal areas, freshwater environ- 
ments and wetlands). 

4. Identify and promote the establishment of activities compatible with the goals of conservation through the 
transfer of appropriate technologies which include traditional knowledge and which promote sustainable 
development in the buffer and transition zones. 

Recommended at the individual reserve level: 

5. Survey the interests of the various stakeholders and fully involve them in planning and decision-making 
regarding the management and use of the reserve. 

6. Identify and address factors that lead to environmental degradation and unsustainable use of biological 
resources. 

7. Evaluate the natural products and services of the reserve and use these evsduations to promote environmen- 
tally sound and economically sustainable income opportunities for local people. 

8. Develop incentives for the conservation and sustainable use of natural resources, and develop alternative 
means of Uvelihood for local populations when existing activities are Umited or prohibited within the biosphere 
reserve. 

9. Ensure that the benefits derived from the use of natural resources are equitably shared with the stakeholders, 
by such means as sharing the entrance fees, sale of natural products or hsindicrafts, use of local construction 
techniques and labour, and development of sustainable activities (e.g., agriculture, forestry, etc.). 

Objective n.2: Ensure better harmonization and interaction among the different biosphere reserve zones. 

Recommended at the national level: 

1. Ensure that each biosphere reserve has £m effective management policy or plan sind an appropriate authority 
or mechanism to implement it. 

2. Develop means of identifying incompatibilities between the conservation and sustainable use functions of 
biosphere reserves and take measures to ensure that an appropriate balance between the functions is 
maintained. 



Multilateral / Environment and Natural Resources 301 



Recommended at the individual reserve level: 

3. Develop and establish institutional mechanisms to manage, coordinate and integrate the biosphere reserve's 
programmes and activities. 

4. Establish a local consultative framework in which the reserve's economic and social stakeholders are repre- 
sented, including the full range of interests (e.g., agriculture, forestry, hunting and extracting, water and energy 
supply, fisheries, tourism, recreation, research). 

Objective n.3: Integrate biosphere reserves into regional planning. 

Recommended at the national level: 

1. Include biosphere reserves in regional development policies and in regional land-use planning projects. 

2. Encourage the major land-use sectors near each biosphere reserve to adopt practices favouring sustainable 
land use. 

Recommended at the individual reserve level: 

3. Organise forums and set up demonstration sites for the examination of socio-economic and environmental 
problems of the region and for the sustainable utihzation of biological resources important to the region. 

GOAL IH: USE BIOSPHERE RESERVES FOR RESEARCH, MONITORING, EDUCATION, AND 
TRAINING 

Objective IH.l: Improve knowledge of the interactions between humans and the biosphere. 

Recommended at the international level: 

1. Use the World Biosphere Reserve Network to conduct comparative environmental and socio-economic research, 
including long-term research that will require decades to complete. 

2. Use the World Biosphere Reserve Network for international research programmes that deal with topics such 
as biological diversity, desertification, water cycles, ethnobiology, and global change. 

3. Use the World Biosphere Reserve Network for cooperative research programs at the regional and inter-regional 
levels, such as those existing for the Southern Hemisphere, East Asia and Latin America. 

4. Encourage the development of innovative, interdiscipUnjiry research tools for biosphere reserves, including 
flexible modelling systems for integrating social, economic and ecological data. 

5. Develop a clearing house for research tools and methodologies in biosphere reserves. 

6. Encourage interactions between the World Biosphere Reserve Network and other research and education 
networks, and facilitate the use of the biosphere reserves for collaborative research projects of consortia of 
imiversities and other institutions of higher learning and research, in the private as well as public sector, £ind 
at non-governmental as well as governmental levels. 

Recommended at the national level: 

7. Integrate biosphere reserves with national and regional scientific research programmes, and link these 
research activities to national and regional policies on conservation and sustainable development. 

Recommended at the individual reserve level: 

8. Use biosphere reserves for basic and applied research, particularly projects with a focus on local issues, 
interdisciplinary projects incorporating both the natural and the social sciences, and projects involving the 



302 The Marine Mammal Commission Compendium 



rehabilitation of degraded ecosystems, the conservation of soils and water and the sustainable use of natural 
resources. 

9. Develop a functional system of data management for rational use of research and monitoring results in the 
management of the biosphere reserve. 

Objective m^: Improve monitoring activities. 

Recommended at the international level: 

1. Use the World Biosphere Reserve Network, at the international, regional, national and local levels, as priority 
long-term monitoring sites for international programs focused on topics such as terrestrial and marine 
observing systems, global change, biodiversity, and forest health. 

2. Encourage the adoption of standardized protocols for meta-data concerning the description of flora and fauna, 
to faciUtate the interchange, accessibiUty and utilization of scientific information generated in biosphere 

reserves. 

Recommended at the national level: 

3. Encourage the participation of biosphere reserves in national programmes of ecological £ind environmental 
monitoring and development of linkages between biosphere reserves and other monitoring sites and networks. 

Recommended at the individual reserve level: 

4. Use the reserve for making inventories of fauna and flora, collecting ecological and socio-economic data, making 
meteorological and hydrological observations, studying the effects of pollution, etc., for scientific purposes and 
as the basis for sound site management. 

5. Use the reserve as an experimental area for the development and testing of methods and approaches for the 
evaluation and monitoring of biodiversity, sustainabihty and quality of life of its inhabitants. 

6. Use the reserve for developing indicators of sustainability (in ecological, economic, social and institutional 
terms) for the different productive activities carried out within the buffer zones and transition areas. 

7. Develop a functional system of data management for rational use of research and monitoring results in the 
management of the biosphere reserve. 

Objective in.3: Improve education, public awareness, and involvement. 

Recommended at the international level: 

1. Facilitate exchange of experience and information between biosphere reserves, with a view to strengthening 
the involvement of volunteers and local people in biosphere reserve activities. 

2. Promote the development of communication systems for diffusing information on biosphere reserves and on 
experiences at the field level. 

Recommended at the national level: 

3. Include information on conservation and sustainable use, as practiced in biosphere reserves, in school 
programmes and teaching manuals, and in media efforts. 

4. Encourage participation of biosphere reserves in international networks and programmes, to promote cross- 
cutting linkages in education and pubUc awareness. 



Multilateral / Environment and Natural Resources 303 



Recommended at the individual reserve level: 

5. Encourage involvement of local communities, school children and other stakeholders in education and training 
programs and in research and monitoring activities within biosphere reserves. 

6. Produce visitors' information about the reserve, its importance for conservation and sustainable use of 
biodiversity, its socio-ailtural aspects, and its recreational and educational programs and resovuxes. 

7. Promote the development of ecology field educational centers within individual reserves, as fadUties for 
contributing to the education of schoolchildren and other groups. 

Objective III.4: Improve training for specialists and managers. 

Recommended at the international level: 

1. UtUize the World Biosphere Reserve Network to support and encourage international training opportunities 
and programmes. 

2. Identify representative biosphere reserves to serve as regional training centers. 
Recommended at the national level: 

3. Define the training needed by biosphere reserve managers in the 21st century and develop model training 
programmes on such topics as how to design and implement inventory and monitoring programmes in 
biosphere reserves, how to analyze and study socio-cultural conditions, how to solve conflicts, and how to 
manage resources cooperatively in an ecosystem or landscape context. 

Recommended at the individual reserve level: 

4. Use the reserve for on-site training and for national, regional and local seminars. 

5. Encourage appropriate training and employment of local people and other stakeholders to allow their full 
participation in inventory, monitoring and research in programmes in biosphere reserves. 

6. Encourage training programmes for local communities and other local agents (such as decision makers, local 
leaders and agents working in production, technology transfer, and community development programmes) in 
order to allow their fiall participation in the planning, management and monitoring processes of biosphere 
reserves. 

GOAL IV: DVIPLEMENT THE BIOSPHERE RESERVE CONCEPT 

Objective IV.l: Integrate the functions of biosphere reserves. 

Recommended at the international level: 

1. Identify and publicize demonstration (model or illustrative examples of) biosphere reserves, whose experiences 
will be beneficial to others, at the national, regional and international levels. 

2. Give guidance/advice on the elaboration and periodic review of strategies and national action plans for 
biosphere reserves. 

3. Organize forums and other information exchange mechanisms for biosphere reserve managers. 

4. Prepare and disseminate information on how to develop meinagement plans or pohdes for biosphere reserves. 

5. Prepare guidance on management issues at biosphere reserve sites, including, inter aha, methods to ensure 
local participation, case studies of various meinagement options, and techniques of conflict resolution. 



304 The Marine Mammal Commission Compendium 



Recommended at the national level: 

6. Ensure that each biosphere reserve has an efifective management poUcy or plan and an appropriate authority 
or mechanism to implement it. 

7. Encourage private-sector initiatives to estabUsh and maintain environmentally and socially sustainable 
activities in appropriate zones of biosphere reserves and in surrounding areas, in order to stimulate community 
development. 

8. Develop and periodically review strategies and national action plans for biosphere reserves; these strategies 
should strive for complementarity and added value of biosphere reserves with respect to other national 
instruments for conservation. 

9. Organize forums and other information exchange mechanisms for biosphere reserve managers. 
Recommended at the individual reserve level: 

10. Identify and map the different zones of biosphere reserves and define their respective status. 

11. Prepare, implement and monitor an overall management plan or poUcy that includes all of the zones of 
biosphere reserves. 

12. Where necessary, in order to preserve the core area, re-plan the buffer and transition zones according to 
sustainable development criteria. 

13. Define and establish institutional mechanisms to manage, coordinate and integrate the reserve's programmes 
and activities. 

14. Ensure that the local community participate in planning and management of biosphere resei^res. 

15. Encourage private sector initiatives to establish and maintain environmentally and socially sustainable 
activities in the reserve and surrounding areas. 

Objective IV2: Strengthen the World Biosphere Reserve Network 

Recommended at the international level: 

1. FaciUtate provision of adequate resources for implementation of the Statutory Framework of the World 
Network of Biosphere Reserves. 

2. Facilitate the periodic review by each country of its biosphere reserves, as required in the Statutory Framework 
of the World Network of Biosphere Reserves, and assist countries in taking measures to make their biosphere 
reserves functional. 

3. Support the ftmctioning of the Advisory Committee for Biosphere Reserves and fully consider and utilize its 
recommendations and guidance. 

4. Lead the development of communication among biosphere reserves, taking into account their communication 
and technical capabilities, and strengthen existing and planned regional or thematic networks. 

5. Develop creative connections and partnerships with other networks of similar managed areas, and with 
international governmental £ind non-governmental organizations with goals congruent with those of biosphere 
reserves. 

6. Promote and facilitate twinning between biosphere reserve sites and foster transboundary reserves. 

7. Give biosphere reserves more visibility by disseminating information materials, developing communication 
poUcies, and highlighting their roles as members of the World Biosphere Reserve Network. 



Multilateral / Environment and Natural Resources 305 



8. Wherever possible, advocate the inclusion of biosphere reserves in projects financed by bilateral and multilat- 
eral Eiid organizations. 

9. Mobilize private funds, from businesses, NGOs and foundations, for the benefit of biosphere reserves. 

10. Develop standards and methodologies for collecting and exchanging various types of data, and assist their 
appUcation across the network of biosphere reserves. 

11. Monitor, assess and foUow up on the implementation of the Seville Strategy, utUizing the Implementation 
Indicators, and analyze the factors that aid in attainment of the indicators, as well as those that hinder such 
attainment. 

Recommended at the national level: 

12. Facilitate provision of adequate resources for implementation of the Statutory Framework of the World 
Network of Biosphere Reserves. 

13. Develop a national-level mechanism to advise and coordinate the biosphere reserves; find fiilly consider and 
utilize its recommendations and guidance. 

14. Prepare an evaluation of the status and operations of each of the country's biosphere reserves, as required in 
the Statutory Framework, and provide appropriate resources to address any deficiencies. 

15. Develop creative connections and partnerships with other networks of similar managed areas and with 
international governmental and non-governmental organizations with goals congruent with those of the 
biosphere reserves. 

16. Seek opportunities for twinning between biosphere reserve and establish trans-boundary biosphere reserves, 
where appropriate. 

17. Give biosphere reserves more visibility by disseminating information materials, developing communication 
policies, and highUghting their roles as members of the Network. 

18. Include biosphere reserves in proposals for financing from international and bilateral funding mechanisms, 
including the Global Environment Fadhty. 

19. Mobilize private funds, fi-om businesses, NGOs and foundations, for the benefit of biosphere reserves. 

20. Monitor, assess and follow up on the implementation of the Seville Strategy, utilizing the Implementation 
Indicators, and analyze the factors that aid in attainment of the indicators, as well as those that hinder such 
attainment. 

Recom-mended at the individual reserve level: 

21. Give biosphere reserves more visibility by disseminating information materials, developing communication 
policies, and highUghting their roles as members of the Network. 

22. Mobilize private funds, frt>m businesses, NGrOs and foundations, for the benefit of biosphere reserves. 

23. Monitor, assess and follow up on the implementation of the Seville Strategy, utihzing the Implementation 
Indicators, and analyze the factors that aid in attainment of the indicators, as well as those that hinder such 
attainment. 



306 



The Marine Mammal Commission Compendium 



IMPLEMENTATION INDICATORS 



CROSS REFERENCE 



International level 



Biosphere reserves included in implementation of the Convention on Biological 

Diversity 

Improved biogeographical system developed 

New trans-boundary reserves developed 

Guidelines developed and pubUshed 

Network-wide research programmes implemented 

Biosphere reserves incorporated into international research programmes 

Regional and inter-regional research programmes developed 

Interdisciplinary research tools developed 

Clearing house for research tools and methodologies developed 

Interactions developed with other research and education networks 

Biosphere reserves incorporated into international monitoring programmes 

Standardized protocols and methodologies adopted for data and for data 

exchange 

Mechanism developed for exchanging experiences and information between 

biosphere reserves 

Biosphere reserve communication system implemented 

International training opportunities and programmes developed 

Regional training centers identified and developed 

Demonstration biosphere reserves identified and pubUcized 

Guidance provided on elaboration and review of strategies and national action 

plans for biosphere reserves 

Mechanisms developed for information exchange among reserve managers 

Statutory Framework of the World Network of Biosphere Reserves are 

implemented at the international and national levels 

Advisory Committee for Biosphere Reserves is functional and effective 

Regional or thematic networks developed or strengthened 

Interactions developed between biosphere reserves and similar managed areas 

and organizations 

Mechanisms developed to foster twinning between biosphere reserves 

Information and promotional materials developed for the Biosphere Reserve 

Network 

Strategies developed for including biosphere reserves in bilateral and 

multilateral aid projects 

Strategies developed for mobilizing Ponds from businesses, NGOs and 

foundations 

Data standards and methodologies applied across the World Network 

Mechanisms developed for monitoring and assessing the implementation of the 

Seville Strategy 



I.l.l 

1.1.2 

1.2.1; IV.2.6 

II.1.1;IV.1.4;IV.1.5 

III.l.l 

III.1.2 

III.1.3 

111. 1.4 

111. 1.5 
III.1.6 
III.2.1 
III.2.2; IV.2.10 

III.3.1 

III.3.2; IV.2.4; IV.2.7 

1II.4.1 

III.4.2 

rv.i.i 

IV. 1.2 

IV. 1.3 
IV.2.1; IV. 2.2 

IV.2.3 
IV.2.4 
IV.2.5 

IV.2.6 
IV.2.7 



IV.2.8 
IV.2.9 



rv;2.io 

IV.2.11 



Multilateral / Environment and Natural Resources 307 



IMPLEMENTATION INDICATORS CROSS REFERENCE 

National level 

Biogeographical analysis prepared 1.1.3 

Analysis of need for new or extended biosphere reserves is completed 1.1.4; II.1.3 

Biosphere reserves included in national strategies £ind other responses to the 1.2.2; 1.1.3 

Convention on Biological Diversity and other conventions 

Links developed between biosphere reserves 1.2.4 

In situ conservation plans for genetic resources in biosphere reserves L2.5 

Biosphere reserves incorporated into sustainable development plans II. 1.2 

Biosphere reserves developed or strengthened to include traditional life styles II. 1.3 

and in areas of critical people-environment interactions 

Conservation and sustainable use activities identified and promoted II. 1.4 

Effective management plans or policies in place at all reserves II.2.1; IV.1.6 

Mechanisms developed for identifying incompatibilities between conservation II.2.2 

and sustainable use functions and to insure an appropriate balance between 

these functions 

Biosphere reserves included in regional development and land-use planning II.3.1 

projects 

Land-use sectors near biosphere reserves are encouraged to adopt sustainable II.3.2; IV.1.7 

practices 

Biosphere reserves are integrated into national and regional research III. 1.7 

programmes which are linked to conservation and development policies 

Biosphere reserves are integrated into national monitoring programmes and III.2.3 

are linked to similar monitoring sites and networks 

Principles of conservation and sustainable use, as practiced in biosphere III.3.3 

reserves, integrated into school programmes 

Biosphere reserves participate in international education networks and III.3.4 

programmes 

Model training programmes for biosphere reserve managers are developed III.4.3 

Mechanisms developed to review national strategies and action plans for IV. 1.8 

biosphere reserves 

Mechanisms developed for information exchange among reserve managers IV. 1.9 

Statutory Framework of the World Network of Biosphere Reserves are rV.2.12; IV.2.14 

implemented at the national level 

National-level mechanism developed to advise and coordinate biosphere rV.2.13 

reserves 

Interactions developed between biosphere reserves and similar managed areas IV.2.15 

and organizations with congruent goals 

Mechanisms developed to foster twinning between biosphere reserves IV.2.16 

Information and promotional materials developed for the Biosphere Reserve IV.2.17 

Network 

Strategies developed for including biosphere reserves in bilateral and IV.2.18 

multilateral aid projects 

Strategies developed for mobilizing funds from businesses, NGOs and rV.2.19 

foundations 

Mechanisms developed for monitoring and assessing the implementation of the rV.2.20 

Seville Strategy 



308 



The Marine Mammal Commission Compendium 



IMPLEMENTATION INDICATORS 

Individual reserve level 



CROSS REFERENCE 



Survey made of stakeholders interests II.1.5 

Factors leading to environmental degradation and unsustainable use are II. 1.6 

identified 

Survey made of the natural products and services of the biosphere reserve II. 1.7 

Incentives identified for sustainable use by local populations II. 1.8 

Plan prepared for equitable sharing of benefits II.1.9 

Mechanisms developed to manage, coordinate and integrate the reserve's II.2.3; IV. 1.10; TV. 1.12 

programs and activities 

Local consultative framework implemented II.2.4 

Regional demonstration sites developed 11.3.3 

Coordinated research and monitoring plan implemented III. 1.8; III.2.4 

Functional data management system implemented III. 1.9; III.2.7 

Reserve is used for developing and testing of monitoring methods III. 2.5 

Reserve is used for developing indicators of sustainability relevant to local III.2.5; II.2.6 

populations 

Local stakeholders are included in education, training, research and III.3.5; III.4.5 

monitoring programs 

Information for visitors to the reserve developed III.3.6 

Ecology field centre developed at the reserve III.3.7 

Reserve is used for on-site training activities III.4.4 

A local educational and training programme is in place III.4.6 

Different zones of biosphere reserves identified and mapped IV. 1.10 

Buffer and transitions reformulated to promote sustainable development and IV. 1.12 

preserve the core area 

LoceQ community involved in planning and managing reserve IV. 1.14 

Private-sector initiatives to establish and maintain environmentally and IV. 1.15 

socially sustainable activities are encouraged 

Information £ind promotional materials developed for the Biosphere Reserve TV.2.21 

Network 

Strategies developed for mobilizing funds from businesses, NCiOs and IV.2.22 

foimdations 

Mechanisms developed for monitoring and assessing the implementation of the IV.2.23 

Seville Strategy 



STATUTORY FRAMEWORK OF THE 
WORLD NETWORK OF BIOSPHERE RESERVES 



Introduction 

Within UNESCO's Man and the Biosphere (MAB) programme, biosphere reserves are established to promote 
and demonstrate a balanced relationship between humans and the biosphere. Biosphere reserves are designated by 
the International Co-ordinating Council of the MAB Programme, at the request of the State concerned. Biosphere 
reserves, each of which remains under the sole sovereignty of the State where it is situated and thereby submitted 
to State legislation only, form a World Network in which participation by the States is voluntary. 

