INTERNATIONAL ENVIRONMENTAL LAW - Office of Legal ...

142
Santiago, Chile 24 April – 19 May 2017 I NTERNATIONAL ENVIRONMENTAL L AW PROFESSOR DAN BODANSKY Codification Division of the United Nations Office of Legal Affairs Copyright © United Nations, 2017

Transcript of INTERNATIONAL ENVIRONMENTAL LAW - Office of Legal ...

Santiago, Chile 24 April – 19 May 2017

INTERNATIONAL ENVIRONMENTAL LAW

PROFESSOR DAN BODANSKY

Codification Division of the United Nations Office of Legal Affairs

Copyright © United Nations, 2017

INTERNATIONAL ENVIRONMENTAL LAW PROFESSOR DANIEL BODANSKY

REQUIRED READINGS (printed format)

Bodansky, Daniel. The Art and Craft of International Environmental Law, Harvard University Press, 2009

Legal instruments and documents

1. General Agreement on Tariffs and Trade (article XX), 1947

2. Declaration of the United Nations Conference on the Human Environment, 1972

3. Rio Declaration on Environment and Development, 1992

4. United Nations Framework Convention on Climate Change, 1992

5. Kyoto Protocol to the United Nations Framework Convention on Climate Change, 1998

6. Adoption of the Paris Agreement, 2015

7. Convention on Biological Diversity, 1992

8. Cartagena Protocol on Biosafety to the Convention on Biological Diversity, 2000

9. Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization to the Convention on Biological Diversity, 2010

10. Nagoya–Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol on Biosafety, 2010

11. Convention on the Law of the Non-navigational Uses of International Watercourses, 1997

For text, see The Work of the International Law Commission, 8th ed., vol. II, United Nations Publication, p. 266

12. Principles on the allocation of loss in the case of transboundary harm arising out of hazardous activities (United Nations General Assembly resolution 61/36 of 4 December 2006)

For text, see The Work of the International Law Commission, 8th ed., vol. II, p. 420

13. Articles on the prevention of transboundary harm from hazardous activities (United Nations General Assembly resolution 62/68 of 6 December 2007)

For text, see The Work of the International Law Commission, 8th ed., vol. II, p. 414

14. Marrakesh Agreement Establishing the World Trade Organization (Preamble), 1994

15. Santiago Declaration on the 25th Anniversary of the Signing of the Protocol on Environmental Protection to the Antarctic Treaty, submitted by Chile at the Thirty-ninth Antarctic Treaty Consultative Meeting – Nineteenth Committee on Environmental Protection Meeting, Santiago, Chile, 23 May 2016 – 1 June 2016, Number AD003, Agenda Item ATCM 18

Case law Environment, Sustainable Development and International Law - Extracts from Relevant Case Law

16. Minors Oposa v. Secretary of the Department of Environment and Natural Resources, Supreme Court of the Republic of the Philippines, 30 July 1993, 33 I.L.M. 174 1994, p. 185

17. United States — Standards for Reformulated and Conventional Gasoline, Report of the Appellate Body of the World Trade Organization, WT/DS2/AB/R, 29 April 1996, pp. 13, 15, and 16-18

18. Legality of the Threat or Use of Nuclear Weapons, Advisory Opinion, I.C.J. Reports 1996, p. 226, pp. 241-244, paras. 27-36

19. Gabcíkovo-Nagymaros Project (Hungary/Slovakia), Judgment, I.C.J. Reports 1997, p. 7, paras. 53 and 140

20. United States — Import Prohibition of certain Shrimp and Shrimp Products, Report of the Appellate Body of the World Trade Organization, WT/DS58/AB/R, 12 October 1998, paras. 128-131, 152-153, 167-169 and 185-186

21. Social and Economic Rights Action Center (SERAC) and Center for Economic and Social Rights (CESR) / Nigeria, Communication 155/96, African Commission on Human and Peoples’ Rights, 27 May 2002, paras. 53-58, 68-69 and findings

22. Award in the Arbitration Regarding the Iron Rhine ("Ijzeren Rijn") Railway between the Kingdom of Belgium and the Kingdom of Netherlands, 24 May 2005, reproduced in Reports of International Arbitral Awards, Vol. XXVII (2005), pp. 35-125, paras. 58-59 and 221-223

23. European Communities – Measures Affecting the Approval and Marketing of Biotech Products, Report of a Panel of the World Trade Organization, WT/DS291/R, WT/DS292/R, WT/DS293/R, 29 September 2006, paras. 7.65, 7.67-7.76 and 7.86-7.96

24. Brazil – Measures affecting Imports of Retreaded Tyres, Report of the Appellate Body of the World Trade Organization, WT/DS332/AB/R, 3 December 2007, paras. 139-155 and 178-183

25. Albania: Power Sector Generation and Restructuring Project (IDA Credit No.3872-ALB), World Bank’s Inspection Panel, Investigation Report, 7 August 2009, paras. 322-332

26. Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgment, I.C.J. Reports 2010, p. 14, paras. 101, 164, 177, 188, 204-205, 215-217 and 219

27. Responsibilities and obligations of States sponsoring persons and entities with respect to activities in the Area, Seabed Disputes Chamber of the International Tribunal of the Law of the Sea, Advisory Opinion of 1 February 2011, paras. 121-137 and 141-163

RECOMMENDED READINGS (electronic format)

Legal instruments and documents

1. Vienna Convention for the Protection of the Ozone Layer, 1985

2. Montreal Protocol on Substances that Deplete the Ozone Layer, 1987

3. Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, 1989

4. Convention on Access to Information, Public Participation in Decision-Making and Access to Justice in Environmental Matters, 1998

5. Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, 1998

6. Stockholm Convention on Persistent Organic Pollutants, 2001

7. Compilation of key documents of the Antarctic Treaty system, Second edition (Buenos Aires : Secretariat of the Antarctic Treaty) 2014

Legal writings (not reproduced)

8. Daniel Bodansky, “What Makes International Agreements Effective?”, World Health Organization, 1999

9. Daniel Bodansky, “Tale of Two Architectures: The Once and Future UN Climate Change Regime”, Arizona State University Law Journa, Vol. 43, 2011, pp. 697-712

10. Daniel Bodansky, “International Environmental Law,” from Robert Falkner, ed., Handbook of Global Climate and Environmental Policy, 2013, pp. 179-196

11. Daniel Bodansky, “Climate Change and Human Rights: Unpacking the Issues,” 38 Georgia Journal of International and Comparative Law, Vol. 38, 2010, pp. 511-524

12. Daniel Bodansky, “Legally-Binding vs. Non-Legally-Binding Instruments,” from Scott Barrett et al., eds., Towards a Workable and Effective Climate Regime, 2015, pp. 155-165

13. Bodansky and Lawrence, “Trade and Environment,” from Daniel Bethlehem, ed., Oxford Handbook of International Trade Law, 2009, pp. 505-538

14. Ronald Mitchell, “Regime Design Matters: International Oil Pollution and Treaty Compliance,” International Organization, Vol. 48, 1994, pp. 425-458

15. Peter Sand, “The Evolution of International Environmental Law,” from Bodansky, Brunnee and Hey, eds., The Art and Craft of International Environmental Law, Oxford University Press, 2007, pp. 30-43

16. Peter Sand, “Lessons Learned in Global Environmental Governance,” Environmental Affairs, Vol. 18, 1991, pp. 213-277

17. Kal Raustiala, “The Participatory Revolution in International Environmental Law,” Harvard Environmental Law Review, Vol. 21,1997, pp. 537-586

18. Donald R. Rothwell, “Polar Environmental Protection and International Law: The 1991 Antarctic Protocol’, European Journal of International Law, Vol. 11, No. 3, 2000, pp. 591-614

19. Oran R. Young, “Governing International Spaces: Antarctica and Beyond”, Science Diplomacy: Antarctica, Science, and the Governance of International Spaces, Paul A. Berkman, Michael A. Lang, David W. H. Walton, and Oran R.Young, (eds), Smithsonian Contributions to Knowledge, 2011, pp.287-294

20. Phil Tracey, “Twenty five years of the Protocol on Antarctic environmental protection”, Australian Antarctic Magazine, Issue 31, 2016, pp. 29-30

21. “The Antarctic Environmental Protocol, 1991-2011”, presented by ASOC at the Thirty-fourth Antarctic Treaty Consultative Meeting - Fourteenth Committee on Environmental Protection Meeting, Buenos Aires, Argentina 20 Jun 2011 - 01 Jul 2011, Number IP089 rev.1, Agenda Item ATCM 18 ATCM 5 CEP 3.

General Agreement on Tariffs and Trade, 1947 (now

incorporated into GATT 1994), article XX

UNTS, vol. 55, p. 188

Provided

Provided

Declaration of the United Nations Conference on the Human Environment

A/CONF.48/14 and Corr.1, 16 June 1972

Rio Declaration on Environment and Development

A/CONF.151/26/Rev.1, vol. 1, 3-14 June 1992

United Nations Framework Convention on Climate Change, 1992

UNTS, vol. 1771, p. 165

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exp

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n re

sour

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purs

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to

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n en

viro

nmen

tal a

nd d

evel

opm

enta

l pol

icie

s, a

nd th

e re

spon

sibi

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to e

nsur

e th

at

activ

ities

with

in th

eir

juri

sdic

tion

or c

ontr

ol d

o no

t cau

se d

amag

e to

the

envi

ronm

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f ot

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es o

r of

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eyon

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e lim

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isdi

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als

o th

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cou

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take

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edia

te a

ctio

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a f

lexi

ble

man

ner

on th

e ba

sis

of c

lear

pri

oriti

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s a

firs

t ste

p to

war

ds c

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ehen

sive

res

pons

e st

rate

gies

at

the

glob

al, n

atio

nal a

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here

agr

eed,

reg

iona

l lev

els

that

take

into

acc

ount

all

gree

nhou

se

gase

s, w

ith d

ue c

onsi

dera

tion

of th

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rela

tive

cont

ribu

tions

to th

e en

hanc

emen

t of

the

gree

nhou

se e

ffec

t,

Rec

ogni

zing

furt

her

that

low

-lyi

ng a

nd o

ther

sm

all i

slan

d co

untr

ies,

cou

ntri

es w

ith

low

-lyi

ng c

oast

al, a

rid

and

sem

i-ar

id a

reas

or

area

s lia

ble

to f

lood

s, d

roug

ht a

nd d

eser

tific

atio

n,

and

deve

lopi

ng c

ount

ries

with

fra

gile

mou

ntai

nous

eco

syst

ems

are

part

icul

arly

vul

nera

ble

to th

e ad

vers

e ef

fect

s of

clim

ate

chan

ge,

Rec

ogni

zing

the

spec

ial d

iffi

culti

es o

f th

ose

coun

trie

s, e

spec

iall

y de

velo

ping

cou

ntri

es,

who

se e

cono

mie

s ar

e pa

rtic

ular

ly d

epen

dent

on

foss

il fu

el p

rodu

ctio

n, u

se a

nd e

xpor

tatio

n, a

s a

cons

eque

nce

of a

ctio

n ta

ken

on li

miti

ng g

reen

hous

e ga

s em

issi

ons,

- 3

-

Aff

irm

ing

that

res

pons

es to

clim

ate

chan

ge s

houl

d be

coo

rdin

ated

with

soc

ial a

nd

econ

omic

dev

elop

men

t in

an in

tegr

ated

man

ner

with

a v

iew

to a

void

ing

adve

rse

impa

cts

on

the

latte

r, ta

king

into

ful

l acc

ount

the

legi

timat

e pr

iori

ty n

eeds

of

deve

lopi

ng c

ount

ries

for

the

achi

evem

ent o

f su

stai

ned

econ

omic

gro

wth

and

the

erad

icat

ion

of p

over

ty,

Rec

ogni

zing

that

all

coun

trie

s, e

spec

iall

y de

velo

ping

cou

ntri

es, n

eed

acce

ss to

res

ourc

es

requ

ired

to a

chie

ve s

usta

inab

le s

ocia

l and

eco

nom

ic d

evel

opm

ent a

nd th

at, i

n or

der

for

deve

lopi

ng c

ount

ries

to p

rogr

ess

tow

ards

that

goa

l, th

eir

ener

gy c

onsu

mpt

ion

will

nee

d to

gro

w

taki

ng in

to a

ccou

nt th

e po

ssib

ilitie

s fo

r ac

hiev

ing

grea

ter

ener

gy e

ffic

ienc

y an

d fo

r co

ntro

lling

gr

eenh

ouse

gas

em

issi

ons

in g

ener

al, i

nclu

ding

thro

ugh

the

appl

icat

ion

of n

ew te

chno

logi

es o

n te

rms

whi

ch m

ake

such

an

appl

icat

ion

econ

omic

ally

and

soc

iall

y be

nefi

cial

,

Det

erm

ined

to p

rote

ct th

e cl

imat

e sy

stem

for

pre

sent

and

fut

ure

gene

ratio

ns,

Hav

e ag

reed

as

follo

ws:

Art

icle

1

DE

FIN

ITIO

NS*

For

the

purp

oses

of

this

Con

vent

ion:

1.“A

dver

se e

ffec

ts o

f cl

imat

e ch

ange

” m

eans

cha

nges

in th

e ph

ysic

al e

nvir

onm

ent o

r bi

ota

resu

lting

fro

m c

limat

e ch

ange

whi

ch h

ave

sign

ific

ant d

elet

erio

us e

ffec

ts o

n th

e co

mpo

sitio

n,

resi

lienc

e or

pro

duct

ivit

y of

nat

ural

and

man

aged

eco

syst

ems

or o

n th

e op

erat

ion

of

soci

o-ec

onom

ic s

yste

ms

or o

n hu

man

hea

lth a

nd w

elfa

re.

2.“C

limat

e ch

ange

” m

eans

a c

hang

e of

clim

ate

whi

ch is

attr

ibut

ed d

irec

tly

or in

dire

ctly

tohu

man

act

ivit

y th

at a

lters

the

com

posi

tion

of th

e gl

obal

atm

osph

ere

and

whi

ch is

in a

dditi

on to

na

tura

l clim

ate

vari

abili

ty o

bser

ved

over

com

para

ble

time

peri

ods.

3.“C

limat

e sy

stem

” m

eans

the

tota

lity

of th

e at

mos

pher

e, h

ydro

sphe

re, b

iosp

here

and

geos

pher

e an

d th

eir

inte

ract

ions

.

4.“E

mis

sion

s” m

eans

the

rele

ase

of g

reen

hous

e ga

ses

and/

or th

eir

prec

urso

rs in

to th

eat

mos

pher

e ov

er a

spe

cifi

ed a

rea

and

peri

od o

f tim

e.

5.“G

reen

hous

e ga

ses”

mea

ns th

ose

gase

ous

cons

titue

nts

of th

e at

mos

pher

e, b

oth

natu

ral

and

anth

ropo

geni

c, th

at a

bsor

b an

d re

-em

it in

frar

ed r

adia

tion.

6.“R

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion”

mea

ns a

n or

gani

zatio

n co

nsti

tute

d by

sove

reig

n St

ates

of

a gi

ven

regi

on w

hich

has

com

pete

nce

in r

espe

ct o

f m

atte

rs g

over

ned

by th

is

Con

vent

ion

or it

s pr

otoc

ols

and

has

been

dul

y au

thor

ized

, in

acco

rdan

ce w

ith it

s in

tern

al

proc

edur

es, t

o si

gn, r

atif

y, a

ccep

t, ap

prov

e or

acc

ede

to th

e in

stru

men

ts c

once

rned

.

*T

itles

of

artic

les

are

incl

uded

sol

ely

to a

ssis

t the

rea

der.

- 4

-

7.“R

eser

voir

” m

eans

a c

ompo

nent

or

com

pone

nts

of th

e cl

imat

e sy

stem

whe

re a

gree

nhou

se g

as o

r a

prec

urso

r of

a g

reen

hous

e ga

s is

sto

red.

8.“S

ink”

mea

ns a

ny p

roce

ss, a

ctiv

ity

or m

echa

nism

whi

ch r

emov

es a

gre

enho

use

gas,

an

aero

sol o

r a

prec

urso

r of

a g

reen

hous

e ga

s fr

om th

e at

mos

pher

e.

9.“S

ourc

e” m

eans

any

pro

cess

or

activ

ity

whi

ch r

elea

ses

a gr

eenh

ouse

gas

, an

aero

sol o

r a

prec

urso

r of

a g

reen

hous

e ga

s in

to th

e at

mos

pher

e.

Art

icle

2

OB

JEC

TIV

E

The

ulti

mat

e ob

ject

ive

of th

is C

onve

ntio

n an

d an

y re

late

d le

gal i

nstr

umen

ts th

at th

e C

onfe

renc

e of

the

Part

ies

may

ado

pt is

to a

chie

ve, i

n ac

cord

ance

with

the

rele

vant

pro

visi

ons

of

the

Con

vent

ion,

sta

biliz

atio

n of

gre

enho

use

gas

conc

entr

atio

ns in

the

atm

osph

ere

at a

leve

l tha

t w

ould

pre

vent

dan

gero

us a

nthr

opog

enic

inte

rfer

ence

with

the

clim

ate

syst

em.

Such

a le

vel

shou

ld b

e ac

hiev

ed w

ithin

a ti

me

fram

e su

ffic

ient

to a

llow

eco

syst

ems

to a

dapt

nat

ural

ly to

cl

imat

e ch

ange

, to

ensu

re th

at f

ood

prod

uctio

n is

not

thre

aten

ed a

nd to

ena

ble

econ

omic

de

velo

pmen

t to

proc

eed

in a

sus

tain

able

man

ner.

Art

icle

3

PR

INC

IPL

ES

In th

eir

actio

ns to

ach

ieve

the

obje

ctiv

e of

the

Con

vent

ion

and

to im

plem

ent i

ts

prov

isio

ns, t

he P

artie

s sh

all b

e gu

ided

, int

er a

lia, b

y th

e fo

llow

ing:

1.T

he P

artie

s sh

ould

pro

tect

the

clim

ate

syst

em f

or th

e be

nefi

t of

pres

ent a

nd f

utur

ege

nera

tions

of

hum

anki

nd, o

n th

e ba

sis

of e

quit

y an

d in

acc

orda

nce

with

thei

r co

mm

on b

ut

diff

eren

tiate

d re

spon

sibi

litie

s an

d re

spec

tive

capa

bilit

ies.

Acc

ordi

ngly

, the

dev

elop

ed c

ount

ry

Part

ies

shou

ld ta

ke th

e le

ad in

com

batin

g cl

imat

e ch

ange

and

the

adve

rse

effe

cts

ther

eof.

2.T

he s

peci

fic

need

s an

d sp

ecia

l cir

cum

stan

ces

of d

evel

opin

g co

untr

y Pa

rtie

s, e

spec

iall

yth

ose

that

are

par

ticul

arly

vul

nera

ble

to th

e ad

vers

e ef

fect

s of

clim

ate

chan

ge, a

nd o

f th

ose

Part

ies,

esp

ecia

lly

deve

lopi

ng c

ount

ry P

artie

s, th

at w

ould

hav

e to

bea

r a

disp

ropo

rtio

nate

or

abno

rmal

bur

den

unde

r th

e C

onve

ntio

n, s

houl

d be

giv

en f

ull c

onsi

dera

tion.

3.T

he P

artie

s sh

ould

take

pre

caut

iona

ry m

easu

res

to a

ntic

ipat

e, p

reve

nt o

r m

inim

ize

the

caus

es o

f cl

imat

e ch

ange

and

miti

gate

its

adve

rse

effe

cts.

Whe

re th

ere

are

thre

ats

of s

erio

us o

r ir

reve

rsib

le d

amag

e, la

ck o

f fu

ll sc

ient

ific

cer

tain

ty s

houl

d no

t be

used

as

a re

ason

for

pos

tpon

ing

such

mea

sure

s, ta

king

into

acc

ount

that

pol

icie

s an

d m

easu

res

to d

eal w

ith c

limat

e ch

ange

sho

uld

be c

ost-

effe

ctiv

e so

as

to e

nsur

e gl

obal

ben

efits

at t

he lo

wes

t pos

sibl

e co

st.

To

achi

eve

this

, su

ch p

olic

ies

and

mea

sure

s sh

ould

take

into

acc

ount

dif

fere

nt s

ocio

-eco

nom

ic c

onte

xts,

be

com

preh

ensi

ve, c

over

all

rele

vant

sou

rces

, sin

ks a

nd r

eser

voir

s of

gre

enho

use

gase

s an

d ad

apta

tion,

and

com

pris

e al

l eco

nom

ic s

ecto

rs.

Eff

orts

to a

ddre

ss c

limat

e ch

ange

may

be

carr

ied

out c

oope

rativ

ely

by in

tere

sted

Par

ties.

- 5

-

4.T

he P

artie

s ha

ve a

rig

ht to

, and

sho

uld,

pro

mot

e su

stai

nabl

e de

velo

pmen

t. P

olic

ies

and

mea

sure

s to

pro

tect

the

clim

ate

syst

em a

gain

st h

uman

-ind

uced

cha

nge

shou

ld b

e ap

prop

riat

e fo

r th

e sp

ecif

ic c

ondi

tions

of

each

Par

ty a

nd s

houl

d be

inte

grat

ed w

ith n

atio

nal d

evel

opm

ent

prog

ram

mes

, tak

ing

into

acc

ount

that

eco

nom

ic d

evel

opm

ent i

s es

sent

ial f

or a

dopt

ing

mea

sure

s to

add

ress

clim

ate

chan

ge.

5.T

he P

artie

s sh

ould

coo

pera

te to

pro

mot

e a

supp

ortiv

e an

d op

en in

tern

atio

nal e

cono

mic

syst

em th

at w

ould

lead

to s

usta

inab

le e

cono

mic

gro

wth

and

dev

elop

men

t in

all P

artie

s,

part

icul

arly

dev

elop

ing

coun

try

Part

ies,

thus

ena

blin

g th

em b

ette

r to

add

ress

the

prob

lem

s of

cl

imat

e ch

ange

. M

easu

res

take

n to

com

bat c

limat

e ch

ange

, inc

ludi

ng u

nila

tera

l one

s, s

houl

d no

t co

nstit

ute

a m

eans

of

arbi

trar

y or

unj

ustif

iabl

e di

scri

min

atio

n or

a d

isgu

ised

res

tric

tion

on

inte

rnat

iona

l tra

de.

Art

icle

4

CO

MM

ITM

EN

TS

1.A

ll Pa

rtie

s, ta

king

into

acc

ount

thei

r co

mm

on b

ut d

iffe

rent

iate

d re

spon

sibi

litie

s an

d th

eir

spec

ific

nat

iona

l and

reg

iona

l dev

elop

men

t pri

oriti

es, o

bjec

tives

and

cir

cum

stan

ces,

sha

ll:

(a)

Dev

elop

, per

iodi

call

y up

date

, pub

lish

and

mak

e av

aila

ble

to th

e C

onfe

renc

e of

th

e Pa

rtie

s, in

acc

orda

nce

with

Art

icle

12,

nat

iona

l inv

ento

ries

of

anth

ropo

geni

c em

issi

ons

by

sour

ces

and

rem

oval

s by

sin

ks o

f al

l gre

enho

use

gase

s no

t con

trol

led

by th

e M

ontr

eal P

roto

col,

usin

g co

mpa

rabl

e m

etho

dolo

gies

to b

e ag

reed

upo

n by

the

Con

fere

nce

of th

e Pa

rtie

s;

(b)

Form

ulat

e, im

plem

ent,

publ

ish

and

regu

larl

y up

date

nat

iona

l and

, whe

re

appr

opri

ate,

reg

iona

l pro

gram

mes

con

tain

ing

mea

sure

s to

mit

igat

e cl

imat

e ch

ange

by

addr

essi

ng a

nthr

opog

enic

em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

of

all g

reen

hous

e ga

ses

not c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l, an

d m

easu

res

to f

acili

tate

ade

quat

e ad

apta

tion

to

clim

ate

chan

ge;

(c)

Prom

ote

and

coop

erat

e in

the

deve

lopm

ent,

appl

icat

ion

and

diff

usio

n,

incl

udin

g tr

ansf

er, o

f te

chno

logi

es, p

ract

ices

and

pro

cess

es th

at c

ontr

ol, r

educ

e or

pre

vent

an

thro

poge

nic

emis

sion

s of

gre

enho

use

gase

s no

t con

trol

led

by th

e M

ontr

eal P

roto

col i

n al

l re

leva

nt s

ecto

rs, i

nclu

ding

the

ener

gy, t

rans

port

, ind

ustr

y, a

gric

ultu

re, f

ores

try

and

was

te

man

agem

ent s

ecto

rs;

(d)

Prom

ote

sust

aina

ble

man

agem

ent,

and

prom

ote

and

coop

erat

e in

the

cons

erva

tion

and

enha

ncem

ent,

as a

ppro

pria

te, o

f si

nks

and

rese

rvoi

rs o

f al

l gre

enho

use

gase

s no

t con

trol

led

by th

e M

ontr

eal P

roto

col,

incl

udin

g bi

omas

s, f

ores

ts a

nd o

cean

s as

wel

l as

othe

r te

rres

tria

l, co

asta

l and

mar

ine

ecos

yste

ms;

(e)

Coo

pera

te in

pre

pari

ng f

or a

dapt

atio

n to

the

impa

cts

of c

limat

e ch

ange

; dev

elop

an

d el

abor

ate

appr

opri

ate

and

inte

grat

ed p

lans

for

coa

stal

zon

e m

anag

emen

t, w

ater

res

ourc

es a

nd

agri

cultu

re, a

nd f

or th

e pr

otec

tion

and

reha

bilit

atio

n of

are

as, p

artic

ular

ly in

Afr

ica,

aff

ecte

d by

dr

ough

t and

des

ertif

icat

ion,

as

wel

l as

floo

ds;

- 6

-

(f)

Tak

e cl

imat

e ch

ange

con

side

ratio

ns in

to a

ccou

nt, t

o th

e ex

tent

fea

sibl

e, in

thei

r re

leva

nt s

ocia

l, ec

onom

ic a

nd e

nvir

onm

enta

l pol

icie

s an

d ac

tions

, and

em

ploy

app

ropr

iate

m

etho

ds, f

or e

xam

ple

impa

ct a

sses

smen

ts, f

orm

ulat

ed a

nd d

eter

min

ed n

atio

nall

y, w

ith a

vie

w

to m

inim

izin

g ad

vers

e ef

fect

s on

the

econ

omy,

on

publ

ic h

ealth

and

on

the

qual

ity

of

the

envi

ronm

ent,

of p

roje

cts

or m

easu

res

unde

rtak

en b

y th

em to

miti

gate

or

adap

t to

clim

ate

chan

ge; (g

) Pr

omot

e an

d co

oper

ate

in s

cien

tific

, tec

hnol

ogic

al, t

echn

ical

, soc

io-e

cono

mic

and

ot

her

rese

arch

, sys

tem

atic

obs

erva

tion

and

deve

lopm

ent o

f da

ta a

rchi

ves

rela

ted

to th

e cl

imat

e sy

stem

and

inte

nded

to f

urth

er th

e un

ders

tand

ing

and

to r

educ

e or

elim

inat

e th

e re

mai

ning

un

cert

aint

ies

rega

rdin

g th

e ca

uses

, eff

ects

, mag

nitu

de a

nd ti

min

g of

cli

mat

e ch

ange

and

the

econ

omic

and

soc

ial c

onse

quen

ces

of v

ario

us r

espo

nse

stra

tegi

es;

(h)

Prom

ote

and

coop

erat

e in

the

full,

ope

n an

d pr

ompt

exc

hang

e of

rel

evan

t sc

ient

ific

, tec

hnol

ogic

al, t

echn

ical

, soc

io-e

cono

mic

and

lega

l inf

orm

atio

n re

late

d to

the

clim

ate

syst

em a

nd c

limat

e ch

ange

, and

to th

e ec

onom

ic a

nd s

ocia

l con

sequ

ence

s of

var

ious

res

pons

e st

rate

gies

;

(i)

Prom

ote

and

coop

erat

e in

edu

catio

n, tr

aini

ng a

nd p

ublic

aw

aren

ess

rela

ted

to

clim

ate

chan

ge a

nd e

ncou

rage

the

wid

est p

artic

ipat

ion

in th

is p

roce

ss, i

nclu

ding

that

of

non-

gove

rnm

enta

l org

aniz

atio

ns; a

nd

(j)

Com

mun

icat

e to

the

Con

fere

nce

of th

e Pa

rtie

s in

form

atio

n re

late

d to

im

plem

enta

tion,

in a

ccor

danc

e w

ith A

rtic

le 1

2.

2.T

he d

evel

oped

cou

ntry

Par

ties

and

othe

r Pa

rtie

s in

clud

ed in

Ann

ex I

com

mit

them

selv

essp

ecif

ical

ly a

s pr

ovid

ed f

or in

the

follo

win

g:

(a)

Eac

h of

thes

e Pa

rtie

s sh

all a

dopt

nat

iona

l1 pol

icie

s an

d ta

ke c

orre

spon

ding

m

easu

res

on th

e m

itiga

tion

of c

limat

e ch

ange

, by

limiti

ng it

s an

thro

poge

nic

emis

sion

s of

gr

eenh

ouse

gas

es a

nd p

rote

ctin

g an

d en

hanc

ing

its g

reen

hous

e ga

s si

nks

and

rese

rvoi

rs.

The

se

polic

ies

and

mea

sure

s w

ill d

emon

stra

te th

at d

evel

oped

cou

ntri

es a

re ta

king

the

lead

in m

odif

ying

lo

nger

-ter

m tr

ends

in a

nthr

opog

enic

em

issi

ons

cons

iste

nt w

ith th

e ob

ject

ive

of th

e C

onve

ntio

n,

reco

gniz

ing

that

the

retu

rn b

y th

e en

d of

the

pres

ent d

ecad

e to

ear

lier

leve

ls o

f an

thro

poge

nic

emis

sion

s of

car

bon

diox

ide

and

othe

r gr

eenh

ouse

gas

es n

ot c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l w

ould

con

trib

ute

to s

uch

mod

ific

atio

n, a

nd ta

king

into

acc

ount

the

diff

eren

ces

in th

ese

Part

ies’

st

artin

g po

ints

and

app

roac

hes,

eco

nom

ic s

truc

ture

s an

d re

sour

ce b

ases

, the

nee

d to

mai

ntai

n st

rong

and

sus

tain

able

eco

nom

ic g

row

th, a

vaila

ble

tech

nolo

gies

and

oth

er in

divi

dual

ci

rcum

stan

ces,

as

wel

l as

the

need

for

equ

itabl

e an

d ap

prop

riat

e co

ntri

butio

ns b

y ea

ch o

f th

ese

Part

ies

to th

e gl

obal

eff

ort r

egar

ding

that

obj

ectiv

e. T

hese

Par

ties

may

impl

emen

t suc

h po

licie

s an

d m

easu

res

join

tly

with

oth

er P

artie

s an

d m

ay a

ssis

t oth

er P

artie

s in

con

trib

utin

g to

the

achi

evem

ent o

f th

e ob

ject

ive

of th

e C

onve

ntio

n an

d, in

par

ticul

ar, t

hat o

f th

is

subp

arag

raph

;

1 Thi

s in

clud

es p

olic

ies

and

mea

sure

s ad

opte

d by

reg

iona

l eco

nom

ic in

tegr

atio

n or

gani

zatio

ns.

- 7

-

(b)

In o

rder

to p

rom

ote

prog

ress

to th

is e

nd, e

ach

of th

ese

Part

ies

shal

l com

mun

icat

e,

with

in s

ix m

onth

s of

the

entr

y in

to f

orce

of

the

Con

vent

ion

for

it an

d pe

riod

ical

ly th

erea

fter

, and

in

acc

orda

nce

with

Art

icle

12,

det

aile

d in

form

atio

n on

its

polic

ies

and

mea

sure

s re

ferr

ed to

in

subp

arag

raph

(a)

abo

ve, a

s w

ell a

s on

its

resu

lting

pro

ject

ed a

nthr

opog

enic

em

issi

ons

by s

ourc

es

and

rem

oval

s by

sin

ks o

f gr

eenh

ouse

gas

es n

ot c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l for

the

peri

od r

efer

red

to in

sub

para

grap

h (a

), w

ith th

e ai

m o

f re

turn

ing

indi

vidu

ally

or

join

tly

to

thei

r 19

90 le

vels

thes

e an

thro

poge

nic

emis

sion

s of

car

bon

diox

ide

and

othe

r gr

eenh

ouse

gas

es

not c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l. T

his

info

rmat

ion

will

be

revi

ewed

by

the

Con

fere

nce

of

the

Par

ties,

at i

ts f

irst

ses

sion

and

per

iodi

call

y th

erea

fter

, in

acco

rdan

ce w

ith

Art

icle

7;

(c)

Cal

cula

tions

of

emis

sion

s by

sou

rces

and

rem

oval

s by

sin

ks o

f gr

eenh

ouse

gas

es

for

the

purp

oses

of

subp

arag

raph

(b)

abo

ve s

houl

d ta

ke in

to a

ccou

nt th

e be

st a

vaila

ble

scie

ntif

ic

know

ledg

e, in

clud

ing

of th

e ef

fect

ive

capa

city

of

sink

s an

d th

e re

spec

tive

cont

ribu

tions

of

such

ga

ses

to c

limat

e ch

ange

. T

he C

onfe

renc

e of

the

Part

ies

shal

l con

side

r an

d ag

ree

on

met

hodo

logi

es f

or th

ese

calc

ulat

ions

at i

ts f

irst

ses

sion

and

rev

iew

them

reg

ular

ly th

erea

fter

;

(d)

The

Con

fere

nce

of th

e Pa

rtie

s sh

all,

at it

s fi

rst s

essi

on, r

evie

w th

e ad

equa

cy o

f su

bpar

agra

phs

(a)

and

(b)

abov

e. S

uch

revi

ew s

hall

be c

arri

ed o

ut in

the

light

of

the

best

av

aila

ble

scie

ntif

ic in

form

atio

n an

d as

sess

men

t on

clim

ate

chan

ge a

nd it

s im

pact

s, a

s w

ell a

s re

leva

nt te

chni

cal,

soci

al a

nd e

cono

mic

info

rmat

ion.

Bas

ed o

n th

is r

evie

w, t

he C

onfe

renc

e of

th

e Pa

rtie

s sh

all t

ake

appr

opri

ate

actio

n, w

hich

may

incl

ude

the

adop

tion

of a

men

dmen

ts to

the

com

mitm

ents

in s

ubpa

ragr

aphs

(a)

and

(b)

abo

ve.

The

Con

fere

nce

of th

e Pa

rtie

s, a

t its

fir

st

sess

ion,

sha

ll al

so ta

ke d

ecis

ions

reg

ardi

ng c

rite

ria

for

join

t im

plem

enta

tion

as in

dica

ted

in

subp

arag

raph

(a)

abo

ve.

A s

econ

d re

view

of

subp

arag

raph

s (a

) an

d (b

) sh

all t

ake

plac

e no

t lat

er

than

31

Dec

embe

r 19

98, a

nd th

erea

fter

at r

egul

ar in

terv

als

dete

rmin

ed b

y th

e C

onfe

renc

e of

the

Part

ies,

unt

il th

e ob

ject

ive

of th

e C

onve

ntio

n is

met

;

(e)

Eac

h of

thes

e P

artie

s sh

all:

(i)

coor

dina

te a

s ap

prop

riat

e w

ith o

ther

suc

h Pa

rtie

s, r

elev

ant e

cono

mic

and

ad

min

istr

ativ

e in

stru

men

ts d

evel

oped

to a

chie

ve th

e ob

ject

ive

of th

e C

onve

ntio

n; a

nd

(ii)

id

entif

y an

d pe

riod

ical

ly r

evie

w it

s ow

n po

licie

s an

d pr

actic

es w

hich

en

cour

age

activ

ities

that

lead

to g

reat

er le

vels

of

anth

ropo

geni

c em

issi

ons

of g

reen

hous

e ga

ses

not c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l tha

n w

ould

ot

herw

ise

occu

r;

(f)

The

Con

fere

nce

of th

e Pa

rtie

s sh

all r

evie

w, n

ot la

ter

than

31

Dec

embe

r 19

98,

avai

labl

e in

form

atio

n w

ith

a vi

ew to

taki

ng d

ecis

ions

reg

ardi

ng s

uch

amen

dmen

ts to

the

lists

in

Ann

exes

I a

nd I

I as

may

be

appr

opri

ate,

with

the

appr

oval

of

the

Part

y co

ncer

ned;

(g)

Any

Par

ty n

ot in

clud

ed in

Ann

ex I

may

, in

its in

stru

men

t of

ratif

icat

ion,

ac

cept

ance

, app

rova

l or

acce

ssio

n, o

r at

any

tim

e th

erea

fter

, not

ify

the

Dep

osita

ry th

at it

inte

nds

to b

e bo

und

by s

ubpa

ragr

aphs

(a)

and

(b)

abo

ve.

The

Dep

osita

ry s

hall

info

rm th

e ot

her

sign

ator

ies

and

Part

ies

of a

ny s

uch

notif

icat

ion.

- 8

-

3.T

he d

evel

oped

cou

ntry

Par

ties

and

othe

r de

velo

ped

Part

ies

incl

uded

in A

nnex

II

shal

lpr

ovid

e ne

w a

nd a

dditi

onal

fin

anci

al r

esou

rces

to m

eet t

he a

gree

d fu

ll co

sts

incu

rred

by

deve

lopi

ng c

ount

ry P

arti

es in

com

plyi

ng w

ith th

eir

oblig

atio

ns u

nder

Art

icle

12,

par

agra

ph 1

. T

hey

shal

l als

o pr

ovid

e su

ch f

inan

cial

res

ourc

es, i

nclu

ding

for

the

tran

sfer

of

tech

nolo

gy, n

eede

d by

the

deve

lopi

ng c

ount

ry P

artie

s to

mee

t the

agr

eed

full

incr

emen

tal c

osts

of

impl

emen

ting

mea

sure

s th

at a

re c

over

ed b

y pa

ragr

aph

1 of

this

Art

icle

and

that

are

agr

eed

betw

een

a de

velo

ping

cou

ntry

Par

ty a

nd th

e in

tern

atio

nal e

ntit

y or

ent

ities

ref

erre

d to

in A

rtic

le 1

1, in

ac

cord

ance

with

that

Art

icle

. T

he im

plem

enta

tion

of th

ese

com

mitm

ents

sha

ll ta

ke in

to a

ccou

nt

the

need

for

ade

quac

y an

d pr

edic

tabi

lity

in th

e fl

ow o

f fu

nds

and

the

impo

rtan

ce o

f ap

prop

riat

e bu

rden

sha

ring

am

ong

the

deve

lope

d co

untr

y Pa

rtie

s.

4.T

he d

evel

oped

cou

ntry

Par

ties

and

othe

r de

velo

ped

Part

ies

incl

uded

in A

nnex

II

shal

lal

so a

ssis

t the

dev

elop

ing

coun

try

Par

ties

that

are

par

ticul

arly

vul

nera

ble

to th

e ad

vers

e ef

fect

s of

cl

imat

e ch

ange

in m

eetin

g co

sts

of a

dapt

atio

n to

thos

e ad

vers

e ef

fect

s.

5.T

he d

evel

oped

cou

ntry

Par

ties

and

othe

r de

velo

ped

Part

ies

incl

uded

in A

nnex

II

shal

lta

ke a

ll pr

actic

able

ste

ps to

pro

mot

e, f

acili

tate

and

fin

ance

, as

appr

opri

ate,

the

tran

sfer

of,

or

acce

ss to

, env

iron

men

tall

y so

und

tech

nolo

gies

and

kno

w-h

ow to

oth

er P

arti

es, p

artic

ular

ly

deve

lopi

ng c

ount

ry P

arti

es, t

o en

able

them

to im

plem

ent t

he p

rovi

sion

s of

the

Con

vent

ion.

In

this

pro

cess

, the

dev

elop

ed c

ount

ry P

artie

s sh

all s

uppo

rt th

e de

velo

pmen

t and

enh

ance

men

t of

endo

geno

us c

apac

ities

and

tech

nolo

gies

of

deve

lopi

ng c

ount

ry P

artie

s. O

ther

Par

ties

and

orga

niza

tions

in a

pos

ition

to d

o so

may

als

o as

sist

in f

acili

tatin

g th

e tr

ansf

er o

f su

ch

tech

nolo

gies

.

6.In

the

impl

emen

tatio

n of

thei

r co

mm

itmen

ts u

nder

par

agra

ph 2

abo

ve, a

cer

tain

deg

ree

offl

exib

ility

sha

ll be

allo

wed

by

the

Con

fere

nce

of th

e Pa

rtie

s to

the

Part

ies

incl

uded

in A

nnex

I

unde

rgoi

ng th

e pr

oces

s of

tran

sitio

n to

a m

arke

t eco

nom

y, in

ord

er to

enh

ance

the

abili

ty o

f th

ese

Part

ies

to a

ddre

ss c

limat

e ch

ange

, inc

ludi

ng w

ith r

egar

d to

the

hist

oric

al le

vel o

f an

thro

poge

nic

emis

sion

s of

gre

enho

use

gase

s no

t con

trol

led

by th

e M

ontr

eal P

roto

col c

hose

n as

a r

efer

ence

.

7.T

he e

xten

t to

whi

ch d

evel

opin

g co

untr

y Pa

rtie

s w

ill e

ffec

tivel

y im

plem

ent t

heir

com

mitm

ents

und

er th

e C

onve

ntio

n w

ill d

epen

d on

the

effe

ctiv

e im

plem

enta

tion

by d

evel

oped

co

untr

y P

artie

s of

thei

r co

mm

itmen

ts u

nder

the

Con

vent

ion

rela

ted

to f

inan

cial

res

ourc

es a

nd

tran

sfer

of

tech

nolo

gy a

nd w

ill ta

ke f

ully

into

acc

ount

that

eco

nom

ic a

nd s

ocia

l dev

elop

men

t and

po

vert

y er

adic

atio

n ar

e th

e fi

rst a

nd o

verr

idin

g pr

iori

ties

of th

e de

velo

ping

cou

ntry

Par

ties.

8.In

the

impl

emen

tatio

n of

the

com

mitm

ents

in th

is A

rtic

le, t

he P

artie

s sh

all g

ive

full

cons

ider

atio

n to

wha

t act

ions

are

nec

essa

ry u

nder

the

Con

vent

ion,

incl

udin

g ac

tions

rel

ated

to

fund

ing,

insu

ranc

e an

d th

e tr

ansf

er o

f te

chno

logy

, to

mee

t the

spe

cifi

c ne

eds

and

conc

erns

of

deve

lopi

ng c

ount

ry P

arti

es a

risi

ng f

rom

the

adve

rse

effe

cts

of c

limat

e ch

ange

and

/or

the

impa

ct

of th

e im

plem

enta

tion

of r

espo

nse

mea

sure

s, e

spec

iall

y on

:

(a)

Smal

l isl

and

coun

trie

s;

(b)

Cou

ntri

es w

ith lo

w-l

ying

coa

stal

are

as;

(c)

Cou

ntri

es w

ith a

rid

and

sem

i-ar

id a

reas

, for

este

d ar

eas

and

area

s lia

ble

to f

ores

t de

cay;

- 9

-

(d)

Cou

ntri

es w

ith a

reas

pro

ne to

nat

ural

dis

aste

rs;

(e)

Cou

ntri

es w

ith a

reas

liab

le to

dro

ught

and

des

ertif

icat

ion;

(f)

Cou

ntri

es w

ith a

reas

of

high

urb

an a

tmos

pher

ic p

ollu

tion;

(g)

Cou

ntri

es w

ith a

reas

wit

h fr

agile

eco

syst

ems,

incl

udin

g m

ount

aino

us e

cosy

stem

s;

(h)

Cou

ntri

es w

hose

eco

nom

ies

are

high

ly d

epen

dent

on

inco

me

gene

rate

d fr

om th

e pr

oduc

tion,

pro

cess

ing

and

expo

rt, a

nd/o

r on

con

sum

ptio

n of

fos

sil f

uels

and

ass

ocia

ted

ener

gy-i

nten

sive

pro

duct

s; a

nd

(i)

Lan

dloc

ked

and

tran

sit c

ount

ries

.

Furt

her,

the

Con

fere

nce

of th

e P

artie

s m

ay ta

ke a

ctio

ns, a

s ap

prop

riat

e, w

ith

resp

ect t

o th

is

para

grap

h.

9.T

he P

artie

s sh

all t

ake

full

acc

ount

of

the

spec

ific

nee

ds a

nd s

peci

al s

ituat

ions

of

the

leas

tde

velo

ped

coun

trie

s in

thei

r ac

tions

with

reg

ard

to f

undi

ng a

nd tr

ansf

er o

f te

chno

logy

.

10.

The

Par

ties

shal

l, in

acc

orda

nce

with

Art

icle

10,

take

into

con

side

ratio

n in

the

impl

emen

tatio

n of

the

com

mitm

ents

of

the

Con

vent

ion

the

situ

atio

n of

Par

ties,

par

ticul

arly

de

velo

ping

cou

ntry

Par

ties

, with

eco

nom

ies

that

are

vul

nera

ble

to th

e ad

vers

e ef

fect

s of

the

impl

emen

tatio

n of

mea

sure

s to

res

pond

to c

limat

e ch

ange

. T

his

appl

ies

nota

bly

to P

artie

s w

ith

econ

omie

s th

at a

re h

ighl

y de

pend

ent o

n in

com

e ge

nera

ted

from

the

prod

uctio

n, p

roce

ssin

g an

d ex

port

, and

/or

cons

umpt

ion

of f

ossi

l fue

ls a

nd a

ssoc

iate

d en

ergy

-int

ensi

ve p

rodu

cts

and/

or th

e us

e of

fos

sil f

uels

for

whi

ch s

uch

Part

ies

have

ser

ious

dif

ficu

lties

in s

witc

hing

to a

ltern

ativ

es.

Art

icle

5

RE

SEA

RC

H A

ND

SY

STE

MA

TIC

OB

SER

VA

TIO

N

In c

arry

ing

out t

heir

com

mitm

ents

und

er A

rtic

le 4

, par

agra

ph 1

(g)

, the

Par

ties

shal

l:

(a)

Supp

ort a

nd f

urth

er d

evel

op, a

s ap

prop

riat

e, in

tern

atio

nal a

nd in

terg

over

nmen

tal

prog

ram

mes

and

net

wor

ks o

r or

gani

zatio

ns a

imed

at d

efin

ing,

con

duct

ing,

ass

essi

ng a

nd

fina

ncin

g re

sear

ch, d

ata

colle

ctio

n an

d sy

stem

atic

obs

erva

tion,

taki

ng in

to a

ccou

nt th

e ne

ed to

m

inim

ize

dupl

icat

ion

of e

ffor

t;

(b)

Supp

ort i

nter

natio

nal a

nd in

terg

over

nmen

tal e

ffor

ts to

str

engt

hen

syst

emat

ic

obse

rvat

ion

and

natio

nal s

cien

tific

and

tech

nica

l res

earc

h ca

paci

ties

and

capa

bilit

ies,

par

ticul

arly

in

dev

elop

ing

coun

trie

s, a

nd to

pro

mot

e ac

cess

to, a

nd th

e ex

chan

ge o

f, d

ata

and

anal

yses

ther

eof

obta

ined

fro

m a

reas

bey

ond

natio

nal j

uris

dict

ion;

and

(c)

Tak

e in

to a

ccou

nt th

e pa

rtic

ular

con

cern

s an

d ne

eds

of d

evel

opin

g co

untr

ies

and

coop

erat

e in

impr

ovin

g th

eir

endo

geno

us c

apac

ities

and

cap

abili

ties

to p

artic

ipat

e in

the

effo

rts

refe

rred

to in

sub

para

grap

hs (

a) a

nd (

b) a

bove

.

- 10

-

Art

icle

6

ED

UC

AT

ION

, TR

AIN

ING

AN

D P

UB

LIC

AW

AR

EN

ESS

In c

arry

ing

out t

heir

com

mitm

ents

und

er A

rtic

le 4

, par

agra

ph 1

(i)

, the

Par

ties

shal

l:

(a)

Prom

ote

and

faci

litat

e at

the

natio

nal a

nd, a

s ap

prop

riat

e, s

ubre

gion

al a

nd r

egio

nal

leve

ls, a

nd in

acc

orda

nce

with

nat

iona

l law

s an

d re

gula

tions

, and

with

in th

eir

resp

ectiv

e ca

paci

ties

:

(i)

the

deve

lopm

ent a

nd im

plem

enta

tion

of e

duca

tiona

l and

pub

lic a

war

enes

s pr

ogra

mm

es o

n cl

imat

e ch

ange

and

its

effe

cts;

(ii)

pu

blic

acc

ess

to in

form

atio

n on

clim

ate

chan

ge a

nd it

s ef

fect

s;

(iii)

pu

blic

par

ticip

atio

n in

add

ress

ing

clim

ate

chan

ge a

nd it

s ef

fect

s an

d de

velo

ping

ade

quat

e re

spon

ses;

and

(iv)

tr

aini

ng o

f sc

ient

ific

, tec

hnic

al a

nd m

anag

eria

l per

sonn

el;

(b)

Coo

pera

te in

and

pro

mot

e, a

t the

inte

rnat

iona

l lev

el, a

nd, w

here

app

ropr

iate

, usi

ng

exis

ting

bodi

es: (i)

the

deve

lopm

ent a

nd e

xcha

nge

of e

duca

tiona

l and

pub

lic a

war

enes

s m

ater

ial o

n cl

imat

e ch

ange

and

its

effe

cts;

and

(ii)

th

e de

velo

pmen

t and

impl

emen

tatio

n of

edu

catio

n an

d tr

aini

ng

prog

ram

mes

, inc

ludi

ng th

e st

reng

then

ing

of n

atio

nal i

nstit

utio

ns a

nd th

e ex

chan

ge o

r se

cond

men

t of

pers

onne

l to

trai

n ex

pert

s in

this

fie

ld, i

n pa

rtic

ular

for

dev

elop

ing

coun

trie

s.

Art

icle

7

CO

NF

ER

EN

CE

OF

TH

E P

AR

TIE

S

1.A

Con

fere

nce

of th

e Pa

rtie

s is

her

eby

esta

blis

hed.

2.T

he C

onfe

renc

e of

the

Part

ies,

as

the

supr

eme

body

of

this

Con

vent

ion,

sha

ll ke

ep u

nder

regu

lar

revi

ew th

e im

plem

enta

tion

of th

e C

onve

ntio

n an

d an

y re

late

d le

gal i

nstr

umen

ts th

at th

e C

onfe

renc

e of

the

Part

ies

may

ado

pt, a

nd s

hall

mak

e, w

ithin

its

man

date

, the

dec

isio

ns n

eces

sary

to

pro

mot

e th

e ef

fect

ive

impl

emen

tatio

n of

the

Con

vent

ion.

To

this

end

, it s

hall:

(a)

Peri

odic

ally

exa

min

e th

e ob

ligat

ions

of

the

Part

ies

and

the

inst

itutio

nal

arra

ngem

ents

und

er th

e C

onve

ntio

n, in

the

light

of

the

obje

ctiv

e of

the

Con

vent

ion,

the

expe

rien

ce g

aine

d in

its

impl

emen

tatio

n an

d th

e ev

olut

ion

of s

cien

tific

and

tech

nolo

gica

l kn

owle

dge;

- 11

-

(b)

Prom

ote

and

faci

litat

e th

e ex

chan

ge o

f in

form

atio

n on

mea

sure

s ad

opte

d by

the

Part

ies

to a

ddre

ss c

limat

e ch

ange

and

its

effe

cts,

taki

ng in

to a

ccou

nt th

e di

ffer

ing

circ

umst

ance

s,

resp

onsi

bilit

ies

and

capa

bilit

ies

of th

e Pa

rtie

s an

d th

eir

resp

ectiv

e co

mm

itmen

ts u

nder

the

Con

vent

ion;

(c)

Faci

litat

e, a

t the

req

uest

of

two

or m

ore

Part

ies,

the

coor

dina

tion

of m

easu

res

adop

ted

by th

em to

add

ress

clim

ate

chan

ge a

nd it

s ef

fect

s, ta

king

into

acc

ount

the

diff

erin

g ci

rcum

stan

ces,

res

pons

ibili

ties

and

capa

bilit

ies

of th

e Pa

rtie

s an

d th

eir

resp

ectiv

e co

mm

itmen

ts

unde

r th

e C

onve

ntio

n;

(d)

Pro

mot

e an

d gu

ide,

in a

ccor

danc

e w

ith th

e ob

ject

ive

and

prov

isio

ns o

f th

e C

onve

ntio

n, th

e de

velo

pmen

t and

per

iodi

c re

fine

men

t of

com

para

ble

met

hodo

logi

es, t

o be

ag

reed

on

by th

e C

onfe

renc

e of

the

Par

ties,

inte

r al

ia, f

or p

repa

ring

inve

ntor

ies

of g

reen

hous

e ga

s em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

, and

for

eva

luat

ing

the

effe

ctiv

enes

s of

mea

sure

s to

lim

it th

e em

issi

ons

and

enha

nce

the

rem

oval

s of

thes

e ga

ses;

(e)

Ass

ess,

on

the

basi

s of

all

info

rmat

ion

mad

e av

aila

ble

to it

in a

ccor

danc

e w

ith th

e pr

ovis

ions

of

the

Con

vent

ion,

the

impl

emen

tatio

n of

the

Con

vent

ion

by th

e Pa

rtie

s, th

e ov

eral

l ef

fect

s of

the

mea

sure

s ta

ken

purs

uant

to th

e C

onve

ntio

n, in

par

ticul

ar e

nvir

onm

enta

l, ec

onom

ic

and

soci

al e

ffec

ts a

s w

ell a

s th

eir

cum

ulat

ive

impa

cts

and

the

exte

nt to

whi

ch p

rogr

ess

tow

ards

th

e ob

ject

ive

of th

e C

onve

ntio

n is

bei

ng a

chie

ved;

(f)

Con

side

r an

d ad

opt r

egul

ar r

epor

ts o

n th

e im

plem

enta

tion

of th

e C

onve

ntio

n an

d en

sure

thei

r pu

blic

atio

n;

(g)

Mak

e re

com

men

datio

ns o

n an

y m

atte

rs n

eces

sary

for

the

impl

emen

tatio

n of

the

Con

vent

ion;

(h)

Seek

to m

obili

ze f

inan

cial

res

ourc

es in

acc

orda

nce

with

Art

icle

4, p

arag

raph

s 3,

4

and

5, a

nd A

rtic

le 1

1;

(i)

Est

ablis

h su

ch s

ubsi

diar

y bo

dies

as

are

deem

ed n

eces

sary

for

the

impl

emen

tatio

n of

the

Con

vent

ion;

(j)

Rev

iew

rep

orts

sub

mitt

ed b

y its

sub

sidi

ary

bodi

es a

nd p

rovi

de g

uida

nce

to th

em;

(k)

Agr

ee u

pon

and

adop

t, by

con

sens

us, r

ules

of

proc

edur

e an

d fi

nanc

ial r

ules

for

its

elf

and

for

any

subs

idia

ry b

odie

s;

(l)

Seek

and

util

ize,

whe

re a

ppro

pria

te, t

he s

ervi

ces

and

coop

erat

ion

of, a

nd

info

rmat

ion

prov

ided

by,

com

pete

nt in

tern

atio

nal o

rgan

izat

ions

and

inte

rgov

ernm

enta

l and

no

n-go

vern

men

tal b

odie

s; a

nd

(m)

Exe

rcis

e su

ch o

ther

fun

ctio

ns a

s ar

e re

quir

ed f

or th

e ac

hiev

emen

t of

the

obje

ctiv

e of

the

Con

vent

ion

as w

ell a

s al

l oth

er f

unct

ions

ass

igne

d to

it u

nder

the

Con

vent

ion.

- 12

-

3.T

he C

onfe

renc

e of

the

Part

ies

shal

l, at

its

firs

t ses

sion

, ado

pt it

s ow

n ru

les

of p

roce

dure

as w

ell a

s th

ose

of th

e su

bsid

iary

bod

ies

esta

blis

hed

by th

e C

onve

ntio

n, w

hich

sha

ll in

clud

e de

cisi

on-m

akin

g pr

oced

ures

for

mat

ters

not

alr

eady

cov

ered

by

deci

sion

-mak

ing

proc

edur

es

stip

ulat

ed in

the

Con

vent

ion.

Suc

h pr

oced

ures

may

incl

ude

spec

ifie

d m

ajor

ities

req

uire

d fo

r th

e ad

optio

n of

par

ticul

ar d

ecis

ions

.

4.T

he f

irst

ses

sion

of

the

Con

fere

nce

of th

e Pa

rtie

s sh

all b

e co

nven

ed b

y th

e in

teri

mse

cret

aria

t ref

erre

d to

in A

rtic

le 2

1 an

d sh

all t

ake

plac

e no

t lat

er th

an o

ne y

ear

afte

r th

e da

te o

f en

try

into

for

ce o

f th

e C

onve

ntio

n. T

here

afte

r, o

rdin

ary

sess

ions

of

the

Con

fere

nce

of th

e Pa

rtie

s sh

all b

e he

ld e

very

yea

r un

less

oth

erw

ise

deci

ded

by th

e C

onfe

renc

e of

the

Part

ies.

5.E

xtra

ordi

nary

ses

sion

s of

the

Con

fere

nce

of th

e Pa

rtie

s sh

all b

e he

ld a

t suc

h ot

her

times

as m

ay b

e de

emed

nec

essa

ry b

y th

e C

onfe

renc

e, o

r at

the

wri

tten

requ

est o

f an

y Pa

rty,

pro

vide

d th

at, w

ithin

six

mon

ths

of th

e re

ques

t bei

ng c

omm

unic

ated

to th

e Pa

rtie

s by

the

secr

etar

iat,

it is

su

ppor

ted

by a

t lea

st o

ne th

ird

of th

e Pa

rtie

s.

6.T

he U

nite

d N

atio

ns, i

ts s

peci

aliz

ed a

genc

ies

and

the

Inte

rnat

iona

l Ato

mic

Ene

rgy

Age

ncy,

as

wel

l as

any

Sta

te m

embe

r th

ereo

f or

obs

erve

rs th

eret

o no

t Par

ty to

the

Con

vent

ion,

m

ay b

e re

pres

ente

d at

ses

sion

s of

the

Con

fere

nce

of th

e Pa

rtie

s as

obs

erve

rs.

Any

bod

y or

ag

ency

, whe

ther

nat

iona

l or

inte

rnat

iona

l, go

vern

men

tal o

r no

n-go

vern

men

tal,

whi

ch is

qua

lifie

d in

mat

ters

cov

ered

by

the

Con

vent

ion,

and

whi

ch h

as in

form

ed th

e se

cret

aria

t of

its w

ish

to b

e re

pres

ente

d at

a s

essi

on o

f th

e C

onfe

renc

e of

the

Part

ies

as a

n ob

serv

er, m

ay b

e so

adm

itted

un

less

at l

east

one

thir

d of

the

Part

ies

pres

ent o

bjec

t. T

he a

dmis

sion

and

par

ticip

atio

n of

ob

serv

ers

shal

l be

subj

ect t

o th

e ru

les

of p

roce

dure

ado

pted

by

the

Con

fere

nce

of th

e Pa

rtie

s.

Art

icle

8

SEC

RE

TA

RIA

T

1.A

sec

reta

riat

is h

ereb

y es

tabl

ishe

d.

2.T

he f

unct

ions

of

the

secr

etar

iat s

hall

be:

(a)

To

mak

e ar

rang

emen

ts f

or s

essi

ons

of th

e C

onfe

renc

e of

the

Par

ties

and

its

subs

idia

ry b

odie

s es

tabl

ishe

d un

der

the

Con

vent

ion

and

to p

rovi

de th

em w

ith

serv

ices

as

requ

ired

; (b)

To

com

pile

and

tran

smit

repo

rts

subm

itted

to it

;

(c)

To

faci

litat

e as

sist

ance

to th

e Pa

rtie

s, p

artic

ular

ly d

evel

opin

g co

untr

y Pa

rtie

s, o

n re

ques

t, in

the

com

pila

tion

and

com

mun

icat

ion

of in

form

atio

n re

quir

ed in

acc

orda

nce

with

the

prov

isio

ns o

f th

e C

onve

ntio

n;

(d)

To

prep

are

repo

rts

on it

s ac

tivi

ties

and

pre

sent

them

to th

e C

onfe

renc

e of

the

Part

ies;

- 13

-

(e)

To

ensu

re th

e ne

cess

ary

coor

dina

tion

with

the

secr

etar

iats

of

othe

r re

leva

nt

inte

rnat

iona

l bod

ies;

(f)

To

ente

r, u

nder

the

over

all g

uida

nce

of th

e C

onfe

renc

e of

the

Part

ies,

into

suc

h ad

min

istr

ativ

e an

d co

ntra

ctua

l arr

ange

men

ts a

s m

ay b

e re

quir

ed f

or th

e ef

fect

ive

disc

harg

e of

its

func

tions

; and

(g)

To

perf

orm

the

othe

r se

cret

aria

t fun

ctio

ns s

peci

fied

in th

e C

onve

ntio

n an

d in

any

of

its

prot

ocol

s an

d su

ch o

ther

fun

ctio

ns a

s m

ay b

e de

term

ined

by

the

Con

fere

nce

of th

e P

artie

s.

3.T

he C

onfe

renc

e of

the

Part

ies,

at i

ts f

irst

ses

sion

, sha

ll de

sign

ate

a pe

rman

ent s

ecre

tari

atan

d m

ake

arra

ngem

ents

for

its

func

tioni

ng.

Art

icle

9

SUB

SID

IAR

Y B

OD

Y F

OR

SC

IEN

TIF

IC A

ND

T

EC

HN

OL

OG

ICA

L A

DV

ICE

1.A

sub

sidi

ary

body

for

sci

entif

ic a

nd te

chno

logi

cal a

dvic

e is

her

eby

esta

blis

hed

to p

rovi

deth

e C

onfe

renc

e of

the

Part

ies

and,

as

appr

opri

ate,

its

othe

r su

bsid

iary

bod

ies

with

tim

ely

info

rmat

ion

and

advi

ce o

n sc

ient

ific

and

tech

nolo

gica

l mat

ters

rel

atin

g to

the

Con

vent

ion.

Thi

s bo

dy s

hall

be o

pen

to p

artic

ipat

ion

by a

ll P

arti

es a

nd s

hall

be

mul

tidi

scip

lina

ry.

It s

hall

com

pris

e go

vern

men

t rep

rese

ntat

ives

com

pete

nt in

the

rele

vant

fie

ld o

f ex

pert

ise.

It s

hall

repo

rt r

egul

arly

to

the

Con

fere

nce

of th

e Pa

rtie

s on

all

aspe

cts

of it

s w

ork.

2.U

nder

the

guid

ance

of

the

Con

fere

nce

of th

e Pa

rtie

s, a

nd d

raw

ing

upon

exi

stin

gco

mpe

tent

inte

rnat

iona

l bod

ies,

this

bod

y sh

all:

(a)

Prov

ide

asse

ssm

ents

of

the

stat

e of

sci

entif

ic k

now

ledg

e re

latin

g to

clim

ate

chan

ge a

nd it

s ef

fect

s;

(b)

Pre

pare

sci

entif

ic a

sses

smen

ts o

n th

e ef

fect

s of

mea

sure

s ta

ken

in th

e im

plem

enta

tion

of th

e C

onve

ntio

n;

(c)

Iden

tify

inno

vativ

e, e

ffic

ient

and

sta

te-o

f-th

e-ar

t tec

hnol

ogie

s an

d kn

ow-h

ow a

nd

advi

se o

n th

e w

ays

and

mea

ns o

f pr

omot

ing

deve

lopm

ent a

nd/o

r tr

ansf

erri

ng s

uch

tech

nolo

gies

;

(d)

Prov

ide

advi

ce o

n sc

ient

ific

pro

gram

mes

, int

erna

tion

al c

oope

ratio

n in

res

earc

h an

d de

velo

pmen

t rel

ated

to c

limat

e ch

ange

, as

wel

l as

on w

ays

and

mea

ns o

f su

ppor

ting

endo

geno

us c

apac

ity-

buil

ding

in d

evel

opin

g co

untr

ies;

and

(e)

Res

pond

to s

cien

tific

, tec

hnol

ogic

al a

nd m

etho

dolo

gica

l que

stio

ns th

at th

e C

onfe

renc

e of

the

Part

ies

and

its s

ubsi

diar

y bo

dies

may

put

to th

e bo

dy.

3.T

he f

unct

ions

and

term

s of

ref

eren

ce o

f th

is b

ody

may

be

furt

her

elab

orat

ed b

y th

eC

onfe

renc

e of

the

Part

ies.

- 14

-

Art

icle

10

SUB

SID

IAR

Y B

OD

Y F

OR

IM

PL

EM

EN

TA

TIO

N

1.A

sub

sidi

ary

body

for

impl

emen

tatio

n is

her

eby

esta

blis

hed

to a

ssis

t the

Con

fere

nce

ofth

e Pa

rtie

s in

the

asse

ssm

ent a

nd r

evie

w o

f th

e ef

fect

ive

impl

emen

tatio

n of

the

Con

vent

ion.

Thi

s bo

dy s

hall

be o

pen

to p

artic

ipat

ion

by a

ll Pa

rtie

s an

d co

mpr

ise

gove

rnm

ent r

epre

sent

ativ

es w

ho

are

expe

rts

on m

atte

rs r

elat

ed to

clim

ate

chan

ge.

It s

hall

repo

rt r

egul

arly

to th

e C

onfe

renc

e of

th

e Pa

rtie

s on

all

aspe

cts

of it

s w

ork.

2.U

nder

the

guid

ance

of

the

Con

fere

nce

of th

e Pa

rtie

s, th

is b

ody

shal

l:

(a)

Con

side

r th

e in

form

atio

n co

mm

unic

ated

in a

ccor

danc

e w

ith A

rtic

le 1

2,

para

grap

h 1,

to a

sses

s th

e ov

eral

l agg

rega

ted

effe

ct o

f th

e st

eps

take

n by

the

Par

ties

in th

e li

ght o

f th

e la

test

sci

enti

fic

asse

ssm

ents

con

cern

ing

clim

ate

chan

ge;

(b)

Con

side

r th

e in

form

atio

n co

mm

unic

ated

in a

ccor

danc

e w

ith A

rtic

le 1

2,

para

grap

h 2,

in o

rder

to a

ssis

t the

Con

fere

nce

of th

e Pa

rtie

s in

car

ryin

g ou

t the

rev

iew

s re

quir

ed

by A

rtic

le 4

, par

agra

ph 2

(d)

; and

(c)

Ass

ist t

he C

onfe

renc

e of

the

Par

ties,

as

appr

opri

ate,

in th

e pr

epar

atio

n an

d im

plem

enta

tion

of it

s de

cisi

ons.

Art

icle

11

FIN

AN

CIA

L M

EC

HA

NIS

M

1.A

mec

hani

sm f

or th

e pr

ovis

ion

of f

inan

cial

res

ourc

es o

n a

gran

t or

conc

essi

onal

bas

is,

incl

udin

g fo

r th

e tr

ansf

er o

f te

chno

logy

, is

here

by d

efin

ed.

It s

hall

func

tion

unde

r th

e gu

idan

ce

of a

nd b

e ac

coun

tabl

e to

the

Con

fere

nce

of th

e Pa

rtie

s, w

hich

sha

ll de

cide

on

its p

olic

ies,

pr

ogra

mm

e pr

iori

ties

and

elig

ibili

ty c

rite

ria

rela

ted

to th

is C

onve

ntio

n. I

ts o

pera

tion

shal

l be

entr

uste

d to

one

or

mor

e ex

istin

g in

tern

atio

nal e

ntiti

es.

2.T

he f

inan

cial

mec

hani

sm s

hall

have

an

equi

tabl

e an

d ba

lanc

ed r

epre

sent

atio

n of

all

Part

ies

with

in a

tran

spar

ent s

yste

m o

f go

vern

ance

.

3.T

he C

onfe

renc

e of

the

Part

ies

and

the

entit

y or

ent

ities

ent

rust

ed w

ith th

e op

erat

ion

of th

efi

nanc

ial m

echa

nism

sha

ll ag

ree

upon

arr

ange

men

ts to

giv

e ef

fect

to th

e ab

ove

para

grap

hs,

whi

ch s

hall

incl

ude

the

follo

win

g:

(a)

Mod

aliti

es to

ens

ure

that

the

fund

ed p

roje

cts

to a

ddre

ss c

limat

e ch

ange

are

in

conf

orm

ity

with

the

polic

ies,

pro

gram

me

prio

ritie

s an

d el

igib

ility

cri

teri

a es

tabl

ishe

d by

the

Con

fere

nce

of th

e Pa

rtie

s;

(b)

Mod

aliti

es b

y w

hich

a p

artic

ular

fun

ding

dec

isio

n m

ay b

e re

cons

ider

ed in

ligh

t of

thes

e po

lici

es, p

rogr

amm

e pr

iori

ties

and

eli

gibi

lity

cri

teri

a;

- 15

-

(c)

Prov

isio

n by

the

entit

y or

ent

ities

of

regu

lar

repo

rts

to th

e C

onfe

renc

e of

the

Part

ies

on it

s fu

ndin

g op

erat

ions

, whi

ch is

con

sist

ent w

ith th

e re

quir

emen

t for

acc

ount

abili

ty s

et

out i

n pa

ragr

aph

1 ab

ove;

and

(d)

Det

erm

inat

ion

in a

pre

dict

able

and

iden

tifia

ble

man

ner

of th

e am

ount

of

fund

ing

nece

ssar

y an

d av

aila

ble

for

the

impl

emen

tatio

n of

this

Con

vent

ion

and

the

cond

ition

s un

der

whi

ch th

at a

mou

nt s

hall

be p

erio

dica

lly

revi

ewed

.

4.T

he C

onfe

renc

e of

the

Part

ies

shal

l mak

e ar

rang

emen

ts to

impl

emen

t the

abov

e-m

entio

ned

prov

isio

ns a

t its

fir

st s

essi

on, r

evie

win

g an

d ta

king

into

acc

ount

the

inte

rim

ar

rang

emen

ts r

efer

red

to in

Art

icle

21,

par

agra

ph 3

, and

sha

ll de

cide

whe

ther

thes

e in

teri

m

arra

ngem

ents

sha

ll be

mai

ntai

ned.

With

in f

our

year

s th

erea

fter

, the

Con

fere

nce

of th

e Pa

rtie

s sh

all r

evie

w th

e fi

nanc

ial m

echa

nism

and

take

app

ropr

iate

mea

sure

s.

5.T

he d

evel

oped

cou

ntry

Par

ties

may

als

o pr

ovid

e an

d de

velo

ping

cou

ntry

Par

ties

avai

lth

emse

lves

of,

fin

anci

al r

esou

rces

rel

ated

to th

e im

plem

enta

tion

of th

e C

onve

ntio

n th

roug

h bi

late

ral,

regi

onal

and

oth

er m

ultil

ater

al c

hann

els.

Art

icle

12

CO

MM

UN

ICA

TIO

N O

F I

NF

OR

MA

TIO

N R

EL

AT

ED

T

O I

MP

LE

ME

NT

AT

ION

1.In

acc

orda

nce

with

Art

icle

4, p

arag

raph

1, e

ach

Par

ty s

hall

com

mun

icat

e to

the

Con

fere

nce

of th

e P

artie

s, th

roug

h th

e se

cret

aria

t, th

e fo

llow

ing

elem

ents

of

info

rmat

ion:

(a)

A n

atio

nal i

nven

tory

of

anth

ropo

geni

c em

issi

ons

by s

ourc

es a

nd r

emov

als

by

sink

s of

all

gree

nhou

se g

ases

not

con

trol

led

by th

e M

ontr

eal P

roto

col,

to th

e ex

tent

its

capa

citie

s pe

rmit,

usi

ng c

ompa

rabl

e m

etho

dolo

gies

to b

e pr

omot

ed a

nd a

gree

d up

on b

y th

e C

onfe

renc

e of

th

e Pa

rtie

s;

(b)

A g

ener

al d

escr

iptio

n of

ste

ps ta

ken

or e

nvis

aged

by

the

Part

y to

impl

emen

t the

C

onve

ntio

n; a

nd

(c)

Any

oth

er in

form

atio

n th

at th

e Pa

rty

cons

ider

s re

leva

nt to

the

achi

evem

ent o

f th

e ob

ject

ive

of th

e C

onve

ntio

n an

d su

itabl

e fo

r in

clus

ion

in it

s co

mm

unic

atio

n, in

clud

ing,

if

feas

ible

, mat

eria

l rel

evan

t for

cal

cula

tions

of

glob

al e

mis

sion

tren

ds.

2.E

ach

deve

lope

d co

untr

y Pa

rty

and

each

oth

er P

arty

incl

uded

in A

nnex

I s

hall

inco

rpor

ate

in it

s co

mm

unic

atio

n th

e fo

llow

ing

elem

ents

of

info

rmat

ion:

(a)

A d

etai

led

desc

ript

ion

of th

e po

licie

s an

d m

easu

res

that

it h

as a

dopt

ed to

im

plem

ent i

ts c

omm

itmen

t und

er A

rtic

le 4

, par

agra

phs

2 (a

) an

d 2

(b);

and

(b)

A s

peci

fic

estim

ate

of th

e ef

fect

s th

at th

e po

licie

s an

d m

easu

res

refe

rred

to in

su

bpar

agra

ph (

a) im

med

iate

ly a

bove

will

hav

e on

ant

hrop

ogen

ic e

mis

sion

s by

its

sour

ces

and

rem

oval

s by

its

sink

s of

gre

enho

use

gase

s du

ring

the

peri

od r

efer

red

to in

Art

icle

4,

para

grap

h 2

(a).

- 16

-

3.In

add

ition

, eac

h de

velo

ped

coun

try

Part

y an

d ea

ch o

ther

dev

elop

ed P

arty

incl

uded

in A

nnex

II

shal

l inc

orpo

rate

det

ails

of

mea

sure

s ta

ken

in a

ccor

danc

e w

ith A

rtic

le 4

, pa

ragr

aphs

3, 4

and

5.

4.D

evel

opin

g co

untr

y Pa

rtie

s m

ay, o

n a

volu

ntar

y ba

sis,

pro

pose

pro

ject

s fo

r fi

nanc

ing,

incl

udin

g sp

ecif

ic te

chno

logi

es, m

ater

ials

, equ

ipm

ent,

tech

niqu

es o

r pr

actic

es th

at w

ould

be

need

ed to

impl

emen

t suc

h pr

ojec

ts, a

long

with

, if

poss

ible

, an

estim

ate

of a

ll in

crem

enta

l cos

ts,

of th

e re

duct

ions

of

emis

sion

s an

d in

crem

ents

of

rem

oval

s of

gre

enho

use

gase

s, a

s w

ell a

s an

es

timat

e of

the

cons

eque

nt b

enef

its.