The present Statutory Framework of the World Network of Biosphere Reserves has been formulated with the 
objectives of enhancing the effectiveness of individual biosphere reserves and strengthening common understanding, 
communication and co-operation at regional and international levels. 



Multilateral / Environment and Natural Resources 309 



This Statutory Framework is intended to contribute to the widespread recognition of biosphere reserves and 
to encourage and promote good working examples. The delisting procedure foreseen should be considered as an 
exception to this basically positive approach, and should be applied only after careful examination, paying due respect 
to the cultural and socio-economic situation of the country, and after consulting the government concerned. 

The text provides for the designation, support and promotion of biosphere reserves, while taking account of 
the diversity of national and local situations. States are encouraged to elaborate and implement national criteria for 
biosphere reserves which take into account the special conditions of the State concerned. 

Article 1 — Definition 

Biosphere reserves are areas of terrestrial and coastal/marine ecosystems or a combination thereof, which are 
internationally recognized within the framework of UNESCO's programme on Man and the Biosphere (MAB), in 
accordance with the present Statutory Framework. 

Article 2 — World Network of Biosphere Reserves 

1. Biosphere reserves form a worldwide network, known as the World Network of Biosphere Reserves, hereafter 
called the Network. 

2. The Network constitutes a tool for the conservation of biological diversity and the sustainable use of its 
components, thus contributing to the objectives of the Convention on Biological Diversity and other pertinent 
conventions and instruments. 

3. Individual biosphere reserves remain under the sovereign jurisdiction of the States where they are situated. 
Under the present Statutory Framework, States take the measures which they deem necessary according to 
their national legislation. 

Article 3 — Functions 

In combining the three functions below, biosphere reserves should strive to be sites of excellence to explore and 
demonstrate approaches to conservation and sustainable development on a regional scale: 

(i) conservation — contribute to the conservation of landscapes, ecosystems, species and genetic variation; 

(ii) development — foster economic and human development which is socio-culturally and ecologiczdly 
sustainable; 

(iii) logistic support — support for demonstration projects, environmental education and training, research 
and monitoring related to local, regional, national and global issues of conservation and sustainable 
development. 

Article 4— Criteria 

General criteria for an area to be qualified for designation as a biosphere reserve: 

1. It should encompass a mosaic of ecological systems representative of major biogeographic regions, including a 
gradation of human interventions. 

2. It should be of significance for biological diversity conservation. 

3. It should provide an opportunity to explore and demonstrate approaches to sustainable development on a 
regional scale. 

4. It should have an appropriate size to serve the three functions of biosphere reserves, as set out in Article 3. 

5. It should include these functions, through appropriate zonation, recognizing: 



310 The Marine Mammal Commission Compendium 



(a) a legally constituted core area or areas devoted to long-term protection, according to the conservation 
objectives of the biosphere reserve, and of sufficient size to meet these objectives; 

(b) a buffer zone or zones clearly identified and surrounding or contiguous to the core area or areas, where 
only activities compatible with the conservation objectives can take place; 

(c) an outer transition area where sustainable resource management practices are promoted and developed. 

6. Organizational arrangements should be provided for the involvement and participation of a suitable range of 
inter alia public authorities, local communities and private interests in the design and carrying out the 
functions of a biosphere reserve. 

7. In addition, provisions should be made for: 

(a) mechanisms to manage human use and activities in the buffer zone or zones; 

(b) a management policy or plan for the area as a biosphere reserve; 

(c) a designated authority or mechanism to implement this policy or plan; 

(d) programmes for research, monitoring, education and training. 
Article 5 — Designation procedure 

1. Biosphere reserves are designated for inclusion in the Network by the International Co-ordinating Coimcil 
(ICC) of the MAB programme in accordance with the following procedure: 

(a) States, through National MAB Committees where appropriate, forward nominations with supporting 
documentation to the secretariat after having reviewed potential sites, taking into account the criteria 
as defined in Article 4; 

(b) the secretariat verifies the content and supporting documentation: in the case of incomplete nomination, 
the secretariat requests the missing information from the nominating State; 

(c) nominations will be considered by the Advisory Committee for Biosphere Reserves for recommendation 
to ICC; 

(d) ICC of the MAB programme takes a decision on nominations for designation. 
The Director-General of UNESCO notifies the State concerned of the decision of ICC. 

2. States are encouraged to examine and improve the adequacy of any existing biosphere reserve, and to propose 
extension as appropriate, to enable it to function fully within the Network. Proposals for extension follow the 
s£mie procedure as described above for new designations. 

3. Biosphere reserves which have been designated before the adoption of the present Statutory Framework are 
considered to be already part of the Network. The provisions of the Statutory Framework therefore apply to 
them. 

Article 6 — Publicity 

1. The designation of an area as a biosphere reserve should be given appropriate publicity by the State and 
authorities concerned, including commemorative plaques and dissemination of information material. 

2. Biosphere reserves within the Network, as well as the objectives, should be given appropriate and continuing 
promotion. 



Multilateral / Environment and Natural Resources 311 



Article 7 — Participation in the Network 

1. States participate in or facilitate co-operative activities of the Network, including scientific research and 
monitoring, at the global, regioncd and subregional levels. 

2. The appropriate authorities should make available the results of research, associated publications and other 
data, taking into account intellectual property rights, in order to ensure the proper functioning of the Network 
and maximize the benefits from information exchanges. 

3. States and appropriate authorities should promote environmental education and training, as well as the 
development of human resources, in co-operation with other biosphere reserves in the Network. 

Article S — Regional and thematic subnetworks 

States should encourage the constitution and co-operative operation of regional and/or thematic subnetworks 
of biosphere reserves, and promote development of information exchanges, including electronic information, within 
the framework of these subnetworks. 

Article 9 — Periodic review 

1. The status of each biosphere reserve should be subject to a periodic review every ten yesirs, based on a report 
prepared by the concerned authority, on the basis of the criteria of Article 4, and forwarded to the secretariat 
by the State concerned. 

2. The report will be considered by the Advisory Committee for Biosphere Reserves for recommendation to ICC. 

3. ICC will examine the periodic reports from States concerned. 

4. If ICC considers that the status or management of the biosphere reserve is satisfactory, or has improved since 
designation or the last review, this will be formally recognized by ICC. 

5. If ICC considers that the biosphere reserve no longer satisfies the criteria contained in Article 4, it may 
recommend that the State concerned take measures to ensure conformity with the provisions of Article 4, taking 
into account the cultiu-al and socio-economic context of the State concerned. ICC indicates to the secretariat 
actions that it should take to assist the State concerned in the implementation of such measures. 

6. Should ICC find that the biosphere reserve in question still does not satisfy the criteria contained in Article 4, 
within a reasonable period, the area will no longer be referred to as a biosphere reserve which is part of the 
Network. 

7. The Director-General of UNESCO notifies the State concerned of the decision of ICC. 

8. Should a State wish to remove a biosphere reserve under its jurisdiction from the Network, it notifies the 
secretEiriat. This notification shall be transmitted to ICC for information. The area will then no longer be 
referred to as a biosphere reserve which is part of the Network. 

Article 10 — Secretariat 

1. UNESCO shall act as the secretariat of the Network and be responsible for its functioning and promotion. The 
secretEiriat shall facilitate communication and interaction among individual biosphere reserves and among 
experts. UNESCO shall also develop and maintain a world-wide accessible information system on biosphere 
reserves, to be Unked to other relevant initiatives. 

2. In order to reinforce individual biosphere reserves and the functioning of the Network and subnetworks, 
UNESCO shall seek financial support from bilatersJ and multilateral sources. 

3. The list of biosphere reserves forming part of the Network, their objectives and descriptive details, shall be 
updated, published and distributed by the secretariat periodically. 



MULTILATERAL 



Fisheries 



313 



Nauru Agreement Concerning 

Co-operation in the Management of 

Fisheries of Common Interest, 

Nauru, 1982 



Done at Nauru 11 February 1982 

Entered into force 2 December 1982* 

Depositary: Solomon Islands 

Primary source citation: Copy of text provided by the 
Ministry of Foreign Affairs of the Solomon Islands 



NAURU AGREEMENT CONCERNING CO-OPERATION IN THE 
MANAGEMENT OF FISHERIES OF COMMON INTEREST 

The Federated States of Micronesia, the Republic of Kiribati, the Marshall Islands, the Republic of Nauru, the 
Republic of Palau, Papua New Guinea and Solomon Islands: 

TAKING into account the work of the Third United Nations Conference on the Law of the Sea; 

NOTING that in accordance with the relevant principles of international law each of the Parties has estabUshed an 
exclusive economic zone or fisheries zone (hereinafter respectively called "the Fisheries Zones") which may extend 
200 nautical miles from the baselines from which their respective territorial seas are measured and within which 
they respectively and separately exercise sovereign rights for the purposes of exploring, exploiting, conserving and 
managing all hving marine resources; 

HAVING REGARD to the objectives of the South Pacific Forum Fisheries Agency Convention and in particular the 
promotion of regional co-operation and co-ordination of fisheries poUcies and the need for the urgent implementation 
of these objectives through regional or sub-regional arrangements; 

CONSCIOUS of the exploitation of the common stocks of fish, both within the Fisheries Zones and in the waters 
adjacent thereto, by the distant water fishing nations; 

MINDFUL of their dependence, as developing island states, upon the rational development and optimum utilisation 
of the living resources occuring within the Fisheries Zones and in particular, the common stocks of the fish therein; 

RECOGNISING that only by co-operation in the management of the Fisheries Zones may their peoples be assvu-ed 
of receiving the maximum benefits fi^m such resources; and 

DESIROUS of estabUshing, without prejudice to the sovereign rights of each Party, arrangements by which this may 
be achieved; 



■ The United States is not a party to this Agreement. 



315 



316 The Marine Mammal Commission Compendium 



HAVE AGREED AS FOLLOWS : 

ARTICLE I 

The Parties shall seek, without any derogation of their respective sovereign rights, to co-ordinate and harmonise the 
management of fisheries with regard to common stocks within the Fisheries Zones, for the benefit of their peoples. 

ARTICLE n 

The Parties shall seek to estabUsh a coordinated approach to the fishing of the common stocks in the Fisheries Zones 
by foreign fishing vessels and in particular: 

(a) shall estabUsh principles for the granting of priority to appUcations by fishing vessels of the Parties to 
fish within the Fisheries Zones over other foreign fishing vessels; 

(b) shall estabUsh, as a minimum, uniform terms and conditions under which the Parties may Ucence 
foreign fishing vessels to fish within the Fisheries Zones regarding: 

(i) the requirement that each foreign fishing vessel apply for and possess a Ucence or permit; 

(U) the placement of observers on foreign fishing vessels; 

(iii) the requirement that a standardized form of log book be maintained on a day-to-day basis which 
shall be produced at the direction of the competent authorities; 

(iv) the timely reporting to the competent authorities of required information concerning the entry, 
exit and other movement and activities of foreign fishing vessels within the Fisheries Zones; 
and 

(v) standardized identification of foreign fishing vessels; 

(c) seek to estabUsh other uniform terms and conditions under which the Parties may Ucence foreign fishing 
vessels to fish within the Fisheries Zones, including: 

(i) the payment of an access fee, which shall be calculated in accordance with principles estabUshed 
by the Parties; 

(ii) the requirement to supply to the competent authorities complete catch and effort data for each 
voyage; 

(iii) the reqtiirement to supply to the competent authorities such additional information as the 
Parties may determine to be necessary; 

(iv) the requirement that the flag State or organisations having authority over a foreign fishing 
vessel take such measures as are necessary to ensure compUance by such vessel with the 
relevant fisheries laws of the Parties; and 

(v) such other terms and conditions as the Parties may fix>m time to time consider necessary. 

ARTICLE in 

The Parties shall seek to standardize their respective Ucensing procedures and in particular: 

(a) seek to estabUsh and adopt uniform measures and procedures relating to the licensing of foreign fishing 
vessels, including appUcation formats, Ucensing formats and other relevant documents; and 



Multilateral / Fisheries 317 



(b) explore the possibility of establishing, without prejudice to the respective sovereign rights of the Parties, 
a centralised licensing system of foreign fishing vessels. 

ARTICLE IV 

The Parties shall seek the assistance of the South Pacific Forum Fisheries Agency in establishing procedures and 
administrative arrangements for the exchange and analysis of: 

(a) statistical data concerning catch and efibrt by fishing vessels in the Fisheries Zones relating to the 
common stocks offish; and 

(b) information relating to vessel specifications and fleet composition. 

ARTICLE V 

1. The Parties shall seek the assistance of the South Pacific Forum Fisheries Agency in providing secretariat 
services for implementing and co-ordinating the provisions of this Agreement. 

2. An annusd meeting of the Parties shall be convened preceding or following the regular session of the Forum 
Fisheries Committee in order to promote the implementation of this Agreement. Additional meetings may be convened 
at the request of three or more Parties. Such requests shall be communicated to the Director of the Forum Fisheries 
Agency who will inform the other Parties. 

3. With the concurrence of the Parties, members of the South Pacific Forum Fisheries Agency, not Parties to this 
Agreement, may attend, Jis observers, the meetings referred to in this Article. 

ARTICLE VI 

The Parties shall, where appropriate, co-operate and co-ordinate the monitoring and surveillance of foreign fishing 
activities by: 

(a) arranging for the rapid exchange of information collected through national surveillance activities; 

(b) exploring the feasibility of joint siurveillance; and 

(c) developing other appropriate measures. 

ARTICLE Vn 

The Parties shall seek to develop co-operative and co-ordinated procedures to facilitate the enforcement of their 
fisheries laws and shall in particular examine the various means by which a regime of reciprocal enforcement may 
be estabUshed. 

ARTICLE Vra 

Nothing contained in tbig Agreement shall be construed as a derogation of any of the rights and obligations 
undertaken by any of the Parties under the South Pacific Forum Fisheries Agency Convention or any other 
international agreement in efiect on the date on which this Agreement enters into force. 



318 The Marine Mammal Commission Compendium 



ARTICLE IX 

The Parties shall conclude arrangements where necessary to facilitate the implementation of the terms and to attain 
the objectives of this Agreement. The Parties concluding such arrangements shall lodge copies with the depositary 
of this Agreement. 

ARTICLE X 

1. This Agreement shall be open for signature by the States named in the preamble hereto and shall be subject to 
ratification. 

2. This Agreement shall enter into force thirty days following receipt by the depositary of the fifth instrument of 
ratification. Thereafter it shall enter into force for siny signing or acceding State thirty days after receipt by the 
depositary of an instrument of ratification or accession. 

3. This Agreement shall be deposited with the Government of Solomon Islands which shall be responsible for its 
registration with the United Nations. 

4. Following entry into force, this Agreement shall be open for accession by other States with the concurrence of 
all of the Parties to this Agreement. 

5. Reservations to this Agreement shall not be permitted. 

ARTICLE XI 

1. This Agreement is a binding international agreement concluded among States and is governed by international 
law. 

2. Any Party may withdraw from this Agreement by giving written notice to the depositary. Withdrawal shall take 
effect one year after receipt of such notice. 

3. Any amendments to this Agreement proposed by a Party shall only be adopted by unanimous decision of the 
Parties. 

IN WITNESS WHEREOF the undersigned, duly authorised by their respective Governments, have signed the 
Agreement. 

DONE at Nauru this 11th day of February One Thousand Nine Hundred and Eighty Two. 