5.E

ach

deve

lope

d co

untr

y Pa

rty

and

each

oth

er P

arty

incl

uded

in A

nnex

I s

hall

mak

e its

initi

al c

omm

unic

atio

n w

ithin

six

mon

ths

of th

e en

try

into

for

ce o

f th

e C

onve

ntio

n fo

r th

at P

arty

. E

ach

Part

y no

t so

liste

d sh

all m

ake

its in

itial

com

mun

icat

ion

with

in th

ree

year

s of

the

entr

y in

to

forc

e o f

the

Con

vent

ion

for

that

Par

ty, o

r of

the

avai

labi

lity

of f

inan

cial

res

ourc

es in

acc

orda

nce

with

Art

icle

4, p

arag

raph

3.

Part

ies

that

are

leas

t dev

elop

ed c

ount

ries

may

mak

e th

eir

initi

al

com

mun

icat

ion

at th

eir

disc

retio

n. T

he f

requ

ency

of

subs

eque

nt c

omm

unic

atio

ns b

y al

l Par

ties

shal

l be

dete

rmin

ed b

y th

e C

onfe

renc

e of

the

Part

ies,

taki

ng in

to a

ccou

nt th

e di

ffer

entia

ted

timet

able

set

by

this

par

agra

ph.

6.In

form

atio

n co

mm

unic

ated

by

Part

ies

unde

r th

is A

rtic

le s

hall

be tr

ansm

itted

by

the

secr

etar

iat a

s so

on a

s po

ssib

le to

the

Con

fere

nce

of th

e Pa

rtie

s an

d to

any

sub

sidi

ary

bodi

es

conc

erne

d. I

f ne

cess

ary,

the

proc

edur

es f

or th

e co

mm

unic

atio

n of

info

rmat

ion

may

be

furt

her

cons

ider

ed b

y th

e C

onfe

renc

e of

the

Par

ties.

7.Fr

om it

s fi

rst s

essi

on, t

he C

onfe

renc

e of

the

Part

ies

shal

l arr

ange

for

the

prov

isio

n to

deve

lopi

ng c

ount

ry P

arti

es o

f te

chni

cal a

nd f

inan

cial

sup

port

, on

requ

est,

in c

ompi

ling

and

com

mun

icat

ing

info

rmat

ion

unde

r th

is A

rtic

le, a

s w

ell a

s in

iden

tifyi

ng th

e te

chni

cal a

nd

fina

ncia

l nee

ds a

ssoc

iate

d w

ith p

ropo

sed

proj

ects

and

res

pons

e m

easu

res

unde

r A

rtic

le 4

. Su

ch

supp

ort m

ay b

e pr

ovid

ed b

y ot

her

Par

ties,

by

com

pete

nt in

tern

atio

nal o

rgan

izat

ions

and

by

the

secr

etar

iat,

as a

ppro

pria

te.

8.A

ny g

roup

of

Part

ies

may

, sub

ject

to g

uide

lines

ado

pted

by

the

Con

fere

nce

of th

e Pa

rtie

s,an

d to

pri

or n

otif

icat

ion

to th

e C

onfe

renc

e of

the

Part

ies,

mak

e a

join

t com

mun

icat

ion

in

fulf

ilmen

t of

thei

r ob

ligat

ions

und

er th

is A

rtic

le, p

rovi

ded

that

suc

h a

com

mun

icat

ion

incl

udes

in

form

atio

n on

the

fulf

ilmen

t by

each

of

thes

e Pa

rtie

s of

its

indi

vidu

al o

blig

atio

ns u

nder

the

Con

vent

ion.

9.In

form

atio

n re

ceiv

ed b

y th

e se

cret

aria

t tha

t is

desi

gnat

ed b

y a

Par

ty a

s co

nfid

entia

l, in

acco

rdan

ce w

ith c

rite

ria

to b

e es

tabl

ishe

d by

the

Con

fere

nce

of th

e P

artie

s, s

hall

be a

ggre

gate

d by

the

secr

etar

iat t

o pr

otec

t its

con

fide

ntia

lity

befo

re b

eing

mad

e av

aila

ble

to a

ny o

f th

e bo

dies

in

volv

ed in

the

com

mun

icat

ion

and

revi

ew o

f in

form

atio

n.

10.

Subj

ect t

o pa

ragr

aph

9 ab

ove,

and

with

out p

reju

dice

to th

e ab

ility

of

any

Part

y to

mak

epu

blic

its

com

mun

icat

ion

at a

ny ti

me,

the

secr

etar

iat s

hall

mak

e co

mm

unic

atio

ns b

y Pa

rtie

s un

der

this

Art

icle

pub

licly

ava

ilabl

e at

the

time

they

are

sub

mitt

ed to

the

Con

fere

nce

of th

e Pa

rtie

s.

- 17

-

Art

icle

13

RE

SOL

UT

ION

OF

QU

EST

ION

S R

EG

AR

DIN

G I

MP

LE

ME

NT

AT

ION

The

Con

fere

nce

of th

e Pa

rtie

s sh

all,

at it

s fi

rst s

essi

on, c

onsi

der

the

esta

blis

hmen

t of

a m

ultil

ater

al c

onsu

ltativ

e pr

oces

s, a

vaila

ble

to P

arti

es o

n th

eir

requ

est,

for

the

reso

lutio

n of

qu

estio

ns r

egar

ding

the

impl

emen

tatio

n of

the

Con

vent

ion.

Art

icle

14

SET

TL

EM

EN

T O

F D

ISP

UT

ES

1.In

the

even

t of

a di

sput

e be

twee

n an

y tw

o or

mor

e Pa

rtie

s co

ncer

ning

the

inte

rpre

tatio

n o r

appl

icat

ion

of th

e C

onve

ntio

n, th

e Pa

rtie

s co

ncer

ned

shal

l see

k a

settl

emen

t of

the

disp

ute

thro

ugh

nego

tiatio

n or

any

oth

er p

eace

ful m

eans

of

thei

r ow

n ch

oice

.

2.W

hen

ratif

ying

, acc

eptin

g, a

ppro

ving

or

acce

ding

to th

e C

onve

ntio

n, o

r at

any

tim

eth

erea

fter

, a P

arty

whi

ch is

not

a r

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion

may

dec

lare

in a

w

ritte

n in

stru

men

t sub

mitt

ed to

the

Dep

osita

ry th

at, i

n re

spec

t of

any

disp

ute

conc

erni

ng th

e in

terp

reta

tion

or a

pplic

atio

n of

the

Con

vent

ion,

it r

ecog

nize

s as

com

puls

ory

ipso

fac

to a

nd

with

out s

peci

al a

gree

men

t, in

rel

atio

n to

any

Par

ty a

ccep

ting

the

sam

e ob

ligat

ion:

(a)

Subm

issi

on o

f th

e di

sput

e to

the

Inte

rnat

iona

l Cou

rt o

f Ju

stic

e; a

nd/o

r

(b)

Arb

itrat

ion

in a

ccor

danc

e w

ith p

roce

dure

s to

be

adop

ted

by th

e C

onfe

renc

e of

the

Part

ies

as s

oon

as p

ract

icab

le, i

n an

ann

ex o

n ar

bitr

atio

n.

A P

arty

whi

ch is

a r

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion

may

mak

e a

decl

arat

ion

wit

h li

ke

effe

ct in

rel

atio

n to

arb

itrat

ion

in a

ccor

danc

e w

ith th

e pr

oced

ures

ref

erre

d to

in s

ubpa

ragr

aph

(b)

abov

e.

3.A

dec

lara

tion

mad

e un

der

para

grap

h 2

abov

e sh

all r

emai

n in

for

ce u

ntil

it ex

pire

s in

acco

rdan

ce w

ith it

s te

rms

or u

ntil

thre

e m

onth

s af

ter

wri

tten

notic

e of

its

revo

catio

n ha

s be

en

depo

site

d w

ith th

e D

epos

itary

.

4.A

new

dec

lara

tion,

a n

otic

e of

rev

ocat

ion

or th

e ex

piry

of

a de

clar

atio

n sh

all n

ot in

any

way

aff

ect p

roce

edin

gs p

endi

ng b

efor

e th

e In

tern

atio

nal C

ourt

of

Just

ice

or th

e ar

bitr

al tr

ibun

al,

unle

ss th

e pa

rtie

s to

the

disp

ute

othe

rwis

e ag

ree.

5.Su

bjec

t to

the

oper

atio

n of

par

agra

ph 2

abo

ve, i

f af

ter

twel

ve m

onth

s fo

llow

ing

notif

icat

ion

by o

ne P

arty

to a

noth

er th

at a

dis

pute

exi

sts

betw

een

them

, the

Par

ties

conc

erne

d ha

ve n

ot b

een

able

to s

ettl

e th

eir

disp

ute

thro

ugh

the

mea

ns m

entio

ned

in p

arag

raph

1 a

bove

, the

di

sput

e sh

all b

e su

bmitt

ed, a

t the

req

uest

of

any

of th

e pa

rtie

s to

the

disp

ute,

to c

onci

liatio

n.

6.A

con

cilia

tion

com

mis

sion

sha

ll be

cre

ated

upo

n th

e re

ques

t of

one

of th

e pa

rtie

s to

the

disp

ute.

The

com

mis

sion

sha

ll be

com

pose

d of

an

equa

l num

ber

of m

embe

rs a

ppoi

nted

by

each

pa

rty

conc

erne

d an

d a

chai

rman

cho

sen

join

tly

by th

e m

embe

rs a

ppoi

nted

by

each

par

ty.

The

co

mm

issi

on s

hall

rend

er a

rec

omm

enda

tory

aw

ard,

whi

ch th

e pa

rtie

s sh

all c

onsi

der

in g

ood

faith

.

- 18

-

7.A

dditi

onal

pro

cedu

res

rela

ting

to c

onci

liatio

n sh

all b

e ad

opte

d by

the

Con

fere

nce

of th

ePa

rtie

s, a

s so

on a

s pr

actic

able

, in

an a

nnex

on

conc

iliat

ion.

8.T

he p

rovi

sion

s of

this

Art

icle

sha

ll ap

ply

to a

ny r

elat

ed le

gal i

nstr

umen

t whi

ch th

eC

onfe

renc

e of

the

Part

ies

may

ado

pt, u

nles

s th

e in

stru

men

t pro

vide

s ot

herw

ise.

Art

icle

15

AM

EN

DM

EN

TS

TO

TH

E C

ON

VE

NT

ION

1.A

ny P

arty

may

pro

pose

am

endm

ents

to th

e C

onve

ntio

n.

2.A

men

dmen

ts to

the

Con

vent

ion

shal

l be

adop

ted

at a

n or

dina

ry s

essi

on o

f th

e C

onfe

renc

eof

the

Part

ies.

The

text

of

any

prop

osed

am

endm

ent t

o th

e C

onve

ntio

n sh

all b

e co

mm

unic

ated

to

the

Part

ies

by th

e se

cret

aria

t at l

east

six

mon

ths

befo

re th

e m

eetin

g at

whi

ch it

is p

ropo

sed

for

adop

tion.

The

sec

reta

riat

sha

ll al

so c

omm

unic

ate

prop

osed

am

endm

ents

to th

e si

gnat

orie

s to

the

Con

vent

ion

and,

for

info

rmat

ion,

to th

e D

epos

itary

.

3.T

he P

artie

s sh

all m

ake

ever

y ef

fort

to r

each

agr

eem

ent o

n an

y pr

opos

ed a

men

dmen

t to

the

Con

vent

ion

by c

onse

nsus

. If

all

effo

rts

at c

onse

nsus

hav

e be

en e

xhau

sted

, and

no

agre

emen

t re

ache

d, th

e am

endm

ent s

hall

as a

last

res

ort b

e ad

opte

d by

a th

ree-

four

ths

maj

orit

y vo

te o

f th

e P

artie

s pr

esen

t and

vot

ing

at th

e m

eetin

g. T

he a

dopt

ed a

men

dmen

t sha

ll be

com

mun

icat

ed b

y th

e se

cret

aria

t to

the

Dep

osit

ary,

who

sha

ll c

ircu

late

it to

all

Part

ies

for

thei

r ac

cept

ance

.

4.In

stru

men

ts o

f ac

cept

ance

in r

espe

ct o

f an

am

endm

ent s

hall

be d

epos

ited

with

the

Dep

osita

ry.

An

amen

dmen

t ado

pted

in a

ccor

danc

e w

ith p

arag

raph

3 a

bove

sha

ll en

ter

into

fo

rce

for

thos

e P

artie

s ha

ving

acc

epte

d it

on th

e ni

netie

th d

ay a

fter

the

date

of

rece

ipt b

y th

e D

epos

itary

of

an in

stru

men

t of

acce

ptan

ce b

y at

leas

t thr

ee f

ourt

hs o

f th

e Pa

rtie

s to

the

Con

vent

ion.

5.T

he a

men

dmen

t sha

ll en

ter

into

for

ce f

or a

ny o

ther

Par

ty o

n th

e ni

netie

th d

ay a

fter

the

date

on

whi

ch th

at P

arty

dep

osits

with

the

Dep

osita

ry it

s in

stru

men

t of

acce

ptan

ce o

f th

e sa

id

amen

dmen

t.

6.Fo

r th

e pu

rpos

es o

f th

is A

rtic

le, “

Part

ies

pres

ent a

nd v

otin

g” m

eans

Par

ties

pres

ent a

ndca

stin

g an

aff

irm

ativ

e or

neg

ativ

e vo

te.

Art

icle

16

AD

OP

TIO

N A

ND

AM

EN

DM

EN

T O

F A

NN

EX

ES

TO

TH

E C

ON

VE

NT

ION

1.A

nnex

es to

the

Con

vent

ion

shal

l for

m a

n in

tegr

al p

art t

here

of a

nd, u

nles

s ot

herw

ise

expr

essl

y pr

ovid

ed,

a re

fere

nce

to th

e C

onve

ntio

n co

nstit

utes

at t

he s

ame

time

a re

fere

nce

to a

ny

anne

xes

ther

eto.

With

out p

reju

dice

to th

e pr

ovis

ions

of

Art

icle

14,

par

agra

phs

2 (b

) an

d 7,

suc

h an

nexe

s sh

all b

e re

stri

cted

to li

sts,

for

ms

and

any

othe

r m

ater

ial o

f a

desc

ript

ive

natu

re th

at is

of

a sc

ient

ific

, tec

hnic

al, p

roce

dura

l or

adm

inis

trat

ive

char

acte

r.

- 19

-

2.A

nnex

es to

the

Con

vent

ion

shal

l be

prop

osed

and

ado

pted

in a

ccor

danc

e w

ith

the

proc

edur

e se

t for

th in

Art

icle

15,

par

agra

phs

2, 3

and

4.

3.A

n an

nex

that

has

bee

n ad

opte

d in

acc

orda

nce

with

par

agra

ph 2

abo

ve s

hall

ent

er in

tofo

rce

for

all P

artie

s to

the

Con

vent

ion

six

mon

ths

afte

r th

e da

te o

f th

e co

mm

unic

atio

n by

the

Dep

osita

ry to

suc

h Pa

rtie

s of

the

adop

tion

of th

e an

nex,

exc

ept f

or th

ose

Part

ies

that

hav

e no

tifie

d th

e D

epos

itary

, in

wri

ting,

with

in th

at p

erio

d of

thei

r no

n-ac

cept

ance

of

the

anne

x. T

he

anne

x sh

all e

nter

into

for

ce f

or P

artie

s w

hich

with

draw

thei

r no

tific

atio

n of

non

-acc

epta

nce

on

the

nine

tieth

day

aft

er th

e da

te o

n w

hich

with

draw

al o

f su

ch n

otif

icat

ion

has

been

rec

eive

d by

the

Dep

osita

ry.

4.T

he p

ropo

sal,

adop

tion

and

entr

y in

to f

orce

of

amen

dmen

ts to

ann

exes

to th

e C

onve

ntio

nsh

all b

e su

bjec

t to

the

sam

e pr

oced

ure

as th

at f

or th

e pr

opos

al, a

dopt

ion

and

entr

y in

to f

orce

of

anne

xes

to th

e C

onve

ntio

n in

acc

orda

nce

with

par

agra

phs

2 an

d 3

abov

e.

5.If

the

adop

tion

of a

n an

nex

or a

n am

endm

ent t

o an

ann

ex in

volv

es a

n am

endm

ent t

o th

eC

onve

ntio

n, th

at a

nnex

or

amen

dmen

t to

an a

nnex

sha

ll no

t ent

er in

to f

orce

unt

il su

ch ti

me

as th

e am

endm

ent t

o th

e C

onve

ntio

n en

ters

into

for

ce.

Art

icle

17

PR

OT

OC

OL

S

1.T

he C

onfe

renc

e of

the

Part

ies

may

, at a

ny o

rdin

ary

sess

ion,

ado

pt p

roto

cols

to th

eC

onve

ntio

n.

2.T

he te

xt o

f an

y pr

opos

ed p

roto

col s

hall

be c

omm

unic

ated

to th

e Pa

rtie

s by

the

secr

etar

iat

at le

ast s

ix m

onth

s be

fore

suc

h a

sess

ion.

3.T

he r

equi

rem

ents

for

the

entr

y in

to f

orce

of

any

prot

ocol

sha

ll be

est

ablis

hed

by th

atin

stru

men

t.

4.O

nly

Part

ies

to th

e C

onve

ntio

n m

ay b

e Pa

rtie

s to

a p

roto

col.

5.D

ecis

ions

und

er a

ny p

roto

col s

hall

be ta

ken

only

by

the

Part

ies

to th

e pr

otoc

ol c

once

rned

.

Art

icle

18

RIG

HT

TO

VO

TE

1.E

ach

Part

y to

the

Con

vent

ion

shal

l hav

e on

e vo

te, e

xcep

t as

prov

ided

for

in p

arag

raph

2be

low

.

2.R

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion

s, in

mat

ters

wit

hin

thei

r co

mpe

tenc

e, s

hall

exer

cise

thei

r ri

ght t

o vo

te w

ith a

num

ber

of v

otes

equ

al to

the

num

ber

of th

eir

mem

ber

Stat

es

that

are

Par

ties

to th

e C

onve

ntio

n. S

uch

an o

rgan

izat

ion

shal

l not

exe

rcis

e its

rig

ht to

vot

e if

any

of

its

mem

ber

Sta

tes

exer

cise

s its

rig

ht, a

nd v

ice

vers

a.

- 20

-

Art

icle

19

DE

PO

SIT

AR

Y

The

Sec

reta

ry-G

ener

al o

f th

e U

nite

d N

atio

ns s

hall

be th

e D

epos

itary

of

the

Con

vent

ion

and

of p

roto

cols

ado

pted

in a

ccor

danc

e w

ith A

rtic

le 1

7.

Art

icle

20

SIG

NA

TU

RE

Thi

s C

onve

ntio

n sh

all b

e op

en f

or s

igna

ture

by

Stat

es M

embe

rs o

f th

e U

nite

d N

atio

ns o

r of

any

of

its s

peci

aliz

ed a

genc

ies

or th

at a

re P

artie

s to

the

Sta

tute

of

the

Inte

rnat

iona

l Cou

rt o

f Ju

stic

e an

d by

reg

iona

l eco

nom

ic in

tegr

atio

n or

gani

zatio

ns a

t Rio

de

Jane

iro,

dur

ing

the

Uni

ted

Nat

ions

Con

fere

nce

on E

nvir

onm

ent a

nd D

evel

opm

ent,

and

ther

eaft

er a

t Uni

ted

Nat

ions

H

eadq

uart

ers

in N

ew Y

ork

from

20

June

199

2 to

19

June

199

3.

Art

icle

21

INT

ER

IM A

RR

AN

GE

ME

NT

S

1.T

he s

ecre

tari

at f

unct

ions

ref

erre

d to

in A

rtic

le 8

will

be

carr

ied

out o

n an

inte

rim

basi

s by

the

secr

etar

iat e

stab

lishe

d by

the

Gen

eral

Ass

embl

y of

the

Uni

ted

Nat

ions

in it

s re

solu

tion

45/2

12 o

f 21

Dec

embe

r 19

90, u

ntil

the

com

plet

ion

of th

e fi

rst s

essi

on o

f th

e C

onfe

renc

e of

the

Part

ies.

2.T

he h

ead

of th

e in

teri

m s

ecre

tari

at r

efer

red

to in

par

agra

ph 1

abo

ve w

ill c

oope

rate

clo

sely

with

the

Inte

rgov

ernm

enta

l Pan

el o

n C

limat

e C

hang

e to

ens

ure

that

the

Pane

l can

res

pond

to th

e ne

ed f

or o

bjec

tive

scie

ntif

ic a

nd te

chni

cal a

dvic

e. O

ther

rel

evan

t sci

entif

ic b

odie

s co

uld

also

be

cons

ulte

d.

3.T

he G

loba

l Env

iron

men

t Fac

ility

of

the

Uni

ted

Nat

ions

Dev

elop

men

t Pro

gram

me,

the

Uni

ted

Nat

ions

Env

iron

men

t Pro

gram

me

and

the

Inte

rnat

iona

l Ban

k fo

r R

econ

stru

ctio

n an

d D

evel

opm

ent s

hall

be th

e in

tern

atio

nal e

ntit

y en

trus

ted

with

the

oper

atio

n of

the

fina

ncia

l m

echa

nism

ref

erre

d to

in A

rtic

le 1

1 on

an

inte

rim

bas

is.

In th

is c

onne

ctio

n, th

e G

loba

l E

nvir

onm

ent F

acili

ty s

houl

d be

app

ropr

iate

ly r

estr

uctu

red

and

its m

embe

rshi

p m

ade

univ

ersa

l to

enab

le it

to f

ulfi

l the

req

uire

men

ts o

f A

rtic

le 1

1.

Art

icle

22

RA

TIF

ICA

TIO

N, A

CC

EP

TA

NC

E, A

PP

RO

VA

L O

R A

CC

ESS

ION

1.T

he C

onve

ntio

n sh

all b

e su

bjec

t to

ratif

icat

ion,

acc

epta

nce,

app

rova

l or

acce

ssio

n by

Stat

es a

nd b

y re

gion

al e

cono

mic

inte

grat

ion

orga

niza

tions

. It

sha

ll be

ope

n fo

r ac

cess

ion

from

th

e da

y af

ter

the

date

on

whi

ch th

e C

onve

ntio

n is

clo

sed

for

sign

atur

e. I

nstr

umen

ts o

f ra

tific

atio

n, a

ccep

tanc

e, a

ppro

val o

r ac

cess

ion

shal

l be

depo

site

d w

ith th

e D

epos

itary

.

- 21

-

2.A

ny r

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion

whi

ch b

ecom

es a

Par

ty to

the

Con

vent

ion

with

out a

ny o

f its

mem

ber

Stat

es b

eing

a P

arty

sha

ll be

bou

nd b

y al

l the

obl

igat

ions

un

der

the

Con

vent

ion.

In

the

case

of

such

org

aniz

atio

ns, o

ne o

r m

ore

of w

hose

mem

ber

Stat

es is

a

Part

y to

the

Con

vent

ion,

the

orga

niza

tion

and

its m

embe

r St

ates

sha

ll de

cide

on

thei

r re

spec

tive

resp

onsi

bilit

ies

for

the

perf

orm

ance

of

thei

r ob

liga

tions

und

er th

e C

onve

ntio

n. I

n su

ch c

ases

, the

or

gani

zatio

n an

d th

e m

embe

r St

ates

sha

ll no

t be

entit

led

to e

xerc

ise

righ

ts u

nder

the

Con

vent

ion

conc

urre

ntly

.

3.In

thei

r in

stru

men

ts o

f ra

tifi

catio

n, a

ccep

tanc

e, a

ppro

val o

r ac

cess

ion,

reg

iona

l eco

nom

icin

tegr

atio

n or

gani

zati

ons

shal

l dec

lare

the

exte

nt o

f th

eir

com

pete

nce

wit

h re

spec

t to

the

mat

ters

go

vern

ed b

y th

e C

onve

ntio

n. T

hese

org

aniz

atio

ns s

hall

also

info

rm th

e D

epos

itary

, who

sha

ll in

tu

rn in

form

the

Part

ies,

of

any

subs

tant

ial m

odif

icat

ion

in th

e ex

tent

of

thei

r co

mpe

tenc

e.

Art

icle

23

EN

TR

Y I

NT

O F

OR

CE

1.T

he C

onve

ntio

n sh

all e

nter

into

for

ce o

n th

e ni

neti

eth

day

afte

r th

e da

te o

f de

posi

t of

the

fift

ieth

inst

rum

ent o

f ra

tific

atio

n, a

ccep

tanc

e, a

ppro

val o

r ac

cess

ion.

2.Fo

r ea

ch S

tate

or

regi

onal

eco

nom

ic in

tegr

atio

n or

gani

zatio

n th

at r

atif

ies,

acc

epts

or

appr

oves

the

Con

vent

ion

or a

cced

es th

eret

o af

ter

the

depo

sit o

f th

e fi

ftie

th in

stru

men

t of

ratif

icat

ion,

acc

epta

nce,

app

rova

l or

acce

ssio

n, th

e C

onve

ntio

n sh

all e

nter

into

for

ce o

n th

e ni

netie

th d

ay a

fter

the

date

of

depo

sit b

y su

ch S

tate

or

regi

onal

eco

nom

ic in

tegr

atio

n or

gani

zatio

n of

its

inst

rum

ent o

f ra

tific

atio

n, a

ccep

tanc

e, a

ppro

val o

r ac

cess

ion.

3.Fo

r th

e pu

rpos

es o

f pa

ragr

aphs

1 a

nd 2

abo

ve, a

ny in

stru

men

t dep

osite

d by

a r

egio

nal

econ

omic

inte

grat

ion

orga

niza

tion

shal

l not

be

coun

ted

as a

dditi

onal

to th

ose

depo

site

d by

Sta

tes

mem

bers

of

the

orga

niza

tion.

Art

icle

24

RE

SER

VA

TIO

NS

No

rese

rvat

ions

may

be

mad

e to

the

Con

vent

ion.

Art

icle

25

WIT

HD

RA

WA

L

1.A

t any

tim

e af

ter

thre

e ye

ars

from

the

date

on

whi

ch th

e C

onve

ntio

n ha

s en

tere

d in

tofo

rce

for

a Pa

rty,

that

Par

ty m

ay w

ithdr

aw f

rom

the

Con

vent

ion

by g

ivin

g w

ritte

n no

tific

atio

n to

th

e D

epos

itary

.

2.A

ny s

uch

with

draw

al s

hall

take

eff

ect u

pon

expi

ry o

f on

e ye

ar f

rom

the

date

of

rece

ipt b

yth

e D

epos

itary

of

the

noti

fica

tion

of w

ithdr

awal

, or

on s

uch

late

r da

te a

s m

ay b

e sp

ecif

ied

in th

e no

tific

atio

n of

with

draw

al.

3.A

ny P

arty

that

with

draw

s fr

om th

e C

onve

ntio

n sh

all b

e co

nsid

ered

as

also

hav

ing

with

draw

n fr

om a

ny p

roto

col t

o w

hich

it is

a P

arty

.

- 22

-

Art

icle

26

AU

TH

EN

TIC

TE

XT

S

The

ori

gina

l of

this

Con

vent

ion,

of

whi

ch th

e A

rabi

c, C

hine

se, E

nglis

h, F

renc

h, R

ussi

an

and

Span

ish

text

s ar

e eq

uall

y au

then

tic, s

hall

be d

epos

ited

with

the

Secr

etar

y-G

ener

al o

f th

e U

nite

d N

atio

ns.

IN W

ITN

ESS

WH

ER

EO

F th

e un

ders

igne

d, b

eing

dul

y au

thor

ized

to th

at e

ffec

t, ha

ve

sign

ed th

is C

onve

ntio

n.

DO

NE

at N

ew Y

ork

this

nin

th d

ay o

f M

ay o

ne th

ousa

nd n

ine

hund

red

and

nine

ty-t

wo.

- 23

-

Ann

ex I

Aus

tral

ia

Aus

tria

Bel

arus

a

Bel

gium

B

ulga

riaa

Can

ada

Cro

atia

a*

Cze

ch R

epub

lica

*D

enm

ark

Eur

opea

n E

cono

mic

Com

mun

ity

Est

onia

a

Finl

and

Fran

ce

Ger

man

y G

reec

e H

unga

rya

Icel

and

Irel

and

Ital

y Ja

pan

Lat

viaa

Lie

chte

nste

in*

Lith

uani

aa

Lux

embo

urg

Mon

aco*

Net

herl

ands

N

ew Z

eala

nd

Nor

way

Po

land

a

Port

ugal

R

oman

iaa

Rus

sian

Fed

erat

iona

Slov

akia

a*

Slov

enia

a*

Spai

n S

wed

en

Swit

zerl

and

Tur

key

Ukr

aine

a

Uni

ted

Kin

gdom

of

Gre

at B

rita

in a

nd N

orth

ern

Irel

and

Uni

ted

Stat

es o

f A

mer

ica

a Cou

ntri

es th

at a

re u

nder

goin

g th

e pr

oces

s of

tran

sitio

n to

a m

arke

t eco

nom

y.

*P

ubli

sher

’s n

ote:

Cou

ntri

es a

dded

to A

nnex

I b

y an

am

endm

ent t

hat e

nter

ed in

to f

orce

on 1

3 A

ugus

t 199

8, p

ursu

ant t

o de

cisi

on 4

/CP.

3 ad

opte

d at

CO

P.3.

- 24

-

Ann

ex I

I

Aus

tral

iaA

ustr

iaB

elgi

um

Can

ada

Den

mar

kE

urop

ean

Eco

nom

ic C

omm

unit

y Fi

nlan

d Fr

ance

G

erm

any

Gre

ece

Icel

and

Irel

and

Ital

y Ja

pan

Lux

embo

urg

Net

herl

ands

N

ew Z

eala

nd

Nor

way

Po

rtug

al

Spai

n S

wed

en

Swit

zerl

and

Uni

ted

Kin

gdom

of

Gre

at B

rita

in a

nd N

orth

ern

Irel

and

Uni

ted

Stat

es o

f A

mer

ica

Pub

lish

er’s

not

e: T

urke

y w

as d

elet

ed f

rom

Ann

ex I

I by

an

amen

dmen

t tha

t ent

ered

into

for

ce

28 J

une

2002

, pur

suan

t to

deci

sion

26/

CP.

7 ad

opte

d at

CO

P.7.

- -

- -

-

Kyoto Protocol to the United Nations Framework Convention on Climate Change, 1997

UNTS, vol. 2303, p. 214

KY

OT

O P

RO

TO

CO

L T

O T

HE

UN

ITE

D N

AT

ION

S F

RA

ME

WO

RK

C

ON

VE

NT

ION

ON

CL

IMA

TE

CH

AN

GE

UN

ITE

D N

AT

ION

S

1998

KY

OT

O P

RO

TO

CO

L T

O T

HE

UN

ITE

D N

AT

ION

S F

RA

ME

WO

RK

C

ON

VE

NT

ION

ON

CL

IMA

TE

CH

AN

GE

The

Par

ties

to th

is P

roto

col,

B

eing

Par

ties

to th

e U

nite

d N

atio

ns F

ram

ewor

k C

onve

ntio

n on

Clim

ate

Cha

nge,

he

rein

afte

r re

ferr

ed to

as

“the

Con

vent

ion”

,

In

pur

suit

of

the

ultim

ate

obje

ctiv

e of

the

Con

vent

ion

as s

tate

d in

its

Art

icle

2,

R

ecal

ling

the

prov

isio

ns o

f th

e C

onve

ntio

n,

Bei

ng g

uide

d by

Art

icle

3 o

f th

e C

onve

ntio

n,

P

ursu

ant t

o th

e B

erlin

Man

date

ado

pted

by

deci

sion

1/C

P.1

of th

e C

onfe

renc

e of

the

Part

ies

to th

e C

onve

ntio

n at

its

firs

t ses

sion

,

Hav

e ag

reed

as

follo

ws:

Art

icle

1

For

the

purp

oses

of

this

Pro

toco

l, th

e de

fini

tions

con

tain

ed in

Art

icle

1 o

f th

e C

onve

ntio

n sh

all a

pply

. In

add

ition

:

1.“C

onfe

renc

e of

the

Part

ies”

mea

ns th

e C

onfe

renc

e of

the

Part

ies

to th

e C

onve

ntio

n.

2.“C

onve

ntio

n” m

eans

the

Uni

ted

Nat

ions

Fra

mew

ork

Con

vent

ion

on C

limat

e C

hang

e,ad

opte

d in

New

Yor

k on

9 M

ay 1

992.

3.“I

nter

gove

rnm

enta

l Pan

el o

n C

lim

ate

Cha

nge”

mea

ns th

e In

terg

over

nmen

tal P

anel

on

Clim

ate

Cha

nge

esta

blis

hed

in 1

988

join

tly

by th

e W

orld

Met

eoro

logi

cal O

rgan

izat

ion

and

the

Uni

ted

Nat

ions

Env

iron

men

t Pro

gram

me.

4.“M

ontr

eal

Prot

ocol

” m

eans

the

Mon

trea

l Pr

otoc

ol o

n Su

bsta

nces

tha

t D

eple

te t

he O

zone

Lay

er, a

dopt

ed in

Mon

trea

l on

16 S

epte

mbe

r 19

87 a

nd a

s su

bseq

uent

ly a

djus

ted

and

amen

ded.

5.“P

artie

s pr

esen

t and

vot

ing”

mea

ns P

artie

s pr

esen

t and

cas

ting

an a

ffir

mat

ive

or n

egat

ive

vote

.

6.“P

arty

” m

eans

, unl

ess

the

cont

ext o

ther

wis

e in

dica

tes,

a P

arty

to th

is P

roto

col.

7.“P

arty

incl

uded

in A

nnex

I”

mea

ns a

Par

ty in

clud

ed in

Ann

ex I

to th

e C

onve

ntio

n, a

sm

ay b

e am

ende

d, o

r a

Part

y w

hich

has

mad

e a

noti

fica

tion

unde

r A

rtic

le 4

, par

agra

ph 2

(g)

, of

the

Con

vent

ion.

Art

icle

2

1.E

ach

Part

y in

clud

ed in

Ann

ex I

, in

achi

evin

g its

qua

ntif

ied

emis

sion

lim

itatio

n an

dre

duct

ion

com

mitm

ents

und

er A

rtic

le 3

, in

orde

r to

pro

mot

e su

stai

nabl

e de

velo

pmen

t, sh

all:

- 2

-

(a

) Im

plem

ent a

nd/o

r fu

rthe

r el

abor

ate

polic

ies

and

mea

sure

s in

acc

orda

nce

wit

h its

na

tiona

l cir

cum

stan

ces,

suc

h as

:

(i)

Enh

ance

men

t of

ener

gy e

ffic

ienc

y in

rel

evan

t sec

tors

of

the

natio

nal

econ

omy;

(ii)

Pr

otec

tion

and

enha

ncem

ent o

f si

nks

and

rese

rvoi

rs o

f gr

eenh

ouse

gas

es n

ot

cont

rolle

d by

the

Mon

trea

l Pro

toco

l, ta

king

into

acc

ount

its

com

mitm

ents

un

der

rele

vant

inte

rnat

iona

l env

iron

men

tal a

gree

men

ts; p

rom

otio

n of

su

stai

nabl

e fo

rest

man

agem

ent p

ract

ices

, aff

ores

tatio

n an

d re

fore

stat

ion;

(iii)

Pr

omot

ion

of s

usta

inab

le f

orm

s of

agr

icul

ture

in li

ght o

f cl

imat

e ch

ange

co

nsid

erat

ions

;

(iv)

R

esea

rch

on, a

nd p

rom

otio

n, d

evel

opm

ent a

nd in

crea

sed

use

of, n

ew a

nd

rene

wab

le f

orm

s of

ene

rgy,

of

carb

on d

ioxi

de s

eque

stra

tion

tech

nolo

gies

an

d of

adv

ance

d an

d in

nova

tive

envi

ronm

enta

lly

soun

d te

chno

logi

es;

(v)

Prog

ress

ive

redu

ctio

n or

pha

sing

out

of

mar

ket i

mpe

rfec

tions

, fis

cal

ince

ntiv

es, t

ax a

nd d

uty

exem

ptio

ns a

nd s

ubsi

dies

in a

ll gr

eenh

ouse

gas

em

ittin

g se

ctor

s th

at r

un c

ount

er to

the

obje

ctiv

e of

the

Con

vent

ion

and

appl

icat

ion

of m

arke

t ins

trum

ents

;

(vi)

E

ncou

rage

men

t of

appr

opri

ate

refo

rms

in r

elev

ant s

ecto

rs a

imed

at

prom

otin

g po

licie

s an

d m

easu

res

whi

ch li

mit

or r

educ

e em

issi

ons

of

gree

nhou

se g

ases

not

con

trol

led

by th

e M

ontr

eal P

roto

col;

(vii)

M

easu

res

to li

mit

and/

or r

educ

e em

issi

ons

of g

reen

hous

e ga

ses

not

cont

rolle

d by

the

Mon

trea

l Pro

toco

l in

the

tran

spor

t sec

tor;

(viii

) L

imita

tion

and/

or r

educ

tion

of m

etha

ne e

mis

sion

s th

roug

h re

cove

ry a

nd

use

in w

aste

man

agem

ent,

as w

ell a

s in

the

prod

uctio

n, tr

ansp

ort a

nd

dist

ribu

tion

of e

nerg

y;

(b)

Coo

pera

te w

ith o

ther

suc

h Pa

rtie

s to

enh

ance

the

indi

vidu

al a

nd c

ombi

ned

effe

ctiv

enes

s of

thei

r po

licie

s an

d m

easu

res

adop

ted

unde

r th

is A

rtic

le, p

ursu

ant t

o A

rtic

le 4

, pa

ragr

aph

2 (e

) (i

), o

f th

e C

onve

ntio

n. T

o th

is e

nd, t

hese

Par

ties

shal

l tak

e st

eps

to s

hare

thei

r ex

peri

ence

and

exc

hang

e in

form

atio

n on

suc

h po

licie

s an

d m

easu

res,

incl

udin

g de

velo

ping

w

ays

of im

prov

ing

thei

r co

mpa

rabi

lity,

tran

spar

ency

and

eff

ectiv

enes

s. T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col s

hall,

at i

ts f

irst

ses

sion

or

as s

oon

as p

ract

icab

le th

erea

fter

, con

side

r w

ays

to f

acili

tate

suc

h co

oper

atio

n, ta

king

into

acc

ount

all

rele

vant

info

rmat

ion.

2.T

he P

artie

s in

clud

ed in

Ann

ex I

sha

ll pu

rsue

lim

itatio

n or

red

uctio

n of

em

issi

ons

ofgr

eenh

ouse

gas

es n

ot c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l fro

m a

viat

ion

and

mar

ine

bunk

er f

uels

, w

orki

ng th

roug

h th

e In

tern

atio

nal C

ivil

Avi

atio

n O

rgan

izat

ion

and

the

Inte

rnat

iona

l Mar

itim

e O

rgan

izat

ion,

res

pect

ivel

y.

- 3

-

3.T

he P

artie

s in

clud

ed in

Ann

ex I

sha

ll st

rive

to im

plem

ent p

olic

ies

and

mea

sure

s un

der

this

Art

icle

in s

uch

a w

ay a

s to

min

imiz

e ad

vers

e ef

fect

s, in

clud

ing

the

adve

rse

effe

cts

of c

limat

e ch

ange

, eff

ects

on

inte

rnat

iona

l tra

de, a

nd s

ocia

l, en

viro

nmen

tal a

nd e

cono

mic

impa

cts

on o

ther

Pa

rtie

s, e

spec

iall

y de

velo

ping

cou

ntry

Par

ties

and

in p

artic

ular

thos

e id

entif

ied

in A

rtic

le 4

, pa

ragr

aphs

8 a

nd 9

, of

the

Con

vent

ion,

taki

ng in

to a

ccou

nt A

rtic

le 3

of

the

Con

vent

ion.

The

C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col m

ay ta

ke f

urth

er

actio

n, a

s ap

prop

riat

e, to

pro

mot

e th

e im

plem

enta

tion

of th

e pr

ovis

ions

of

this

par

agra

ph.

4.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col,

if it

dec

ides

that

it w

ould

be

bene

fici

al to

coo

rdin

ate

any

of th

e po

licie

s an

d m

easu

res

in

para

grap

h 1

(a)

abov

e, ta

king

into

acc

ount

dif

fere

nt n

atio

nal c

ircu

mst

ance

s an

d po

tent

ial e

ffec

ts,

shal

l con

side

r w

ays

and

mea

ns to

ela

bora

te th

e co

ordi

natio

n of

suc

h po

licie

s an

d m

easu

res.

Art

icle

3

1.T

he P

artie

s in

clud

ed in

Ann

ex I

sha

ll, in

divi

dual

ly o

r jo

intl

y, e

nsur

e th

at th

eir

aggr

egat

ean

thro

poge

nic

carb

on d

ioxi

de e

quiv

alen

t em

issi

ons

of th

e gr

eenh

ouse

gas

es li

sted

in A

nnex

A

do n

ot e

xcee

d th

eir

assi

gned

am

ount

s, c

alcu

late

d pu

rsua

nt to

thei

r qu

antif

ied

emis

sion

lim

itatio

n an

d re

duct

ion

com

mitm

ents

insc

ribe

d in

Ann

ex B

and

in a

ccor

danc

e w

ith th

e pr

ovis

ions

of

this

A

rtic

le, w

ith a

vie

w to

red

ucin

g th

eir

over

all e

mis

sion

s of

suc

h ga

ses

by a

t lea

st 5

per

cen

t be

low

199

0 le

vels

in th

e co

mm

itmen

t per

iod

2008

to 2

012.

2.E

ach

Part

y in

clud

ed in

Ann

ex I

sha

ll, b

y 20

05, h

ave

mad

e de

mon

stra

ble

prog

ress

inac

hiev

ing

its c

omm

itmen

ts u

nder

this

Pro

toco

l.

3.T

he n

et c

hang

es in

gre

enho

use

gas

emis

sion

s by

sou

rces

and

rem

oval

s by

sin

ks r

esul

ting

from

dir

ect h

uman

-ind

uced

land

-use

cha

nge

and

fore

stry

act

iviti

es, l

imite

d to

aff

ores

tatio

n,

refo

rest

atio

n an

d de

fore

stat

ion

sinc

e 19

90, m

easu

red

as v

erif

iabl

e ch

ange

s in

car

bon

stoc

ks in

ea

ch c

omm

itmen

t per

iod,

sha

ll be

use

d to

mee

t the

com

mitm

ents

und

er th

is A

rtic

le o

f ea

ch P

arty

in

clud

ed in

Ann

ex I

. T

he g

reen

hous

e ga

s em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

ass

ocia

ted

with

thos

e ac

tiviti

es s

hall

be r

epor

ted

in a

tran

spar

ent a

nd v

erif

iabl

e m

anne

r an

d re

view

ed in

ac

cord

ance

with

Art

icle

s 7

and

8.

4.Pr

ior

to th

e fi

rst s

essi

on o

f th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col,

each

Par

ty in

clud

ed in

Ann

ex I

sha

ll pr

ovid

e, f

or c

onsi

dera

tion

by th

e Su

bsid

iary

Bod

y fo

r Sc

ient

ific

and

Tec

hnol

ogic

al A

dvic

e, d

ata

to e

stab

lish

its le

vel o

f ca

rbon

st

ocks

in 1

990

and

to e

nabl

e an

est

imat

e to

be

mad

e of

its

chan

ges

in c

arbo

n st

ocks

in

subs

eque

nt y

ears

. T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is

Prot

ocol

sha

ll, a

t its

fir

st s

essi

on o

r as

soo

n as

pra

ctic

able

ther

eaft

er, d

ecid

e up

on m

odal

ities

, ru

les

and

guid

elin

es a

s to

how

, and

whi

ch, a

dditi

onal

hum

an-i

nduc

ed a

ctiv

ities

rel

ated

to

chan

ges

in g

reen

hous

e ga

s em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

in th

e ag

ricu

ltura

l soi

ls

and

the

land

-use

cha

nge

and

fore

stry

cat

egor

ies

shal

l be

adde

d to

, or

subt

ract

ed f

rom

, the

as

sign

ed a

mou

nts

for

Part

ies

incl

uded

in A

nnex

I, t

akin

g in

to a

ccou

nt u

ncer

tain

ties,

tran

spar

ency

in

rep

ortin

g, v

erif

iabi

lity,

the

met

hodo

logi

cal w

ork

of th

e In

terg

over

nmen

tal P

anel

on

Clim

ate

Cha

nge,

the

advi

ce p

rovi

ded

by th

e Su

bsid

iary

Bod

y fo

r Sc

ient

ific

and

Tec

hnol

ogic

al A

dvic

e in

ac

cord

ance

with

Art

icle

5 a

nd th

e de

cisi

ons

of th

e C

onfe

renc

e of

the

Par

ties.

Suc

h a

deci

sion

sh

all a

pply

in th

e se

cond

and

sub

sequ

ent c

omm

itmen

t per

iods

.A

Par

ty m

ay c

hoos

e to

app

ly

such

a d

ecis

ion

on th

ese

addi

tiona

l hum

an-i

nduc

ed a

ctiv

ities

for

its

firs

t com

mitm

ent p

erio

d,

prov

ided

that

thes

e ac

tiviti

es h

ave

take

n pl

ace

sinc

e 19

90.

- 4

-

5.T

he P

artie

s in

clud

ed in

Ann

ex I

und

ergo

ing

the

proc

ess

of tr

ansi

tion

to a

mar

ket

econ

omy

who

se b

ase

year

or

peri

od w

as e

stab

lishe

d pu

rsua

nt to

dec

isio

n 9/

CP.

2 of

the

Con

fere

nce

of th

e Pa

rtie

s at

its

seco

nd s

essi

on s

hall

use

that

bas

e ye

ar o

r pe

riod

for

the

impl

emen

tatio

n of

thei

r co

mm

itmen

ts u

nder

this

Art

icle

. A

ny o

ther

Par

ty in

clud

ed in

Ann

ex I

un

derg

oing

the

proc

ess

of tr

ansi

tion

to a

mar

ket e

cono

my

whi

ch h

as n

ot y

et s

ubm

itted

its

firs

t na

tiona

l com

mun

icat

ion

unde

r A

rtic

le 1

2 of

the

Con

vent

ion

may

als

o no

tify

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l tha

t it i

nten

ds to

use

an

hist

oric

al b

ase

year

or

peri

od o

ther

than

199

0 fo

r th

e im

plem

enta

tion

of

its c

omm

itmen

ts u

nder

th

is A

rtic

le.

The

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e P

artie

s to

this

Pro

toco

l sh

all d

ecid

e on

the

acce

ptan

ce o

f su

ch n

otif

icat

ion.

6.T

akin

g in

to a

ccou

nt A

rtic

le 4

, par

agra

ph 6

, of

the

Con

vent

ion,

in th

e im

plem

enta

tion

ofth

eir

com

mitm

ents

und

er th

is P

roto

col o

ther

than

thos

e un

der

this

Art

icle

, a c

erta

in d

egre

e of

fl

exib

ility

sha

ll be

allo

wed

by

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l to

the

Part

ies

incl

uded

in A

nnex

I u

nder

goin

g th

e pr

oces

s of

tran

sitio

n to

a

mar

ket e

cono

my.

7.In

the

firs

t qua

ntif

ied

emis

sion

lim

itatio

n an

d re

duct

ion

com

mitm

ent p

erio

d, f

rom

200

8to

201

2, th

e as

sign

ed a

mou

nt f

or e

ach

Part

y in

clud

ed in

Ann

ex I

sha

ll be

equ

al to

the

perc

enta

ge

insc

ribe

d fo

r it

in A

nnex

B o

f its

agg

rega

te a

nthr

opog

enic

car

bon

diox

ide

equi

vale

nt e

mis

sion

s of

the

gree

nhou

se g

ases

list

ed in

Ann

ex A

in 1

990,

or

the

base

yea

r or

per

iod

dete

rmin

ed in

ac

cord

ance

with

par

agra

ph 5

abo

ve, m

ultip

lied

by f

ive.

Tho

se P

artie

s in

clud

ed in

Ann

ex I

fo

r w

hom

land

-use

cha

nge

and

fore

stry

con

stitu

ted

a ne

t sou

rce

of g

reen

hous

e ga

s em

issi

ons

in 1

990

shal

l inc

lude

in th

eir

1990

em

issi

ons

base

yea

r or

per

iod

the

aggr

egat

e an

thro

poge

nic

carb

on d

ioxi

de e

quiv

alen

t em

issi

ons

by s

ourc

es m

inus

rem

oval

s by

sin

ks in

199

0 fr

om la

nd-u

se

chan

ge f

or th

e pu

rpos

es o

f ca

lcul

atin

g th

eir

assi

gned

am

ount

.

8.A

ny P

arty

incl

uded

in A

nnex

I m

ay u

se 1

995

as it

s ba

se y

ear

for

hydr

oflu

oroc

arbo

ns,

perf

luor

ocar

bons

and

sul

phur

hex

aflu

orid

e, f

or th

e pu

rpos

es o

f th

e ca

lcul

atio

n re

ferr

ed to

in

para

grap

h 7

abov

e.

9.C

omm

itmen

ts f

or s

ubse

quen

t per

iods

for

Par

ties

incl

uded

in A

nnex

I s

hall

be e

stab

lishe

din

am

endm

ents

to A

nnex

B to

this

Pro

toco

l, w

hich

sha

ll be

ado

pted

in a

ccor

danc

e w

ith th

e pr

ovis

ions

of

Art

icle

21,

par

agra

ph 7

. T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

th

e Pa

rtie

s to

this

Pro

toco

l sha

ll in

itiat

e th

e co

nsid

erat

ion

of s

uch

com

mitm

ents

at l

east

se

ven

year

s be

fore

the

end

of th

e fi

rst c

omm

itmen

t per

iod

refe

rred

to in

par

agra

ph 1

abo

ve.

10.

Any

em

issi

on r

educ

tion

units

, or

any

part

of

an a

ssig

ned

amou

nt, w

hich

a P

arty

acq

uire

sfr

om a

noth

er P

arty

in a

ccor

danc

e w

ith th

e pr

ovis

ions

of

Art

icle

6 o

r of

Art

icle

17

shal

l be

adde

d to

the

assi

gned

am

ount

for

the

acqu

irin

g Pa

rty.

11.

Any

em

issi

on r

educ

tion

units

, or

any

part

of

an a

ssig

ned

amou

nt, w

hich

a P

arty

tran

sfer

sto

ano

ther

Par

ty in

acc

orda

nce

with

the

prov

isio

ns o

f A

rtic

le 6

or

of A

rtic

le 1

7 sh

all b

e su

btra

cted

fro

m th

e as

sign

ed a

mou

nt f

or th

e tr

ansf

erri

ng P

arty

.

12.

Any

cer

tifie

d em

issi

on r

educ

tions

whi

ch a

Par

ty a

cqui

res

from

ano

ther

Par

ty in

acco

rdan

ce w

ith th

e pr

ovis

ions

of

Art

icle

12

shal

l be

adde

d to

the

assi

gned

am

ount

for

the

acqu

irin

g Pa

rty.

- 5

-

13.

If th

e em

issi

ons

of a

Par

ty in

clud

ed in

Ann

ex I

in a

com

mitm

ent p

erio

d ar

e le

ss th

an it

sas

sign

ed a

mou

nt u

nder

this

Art

icle

, thi

s di

ffer

ence

sha

ll, o

n re

ques

t of

that

Par

ty, b

e ad

ded

to th

e as

sign

ed a

mou

nt f

or th

at P

arty

for

sub

sequ

ent c

omm

itmen

t per

iods

.

14.

Eac

h Pa

rty

incl

uded

in A

nnex

I s

hall

stri

ve to

impl

emen

t the

com

mitm

ents

men

tione

d in

para

grap

h 1

abov

e in

suc

h a

way

as

to m

inim

ize

adve

rse

soci

al, e

nvir

onm

enta

l and

eco

nom

ic

impa

cts

on d

evel

opin

g co

untr

y Pa

rtie

s, p

artic

ular

ly th

ose

iden

tifie

d in

Art

icle

4, p

arag

raph

s 8

and

9, o

f th

e C

onve

ntio

n. I

n lin

e w

ith r

elev

ant d

ecis

ions

of

the

Con

fere

nce

of th

e Pa

rtie

s on

the

impl

emen

tatio

n of

thos

e pa

ragr

aphs

, the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l sha

ll, a

t its

fir

st s

essi

on, c

onsi

der

wha

t act

ions

are

nec

essa

ry to

min

imiz

e th

e ad

vers

e ef

fect

s of

clim

ate

chan

ge a

nd/o

r th

e im

pact

s of

res

pons

e m

easu

res

on P

artie

s re

ferr

ed

to in

thos

e pa

ragr

aphs

. A

mon

g th

e is

sues

to b

e co

nsid

ered

sha

ll be

the

esta

blis

hmen

t of

fund

ing,

in

sura

nce

and

tran

sfer

of

tech

nolo

gy.

Art

icle

4

1.A

ny P

artie

s in

clud

ed in

Ann

ex I

that

hav

e re

ache

d an

agr

eem

ent t

o fu

lfil

thei

rco

mm

itmen

ts u

nder

Art

icle

3 jo

intl

y, s

hall

be d

eem

ed to

hav

e m

et th

ose

com

mitm

ents

pro

vide

d th

at th

eir

tota

l com

bine

d ag

greg

ate

anth

ropo

geni

c ca

rbon

dio

xide

equ

ival

ent e

mis

sion

s of

the

gree

nhou

se g

ases

list

ed in

Ann

ex A

do

not e

xcee

d th

eir

assi

gned

am

ount

s ca

lcul

ated

pur

suan

t to

thei

r qu

antif

ied

emis

sion

lim

itatio

n an

d re

duct

ion

com

mitm

ents

insc

ribe

d in

Ann

ex B

and

in

acco

rdan

ce w

ith th

e pr

ovis

ions

of

Art

icle

3.

The

res

pect

ive

emis

sion

leve

l allo

cate

d to

eac

h of

th

e Pa

rtie

s to

the

agre

emen

t sha

ll b

e se

t out

in th

at a

gree

men

t.

2.T

he P

artie

s to

any

suc

h ag

reem

ent s

hall

notif

y th

e se

cret

aria

t of

the

term

s of

the

agre

emen

t on

the

date

of

depo

sit o

f th

eir

inst

rum

ents

of

ratif

icat

ion,

acc

epta

nce

or a

ppro

val

of th

is P

roto

col,

or a

cces

sion

ther

eto.

The

sec

reta

riat

sha

ll in

turn

info

rm th

e Pa

rtie

s an

d si

gnat

orie

s to

the

Con

vent

ion

of th

e te

rms

of th

e ag

reem

ent.

3.A

ny s

uch

agre

emen

t sha

ll r

emai

n in

ope

ratio

n fo

r th

e du

ratio

n of

the

com

mitm

ent p

erio

dsp

ecif

ied

in A

rtic

le 3

, par

agra

ph 7

.

4.If

Par

ties

actin

g jo

intl

y do

so

in th

e fr

amew

ork

of, a

nd to

geth

er w

ith, a

reg

iona

l eco

nom

icin

tegr

atio

n or

gani

zatio

n, a

ny a

ltera

tion

in th

e co

mpo

sitio

n of

the

orga

niza

tion

aft

er a

dopt

ion

of

this

Pro

toco

l sha

ll no

t aff

ect e

xist

ing

com

mitm

ents

und

er th

is P

roto

col.

Any

alte

ratio

n in

the

com

posi

tion

of th

e or

gani

zatio

n sh

all o

nly

appl

y fo

r th

e pu

rpos

es o

f th

ose

com

mitm

ents

und

er

Art

icle

3 th

at a

re a

dopt

ed s

ubse

quen

t to

that

alte

rati

on.

5.In

the

even

t of

failu

re b

y th

e Pa

rtie

s to

suc

h an

agr

eem

ent t

o ac

hiev

e th

eir

tota

l com

bine

dle

vel o

f em

issi

on r

educ

tion

s, e

ach

Part

y to

that

agr

eem

ent s

hall

be r

espo

nsib

le f

or it

s ow

n le

vel

of e

mis

sion

s se

t out

in th

e ag

reem

ent.

6.If

Par

ties

actin

g jo

intl

y do

so

in th

e fr

amew

ork

of, a

nd to

geth

er w

ith, a

reg

iona

l eco

nom

icin

tegr

atio

n or

gani

zatio

n w

hich

is it

self

a P

arty

to th

is P

roto

col,

each

mem

ber

Sta

te o

f th

at

regi

onal

eco

nom

ic in

tegr

atio

n or

gani

zatio

n in

divi

dual

ly, a

nd to

geth

er w

ith th

e re

gion

al e

cono

mic

in

tegr

atio

n or

gani

zatio

n ac

ting

in a

ccor

danc

e w

ith

Art

icle

24,

sha

ll, in

the

even

t of

failu

re to

ac

hiev

e th

e to

tal c

ombi

ned

leve

l of

emis

sion

red

uctio

ns, b

e re

spon

sibl

e fo

r its

leve

l of

emis

sion

s as

not

ifie

d in

acc

orda

nce

with

this

Art

icle

.

- 6

-

Art

icle

5

1.E

ach

Part

y in

clud

ed in

Ann

ex I

sha

ll ha

ve in

pla

ce, n

o la

ter

than

one

yea

r pr

ior

to th

est

art o

f th

e fi

rst c

omm

itmen

t per

iod,

a n

atio

nal s

yste

m f

or th

e es

timat

ion

of a

nthr

opog

enic

em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

of

all g

reen

hous

e ga

ses

not c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l. G

uide

lines

for

suc

h na

tiona

l sys

tem

s, w

hich

sha

ll in

corp

orat

e th

e m

etho

dolo

gies

spe

cifi

ed in

par

agra

ph 2

bel

ow, s

hall

be d

ecid

ed u

pon

by th

e C

onfe

renc

e of

th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l at i

ts f

irst

ses

sion

.

2.M

etho

dolo

gies

for

est

imat

ing

anth

ropo

geni

c em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

of a

ll gr

eenh

ouse

gas

es n

ot c

ontr

olle

d by

the

Mon

trea

l Pro

toco

l sha

ll be

thos

e ac

cept

ed b

y th

e In

terg

over

nmen

tal P

anel

on

Clim

ate

Cha

nge

and

agre

ed u

pon

by th

e C

onfe

renc

e of

the

Part

ies

at it

s th

ird

sess

ion.

Whe

re s

uch

met

hodo

logi

es a

re n

ot u

sed,

app

ropr

iate

adj

ustm

ents

sha

ll be

ap

plie

d ac

cord

ing

to m

etho

dolo

gies

agr

eed

upon

by

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l at i

ts f

irst

ses

sion

. B

ased

on

the

wor

k of

, int

er a

lia,

the

Inte

rgov

ernm

enta

l Pan

el o

n C

lim

ate

Cha

nge

and

advi

ce p

rovi

ded

by th

e Su

bsid

iary

Bod

y fo

r Sc

ient

ific

and

Tec

hnol

ogic

al A

dvic

e, th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col s

hall

regu

larl

y re

view

and

, as

appr

opri

ate,

rev

ise

such

met

hodo

logi

es a

nd

adju

stm

ents

, tak

ing

full

y in

to a

ccou

nt a

ny r

elev

ant d

ecis

ions

by

the

Con

fere

nce

of th

e Pa

rtie

s.

Any

rev

isio

n to

met

hodo

logi

es o

r ad

just

men

ts s

hall

be u

sed

only

for

the

purp

oses

of

asce

rtai

ning

co

mpl

ianc

e w

ith c

omm

itmen

ts u

nder

Art

icle

3 in

res

pect

of

any

com

mitm

ent p

erio

d ad

opte

d su

bseq

uent

to th

at r

evis

ion.

3.T

he g

loba

l war

min

g po

tent

ials

use

d to

cal

cula

te th

e ca

rbon

dio

xide

equ

ival

ence

of

anth

ropo

geni

c em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

of

gree

nhou

se g

ases

list

ed in

A

nnex

A s

hall

be th

ose

acce

pted

by

the

Inte

rgov

ernm

enta

l Pan

el o

n C

limat

e C

hang

e an

d ag

reed

up

on b

y th

e C

onfe

renc

e of

the

Part

ies

at it

s th

ird

sess

ion.

Bas

ed o

n th

e w

ork

of, i

nter

ali

a, th

e In

terg

over

nmen

tal P

anel

on

Cli

mat

e C

hang

e an

d ad

vice

pro

vide

d by

the

Subs

idia

ry B

ody

for

Scie

ntif

ic a

nd T

echn

olog

ical

Adv

ice,

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l sha

ll re

gula

rly

revi

ew a

nd, a

s ap

prop

riat

e, r

evis

e th

e gl

obal

war

min

g po

tent

ial o

f ea

ch s

uch

gree

nhou

se g

as, t

akin

g fu

lly in

to a

ccou

nt a

ny r

elev

ant d

ecis

ions

by

the

Con

fere

nce

of th

e Pa

rtie

s. A

ny r

evis

ion

to a

glo

bal w

arm

ing

pote

ntia

l sha

ll ap

ply

only

to

com

mitm

ents

und

er A

rtic

le 3

in r

espe

ct o

f an

y co

mm

itmen

t per

iod

adop

ted

subs

eque

nt to

that

re

visi

on.

Art

icle

6

1.Fo

r th

e pu

rpos

e of

mee

ting

its c

omm

itmen

ts u

nder

Art

icle

3, a

ny P

arty

incl

uded

inA

nnex

I m

ay tr

ansf

er to

, or

acqu

ire

from

, any

oth

er s

uch

Part

y em

issi

on r

educ

tion

units

res

ultin

g fr

om p

roje

cts

aim

ed a

t red

ucin

g an

thro

poge

nic

emis

sion

s by

sou

rces

or

enha

ncin

g an

thro

poge

nic

rem

oval

s by

sin

ks o

f gr

eenh

ouse

gas

es in

any

sec

tor

of th

e ec

onom

y, p

rovi

ded

that

:

(a)

Any

suc

h pr

ojec

t has

the

appr

oval

of

the

Part

ies

invo

lved

;

(b)

Any

suc

h pr

ojec

t pro

vide

s a

redu

ctio

n in

em

issi

ons

by s

ourc

es, o

r an

en

hanc

emen

t of

rem

oval

s by

sin

ks, t

hat i

s ad

ditio

nal t

o an

y th

at w

ould

oth

erw

ise

occu

r;

- 7

-

(c)

It d

oes

not a

cqui

re a

ny e

mis

sion

red

uctio

n un

its if

it is

not

in c

ompl

ianc

e w

ith it

s ob

ligat

ions

und

er A

rtic

les

5 an

d 7;

and

(d)

The

acq

uisi

tion

of e

mis

sion

red

uctio

n un

its s

hall

be s

uppl

emen

tal t

o do

mes

tic

actio

ns f

or th

e pu

rpos

es o

f m

eetin

g co

mm

itmen

ts u

nder

Art

icle

3.

2.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col

may

, at i

ts f

irst

ses

sion

or

as s

oon

as p

ract

icab

le th

erea

fter

, fur

ther

ela

bora

te g

uide

lines

for

th

e im

plem

enta

tion

of th

is A

rtic

le, i

nclu

ding

for

ver

ific

atio

n an

d re

port

ing.

3.A

Par

ty in

clud

ed in

Ann

ex I

may

aut

hori

ze le

gal e

ntiti

es to

par

ticip

ate,

und

er it

sre

spon

sibi

lity,

in a

ctio

ns le

adin

g to

the

gene

ratio

n, tr

ansf

er o

r ac

quis

ition

und

er th

is A

rtic

le

of e

mis

sion

red

uctio

n un

its.

4.If

a q

uest

ion

of im

plem

enta

tion

by a

Par

ty in

clud

ed in

Ann

ex I

of

the

requ

irem

ents

refe

rred

to in

this

Art

icle

is id

entif

ied

in a

ccor

danc

e w

ith th

e re

leva

nt p

rovi

sion

s of

Art

icle

8,

tran

sfer

s an

d ac

quis

ition

s of

em

issi

on r

educ

tion

units

may

con

tinue

to b

e m

ade

afte

r th

e

ques

tion

has

been

iden

tifie

d, p

rovi

ded

that

any

suc

h un

its m

ay n

ot b

e us

ed b

y a

Part

y to

mee

t its

com

mitm

ents

und

er A

rtic

le 3

unt

il an

y is

sue

of c

ompl

ianc

e is

res

olve

d.

Art

icle

7

1.E

ach

Part

y in

clud

ed in

Ann

ex I

sha

ll in

corp

orat

e in

its

annu

al in

vent

ory

of a

nthr

opog

enic

emis

sion

s by

sou

rces

and

rem

oval

s by

sin

ks o

f gr

eenh

ouse

gas

es n

ot c

ontr

olle

d by

the

Mon

trea

l Pr

otoc

ol, s

ubm

itted

in a

ccor

danc

e w

ith th

e re

leva

nt d

ecis

ions

of

the

Con

fere

nce

of th

e Pa

rtie

s,

the

nece

ssar

y su

pple

men

tary

info

rmat

ion

for

the

purp

oses

of

ensu

ring

com

plia

nce

with

Art

icle

3,

to b

e de

term

ined

in a

ccor

danc

e w

ith p

arag

raph

4 b

elow

.

2.E

ach

Part

y in

clud

ed in

Ann

ex I

sha

ll in

corp

orat

e in

its

natio

nal c

omm

unic

atio

n,su

bmitt

ed u

nder

Art

icle

12

of th

e C

onve

ntio

n, th

e su

pple

men

tary

info

rmat

ion

nece

ssar

y to

de

mon

stra

te c

ompl

ianc

e w

ith it

s co

mm

itmen

ts u

nder

this

Pro

toco

l, to

be

dete

rmin

ed in

ac

cord

ance

with

par

agra

ph 4

bel

ow.

3.E

ach

Part

y in

clud

ed in

Ann

ex I

sha

ll su

bmit

the

info

rmat

ion

requ

ired

und

er p

arag

raph

1ab

ove

annu

ally

, beg

inni

ng w

ith th

e fi

rst i

nven

tory

due

und

er th

e C

onve

ntio

n fo

r th

e fi

rst y

ear

of th

e co

mm

itmen

t per

iod

afte

r th

is P

roto

col h

as e

nter

ed in

to f

orce

for

that

Par

ty.

Eac

h su

ch

Part

y sh

all s

ubm

it th

e in

form

atio

n re

quir

ed u

nder

par

agra

ph 2

abo

ve a

s pa

rt o

f th

e fi

rst n

atio

nal

com

mun

icat

ion

due

unde

r th

e C

onve

ntio

n af

ter

this

Pro

toco

l has

ent

ered

into

for

ce f

or it

and

af

ter

the

adop

tion

of g

uide

lines

as

prov

ided

for

in p

arag

raph

4 b

elow

. T

he f

requ

ency

of

subs

eque

nt s

ubm

issi

on o

f in

form

atio

n re

quir

ed u

nder

this

Art

icle

sha

ll be

det

erm

ined

by

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l, ta

king

into

ac

coun

t any

tim

etab

le f

or th

e su

bmis

sion

of

natio

nal c

omm

unic

atio

ns d

ecid

ed u

pon

by th

e C

onfe

renc

e of

the

Part

ies.

4.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col s

hall

adop

t at i

ts f

irst

ses

sion

, and

rev

iew

per

iodi

call

y th

erea

fter

, gui

delin

es f

or th

e pr

epar

atio

n of

the

info

rmat

ion

requ

ired

und

er th

is A

rtic

le, t

akin

g in

to a

ccou

nt g

uide

lines

for

the

prep

arat

ion

of

- 8

-

natio

nal c

omm

unic

atio

ns b

y Pa

rtie

s in

clud

ed in

Ann

ex I

ado

pted

by

the

Con

fere

nce

of th

e Pa

rtie

s. T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col

shal

l als

o, p

rior

to th

e fi

rst c

omm

itmen

t per

iod,

dec

ide

upon

mod

aliti

es f

or th

e ac

coun

ting

of

assi

gned

am

ount

s.

Art

icle

8

1.T

he in

form

atio

n su

bmitt

ed u

nder

Art

icle

7 b

y ea

ch P

arty

incl

uded

in A

nnex

I s

hall

bere

view

ed b

y ex

pert

rev

iew

team

s pu

rsua

nt to

the

rele

vant

dec

isio

ns o

f th

e C

onfe

renc

e of

the

Part

ies

and

in a

ccor

danc

e w

ith g

uide

lines

ado

pted

for

this

pur

pose

by

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l und

er p

arag

raph

4 b

elow

. T

he

info

rmat

ion

subm

itted

und

er A

rtic

le 7

, par

agra

ph 1

, by

each

Par

ty in

clud

ed in

Ann

ex I

sha

ll be

re

view

ed a

s pa

rt o

f th

e an

nual

com

pila

tion

and

acco

untin

g of

em

issi

ons

inve

ntor

ies

and

assi

gned

am

ount

s. A

dditi

onal

ly, t

he in

form

atio

n su

bmitt

ed u

nder

Art

icle

7, p

arag

raph

2, b

y ea

ch P

arty

in

clud

ed in

Ann

ex I

sha

ll b

e re

view

ed a

s pa

rt o

f th

e re

view

of

com

mun

icat

ions

.

2.E

xper

t rev

iew

team

s sh

all b

e co

ordi

nate

d by

the

secr

etar

iat a

nd s

hall

be c

ompo

sed

ofex

pert

s se

lect

ed f

rom

thos

e no

min

ated

by

Part

ies

to th

e C

onve

ntio

n an

d, a

s ap

prop

riat

e, b

y in

terg

over

nmen

tal o

rgan

izat

ions

, in

acco

rdan

ce w

ith

guid

ance

pro

vide

d fo

r th

is p

urpo

se b

y th

e C

onfe

renc

e of

the

Part

ies.

3.T

he r

evie

w p

roce

ss s

hall

prov

ide

a th

orou

gh a

nd c

ompr

ehen

sive

tech

nica

l ass

essm

ent

of a

ll as

pect

s of

the

impl

emen

tatio

n by

a P

arty

of

this

Pro

toco

l. T

he e

xper

t rev

iew

team

s sh

all

prep

are

a re

port

to th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is

Prot

ocol

, ass

essi

ng th

e im

plem

enta

tion

of th

e co

mm

itmen

ts o

f th

e Pa

rty

and

iden

tifyi

ng a

ny

pote

ntia

l pro

blem

s in

, and

fac

tors

infl

uenc

ing,

the

fulf

ilmen

t of

com

mitm

ents

. Su

ch r

epor

ts

shal

l be

circ

ulat

ed b

y th

e se

cret

aria

t to

all P

artie

s to

the

Con

vent

ion.

The

sec

reta

riat

sha

ll lis

t th

ose

ques

tions

of

impl

emen

tatio

n in

dica

ted

in s

uch

repo

rts

for

furt

her

cons

ider

atio

n by

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l.

4.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col

shal

l ado

pt a

t its

fir

st s

essi

on, a

nd r

evie

w p

erio

dica

lly

ther

eaft

er, g

uide

lines

for

the

revi

ew

of im

plem

enta

tion

of th

is P

roto

col b

y ex

pert

rev

iew

team

s ta

king

into

acc

ount

the

rele

vant

de

cisi

ons

of th

e C

onfe

renc

e of

the

Part

ies.

5.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col

shal

l, w

ith th

e as

sist

ance

of

the

Subs

idia

ry B

ody

for

Impl

emen

tatio

n an

d, a

s ap

prop

riat

e, th

e Su

bsid

iary

Bod

y fo

r Sc

ient

ific

and

Tec

hnol

ogic

al A

dvic

e, c

onsi

der:

(a)

The

info

rmat

ion

subm

itted

by

Part

ies

unde

r A

rtic

le 7

and

the

repo

rts

of th

e ex

pert

re

view

s th

ereo

n co

nduc

ted

unde

r th

is A

rtic

le; a

nd

(b)

Tho

se q

uest

ions

of

impl

emen

tatio

n lis

ted

by th

e se

cret

aria

t und

er p

arag

raph

3

abov

e, a

s w

ell a

s an

y qu

estio

ns r

aise

d by

Par

ties.

6.Pu

rsua

nt to

its

cons

ider

atio

n of

the

info

rmat

ion

refe

rred

to in

par

agra

ph 5

abo

ve,

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e P

artie

s to

this

Pro

toco

l sha

ll ta

ke

deci

sion

s on

any

mat

ter

requ

ired

for

the

impl

emen

tatio

n of

this

Pro

toco

l.

- 9

-

Art

icle

9

1.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col

shal

l per

iodi

call

y re

view

this

Pro

toco

l in

the

light

of

the

best

ava

ilabl

e sc

ient

ific

info

rmat

ion

and

asse

ssm

ents

on

clim

ate

chan

ge a

nd it

s im

pact

s, a

s w

ell a

s re

leva

nt te

chni

cal,

soci

al a

nd

econ

omic

info

rmat

ion.

Suc

h re

view

s sh

all b

e co

ordi

nate

d w

ith p

ertin

ent r

evie

ws

unde

r th

e C

onve

ntio

n, in

par

ticul

ar th

ose

requ

ired

by

Art

icle

4, p

arag

raph

2 (

d), a

nd A

rtic

le 7

, pa

ragr

aph

2 (a

), o

f th

e C

onve

ntio

n. B

ased

on

thes

e re

view

s, th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col s

hall

take

app

ropr

iate

act

ion.

2.T

he f

irst

rev

iew

sha

ll ta

ke p

lace

at t

he s

econ

d se

ssio

n of

the

Con

fere

nce

of th

e Pa

rtie

sse

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l. F

urth

er r

evie

ws

shal

l tak

e pl

ace

at r

egul

ar

inte

rval

s an

d in

a ti

mel

y m

anne

r.