[Signature] [Signature] 

For the Government of the For the Government of the 

Federated States of Micronesia Repubhc of Kiribati 

[Signature] [Signature] 

For the Government of the For the Government of the 

Marshall Islands Republic of Nauru 

[Signature] [Signature] 

For the Government of the For the Government of 

Republic of Palau Papua New Guinea 

[Signature] 

For the Government of 

Solomon Islands 



An Arrangement Implementing the 

Nauru Agreement Setting Forth 

Minimum Terms and Conditions of 

Access to the Fisheries Zones of the 

Parties, Koror, 1993 



Done at Koror 3 May 1993 

Entered into effect* 

Primary source citation: Copy of text provided by the 
University of the South PtMcific Department ofLtuo 



AN ARRANGEMENT IMPLEMENTING THE NAURU AGREEMENT 

SETTING FORTH MINIMUM TERMS AND CONDITIONS OF 

ACCESS TO THE FISHERIES ZONES OF THE PARTIES 

Pursuant to Article II, III, VII and DC of the Nauru Agreement Concerning Cooperation in the Msinagement of 
Fisheries of Common Interest, hereinafter referred to as the "Nauru Agreement", wherein the Parties thereto agreed 
to conclude arrangements to facilitate the implementation of the Nauru Agreement, the Federated States of 
Micronesia, the Republic of Kiribati, the RepubUc of the Marshall Islands, the RepubUc of Nauru, the RepubUc of 
Palau, Papua New Gviinea and Solomon Islands 

HAVE AGREED AS FOLLOWS: 

AkticleI 

SOUTH PACIFIC FORUM FISHERIES AGENCY REGIONAL 

REGISTER OF FISHING VESSELS 

The Parties shall peuticipate in, and comply with, the Procedures for the Establishment and Operation of the South 
Pacific Forum Fisheries Agency Regional Register of Fishing Vessels, adopted by the South Pacific Forum Fisheries 
Committee at Apia, Western Samoa on 5 May 1983. 

AimcLEn 
LICENSING TERMS AND CONDITIONS 

The Parties shall establish the following TninimiiTn terms and conditions and utilise the following common formats 
in all of their subsequent foreign fishing agreements and their licensing requirements concerning foreign vessels 
fishing the common stocks of fish within the Fisheries Zones: 



The United States is not a party to this Arrangement. 



319 



320 The Marine Mammal Commission Compendium 

1. Licensing Procediires 

(a) each foreign fishing vessel subject to this Arrangement shall be individually licensed; 

(b) appUcations for fishing licences shall be made by telex, cable, or letter to a Party or its designated repre- 
sentative; 

(c) payment, or the guarantee of payment, of hcence fees shall be required prior to the issue of a licence; 

(d) upon receipt, the hcence document shall be carried on the hcensed vessel and produced on demand. Production 
of a current vaUd hcence number, issued in accordance with the provisions herein, shall be sufficient evidence 
that a vessel is hcensed, pending receipt of the hcence document; 

(e) there shall be no refund of fees paid for the issue of a fishing hcence; 

(f) there shaU be no transfer of Ucences. 

2. Authorised Personnel 

The owner, charterer, operator, master or any other person responsible for the operation of a hcensed vessel shall: 

(a) allow authorised personnel to board the hcensed vessel at any location as determined by the hcensing Party 
in consultation with the person responsible for the operation of the vessel, including at ports where voyages 
commence or at ports within the Fisheries Zones or at sea, and to remain on board; 

(b) permit authorised personnel to gather information relevant to the Fisheries Zones of any of the Parties; 

(c) provide maintenance for authorised personnel, including food, accommodation and medical care of a standard 
at least equivalent to that provided for officers of the hcensed vessel; 

(d) allow authorised personnel access to facihties and equipment including sateUite navigators, radios, other 
navigation aids and charts in order to carry out their duties on board the hcensed vessel; 

(e) provide reasonable facihties for authorised personnel and assist them to carry out their duties; 

(f) allow authorised personnel access to catch on board for the purpose of collecting management related and 
biological information and sample; 

(g) disembark authorised personnel at an agreed location; 

(h) allow representatives of the Parties to be present at the unloading of the catch for the purpose of collecting 
management related and biological information and samples. 

3. Catch Reporting and Maintenance of Log Book 

The owner, charterer, operator, master or any other person responsible for the operation of a hcensed vessel shall 
ensure the maintenance of catch data and log books in the following respects: 

(a) keep daily catch and effort records on board the vessel within the Fisheries Zones on common catch data forms, 
the formats of which are set out in Appendix I; 

(b) keep the relevant common catch data form current at all times and produce it on demand to any authorised 
personnel; 

(c) make the data required on the regional catch data form available to the hcensing Party or its representative 
within 45 days after the completion of each voyage. 



Multilateral / Fisheries 321 



4. Timely Report of Catch, Entry and Exit 

The owner, charterer, operator, master or any other person responsible for the operation of a licensed vessel, except 
vessels under 20 gross registered tons, shall report accordingly to instructions provided by the licensing Party, in the 
following respects: 

(a) notice of entry of the vessel to the Fisheries Zone of the Party shall be given. Communication in this respect 
shall be made in the format set out in Appendix II (1); 

(b) the position of the vessel shall be reported while within the Fisheries Zone of the Party on a weekly basis 
together with the total catch of the vessel for the last seven days in the format as set out in Appendix II (2); 

(c) at the time of exit from the Fisheries Zone of the Party, the vessel's position, the total amount of fish on board 
and the total catch for the days elapsed since either the entry report or the previous weekly report, as the case 
may be, shall be reported in the format as set out in Appendix III (3); 

(d) where an agreement authorises fishing in the zones of more than one party, the requirements of paragraphs 
(a) and (c) may be satisfied by reporting entry and exit into and fix)m the combined zones of the Parties 
concerned. 

5. Identification of Licensed Vessels 

The owner, charterer, operator, master or any other person responsible for the operation of a licensed vessel shall 
ensure that the licensed vessel displays standard identification marks in the following respects: 

(a) the radio call sign of the vessel be displayed in a prominent position on the vessel where it can be readily 
identified fi-om the air or sea; 

(b) in cases where the vessel does not possess a radio call sign, the vessel registration number be displayed in the 
manner described above; 

(c) the letters and nimibers described above be at least one metre high, clear and distinct and colom^d black on 
white, white on black or similar contrasting colours; 

(d) the vessel's name be psdnted clearly in EngUsh in large letters on the bow and stem of the vessel. 

Article III 
LEGISLATIVE EFFECT 

1. Each Party agrees to ensure comphance with the minimum terms and conditions of access set out in Article II 
of this Arrangement, if necessary by the enactment of legislation. 

2. Each Party shall communicate to the Government of Solomon Islands, as the depositary of the Nauru Agreement, 
the text of any legislation it has enacted in order to give effect to this Arrangement. 

Article rv 
SIGNATURE AND EFFECT 

1. This Arrangement shall be open for signature by the Parties to the Nauru Agreement. 

2. This Arrangement shall take effect for each signatory immediately upon signature. 

3. This Arrangement shall be deposited with the Government of Solomon Islands. 

4. Reservations of this Arrangement shall not be permitted. 



322 The Marine Mammal Commission Compendium 



Article V 
WITHDRAWAL OR AMENDMENT 

1. Any Party may withdraw from this Arrangement by giving written notice to the depositary. Withdrawal shall 
take effect one year after receipt of such notice. 

2. Any amendments to this Arrangement proposed by a Party shall be adopted only by unanimous decision of the 
Parties to this Arrangement. 

Article VI 
THE NAURU AGREEMENT 

This Arrangement is subordinated to and governed by the Nauru Agreement. 

IN WITNESS WHEREOF the undersigned, being duly authorised by their respective Governments have signed this 
Arrangement. 

[Signature] [Signature] 

Federated States of Micronesia Repubuc of Palau 

[Signature] [Signature] 

Republic of Kiribati The Independent State of Papua 

New Guinea 

[Signature] [Signature] 

Repubuc of the Marshall Islands Solomon Islands 

[Signature] [Signature] 

Repubuc of Nauru Tuvalu 



A Second Arrangement Implementing 
the Nauru Agreement Setting Forth 

Additional Minimum Terms and 
Conditions of Access to the Fisheries 

Zones of the Parties, Koror, 1990 



Done at Koror 19 September 1990 

Entered into force 3 May 1993* 

Primary source citation: Copy of text provided by the 
Ministry of Foreign Affairs of the Solomon Islands 



A SECOND ARRANGEMENT IMPLEMENTING THE 

NAURU AGREEMENT SETTING FORTH ADDITIONAL 

MINIMUM TERMS AND CONDITIONS OF ACCESS TO 

THE FISHERIES ZONES OF THE PARTIES 

Pursuant to Articles II, III, and DC of the Nauru Agreement Concerning Cooperation in the Management of Fisheries 
of Common Interest, hereafter referred to as the "Nauru Agreement", wherein the Parties thereto agreed to conclude 
arrangements to facilitate the implementation of the Nauru Agreement, the Federated States of Micronesia, the 
RepubUc of Kiribati, the Republic of the Marshall Islands, the Republic of Nauru, the RepubUc of Palau, Papua New 
Guinea and Solomon Islands 

HAVE AGREED AS FOLLOWS: 

ARTICLE I 
Licensing Terms and Conflitions 

In addition to those terms and conditions provided in Article 11 of An Arrangement Implementing the Nauru 
Agreement Setting Forth Minimvmi Terms and Conditions of Access to the Fisheries Zones of the Parties, the Parties 
shall establish the following minimum terms and conditions and utilize the prescribed common formats in all of their 
subsequent foreign fishing agreements and their licensing requirements concerning foreign vessels fishing the 
common stocks of fish within the Fisheries Zones and shall not issue licences unless the minimum terms sind 
conditions are accepted and observed: 

1. Treinsshipment at Sea Prohibited 

The owner, chsuterer, operator, master or any other person responsible for the operation of a licensed vessel 
(hereafter referred to as "the operator") shall not transship fish at sea whether such transshipment is done 



' The United States is not a party to this Arrangement. 



323 



324 The Marine Mammal Commission Compendium 



within a fisheries zone of a licensing Party or on the high seas and shall transship only through ports designated 
by the licensing Party; 

2. High Seas Catch Reporting and Maintenance of Log Books 

Where a vessel is licensed to fish in one or more Fisheries Zones and is also used for fishing in the high seas 
during a fishing trip, the operator shall: 

(a) keep daily catch and effort records on board the vessel within the high seas on prescribed forms; 

(b) keep the relevant catch data form current at all times and produce it on demand to any authorized 
personnel; and 

(c) in accordance with the Minutes of an Agreement made in Palau on 19 September 1990, send by registered 
airmail to each licensing Party or its representative the following reports covering catch and effort in each 
Zone and the high seas for the whole trip: 

i) a preliminary report within 14 days of the completion of a trip; and 

ii) a final report within 45 days of the completion of the trip. 

3. Observers 

Upon request by a licensing Party, observers shall be placed on board licensed vessels and the operator and/or 
fishermen's association and/or flag state government shall pay the costs of such observers including: 

(a) full travel costs fit>m the licensing country to the vessel and return; 

(b) salary; Eind 

(c) fiill insurance coverage. 

ARTICLE n 
Electronic Position and Data l^vnsfer llechnology 

The operator and/or fishermen's association and/or flag state government shall ensure that an appropriate electronic 
positioning monitoring and data transfer device is installed and maintained in good working order on the vessel upon 
the request of the licensing Party. 

AR'ncLEm 

Signature and Effect 

1. This Arrangement shall be open for signature by the Parties to the Nauru Agreement. 

2. This Arrangement shall take eSiect 30 days following receipt by the depositary of the fifth instrument of approval. 
Thereafter, it shall take effect for any signing party 30 days after receipt by the depositary of the instrument of 
approval. 

3. This Arrangement shall be deposited with the Government of the Solomon Islands. 

4. Reservations to this Arrangement shall not be permitted. 



Multilateral / Fisheries 325 

ARTICLE IV 
Amendment and Withdrawal 

1. Any Party may withdraw from this Arrangement by giving written notice to the depositary. Withdrawal shall 
take effect one year after receipt of such notice. 

2. Any amendment to this Arrangement proposed by the Party shall be adopted only by unanimous decision of the 
Parties to this Arrangement. 

ARTICLE V 

The Nauru Agreement 

This Arrangement is subordinate to and governed by the Nauru Agreement. 

IN WITNESS WHEREOF the undersigned, being duly authorized by their respective Governments have signed 
this Arrangement. 

[Signature] 

For the Federated States of Micronesia 

By [Signature] 

Its [Signature] 

Done at Koron this 19th day of September 
One Thousand Nine Hundred and Ninety. 

[Signature] 

For the Repubhc of Kiribati 

By [Signature] 

Its [Signature] 

Done at Koron this 19th day of September 
One Thousand Nine Hundred and Ninety. 

[Signature] 

For the Republic of the Marshall Islands 

By [Signature] 

Its [Signature] 

Done at Koron this 19th day of September 
One Thoussmd Nine Hundred and Ninety. 

[Signature] 

For the Republic of Nauru 

By [Signature] 

Its [Signature] 

Done at Koron this 19th day of September 
One Thousand Nine Hundred and Ninety. 

[Signature] 

For the Repubhc of Palau 

By [Signature] 

Its [Signature] 

Done at Koron this 19th day of September 
One Thousand Nine Hundred and Ninety. 



326 The Marine Mammal Commission Compendium 



[Signature] 

For Papua New Guinea 

By [Signature] 

Its [Signature] 

Done at Koron this 19th day of September 
One Thousand Nine Hundred and Ninety. 

[Signature] 

For the Solomon Islands 

By [Signature] 

Its [Signature] 

Done at Koron this 19th day of September 
One Thousand Nine Hundred and Ninety. 



Western Indian Ocean 

Tuna Organisation Convention, 

Mahe, 1991 



Done at Make 19 June 1991 

Entered into force* 

Depositary: Seychelles 

Primary source citation: Copy of text provided by the 
U.S. Department of State 



WESTERN INDIAN OCEAN TUNA ORGANISATION CONVENTION 

THE PARTIES, 

Recognising their common interest in the conservation, management and optimum utilization of the Uving marine 
resources of the Western Indian Ocean region and in particular of the highly migratory tuna and tuna-like species; 

Desiring to cooperate with a view to ensuring the conservation, msinagement and optimum utilization of tuna and 
tuna-like species in the Western Indian Ocean; 

Considering the United Nations Convention on the Law of the Sea opened for signature on 10th December 1982; 

Desiring to promote regional cooperation and coordination in respect of fisheries poUcies; 

Concerned to secure the maximum benefits from the tuna and tuna-like species of the region for their peoples; 

HAVE AGREED AS FOLLOWS: 



Article 1 

ESTABLISHMENT 

1. The contracting parties hereby estabhsh the Western Indian Ocean IXina Organisation (hereafter referred to 
as "^e Organisation"). 

2. The Organisation shall consist of a Board, a Committee and a Secretariat. 

3. The headquarters of the Organisation shall be in Seychelles. 



• The United States is not a party to this Convention. 



328 The Marine Mammal Commission Compendium 

Article 2 

OBJECTIVES 

The objectives of the Organisation are to promote cooperation and coordination among its members in respect of, 
inter alia: 

(a) harmonization of policies with respect to fisheries; 

(b) relations with distant water fishing nations; 

(c) fisheries surveillance and enforcement according to arrangements which may be concluded; 

(d) fisheries development, in particular development of fishing capacity of members and fish technology, 
processing and marketing; 

(e) access to exclusive economic zones of Members, according to arrangements which may be concluded. 

Article 3 

MEMBERSHIP 

1. Membership of the Organisation shall be open to: 

(a) any founding State described in Annex I; 

(b) with unanimous approval of parties, any independent coastal State bordering the Western Indian Ocean 
whose territory is situated principally in the Western Indian Ocean region, having a common interest 
with parties in the conservation, management and optimum utilization of the highly migratory tuna 
and tuna-hke species of the region occurring within and beyond its exclusive economic zone. 

2. For the purposes of this Article, "Western Indian Ocean region" is the area described in Annex II. 

Article 4 

BOARD 

1. Each Member shall appoint to the Board one representative, who shall be the Minister responsible for fisheries, 
or any other Minister. 

2. The Board shall hold regular sessions at least once a year. A special session shall be held at any time at the 
request of a majority of Members. 

3. The Board shall adopt such rules of procedure as it considers necessary. 

4. The Board shall determine the poUcy of the Organisation and may direct the Committee on any matter 
pertaining to the policies and functions of the Organisation. 



Multilateral / Fisheries 329 

Article 5 

COMMITTEE 

1. Each Member shall be represented on the Committee by the senior official responsible for fisheries or a related 
area. 

2. The Board shall appoint a Chairman and two Vice-Chairmen from among the Committee members on such 
conditions as it may determine. 

3. The Committee shall meet as often as required and at least once a year. 

4. The Committee shall endeavoiu- to take decisions by consensus. In the absence of consensus, and imless 
otherwise provided in this Convention, a two-thirds majority of voting members shall be required for a decision. 

5. The Cormnittee shall adopt such rules of procedure and other internal administrative regulations as it 
considers necessary. 

6. The Committee may estabUsh such sub-committees, including technical and budget sub-committees, as it 
considers necessary. 

7. The Committee shall act in an executive capacity and have the following functions and responsibiUties, inter 
aha, to: 

(a) provide technical advice and guidance to the Board; 

(b) provide a forum for Members to consult together on any matter of common concern in relation to 
fisheries; 

(c) provide direction to the Secretariat with respect to its ftmctions and responsibihties; 

(d) carry out such other functions as may be required. 

Article 6 

SECRETARIAT 

1. The Board shall appoint a Director and may appoint a Deputy Director of the Secretariat on such conditions 
as it may determine. 

2. The Director may appoint such other staff in accordance with such rules and on such conditions as the 
Committee may determine. 