Art

icle

10

All

Part

ies,

taki

ng in

to a

ccou

nt th

eir

com

mon

but

dif

fere

ntia

ted

resp

onsi

bili

ties

and

thei

r sp

ecif

ic n

atio

nal a

nd r

egio

nal d

evel

opm

ent p

rior

ities

, obj

ectiv

es a

nd c

ircu

mst

ance

s, w

ithou

t in

trod

ucin

g an

y ne

w c

omm

itmen

ts f

or P

artie

s no

t inc

lude

d in

Ann

ex I

, but

rea

ffir

min

g ex

istin

g co

mm

itmen

ts u

nder

Art

icle

4, p

arag

raph

1, o

f th

e C

onve

ntio

n, a

nd c

ontin

uing

to a

dvan

ce th

e im

plem

enta

tion

of th

ese

com

mitm

ents

in o

rder

to a

chie

ve s

usta

inab

le d

evel

opm

ent,

taki

ng in

to

acco

unt A

rtic

le 4

, par

agra

phs

3, 5

and

7, o

f th

e C

onve

ntio

n, s

hall:

(a)

Form

ulat

e, w

here

rel

evan

t and

to th

e ex

tent

pos

sibl

e, c

ost-

effe

ctiv

e na

tiona

l an

d, w

here

app

ropr

iate

, reg

iona

l pro

gram

mes

to im

prov

e th

e qu

alit

y of

loca

l em

issi

on f

acto

rs,

activ

ity

data

and

/or

mod

els

whi

ch r

efle

ct th

e so

cio-

econ

omic

con

ditio

ns o

f ea

ch P

arty

for

the

prep

arat

ion

and

peri

odic

upd

atin

g of

nat

iona

l inv

ento

ries

of

anth

ropo

geni

c em

issi

ons

by s

ourc

es

and

rem

oval

s by

sin

ks o

f al

l gre

enho

use

gase

s no

t con

trol

led

by th

e M

ontr

eal P

roto

col,

usin

g co

mpa

rabl

e m

etho

dolo

gies

to b

e ag

reed

upo

n by

the

Con

fere

nce

of th

e Pa

rtie

s, a

nd c

onsi

sten

t w

ith th

e gu

idel

ines

for

the

prep

arat

ion

of n

atio

nal c

omm

unic

atio

ns a

dopt

ed b

y th

e C

onfe

renc

e of

the

Part

ies;

(b)

Form

ulat

e, im

plem

ent,

publ

ish

and

regu

larl

y up

date

nat

iona

l and

, whe

re

appr

opri

ate,

reg

iona

l pro

gram

mes

con

tain

ing

mea

sure

s to

mit

igat

e cl

imat

e ch

ange

and

mea

sure

s to

fac

ilit

ate

adeq

uate

ada

ptat

ion

to c

lim

ate

chan

ge:

(i)

Such

pro

gram

mes

wou

ld, i

nter

ali

a, c

once

rn th

e en

ergy

, tra

nspo

rt a

nd

indu

stry

sec

tors

as

wel

l as

agri

cultu

re, f

ores

try

and

was

te m

anag

emen

t.

Furt

herm

ore,

ada

ptat

ion

tech

nolo

gies

and

met

hods

for

impr

ovin

g sp

atia

l pl

anni

ng w

ould

impr

ove

adap

tatio

n to

clim

ate

chan

ge; a

nd

(ii)

Pa

rtie

s in

clud

ed in

Ann

ex I

sha

ll su

bmit

info

rmat

ion

on a

ctio

n un

der

this

Pr

otoc

ol, i

nclu

ding

nat

iona

l pro

gram

mes

, in

acco

rdan

ce w

ith A

rtic

le 7

; an

d ot

her

Part

ies

shal

l see

k to

incl

ude

in th

eir

nati

onal

com

mun

icat

ions

, as

app

ropr

iate

, inf

orm

atio

n on

pro

gram

mes

whi

ch c

onta

in m

easu

res

that

th

e Pa

rty

belie

ves

cont

ribu

te to

add

ress

ing

clim

ate

chan

ge a

nd it

s ad

vers

e im

pact

s, in

clud

ing

the

abat

emen

t of

incr

ease

s in

gre

enho

use

gas

emis

sion

s,

and

enha

ncem

ent o

f an

d re

mov

als

by s

inks

, cap

acit

y bu

ildin

g an

d ad

apta

tion

mea

sure

s;

- 10

-

(c)

Coo

pera

te in

the

prom

otio

n of

eff

ectiv

e m

odal

ities

for

the

deve

lopm

ent,

appl

icat

ion

and

diff

usio

n of

, and

take

all

prac

ticab

le s

teps

to p

rom

ote,

fac

ilita

te a

nd f

inan

ce,

as a

ppro

pria

te, t

he tr

ansf

er o

f, o

r ac

cess

to, e

nvir

onm

enta

lly

soun

d te

chno

logi

es, k

now

-how

, pr

actic

es a

nd p

roce

sses

per

tinen

t to

clim

ate

chan

ge, i

n pa

rtic

ular

to d

evel

opin

g co

untr

ies,

in

clud

ing

the

form

ulat

ion

of p

olic

ies

and

prog

ram

mes

for

the

effe

ctiv

e tr

ansf

er o

f en

viro

nmen

tall

y so

und

tech

nolo

gies

that

are

pub

licl

y ow

ned

or in

the

publ

ic d

omai

n an

d th

e cr

eatio

n of

an

enab

ling

envi

ronm

ent f

or th

e pr

ivat

e se

ctor

, to

prom

ote

and

enha

nce

the

tran

sfer

of

, and

acc

ess

to, e

nvir

onm

enta

lly

soun

d te

chno

logi

es;

(d)

Coo

pera

te in

sci

entif

ic a

nd te

chni

cal r

esea

rch

and

prom

ote

the

mai

nten

ance

and

th

e de

velo

pmen

t of

syst

emat

ic o

bser

vatio

n sy

stem

s an

d de

velo

pmen

t of

data

arc

hive

s to

red

uce

unce

rtai

ntie

s re

late

d to

the

clim

ate

syst

em, t

he a

dver

se im

pact

s of

cli

mat

e ch

ange

and

the

econ

omic

and

soc

ial c

onse

quen

ces

of v

ario

us r

espo

nse

stra

tegi

es, a

nd p

rom

ote

the

deve

lopm

ent

and

stre

ngth

enin

g of

end

ogen

ous

capa

citie

s an

d ca

pabi

litie

s to

par

ticip

ate

in in

tern

atio

nal a

nd

inte

rgov

ernm

enta

l eff

orts

, pro

gram

mes

and

net

wor

ks o

n re

sear

ch a

nd s

yste

mat

ic o

bser

vatio

n,

taki

ng in

to a

ccou

nt A

rtic

le 5

of

the

Con

vent

ion;

(e)

Coo

pera

te in

and

pro

mot

e at

the

inte

rnat

iona

l lev

el, a

nd, w

here

app

ropr

iate

, usi

ng

exis

ting

bodi

es, t

he d

evel

opm

ent a

nd im

plem

enta

tion

of e

duca

tion

and

trai

ning

pro

gram

mes

, in

clud

ing

the

stre

ngth

enin

g of

nat

iona

l cap

acit

y bu

ildin

g, in

par

ticul

ar h

uman

and

inst

itutio

nal

capa

citie

s an

d th

e ex

chan

ge o

r se

cond

men

t of

pers

onne

l to

trai

n ex

pert

s in

this

fie

ld, i

n pa

rtic

ular

fo

r de

velo

ping

cou

ntri

es, a

nd f

acili

tate

at t

he n

atio

nal l

evel

pub

lic a

war

enes

s of

, and

pub

lic

acce

ss to

info

rmat

ion

on, c

limat

e ch

ange

. Su

itabl

e m

odal

ities

sho

uld

be d

evel

oped

to im

plem

ent

thes

e ac

tiviti

es th

roug

h th

e re

leva

nt b

odie

s of

the

Con

vent

ion,

taki

ng in

to a

ccou

nt A

rtic

le 6

of

the

Con

vent

ion;

(f)

Incl

ude

in th

eir

natio

nal c

omm

unic

atio

ns in

form

atio

n on

pro

gram

mes

and

ac

tiviti

es u

nder

take

n pu

rsua

nt to

this

Art

icle

in a

ccor

danc

e w

ith r

elev

ant d

ecis

ions

of

the

Con

fere

nce

of th

e Pa

rtie

s; a

nd

(g)

Giv

e fu

ll co

nsid

erat

ion,

in im

plem

entin

g th

e co

mm

itmen

ts u

nder

this

Art

icle

, to

Art

icle

4, p

arag

raph

8, o

f th

e C

onve

ntio

n. Art

icle

11

1.In

the

impl

emen

tatio

n of

Art

icle

10,

Par

ties

shal

l tak

e in

to a

ccou

nt th

e pr

ovis

ions

of

Art

icle

4, p

arag

raph

s 4,

5, 7

, 8 a

nd 9

, of

the

Con

vent

ion.

2.In

the

cont

ext o

f th

e im

plem

enta

tion

of A

rtic

le 4

, par

agra

ph 1

, of

the

Con

vent

ion,

inac

cord

ance

with

the

prov

isio

ns o

f A

rtic

le 4

, par

agra

ph 3

, and

Art

icle

11

of th

e C

onve

ntio

n,

and

thro

ugh

the

entit

y or

ent

ities

ent

rust

ed w

ith th

e op

erat

ion

of th

e fi

nanc

ial m

echa

nism

of

the

Con

vent

ion,

the

deve

lope

d co

untr

y Pa

rtie

s an

d ot

her

deve

lope

d Pa

rtie

s in

clud

ed in

Ann

ex I

I to

th

e C

onve

ntio

n sh

all:

(a)

Prov

ide

new

and

add

ition

al f

inan

cial

res

ourc

es to

mee

t the

agr

eed

full

cost

s in

curr

ed b

y de

velo

ping

cou

ntry

Par

ties

in a

dvan

cing

the

impl

emen

tatio

n of

exi

stin

g co

mm

itmen

ts u

nder

Art

icle

4, p

arag

raph

1 (

a), o

f th

e C

onve

ntio

n th

at a

re c

over

ed in

Art

icle

10,

sub

para

grap

h (a

); a

nd

- 11

-

(b)

Als

o pr

ovid

e su

ch f

inan

cial

res

ourc

es, i

nclu

ding

for

the

tran

sfer

of

tech

nolo

gy,

need

ed b

y th

e de

velo

ping

cou

ntry

Par

ties

to m

eet t

he a

gree

d fu

ll in

crem

enta

l cos

ts o

f ad

vanc

ing

the

impl

emen

tatio

n of

exi

stin

g co

mm

itmen

ts u

nder

Art

icle

4, p

arag

raph

1, o

f th

e C

onve

ntio

n th

at

are

cove

red

by A

rtic

le 1

0 an

d th

at a

re a

gree

d be

twee

n a

deve

lopi

ng c

ount

ry P

arty

and

the

inte

rnat

iona

l ent

ity

or e

ntiti

es r

efer

red

to in

Art

icle

11

of th

e C

onve

ntio

n, in

acc

orda

nce

with

th

at A

rtic

le.

The

impl

emen

tatio

n of

thes

e ex

istin

g co

mm

itmen

ts s

hall

take

into

acc

ount

the

need

for

ade

quac

y an

d pr

edic

tabi

lity

in th

e fl

ow o

f fu

nds

and

the

impo

rtan

ce o

f ap

prop

riat

e bu

rden

sha

ring

am

ong

deve

lope

d co

untr

y Pa

rtie

s. T

he g

uida

nce

to th

e en

tity

or e

ntiti

es e

ntru

sted

with

the

oper

atio

n of

th

e fi

nanc

ial m

echa

nism

of

the

Con

vent

ion

in r

elev

ant d

ecis

ions

of

the

Con

fere

nce

of th

e Pa

rtie

s,

incl

udin

g th

ose

agre

ed b

efor

e th

e ad

optio

n of

this

Pro

toco

l, sh

all a

pply

mut

atis

mut

andi

s to

the

prov

isio

ns o

f th

is p

arag

raph

.

3.T

he d

evel

oped

cou

ntry

Par

ties

and

othe

r de

velo

ped

Part

ies

in A

nnex

II

to th

eC

onve

ntio

n m

ay a

lso

prov

ide,

and

dev

elop

ing

coun

try

Part

ies

avai

l the

mse

lves

of,

fin

anci

al

reso

urce

s fo

r th

e im

plem

enta

tion

of A

rtic

le 1

0, th

roug

h bi

late

ral,

regi

onal

and

oth

er m

ultil

ater

al

chan

nels

.

Art

icle

12

1.A

cle

an d

evel

opm

ent m

echa

nism

is h

ereb

y de

fine

d.

2.T

he p

urpo

se o

f th

e cl

ean

deve

lopm

ent m

echa

nism

sha

ll be

to a

ssis

t Par

ties

not i

nclu

ded

in A

nnex

I in

ach

ievi

ng s

usta

inab

le d

evel

opm

ent a

nd in

con

trib

utin

g to

the

ultim

ate

obje

ctiv

e of

the

Con

vent

ion,

and

to a

ssis

t Par

ties

incl

uded

in A

nnex

I in

ach

ievi

ng c

ompl

ianc

e w

ith th

eir

quan

tifie

d em

issi

on li

mita

tion

and

redu

ctio

n co

mm

itmen

ts u

nder

Art

icle

3.

3.U

nder

the

clea

n de

velo

pmen

t mec

hani

sm:

(a)

Part

ies

not i

nclu

ded

in A

nnex

I w

ill b

enef

it fr

om p

roje

ct a

ctiv

ities

res

ultin

g in

ce

rtif

ied

emis

sion

red

uctio

ns; a

nd

(b)

Part

ies

incl

uded

in A

nnex

I m

ay u

se th

e ce

rtif

ied

emis

sion

red

uctio

ns a

ccru

ing

from

suc

h pr

ojec

t act

iviti

es to

con

trib

ute

to c

ompl

ianc

e w

ith p

art o

f th

eir

quan

tifie

d em

issi

on

limita

tion

and

redu

ctio

n co

mm

itmen

ts u

nder

Art

icle

3, a

s de

term

ined

by

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of

the

Part

ies

to th

is P

roto

col.

4.T

he c

lean

dev

elop

men

t mec

hani

sm s

hall

be s

ubje

ct to

the

auth

orit

y an

d gu

idan

ce o

f th

eC

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col a

nd b

e su

perv

ised

by

an

exec

utiv

e bo

ard

of th

e cl

ean

deve

lopm

ent m

echa

nism

.

5.E

mis

sion

red

uctio

ns r

esul

ting

from

eac

h pr

ojec

t act

ivit

y sh

all b

e ce

rtif

ied

by o

pera

tiona

len

titie

s to

be

desi

gnat

ed b

y th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to

this

Pro

toco

l, on

the

basi

s of

:

(a)

Vol

unta

ry p

artic

ipat

ion

appr

oved

by

each

Par

ty in

volv

ed;

- 12

-

(b)

Rea

l, m

easu

rabl

e, a

nd lo

ng-t

erm

ben

efits

rel

ated

to th

e m

itiga

tion

of c

limat

e ch

ange

; and

(c)

Red

uctio

ns in

em

issi

ons

that

are

add

ition

al to

any

that

wou

ld o

ccur

in th

e ab

senc

e of

the

cert

ifie

d pr

ojec

t act

ivit

y.

6.T

he c

lean

dev

elop

men

t mec

hani

sm s

hall

assi

st in

arr

angi

ng f

undi

ng o

f ce

rtif

ied

proj

ect

activ

ities

as

nece

ssar

y.

7.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col

shal

l, at

its

firs

t ses

sion

, ela

bora

te m

odal

ities

and

pro

cedu

res

with

the

obje

ctiv

e of

ens

urin

g tr

ansp

aren

cy, e

ffic

ienc

y an

d ac

coun

tabi

lity

thro

ugh

inde

pend

ent a

uditi

ng a

nd v

erif

icat

ion

of

proj

ect a

ctiv

ities

.

8.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col s

hall

ensu

re th

at a

sha

re o

f th

e pr

ocee

ds f

rom

cer

tifie

d pr

ojec

t act

iviti

es is

use

d to

cov

er a

dmin

istr

ativ

e ex

pens

es a

s w

ell a

s to

ass

ist d

evel

opin

g co

untr

y P

artie

s th

at a

re p

artic

ular

ly v

ulne

rabl

e to

the

adve

rse

effe

cts

of c

limat

e ch

ange

to m

eet t

he c

osts

of

adap

tatio

n.

9.Pa

rtic

ipat

ion

unde

r th

e cl

ean

deve

lopm

ent m

echa

nism

, inc

ludi

ng in

act

iviti

es m

entio

ned

in p

arag

raph

3 (

a) a

bove

and

in th

e ac

quis

ition

of

cert

ifie

d em

issi

on r

educ

tions

, may

invo

lve

priv

ate

and/

or p

ublic

ent

ities

, and

is to

be

subj

ect t

o w

hate

ver

guid

ance

may

be

prov

ided

by

the

exec

utiv

e bo

ard

of th

e cl

ean

deve

lopm

ent m

echa

nism

.

10.

Cer

tifie

d em

issi

on r

educ

tion

s ob

tain

ed d

urin

g th

e pe

riod

fro

m th

e ye

ar 2

000

up to

the

begi

nnin

g of

the

firs

t com

mitm

ent p

erio

d ca

n be

use

d to

ass

ist i

n ac

hiev

ing

com

plia

nce

in th

e fi

rst c

omm

itmen

t per

iod.

Art

icle

13

1.T

he C

onfe

renc

e of

the

Part

ies,

the

supr

eme

body

of

the

Con

vent

ion,

sha

ll se

rve

as th

em

eetin

g of

the

Part

ies

to th

is P

roto

col.

2.Pa

rtie

s to

the

Con

vent

ion

that

are

not

Par

ties

to th

is P

roto

col m

ay p

artic

ipat

e as

obs

erve

rsin

the

proc

eedi

ngs

of a

ny s

essi

on o

f th

e C

onfe

renc

e of

the

Par

ties

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col.

Whe

n th

e C

onfe

renc

e of

the

Part

ies

serv

es a

s th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col,

deci

sion

s un

der

this

Pro

toco

l sha

ll be

take

n on

ly b

y th

ose

that

are

Par

ties

to th

is

Prot

ocol

.

3.W

hen

the

Con

fere

nce

of th

e Pa

rtie

s se

rves

as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l,an

y m

embe

r of

the

Bur

eau

of th

e C

onfe

renc

e of

the

Par

ties

repr

esen

ting

a P

arty

to th

e C

onve

ntio

n bu

t, at

that

tim

e, n

ot a

Par

ty to

this

Pro

toco

l, sh

all b

e re

plac

ed b

y an

add

ition

al

mem

ber

to b

e el

ecte

d by

and

fro

m a

mon

gst t

he P

artie

s to

this

Pro

toco

l.

4.T

he C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Par

ties

to th

is P

roto

col

shal

l kee

p un

der

regu

lar

revi

ew th

e im

plem

enta

tion

of th

is P

roto

col a

nd s

hall

mak

e, w

ithin

its

man

date

, the

dec

isio

ns n

eces

sary

to p

rom

ote

its e

ffec

tive

impl

emen

tatio

n. I

t sha

ll pe

rfor

m th

e fu

nctio

ns a

ssig

ned

to it

by

this

Pro

toco

l and

sha

ll:

- 13

-

(a)

Ass

ess,

on

the

basi

s of

all

info

rmat

ion

mad

e av

aila

ble

to it

in a

ccor

danc

e w

ith th

e pr

ovis

ions

of

this

Pro

toco

l, th

e im

plem

enta

tion

of th

is P

roto

col b

y th

e Pa

rtie

s, th

e ov

eral

l eff

ects

of

the

mea

sure

s ta

ken

purs

uant

to th

is P

roto

col,

in p

artic

ular

env

iron

men

tal,

econ

omic

and

soc

ial

effe

cts

as w

ell a

s th

eir

cum

ulat

ive

impa

cts

and

the

exte

nt to

whi

ch p

rogr

ess

tow

ards

the

obje

ctiv

e of

the

Con

vent

ion

is b

eing

ach

ieve

d;

(b)

Peri

odic

ally

exa

min

e th

e ob

ligat

ions

of

the

Part

ies

unde

r th

is P

roto

col,

givi

ng d

ue

cons

ider

atio

n to

any

rev

iew

s re

quir

ed b

y A

rtic

le 4

, par

agra

ph 2

(d)

, and

Art

icle

7, p

arag

raph

2,

of th

e C

onve

ntio

n, in

the

light

of

the

obje

ctiv

e of

the

Con

vent

ion,

the

expe

rien

ce g

aine

d in

its

impl

emen

tatio

n an

d th

e ev

olut

ion

of s

cien

tific

and

tech

nolo

gica

l kno

wle

dge,

and

in th

is r

espe

ct

cons

ider

and

ado

pt r

egul

ar r

epor

ts o

n th

e im

plem

enta

tion

of th

is P

roto

col;

(c)

Prom

ote

and

faci

litat

e th

e ex

chan

ge o

f in

form

atio

n on

mea

sure

s ad

opte

d by

the

Part

ies

to a

ddre

ss c

limat

e ch

ange

and

its

effe

cts,

taki

ng in

to a

ccou

nt th

e di

ffer

ing

circ

umst

ance

s,

resp

onsi

bilit

ies

and

capa

bilit

ies

of th

e Pa

rtie

s an

d th

eir

resp

ectiv

e co

mm

itmen

ts u

nder

this

Pr

otoc

ol; (d)

Faci

litat

e, a

t the

req

uest

of

two

or m

ore

Part

ies,

the

coor

dina

tion

of m

easu

res

adop

ted

by th

em to

add

ress

clim

ate

chan

ge a

nd it

s ef

fect

s, ta

king

into

acc

ount

the

diff

erin

g ci

rcum

stan

ces,

res

pons

ibili

ties

and

capa

bilit

ies

of th

e Pa

rtie

s an

d th

eir

resp

ectiv

e co

mm

itmen

ts

unde

r th

is P

roto

col;

(e)

Prom

ote

and

guid

e, in

acc

orda

nce

with

the

obje

ctiv

e of

the

Con

vent

ion

and

the

prov

isio

ns o

f th

is P

roto

col,

and

taki

ng f

ully

into

acc

ount

the

rele

vant

dec

isio

ns b

y th

e C

onfe

renc

e of

the

Part

ies,

the

deve

lopm

ent a

nd p

erio

dic

refi

nem

ent o

f co

mpa

rabl

e m

etho

dolo

gies

for

the

effe

ctiv

e im

plem

enta

tion

of th

is P

roto

col,

to b

e ag

reed

on

by th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col;

(f)

Mak

e re

com

men

datio

ns o

n an

y m

atte

rs n

eces

sary

for

the

impl

emen

tatio

n of

th

is P

roto

col;

(g)

Seek

to m

obili

ze a

dditi

onal

fin

anci

al r

esou

rces

in a

ccor

danc

e w

ith A

rtic

le 1

1,

para

grap

h 2;

(h)

Est

ablis

h su

ch s

ubsi

diar

y bo

dies

as

are

deem

ed n

eces

sary

for

the

impl

emen

tatio

n of

this

Pro

toco

l;

(i)

Seek

and

util

ize,

whe

re a

ppro

pria

te, t

he s

ervi

ces

and

coop

erat

ion

of, a

nd

info

rmat

ion

prov

ided

by,

com

pete

nt in

tern

atio

nal o

rgan

izat

ions

and

inte

rgov

ernm

enta

l and

no

n-go

vern

men

tal b

odie

s; a

nd

(j)

Exe

rcis

e su

ch o

ther

fun

ctio

ns a

s m

ay b

e re

quir

ed f

or th

e im

plem

enta

tion

of th

is

Prot

ocol

, and

con

side

r an

y as

sign

men

t res

ultin

g fr

om a

dec

isio

n by

the

Con

fere

nce

of th

e Pa

rtie

s.

5.T

he r

ules

of

proc

edur

e of

the

Con

fere

nce

of th

e Pa

rtie

s an

d fi

nanc

ial p

roce

dure

s ap

plie

dun

der

the

Con

vent

ion

shal

l be

appl

ied

mut

atis

mut

andi

s un

der

this

Pro

toco

l, ex

cept

as

may

be

othe

rwis

e de

cide

d by

con

sens

us b

y th

e C

onfe

renc

e of

the

Par

ties

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col.

- 14

-

6.T

he f

irst

ses

sion

of

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l sha

ll be

con

vene

d by

the

secr

etar

iat i

n co

njun

ctio

n w

ith th

e fi

rst s

essi

on o

f th

e C

onfe

renc

e of

the

Part

ies

that

is s

ched

uled

aft

er th

e da

te o

f th

e en

try

into

for

ce o

f th

is P

roto

col.

Su

bseq

uent

ord

inar

y se

ssio

ns o

f th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col s

hall

be h

eld

ever

y ye

ar a

nd in

con

junc

tion

with

ord

inar

y se

ssio

ns o

f th

e C

onfe

renc

e of

the

Part

ies,

unl

ess

othe

rwis

e de

cide

d by

the

Con

fere

nce

of th

e P

artie

s se

rvin

g as

th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col.

7.E

xtra

ordi

nary

ses

sion

s of

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

ePa

rtie

s to

this

Pro

toco

l sha

ll be

hel

d at

suc

h ot

her

times

as

may

be

deem

ed n

eces

sary

by

the

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l, or

at t

he w

ritte

n re

ques

t of

any

Par

ty, p

rovi

ded

that

, with

in s

ix m

onth

s of

the

requ

est b

eing

com

mun

icat

ed to

the

Part

ies

by th

e se

cret

aria

t, it

is s

uppo

rted

by

at le

ast o

ne th

ird

of th

e Pa

rtie

s.

8.T

he U

nite

d N

atio

ns, i

ts s

peci

aliz

ed a

genc

ies

and

the

Inte

rnat

iona

l Ato

mic

Ene

rgy

Age

ncy,

as

wel

l as

any

Sta

te m

embe

r th

ereo

f or

obs

erve

rs th

eret

o no

t par

ty to

the

Con

vent

ion,

m

ay b

e re

pres

ente

d at

ses

sion

s of

the

Con

fere

nce

of th

e P

artie

s se

rvin

g as

the

mee

ting

of th

e Pa

rtie

s to

this

Pro

toco

l as

obse

rver

s. A

ny b

ody

or a

genc

y, w

heth

er n

atio

nal o

r in

tern

atio

nal,

gove

rnm

enta

l or

non-

gove

rnm

enta

l, w

hich

is q

uali

fied

in m

atte

rs c

over

ed b

y th

is P

roto

col

and

whi

ch h

as in

form

ed th

e se

cret

aria

t of

its w

ish

to b

e re

pres

ente

d at

a s

essi

on o

f th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col a

s an

obs

erve

r,

may

be

so a

dmitt

ed u

nles

s at

leas

t one

thir

d of

the

Part

ies

pres

ent o

bjec

t. T

he a

dmis

sion

and

pa

rtic

ipat

ion

of o

bser

vers

sha

ll be

sub

ject

to th

e ru

les

of p

roce

dure

, as

refe

rred

to in

par

agra

ph 5

ab

ove.

Art

icle

14

1.T

he s

ecre

tari

at e

stab

lishe

d by

Art

icle

8 o

f th

e C

onve

ntio

n sh

all s

erve

as

the

secr

etar

iat

of th

is P

roto

col.

2.A

rtic

le 8

, par

agra

ph 2

, of

the

Con

vent

ion

on th

e fu

nctio

ns o

f th

e se

cret

aria

t, an

dA

rtic

le 8

, par

agra

ph 3

, of

the

Con

vent

ion

on a

rran

gem

ents

mad

e fo

r th

e fu

nctio

ning

of

the

secr

etar

iat,

shal

l app

ly m

utat

is m

utan

dis

to th

is P

roto

col.

The

sec

reta

riat

sha

ll, in

add

ition

, ex

erci

se th

e fu

nctio

ns a

ssig

ned

to it

und

er th

is P

roto

col.

Art

icle

15

1.T

he S

ubsi

diar

y B

ody

for

Scie

ntif

ic a

nd T

echn

olog

ical

Adv

ice

and

the

Subs

idia

ry B

ody

for

Impl

emen

tatio

n es

tabl

ishe

d by

Art

icle

s 9

and

10 o

f th

e C

onve

ntio

n sh

all s

erve

as,

re

spec

tivel

y, th

e Su

bsid

iary

Bod

y fo

r Sc

ient

ific

and

Tec

hnol

ogic

al A

dvic

e an

d th

e Su

bsid

iary

B

ody

for

Impl

emen

tatio

n of

this

Pro

toco

l. T

he p

rovi

sion

s re

latin

g to

the

func

tioni

ng o

f th

ese

two

bodi

es u

nder

the

Con

vent

ion

shal

l app

ly m

utat

is m

utan

dis

to th

is P

roto

col.

Ses

sion

s of

the

mee

tings

of

the

Subs

idia

ry B

ody

for

Scie

ntif

ic a

nd T

echn

olog

ical

Adv

ice

and

the

Subs

idia

ry

Bod

y fo

r Im

plem

enta

tion

of th

is P

roto

col s

hall

be h

eld

in c

onju

nctio

n w

ith th

e m

eetin

gs o

f,

resp

ectiv

ely,

the

Subs

idia

ry B

ody

for

Scie

ntif

ic a

nd T

echn

olog

ical

Adv

ice

and

the

Subs

idia

ry

Bod

y fo

r Im

plem

enta

tion

of th

e C

onve

ntio

n.

- 15

-

2.Pa

rtie

s to

the

Con

vent

ion

that

are

not

Par

ties

to th

is P

roto

col m

ay p

artic

ipat

e as

obs

erve

rsin

the

proc

eedi

ngs

of a

ny s

essi

on o

f th

e su

bsid

iary

bod

ies.

Whe

n th

e su

bsid

iary

bod

ies

serv

e as

th

e su

bsid

iary

bod

ies

of th

is P

roto

col,

deci

sion

s un

der

this

Pro

toco

l sha

ll be

take

n on

ly b

y th

ose

that

are

Par

ties

to th

is P

roto

col.

3.W

hen

the

subs

idia

ry b

odie

s es

tabl

ishe

d by

Art

icle

s 9

and

10 o

f th

e C

onve

ntio

n ex

erci

seth

eir

func

tions

with

reg

ard

to m

atte

rs c

once

rnin

g th

is P

roto

col,

any

mem

ber

of th

e B

urea

ux o

f th

ose

subs

idia

ry b

odie

s re

pres

entin

g a

Part

y to

the

Con

vent

ion

but,

at th

at ti

me,

not

a p

arty

to

this

Pro

toco

l, sh

all b

e re

plac

ed b

y an

add

ition

al m

embe

r to

be

elec

ted

by a

nd f

rom

am

ongs

t the

Pa

rtie

s to

this

Pro

toco

l.

Art

icle

16

The

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e P

artie

s to

this

Pro

toco

l sha

ll,

as s

oon

as p

ract

icab

le, c

onsi

der

the

appl

icat

ion

to th

is P

roto

col o

f, a

nd m

odif

y as

app

ropr

iate

, th

e m

ultil

ater

al c

onsu

ltativ

e pr

oces

s re

ferr

ed to

in A

rtic

le 1

3 of

the

Con

vent

ion,

in th

e lig

ht o

f an

y re

leva

nt d

ecis

ions

that

may

be

take

n by

the

Con

fere

nce

of th

e Pa

rtie

s. A

ny m

ultil

ater

al

cons

ulta

tive

proc

ess

that

may

be

appl

ied

to th

is P

roto

col s

hall

oper

ate

with

out p

reju

dice

to th

e pr

oced

ures

and

mec

hani

sms

esta

blis

hed

in a

ccor

danc

e w

ith A

rtic

le 1

8.

Art

icle

17

The

Con

fere

nce

of th

e Pa

rtie

s sh

all d

efin

e th

e re

leva

nt p

rinc

iple

s, m

odal

ities

, rul

es a

nd

guid

elin

es, i

n pa

rtic

ular

for

ver

ific

atio

n, r

epor

ting

and

acco

unta

bilit

y fo

r em

issi

ons

trad

ing.

The

Pa

rtie

s in

clud

ed in

Ann

ex B

may

par

ticip

ate

in e

mis

sion

s tr

adin

g fo

r th

e pu

rpos

es o

f fu

lfill

ing

thei

r co

mm

itmen

ts u

nder

Art

icle

3.

Any

suc

h tr

adin

g sh

all b

e su

pple

men

tal t

o do

mes

tic a

ctio

ns

for

the

purp

ose

of m

eetin

g qu

antif

ied

emis

sion

lim

itatio

n an

d re

duct

ion

com

mitm

ents

und

er th

at

Art

icle

.

Art

icle

18

The

Con

fere

nce

of th

e Pa

rtie

s se

rvin

g as

the

mee

ting

of th

e P

artie

s to

this

Pro

toco

l sha

ll,

at it

s fi

rst s

essi

on, a

ppro

ve a

ppro

pria

te a

nd e

ffec

tive

proc

edur

es a

nd m

echa

nism

s to

det

erm

ine

and

to a

ddre

ss c

ases

of

non-

com

plia

nce

with

the

prov

isio

ns o

f th

is P

roto

col,

incl

udin

g th

roug

h th

e de

velo

pmen

t of

an in

dica

tive

list o

f co

nseq

uenc

es, t

akin

g in

to a

ccou

nt th

e ca

use,

type

, deg

ree

and

freq

uenc

y of

non

-com

plia

nce.

Any

pro

cedu

res

and

mec

hani

sms

unde

r th

is A

rtic

le e

ntai

ling

bind

ing

cons

eque

nces

sha

ll be

ado

pted

by

mea

ns o

f an

am

endm

ent t

o th

is P

roto

col.

Art

icle

19

The

pro

visi

ons

of A

rtic

le 1

4 of

the

Con

vent

ion

on s

ettle

men

t of

disp

utes

sha

ll ap

ply

mut

atis

mut

andi

s to

this

Pro

toco

l.

Art

icle

20

1.A

ny P

arty

may

pro

pose

am

endm

ents

to th

is P

roto

col.

2.A

men

dmen

ts to

this

Pro

toco

l sha

ll be

ado

pted

at a

n or

dina

ry s

essi

on o

f th

e C

onfe

renc

eof

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is P

roto

col.

The

text

of

any

prop

osed

am

endm

ent t

o th

is P

roto

col s

hall

be c

omm

unic

ated

to th

e Pa

rtie

s by

the

secr

etar

iat a

t lea

st

- 16

-

six

mon

ths

befo

re th

e m

eetin

g at

whi

ch it

is p

ropo

sed

for

adop

tion.

The

sec

reta

riat

sha

ll al

so

com

mun

icat

e th

e te

xt o

f an

y pr

opos

ed a

men

dmen

ts to

the

Part

ies

and

sign

ator

ies

to th

e C

onve

ntio

n an

d, f

or in

form

atio

n, to

the

Dep

osita

ry.

3.T

he P

artie

s sh

all m

ake

ever

y ef

fort

to r

each

agr

eem

ent o

n an

y pr

opos

ed a

men

dmen

t to

this

Pro

toco

l by

cons

ensu

s. I

f al

l eff

orts

at c

onse

nsus

hav

e be

en e

xhau

sted

, and

no

agre

emen

t re

ache

d, th

e am

endm

ent s

hall

as a

last

res

ort b

e ad

opte

d by

a th

ree-

four

ths

maj

orit

y vo

te o

f th

e P

artie

s pr

esen

t and

vot

ing

at th

e m

eetin

g. T

he a

dopt

ed a

men

dmen

t sha

ll be

com

mun

icat

ed b

y th

e se

cret

aria

t to

the

Dep

osit

ary,

who

sha

ll c

ircu

late

it to

all

Par

ties

for

thei

r ac

cept

ance

.

4.In

stru

men

ts o

f ac

cept

ance

in r

espe

ct o

f an

am

endm

ent s

hall

be d

epos

ited

with

the

Dep

osita

ry.

An

amen

dmen

t ado

pted

in a

ccor

danc

e w

ith p

arag

raph

3 a

bove

sha

ll en

ter

into

fo

rce

for

thos

e P

artie

s ha

ving

acc

epte

d it

on th

e ni

netie

th d

ay a

fter

the

date

of

rece

ipt b

y th

e D

epos

itary

of

an in

stru

men

t of

acce

ptan

ce b

y at

leas

t thr

ee f

ourt

hs o

f th

e Pa

rtie

s to

this

Pro

toco

l.

5.T

he a

men

dmen

t sha

ll en

ter

into

for

ce f

or a

ny o

ther

Par

ty o

n th

e ni

netie

th d

ay a

fter

the

date

on

whi

ch th

at P

arty

dep

osits

with

the

Dep

osita

ry it

s in

stru

men

t of

acce

ptan

ce o

f th

e sa

id

amen

dmen

t.

Art

icle

21

1.A

nnex

es to

this

Pro

toco

l sha

ll fo

rm a

n in

tegr

al p

art t

here

of a

nd, u

nles

s ot

herw

ise

expr

essl

y pr

ovid

ed, a

ref

eren

ce to

this

Pro

toco

l con

stitu

tes

at th

e sa

me

time

a re

fere

nce

to

any

anne

xes

ther

eto.

Any

ann

exes

ado

pted

aft

er th

e en

try

into

for

ce o

f th

is P

roto

col s

hall

be

rest

rict

ed to

list

s, f

orm

s an

d an

y ot

her

mat

eria

l of

a de

scri

ptiv

e na

ture

that

is o

f a

scie

ntif

ic,

tech

nica

l, pr

oced

ural

or

adm

inis

trat

ive

char

acte

r.

2.A

ny P

arty

may

mak

e pr

opos

als

for

an a

nnex

to th

is P

roto

col a

nd m

ay p

ropo

seam

endm

ents

to a

nnex

es to

this

Pro

toco

l.

3.A

nnex

es to

this

Pro

toco

l and

am

endm

ents

to a

nnex

es to

this

Pro

toco

l sha

ll be

ado

pted

at

an o

rdin

ary

sess

ion

of th

e C

onfe

renc

e of

the

Part

ies

serv

ing

as th

e m

eetin

g of

the

Part

ies

to th

is

Prot

ocol

. T

he te

xt o

f an

y pr

opos

ed a

nnex

or

amen

dmen

t to

an a

nnex

sha

ll be

com

mun

icat

ed to

th

e Pa

rtie

s by

the

secr

etar

iat a

t lea

st s

ix m

onth

s be

fore

the

mee

ting

at w

hich

it is

pro

pose

d fo

r ad

optio

n. T

he s

ecre

tari

at s

hall

also

com

mun

icat

e th

e te

xt o

f an

y pr

opos

ed a

nnex

or

amen

dmen

t to

an

anne

x to

the

Part

ies

and

sign

ator

ies

to th

e C

onve

ntio

n an

d, f

or in

form

atio

n, to

the

Dep

osita

ry.