3. The Secretariat shall, in accordance with the objects of the Organisation, have the following functions, inter 
aha: 

(a) collect, analyse, evaluate and distribute to Members relevant information on matters including: 

(i) statistics on the Uving marine resources of the region and in particular tuna and tunalike species; 

(ii) fisheries management plans and procedures, legislation and agreements; 

(iii) prices, transport, processing and marketing offish and fish products; 

(iv) fishing patterns and technology; 

(v) fisheries surveillance and enforcement; 



330 The Marine Mammal Commission Compendium 

(b) provide on request to any Member: 

(i) technical advice and information; 
(ii) assistance in any relevant matters; 

(c) seek to establish working arrangements with relevant regional and international organisations; 

(d) submit to the Committee an annual report, including audited financial statements, on the activities of 
the Organisation for the preceding year, and submit for approval a work programme and budget for the 
succeeding year; 

(e) maintain effective relations with donor organisations; 

(f) undertake such other functions as the Committee may direct. 

Article 7 

FUNDEvTG 

The Organisation shall be funded by: 

(a) contributions from Members; 

(b) other sources, including grants, donations and other forms of assistance, 
as may be from time to time agreed by the Board. 

Article 8 

LEGAL STATUS, PRIVILEGES AND IMMUNITIES 

1. The Organisation shall have international legal personality and such legal capacity as may be necessary for 
the exercise of its functions and the fulfillment of its purposes, in particular the capacity to conclude agreements at 
the international level, to contract, to acquire and dispose of moveable and immoveable property and to sue and to 
be sued in accordance with its legal and diplomatic status. 

2. Subject to approval by the Board, an agreement shall promptly be concluded between the Organisation and 
the Government of Seychelles providing for such privileges and immunities as may be necessary for the proper 
discharge of the functions of the Organisation. 

Article 9 

INFORMATION 

1. The Members shall, upon the request of the Secretariat, provide such available and accessible data and 
information as the Secretariat may need for the purposes of this Convention, including: 

(a) copies of all relevant laws, regulations and administrative instructions, including those relating to the 
conservation and management of species covered by this Convention, and any amendment or repeal 
thereof; 

(b) details on action taken with respect to decisions of the Committee. 



Multilateral / Fisheries 331 



2. All information, data and reports submitted to the Organisation by the Members shall be treated as confidential 
and utUised solely for the ofiBcial purposes of the Organisation. 



Article 10 

SPECIES 

The species covered by this Convention shall be those set out in Annex III. 

Article 11 

DEPOSITARY 

The Government of Seychelles shall be the Depositary for this Convention. 

Article 12 

SIGNATURE, ACCEPTANCE AND ENTRY INTO FORCE 

1. This Convention shall be open for signature by founding States referred to in Article 3. 

2. Acceptance of this Convention shall be effected by the deposit of an instrument of acceptance with the 
Depositary. 

3. This Convention shall enter into force on receipt of the third such instrument of acceptance. 

Article 13 

ACCESSION 

1. Founding States and coastal States of the region referred to in Article 3 may, in accordance with the provisions 
of that Article, accede to this Convention by the deposit of an instrument of acceptance with the Depositary. 

2. Accession will be effective upon receipt of the instrument of acceptance by the Depositary. 

Article 14 

RESERVATIONS 

No reservations may be made to this Convention. 

Article 15 

AMENDMENT 

1. Propos£Js for zimendment may be made by any Member of the Board in writing, addressed to the Depositary, 
which shall promptly notify all Members of the Organisation. 



332 The Marine Mammal Commission Compendium 



2 . Amendments shall be effective upon receipt by the Depositary of instruments of acceptance firom two-thirds of 
the Members of the Organisation. 



Article 16 

WITHDRAWAL 

1. Any Member may withdraw from this Convention at any time after the expiry of two years from the date upon 
which this Convention entered into force with respect to that Member. 

2. A withdrawal sheill be in writing and addressed to the Depositary, which shall promptly notify all Members of 
the Organisation. 

3. Such withdrawal shall become effective sixty days after receipt by the Depositary. 

Article 17 

TERMINATION 

This Convention shall be terminated if and when membership drops below three. 

Article 18 

ARBITRATION 

1. Any dispute regarding the interpretation or appUcation of this Convention, if not settled by the parties or the 
Board, shall be referred to an arbitration tribunal. 

2. The tribunal shall be composed of three persons: 

(a) one person appointed by each party to the dispute; 

(b) an independent chairman, appointed by the Board in consultation with the parties to the dispute. 

3. In the event the Board determines that arrangements under paragraph 2 are impracticable, it shaU appoint 
an independent person to estabhsh the tribunal. 

4. (a) Unless the parties otherwise agree, the arbitration shall take place in a member cotmtry not party to 

the dispute. 

(b) The apphcable rules of procedure for the tribunal shall be those in force in the member country where 
the arbitration takes place. 

5. The decision of the tribunal shall be final and binding upon the parties to the dispute. 

Article 19 

OFFICIAL LANGUAGES 

The ofUcial languages of the Organisation shall be English and French. 

DONE in MAHE, SEYCHELLES, in English and French, each text being equally authentic, this 19 day of June 1991. 



Multilateral / Fisheries 



333 



ANNEXI 
In accordance with Article 3, the following are founding States for the purposes of this Convention: 

Comores 

India 

Kenya 

Madagasacar 

Maldives 

Mauritius 

Mozambique 

Seychelles 

Sri Lanka 

Tanzania 

ANNEXn 

In accordance with Article 3, the area of the Western Indian Ocean region is as follows: 

Starting along latitude 11°00'N from the Eastern Coast of India and through the following coordinates: 

Lat. 11°00'N and long. SS-OO'E 
Lat. 3°00'N and long. 85°00'E 
Lat. 3°00'N and long. 80°00'E 
Lat. 45°00'S and long. 80°00'E 
Lat. 45°00'S and long. 30°00'E 

and proceed along meridian 30°00'E to the Coast of Aftica. 

ANNEXm 

In accordance with Article 10, following are the tuna Eind tuna-like species for the purposes of this Convention. 

TUNA AND TUNA-LIKE SPECIES 



ENGLISH NAME 

1. Yellowfin tuna 

2. Skipjack tuna 

3. Bigeye tuna 

4. Albacore tuna 

5. Southern bluefin tuna 

6. Longtail tuna 

7. Frigate tuna 

8. Bullet tuna 



FRENCH NAME 

Albacore 

listao 

Thon Obese 

Germon 

Thon rouge du Sud 

Thon mignon 

Auxide 

Bonite 



SCIENTIFIC NAME 
Thunnus albacares 
Katsuwonus pelamis 
Thunnus obesus 
Thunnus alalunga 
Thunnus maccoyii 
Thunnus tonggol 
Auxis thazard 
Atuds rochei 



334 



The Marine Mammal Commission Compendium 



9. Kawakawa Thonine oriental Euthynus afEims 

10. Narrow-barred Spanish mackerel Thazard raye (Indo-Padfique) Scomberomorus commerson 



11. Indo-Pacific King mackerel 

12. Indo-Pacific blue marlin 

13. Black marlin 

14. Striped marlin 

15. Indo-Pacific sailfish 

16. Swordfish 



Thazard ponctue (Indo-Pacifique) Scomberomorus guttatus 
Makaire bleu (Indo-Pacifique) Makaira mazara 
Makaire noir Makaira indica 

Makaire rouge Ttetrapturus audax 

Voilier (Indo-Pacifique) Istiophorus platjrpterus 

Espadon Xiphias gladius 



Palau Arrangement for the 

Management of the Western Pacific 

Purse Seine Fishery, Suva, 1992 



Done at Suva 28 October 1992 

Entered into force 1 November 1995* 

Depositary: South Pacific Forum Fisheries Agency 

Primary source citation: Copy of text provided by 
the South Pacific Forum Fisheries Agency 



ARRANGEMENT FOR THE MANAGEMENT OF THE WESTERN 
PACIFIC PURSE SEINE FISHERY 

THE PARTIES 

TAKING into account the United Nations Convention on the Law of the Sea, 1982, in particular Articles 56(lXa) and 61; 

ACKNOWLEDGING that in accordance with the relevant principles of intemationsJ law each of the Parties has 
estabhshed an exclusive economic zone or fisheries zone (hereinafter called the "the exclusive economic zones") which 
extends up to two hundred nautical miles from the baseUne from which their respective territorial seas are measured 
and within which they respectively and separately exercise sovereign rights for the purposes of exploring, exploiting, 
conserving and managing all living marine resources; 

HAVING REGARD to the objectives of the South Pacific Forum Fisheries Agency Convention 1979 and the Nauru 
Agreement Concerning Cooperation in the Management of Fisheries of Common Interest 1982 and in particular the 
promotion of regional cooperation and coordination of fisheries policies and the need for implementation of these 
objectives through regional and subregional arrangements; 

RECOGNISING the responsibUities of coastal states and fishing states to cooperate with each other in the 
conservation and management of the Uving marine resources of the high seas and taking into accoimt the special 
interest of coastal states in highly migratory species while outside their exclusive economic zones; 

RECOGNISING that in order to ensure sustained conservation of living marine resources both within and beyond 
the exclusive economic zone, fisheries management regimes must effectively maintain the ecological relationship 
between dependent and associated populations, prevent any decrease in the size of harvested populations below those 
necessary to ensure their stable recruitment, and avoid adverse impacts upon the marine environment and further 
recognising that in order to ensure conservation and promote optimum utihsation of the Uving resources fishing must 
be carried out only on the basis of ecologically sound practices, effectively monitored and enforced; 

REAFFIRMING the obUgation of fishing nations to provide full and verifiable data on their fishing operations; 

MINDFUL of the dependence of countries of the South Pacific upon the rational development and utilization of the 
Uving marine resources and the continued abundance of these resources; 

* The United States is not a party to this Arrangement. 



335 



336 The Marine Mammal Commission Compendium 



ACCEPTING the right of all members of the South Pacific Forum Fisheries Agency to become Pari;ies to this 
Arrangement; 

HAVE AGREED AS FOLLOWS: 



ARTICLE 1 

DEFINITIONS AND INTERPRETATIONS 

In this Arrangement - 

(a) "Purse Seine Fisheries Management Area" (hereinafter referred to as "the Area") means the exclusive 
economic zones or fisheries zones of the Parties hereto including adjacent high seas areas in the Western 
Pacific within which purse seine vessels operate. 

(b) "Party" means a State party to this Arrangement, and "Parties" means all such States fi"om time to time; 

(c) "Psirty to the Nauru Agreement" means a Party to the Nauru Agreement Concerning Cooperation in the 
Management of Fisheries of Common Interest, 1982; and 

(d) "member of the Forum Fisheries Agency" means a Party to the South Pacific Forum Fisheries Agency 
Convention, 1979. 

(e) "Regional Register" means the Regional Register of Foreign Fishing Vessels maintained by the South 
Pacific Forum Fisheries Agency. 

(f) "domestic vessel" means any fishing vessel — 

(i) whoUy owned by the Government of a Party or by siny public corporation or body estabUshed by 
or under any law of a Party, all of the shares in which are beneficially owned by the Government 
of the Party; 

(ii) wholly owned and controlled by one or more natursd persons who are citizens or permanent 
residents of the Party in which the vessel is based under the relevant laws relating to nationality 
and citizenship of that Party; or 

(iii) wholly owned and controlled by any company, society or other association of persons incorporated 
or estabUshed under the laws of the Party in which the vessel is based. 

(g) "locally-based foreign fishing vessel" means a foreign fishing vessel which is based in a Party, lands eJI 
of its catch in that Party and/or operates under a joint venture arrangement in the territory of that Party 
which is approved by the Government of that Party or under arrangements whereby the operator of the 
vessel is participating in shore based developments or is otherwise making a substantial contribution 
to the development of the domestic tuna industry of the hcensing Party. 

(h) "foreign fishing vessel" means any fishing vessel other than a domestic vessel or a locally-based foreign 
fishing vessel. 



ARTICLE 2 

SCOPE OF THE ARRANGEMENT 

2.1 The understandings found in this document will apply to all species of tuna and tuna-Uke species (including 
bill-fish and other incidental by-catch (hereinafter referred to as "tuna")), taken by purse seine vessels, wherever they 
may occur in the Area. 



Multilateral / Fisheries 337 



ARTICLES 

MANAGEMENT MEETINGS 

3. 1 The Parties to this Arrangement will meet once a year for the purpose of reviewing the current status of tuna 
stocks and to establish necessary measures for their management and conservation. 

3.2 The functions of the Management Meeting are — 

(a) to consider all available information including scientific data relating to catch and operations of purse 
seine fishing vessels within the Area and economic and socio-economic information relating to the impact 
of the fishery on Psirties; 

(b) to consider management measures, which may include, but are not limited to — 

(i) the regulation of fishing effort by purse seine vessels which have good standing on the Regional 
Register, including the number of vessels by size class, operation type, carrying capacity, fishing 
power and technological capabUity or other grouping subject to the criteria set out in Article 5. 1; 

(ii) the allocation of licences as indicated in Annex 1 hereto for fishing access to the exclusive economic 
zones of Parties including licence denial for those foreign fishing vessels unwilling to cooperate 
in these management and conservation measures by failing to provide high seas catch and efibrt 
data; 

(iii) the establishment of closed areas and closed seasons; and 

(iv) any other management measure deemed necessary from time to time. 

(c) the establishment and implementation of a system of observation and inspection consistent with 
regionally agreed initiatives; 

(d) the more effective implementation of the First and Second Implementing Arrangements entered into 
pursuant to the Nauru Agreement Concerning Cooperation in the Management of Fisheries of Common 
Interest, 1982. The said Implementing ArrEingements are annexed to this Arrangement as Annex 2; 

(e) the development of surveillance and enforcement procedures consistent with regionally agreed initia- 
tives; 

(0 the referral of matters for consideration by Special Working Groups as may be considered necessary 
from time to time; 

(g) the adoption of a budget for the management of tuna resources; and 

(h) the determination of the level of contributions by Parties. 

3.3 Any allocation of licences under subparagraph 3.2(b)(ii) above will take into account the strong dependence of 
South Pacific coastal states on fisheries resources and the special importance to them of the conservation and 
optimum utilization of highly migratory species of tuna in the region. 

3.4 All secretariat services and arrangements for meetings will be performed by the Forum Fisheries Agency. 

3.5 Each Party will ensvire that its nationals and fishing vessels comply with any management measures adopted 
by the Management Meeting. 



338 The Marine Mammal Commission Compendium 



ARTICLE 4 

DECISIONS OF THE MANAGEMENT MEETING 

The decisions of the Management Meeting will be arrived at by consensus and will be binding on the Parties. 



ARTICLE 5 

ALLOCATION OF LICENCES 

5.1 Provided vessels have good standing on the Regional Register, Parties to this Arrangement undertake to 
allocate hcences in the following order of priority — 

(a) domestic vessels; 

(b) domestic vessels of another Party to this arrangement or vessels jointly operated by or on behalf of the 
Government of the Party in which the vessel is based and one or more other Parties; 

(c) locally-based foreign fishing vessels; 

(d) foreign fishing vessels with established access arrangements over previous years and with good records 
of compliance with national laws and regulations, the minimum terms and conditions and reporting 
requirements of Parties; and 

(e) new foreign fishing entrants to the fishery. 



ARTICLE 6 

LICENCE ALLOCATION CRITERIA 

6.1 The Parties agree that the number of licences that may be issued to purse seine vessels of individual fleets will 
not exceed the limits set out in Annex 1 hereto. 

6.2 Additional licences may be issued as set out in Annex 1 hereto. A premium of at least 20% will be applied to 
the fees payable for such additional licences. 

6.3 The agreed limits on the number of licences that may be issued will be reviewed by the Management Meeting. 
The Parties agree that any alteration to the above maximum allocations, including the allocation of additional 
licences, must be approved by all the Parties. It is further understood that the Parties will aim to reduce the 
number of additional licences available. 

6.4 In allocating licences to individusd foreign purse seine vessels the Parties will apply the following criteria. 
Licences will be issued — 

(a) firstly on the basis of the vessel's record of compliance with the national laws and regulations and 
reporting requirements of Parties; and 

(b) secondly in chronological order of appUcations submitted to Parties. 

6.5 Vessels wath poor records of reporting and compliance with national laws and regulations of Parties will receive 
the lowest priority in the allocation of available licences. 



Multilateral / Fisheries 339 



ARTICLE 7 
SPECIAL WORKING GROUPS 

7.1 The Management Meeting may designate Special Working Groups to examine issues arising out of the 
implementation of this Arrangement. 

7.2 Each Pjirty will have the right to appoint a representative to any Special Working Group. 

7.3 Where expertise is not available within the Area, the Management Meeting may invite external expertise to 
participate in the meetings of the Groups. The costs of external experts' participation may be met by Parties 
to this Arrangement. 

7.4 The recommendations of any Special Working Groups will be submitted in writing to the Management Meeting. 
The recommendations shall not be binding on Parties or the Management Meeting. 



ARTICLE 8 

INFORMAL CONSULTATIONS WITH OTHER STATES 
AND INTERNATIONAL ORGANISATIONS 

!. 1 The Parties recognise the need to cooperate with other states or international organisations having an interest 
in the tuna resources within the Area. 

!.2 The Parties agree that such cooperation will take place through informal consultations between the Parties 
and other states or international organisations. 



ARTICLE 9 

SECRETARIAT 

9.1 The Director of the Forum Fisheries Agency wiU assist the Parties in the implementation and coordination of 
the provisions of this ArrEingement. 

9.2 The Director will coordinate the hcensing mechanism under this Arrangement. This will include — 

(a) evaluating the level of compUance by assessing retvuned catch reports on the South Pacific Commis- 
sion/FFA Regional TVina Fisheries Database; and 

(b) evaluating reports received from Parties relating to compliance by purse seine vessels with Parties 
national laws and reporting requirements. 

9.3 The Parties agree to comply with the rules and procedures relating to the operation of the Regional Register 
as agreed upon from time to time by the Forum Fisheries Committee. 