4.T

he P

artie

s sh

all m

ake

ever

y ef

fort

to r

each

agr

eem

ent o

n an

y pr

opos

ed a

nnex

or

amen

dmen

t to

an a

nnex

by

cons

ensu

s. I

f al

l eff

orts

at c

onse

nsus

hav

e be

en e

xhau

sted

, and

no

agre

emen

t rea

ched

, the

ann

ex o

r am

endm

ent t

o an

ann

ex s

hall

as a

last

res

ort b

e ad

opte

d by

a

thre

e-fo

urth

s m

ajor

ity

vote

of

the

Part

ies

pres

ent a

nd v

otin

g at

the

mee

ting.

The

ado

pted

ann

ex

or a

men

dmen

t to

an a

nnex

sha

ll be

com

mun

icat

ed b

y th

e se

cret

aria

t to

the

Dep

osita

ry, w

ho s

hall

circ

ulat

e it

to a

ll P

artie

s fo

r th

eir

acce

ptan

ce.

5.A

n an

nex,

or

amen

dmen

t to

an a

nnex

oth

er th

an A

nnex

A o

r B

, tha

t has

bee

n ad

opte

d in

acco

rdan

ce w

ith p

arag

raph

s 3

and

4 ab

ove

shal

l ent

er in

to f

orce

for

all

Part

ies

to th

is P

roto

col

six

mon

ths

afte

r th

e da

te o

f th

e co

mm

unic

atio

n by

the

Dep

osita

ry to

suc

h P

artie

s of

the

adop

tion

of th

e an

nex

or a

dopt

ion

of th

e am

endm

ent t

o th

e an

nex,

exc

ept f

or th

ose

Par

ties

that

hav

e

- 17

-

notif

ied

the

Dep

osita

ry, i

n w

ritin

g, w

ithin

that

per

iod

of th

eir

non-

acce

ptan

ce o

f th

e an

nex

or

amen

dmen

t to

the

anne

x. T

he a

nnex

or

amen

dmen

t to

an a

nnex

sha

ll en

ter

into

for

ce f

or P

artie

s w

hich

with

draw

thei

r no

tifi

catio

n of

non

-acc

epta

nce

on th

e ni

netie

th d

ay a

fter

the

date

on

whi

ch

with

draw

al o

f su

ch n

otif

icat

ion

has

been

rec

eive

d by

the

Dep

osita

ry.

6.If

the

adop

tion

of a

n an

nex

or a

n am

endm

ent t

o an

ann

ex in

volv

es a

n am

endm

ent t

o th

isPr

otoc

ol, t

hat a

nnex

or

amen

dmen

t to

an a

nnex

sha

ll no

t ent

er in

to f

orce

unt

il su

ch ti

me

as th

e am

endm

ent t

o th

is P

roto

col e

nter

s in

to f

orce

.

7.A

men

dmen

ts to

Ann

exes

A a

nd B

to th

is P

roto

col s

hall

be a

dopt

ed a

nd e

nter

into

for

cein

acc

orda

nce

with

the

proc

edur

e se

t out

in A

rtic

le 2

0, p

rovi

ded

that

any

am

endm

ent t

o A

nnex

B

shal

l be

adop

ted

only

with

the

wri

tten

cons

ent o

f th

e Pa

rty

conc

erne

d.

Art

icle

22

1.E

ach

Part

y sh

all h

ave

one

vote

, exc

ept a

s pr

ovid

ed f

or in

par

agra

ph 2

bel

ow.

2.R

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion

s, in

mat

ters

wit

hin

thei

r co

mpe

tenc

e, s

hall

exer

cise

thei

r ri

ght t

o vo

te w

ith a

num

ber

of v

otes

equ

al to

the

num

ber

of th

eir

mem

ber

Stat

es

that

are

Par

ties

to th

is P

roto

col.

Suc

h an

org

aniz

atio

n sh

all n

ot e

xerc

ise

its r

ight

to v

ote

if a

ny

of it

s m

embe

r S

tate

s ex

erci

ses

its r

ight

, and

vic

e ve

rsa.

Art

icle

23

The

Sec

reta

ry-G

ener

al o

f th

e U

nite

d N

atio

ns s

hall

be th

e D

epos

itary

of

this

Pro

toco

l.

Art

icle

24

1.T

his

Prot

ocol

sha

ll be

ope

n fo

r si

gnat

ure

and

subj

ect t

o ra

tific

atio

n, a

ccep

tanc

e or

appr

oval

by

Stat

es a

nd r

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tions

whi

ch a

re P

artie

s to

the

Con

vent

ion.

It s

hall

be o

pen

for

sign

atur

e at

Uni

ted

Nat

ions

Hea

dqua

rter

s in

New

Yor

k fr

om

16 M

arch

199

8 to

15

Mar

ch 1

999.

Thi

s Pr

otoc

ol s

hall

be o

pen

for

acce

ssio

n fr

om th

e da

y af

ter

the

date

on

whi

ch it

is c

lose

d fo

r si

gnat

ure.

Ins

trum

ents

of

ratif

icat

ion,

acc

epta

nce,

app

rova

l or

acce

ssio

n sh

all b

e de

posi

ted

with

the

Dep

osita

ry.

2.A

ny r

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion

whi

ch b

ecom

es a

Par

ty to

this

Pro

toco

lw

ithou

t any

of

its m

embe

r St

ates

bei

ng a

Par

ty s

hall

be b

ound

by

all t

he o

blig

atio

ns u

nder

this

Pr

otoc

ol.

In th

e ca

se o

f su

ch o

rgan

izat

ions

, one

or

mor

e of

who

se m

embe

r St

ates

is a

Par

ty

to th

is P

roto

col,

the

orga

niza

tion

and

its m

embe

r St

ates

sha

ll de

cide

on

thei

r re

spec

tive

resp

onsi

bilit

ies

for

the

perf

orm

ance

of

thei

r ob

liga

tions

und

er th

is P

roto

col.

In

such

cas

es, t

he

orga

niza

tion

and

the

mem

ber

Stat

es s

hall

not b

e en

title

d to

exe

rcis

e ri

ghts

und

er th

is P

roto

col

conc

urre

ntly

.

3.In

thei

r in

stru

men

ts o

f ra

tifi

catio

n, a

ccep

tanc

e, a

ppro

val o

r ac

cess

ion,

reg

iona

l eco

nom

icin

tegr

atio

n or

gani

zati

ons

shal

l dec

lare

the

exte

nt o

f th

eir

com

pete

nce

wit

h re

spec

t to

the

mat

ters

go

vern

ed b

y th

is P

roto

col.

The

se o

rgan

izat

ions

sha

ll al

so in

form

the

Dep

osita

ry, w

ho s

hall

in

turn

info

rm th

e Pa

rtie

s, o

f an

y su

bsta

ntia

l mod

ific

atio

n in

the

exte

nt o

f th

eir

com

pete

nce.

- 18

-

Art

icle

25

1.T

his

Prot

ocol

sha

ll en

ter

into

for

ce o

n th

e ni

netie

th d

ay a

fter

the

date

on

whi

ch n

ot le

ssth

an 5

5 Pa

rtie

s to

the

Con

vent

ion,

inco

rpor

atin

g Pa

rtie

s in

clud

ed in

Ann

ex I

whi

ch a

ccou

nted

in

tota

l for

at l

east

55

per

cent

of

the

tota

l car

bon

diox

ide

emis

sion

s fo

r 19

90 o

f th

e Pa

rtie

s in

clud

ed

in A

nnex

I, h

ave

depo

site

d th

eir

inst

rum

ents

of

ratif

icat

ion,

acc

epta

nce,

app

rova

l or

acce

ssio

n.

2.Fo

r th

e pu

rpos

es o

f th

is A

rtic

le, “

the

tota

l car

bon

diox

ide

emis

sion

s fo

r 19

90 o

f th

ePa

rtie

s in

clud

ed in

Ann

ex I

” m

eans

the

amou

nt c

omm

unic

ated

on

or b

efor

e th

e da

te o

f ad

optio

n of

this

Pro

toco

l by

the

Part

ies

incl

uded

in A

nnex

I in

thei

r fi

rst n

atio

nal c

omm

unic

atio

ns

subm

itted

in a

ccor

danc

e w

ith A

rtic

le 1

2 of

the

Con

vent

ion.

3.Fo

r ea

ch S

tate

or

regi

onal

eco

nom

ic in

tegr

atio

n or

gani

zatio

n th

at r

atif

ies,

acc

epts

or

appr

oves

this

Pro

toco

l or

acce

des

ther

eto

afte

r th

e co

nditi

ons

set o

ut in

par

agra

ph 1

abo

ve f

or

entr

y in

to f

orce

hav

e be

en f

ulfi

lled,

this

Pro

toco

l sha

ll en

ter

into

for

ce o

n th

e ni

netie

th d

ay

follo

win

g th

e da

te o

f de

posi

t of

its in

stru

men

t of

ratif

icat

ion,

acc

epta

nce,

app

rova

l or

acce

ssio

n.

4.Fo

r th

e pu

rpos

es o

f th

is A

rtic

le, a

ny in

stru

men

t dep

osite

d by

a r

egio

nal e

cono

mic

inte

grat

ion

orga

niza

tion

shal

l not

be

coun

ted

as a

dditi

onal

to th

ose

depo

site

d by

Sta

tes

mem

bers

of

the

orga

niza

tion.

Art

icle

26

No

rese

rvat

ions

may

be

mad

e to

this

Pro

toco

l.

Art

icle

27

1.A

t any

tim

e af

ter

thre

e ye

ars

from

the

date

on

whi

ch th

is P

roto

col h

as e

nter

ed in

to f

orce

for

a Pa

rty,

that

Par

ty m

ay w

ithdr

aw f

rom

this

Pro

toco

l by

givi

ng w

ritte

n no

tific

atio

n to

the

Dep

osita

ry.

2.A

ny s

uch

with

draw

al s

hall

take

eff

ect u

pon

expi

ry o

f on

e ye

ar f

rom

the

date

of

rece

ipt b

y th

e D

epos

itary

of

the

noti

fica

tion

of w

ithdr

awal

, or

on s

uch

late

r da

te a

s m

ay b

e sp

ecif

ied

in th

e no

tific

atio

n of

with

draw

al.

3.A

ny P

arty

that

with

draw

s fr

om th

e C

onve

ntio

n sh

all b

e co

nsid

ered

as

also

hav

ing

with

draw

n fr

om th

is P

roto

col.

Art

icle

28

The

ori

gina

l of

this

Pro

toco

l, of

whi

ch th

e A

rabi

c, C

hine

se, E

nglis

h, F

renc

h, R

ussi

an

and

Span

ish

text

s ar

e eq

uall

y au

then

tic, s

hall

be d

epos

ited

with

the

Secr

etar

y-G

ener

al o

f th

e U

nite

d N

atio

ns.

DO

NE

at K

yoto

this

ele

vent

h da

y of

Dec

embe

r on

e th

ousa

nd n

ine

hund

red

and

nine

ty-s

even

.

IN W

ITN

ESS

WH

ER

EO

F th

e un

ders

igne

d, b

eing

dul

y au

thor

ized

to th

at e

ffec

t, ha

ve

affi

xed

thei

r si

gnat

ures

to th

is P

roto

col o

n th

e da

tes

indi

cate

d.

- 19

-

Ann

ex A

Gre

enho

use

gase

s

Car

bon

diox

ide

(C02

)

Met

hane

(C

H4)

N

itrou

s ox

ide

(N20

)

Hyd

rofl

uoro

carb

ons

(HFC

s)

Perf

luor

ocar

bons

(PF

Cs)

Su

lphu

r he

xafl

uori

de (

SF6)

Sect

ors/

sour

ce c

ateg

orie

s

Ene

rgy

Fu

el c

ombu

stio

n E

nerg

y in

dust

ries

M

anuf

actu

ring

indu

stri

es a

nd c

onst

ruct

ion

Tra

nspo

rt

Oth

er s

ecto

rs

Oth

er

Fugi

tive

emis

sion

s fr

om f

uels

So

lid f

uels

O

il an

d na

tura

l gas

O

ther

Indu

stri

al p

roce

sses

Min

eral

pro

duct

s

Che

mic

al in

dust

ry

Met

al p

rodu

ctio

n

O

ther

pro

duct

ion

Prod

uctio

n of

hal

ocar

bons

and

sul

phur

hex

aflu

orid

e C

onsu

mpt

ion

of h

aloc

arbo

ns a

nd s

ulph

ur h

exaf

luor

ide

Oth

er

Solv

ent a

nd o

ther

pro

duct

use

Agr

icul

ture

E

nter

ic f

erm

enta

tion

M

anur

e m

anag

emen

t

Ric

e cu

ltiv

atio

n

Agr

icul

tura

l soi

ls

Pres

crib

ed b

urni

ng o

f sa

vann

as

Fiel

d bu

rnin

g of

agr

icul

tura

l res

idue

s

O

ther

Was

te So

lid w

aste

dis

posa

l on

land

W

aste

wat

er h

andl

ing

W

aste

inci

nera

tion

Oth

er

- 20

-

Ann

ex B

Par

ty

Qua

ntif

ied

emis

sion

lim

itat

ion

or r

educ

tion

com

mit

men

t (p

erce

ntag

e of

bas

e ye

ar o

r pe

riod

)

Aus

tral

ia10

8A

ustr

ia

92

Bel

gium

9

2 B

ulga

ria*

9

2 C

anad

a 9

4 C

roat

ia*

95

Cze

ch R

epub

lic*

92

Den

mar

k 9

2 E

ston

ia*

92

Eur

opea

n C

omm

unit

y 9

2 Fi

nlan

d 9

2 Fr

ance

9

2 G

erm

any

92

Gre

ece

92

Hun

gary

* 9

4 Ic

elan

d11

0Ir

elan

d 9

2 It

aly

92

Japa

n 9

4 L

atvi

a*

92

Lie

chte

nste

in

92

Lith

uani

a*

92

Lux

embo

urg

92

Mon

aco

92

Net

herl

ands

9

2 N

ew Z

eala

nd

100

Nor

way

101

Pola

nd*

94

Port

ugal

9

2 R

oman

ia*

92

Rus

sian

Fed

erat

ion*

10

0 Sl

ovak

ia*

92

Slov

enia

* 9

2 Sp

ain

92

Swed

en

92

Switz

erla

nd

92

Ukr

aine

*10

0U

nite

d K

ingd

om o

f G

reat

B

rita

in a

nd N

orth

ern

Irel

and

92

Uni

ted

Stat

es o

f A

mer

ica

93

*C

ount

ries

that

are

und

ergo

ing

the

proc

ess

of tr

ansi

tion

to a

mar

ket e

cono

my.

----

-

Adoption of the Paris Agreement (Draft Decision -/CP.21)

United Nations Framework Convention on Climate Change,

Conference of the Parties on its twenty-first session

FCCC/CP/2015/L.9/Rev.1, 12 December 2015

GE.

15-2

1932

(E)

*1521932*

C

onfe

renc

e of

the

Part

ies

Tw

enty

-fir

st se

ssio

n Pa

ris,

30 N

ovem

ber

to 1

1 D

ecem

ber

2015

Age

nda

item

4(b

) D

urba

n Pl

atfo

rm fo

r E

nhan

ced

Act

ion

(dec

isio

n 1/

CP.

17)

Ado

ptio

n of

a p

roto

col,

anot

her

lega

l ins

trum

ent,

or a

n

agre

ed o

utco

me

with

lega

l for

ce u

nder

the

Con

vent

ion

ap

plic

able

to a

ll Pa

rtie

s

AD

OPT

ION

OF

TH

E P

AR

IS A

GR

EE

ME

NT

Prop

osal

by

the

Pres

iden

t

Dra

ft d

ecis

ion

-/CP.

21

The

Con

fere

nce

of th

e Pa

rtie

s,

Reca

lling

dec

isio

n 1/

CP.

17 o

n th

e es

tabl

ishm

ent o

f the

Ad

Hoc

Wor

king

Gro

up o

n th

e D

urba

n Pl

atfo

rm fo

r Enh

ance

d A

ctio

n,

Also

reca

lling

Arti

cles

2, 3

and

4 o

f the

Con

vent

ion,

Furt

her

reca

lling

rel

evan

t de

cisi

ons

of t

he C

onfe

renc

e of

the

Par

ties,

incl

udin

g de

cisi

ons 1

/CP.

16, 2

/CP.

18, 1

/CP.

19 a

nd 1

/CP.

20,

Wel

com

ing

the

adop

tion

of

Uni

ted

Nat

ions

G

ener

al

Ass

embl

y re

solu

tion

A/R

ES/7

0/1,

“Tr

ansf

orm

ing

our w

orld

: the

203

0 A

gend

a fo

r Sus

tain

able

Dev

elop

men

t”, i

n pa

rticu

lar

its g

oal

13, a

nd t

he a

dopt

ion

of t

he A

ddis

Aba

ba A

ctio

n A

gend

a of

the

thi

rd

Inte

rnat

iona

l C

onfe

renc

e on

Fin

anci

ng f

or D

evel

opm

ent

and

the

adop

tion

of t

he S

enda

i Fr

amew

ork

for D

isas

ter R

isk

Red

uctio

n,

Reco

gniz

ing

that

clim

ate

chan

ge r

epre

sent

s an

urg

ent

and

pote

ntia

lly i

rrev

ersi

ble

thre

at to

hum

an s

ocie

ties

and

the

plan

et a

nd th

us r

equi

res

the

wid

est p

ossi

ble

coop

erat

ion

by a

ll co

untri

es,

and

thei

r pa

rtici

patio

n in

an

effe

ctiv

e an

d ap

prop

riate

int

erna

tiona

l re

spon

se, w

ith a

vie

w to

acc

eler

atin

g th

e re

duct

ion

of g

loba

l gre

enho

use

gas

emis

sion

s,

Also

rec

ogni

zing

that

dee

p re

duct

ions

in g

loba

l em

issi

ons

will

be

requ

ired

in o

rder

to

ach

ieve

the

ultim

ate

obje

ctiv

e of

the

Con

vent

ion

and

emph

asiz

ing

the

need

for u

rgen

cy

in a

ddre

ssin

g cl

imat

e ch

ange

,

Ackn

owle

dgin

g th

at c

limat

e ch

ange

is

a co

mm

on c

once

rn o

f hu

man

kind

, Pa

rties

sh

ould

, whe

n ta

king

act

ion

to a

ddre

ss c

limat

e ch

ange

, res

pect

, pro

mot

e an

d co

nsid

er th

eir

resp

ectiv

e ob

ligat

ions

on

hum

an ri

ghts

, the

righ

t to

heal

th, t

he ri

ghts

of i

ndig

enou

s peo

ples

,

+

U

nite

d N

atio

ns

FCC

C/C

P/20

15/L

.9/R

ev.1

Dis

tr.: L

imite

d 12

Dec

embe

r 201

5 O

rigin

al: E

nglis

h

FCC

C/C

P/20

15/L

.9/R

ev.1

2

loca

l com

mun

ities

, mig

rant

s, ch

ildre

n, p

erso

ns w

ith d

isab

ilitie

s an

d pe

ople

in v

ulne

rabl

e si

tuat

ions

and

the

rig

ht t

o de

velo

pmen

t, as

wel

l as

gen

der

equa

lity,

em

pow

erm

ent

of

wom

en a

nd in

terg

ener

atio

nal e

quity

, Al

so a

ckno

wle

dgin

g th

e sp

ecifi

c ne

eds

and

conc

erns

of d

evel

opin

g co

untry

Par

ties

aris

ing

from

the

im

pact

of

the

impl

emen

tatio

n of

res

pons

e m

easu

res

and,

in

this

reg

ard,

de

cisi

ons 5

/CP.

7, 1

/CP.

10, 1

/CP.

16 a

nd 8

/CP.

17,

Emph

asiz

ing

with

ser

ious

con

cern

the

urg

ent

need

to

addr

ess

the

sign

ifica

nt g

ap

betw

een

the

aggr

egat

e ef

fect

of

Parti

es’

miti

gatio

n pl

edge

s in

ter

ms

of g

loba

l an

nual

em

issi

ons

of g

reen

hous

e ga

ses

by 2

020

and

aggr

egat

e em

issi

on p

athw

ays

cons

iste

nt w

ith

hold

ing

the

incr

ease

in

the

glob

al a

vera

ge t

empe

ratu

re t

o w

ell

belo

w 2

°C

abo

ve p

re-

indu

stria

l lev

els

and

purs

uing

effo

rts to

lim

it th

e te

mpe

ratu

re in

crea

se to

1.5

°C

abo

ve p

re-

indu

stria

l lev

els,

Also

em

phas

izin

g th

at e

nhan

ced

pre

2020

am

bitio

n ca

n la

y a

solid

fou

ndat

ion

for

enha

nced

pos

t202

0 am

bitio

n,

Stre

ssin

g th

e ur

genc

y of

acc

eler

atin

g th

e im

plem

enta

tion

of th

e C

onve

ntio

n an

d its

K

yoto

Pro

toco

l in

orde

r to

enha

nce

pre-

2020

am

bitio

n,

Reco

gniz

ing

the

urge

nt n

eed

to e

nhan

ce t

he p

rovi

sion

of

finan

ce, t

echn

olog

y an

d ca

paci

ty-b

uild

ing

supp

ort b

y de

velo

ped

coun

try P

artie

s, in

a p

redi

ctab

le m

anne

r, to

ena

ble

enha

nced

pre

-202

0 ac

tion

by d

evel

opin

g co

untry

Par

ties,

Emph

asiz

ing

the

endu

ring

bene

fits

of a

mbi

tious

and

ear

ly a

ctio

n, in

clud

ing

maj

or

redu

ctio

ns in

the

cost

of f

utur

e m

itiga

tion

and

adap

tatio

n ef

forts

,

Ackn

owle

dgin

g th

e ne

ed t

o pr

omot

e un

iver

sal

acce

ss t

o su

stai

nabl

e en

ergy

in

deve

lopi

ng c

ount

ries,

in p

artic

ular

in

Afr

ica,

th

roug

h th

e en

hanc

ed d

eplo

ymen

t of

re

new

able

ene

rgy,

Agre

eing

to u

phol

d an

d pr

omot

e re

gion

al a

nd in

tern

atio

nal c

oope

ratio

n in

ord

er to

m

obili

ze s

trong

er a

nd m

ore

ambi

tious

clim

ate

actio

n by

all

Parti

es a

nd n

on-P

arty

st

akeh

olde

rs,

incl

udin

g ci

vil

soci

ety,

the

priv

ate

sect

or,

finan

cial

ins

titut

ions

, ci

ties

and

othe

r sub

natio

nal a

utho

ritie

s, lo

cal c

omm

uniti

es a

nd in

dige

nous

peo

ples

,

I. A

DO

PTIO

N

1.

Dec

ides

to

adop

t th

e Pa

ris A

gree

men

t un

der

the

Uni

ted

Nat

ions

Fra

mew

ork

Con

vent

ion

on C

limat

e C

hang

e (h

erei

nafte

r ref

erre

d to

as “

the

Agr

eem

ent”

) as c

onta

ined

in

the

anne

x;

2.

Requ

ests

the

Sec

reta

ry-G

ener

al o

f th

e U

nite

d N

atio

ns t

o be

the

Dep

osita

ry o

f th

e A

gree

men

t and

to h

ave

it op

en fo

r sig

natu

re in

New

Yor

k, U

nite

d St

ates

of A

mer

ica,

from

22

Apr

il 20

16 to

21

Apr

il 20

17;

3.

Invi

tes

the

Secr

etar

y-G

ener

al t

o co

nven

e a

high

-leve

l si

gnat

ure

cere

mon

y fo

r th

e A

gree

men

t on

22 A

pril

2016

;

4.

Also

invi

tes

all P

artie

s to

the

Con

vent

ion

to s

ign

the

Agr

eem

ent a

t the

cer

emon

y to

be

con

vene

d by

the

Secr

etar

y-G

ener

al, o

r at

thei

r ea

rlies

t opp

ortu

nity

, and

to d

epos

it th

eir

resp

ectiv

e in

stru

men

ts o

f rat

ifica

tion,

acc

epta

nce,

app

rova

l or a

cces

sion

, whe

re a

ppro

pria

te,

as so

on a

s pos

sibl

e;

5.

Reco

gniz

es t

hat

Parti

es t

o th

e C

onve

ntio

n m

ay p

rovi

sion

ally

app

ly a

ll of

the

pr

ovis

ions

of

the

Agr

eem

ent p

endi

ng it

s en

try i

nto

forc

e, a

nd r

eque

sts

Parti

es to

pro

vide

no

tific

atio

n of

any

suc

h pr

ovis

iona

l app

licat

ion

to th

e D

epos

itary

;

FCC

C/C

P/20

15/L

.9/R

ev.1

3

6.

Not

es t

hat

the

wor

k of

the

Ad

Hoc

Wor

king

Gro

up o

n th

e D

urba

n Pl

atfo

rm f

or

Enha

nced

Act

ion,

in a

ccor

danc

e w

ith d

ecis

ion

1/C

P.17

, par

agra

ph 4

, has

bee

n co

mpl

eted

;

7.

Dec

ides

to e

stab

lish

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t und

er th

e sa

me

arra

ngem

ent,

mut

atis

mut

andi

s, as

tho

se c

once

rnin

g th

e el

ectio

n of

off

icer

s to

the

B

urea

u of

the

Ad

Hoc

Wor

king

Gro

up o

n th

e D

urba

n Pl

atfo

rm fo

r Enh

ance

d A

ctio

n;1

8.

Also

dec

ides

that

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t sha

ll pr

epar

e fo

r th

e en

try in

to f

orce

of

the

Agr

eem

ent a

nd f

or th

e co

nven

ing

of th

e fir

st s

essi

on o

f th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t;

9.

Furt

her

deci

des

to o

vers

ee t

he i

mpl

emen

tatio

n of

the

wor

k pr

ogra

mm

e re

sulti

ng

from

the

rele

vant

requ

ests

con

tain

ed in

this

dec

isio

n;

10.

Requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t to

repo

rt re

gula

rly to

th

e C

onfe

renc

e of

the

Parti

es o

n th

e pr

ogre

ss o

f its

wor

k an

d to

com

plet

e its

wor

k by

the

first

ses

sion

of

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of t

he P

artie

s to

the

Paris

Agr

eem

ent;

11.

Dec

ides

tha

t th

e A

d H

oc W

orki

ng G

roup

on

the

Paris

Agr

eem

ent

shal

l ho

ld i

ts

sess

ions

sta

rting

in

2016

in

conj

unct

ion

with

the

ses

sion

s of

the

Con

vent

ion

subs

idia

ry

bodi

es a

nd s

hall

prep

are

draf

t dec

isio

ns to

be

reco

mm

ende

d th

roug

h th

e C

onfe

renc

e of

the

Parti

es to

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris

Agr

eem

ent f

or c

onsi

dera

tion

and

adop

tion

at it

s firs

t ses

sion

;

II.

INT

EN

DE

D N

AT

ION

AL

LY

DE

TE

RM

INE

D C

ON

TR

IBU

TIO

NS

12.

Wel

com

es

the

inte

nded

na

tiona

lly

dete

rmin

ed

cont

ribut

ions

th

at

have

be

en

com

mun

icat

ed b

y Pa

rties

in a

ccor

danc

e w

ith d

ecis

ion

1/C

P.19

, par

agra

ph 2

(b);

13.

Reite

rate

s its

invi

tatio

n to

all

Parti

es th

at h

ave

not y

et d

one

so to

com

mun

icat

e to

the

secr

etar

iat

thei

r in

tend

ed

natio

nally

de

term

ined

co

ntrib

utio

ns

tow

ards

ac

hiev

ing

the

obje

ctiv

e of

the

Con

vent

ion

as s

et o

ut i

n its

Arti

cle

2 as

soo

n as

pos

sibl

e an

d w

ell

in

adva

nce

of th

e tw

enty

-sec

ond

sess

ion

of t

he C

onfe

renc

e of

the

Parti

es (

Nov

embe

r 20

16)

and

in a

man

ner t

hat f

acili

tate

s th

e cl

arity

, tra

nspa

renc

y an

d un

ders

tand

ing

of th

e in

tend

ed

natio

nally

det

erm

ined

con

tribu

tions

;

14.

Requ

ests

the

sec

reta

riat

to c

ontin

ue t

o pu

blis

h th

e in

tend

ed n

atio

nally

det

erm

ined

co

ntrib

utio

ns c

omm

unic

ated

by

Parti

es o

n th

e U

NFC

CC

web

site

;

15.

Reite

rate

s its

cal

l to

dev

elop

ed c

ount

ry P

artie

s, th

e op

erat

ing

entit

ies

of t

he

Fina

ncia

l Mec

hani

sm a

nd a

ny o

ther

org

aniz

atio

ns in

a p

ositi

on to

do

so to

pro

vide

sup

port

for t

he p

repa

ratio

n an

d co

mm

unic

atio

n of

the

inte

nded

nat

iona

lly d

eter

min

ed c

ontri

butio

ns

of P

artie

s tha

t may

nee

d su

ch su

ppor

t;

16.

Take

s no

te o

f th

e sy

nthe

sis

repo

rt on

the

agg

rega

te e

ffec

t of

int

ende

d na

tiona

lly

dete

rmin

ed c

ontri

butio

ns c

omm

unic

ated

by

Parti

es b

y 1

Oct

ober

201

5, c

onta

ined

in

docu

men

t FC

CC

/CP/

2015

/7;

17.

Not

es w

ith c

once

rn th

at th

e es

timat

ed a

ggre

gate

gre

enho

use

gas

emis

sion

leve

ls in

20

25 a

nd 2

030

resu

lting

fro

m th

e in

tend

ed n

atio

nally

det

erm

ined

con

tribu

tions

do

not f

all

with

in l

east

-cos

t 2 ˚C

sce

nario

s bu

t ra

ther

lea

d to

a p

roje

cted

lev

el o

f 55

gig

aton

nes

in

2030

, an

d al

so n

otes

tha

t m

uch

grea

ter

emis

sion

red

uctio

n ef

forts

will

be

requ

ired

than

th

ose

asso

ciat

ed w

ith th

e in

tend

ed n

atio

nally

det

erm

ined

con

tribu

tions

in o

rder

to h

old

the

incr

ease

in

the

glob

al a

vera

ge t

empe

ratu

re t

o be

low

2 ˚

C a

bove

pre

-indu

stria

l le

vels

by

1 E

ndor

sed

by d

ecis

ion

2/CP

.18,

par

agra

ph 2

.

FCC

C/C

P/20

15/L

.9/R

ev.1

4

redu

cing

em

issi

ons

to 4

0 gi

gato

nnes

or t

o 1.

5 ˚C

abo

ve p

re-in

dust

rial l

evel

s by

redu

cing

to

a le

vel t

o be

iden

tifie

d in

the

spec

ial r

epor

t ref

erre

d to

in p

arag

raph

21

belo

w;

18.

Also

not

es,

in t

his

cont

ext,

the

adap

tatio

n ne

eds

expr

esse

d by

man

y de

velo

ping

co

untry

Par

ties i

n th

eir i

nten

ded

natio

nally

det

erm

ined

con

tribu

tions

;

19.

Requ

ests

the

sec

reta

riat

to u

pdat

e th

e sy

nthe

sis

repo

rt re

ferr

ed t

o in

par

agra

ph 1

6 ab

ove

so a

s to

cov

er a

ll th

e in

form

atio

n in

the

inte

nded

nat

iona

lly d

eter

min

ed c

ontri

butio

ns

com

mun

icat

ed b

y Pa

rties

pur

suan

t to

dec

isio

n 1/

CP.

20 b

y 4

Apr

il 20

16 a

nd t

o m

ake

it av

aila

ble

by 2

May

201

6;

20.

Dec

ides

to c

onve

ne a

faci

litat

ive

dial

ogue

am

ong

Parti

es in

201

8 to

take

stoc

k of

the

colle

ctiv

e ef

forts

of P

artie

s in

rela

tion

to p

rogr

ess

tow

ards

the

long

-term

goa

l ref

erre

d to

in

Arti

cle

4, p

arag

raph

1,

of t

he A

gree

men

t an

d to

inf

orm

the

pre

para

tion

of n

atio

nally

de

term

ined

con

tribu

tions

pur

suan

t to

Arti

cle

4, p

arag

raph

8, o

f the

Agr

eem

ent;

21.

Invi

tes t

he In

terg

over

nmen

tal P

anel

on

Clim

ate

Cha

nge

to p

rovi

de a

spec

ial r

epor

t in

2018

on

the

impa

cts

of g

loba

l w

arm

ing

of 1

.5 °

C a

bove

pre

-indu

stria

l lev

els

and

rela

ted

glob

al g

reen

hous

e ga

s em

issi

on p

athw

ays;

III.

DE

CIS

ION

S T

O G

IVE

EFF

EC

T T

O T

HE

AG

RE

EM

EN

T

MIT

IGAT

ION

22.

Invi

tes

Parti

es to

com

mun

icat

e th

eir f

irst n

atio

nally

det

erm

ined

con

tribu

tion

no la

ter

than

whe

n th

e Pa

rty s

ubm

its it

s re

spec

tive

inst

rum

ent o

f rat

ifica

tion,

acc

essi

on, o

r app

rova

l of

the

Par

is A

gree

men

t. If

a P

arty

has

com

mun

icat

ed a

n in

tend

ed n

atio

nally

det

erm

ined

co

ntrib

utio

n pr

ior t

o jo

inin

g th

e A

gree

men

t, th

at P

arty

sha

ll be

con

side

red

to h

ave

satis

fied

this

pro

visi

on u

nles

s tha

t Par

ty d

ecid

es o

ther

wis

e;

23.

Urg

es th

ose

Parti

es w

hose

inte

nded

nat

iona

lly d

eter

min

ed c

ontri

butio

n pu

rsua

nt to

de

cisi

on 1

/CP.

20 c

onta

ins

a tim

e fr

ame

up t

o 20

25 t

o co

mm

unic

ate

by 2

020

a ne

w

natio

nally

det

erm

ined

con

tribu

tion

and

to d

o so

eve

ry f

ive

year

s th

erea

fter

purs

uant

to

Arti

cle

4, p

arag

raph

9, o

f the

Agr

eem

ent;

24.

Requ

ests

thos

e Pa

rties

who

se in

tend

ed n

atio

nally

det

erm

ined

con

tribu

tion

purs

uant

to

dec

isio

n 1/

CP.

20 c

onta

ins

a tim

e fr

ame

up to

203

0 to

com

mun

icat

e or

upd

ate

by 2

020

thes

e co

ntrib

utio

ns a

nd to

do

so e

very

five

yea

rs th

erea

fter p

ursu

ant t

o A

rticl

e 4,

par

agra

ph

9, o

f the

Agr

eem

ent;

25.

Dec

ides

tha

t Pa

rties

sha

ll su

bmit

to t

he s

ecre

taria

t th

eir

natio

nally

det

erm

ined

co

ntrib

utio

ns re

ferr

ed to

in A

rticl

e 4

of th

e A

gree

men

t at l

east

9 to

12

mon

ths i

n ad

vanc

e of

th

e re

leva

nt m

eetin

g of

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to

th

e Pa

ris

Agr

eem

ent

with

a

view

to

fa

cilit

atin

g th

e cl

arity

, tra

nspa

renc

y an

d un

ders

tand

ing

of th

ese

cont

ribut

ions

, inc

ludi

ng th

roug

h a

synt

hesi

s re

port

prep

ared

by

the

secr

etar

iat;

26.

Requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t to

dev

elop

fur

ther

gu

idan

ce o

n fe

atur

es o

f th

e na

tiona

lly d

eter

min

ed c

ontri

butio

ns f

or c

onsi

dera

tion

and

adop

tion

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

A

gree

men

t at i

ts fi

rst s

essi

on;

27.

Agre

es

that

th

e in

form

atio

n to

be

pr

ovid

ed

by

Parti

es

com

mun

icat

ing

thei

r na

tiona

lly

dete

rmin

ed

cont

ribut

ions

, in

or

der

to

faci

litat

e cl

arity

, tra

nspa

renc

y an

d un

ders

tand

ing,

may

inc

lude

, as

app

ropr

iate

, in

ter

alia

, qu

antif

iabl

e in

form

atio

n on

the

re

fere

nce

poin

t (in

clud

ing,

as

appr

opria

te,

a ba

se y

ear)

, tim

e fr

ames

and

/or

perio

ds f

or

impl

emen

tatio

n, s

cope

and

cov

erag

e, p

lann

ing

proc

esse

s, as

sum

ptio

ns a

nd m

etho

dolo

gica

l ap

proa

ches

incl

udin

g th

ose

for e

stim

atin

g an

d ac

coun

ting

for a

nthr

opog

enic

gre

enho

use

gas

FCC

C/C

P/20

15/L

.9/R

ev.1

5

emis

sion

s an

d, a

s ap

prop

riate

, re

mov

als,

and

how

the

Par

ty c

onsi

ders

tha

t its

nat

iona

lly

dete

rmin

ed c

ontri

butio

n is

fair

and

ambi

tious

, in

the

light

of i

ts n

atio

nal c

ircum

stan

ces,

and

how

it

cont

ribut

es t

owar

ds a

chie

ving

the

obj

ectiv

e of

the

Con

vent

ion

as s

et o

ut i

n its

A

rticl

e 2;

28.

Requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t to

dev

elop

fur

ther

gu

idan

ce f

or t

he i

nfor

mat

ion

to b

e pr

ovid

ed b

y Pa

rties

in

orde

r to

fac

ilita

te c

larit

y,

trans

pare

ncy

and

unde

rsta

ndin

g of

nat

iona

lly d

eter

min

ed c

ontri

butio

ns f

or c

onsi

dera

tion

and

adop

tion

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent a

t its

firs

t ses

sion

;

29.

Also

req

uest

s th

e Su

bsid

iary

Bod

y fo

r Im

plem

enta

tion

to d

evel

op m

odal

ities

and

pr

oced

ures

for

the

ope

ratio

n an

d us

e of

the

pub

lic r

egis

try r

efer

red

to i

n A

rticl

e 4,

pa

ragr

aph

12, o

f th

e A

gree

men

t, fo

r co

nsid

erat

ion

and

adop

tion

by th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t at i

ts fi

rst s

essi

on;

30.

Furt

her

requ

ests

the

secr

etar

iat t

o m

ake

avai

labl

e an

inte

rim p

ublic

reg

istry

in th

e fir

st h

alf

of 2

016

for

the

reco

rdin

g of

nat

iona

lly d

eter

min

ed c

ontri

butio

ns s

ubm

itted

in

acco

rdan

ce w

ith A

rticl

e 4

of th

e A

gree

men

t, pe

ndin

g th

e ad

optio

n by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t of

the

mod

aliti

es a

nd

proc

edur

es re

ferr

ed to

in p

arag

raph

29

abov

e;

31.

Requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t to

elab

orat

e, d

raw

ing

from

app

roac

hes

esta

blis

hed

unde

r th

e C

onve

ntio

n an

d its

rel

ated

leg

al i

nstru

men

ts a

s ap

prop

riate

, gu

idan

ce f

or a

ccou

ntin

g fo

r Pa

rties

’ na

tiona

lly d

eter

min

ed c

ontri

butio

ns,

as

refe

rred

to in

Arti

cle

4, p

arag

raph

13,

of t

he A

gree

men

t, fo

r con

side

ratio

n an

d ad

optio

n by

th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t at

its fi

rst s

essi

on, w

hich

ens

ures

that

:

(a)

Parti

es a

ccou

nt fo

r ant

hrop

ogen

ic e

mis

sion

s and

rem

oval

s in

acco

rdan

ce w

ith

met

hodo

logi

es a

nd c

omm

on m

etric

s as

sess

ed b

y th

e In

terg

over

nmen

tal P

anel

on

Clim

ate

Cha

nge

and

adop

ted

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es

to th

e Pa

ris A

gree

men

t;

(b)

Parti

es e

nsur

e m

etho

dolo

gica

l co

nsis

tenc

y, i

nclu

ding

on

base

lines

, bet

wee

n th

e co

mm

unic

atio

n an

d im

plem

enta

tion

of n

atio

nally

det

erm

ined

con

tribu

tions

;

(c)

Parti

es

striv

e to

in

clud

e al

l ca

tego

ries

of

anth

ropo

geni

c em

issi

ons

or

rem

oval

s in

thei

r nat

iona

lly d

eter

min

ed c

ontri

butio

ns a

nd, o

nce

a so

urce

, sin

k or

act

ivity

is

incl

uded

, con

tinue

to in

clud

e it;

(d)

Parti

es s

hall

prov

ide

an e

xpla

natio

n of

why

any

cat

egor

ies

of a

nthr

opog

enic

em

issi

ons o

r rem

oval

s are

exc

lude

d;

32.

Dec

ides

that

Par

ties

shal

l app

ly t

he g

uida

nce

men

tione

d in

par

agra

ph 3

1 ab

ove

to

the

seco

nd a

nd s

ubse

quen

t nat

iona

lly d

eter

min

ed c

ontri

butio

ns a

nd th

at P

artie

s m

ay e

lect

to

appl

y su

ch g

uida

nce

to th

eir f

irst n

atio

nally

det

erm

ined

con

tribu

tion;

33.

Also

dec

ides

tha

t th

e Fo

rum

on

the

Impa

ct o

f th

e Im

plem

enta

tion

of r

espo

nse

mea

sure

s, un

der t

he su

bsid

iary

bod

ies,

shal

l con

tinue

, and

shal

l ser

ve th

e A

gree

men

t;

34.

Furt

her

deci

des

that

the

Subs

idia

ry B

ody

for

Scie

ntifi

c an

d Te

chno

logi

cal

Adv

ice

and

the

Subs

idia

ry B

ody

for

Impl

emen

tatio

n sh

all

reco

mm

end,

for

con

side

ratio

n an

d ad

optio

n by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris

Agr

eem

ent a

t its

firs

t ses

sion

, the

mod

aliti

es, w

ork

prog

ram

me

and

func

tions

of t

he F

orum

on

the

Im

pact

of

the

Impl

emen

tatio

n of

res

pons

e m

easu

res

to a

ddre

ss t

he e

ffec

ts o

f th

e im

plem

enta

tion

of r

espo

nse

mea

sure

s un

der

the

Agr

eem

ent

by e

nhan

cing

coo

pera

tion

amon

gst P

artie

s on

und

erst

andi

ng th

e im

pact

s of

miti

gatio

n ac

tions

und

er th

e A

gree

men

t

FCC

C/C

P/20

15/L

.9/R

ev.1

6

and

the

exch

ange

of

info

rmat

ion,

exp

erie

nces

, and

bes

t pra

ctic

es a

mon

gst P

artie

s to

rai

se

thei

r res

ilien

ce to

thes

e im

pact

s;*

36.

Invi

tes

Parti

es to

com

mun

icat

e, b

y 20

20, t

o th

e se

cret

aria

t m

id-c

entu

ry, l

ong-

term

lo

w g

reen

hous

e ga

s em

issi

on d

evel

opm

ent

stra

tegi

es i

n ac

cord

ance

with

Arti

cle

4,

para

grap

h 19

, of

the

Agr

eem

ent,

and

requ

ests

the

sec

reta

riat t

o pu

blis

h on

the

UN

FCC

C

web

site

Par

ties’

low

gre

enho

use

gas e

mis

sion

dev

elop

men

t stra

tegi

es a

s com

mun

icat

ed;

37.

Requ

ests

the

Sub

sidi

ary

Bod

y fo

r Sc

ient

ific

and

Tech

nolo

gica

l A

dvic

e to

dev

elop

an

d re

com

men

d th

e gu

idan

ce re

ferr

ed to

und

er A

rticl

e 6,

par

agra

ph 2

, of t

he A

gree

men

t for

ad

optio

n by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris

Agr

eem

ent a

t its

firs

t ses

sion

, inc

ludi

ng g

uida

nce

to e

nsur

e th

at d

oubl

e co

untin

g is

avo

ided

on

the

basi

s of

a c

orre

spon

ding

adj

ustm

ent b

y Pa

rties

for

both

ant

hrop

ogen

ic e

mis

sion

s by

so

urce

s an

d re

mov

als

by s

inks

cov

ered

by

thei

r na

tiona

lly d

eter

min

ed c

ontri

butio

ns u

nder

th

e A

gree

men

t;

38.

Reco

mm

ends

that

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to

the

Par

is A

gree

men

t ad

opt

rule

s, m

odal

ities

and

pro

cedu

res

for

the

mec

hani

sm

esta

blis

hed

by A

rticl

e 6,

par

agra

ph 4

, of t

he A

gree

men

t on

the

basi

s of:

(a)

Vol

unta

ry p

artic

ipat

ion

auth

oriz

ed b

y ea

ch P

arty

invo

lved

;

(b)

Rea

l, m

easu

rabl

e, a

nd lo

ng-te

rm b

enef

its re

late

d to

the

miti

gatio

n of

clim

ate

chan

ge; (c

) Sp

ecifi

c sc

opes

of a

ctiv

ities

;

(d)

Red

uctio

ns i

n em

issi

ons

that

are

add

ition

al t

o an

y th

at w

ould

oth

erw

ise

occu

r;

(e)

Ver

ifica

tion

and

certi

ficat

ion

of

emis

sion

re

duct

ions

re

sulti

ng

from

m

itiga

tion

activ

ities

by

desi

gnat

ed o

pera

tiona

l ent

ities

;

(f)

Expe

rienc

e ga

ined

with

and

les

sons

lea

rned

fro

m e

xist

ing

mec

hani

sms

and

appr

oach

es a

dopt

ed u

nder

the

Con

vent

ion

and

its re

late

d le

gal i

nstru

men

ts;

39.

Requ

ests

the

Sub

sidi

ary

Bod

y fo

r Sc

ient

ific

and

Tech

nolo

gica

l A

dvic

e to

dev

elop

an

d re

com

men

d ru

les,

mod

aliti

es a

nd p

roce

dure

s fo

r th

e m

echa

nism

ref

erre

d to

in

para

grap

h 38

abo

ve fo

r con

side

ratio

n an

d ad

optio

n by

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent a

t its

firs

t ses

sion

;

40.

Also

req

uest

s th

e Su

bsid

iary

Bod

y fo

r Sc

ient

ific

and

Tech

nolo

gica

l A

dvic

e to

un

derta

ke

a w

ork

prog

ram

me

unde

r th

e fr

amew

ork

for

non-

mar

ket

appr

oach

es

to

sust

aina

ble

deve

lopm

ent r

efer

red

to in

Arti

cle

6, p

arag

raph

8, o

f th

e A

gree

men

t, w

ith th

e ob

ject

ive

of c

onsi

derin

g ho

w to

enh

ance

link

ages

and

cre

ate

syne

rgy

betw

een,

int

er a

lia,

miti

gatio

n, a

dapt

atio

n, f

inan

ce,

tech

nolo

gy t

rans

fer

and

capa

city

-bui

ldin

g, a

nd h

ow t

o fa

cilit

ate

the

impl

emen

tatio

n an

d co

ordi

natio

n of

non

-mar

ket a

ppro

ache

s;

41.

Furt

her

requ

ests

the

Sub

sidi

ary

Bod

y fo

r Sc

ient

ific

and

Tech

nolo

gica

l A

dvic

e to

re

com

men

d a

draf

t de

cisi

on o

n th

e w

ork

prog

ram

me

refe

rred

to

in p

arag

raph

40

abov

e,

taki

ng in

to a

ccou

nt th

e vi

ews

of P

artie

s, fo

r con

side

ratio

n an

d ad

optio

n by

the

Con

fere

nce

of t

he P

artie

s se

rvin

g as

the

mee

ting

of t

he P

artie

s to

the

Par

is A

gree

men

t at

its

firs

t se

ssio

n;

ADAP

TATI

ON

*

Par

agra

ph 3

5 ha

s bee

n de

lete

d, a

nd su

bseq

uent

par

agra

ph n

umbe

ring

and

cros

s ref

eren

ces t

o ot

her

para

grap

hs w

ithin

the

docu

men

t will

be

amen

ded

at a

late

r sta

ge.

FCC

C/C

P/20

15/L

.9/R

ev.1

7

42.

Requ

ests

the

Ada

ptat

ion

Com

mitt

ee a

nd t

he L

east

Dev

elop

ed C

ount

ries

Expe

rt G

roup

to

join

tly d

evel

op m

odal

ities

to

reco

gniz

e th

e ad

apta

tion

effo

rts o

f de

velo

ping

co

untry

Par

ties,

as r

efer

red

to i

n A

rticl

e 7,

par

agra

ph 3

, of

the

Agr

eem

ent,

and

mak

e re

com

men

datio

ns f

or c

onsi

dera

tion

and

adop

tion

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent a

t its

firs

t ses

sion

;

43.

Also

req

uest

s th

e A

dapt

atio

n C

omm

ittee

, ta

king

int

o ac

coun

t its

man

date

and

its

se

cond

th

ree-

year

w

orkp

lan,

an

d w

ith

a vi

ew

to

prep

arin

g re

com

men

datio

ns

for

cons

ider

atio

n an

d ad

optio

n by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t at i

ts fi

rst s

essi

on:

(a)

To re

view

, in

2017

, the

wor

k of

ada

ptat

ion-

rela

ted

inst

itutio

nal a

rran

gem

ents

un

der

the

Con

vent

ion,

with

a v

iew

to id

entif

ying

way

s to

enh

ance

the

cohe

renc

e of

thei

r w

ork,

as a

ppro

pria

te, i

n or

der t

o re

spon

d ad

equa

tely

to th

e ne

eds o

f Par

ties;

(b)

To c

onsi

der

met

hodo

logi

es f

or a

sses

sing

ada

ptat

ion

need

s w

ith a

vie

w t

o as

sist

ing

deve

lopi

ng c

ount

ries,

with

out p

laci

ng a

n un

due

burd

en o

n th

em;

44.

Invi

tes

all r

elev

ant U

nite

d N

atio

ns a

genc

ies

and

inte

rnat

iona

l, re

gion

al a

nd n

atio

nal

finan

cial

inst

itutio

ns to

pro

vide

info

rmat

ion

to P

artie

s th

roug

h th

e se

cret

aria

t on

how

thei

r de

velo

pmen

t ass

ista

nce

and

clim

ate

finan

ce p

rogr

amm

es in

corp

orat

e cl

imat

e-pr

oofin

g an

d cl

imat

e re

silie

nce

mea

sure

s;

45.

Requ

ests

Par

ties

to s

treng

then

regi

onal

coo

pera

tion

on a

dapt

atio

n w

here

app

ropr

iate

an

d, w

here

nec

essa

ry, e

stab

lish

regi

onal

cen

tres

and

netw

orks

, in

parti

cula

r in

dev

elop

ing

coun

tries

, tak

ing

into

acc

ount

dec

isio

n 1/

CP.

16, p

arag

raph

13;

46.

Also

req

uest

s th

e A

dapt

atio

n C

omm

ittee

and

the

Leas

t Dev

elop

ed C

ount

ries

Expe

rt G

roup

, in

col

labo

ratio

n w

ith t

he S

tand

ing

Com

mitt

ee o

n Fi

nanc

e an

d ot

her

rele

vant

in

stitu

tions

, to

deve

lop

met

hodo

logi

es, a

nd m

ake

reco

mm

enda

tions

for

con

side

ratio

n an

d ad

optio

n by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris

Agr

eem

ent a

t its

firs

t ses

sion

on:

(a)

Taki

ng t

he n

eces

sary

ste

ps t

o fa

cilit

ate

the

mob

iliza

tion

of s

uppo

rt fo

r ad

apta

tion

in d

evel

opin

g co

untri

es in

the

cont

ext o

f the

lim

it to

glo

bal a

vera

ge te

mpe

ratu

re

incr

ease

refe

rred

to in

Arti

cle

2 of

the

Agr

eem

ent;

(b)

Rev

iew

ing

the

adeq

uacy

and

effe

ctiv

enes

s of

ada

ptat

ion

and

supp

ort r

efer

red

to in

Arti

cle

7, p

arag

raph

14(

c), o

f the

Agr

eem

ent;

47.

Furt

her r

eque

sts t

he G

reen

Clim

ate

Fund

to e

xped

ite s

uppo

rt fo

r the

leas

t dev

elop

ed

coun

tries

and

oth

er d

evel

opin

g co

untry

Par

ties

for

the

form

ulat

ion

of n

atio

nal a

dapt

atio

n pl

ans,

cons

iste

nt

with

de

cisi

ons

1/C

P.16

an

d 5/

CP.

17,

and

for

the

subs

eque

nt

impl

emen

tatio

n of

pol

icie

s, pr

ojec

ts a

nd p

rogr

amm

es id

entif

ied

by th

em;

LOSS

AN

D D

AMAG

E

48.

Dec

ides

on

the

cont

inua

tion

of th

e W

arsa

w I

nter

natio

nal M

echa

nism

for

Los

s an

d D

amag

e as

soci

ated

with

Clim

ate

Cha

nge

Impa

cts,

follo

win

g th

e re

view

in 2

016;

49.

Requ

ests

the

Exe

cutiv

e C

omm

ittee

of

the

War

saw

Int

erna

tiona

l M

echa

nism

to

esta

blis

h a

clea

ringh

ouse

for

ris

k tra

nsfe

r th

at s

erve

s as

a r

epos

itory

for

inf

orm

atio

n on

in

sura

nce

and

risk

trans

fer,

in o

rder

to

faci

litat

e th

e ef

forts

of

Parti

es t

o de

velo

p an

d im

plem

ent c

ompr

ehen

sive

risk

man

agem

ent s

trate

gies

;

50.

Also

req

uest

s th

e Ex

ecut

ive

Com

mitt

ee o

f th

e W

arsa

w I

nter

natio

nal M

echa

nism

to

esta

blis

h, a

ccor

ding

to it

s pr

oced

ures

and

man

date

, a ta

sk fo

rce

to c

ompl

emen

t, dr

aw u

pon

the

wor

k of

and

inv

olve

, as

app

ropr

iate

, ex

istin

g bo

dies

and

exp

ert

grou

ps u

nder

the

C

onve

ntio

n in

clud

ing

the

Ada

ptat

ion

Com

mitt

ee a

nd th

e Le

ast D

evel

oped

Cou

ntrie

s Exp

ert

Gro

up,

as w

ell

as r

elev

ant

orga

niza

tions

and

exp

ert

bodi

es o

utsi

de t

he C

onve

ntio

n, t

o

FCC

C/C

P/20

15/L

.9/R

ev.1

8

deve

lop

reco

mm

enda

tions

for

int

egra

ted

appr

oach

es t

o av

ert,

min

imiz

e an

d ad

dres

s di

spla

cem

ent r

elat

ed to

the

adve

rse

impa

cts o

f clim

ate

chan

ge;

51.

Furt

her

requ

ests

the

Exec

utiv

e C

omm

ittee

of t

he W

arsa

w I

nter

natio

nal M

echa

nism

to

ini

tiate

its

wor

k, a

t its

nex

t m

eetin

g, t

o op

erat

iona

lize

the

prov

isio

ns r

efer

red

to i

n pa

ragr

aphs

49

and

50 a

bove

, and

to re

port

on p

rogr

ess t

here

on in

its a

nnua

l rep

ort;

52.

Agre

es th

at A

rticl

e 8

of th

e A

gree

men

t doe

s no

t inv

olve

or

prov

ide

a ba

sis

for

any

liabi

lity

or c

ompe

nsat

ion;

FIN

ANC

E

53.

Dec

ides

that

, in

the

impl

emen

tatio

n of

the

Agr

eem

ent,

finan

cial

res

ourc

es p

rovi

ded

to d

evel

opin

g co

untri

es s

houl

d en

hanc

e th

e im

plem

enta

tion

of t

heir

polic

ies,

stra

tegi

es,

regu

latio

ns a

nd a

ctio

n pl

ans

and

thei

r cl

imat

e ch

ange

act

ions

with

res

pect

to

both

m

itiga

tion

and

adap

tatio

n to

con

tribu

te to

the

achi

evem

ent o

f the

pur

pose

of t

he A

gree

men

t as

def

ined

in A

rticl

e 2;

54.

Also

dec

ides

tha

t, in

acc

orda

nce

with

Arti

cle

9, p

arag

raph

3,

of t

he A

gree

men

t, de

velo

ped

coun

tries

inte

nd to

con

tinue

thei

r ex

istin

g co

llect

ive

mob

iliza

tion

goal

thro

ugh

2025

in th

e co

ntex

t of

mea

ning

ful m

itiga

tion

actio

ns a

nd tr

ansp

aren

cy o

n im

plem

enta

tion;

pr

ior t

o 20

25 th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris

Agr

eem

ent s

hall

set a

new

col

lect

ive

quan

tifie

d go

al f

rom

a f

loor

of

USD

100

bill

ion

per

year

, tak

ing

into

acc

ount

the

need

s and

prio

ritie

s of d

evel

opin

g co

untri

es;

55.

Reco

gniz

es

the

impo

rtanc

e of

ad

equa

te

and

pred

icta

ble

finan

cial

re

sour

ces,

incl

udin

g fo

r re

sults

-bas

ed p

aym

ents

, as

app

ropr

iate

, fo

r th

e im

plem

enta

tion

of p

olic

y ap

proa

ches

and

pos

itive

inc

entiv

es f

or r

educ

ing

emis

sion

s fr

om d

efor

esta

tion

and

fore

st

degr

adat

ion,

an

d th

e ro

le

of

cons

erva

tion,

su

stai

nabl

e m

anag

emen

t of

fo

rest

s an

d en

hanc

emen

t of f

ores

t car

bon

stoc

ks; a

s w

ell a

s al

tern

ativ

e po

licy

appr

oach

es, s

uch

as jo

int

miti

gatio

n an

d ad

apta

tion

appr

oach

es f

or t

he i

nteg

ral

and

sust

aina

ble

man

agem

ent

of

fore

sts;

whi

le r

eaff

irmin

g th

e im

porta

nce

of n

on-c

arbo

n be

nefit

s as

soci

ated

with

suc

h ap

proa

ches

; en

cour

agin

g th

e co

ordi

natio

n of

sup

port

from

, in

ter

alia

, pub

lic a

nd p

rivat

e,

bila

tera

l and

mul

tilat

eral

sou

rces

, suc

h as

the

Gre

en C

limat

e Fu

nd, a

nd a

ltern

ativ

e so

urce

s in

acc

orda

nce

with

rele

vant

dec

isio

ns b

y th

e C

onfe

renc

e of

the

Parti

es;

56.

Dec

ides

to in

itiat

e, a

t its

twen

ty-s

econ

d se

ssio

n, a

pro

cess

to id

entif

y th

e in

form

atio

n to

be

prov

ided

by

Parti

es, i

n ac

cord

ance

with

Arti

cle

9, p

arag

raph

5, o

f the

Agr

eem

ent w

ith

the

view

to p

rovi

ding

a re

com

men

datio

n fo

r con

side

ratio

n an

d ad

optio

n by

the

Con

fere

nce

of t

he P

artie

s se

rvin

g as

the

mee

ting

of t

he P

artie

s to

the

Par

is A

gree

men

t at

its

firs

t se

ssio

n;

57.

Also

dec

ides

to e

nsur

e th

at th

e pr

ovis

ion

of in

form

atio

n in

acc

orda

nce

with

Arti

cle

9, p

arag

raph

7 o

f th

e A

gree

men

t sh

all

be u

nder

take

n in

acc

orda

nce

with

mod

aliti

es,

proc

edur

es a

nd g

uide

lines

refe

rred

to in

par

agra

ph 9

6 be

low

;

58.

Requ

ests

Sub

sidi

ary

Bod

y fo

r Sc

ient

ific

and

Tech

nolo

gica

l A

dvic

e to

dev

elop

m

odal

ities

for t

he a

ccou

ntin

g of

fina

ncia

l res

ourc

es p

rovi

ded

and

mob

ilize

d th

roug

h pu

blic

in

terv

entio

ns in

acc

orda

nce

with

Arti

cle

9, p

arag

raph

7, o

f the

Agr

eem

ent f

or c

onsi

dera

tion

by t

he C

onfe

renc

e of

the

Par

ties

at i

ts t

wen

ty-f

ourth

ses

sion

(N

ovem

ber

2018

), w

ith t

he

view

to m

akin

g a

reco

mm

enda

tion

for c

onsi

dera

tion

and

adop

tion

by th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t at i

ts fi

rst s

essi

on;

59.

Dec

ides

tha

t th

e G

reen

Clim

ate

Fund

and

the

Glo

bal

Envi

ronm

ent

Faci

lity,

the

en

titie

s en

trust

ed w

ith th

e op

erat

ion

of th

e Fi

nanc

ial M

echa

nism

of t

he C

onve

ntio

n, a

s w

ell

as th

e Le

ast D

evel

oped

Cou

ntrie

s Fun

d an

d th

e Sp

ecia

l Clim

ate

Cha

nge

Fund

, adm

inis

tere

d by

the

Glo

bal E

nviro

nmen

t Fac

ility

, sha

ll se

rve

the

Agr

eem

ent;

FCC

C/C

P/20

15/L

.9/R

ev.1

9

60.

Reco

gniz

es th

at th

e A

dapt

atio

n Fu

nd m

ay s

erve

the

Agr

eem

ent,

subj

ect t

o re

leva

nt

deci

sion

s by

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Kyo

to

Prot

ocol

and

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris

Agr

eem

ent;

61.

Invi

tes

the

Con

fere

nce

of t

he P

artie

s se

rvin

g as

the

mee

ting

of t

he P

artie

s to

the

K

yoto

Pro

toco

l to

con

side

r th

e is

sue

refe

rred

to

in p

arag

raph

60

abov

e an

d m

ake

a re

com

men

datio

n to

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent a

t its

firs

t ses

sion

;

62.

Reco

mm

ends

that

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to

the

Paris

Agr

eem

ent s

hall

prov

ide

guid

ance

to th

e en

titie

s en

trust

ed w

ith th

e op

erat

ion

of

the

Fina

ncia

l M

echa

nism

of

the

Con

vent

ion

on t

he p

olic

ies,

prog

ram

me

prio

ritie

s an

d el

igib

ility

crit

eria

rel

ated

to

the

Agr

eem

ent

for

trans

mis

sion

by

the

Con

fere

nce

of t

he

Parti

es;

63.

Dec

ides

tha

t th

e gu

idan

ce t

o th

e en

titie

s en

trust

ed w

ith t

he o

pera

tions

of

the

Fina

ncia

l M

echa

nism

of

the

Con

vent

ion

in r

elev

ant

deci

sion

s of

the

Con

fere

nce

of t

he

Parti

es,

incl

udin

g th

ose

agre

ed b

efor

e ad

optio

n of

the

Agr

eem

ent,

shal

l ap

ply

mut

atis

m

utan

dis;

64.

Also

dec

ides

that

the

Stan

ding

Com

mitt

ee o

n Fi

nanc

e sh

all s

erve

the

Agr

eem

ent i

n lin

e w

ith it

s fun

ctio

ns a

nd re

spon

sibi

litie

s est

ablis

hed

unde

r the

Con

fere

nce

of th

e Pa

rties

;

65.

Urg

es t

he i

nstit

utio

ns s

ervi

ng t

he A

gree

men

t to

enh

ance

the

coo

rdin

atio

n an

d de

liver

y of

res

ourc

es to

sup

port

coun

try-d

riven

stra

tegi

es th

roug

h si

mpl

ified

and

eff

icie

nt

appl

icat

ion

and

appr

oval

pr

oced

ures

, an

d th

roug

h co

ntin

ued

read

ines

s su

ppor

t to

de

velo

ping

cou

ntry

Par

ties,

incl

udin

g th

e le

ast

deve

lope

d co

untri

es a

nd s

mal

l is

land

de

velo

ping

Sta

tes,

as a

ppro

pria

te;

TEC

HN

OLO

GY

DEV

ELO

PMEN

T AN

D T

RAN

SFER

66.

Take

s no

te o

f th

e in

terim

rep

ort

of t

he T

echn

olog

y Ex

ecut

ive

Com

mitt

ee o

n gu

idan

ce o

n en

hanc

ed i

mpl

emen

tatio

n of

the

res

ults

of

tech

nolo

gy n

eeds

ass

essm

ents

as

refe

rred

to in

doc

umen

t FC

CC

/SB

/201

5/IN

F.3;

67.

Dec

ides

to

stre

ngth

en t

he T

echn

olog

y M

echa

nism

and

req

uest

s th

e Te

chno

logy

Ex

ecut

ive

Com

mitt

ee a

nd th

e C

limat

e Te

chno

logy

Cen

tre a

nd N

etw

ork,

in s

uppo

rting

the

impl

emen

tatio

n of

the

Agr

eem

ent,

to u

nder

take

furth

er w

ork

rela

ting

to, i

nter

alia

:

(a)

Tech

nolo

gy re

sear

ch, d

evel

opm

ent a

nd d

emon

stra

tion;

(b)

The

deve

lopm

ent

and

enha

ncem

ent

of

endo

geno

us

capa

citie

s an

d te

chno

logi

es;

68.

Requ

ests

the

Subs

idia

ry B

ody

for S

cien

tific

and

Tec

hnol

ogic

al A

dvic

e to

initi

ate,

at

its

forty

-fou

rth

sess

ion

(May

20

16),

the

elab

orat

ion

of

the

tech

nolo

gy

fram

ewor

k es

tabl

ishe

d un

der A

rticl

e 10

, par

agra

ph 4

, of t

he A

gree

men

t and

to re

port

on it

s fin

ding

s to

th

e C

onfe

renc

e of

the

Par

ties,

with

a v

iew

to

the

Con

fere

nce

of t

he P

artie

s m

akin

g a

reco

mm

enda

tion

on th

e fr

amew

ork

to th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Par

ties

to t

he P

aris

Agr

eem

ent

for

cons

ider

atio

n an

d ad

optio

n at

its

firs

t se

ssio

n,

taki

ng in

to c

onsi

dera

tion

that

the

fram

ewor

k sh

ould

faci

litat

e, in

ter a

lia:

(a)

The

unde

rtaki

ng a

nd u

pdat

ing

of t

echn

olog

y ne

eds

asse

ssm

ents

, as

wel

l as

th

e en

hanc

ed i

mpl

emen

tatio

n of

the

ir re

sults

, pa

rticu

larly

tec

hnol

ogy

actio

n pl

ans

and

proj

ect i

deas

, thr

ough

the

prep

arat

ion

of b

anka

ble

proj

ects

;

(b)

The

prov

isio

n of

en

hanc

ed

finan

cial

an

d te

chni

cal

supp

ort

for

the

impl

emen

tatio

n of

the

resu

lts o

f the

tech

nolo

gy n

eeds

ass

essm

ents

;

FCC

C/C

P/20

15/L

.9/R

ev.1

10

(c)

The

asse

ssm

ent o

f tec

hnol

ogie

s tha

t are

read

y fo

r tra

nsfe

r;

(d)

The

enha

ncem

ent o

f ena

blin

g en

viro

nmen

ts fo

r and

the

addr

essi

ng o

f bar

riers

to

the

deve

lopm

ent a

nd tr

ansf

er o

f soc

ially

and

env

ironm

enta

lly so

und

tech

nolo

gies

;

69.

Dec

ides

tha

t th

e Te

chno

logy

Exe

cutiv

e C

omm

ittee

and

the

Clim

ate

Tech

nolo

gy

Cen

tre a

nd N

etw

ork

shal

l rep

ort t

o th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

th

e Pa

rties

to

the

Paris

Agr

eem

ent,

thro

ugh

the

subs

idia

ry b

odie

s, on

the

ir ac

tiviti

es t

o su

ppor

t the

impl

emen

tatio

n of

the

Agr

eem

ent;

70.

Also

dec

ides

to

unde

rtake

a p

erio

dic

asse

ssm

ent

of t

he e

ffec

tiven

ess

of a

nd t

he

adeq

uacy

of

the

supp

ort

prov

ided

to

the

Tech

nolo

gy M

echa

nism

in

supp

ortin

g th

e im

plem

enta

tion

of t

he A

gree

men

t on

mat

ters

rel

atin

g to

tec

hnol

ogy

deve

lopm

ent

and

trans

fer;

71.

Requ

ests

the

Sub

sidi

ary

Bod

y fo

r Im

plem

enta

tion

to i

nitia

te,

at i

ts f

orty

-fou

rth

sess

ion

, the

ela

bora

tion

of th

e sc

ope

of a

nd m

odal

ities

for t

he p

erio

dic

asse

ssm

ent r

efer

red

to in

par

agra

ph 7

0 ab

ove,

taki

ng in

to a

ccou

nt th

e re

view

of t

he C

limat

e Te

chno

logy

Cen

tre

and

Net

wor

k as

refe

rred

to in

dec

isio

n 2/

CP.

17, a

nnex

VII

, par

agra

ph 2

0 an

d th

e m

odal

ities

fo

r th

e gl

obal

sto

ckta

ke r

efer

red

to in

Arti

cle

14 o

f th

e A

gree

men

t, fo

r co

nsid

erat

ion

and

adop

tion

by th

e C

onfe

renc

e of

the

Parti

es a

t its

twen

ty-f

ifth

sess

ion

(Nov

embe

r 201

9);

CAP

ACIT

Y-BU

ILD

ING

72.

Dec

ides

to e

stab

lish

the

Paris

Com

mitt

ee o

n C

apac

ity-b

uild

ing

who

se a

im w

ill b

e to

ad

dres

s ga

ps a

nd n

eeds

, bot

h cu

rren

t and

em

ergi

ng, i

n im

plem

entin

g ca

paci

ty-b

uild

ing

in

deve

lopi

ng c

ount

ry P

artie

s an

d fu

rther

enh

anci

ng c

apac

ity-b

uild

ing

effo

rts, i

nclu

ding

with

re

gard

to c

oher

ence

and

coo

rdin

atio

n in

cap

acity

-bui

ldin

g ac

tiviti

es u

nder

the

Con

vent

ion;

73.

Also

dec

ides

tha

t th

e Pa

ris C

omm

ittee

on

Cap

acity

-bui

ldin

g w

ill m

anag

e an

d ov

erse

e th

e w

ork

plan

men

tione

d in

par

agra

ph 7

4 be

low

;

74.

Furt

her

deci

des

to la

unch

a w

ork

plan

for t

he p

erio

d 20

16–2

020

with

the

follo

win

g ac

tiviti

es:

(a)

Ass

essi

ng

how

to

in

crea

se

syne

rgie

s th

roug

h co

oper

atio

n an

d av

oid

dupl

icat

ion

amon

g ex

istin

g bo

dies

est

ablis

hed

unde

r th

e C

onve

ntio

n th

at i

mpl

emen

t ca

paci

ty-b

uild

ing

activ

ities

, in

clud

ing

thro

ugh

colla

bora

ting

with

ins

titut

ions

und

er a

nd

outs

ide

the

Con

vent

ion;

(b)

Iden

tifyi

ng c

apac

ity g

aps

and

need

s an

d re

com

men

ding

way

s to

add

ress

th

em;

(c)

Prom

otin

g th

e de

velo

pmen

t and

dis

sem

inat

ion

of to

ols a

nd m

etho

dolo

gies

for

the

impl

emen

tatio

n of

cap

acity

-bui

ldin

g;

(d)

Fost

erin

g gl

obal

, reg

iona

l, na

tiona

l and

subn

atio

nal c

oope

ratio

n;

(e)

Iden

tifyi

ng

and

colle

ctin

g go

od

prac

tices

, ch

alle

nges

, ex

perie

nces

, an

d le

sson

s le

arne

d fr

om

wor

k on

ca

paci

ty-b

uild

ing

by

bodi

es

esta

blis

hed

unde

r th

e C

onve

ntio

n;

(f)

Expl

orin

g ho

w d

evel

opin

g co

untry

Par

ties

can

take

ow

ners

hip

of b

uild

ing

and

mai

ntai

ning

cap

acity

ove

r tim

e an

d sp

ace;

(g)

Iden

tifyi

ng o

ppor

tuni

ties

to s

treng

then

cap

acity

at t

he n

atio

nal,

regi

onal

, and

su

bnat

iona

l lev

el;

(h)

Fost

erin

g di

alog

ue,

coor

dina

tion,

co

llabo

ratio

n an

d co

here

nce

amon

g re

leva

nt p

roce

sses

and

ini

tiativ

es u

nder

the

Con

vent

ion,

inc

ludi

ng t

hrou

gh e

xcha

ngin

g

FCC

C/C

P/20

15/L

.9/R

ev.1

11

info

rmat

ion

on c

apac

ity-b

uild

ing

activ

ities

and

stra

tegi

es o

f bo

dies

est

ablis

hed

unde

r th

e C

onve

ntio

n;

(i)

Prov

idin

g gu

idan

ce

to

the

secr

etar

iat

on

the

mai

nten

ance

an

d fu

rther

de

velo

pmen

t of t

he w

eb-b

ased

cap

acity

-bui

ldin

g po

rtal;

75.

Dec

ides

tha

t th

e Pa

ris C

omm

ittee

on

Cap

acity

-bui

ldin

g w

ill a

nnua

lly f

ocus

on

an

area

or

them

e re

late

d to

enh

ance

d te

chni

cal

exch

ange

on

capa

city

-bui

ldin

g, w

ith t

he

purp

ose

of m

aint

aini

ng u

p-to

-dat

e kn

owle

dge

on th

e su

cces

ses

and

chal

leng

es in

bui

ldin

g ca

paci

ty e

ffec

tivel

y in

a p

artic

ular

are

a;

76.

Requ

ests

the

Sub

sidi

ary

Bod

y fo

r Im

plem

enta

tion

to o

rgan

ize

annu

al i

n-se

ssio

n m

eetin

gs o

f the

Par

is C

omm

ittee

on

Cap

acity

-bui

ldin

g;

77.

Also

req

uest

s th

e Su

bsid

iary

Bod

y fo

r Im

plem

enta

tion

to d

evel

op t

he t

erm

s of

re

fere

nce

for

the

Paris

Com

mitt

ee o

n C

apac

ity-b

uild

ing,

in

the

cont

ext

of t

he t

hird

co

mpr

ehen

sive

rev

iew

of

the

impl

emen

tatio

n of

the

cap

acity

-bui

ldin

g fr

amew

ork,

als

o ta

king

into

acc

ount

par

agra

phs

75, 7

6, 7

7 an

d 78

abo

ve a

nd p

arag

raph

s 82

and

83

belo

w,

with

a v

iew

to re

com

men

ding

a d

raft

deci

sion

on

this

mat

ter f

or c

onsi

dera

tion

and

adop

tion

by th

e C

onfe

renc

e of

the

Parti

es a

t its

twen

ty-s

econ

d se

ssio

n;

78.

Invi

tes

Parti

es to

sub

mit

thei

r vi

ews

on th

e m

embe

rshi

p of

the

Paris

Com

mitt

ee o

n C

apac

ity-b

uild

ing

by 9

Mar

ch 2

016;

2

79.