9.4 In addition, the Parties will notify the Director of the name, call sign, local licence or registration number and 
regional register number, if any, of all purse seine vessels licensed to fish in their exclusive economic zones, 
regardless of whether such vessels are considered for the purposes of national legislation as foreign, domestic, 
domestic-based, locally-based foreign fishing vessels or otherwise, at two monthly intervals. DeadUnes shall 
be set at the first day of the month for January, March, May, July, September and November. 

9.5 The Director will notify the Parties of the name, call sign and registration number of all purse seine vessels 
licensed to fish in the exclusive economic zones of all the Parties each month and the number of licences 
available for allocation at any given time will be determined by reference to the list distributed by the Director. 



340 The Marine Mammal Commission Compendium 



ARTICLE 10 

CONSULTATIONS AND DISPUTE SETTLEMENT 

10.1 At the request of any Party, consultations wiU be held with any other Party within sixty (60) days of the date 
of receipt of the request. All other Parties will be notified of such requests for consultations and any Party will 
be permitted to participate in such consultations. 

10.2 Any dispute arising out of the interpretation or implementation of this Arrangement between two or more 
Parties will be settled through peaceful negotiations. 



ARTICLE 11 

ENTRY INTO FORCE 

11.1 This Arrangement will be open for signature by the Parties to the Nauru Agreement and is subject to 
ratification. 

11.2 This Arrangement wUl enter into force 14 days following receipt by the depositary of instruments of ratification 
by five signatories including the Federated States of Micronesia, Republic of Kiribati and the Independent 
State of Papua New Guinea. Thereafter it shall enter into force for any signing or acceding State 30 days after 
receipt by the depositary of the instrument of ratification or accession. 

11.3 The depositary for this Arrangement shall be the South Pacific Forum Fisheries Agency. 

11.4 Following entry into force this Arrangement shall be open for accession by other members of the Forum 
Fisheries Agency not Parties to the Nauru Agreement. 

11.5 Reservations to this Arrangement shall not be permitted. 

11.6 Any Party may withdraw fi^m this Arrangement by giving written notice to the depositary. Withdrawal shfdl 
take efiiect one yoEir after receipt of such notice. 

11.7 Any amendments to this Arrangement proposed by a Party shall be adopted by consensus. 

IN WITNESS WHEREOF the undersigned, duly authorised by their respective Governments, have signed this 
Arrangement. 

DONE at Suva this day of October 1992 

Federated States of Micronesia Republic of Palau 

Republic of Kiribati Papua New Guinea 

Republic of the Marshall Islands Solomon Islands 

RepubUc of Nauru THivalu 



ANNEXI 

AGREED PURSE SEINE UCENCE NUMBERS 

The maximum niunber of licences for purse seine vessels agreed to by the 11th Annual Meeting of the Parties to the 
Nauru Agreement, Tarawa, Kiribati, 14 - 17 April, 1992 is as follows: 



Multilateral / Fisheries 341 



Single (Additional) Group (Additional) 



1. Multilateral Access 






USA (Treaty) 


40 


(10)1 


2. Bilateral Access 






a) FFA Members 






Australia 


6 




b) Foreign 






Japan 


32 




Taiwan 


30 


(12) 


South Korea 


32 


(5) 


Philippines 


6 


(5) 


Indonesia 


3 




Sub-lbtal (a + b) 


109 


(22) 


3. Domestic / Locally-based foreign vessels 






All Parties 


10 




TOTAL (1+2+3) 


158 


(32) 



4 (3) 

2 



(3) 



6 (3) 

^ As agreed in relation to an extension of the Treaty on Fisheries Between the Governments of Certain PadSc Island States and the Government of the 

United States of America 
^ Special licences for joint venturea'developmental Ucences as agreed with the United States in relation to an extension of the US Treaty 



PALAU ARRANGEMENT FOR THE MANAGEMENT 
OF THE WESTERN PACIFIC PURSE SEINE FISHERY 

Attachment H — ANNEX I (Revised 1993) 

AGREED PURSE SEINE UCENCE NUMBERS 

The maximum number of hcences for purse seine vessels agreed to by the 12th Annual Meeting of the Psu-ties to the 
Nauru Agreement, Airai, Palau, 3-5 May 1993 is as follows. It is agreed that this revised table amends the 
understanding reached between the Parties at the 11th Annual Meeting of the Parties at Tarawa in April 1992, and 
shall remain in effect until further amended by the Parties or by a Management Meeting imder Article III of the 
Arrsmgement for the Management of the Western Pacific Purse Seine Fishery 

Single PS (Additional) Group PS (Additional) 

1. Multilateral Access 

USA (Treaty) 40 HlQ)2i5) 

2. Bilateral Foreign Access 

Japan 32 4 (3) 

Taiwan 
South Korea 
Philippines 
Subtotal (bilateral foreign) 



32 




4 


30 


(12) 


2 


32 






6 


(5) 




100 


(17) 





342 



The Marine Mammal Commission Compendium 



Single PS 



(Additional) Group PS (Additional) 



3. Domestic / Locally Based Foreign Vessels/ 
Bilateral Access (FFA Members) 
Tbtal Allocation^ 

(a) Domestic / Bilateral Access (FFA Members) 

FSM (4) 

Solomon Islands (3) 

(b) Locally-based Foreign Fishing Vessels 

Russia (6) 
Total (1+2 + 3) 



164 



(27X5) 



6 



(3) 



As agreed in relation to an extension of the Treaty on Fisheries Between the Governments of Certain Pacific Island States and the Government of the 

United States of America 

Special licences for joint venture/developmental Ucences as agreed with the United States in relation to an extension of the US Treaty 

The remaining available Ucence allocation for domestic, locally-based foreign fishing vessels and bilateral access for FFA members as at May 1993 is 11 



ANNEX2 

AN ARRANGEMENT IMPLEMENTING THE NAURU AGREEMENT SETTING 

FORTH MINIMUM TERMS AND CONDITIONS OF ACCESS TO THE FISHERIES 

ZONES OF THE PARTIES 

Pursuant to Article II, III, VII and DC of the Nauru Agreement Concerning Cooperation in the Management of 
Fisheries of Common Interest, hereinafter referred to as the "Nauru Agreement", wherein the Parties thereto agreed 
to conclude arrangements to facilitate the implementation of the Nauru Agreement, the Federated States of 
Micronesia, the Republic of Kiribati, the Republic of the Marshall Islands, the Republic of Nauru, the Republic of 
Palau, Papua New Guinea and Solomon Islands, 

HAVE AGREED AS FOLLOWS 

Article I 

South Pacific Forum Fisheries Agency Regional Register of Fishing Vessels 

The Parties shall participate in, and comply with, the Procedures for the EstabUshment and Operation of the South 
Pacific Forum Fisheries Agency RegionjJ Register of Fishing Vessels, adopted by the South Pacific Forum Fisheries 
Committee at Apia, Western Samoa on 5 May 1983. 

Article U 

Licensing Terms and Conditions 

The Parties shall establish the following minimum terms and conditions and utilize the following common formats 
in all of their subsequent foreign fishing agreements and their Ucensing requirements concerning foreign vessels 
fishing the common stocks offish within the Fisheries Zones: 



Licensing Procedures 

(a) each foreign fishing vessel subject to this Arrangement shall be individually licensed; 

(b) applications for fishing licences shall be made by telex, cable, or letter to a Party or its designated 
representative; 

(c) payment, or the guarantee of payment, of Ucence fees shall be required prior to the issue of a licence; 

(d) upon receipt, the licence document shall be carried on the licensed vessel and produced on demand. 
Production of a current valid licence number, issued in accordance with the provisions herein, shall be 
sufficient evidence that a vessel is licensed, pending receipt of the licence document; 

(e) there shall be no refund of fees paid for the issue of a fishing licence; 

(f) there shall be no transfer of Ucences; 



Multilateral / Fisheries 343 



2. Authorised Personnel 

The owner, charterer, operator, master or any other person responsible for the operation of a licensed vessel shall: 

(a) allow authorised personnel to board the licensed vessel at any location as determined by the licensing 
Party in consultation with the person responsible for the operation of the vessel, including at ports where 
voyages commence or at ports within the Fisheries Zones or at sea, and to remain on board; 

(b) permit authorised personnel to gather information relevant to the Fisheries Zones of any of the Parties; 

(c) provide maintenance for authorised personnel, including food, accommodation and medical care of a 
standard at least equivalent to that provided for officers of the licensed vessel; 

(d) eJIow authorised personnel access to facilities and equipment including sateUite navigators, radios, 
other navigation aids and charts in order to carry out their duties on hozid the Ucensed vessel; 

(e) provide reasonable facilities for authorised personnel and assist them to cany out their duties; 

(f) allow authorised personnel access to catch on board for the purpose of collecting management related 
and biological information and sample; 

(g) disembark authorised personnel at an agreed location; 

(h) allow representatives of the Parties to be present at the unloading of the catch for the piupose of 
collecting management related and biological information and samples. 

3. Catch Reporting and Maintenance of Log Book 

The owner, charterer, operator, master or any other person responsible for the operation of a licensed vessel shall 
ensure the maintenance of catch data and log books in the following respects: 

(a) keep daily catch and effort records on board the vessel within the Fisheries Zones on common catch data 
forms, the formats of which are set out in Appendix I; 

(b) keep the relevant common catch data form current at all times and produce it on demand to any 
authorized personnel; 

(c) make the data required on the regional catch data form available to the licensing Party or its 
representative within 45 days after the completion of each voyage. 

4. Timely Report of Catch, Entry and Exit 

The owner, charterer, operator, master or any other person responsible for the operation of a Ucensed vessel, except 
vessels under 20 gross registered tons, shall report according to instructions provided by the licensing Party, in the 
following respects: 

(a) notice of entry of the vessel to the Fisheries Zone of the Party shall be given. Communication in this 
respect shall be made in the format set out in Appendix 11(1); 

(b) the position of the vessel shall be reported while within the Fisheries Zone of the Party on a weekly basis 
together with the total catch of the vessel for the last seven days in the format as set out in Appendix II 
(2); 

(c) at the time of exit from the Fisheries Zone of the Party, the vessel's position, the total amount offish on 
board and the total catch for the days elapsed since either the entry report or the previous weekly report, 
as the case may be, shall be reported in the format as set out in Appendix II (3); 

(d) where an agreement authorizes fishing in the zones of more than one Party, the requirements of 
p£iragraphs (a) sind (c) may be satisfied by reporting entry Eind exit into and fi-om the combined zones of 
the Parties concerned. 

5. Identification of Licensed Vessels 

The owner, charterer, operator, master or any other person responsible for the operation of a licensed vessel shall 
ensure that the licensed vessel displays standard identification marks in the following respects: 

(a) the radio call sign of the vessel be displayed in a prominent position on the vessel where it can be readily 
identified from the air or sea; 

(b) in cases where the vessel does not possess a radio call sign, the vessel registration number be displayed 
in the manner described above; 

(c) the letters and numbers described above be at least one metre high, clear and distinct and coloured black 
on white, white on black or similar contrasting colours; 

(d) the vessel's name be painted clearly in EngUsh in Iju-ge letters on the bow and stem of the vessel. 



344 The Marine Mammal Commission Compendium 



Article m 

Legislative Effect 

1. Each Party agrees to ensure compliance with the minimum terms and conditions of access set out in Article 11 
of this Arrangement, if necessary by the enactment of legislation. 

2. Each Party shall communicate to the Government of Solomon Islands, as the depositary of the Nauru 
Agreement, the text of any legislation it has enacted in order to give effect to this Arrangement. 

Article IV 

Signature and Effect 

1. This Arrangement shall be open for signature by the Peirties to the Nauru Agreement. 

2. This Arrangement shall take effect 30 days following signature by the fourth Party. Thereafter, it shall take 
effect for any signing Party 30 days after receipt by the depositary of notification of signature. 

3. This Arrangement shall be deposited with the Government of Solomon Islands. 

4. Reservations of this Arrangement shall not be permitted. 

Article V 

Withdrawal or Amendment 

1. Any Party may withdraw from this Arrangement by giving written notice to the depositary. V^thdrawal shall 
take effect one year after receipt of such notice. 

2. Any amendments to this Arrangement proposed by a Party shall be adopted only by unanimous decision of the 
Parties to this Arrangement. 

Article VI 

The Naur^ Agreement 

This Arrangement is subordinated to and governed by the Nauru Agreement. 

IN WITNESS WHEREOF the undersigned, being duly authorised by their respective Governments have signed this 

Arrangement. 

Federated States of Micronesia 

Republic of Kiribati 

Republic of the M£irshall Islands 

Republic of Nauru 

Republic of Palau 

Papua New Guinea 

Solomon Islands 



A SECOND ARRANGEMENT IMPLEMENTING THE NAURU AGREEMEN T 

SETTING FORTH ADDITIONAL TERMS AND CONDITIONS OF ACCESS TO THE 

FISHERIES ZONES OF THE PARTIES 

Pursuant to Articles II, III, and DC of the Nauru Agreement Concerning Cooperation in the Management of Fisheries 
of Common Interest, hereafter referred to as the "T^auru Agreement", wherein the Parties thereto agreed to conclude 
arrangements to facilitate the implementation of the Nauru Agreement, the Federated States of Micronesia, the 
Republic of Kiribati, the Republic of the Marshall Islands, the Republic of Nauru, the Republic of Palau, Papua New 
Guinea and Solomon Islands 



Multilateral / Fisheries 345 



HAVE AGREED AS FOLLOWS: 

Article I 

Licensing Tkrms and Conditions 

In addition to those terms £ind conditions provided in Article II of An Arrangement Implementing the Nauru 
Agreement Setting Forth Minimum Terms and Conditions of Access to the Fisheries Zones of the Parties, the Parties 
shall estabUsh the following minimum terms and conditions and utilize the prescribed common formats in all of their 
subsequent foreign fishing agreements and their licensing requirements concerning foreign vessels fishing the 
common stocks of fish within the Fisheries Zones and shall not issue hcences unless the minimum terms and 
conditions are accepted and observed: 

1. Transhipment at Sea Prohibited 

The owmer, charterer, operator, master or any other person responsible for the operation of a licensed vessel (hereafter 
referred to as "the operator") shall not tranship fish at sea whether such transhipment is done within a fisheries zone 
of a licensing Party or on the high seas and shall tranship only through ports designated by the licensing Party; 

2. High Seas Catch Reporting and Maintenance of Log Books 

Where a vessel is Ucensed to fish in one or more Fisheries Zones and is also used for fishing in the high seas during 
a fishing trip, the operator shall: 

(a) keep daily catch and effort records on board the vessel within the high seas on prescribed forms; 

(b) keep the relevant catch data form current at all times and produce it on demand to any authorized 
personnel; and 

(c) in accordance with the Minutes of an Agreement made in Palau on 19 September 1990, send by registered 
airmail to each Ucensing Party or its representative the following reports covering catch and effort in 
each Zone and the high seas for the whole trip: 

(i) a preUminary report within 14 days of the completion of a trip; and 

(ii) a final report within 45 days of the completion of the trip . 

3. Observers 

Upon request by a licensing Party, observers shall be placed on board licensed vessels and the operator and/or 
fishermen's association and/or flag state government shall pay the costs of such observers including: 

(a) full travel costs from the licensing country to the vessel and return; 

(b) salary; and 

(c) full insurance coverage. 

Article II 

Electronic Position and Data Transfer Technology 

The operator and/or fishermen's association and/or flag state government shall ensure that an appropriate electronic 
positioning monitoring and data transfer device is installed and maintained in good working order on the vessel upon 
the request of the licensing Party. 

Article III 

Signature and Effect 

1. This Arrangement shall be open for signature by the Parties to the Nauru Agreement. 

2. This Arrangement shall take effect 30 days following receipt by the depositary of the fifth instrument of 
approval. Thereafter, it shall take effect for any signing Party 30 days after receipt by the depositary of the 
instrument of approval. 

3. This Arrangement shall be deposited with the Government of the Solomon Islands. 

4. Reservations to this Arrangement shall not be permitted. 



346 The Marine Mammal Commission Compendium 



Article IV 

Amendment and Witfidrawal 

1. Any party may withdraw from this Arrangement by giving written notice to the depositeiry. Withdrawal shall 
take effect one year after receipt of such notice. 

2. Any amendment to this Arrangement proposed by a party shall be adopted only by unanimous decision of the 
Parties to this Arrangement. 

Article V 

The Nauru Agreement 

This Arrangement is subordinate to and governed by the Nauru Agreement. 

IN WITNESS WHEREOF the undersigned, being duly authorised by their respective Governments have signed this 
Agreement. 

DONE at Koror this 19th day of September 1990 

Federated States of Micronesia 

Repubhc of Kiribati 

RepubUc of the Marshall Islands 

Repubhc of Nauru 

Republic of Palau 

Papua New Guinea 

Solomon Islsmds 



Agreement to Promote Compliance with 

International Conservation and 

Management Measures by Fishing 

Vessels on the High Seas, Rome, 1993 



Done at Rome 24 November 1993 

Not in force 

Depositary: United Nations 

Primary source citation: United States Treaty 
Document 103-24 



AGREEMENT TO PROMOTE COMPLIANCE WITH 
INTERNATIONAL CONSERVATION AND MANAGEMENT 
MEASURES BY FISHING VESSELS ON THE HIGH SEAS 



PREAMBLE 

The Parties to this Agreement, 

Recognizing that all States have the right for their nationals to engage in fishing on the high seas, subject to 
the relevant rules of international law, as reflected in the United Nations Convention on the Law of the Sea, 

Further recognizing that, under international law as reflected in the United Nations Convention on the Law 
of the Sea, all States have the duty to take, or to cooperate with other States in taking, such measures for their 
respective nationals as may be necessary for the conservation of the Uving resources of the high seas. 

Acknowledging the right and interest of all States to develop their fishing sectors in accordance with their 
national policies, and the need to promote cooperation with developing countries to enhance their capabilities to fulfill 
their obligations under this Agreement, 

Recalling that Agenda 21, adopted by the United Nations Conference on Environment and Development, calls 
upon States to take effective action, consistent with international law, to deter reflagging of vessels by their nationals 
as a means of avoiding comphance with applicable conservation and management rules for fishing activities on the 
high seas. 

Further recalling that the Declaration of Cancun, adopted by the International Conference on Responsible 
Fishing, also calls on States to take action in this respect. 

Bearing in mind that under Agenda 21, States commit themselves to the conservation and sustainable use of 
marine living resources on the high seas. 



348 The Marine Mammal Commission Compendium 



Callir^ upon States which do not participate in global, regionEil or subregional fisheries organizations or 
arrangements to join or, as appropriate, to enter into understandings with such organizations or with parties to such 
organizations or arrangements with a view to achieving compliance with international conservation and management 
measures. 

Conscious of the duties of every State to exercise effectively its jurisdiction smd control over vessels flying its 
flag, including fishing vessels and vessels engaged in the transhipment offish. 

Mindful that the practice of flagging or reflagging fishing vessels as a means of avoiding compliance with 
international conservation and msinagement metisures for living marine resources, and the failure of flag States to 
fulfill their responsibilities with respect to fishing vessels entitled to fly their flag, are among the factors that seriously 
undermine the efiectiveness of such measures, 

Realizing that the objective of this Agreement can be achieved through specifying flag States' responsibiUty in 
respect of fishing vessels entitled to fly their flags and operating on the high seas, including the authorization by the 
flag State of such operations, as well as through strengthened international cooperation and increased transparency 
through the exchange of information on high seas fishing. 

Noting that this Agreement will form an integral part of the International Code of Conduct for Responsible 
Fishing called for in the Declfiration of Cancun, 

Desiring to conclude an international agreement within the framework of the Food and Agriculture Organiza- 
tion of the United Nations, hereinafter referred to as FAO, under Article XIV of the FAO Constitution, 

Have agreed as follows: 



ARTICLE L— DEFINITIONS 

For the purposes of this Agreement: 

(a) "fishing vessel" means any vessel used or intended for use for the purposes of the 
commercial exploitation of living marine resources, including mother ships Eind any other vessels 
directly engaged in such fishing operations; 

(b) "international conservation and management measures" means measures to conserve or 
manage one or more species of living marine resources that are adopted and appUed in accordance with 
the relevant rules of international law as reflected in the 1982 United Nations Convention on the Law 
of the Sea. Such measures may be adopted either by global, regional or subregional fisheries organiza- 
tions, subject to the rights and obhgations of their members, or by treaties or other international 
agreements; 

(c) "length" means 

(i) for any fishing vessel bmlt after 18 July 1982, 96 percent of the total length 
on a waterline at 85 percent of the least moulded depth measured from the top of the keel, 
or the length from the foreside of the stem to the axis of the rudder stock on that waterline, 
if that be greater. In ships designed with a rake of keel the waterUne on which this length 
is measured shall be parallel to the designed waterline; 

(ii) for any fishing vessel built before 18 July 1982, registered length as entered 
on the nationsil register or other record of vessels; 

(d) "record of fishing vessels" means a record of fishing vessels in which are recorded pertinent 
details of the fishing vessel. It may constitute a separate record for fishing vessels or form part of a 
general record of vessels; 



Multilateral / Fisheries 349 



(e) "regional economic integration organization" means a regional economic integration or- 
ganization to which its member States have transferred competence over matters covered by this 
Agreement, including the authority to make decisions binding on its member States in respect of those 
matters; 

(f) "vessels entitled to fly its flag" and "vessels entitled to fly the flag of a State", includes 
vessels entitled to fly the flag of a member State of a regional economic integration organization. 



ARTICLE n.— APPUCATION 

1. Subject to the following paragraphs of this Article, this Agreement shall apply to all fishing vessels that 
are used or intended for fishing on the high seas. 

2. A Party may exempt fishing vessels of less than 24 meters in length entitled to fly its flag from the 
appUcation of this Agreement unless the Party determines that such Ein exemption would undermine the object and 
purpose of this Agreement, provided that such exemptions: 

(a) shall not be granted in respect of fishing vessels operating in fishing regions referred to in 
paragraph 3 below, other than fishing vessels that are entitled to fly the flag of a coastal State of that 
fishing region; and 

(b) shall not apply to the obUgations undertaken by a Party under paragraph 1 of Article III, 
or paragraph 7 of Article VI of this Agreement. 

3. Without prejudice to the provisions of paragraph 2 above, in any fishing region where bordering coastal 
States have not yet declared exclusive economic zones, or equivalent zones of national jurisdiction over fisheries, such 
coastal States as are Parties to this Agreement may agree, either directly or through appropriate regional fisheries 
organizations, to establish a minimum length of fishing vessels below which this Agreement shall not apply in respect 
of fishing vessels flying the flag of any such coastal State and operating exclusively in such fishing region. 



ARTICLE m.— FLAG STATE RESPONSIBILITY 

1. (a) Each Party shall take such measures as may be necessary to ensure that fishing vessels entitled to 
fly its flag do not engage in any activity that undermines the effectiveness of international conservation and 
management measures. 

(b) In the event that a Party has, pursuant to paragraph 2 of Article II, granted sm exemption for fishing 
vessels of less than 24 metres in length entitled to fly its flag ft-om the appUcation of other provisions of this Agreement, 
such Party shall nevertheless take effective measures in respect of any such fishing vessel that undermines the 
effectiveness of international conservation and management measures. These measures shall be such as ensure that 
the fishing vessel ceases to engage in activities that undermine the effectiveness of the international conservation 
emd management measures. 

2. In particular, no Party shall allow any fishing vessel entitled to fly its flag to be used for fishing on the 
high seas unless it has been authorized to be so used by the appropriate authority or authorities of that Party. A 
fishing vessel so authorized shall fish in accordance with the conditions of the authorization. 

3. No Party shall authorize any fishing vessel entitled to fly its flag to be used for fishing on the high seas 
unless the Party is satisfied that it is able, taking into accovmt the links that exist between it and the fishing vessel 
concerned, to exercise effectively its responsibilities under this Agreement in respect of that fishing vessel. 

4. Where a fishing vessel that has been authorized to be used for fishing on the high seas by a Party ceases 
to be entitled to fly the flag of that Party, the authorization to fish on the high seas shall be deemed to have been 
canceled. 



350 The Marine Mammal Commission Compendium 



5. (a) No Party shaU authorize any fishing vessel previously registered in the territory of another Party 
that has undermined the effectiveness of international conservation and management measures to be used for fishing 
on the high seas, unless it is satisfied that 

(i) any period of suspension by another Party of an authorization for such fishing vessel to be 
used for fishing on the high seas has expired; and 

(ii) no authorization for such fishing vessel to be used for fishing on the high seas has been 
withdrawn by another Party within the last three years. 

(b) The provisions of subparagraph (a) above shall also apply in respect of fishing vessels previously 
registered in the territory of a State which is not a Party to this Agreement, provided that sufficient information is 
available to the Party concerned on the circumstances in which the authorization to fish was suspended or withdrawn. 

(c) The provisions of subparagraphs (a) and (b) shall not apply where the ownership of the fishing vessel 
has subsequently changed, and the new owner has provided sufficient evidence demonstrating that the previous 
owner or operator has no further legal, beneficial or financial interest in, or control of the fishing vessel. 

(d) Notwithstanding the provisions of subparagraphs (a) and (b) above, a Party may authorize a fishing 
vessel, to which those subparagraphs would otherwise apply, to be used for fishing on the high seas, where the Party 
concerned, after having taken into account all relevant facts, including the circumstances in which the fishing 
authorization has been withdrawn by the other Party or State, has determined that to grant an authorization to use 
the vessel for fishing on the high seas would not undermine the object and purpose of this Agreement. 

6. Each Party shall ensure that all fishing vessels entitled to fly its flag that it has entered in the record 
maintained under Article FV are marked in such a way that they can be readily identified in accordance with generally 
accepted standards, such as the FAO Standard Specifications for the Marking and Identification of Fishing Vessels. 

7. Each Party shall ensure that each fishing vessel entitled to fly its flag shall provide it with such 
information on its operations as may be necessary to enable the Party to fiilflll its obligations imder this Agreement, 
including in particular information pertaining to the area of its fishing operations and to its catches and landings. 

8. Each Party shall take enforcement measures in respect of fishing vessels entitled to fly its flag which 
act in contravention of the provisions of this Agreement, including, where appropriate, making the contravention of 
such provisions an offence under national legislation. Sanctions apphcable in respect of such contraventions shall be 
of sufficient gravity as to be effective in securing compliance with the requirements of this Agreement and to deprive 
offenders of the benefits accruing from their illegal activities. Such sanctions shall, for serious offences, include 
refusal, suspension or withdrawal of the authorization to fish on the high seas. 



ARTICLE IV.— RECORDS OF FISHING VESSELS 

Each Party shsill, for the purposes of this Agreement, mEiintain a record of fishing vessels entitled to fly its flag 
and authorized to be used for fishing on the high seas, and shall t£ike such measures as may be necessary to ensure 
that all such fishing vessels are entered in that record. 



ARTICLE v.— INTERNATIONAL COOPERATION 

1. The Parties shall cooperate as appropriate in the implementation of this Agreement, and shall, in 
particular, exchange information, including evidentiary materisd, relating to activities of fishing vessels in order to 
assist the flag State in identifying those fishing vessels flying its flag reported to have engaged in activities 
undermining international conservation and management measures, so as to fulfill its obligations under Article III. 

2. When a fishing vessel is voluntarily in the port of a Party other than its flag State, that Party, where it 
has reasonable grounds for believing that the fishing vessel has been used for an activity that undermines the 
effectiveness of international conservation and management measures, shall promptly notify the flag State accord- 



Multilateral / Fisheries 351 



ingly. Parties may make arrangements regarding the undertaking by port States or such investigatory measures as 
may be considered necessary to establish whether the fishing vessel has indeed been used contrary to the provisions 
of this Agreement. 

3. The Parties shall, when and as appropriate, enter into cooperative agreements or arrangements of 
mutual Eissistance on a globsil, regional, subregional or bilateral basis so as to promote the achievement of the 
objectives of this Agreement. 



ARTICLE VL— EXCHANGE OF INFORMATION 

1. Each Party shall make readily available to FAO the following information with respect to each fishing 
vessel entered in the record required to be maintained under Article IV: 

(a) name of fishing vessel, registration number, previous names (if known), and port of registry; 

(b) previous flag (if any); 

(c) International Radio Call Sign (if any); 

(d) name and address of owner or owners; 

(e) where and when built; 

(f) type of vessel; 

(g) length. 

2. Each Party shall, to the extent practicable, make available to FAO the following additional information 
with respect to each fishing vessel entered in the record required to be maintained under Article TV: 

(a) name and address of operator (manager) or operators (managers) (if any); 

(b) type of fishing method or methods; 

(c) moulded depth; 

(d) beam; 

(e) gross register tonnage; 

(f) power of main engine or engines. 

3. Each P£uiy shall promptly notify to FAO any modifications to the information listed in paragraphs 1 
and 2 of this Article. 

4. FAO shall circulate periodically the information provided under paragraphs 1, 2, and 3 of this Article to 
all Parties, and, on request, individusJly to any Party. FAO shall also, subject to any restrictions imposed by the Party 
concerned regarding the distribution of information, provide such information on request individually to any globed, 
regional or subregional fisheries organization. 

5. Each Party shall also promptly inform FAO of— 

(a) any additions to the record; 

(b) any deletions froia the record by reason of — 



352 The Marine Mammal Commission Compendium 



(i) the voluntary relinquishment or non-renewal of the fishing authorization by 
the fishing vessel owner or operator; 

(ii) the withdrawal of the fishing authorization issued in respect of the fishing 
vessel under paragraph 8 of Article III; 

(ui) the fact that the fishing vessel concerned is no longer entitled to fly its fiag; 

(iv) the scrapping, decommissioning or loss of the fishing vessel concerned; or 

(v) any other reason. 

6. Where information is given to FAO under paragraph 5(b) above, the Party concerned shaU specify which 
of the reasons Usted in that paragraph is applicable. 

7. Each Party shall inform FAO of 

(a) any exemption it has granted under paragraph 2 of Article II, the number and type of 
fishing vessel involved and the geographical areas in which such fishing vessels operate; and 

(b) any agreement reached under paragraph 3 of Article II. 

8. (a) Each Party shall report promptly to FAO all relevant information regarding any activities of fishing 
vessels flying its flag that undermine the effectiveness of international conservation and management measiires, 
including the identity of the fishing vessel or vessels involved and measures imposed by the Party in respect of such 
activities. Reports on measures imposed by a Party may be subject to such limitations as may be required by national 
legislation with respect to confidentiality, including, in particular, confidentiality regarding measures that are not 
yet final. 

(b) Each Party, where it has reasonable grounds to believe that a fishing vessel not entitled to fly its 
flag has engaged in any activity that undermines the effectiveness of international conservation and management 
measures, shall draw this to the attention of the flag State concerned and may, as appropriate, draw it to the attention 
of FAO. It shall provide the flag State with fiill supporting evidence and may provide FAO with a summary of such 
evidence. FAO shall not circulate such information until such time as the flag State has had an opportunity to 
comment on the allegation and evidence submitted, or to object as the case may be. 

9. Each Party shall inform FAO of any cases where the Party, piirsuant to paragraph 5 (d) of Article III, 
has granted an authorization notwithstanding the provisions of paragraph 5 (a) or 5 (b) of Article III. The information 
shall include pertinent data permitting the identification of the fishing vessel and the owner or operator and, as 
appropriate, any other information relevant to the Party's decision. 

10. FAO shall circulate promptly the information provided under paragraphs 5, 6, 7, 8 and 9 of this Article 
to all Parties, and, on request, individually to any Party. FAO shall also, subject to any restrictions imposed by the 
Party concerned regarding the distribution of information, provide such information promptly on request individually 
to any global, regional or subregional fisheries organization. 

11. The Parties shall exchange information relating to the implementation of this Agreement, including 
through FAO and other appropriate global, regional and subregional fisheries organizations. 



ARTICLE Vn.— COOPERATION WITH DEVELOPING COUNTRIES 

The Parties shall cooperate, at a global, regional, subregional or bilateral level, and, as appropriate, with the 
support of FAO and other international or regional organizations, to provide assistance, including technical assis- 
tance, to Parties that are developing countries in order to assist them in fulfilling their obUgations under this 
Agreement. 



Multilateral / Fisheries 353 



ARTICLE Vm.— NON-PARTIES 

1. The Parties shall encourage any State not party to this Agreement to accept this Agreement and shall 
encourage any non-Party to adopt laws and regulations consistent with the provisions of this Agreement. 

2. The Parties shall cooperate in a manner consistent with this Agreement and with international law to 
the end that fishing vessels entitled to fly the flags of non-Parties do not engage in activities that imdermine the 
effectiveness of international conservation and management measures. 

3. The Parties shall exchange information jmiongst themselves, either directly or through FAO, with 
respect to activities of fishing vessels flying the flags of non-Parties that undermine the effectiveness of international 
conservation and management measures. 



ARTICLE K.— SETTLEMENT OF DISPUTES 

1. Any Party may seek consultations with any other Party or Parties on any dispute with regard to the 
interpretation or apphcation of the provisions of this Agreement with a view to reaching a mutually satisfactory 
solution as soon as possible. 

2. In the event that the dispute is not resolved through these consultations within a reasonable period of 
time, the Parties in question shall consult among themselves as soon as possible with a view to having the dispute 
settled by negotiation, inquiry, mediation, concUiation, £irbitration, judicial settlement or other peaceful means of 
their own choice. 

3. Any dispute of this character not so resolved shall, with the consent of all Parties to the dispute, be 
referred for settlement to the International Coinl of Justice, to the International Tribunal for the Law of the Sea 
upon entry into force of the 1982 United Nations Convention on the Law of the Sea or to arbitration. In the case of 
failure to reach agreement on referrsQ to the International Court of Justice, to the International Tribunal for the Law 
of the Sea or to arbitration, the Parties shall continue to consult and cooperate with a view to reaching settlement of 
the dispute in accordance with the rules of international law relating to the conservation of Uving marine resources. 



ARTICLE X.— ACCEPTANCE 

1. This Agreement shall be open to acceptance by any Member or Associate Member of FAO, and to ziny 
non-member State that is a member of the United Nations, or of any of the speciahzed agencies of the United Nations 
or of the Intemationeil Atomic Energy Agency. 

2. Acceptance of this Agreement shall be effected by the deposit of an instrument of acceptance with the 
Director-General of FAO, hereinafter referred to as the Director-General. 

3. The Director-General shall inform all Parties, all Members and Associate Members of FAO and the 
Secretary-General of the United Nations of all instruments of acceptance received. 

4. When a regional economic integration organization becomes a Party to this Agreement, such regional 
economic integration organization shall, in accordance with the provisions of Article 11.7 of the FAO Constitution, as 
appropriate, notify such modifications or clarifications to its declaration of competence submitted under Article II.5 
of the FAO Constitution as may be necessary in light of its acceptance of this Agreement. Any Party to this Agreement 
may, at any time, request a regional economic integration organization that is a Party to this Agreement to provide 
information as to which, as between the regional economic integration organization and its Member States, is 
responsible for the implementation of any particular matter covered by this Agreement. The regional economic 
integration organization shall provide this information within a reasonable time. 



354 The Marine Mammal Commission Compendium 



ARTICX£ XL— ENTRY INTO FORCE 

1. This Agreement shall enter into force as from the date of receipt by the Director-General of the 
twenty-fifth instrument of acceptance. 

2. For the purpose of this Article, an instrument deposited by a regional economic integration organization 
shall not be counted as additional to those deposited by member States of such an organization. 



ARTICLE Xn.— RESERVATIONS 

Acceptance of this Agreement may be made subject to reservations which shall become effective only upon 
unanimous acceptance by all Parties to this Agreement. The Director-General shall notify forthwith all Parties of any 
reservation. Parties not having replied within three months from the date of the notification shall be deemed to have 
accepted the reservation. Failing such acceptance, the State or regional economic integration organization making 
the reservation shall not become a Party to this Agreement. 



ARTICLE Xm.— AMENDMENTS 

1. Any proposal by a Party for the amendment of this Agreement shall be communicated to the Director- 
General. 

2. Any proposed amendment of this Agreement received by the Director-General fh)m a Party shall be 
presented to a regular or special session of the Conference for approval smd, if the amendment involves important 
technical changes or imposes additional obligations on the Parties, it shall be considered by an advisory committee 
of specialists convened by FAO prior to the Conference. 

3. Notice of any proposed amendment of this Agreement shall be tremsmitted to the Parties by the 
Director-General not later than the time when the agenda of the session of the Conference at which the matter is to 
be considered is dispatched. 

4. Any such proposed amendment of this Agreement shall require the approval of the Conference and shall 
come into force as from the thirtieth day after acceptance by two-thirds of the Parties. Amendments involving new 
obligations for Parties, however, shall come into force in respect of each Party only on acceptance by it and as fTt)m 
the thirtieth day after such acceptance. Any amendment shall be deemed to involve new obligations for Parties unless 
the Conference, in approving the amendment, decides otherwise by consensus. 

5. The instruments of acceptance of amendments involving new obligations shall be deposited with the 
Director-General, who shall inform all Parties of the receipt of acceptance and the entry into force of amendments. 

6. For the purpose of this Article, an instrument deposited by a regional economic integration organization 
shall not be counted as additional to those deposited by member States of such an organization. 



ARTICLE XIV.— WITHDRAWAL 

Any Party may withdraw from this Agreement at any time after the expiry of two years from the date upon 
which the Agreement entered into force with respect to that Party, by giving written notice of such withdrawal to the 
Director-General who shall immediately inform all the Parties and the Members and Associate Members of FAO of 
such withdrawal. Withdrawal shall become effective at the end of the calendfu- year following that in which the notice 
of withdrawal has been received by the Director-General. 



Multilateral / Fisheries 355 

ARTICLE XV.— DUTIES OF THE DEPOSITARY 
The Director-General shall be the Depositary of this Agreement. The Depositary shall: 

(a) send certified copies of this Agreement to each Member and Associate Member of FAO and 
to such non-member States as may become party to this Agreement; 

(b) arrange for the registration of this Agreement, upon its entry into force, with the Secretar- 
iat of the United Nations in accordance with Article 102 of the Charter of the United Nations; 

(c) inform each Member and Associate Member of FAO and any non-member States as may 
become Party to this Agreement of: 

(i) instruments of acceptance deposited in accordance with Article X; 

(ii) the date of entry into force of this Agreement in accordance with Article XI; 

(iii) proposals for and the entry into force of amendments to this Agreement in 
accordance with Article XIII; 

(iv) withdrawEils from this Agreement pursuant to Article XIV. 

ARTICLE XVI.— AUTHENTIC TEXTS 

The Arabic, Chinese, English, French, and Spanish texts of this Agreement are equally authentic. 



Convention for the Conservation of 
Southern Bluefin Tuna, Canberra, 1993 



Dojie at Canberra 10 May 1993 

Not in force* 

Primary source citation: Copy of text provided by the 

National Marine Fisheries Service, U.S. Department 

of Commerce 



CONVENTION FOR THE CONSERVATION OF SOUTHERN BLUEFIN TUNA 

The Parties to this Convention: 

Considering their mutual interest in southern bluefin tuna; 

Recalling that Australia, Japan and New Zealand have already taken certain measures for the conservation and 
management of southern bluefin tima; 

Paying due regard to the rights and obligations of the Parties under relevant principles of international law; 

Noting the adoption of the United Nations Convention on the Law of the Sea in 1982; 

Noting that States have established exclusive economic or fishery zones within which they exercise, in accordance 
with international law, sovereign rights or jurisdiction for the purpose of exploring and exploiting, conserving and 
managing the Uving resources; 

Recognising that southern bluefin tuna is a highly migratory species which migrates through such zones; 

Noting that the coastal States through whose exclusive economic or fishery zones southern bluefin tuna migrates 
exercise sovereign rights within such zones for the ptu-pose of exploring and exploiting, conserving and managing the 
Uving resources including southern bluefin tuna; 

Acknowledging the importance of scientific research for the conservation and msinagement of southern bluefin tuna 
and the importance of collecting scientific information relating to southern bluefin tuna and ecologically related 
species; 

Recognising that it is essential that they cooperate to ensure the conservation and optimum utilisation of southern 
bluefin tuna; 

Have agreed as follows: 



Article 1 

This Convention shall apply to southern bluefin tuna (Thunnus maccoyii). 



* The United States is not a party to this Convention. 



356 



Multilateral / Fisheries 357 



Article 2 



For the pvirposes of this Convention: 



(a) "ecologically related species" means hving marine species which are associated with southern bluefin tuna, 
including but not restricted to both predators and prey of southern bluefin tuna; 

(b) "fishing" means: 

(i) the catching, taking or harvesting of fish, or any other activity which can reasonably be expected to 
result in the catching, taking or hjirvesting offish; or 

(ii) any operation at sea in preparation for or in direct support of any activity described in sub-paragraph 
(i) above. 



Article 3 

The objective of this Convention is to ensure, through appropriate management, the conservation and optimum 
utiUsation of southern bluefin tuna. 



Article 4 

Nothing in this Convention nor any measures adopted pursuant to it shall be deemed to prejudice the positions or 
views of any Party with respect to its rights and obhgations under treaties and other international agreements to 
which it is party or its positions or views with respect to the law of the sea. 



Article 5 

1. Each Party shall take all action necessary to ensure the enforcement of this Convention and compliance with 
measures which become binding under paragraph 7 of Article 8. 

2. The Parties shall expeditiously provide to the Commission for the Conservation of Southern Bluefin Tuna scientific 
information, fishing catch and effort statistics and other data relevant to the conservation of southern bluefin tuna 
and, as appropriate, ecologically related species. 

3. The Parties shall cooperate in collection and direct exchange, when appropriate, of fisheries data, biological 
samples and other information relevant for scientific research on southern bluefin tuna and ecologically related 
species. 

4. The Parties shall cooperate in the exchange of information regarding any fishing for southern bluefin tuna by 
nationals, residents and vessels of any State or entity not pEirty to this Convention. 



Article 6 

1. The Parties hereby estabUsh and agree to maintain the Commission for the Conservation of Southern Bluefin 
Tuna (hereinafter referred to as "the Commission"). 

2. Each Party shall be represented on the Commission by not more than three delegates who may be accompanied 
by experts and advisers. 

3. The Commission shall hold an annual meeting before 1 August each year or at such other time as it may determine. 



358 The Marine Mammal Commission Compendium 



4. At each annual meeting the Commission shall elect from among the delegates a Chair and a Vice-Chair. The Chair 
and the Vice-Chair shall be elected from different Parties and shall remain in o£Bce until the election of their 
successors at the next annual meeting. A delegate, when acting as Chair, shall not vote. 

5. Special meetings of the Commission shall be convened by the Chair at the request of a Party supported by at least 
two other Parties. 

6. A special meeting may consider any matter of relevance to this Convention. 

7. Two-thirds of the Psirties shall constitute a quorum. 

8. The rules of procedure of the Commission and other intemsil administrative regulations as may be necessary to 
carry out its functions shall be decided upon at the first meeting of the Commission and may be amended by the 
Commission as occasion may require. 

9. The Commission shall have legal personality and shall ei\joy in its relations with other international organisations 
and in the territories of the Parties such leg£il capacity as may be necessary to perform its functions and achieve its 
ends. The immunities and privileges which the Commission and its officers shall eiyoy in the territory of a Party 
shall be subject to agreement between the Commission and the Party concerned. 

10. The Commission shall determine the location of its headquarters at such time as a Secretariat is established 
pursuant to paragraph 1 of Article 10. 

11. The official languages of the Commission shall be Japanese and English. Proposals and data may be submitted 
to the Commission in either language. 



Article 7 

Each Party shall have one vote in the Commission. Decisions of the Commission shall be taken by a unanimous vote 
of the Parties present at the Commission meeting. 



Article 8 

1. The Commission shall collect and accumulate information described below: 

(a) scientific information, statistical data and other information relating to southern bluefln tuna and ecologi- 
cally related species; 

(b) information relating to laws, regulations and administrative measures on southern bluefin tuna fisheries; 

(c) any other information relating to southern bluefin tuna. 

2. The Commission shall consider matters described below: 

(a) interpretation or implementation of this Convention and measures adopted pursuant to it; 

(b) regiilatory measures for conservation, management and optimum utilisation of southern bluefin tuna; 

(c) matters which shall be reported by the Scientific Committee prescribed in Article 9; 

(d) matters which may be entrusted to the Scientific Committee prescribed in Article 9; 

(e) matters which may be entrusted to the Secretariat prescribed in Article 10; 

(f) other activities necessary to carry out the provisions of this Convention. 



Multilateral / Fisheries 359 



3. For the conservation, management and optimum utilisation of southern bluefin tuna: 

(a) the Commission shall decide upon a total allowable catch and its allocation among the Parties unless the 
Commission decides upon other appropriate measures on the basis of the report and recommendations of the 
Scientific Committee referred to in paragraph 2(c) and (d) of Article 9; and 

(b) the Commission may, if necessary, decide upon other additional measures. 

4. In deciding upon allocations among the Parties under paragraph 3 above the Commission shall consider: 

(a) relevant scientific evidence; 

(b) the need for orderly and sustainable development of southern bluefin tvma fisheries; 

(c) the interests of Parties through whose exclusive economic or fishery zones southern bluefin tuna migrates; 

(d) the interests of Parties whose vessels engage in fishing for southern bluefin tuna including those which have 
historically engaged in such fishing and those which have southern bluefin tuna fisheries under development; 

(e) the contribution of each Party to conservation and enhancement of, and scientific research on, southern 
bluefin tuna; 

(f) any other factors which the Commission deems appropriate. 

5. The Commission may decide upon recommendations to the Parties in order to fiirther the attainment of the 
objective of this Convention. 

6. In deciding upon measures under p2iragraph 3 above and recommendations under paragraph 5 above, the 
Commission shall take full account of the report and recommendations of the Scientific Committee imder paragraph 
2(c) and (d) of Article 9. 

7. All measures decided upon under paragraph 3 above shall be binding on the Parties. 

8. The Commission shall notify all Parties promptly of measures and recommendations decided upon by the 
Commission. 

9. The Commission shall develop, at the earliest possible time and consistent with international law, systems to 
monitor all fishing activities related to southern bluefin tuna in order to enhance scientific knowledge necessary for 
conservation and management of southern bluefin tima and in order to achieve effective implementation of this 
Convention and measures adopted pursuant to it. 

10. The Commission may estabUsh such subsidiary bodies as it considers desirable for the exercise of its duties and 
functions. 



Article 9 

1. The Parties hereby establish the Scientific Committee as an advisory body to the Commission. 

2. The Scientific Committee shall: 

(a) assess and analyse the status and trends of the population of southern bluefin tuna; 

(b) coordinate research and studies of southern bluefin tuna; 

(c) report to the Commission its findings or conclusions, including consensus, majority and minority views, on 
the status of the southern bluefin tuna stock and, where appropriate, of ecologically related species; 



360 The Marine Mammal Commission Compendium 



(d) make recommendations, as appropriate, to the Commission by consensus on matters concerning the 
conservation, management and optimum utilisation of southern bluefin tuna; 

(e) consider any matter referred to it by the Commission. 

3. A meeting of the Scientific Committee shall be held prior to the annual meeting of the Commission. A special 
meeting of the Scientific Committee shall be called at any time at the request of a Party provided that such request 
is supported by at least two other Parties. 

4. The Scientific Committee shall adopt and amend as necessary its rules of procedure. The rules and any 
amendments thereto shall be approved by the Commission. 

5. (a) Each Party shall be a member of the Scientific Committee and shall appoint to the Conrniittee a representative 

with suitable scientific qualifications who may be accompanied by alternates, experts and advisers. 

(b) The Scientific Committee shall elect a Chsdr and a Vice-Chair. The Chair and the Vice-Chair shall be elected 
ft-om different Parties. 



Article 10 

1. The Commission may estabhsh a Secretariat consisting of an Executive Secretary to be appointed by the 
Commission and appropriate staff on conditions as may be determined by the Commission. The staff shall be 
appointed by the Executive Secretary. 

2. Until such time as a Secretariat is established, the Chair of the Commission shall nominate fi-om within his or 
her Government an official to act as Secretary to the Commission to perform the secretariat functions set out in 
paragraph 3 below for a term of one year. At each annual meeting of the Commission, the Chair shzill advise the 
Parties of the name and address of the Secretary. 

3. The Secretariat fiinctions shall be prescribed by the Commission, and shall include the following: 

(a) receiving and transmitting the Conamission's official communications; 

(b) facihtating the collection of data necessary to accomplish the objective of this Convention; 

(c) preparing administrative and other reports for the Commission and the Scientific Committee. 

Article 11 

1. The Commission shall decide upon an annual budget. 

2. The contributions to the annual budget from each Party shall be calculated on the following basis: 

(a) 30% of the budget shall be divided equally among all the Parties; and 

(b) 70% of the budget shsill be divided in proportion to the nominal catches of southern bluefin tuna among all 
the Parties. 

3. Notwithstanding the provisions of Article 7, any Party that has not paid its contributions for two consecutive years 
shall not enjoy the right to pjirticipate in the decision-making process in the Commission iintil it has fiilfilled its 
obligations, unless the Commission decides otherwise. 

4. The Commission shall decide upon, and amend as occasion may require, financial regulations for the conduct of 
the Commission and for the exercise of its functions. 



Multilateral / Fisheries 361 



5. Each Party shall meet its own expenses arising from attendance at meetings of the Commission and of the 
Scientific Committee. 



Article 12 

The Commission shall collaborate with other inter-governmental orgeinisations which have related objectives, inter 
alia, to obtain the best available information including scientific information to further the attainment of the objective 
of this Convention and shall seek to avoid duphcation vidth respect to their work. The Commission may make 
arrangements with such inter-governmental organisations to these ends. 



Article 13 

With a view to furthering the attainment of the objective of this Convention, the Parties shall cooperate with each 
other to encourage accession by any State to this Convention where the Commission considers this to be desirable. 



Article 14 

1. The Commission may invite any Stete or entity not party to this Convention, whose nationals, residents or fishing 
vessels harvest southern bluefin tuna, and any coastal State through whose exclusive economic or fishery zone 
southern bluefin tuna migrates, to send observers to meetings of the Commission and of the Scientific Committee. 

2. The Commission may invite inter-govemmental or, on request, non-governmental organisations having special 
competence concerning southern bluefin tuna to send observers to meetings of the Commission. 



Article 15 

1. The Parties agree to invite the attention of any State or entity not party to this Convention to any matter relating 
to the fishing activities of its nationals, residents or vessels which could aifect the attainment of the objective of this 
Convention. 

2. Each Party shall encourage its nationals not to associate with the southern bluefin tuna fishery of any State or 
entity not party to this Convention, where such association could affect adversely the attainment of the objective of 
this Convention. 

3. Each Party shall take appropriate measures aimed at preventing vessels registered under its laws and regulations 
from transferring their registration for the purpose of avoiding compUance vdth the provisions of this Convention or 
measures adopted pursuant to it. 

4. The Parties shall cooperate in taking appropriate action, consistent with international law and their respective 
domestic laws, to deter fishing activities for southern bluefin tuna by nationals, residents or vessels of any State or 
entity not party to this Convention where such activity could affect adversely the attainment of the objective of this 
Convention. 



Article 16 

1. If any dispute arises between two or more of the Parties concerning the interpretation or implementation of this 
Convention, those Parties shall consult among themselves with a view to having the dispute resolved by negotiation, 
inquiry, mediation, conciliation, arbitration, judicial settlement or other peaceful means of their own choice. 



362 The Marine Mammal Commission Compendium 



2. Any dispute of this character not so resolved shall, with the consent in each case of all parties to the dispute, be 
referred for settlement to the International Court of Justice or to arbitration; but failure to reach agreement on 
reference to the International Court of Justice or to arbitration shall not absolve parties to the dispute from the 
responsibility of continuing to seek to resolve it by any of the various peaceful means referred to in paragraph 1 above. 

3. In cases where the dispute is referred to arbitration, the arbitral tribunal shall be constituted as provided in the 
Annex to this Convention. The Annex forms an integral part of this Convention. 



Article 17 

1. This Convention shall be open for signature by Australia, Japan and New Zealand. 

2. This Convention is subject to ratification, acceptance or approval by these three States in accordance with their 
respective internal legal procedures, and will enter into force on the date of deposit of the third instrument of 
ratification, acceptance or approval. 

Article 18 

After the entry into force of this Convention, any other State, whose vessels engage in fishing for southern bluefin 
tuna, or any other coastal State through whose exclusive economic or fishery zone southern bluefin tuna migrates, 
may accede to it. This Convention shall become effective for any such other State on the date of deposit of that State's 
instrument of accession. 

Article 19 

Reservations may not be made with respect to any of the provisions of this Convention. 

Article 20 

Any Party may withdraw from this Convention twelve months after the date on which it formally notifies the 
Depositary of its intention to withdraw. 

Article 21 

1. Any Party may at any time propose an amendment to this Convention. 

2. If one-third of the Parties request a meeting to discuss a proposed amendment the Depositary shall call such a 
meeting. 

3. An amendment shall enter into force when the Depositary has received instruments of ratification, acceptance or 
approval thereof from all the Parties. 



Article 22 

1. The original of this Convention shall be deposited with the Government of Austraha, which shall be the Depositary. 
The Depositiiry shall transmit certified copies thereof to all other Signatories and acceding States. 

2. This Convention shall be registered by the Depositary pursuant to Article 102 of the Chtirter of the United Nations. 



Multilateral / Fisheries 363 



IN WITNESS WHEREOF the undersigned, being duly authorised thereto, have signed this Convention. 

DONE AT Canberra on the tenth day of May 1993, in a single original, in the English and Japanese languages, each 
text being equally authentic. 



ANNEX FOR AN ARBITRAL TRIBUNAL 

1. The arbitral tribunal referred to in paragraph 3 of Article 16 shall be composed of three arbitrators who shall be 
appointed as follows: 

(a) The party commencing proceedings shall communicate the name of an arbitrator to the other party which, 
in turn, within a period of forty days following such notification, shall communicate the name of the second 
arbitrator. The parties shall, within a period of sixty days following the appointment of the second arbitrator, 
appoint the third arbitrator, who shall not be a national of either party and shall not be of the same nationality 
as either of the first two arbitrators. The third arbitrator shall preside over the tribunal. 

(b) If the second arbitrator has not been appointed within the prescribed period, or if the parties have not reached 
agreement within the prescribed period on the appointment of the third arbitrator, that arbitrator shall be 
appointed, at the request of either party, by the Secretary-General of the Permanent Court of Arbitration, 
from among persons of international standing not having the nationahty of a State which is a Party to this 
Convention. 

2. The arbitral tribunal shall decide where its headquarters will be located and shall adopt its own rules of procedure. 

3. The award of the arbitral tribunal shall be made by a majority of its members, who may not abstain from voting. 

4. Any Party which is not a party to the dispute may intervene in the proceedings with the consent of the arbitral 
tribunal. 

5. The award of the arbitral tribimal shall be final and binding on all parties to the dispute and on any party which 
intervenes in the proceedings and shall be complied wdthout delay. The arbitral tribimal shall interpret the award 
at the request of one of the parties to the dispute or of any intervening party. 

6. Unless the arbitral tribunal determines otherwise because of the particular circumstances of the case, the 
expenses of the tribunal, including the remuneration of its members, shsJl be borne by the parties to the dispute in 
equal shares. 



[signature] [signatvire] 

ForAustraha For Japan 



[signature] 

For New Zealand 



Convention on the Conservation 

and Management of Pollock Resources 

in the Central Bering Sea, 

Washington, D.C., 1994 



Done at Washington, B.C. 16 June 1994 

Entered into force 8 December 1995 

Depositary: United States 

Primary source citation: United States Treaty 
Document 103-27 



CONVENTION ON THE CONSERVATION AND MANAGEMENT OF 
POLLOCK RESOURCES IN THE CENTRAL BERING SEA 

The Parties to this convention, 

Recognizing the urgent necessity to cooperate in taking measures for the conservation and management of 
pollock resources in the central Bering Sea consistent with international law, and 

Noting the adoption of the United Nations Convention on the Law of the Sea in 1982, 

Have agreed as follows: 

ARTICLE I 

This Convention applies to the high seas area of the Bering Sea beyond 200 nautical miles from the baselines 
from which the breadth of the territorial sea of the coastal States of the Bering Sea is measured (hereinafter referred 
to as "the Convention Area"), except as otherwise provided in this Convention. Activities under this Convention, for 
scientific purposes, may extend beyond the Convention Area within the Bering Sea. 

ARTICLE n 

The objectives of this Convention shall be: 

1. to establish an international regime for conservation, management, and optimum utiUzation of pollock 
resources in the Convention Area; 

2. to restore and maintain the pollock resources in the Bering Sea at levels which will permit their maximum 
sustainable yield; 



Multilateral / Fisheries 365 



3. to cooperate in the gathering and examining of factual information concerning pollock find other living 
marine resources in the Bering Sea; and 

4. to provide, if the Parties agree, a forum in which to consider the establishment of necessary conservation 
and management measures for Uving marine resources other than poUock in the Convention Area as may be required 
in the future. 



ARTICLE in 

1. lb achieve the objectives of this Convention, the Parties agree to: 

(a) convene an Annual Conference of the Parties; and 

(b) estabhsh a Scientific and Tfechnical Committee. 

2. The Parties shall adopt and amend as necessary rules of procedure both for the Annual Conferences and 
the Scientific and Technical Committee. 

ARTICLE IV 

1. The functions of the Annual Conference shall be: 

(a) to estabhsh the allowable harvest level for poUock in the Convention Area (hereinafter referred 
to as "the AHL") for the succeeding year; 

(b) to establish an individual national quota of pollock in the Convention Area (hereinafter referred 
to as "the INQ") for the succeeding year for each Party; 

(c) to adopt other appropriate conservation and management measures for the pollock resources in 
the Convention Area; 

(d) to establish a plan of work for the Scientific £ind Technical Committee (hereinafter referred to as 
"the Plan of Work"); 

(e) to receive reports from each Party relating to measures taken to investigate and penahze 
violations of provisions of this Convention and measures adopted pursuant thereto; 

(f) to establish the terms and conditions for any trial fishing operations for pollock in the Convention 
Area and to determine the scope of any cooperative scientific research on living marine resources other 
than pollock covered by this Convention; 

(g) to discuss cooperative enforcement measures; 

(h) to consider the effectiveness of the Central Bering Sea Observer Program estabhshed pursuant 
to Article XI and to adopt a manual of the procedures for boarding and inspection referred to in Article 
XI; 

(i) to consider matters related to the conservation and management of Uving marine resources other 
than pollock in the Convention Area; 

(j) to discuss scientific data and conservation measures of the coastal States of the Bering Sea related 
to pollock fishing in the Bering Sea; 

(k) to discuss fishery support operations in the Convention Area, including the environmental impact 
of such operations; 



366 The Marine Mammal Commission Compendium 



(1) to adopt amendments to the Annex to this Convention; and 

(m) to perform other functions as follow from provisions of this Convention or as are necessary to 
attain the objectives of this Convention. 

2. The Party that hosts the Annufd Conference shall publish and maintain a record of all conservation and 
management measures in force in the Convention Area. 

3. In exercising its functions under paragraph 1 above, the Annual Conference shall take full account of the 
reports and recommendations of the Scientific and Ttechnical Conunittee. 



ARTICLE V 

1. Each Party has one vote in making decisions at the Annual Conference. 

2. Except as provided elsewhere in this Convention, decisions of the Annual Conference on matters of 
substance shall be taken by consensus. A matter shall be deemed to be of substance if any Party considers it to be of 
substance. 

3 . Decisions on matters other than those referred to in paragraph 2 above shall be taken by a simple m^gority 
of the votes of all Parties casting affirmative or negative votes. 

ARTICLE VI 

1. The Annual Conferences shall be held in rotation among the Parties. 

2. The site of the next Annual Conference shall be decided by the previous Annual Conference. 

3. The Parties shall at the end of each Annual Conference elect a Chairperson and a Vice-Chairperson who 
shall serve until the end of the next Annual Conference. 

ARTICLE Vn 

1. The Annual Conference shall establish by consensus the AHL for the succeeding year, based upon an 
assessment of the Aleutian Basin pollock biomass by the Scientific and Ttechnical Committee. 

2. If every effort to achieve consensus has failed, the AHL shall be determined in accordance with the 
provisions of Part I of the Annex. 

ARTICLE Vm 

1. The Annual Conference shall establish by consensus the INQ for the succeeding year for each Party, the 
total of which shall not exceed the AHL, with the understanding that an INQ shall not be transferred to any other 
Party or non-Party to this Convention. 

2. If every effort to achieve consensus has failed, the Parties agree that fishing for pollock in the Convention 
Area shall take place pursuant to the provisions of Part 2 of the Annex. 



Multilateral / Fisheries 367 



ARTICLE IX 

1. The Scientific and Ttechnical Committee, which shall be comprised of at least one representative from 
each Party, shall compile, exchange, and analyze information on fisheries harvests, and pollock and other hving 
marine resources covered by this Convention in accordance with the Plan of Work estabUshed by the Annual 
Conference, and shall investigate other scientific matters as may be referred to it by the Annual Conference. It shall 
also estabUsh forms and procedures for the Parties to submit fisheries data as required by Article X. 

2. The Scientific and Tfechnical Committee shall hold a meeting prior to the Annusd Conference and shall 
report to the Annual Conference the results of its meeting. 

3. The Scientific and Itechnical Committee shall strive to adopt its reports by consensus. If every effort to 
achieve consensus has failed, the report shall include the differing views of the representatives of the Parties to the 
Scientific and Itechnical Committee. 

4. The Scientific and Technical Committee shall make recommendations to the Annual Conference with 
respect to the conservation and management of poUock, including the AHL for the succeeding year. 

5. The Scientific and Itechnical Committee may perform such functions as follow from other provisions of 
this Convention or as the Annual Conference may determine. 



ARTICLE X 

1. The Parties shall cooperate in the conduct of scientific research on the pollock resources and, as may be 
determined by the Annual Conference, on other hving marine resources covered by this Convention, including 
research on the determination of migratory patterns of pollock within and beyond the Convention Area. The Parties 
shall also cooperate in exchanging scientific data on these resources and in adopting standardized methodologies for 
such scientific research. 

2. The Parties shsJl annually submit fisheries data to the Scientific and Itechnical Conunittee including 
catch and efibrt statistics, time and area of fishing operations, incidental taking of anadromous species or other hving 
marine resources, or other biological and technical data as may be required to meet the objectives of this Convention. 

3. Each Party shall, at the request of any other Party, consult bilaterally for the purpose of accommodating 
scientific observers from the requesting Party on board any fishing vessel of the requested Party in the Convention 
Area. 

4. For any year in which the AHL is zero, the Annual Conference may authorize trial fishing operations for 
pollock in the Convention Area to be conducted by the fishing vessels of the Parties in accordance with a research 
plan that was submitted by any Party concerned and is approved by the Annual Conference, based upon the 
recommendations of the Scientific and Technical Committee. The terms and conditions for such operations shall be 
estabUshed by the Annual Conference. 



ARTICLE XI 

1. Each Party shall take all necessary measures to ensure that its nationals and fishing vessels flying its 
flag comply with the provisions of this Convention and measures adopted pursuant thereto. For purposes of this 
Convention, "fishing vessel" means any vessel used or intended for use for the purposes of the commercial exploitation 
of living marine resources, including mother ships and any other vessels directly engaged in such fishing operations. 

2. Each Party shall: 

(a) ensure that its fishing vessels fish for poUock in the Convention Area only pursuant to specific 
authorization issued by that Psirty; and 



368 The Marine Mammal Commission Compendium 



(b) ensure that fishing operations for pollock by its fishing vessels undertaken in violation of the 
provisions of this Convention or of such authorization constitute an offense under its national legislation. 

3. Each Party shall require its fishing vessels that fish for poUock in the Convention Area: 

(a) to use real-time satellite position fixing transmitters while in the Bering Sea; 

(b) to notify the other Parties of their intention to enter the Convention Area 48 hours prior to such 
entry, the procedures for which shall be estabUshed by the Annual Conference; and 

(c) to notify the other Parties of the location of any transshipments of fish and fish products to 
transport vessels 24 hours prior to such transshipment. 

4. The Parties shall exchange: 

(a) information collected by real-time sateUite position-fixing transmitters on a real-time basis 
through bilateral channels; and 

(b) catch data on a sufficiently regular basis, established by the AnnueJ Conference, to ensure 
effective implementation of the relevant conservation and management measures. 

5. The Parties shall establish a Central Bering Sea Observer Program in accordance with the following 
principles: 

(a) Each fishing vessel of the Parties that fishes for pollock in the Convention Area shall accept one 
observer of a Party other than its flag-State Party, upon request of such Party, under conditions 
established bilaterally sufficiently in advance by the Parties concerned. If such an observer is not 
available, the fishing vessel shall have on board one observer from its flag-State Party. 

(b) The observers shall be trained and certified in accordance with the procedures to be included in 
the Program. 

(c) The Program shsdl have as its objective a significant level of coverage by observers sent by 
non-flag-State Parties. 

(d) With respect to observers sent by non-flag-State Parties, each Party shall require its fishing 
vessels to bear the costs of meals and accommodation of such observers. Other matters relating to costs 
shall be Eirranged between the Parties concerned. 

(e) The activities of observers shall include monitoring the implementation of conservation and 
management measures adopted pursuant to this Convention (e^, measures relating to fishing activi- 
ties, location thereof, incidental catch, and fishing gear) and reporting of their findings to the flag-State 
Party and observer's Party. 

6. Each Party may enforce the provisions of this Convention within the Convention Area in accordance with 
the following: 

(a) Each Party consents to the boarding and inspection of fishing vessels flying its flag and located 
in the Convention Area by duly authorized officials of any other Party for compliance with this 
Convention or measures adopted pursuant thereto. 

(b) Such officials may inspect the vessel (other than crew quarters and engineering spaces), catch, 
fishing gear, and relevant documents and logbooks, zind question the master, the fishing master, and 
other officers on board. 

(c) When conducting inspections, such officials shall present credentials issued by their Govern- 
ments, minimize interference with and inconvenience to the operations of the fishing vessel undertaken 



Multilateral / Fisheries 369 



pursuant to this Convention, and follow procedures set forth in a manual adopted by the Annual 
Conference. 

7. Where an inspection of a fishing vessel undertaken under paragraph 6 above reveals evidence of a 
violation of the provisions of this Convention or of measures adopted pursuant thereto: 

(a) The flag-State Party shall be notified promptly of alleged violations. The flag-State Party shall 
take appropriate measures in accordaince with its national laws and regulations, including prompt 
investigation. The flag-State Party shall order the fishing vessel to cease operations in violation of the 
provisions of this Convention or of measures adopted pursuant thereto and, in appropriate cases, shall 
order the fishing vessel to leave the Convention Area immediately. 

(b) In any case in which the fishing vessel has: 

i. engaged in fishing for pollock, other than authorized trial fishing, in the Convention Area in 
any year: 

(1) in which the AHL is zero; 

(2) while fishing for pollock is not allowed in accordance with the provisions of this 
Convention; 

(3) after the total catch of pollock of the fishing vessel's Party has reached the INQ of 
that Party; 

ii. operated in the Convention Area without specific authorization from the flag-State Party; or 

iii. operated in the Convention Area without an observer or without an operable real-time satellite 
position transmitter, in circumstances set forth in a manual adopted by the Annual Conference; 

and the flag-State Party is not in a position to take immediate control of or otherwise carry 
out its responsibility for the operation of the fishing vessel, the officials of the boarding Party may 
continue the boarding initiated under paragraph 6 above until officials of the flag-State Party 
board the fishing vessel or the flag-State Party otherwise carries out its responsibihty for the 
operation of the fishing vessel. In such circumstances, the Parties concerned shall cooperate to 
ensure full compliance with this Convention and with conservation and management measures 
adopted pursuant thereto. In particular, the Parties concerned shall consult and take such 
practical steps as may be necessary to ensure such compliance. 

(c) Only the authorities of the flag-State Party may try the oSense and impose penalties therefor. 
The evidence necessary for estabUshing the offense, insofar as it is under the control of any of the Parties, 
shall be furnished, in accordance with the respective laws and regulations of the Parties, as promptly 
as possible to the Party having jurisdiction to try the offense and shall be taken into account, and utilized 
as appropriate, by the relevant authorities of that Party. 

(d) Penalties provided for in the relevant laws and regulations of the Parties shall reflect the 
seriousness of the infractions. 



ARTICLE Xn 

1. The Parties agree to invite the attention of any non-Party to this Convention to any matter relating to 
the fishing operations of its nationals, residents, or vessels flying its flag that could affect adversely the attainment 
of the objectives of this Convention. 

2. The Parties shall, consistent with international law, encourage any non-Party to respect the provisions 
of this Convention and any conservation and management measures adopted pursuant thereto. 



370 The Marine Mammal Commission Compendium 



3. If fishing operations by nationals, residents, or vessels of any non-Party could affect adversely the 
attainment of the objectives of this Convention, the Parties shall take measures, individually or collectively, which 
are consistent with international law, Eind which they deem necessary and appropriate, to deter such operations. 

4. Each Party shall take appropriate measures aimed at preventing fishing vessels registered under its laws 
and regulations fi-om transferring their registration for the purpose of avoiding compUance with the provisions of this 
Convention or conservation and management measures adopted pursuant thereto. 

5. The Parties may, by unanimous agreement, invite the representative of any non-Party to participate as 
an observer at the Annual Conferences. 



ARTICLE Xm 

If any dispute arises between two or more of the Parties concerning the interpretation or apphcation of this 
Convention, those Parties shall consult among themselves with a view to having the dispute resolved by available 
peaceful means of their own choice. 



ARTICLE XIV 

1. The Annex to this Convention shall form an integral part of this Convention. All references to this 
Convention shall be understood as including the Annex. 

2. The Annex to this Convention shall be considered amended upon the acceptance by the Governments of 
all Parties of a proposed amendment to the Annex adopted by the Annual Conference in accordance with the provisions 
of subparagraph 1(1) of Article IV. An amendment to the Annex shall enter into force on the date upon which the 
Depositary receives notification in writing from all Parties of their acceptance of the amendment. 

3. The Depositary shall notify all Parties of the date of receipt of each notification of acceptance of an 
amendment to the Annex. 



ARTICLE XV 

The official language of the Annusil Conference and the Scientific and Tschnical Committee shall be English. 

ARTICLE XVI 

1. This Convention shall be open for signature at Washington by the People's Republic of China, Japan, the 
RepubUc of Korea, the Republic of Poland, the Russian Federation, and the United States of America. 

2. This Convention shall enter into force on the thirtieth day following the date on which at least four 
signatory States, including the Russian Federation and the United States of America, which are the coastal States 
of the Bering Sea, have deposited their instrument of ratification, acceptance, or approval with the Depositary. 

3. This Convention shsJl enter into force for each of the other signatory States on the thirtieth day following 
the date of deposit of that State's instrument of ratification, acceptance, or approval. 

4. After the entry into force of this Convention, the Psirties may, by unanimous agreement, invite other 
States whose nationals and fishing vessels wish to conduct fishing for pollock in the Convention Area to become 
Parties to this Conven