Requ

ests

the

sec

reta

riat

to c

ompi

le t

he s

ubm

issi

ons

refe

rred

to

in p

arag

raph

78

abov

e in

to a

mis

cella

neou

s do

cum

ent

for

cons

ider

atio

n by

the

Sub

sidi

ary

Bod

y fo

r Im

plem

enta

tion

at it

s for

ty-f

ourth

sess

ion;

80.

Dec

ides

tha

t th

e in

puts

to

the

Paris

Com

mitt

ee o

n C

apac

ity-b

uild

ing

will

inc

lude

, in

ter

alia

, su

bmis

sion

s, th

e ou

tcom

e of

th

e th

ird

com

preh

ensi

ve

revi

ew

of

the

impl

emen

tatio

n of

the

cap

acity

-bui

ldin

g fr

amew

ork,

the

sec

reta

riat’s

ann

ual

synt

hesi

s re

port

on t

he i

mpl

emen

tatio

n of

the

fra

mew

ork

for

capa

city

-bui

ldin

g in

dev

elop

ing

coun

tries

, the

sec

reta

riat’s

com

pila

tion

and

synt

hesi

s re

port

on c

apac

ity-b

uild

ing

wor

k of

bo

dies

est

ablis

hed

unde

r the

Con

vent

ion

and

its K

yoto

Pro

toco

l, an

d re

ports

on

the

Dur

ban

Foru

m a

nd th

e ca

paci

ty-b

uild

ing

porta

l;

81.

Requ

ests

the

Par

is C

omm

ittee

on

Cap

acity

-bui

ldin

g to

pre

pare

ann

ual

tech

nica

l pr

ogre

ss r

epor

ts o

n its

wor

k, a

nd t

o m

ake

thes

e re

ports

ava

ilabl

e at

the

ses

sion

s of

the

Su

bsid

iary

Bod

y fo

r Im

plem

enta

tion

coin

cidi

ng w

ith th

e se

ssio

ns o

f the

Con

fere

nce

of th

e Pa

rties

;

82.

Also

req

uest

s th

e C

onfe

renc

e of

the

Par

ties

at i

ts t

wen

ty-f

ifth

sess

ion

(Nov

embe

r 20

19),

to re

view

the

prog

ress

, nee

d fo

r ext

ensi

on, t

he e

ffec

tiven

ess

and

enha

ncem

ent o

f the

Pa

ris C

omm

ittee

on

Cap

acity

-bui

ldin

g an

d to

take

any

act

ion

it co

nsid

ers

appr

opria

te, w

ith

a vi

ew to

mak

ing

reco

mm

enda

tions

to th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Par

ties

to t

he P

aris

Agr

eem

ent

at i

ts f

irst

sess

ion

on e

nhan

cing

ins

titut

iona

l ar

rang

emen

ts

for

capa

city

-bui

ldin

g co

nsis

tent

w

ith

Arti

cle

11,

para

grap

h 5,

of

th

e A

gree

men

t;

83.

Cal

ls u

pon

all

Parti

es t

o en

sure

tha

t ed

ucat

ion,

tra

inin

g an

d pu

blic

aw

aren

ess,

as

refle

cted

in A

rticl

e 6

of th

e C

onve

ntio

n an

d in

Arti

cle

12 o

f the

Agr

eem

ent a

re a

dequ

atel

y co

nsid

ered

in th

eir c

ontri

butio

n to

cap

acity

-bui

ldin

g;

84.

Invi

tes

the

Con

fere

nce

of t

he P

artie

s se

rvin

g as

the

mee

ting

of t

he P

artie

s to

the

Pa

ris A

gree

men

t at

its

firs

t se

ssio

n to

exp

lore

way

s of

enh

anci

ng t

he i

mpl

emen

tatio

n of

2 P

artie

s sho

uld

subm

it th

eir v

iew

s via

the

subm

issi

ons p

orta

l at <

http

://w

ww

.unf

ccc.

int/5

900>

.

FCC

C/C

P/20

15/L

.9/R

ev.1

12

train

ing,

pub

lic a

war

enes

s, pu

blic

par

ticip

atio

n an

d pu

blic

acc

ess

to i

nfor

mat

ion

so a

s to

en

hanc

e ac

tions

und

er th

e A

gree

men

t;

TRAN

SPAR

ENC

Y O

F AC

TIO

N A

ND

SU

PPO

RT

85.

Dec

ides

to e

stab

lish

a C

apac

ity-b

uild

ing

Initi

ativ

e fo

r Tra

nspa

renc

y in

ord

er to

bui

ld

inst

itutio

nal

and

tech

nica

l ca

paci

ty,

both

pre

- an

d po

st-2

020.

Thi

s in

itiat

ive

will

sup

port

deve

lopi

ng c

ount

ry P

artie

s, up

on r

eque

st, i

n m

eetin

g en

hanc

ed tr

ansp

aren

cy r

equi

rem

ents

as

def

ined

in A

rticl

e 13

of t

he A

gree

men

t in

a tim

ely

man

ner;

86.

Also

dec

ides

that

the

Cap

acity

-bui

ldin

g In

itiat

ive

for T

rans

pare

ncy

will

aim

:

(a)

To s

treng

then

nat

iona

l in

stitu

tions

for

tran

spar

ency

-rel

ated

act

iviti

es i

n lin

e w

ith n

atio

nal p

riorit

ies;

(b)

To p

rovi

de r

elev

ant t

ools

, tra

inin

g an

d as

sist

ance

for

mee

ting

the

prov

isio

ns

stip

ulat

ed in

Arti

cle

13 o

f the

Agr

eem

ent;

(c)

To a

ssis

t in

the

impr

ovem

ent o

f tra

nspa

renc

y ov

er ti

me;

87.

Urg

es a

nd r

eque

sts

the

Glo

bal

Envi

ronm

ent

Faci

lity

to m

ake

arra

ngem

ents

to

supp

ort

the

esta

blis

hmen

t an

d op

erat

ion

of

the

Cap

acity

-bui

ldin

g In

itiat

ive

for

Tran

spar

ency

as a

prio

rity

repo

rting

-rel

ated

nee

d, in

clud

ing

thro

ugh

volu

ntar

y co

ntrib

utio

ns

to s

uppo

rt de

velo

ping

cou

ntrie

s in

the

six

th r

eple

nish

men

t of

the

Glo

bal

Envi

ronm

ent

Faci

lity

and

futu

re re

plen

ishm

ent c

ycle

s, to

com

plem

ent e

xist

ing

supp

ort u

nder

the

Glo

bal

Envi

ronm

ent F

acili

ty;

88.

Dec

ides

to

as

sess

th

e im

plem

enta

tion

of

the

Cap

acity

-bui

ldin

g In

itiat

ive

for

Tran

spar

ency

in th

e co

ntex

t of t

he se

vent

h re

view

of t

he fi

nanc

ial m

echa

nism

;

89.

Requ

ests

that

the

Glo

bal E

nviro

nmen

t Fac

ility

, as a

n op

erat

ing

entit

y of

the

finan

cial

m

echa

nism

inc

lude

in

its a

nnua

l re

port

to t

he C

onfe

renc

e of

the

Par

ties

the

prog

ress

of

wor

k in

the

desi

gn, d

evel

opm

ent a

nd im

plem

enta

tion

of th

e C

apac

ity-b

uild

ing

Initi

ativ

e fo

r Tr

ansp

aren

cy re

ferr

ed to

in p

arag

raph

85

abov

e st

artin

g in

201

6;

90.

Dec

ides

tha

t, in

acc

orda

nce

with

Arti

cle

13,

para

grap

h 2,

of

the

Agr

eem

ent,

deve

lopi

ng c

ount

ries s

hall

be p

rovi

ded

flexi

bilit

y in

the

impl

emen

tatio

n of

the

prov

isio

ns o

f th

at A

rticl

e, in

clud

ing

in th

e sc

ope,

fre

quen

cy a

nd le

vel o

f de

tail

of r

epor

ting,

and

in th

e sc

ope

of r

evie

w, a

nd th

at th

e sc

ope

of r

evie

w c

ould

pro

vide

for

in-c

ount

ry r

evie

ws

to b

e op

tiona

l, w

hile

suc

h fle

xibi

litie

s sh

all

be r

efle

cted

in

the

deve

lopm

ent

of m

odal

ities

, pr

oced

ures

and

gui

delin

es re

ferr

ed to

in p

arag

raph

92

belo

w;

91.

Also

dec

ides

that

all

Parti

es, e

xcep

t for

the

leas

t dev

elop

ed c

ount

ry P

artie

s and

sm

all

isla

nd d

evel

opin

g St

ates

, sha

ll su

bmit

the

info

rmat

ion

refe

rred

to in

Arti

cle

13, p

arag

raph

s 7,

8, 9

and

10,

as

appr

opria

te, n

o le

ss fr

eque

ntly

than

on

a bi

enni

al b

asis

, and

that

the

leas

t de

velo

ped

coun

try P

artie

s an

d sm

all i

slan

d de

velo

ping

Sta

tes

may

sub

mit

this

info

rmat

ion

at th

eir d

iscr

etio

n;

92.

Requ

ests

th

e A

d H

oc

Wor

king

G

roup

on

th

e Pa

ris

Agr

eem

ent

to

deve

lop

reco

mm

enda

tions

for

mod

aliti

es, p

roce

dure

s an

d gu

idel

ines

in a

ccor

danc

e w

ith A

rticl

e 13

, pa

ragr

aph

13, o

f the

Agr

eem

ent,

and

to d

efin

e th

e ye

ar o

f the

ir fir

st a

nd s

ubse

quen

t rev

iew

an

d up

date

, as

appr

opria

te, a

t reg

ular

inte

rval

s, fo

r co

nsid

erat

ion

by th

e C

onfe

renc

e of

the

Parti

es, a

t its

twen

ty-f

ourth

ses

sion

, with

a v

iew

to f

orw

ardi

ng th

em to

the

Con

fere

nce

of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent f

or a

dopt

ion

at it

s fir

st se

ssio

n;

FCC

C/C

P/20

15/L

.9/R

ev.1

13

93.

Also

req

uest

s th

e A

d H

oc W

orki

ng G

roup

on

the

Paris

Agr

eem

ent i

n de

velo

ping

the

reco

mm

enda

tions

for t

he m

odal

ities

, pro

cedu

res

and

guid

elin

es re

ferr

ed to

in p

arag

raph

92

abov

e to

take

into

acc

ount

, int

er a

lia:

(a)

The

impo

rtanc

e of

fac

ilita

ting

impr

oved

rep

ortin

g an

d tra

nspa

renc

y ov

er

time;

(b)

The

need

to p

rovi

de fl

exib

ility

to th

ose

deve

lopi

ng c

ount

ry P

artie

s th

at n

eed

it in

the

light

of t

heir

capa

citie

s;

(c)

The

need

to p

rom

ote

trans

pare

ncy,

acc

urac

y, c

ompl

eten

ess,

cons

iste

ncy,

and

co

mpa

rabi

lity;

(d)

The

need

to

avoi

d du

plic

atio

n as

wel

l as

und

ue b

urde

n on

Par

ties

and

the

secr

etar

iat;

(e)

The

need

to e

nsur

e th

at P

artie

s m

aint

ain

at le

ast t

he fr

eque

ncy

and

qual

ity o

f re

porti

ng in

acc

orda

nce

with

thei

r res

pect

ive

oblig

atio

ns u

nder

the

Con

vent

ion;

(f)

The

need

to e

nsur

e th

at d

oubl

e co

untin

g is

avo

ided

;

(g)

The

need

to e

nsur

e en

viro

nmen

tal i

nteg

rity;

94.

Furt

her

requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t, w

hen

deve

lopi

ng th

e m

odal

ities

, pro

cedu

res

and

guid

elin

es re

ferr

ed to

in p

arag

raph

92

abov

e, to

dr

aw o

n th

e ex

perie

nces

fro

m a

nd t

ake

into

acc

ount

oth

er o

n-go

ing

rele

vant

pro

cess

es

unde

r the

Con

vent

ion;

95.

Requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t, w

hen

deve

lopi

ng

mod

aliti

es, p

roce

dure

s an

d gu

idel

ines

ref

erre

d to

in p

arag

raph

92

abov

e, to

con

side

r, in

ter

alia

:

(a)

The

type

s of f

lexi

bilit

y av

aila

ble

to th

ose

deve

lopi

ng c

ount

ries t

hat n

eed

it on

th

e ba

sis o

f the

ir ca

paci

ties;

(b)

The

cons

iste

ncy

betw

een

the

met

hodo

logy

com

mun

icat

ed i

n th

e na

tiona

lly

dete

rmin

ed c

ontri

butio

n an

d th

e m

etho

dolo

gy f

or r

epor

ting

on p

rogr

ess

mad

e to

war

ds

achi

evin

g in

divi

dual

Par

ties’

resp

ectiv

e na

tiona

lly d

eter

min

ed c

ontri

butio

n;

(c)

That

Par

ties

repo

rt in

form

atio

n on

ada

ptat

ion

actio

n an

d pl

anni

ng in

clud

ing,

if

appr

opria

te,

thei

r na

tiona

l ad

apta

tion

plan

s, w

ith a

vie

w t

o co

llect

ivel

y ex

chan

ging

in

form

atio

n an

d sh

arin

g le

sson

s lea

rned

;

(d)

Supp

ort

prov

ided

, en

hanc

ing

deliv

ery

of s

uppo

rt fo

r bo

th a

dapt

atio

n an

d m

itiga

tion

thro

ugh,

inte

r alia

, the

com

mon

tabu

lar f

orm

ats

for r

epor

ting

supp

ort,

and

taki

ng

into

acc

ount

iss

ues

cons

ider

ed b

y th

e Su

bsid

iary

Bod

y fo

r Sc

ient

ific

and

Tech

nolo

gica

l A

dvic

e on

met

hodo

logi

es f

or r

epor

ting

on f

inan

cial

inf

orm

atio

n, a

nd e

nhan

cing

the

re

porti

ng b

y de

velo

ping

cou

ntrie

s on

sup

port

rece

ived

, in

clud

ing

the

use,

im

pact

and

es

timat

ed re

sults

ther

eof;

(e)

Info

rmat

ion

in t

he b

ienn

ial

asse

ssm

ents

and

oth

er r

epor

ts o

f th

e St

andi

ng

Com

mitt

ee o

n Fi

nanc

e an

d ot

her r

elev

ant b

odie

s und

er th

e C

onve

ntio

n;

(f)

Info

rmat

ion

on th

e so

cial

and

eco

nom

ic im

pact

of r

espo

nse

mea

sure

s;

96.

Also

requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t, w

hen

deve

lopi

ng

reco

mm

enda

tions

for

mod

aliti

es,

proc

edur

es a

nd g

uide

lines

ref

erre

d to

in

para

grap

h 92

ab

ove,

to e

nhan

ce th

e tra

nspa

renc

y of

sup

port

prov

ided

in a

ccor

danc

e w

ith A

rticl

e 9

of th

e A

gree

men

t;

97.

Furt

her

requ

ests

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t to

repo

rt on

th

e pr

ogre

ss o

f wor

k on

the

mod

aliti

es, p

roce

dure

s an

d gu

idel

ines

refe

rred

to in

par

agra

ph

FCC

C/C

P/20

15/L

.9/R

ev.1

14

92 a

bove

to

futu

re s

essi

ons

of t

he C

onfe

renc

e of

the

Par

ties,

and

that

thi

s w

ork

be

conc

lude

d no

late

r tha

n 20

18;

98.

Dec

ides

that

the

mod

aliti

es, p

roce

dure

s an

d gu

idel

ines

dev

elop

ed u

nder

par

agra

ph

92 a

bove

, sha

ll be

app

lied

upon

the

entry

into

forc

e of

the

Paris

Agr

eem

ent;

99.

Also

dec

ides

tha

t th

e m

odal

ities

, pr

oced

ures

and

gui

delin

es o

f th

is t

rans

pare

ncy

fram

ewor

k sh

all

build

upo

n an

d ev

entu

ally

sup

erse

de t

he m

easu

rem

ent,

repo

rting

and

ve

rific

atio

n sy

stem

est

ablis

hed

by d

ecis

ion

1/C

P.16

, par

agra

phs

40 to

47

and

60 to

64,

and

de

cisi

on 2

/CP.

17, p

arag

raph

s 12

to 6

2, im

med

iate

ly f

ollo

win

g th

e su

bmis

sion

of

the

final

bi

enni

al re

ports

and

bie

nnia

l upd

ate

repo

rts;

GLO

BAL

STO

CKTA

KE

100.

Re

ques

ts th

e A

d H

oc W

orki

ng G

roup

on

the

Paris

Agr

eem

ent t

o id

entif

y th

e so

urce

s of

inpu

t for

the

glob

al s

tock

take

refe

rred

to in

Arti

cle

14 o

f the

Agr

eem

ent a

nd to

repo

rt to

th

e C

onfe

renc

e of

the

Par

ties,

with

a v

iew

to

the

Con

fere

nce

of t

he P

artie

s m

akin

g a

reco

mm

enda

tion

to th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t fo

r co

nsid

erat

ion

and

adop

tion

at i

ts f

irst

sess

ion,

inc

ludi

ng,

but

not

limite

d to

:

(a)

Info

rmat

ion

on:

(i)

The

over

all e

ffect

of

the

natio

nally

det

erm

ined

con

tribu

tions

com

mun

icat

ed

by P

artie

s;

(ii)

The

stat

e of

ada

ptat

ion

effo

rts, s

uppo

rt, e

xper

ienc

es a

nd p

riorit

ies

from

the

com

mun

icat

ions

ref

erre

d to

in A

rticl

e 7,

par

agra

phs

10 a

nd 1

1, o

f th

e A

gree

men

t, an

d re

ports

refe

rred

to in

Arti

cle

13, p

arag

raph

7, o

f the

Agr

eem

ent;

(iii)

Th

e m

obili

zatio

n an

d pr

ovis

ion

of su

ppor

t;

(b)

The

late

st re

ports

of t

he In

terg

over

nmen

tal P

anel

on

Clim

ate

Cha

nge;

(c)

Rep

orts

of t

he su

bsid

iary

bod

ies;

101.

Al

so r

eque

sts

the

Subs

idia

ry B

ody

for

Scie

ntifi

c an

d Te

chno

logi

cal

Adv

ice

to

prov

ide

advi

ce o

n ho

w th

e as

sess

men

ts o

f the

Inte

rgov

ernm

enta

l Pan

el o

n C

limat

e C

hang

e ca

n in

form

the

glo

bal

stoc

ktak

e of

the

im

plem

enta

tion

of t

he A

gree

men

t pu

rsua

nt t

o its

A

rticl

e 14

of t

he A

gree

men

t and

to re

port

on th

is m

atte

r to

the

Ad

Hoc

Wor

king

Gro

up o

n th

e Pa

ris A

gree

men

t at i

ts se

cond

sess

ion;

102.

Fu

rthe

r re

ques

ts t

he A

d H

oc W

orki

ng G

roup

on

the

Paris

Agr

eem

ent

to d

evel

op

mod

aliti

es fo

r the

glo

bal s

tock

take

refe

rred

to in

Arti

cle

14 o

f the

Agr

eem

ent a

nd to

repo

rt to

the

Con

fere

nce

of t

he P

artie

s, w

ith a

vie

w t

o m

akin

g a

reco

mm

enda

tion

to t

he

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t for

co

nsid

erat

ion

and

adop

tion

at it

s firs

t ses

sion

;

FAC

ILIT

ATIN

G IM

PLEM

ENTA

TIO

N A

ND

CO

MPL

IANC

E

103.

D

ecid

es th

at th

e co

mm

ittee

refe

rred

to in

Arti

cle

15, p

arag

raph

2, o

f the

Agr

eem

ent

shal

l con

sist

of

12 m

embe

rs w

ith r

ecog

nize

d co

mpe

tenc

e in

rel

evan

t sci

entif

ic, t

echn

ical

, so

cio-

econ

omic

or l

egal

fiel

ds, t

o be

ele

cted

by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of t

he P

artie

s to

the

Par

is A

gree

men

t on

the

bas

is o

f eq

uita

ble

geog

raph

ical

re

pres

enta

tion,

with

two

mem

bers

eac

h fr

om th

e fiv

e re

gion

al g

roup

s of

the

Uni

ted

Nat

ions

an

d on

e m

embe

r ea

ch f

rom

the

sm

all

isla

nd d

evel

opin

g St

ates

and

the

lea

st d

evel

oped

co

untri

es, w

hile

taki

ng in

to a

ccou

nt th

e go

al o

f gen

der b

alan

ce;

104.

Re

ques

ts t

he A

d H

oc W

orki

ng G

roup

on

the

Paris

Agr

eem

ent

to d

evel

op t

he

mod

aliti

es a

nd p

roce

dure

s for

the

effe

ctiv

e op

erat

ion

of th

e co

mm

ittee

refe

rred

to in

Arti

cle

15, p

arag

raph

2, o

f the

Agr

eem

ent,

with

a v

iew

to th

e A

d H

oc W

orki

ng G

roup

on

the

Paris

FCC

C/C

P/20

15/L

.9/R

ev.1

15

Agr

eem

ent c

ompl

etin

g its

wor

k on

suc

h m

odal

ities

and

pro

cedu

res

for

cons

ider

atio

n an

d ad

optio

n by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris

Agr

eem

ent a

t its

firs

t ses

sion

;

FIN

AL C

LAU

SES 10

5.

Also

req

uest

s th

e se

cret

aria

t, so

lely

for t

he p

urpo

ses

of A

rticl

e 21

of t

he A

gree

men

t, to

mak

e av

aila

ble

on it

s w

ebsi

te o

n th

e da

te o

f ado

ptio

n of

the

Agr

eem

ent a

s w

ell a

s in

the

repo

rt of

the

Con

fere

nce

of th

e Pa

rties

at i

ts tw

enty

-firs

t ses

sion

, inf

orm

atio

n on

the

mos

t up

-to-d

ate

tota

l and

per

cen

t of

gree

nhou

se g

as e

mis

sion

s co

mm

unic

ated

by

Parti

es to

the

Con

vent

ion

in t

heir

natio

nal

com

mun

icat

ions

, gre

enho

use

gas

inve

ntor

y re

ports

, bie

nnia

l re

ports

or b

ienn

ial u

pdat

e re

ports

;

IV.

EN

HA

NC

ED

AC

TIO

N P

RIO

R T

O 2

020

106.

Re

solv

es t

o en

sure

the

hig

hest

pos

sibl

e m

itiga

tion

effo

rts i

n th

e pr

e-20

20 p

erio

d,

incl

udin

g by

:

(a)

Urg

ing

all

Parti

es t

o th

e K

yoto

Pro

toco

l th

at h

ave

not

alre

ady

done

so

to

ratif

y an

d im

plem

ent t

he D

oha

Am

endm

ent t

o th

e K

yoto

Pro

toco

l;

(b)

Urg

ing

all

Parti

es t

hat

have

not

alre

ady

done

so

to m

ake

and

impl

emen

t a

miti

gatio

n pl

edge

und

er th

e C

ancu

n A

gree

men

ts;

(c)

Rei

tera

ting

its re

solv

e, a

s se

t out

in d

ecis

ion

1/C

P.19

, par

agra

phs

3 an

d 4,

to

acce

lera

te t

he f

ull

impl

emen

tatio

n of

the

dec

isio

ns c

onst

itutin

g th

e ag

reed

out

com

e pu

rsua

nt t

o de

cisi

on 1

/CP.

13 a

nd e

nhan

ce a

mbi

tion

in t

he p

re-2

020

perio

d in

ord

er t

o en

sure

the

high

est p

ossi

ble

miti

gatio

n ef

forts

und

er th

e C

onve

ntio

n by

all

Parti

es;

(d)

Invi

ting

deve

lopi

ng c

ount

ry P

artie

s tha

t hav

e no

t sub

mitt

ed th

eir f

irst b

ienn

ial

upda

te re

ports

to d

o so

as s

oon

as p

ossi

ble;

(e)

Urg

ing

all P

artie

s to

par

ticip

ate

in t

he e

xist

ing

mea

sure

men

t, re

porti

ng a

nd

verif

icat

ion

proc

esse

s un

der

the

Can

cun

Agr

eem

ents

, in

a tim

ely

man

ner,

with

a v

iew

to

dem

onst

ratin

g pr

ogre

ss m

ade

in th

e im

plem

enta

tion

of th

eir m

itiga

tion

pled

ges;

107.

En

cour

ages

Par

ties

to p

rom

ote

the

volu

ntar

y ca

ncel

latio

n by

Par

ty a

nd n

on-P

arty

st

akeh

olde

rs, w

ithou

t dou

ble

coun

ting

of u

nits

issu

ed u

nder

the

Kyo

to P

roto

col,

incl

udin

g ce

rtifie

d em

issi

on re

duct

ions

that

are

val

id fo

r the

seco

nd c

omm

itmen

t per

iod;

108.

U

rges

ho

st

and

purc

hasi

ng

Parti

es

to

repo

rt tra

nspa

rent

ly

on

inte

rnat

iona

lly

trans

ferr

ed m

itiga

tion

outc

omes

, in

clud

ing

outc

omes

use

d to

mee

t in

tern

atio

nal

pled

ges,

and

emis

sion

un

its

issu

ed

unde

r th

e K

yoto

Pr

otoc

ol

with

a

view

to

pr

omot

ing

envi

ronm

enta

l int

egrit

y an

d av

oidi

ng d

oubl

e co

untin

g;

109.

Re

cogn

izes

the

soc

ial,

econ

omic

and

env

ironm

enta

l va

lue

of v

olun

tary

miti

gatio

n ac

tions

and

thei

r co-

bene

fits f

or a

dapt

atio

n, h

ealth

and

sust

aina

ble

deve

lopm

ent;

110.

Re

solv

es to

stre

ngth

en, i

n th

e pe

riod

2016

–202

0, th

e ex

istin

g te

chni

cal e

xam

inat

ion

proc

ess o

n m

itiga

tion

as d

efin

ed in

dec

isio

n 1/

CP.

19, p

arag

raph

5(a

), an

d de

cisi

on 1

/CP.

20,

para

grap

h 19

, tak

ing

into

acc

ount

the

late

st sc

ient

ific

know

ledg

e, in

clud

ing

by:

(a)

Enco

urag

ing

Parti

es,

Con

vent

ion

bodi

es a

nd i

nter

natio

nal

orga

niza

tions

to

enga

ge i

n th

is p

roce

ss,

incl

udin

g, a

s ap

prop

riate

, in

coo

pera

tion

with

rel

evan

t no

n-Pa

rty

stak

ehol

ders

, to

shar

e th

eir

expe

rienc

es a

nd s

ugge

stio

ns, i

nclu

ding

fro

m r

egio

nal

even

ts,

and

to c

oope

rate

in

faci

litat

ing

the

impl

emen

tatio

n of

pol

icie

s, pr

actic

es a

nd a

ctio

ns

iden

tifie

d du

ring

this

pr

oces

s in

ac

cord

ance

w

ith

natio

nal

sust

aina

ble

deve

lopm

ent

prio

ritie

s;

FCC

C/C

P/20

15/L

.9/R

ev.1

16

(b)

Striv

ing

to im

prov

e, in

con

sulta

tion

with

Par

ties,

acce

ss to

and

par

ticip

atio

n in

this

pro

cess

by

deve

lopi

ng c

ount

ry P

arty

and

non

-Par

ty e

xper

ts;

(c)

Req

uest

ing

the

Tech

nolo

gy

Exec

utiv

e C

omm

ittee

an

d th

e C

limat

e Te

chno

logy

Cen

tre a

nd N

etw

ork

in a

ccor

danc

e w

ith th

eir r

espe

ctiv

e m

anda

tes:

(i)

To

eng

age

in th

e te

chni

cal e

xper

t mee

tings

and

enh

ance

thei

r ef

forts

to

faci

litat

e an

d su

ppor

t Par

ties

in s

calin

g up

the

impl

emen

tatio

n of

pol

icie

s, pr

actic

es a

nd a

ctio

ns id

entif

ied

durin

g th

is p

roce

ss;

(ii

) To

pro

vide

regu

lar u

pdat

es d

urin

g th

e te

chni

cal e

xper

t mee

tings

on

the

prog

ress

mad

e in

fac

ilita

ting

the

impl

emen

tatio

n of

pol

icie

s, pr

actic

es a

nd

actio

ns p

revi

ousl

y id

entif

ied

durin

g th

is p

roce

ss;

(ii

i) To

inc

lude

inf

orm

atio

n on

the

ir ac

tiviti

es u

nder

thi

s pr

oces

s in

the

ir jo

int a

nnua

l rep

ort t

o th

e C

onfe

renc

e of

the

Parti

es;

(d)

Enco

urag

ing

Parti

es to

mak

e ef

fect

ive

use

of th

e C

limat

e Te

chno

logy

Cen

tre

and

Net

wor

k to

obt

ain

assi

stan

ce t

o de

velo

p ec

onom

ical

ly, e

nviro

nmen

tally

and

soc

ially

vi

able

pro

ject

pro

posa

ls in

the

high

miti

gatio

n po

tent

ial a

reas

iden

tifie

d in

this

pro

cess

;

111.

En

cour

ages

the

oper

atin

g en

titie

s of

the

Fina

ncia

l Mec

hani

sm o

f the

Con

vent

ion

to

enga

ge in

the

tech

nica

l exp

ert m

eetin

gs a

nd to

info

rm p

artic

ipan

ts o

f th

eir

cont

ribut

ion

to

faci

litat

ing

prog

ress

in

the

impl

emen

tatio

n of

pol

icie

s, pr

actic

es a

nd a

ctio

ns i

dent

ified

du

ring

the

tech

nica

l exa

min

atio

n pr

oces

s;

112.

Re

ques

ts th

e se

cret

aria

t to

orga

nize

the

proc

ess

refe

rred

to in

par

agra

ph 1

10 a

bove

an

d di

ssem

inat

e its

resu

lts, i

nclu

ding

by:

(a)

Org

aniz

ing,

in

cons

ulta

tion

with

the

Tec

hnol

ogy

Exec

utiv

e C

omm

ittee

and

re

leva

nt e

xper

t or

gani

zatio

ns,

regu

lar

tech

nica

l ex

pert

mee

tings

foc

usin

g on

spe

cific

po

licie

s, pr

actic

es a

nd a

ctio

ns r

epre

sent

ing

best

pra

ctic

es a

nd w

ith t

he p

oten

tial

to b

e sc

alab

le a

nd re

plic

able

;

(b)

Upd

atin

g, o

n an

ann

ual b

asis

, fol

low

ing

the

mee

tings

refe

rred

to in

par

agra

ph

112(

a) a

bove

and

in ti

me

to s

erve

as

inpu

t to

the

sum

mar

y fo

r pol

icym

aker

s re

ferr

ed to

in

para

grap

h 11

2(c)

bel

ow,

a te

chni

cal

pape

r on

the

miti

gatio

n be

nefit

s an

d co

-ben

efits

of

polic

ies,

prac

tices

and

act

ions

for e

nhan

cing

miti

gatio

n am

bitio

n, a

s w

ell a

s on

opt

ions

for

su

ppor

ting

thei

r im

plem

enta

tion,

info

rmat

ion

on w

hich

sho

uld

be m

ade

avai

labl

e in

a u

ser-

frie

ndly

onl

ine

form

at;

(c)

Prep

arin

g, i

n co

nsul

tatio

n w

ith t

he c

ham

pion

s re

ferr

ed t

o in

par

agra

ph 1

22

belo

w, a

sum

mar

y fo

r po

licym

aker

s, w

ith i

nfor

mat

ion

on s

peci

fic p

olic

ies,

prac

tices

and

ac

tions

repr

esen

ting

best

pra

ctic

es a

nd w

ith th

e po

tent

ial t

o be

sca

labl

e an

d re

plic

able

, and

on

opt

ions

to s

uppo

rt th

eir i

mpl

emen

tatio

n, a

s w

ell a

s on

rele

vant

col

labo

rativ

e in

itiat

ives

, an

d pu

blis

hing

the

sum

mar

y at

lea

st t

wo

mon

ths

in a

dvan

ce o

f ea

ch s

essi

on o

f th

e C

onfe

renc

e of

the

Par

ties

as i

nput

for

the

hig

h-le

vel

even

t re

ferr

ed t

o in

par

agra

ph 1

21

belo

w;

113.

D

ecid

es t

hat

the

proc

ess

refe

rred

to

in p

arag

raph

110

abo

ve s

houl

d be

org

aniz

ed

join

tly b

y th

e Su

bsid

iary

Bod

y fo

r Im

plem

enta

tion

and

the

Subs

idia

ry B

ody

for

Scie

ntifi

c an

d Te

chno

logi

cal A

dvic

e an

d sh

ould

take

pla

ce o

n an

ong

oing

bas

is u

ntil

2020

;

114.

Al

so d

ecid

es t

o co

nduc

t in

201

7 an

ass

essm

ent

of t

he p

roce

ss r

efer

red

to i

n pa

ragr

aph

110

abov

e so

as t

o im

prov

e its

effe

ctiv

enes

s;

115.

Re

solv

es to

enh

ance

the

prov

isio

n of

urg

ent a

nd a

dequ

ate

finan

ce, t

echn

olog

y an

d ca

paci

ty-b

uild

ing

supp

ort

by d

evel

oped

cou

ntry

Par

ties

in o

rder

to

enha

nce

the

leve

l of

am

bitio

n of

pre

-202

0 ac

tion

by P

artie

s, an

d in

this

rega

rd st

rong

ly u

rges

dev

elop

ed c

ount

ry

Parti

es to

sca

le u

p th

eir

leve

l of f

inan

cial

sup

port,

with

a c

oncr

ete

road

map

to a

chie

ve th

e

FCC

C/C

P/20

15/L

.9/R

ev.1

17

goal

of

join

tly p

rovi

ding

USD

100

bill

ion

annu

ally

by

2020

for

miti

gatio

n an

d ad

apta

tion

whi

le s

igni

fican

tly in

crea

sing

ada

ptat

ion

finan

ce fr

om c

urre

nt le

vels

and

to fu

rther

pro

vide

ap

prop

riate

tech

nolo

gy a

nd c

apac

ity-b

uild

ing

supp

ort;

116.

D

ecid

es t

o co

nduc

t a

faci

litat

ive

dial

ogue

in

conj

unct

ion

with

the

tw

enty

-sec

ond

sess

ion

of t

he C

onfe

renc

e of

the

Par

ties

to a

sses

s th

e pr

ogre

ss i

n im

plem

entin

g de

cisi

on

1/C

P.19

, par

agra

phs 3

and

4, a

nd id

entif

y re

leva

nt o

ppor

tuni

ties t

o en

hanc

e th

e pr

ovis

ion

of

finan

cial

res

ourc

es,

incl

udin

g fo

r te

chno

logy

dev

elop

men

t an

d tra

nsfe

r an

d ca

paci

ty-

build

ing

supp

ort,

with

a v

iew

to

iden

tifyi

ng w

ays

to e

nhan

ce t

he a

mbi

tion

of m

itiga

tion

effo

rts b

y al

l Par

ties,

incl

udin

g id

entif

ying

rel

evan

t opp

ortu

nitie

s to

enh

ance

the

prov

isio

n an

d m

obili

zatio

n of

supp

ort a

nd e

nabl

ing

envi

ronm

ents

;

117.

Ac

know

ledg

es w

ith a

ppre

ciat

ion

the

resu

lts o

f the

Lim

a-Pa

ris A

ctio

n A

gend

a, w

hich

bu

ild o

n th

e cl

imat

e su

mm

it co

nven

ed o

n 23

Sep

tem

ber

2014

by

the

Secr

etar

y-G

ener

al o

f th

e U

nite

d N

atio

ns;

118.

W

elco

mes

the

effo

rts o

f non

-Par

ty s

take

hold

ers

to s

cale

up

thei

r clim

ate

actio

ns, a

nd

enco

urag

es t

he r

egis

tratio

n of

tho

se a

ctio

ns i

n th

e N

on-S

tate

Act

or Z

one

for

Clim

ate

Act

ion

plat

form

;3

119.

En

cour

ages

Par

ties

to w

ork

clos

ely

with

non

-Par

ty s

take

hold

ers

to c

atal

yse

effo

rts

to st

reng

then

miti

gatio

n an

d ad

apta

tion

actio

n;

120.

Al

so

enco

urag

es

non-

Party

st

akeh

olde

rs

to

incr

ease

th

eir

enga

gem

ent

in

the

proc

esse

s ref

erre

d to

in p

arag

raph

110

abo

ve a

nd p

arag

raph

125

bel

ow;

121.

Ag

rees

to

conv

ene,

pur

suan

t to

dec

isio

n 1/

CP.

20,

para

grap

h 21

, bu

ildin

g on

the

Li

ma-

Paris

Act

ion

Age

nda

and

in c

onju

nctio

n w

ith e

ach

sess

ion

of th

e C

onfe

renc

e of

the

Parti

es d

urin

g th

e pe

riod

2016

–202

0, a

hig

h-le

vel e

vent

that

:

(a)

Furth

er s

treng

then

s hi

gh-le

vel e

ngag

emen

t on

the

impl

emen

tatio

n of

pol

icy

optio

ns a

nd a

ctio

ns a

risin

g fr

om t

he p

roce

sses

ref

erre

d to

in

para

grap

h 11

0 ab

ove

and

para

grap

h 12

5 be

low

, dra

win

g on

the

sum

mar

y fo

r po

licym

aker

s re

ferr

ed to

in p

arag

raph

11

2(c)

abo

ve;

(b)

Prov

ides

an

oppo

rtuni

ty f

or a

nnou

ncin

g ne

w o

r st

reng

then

ed v

olun

tary

ef

forts

, ini

tiativ

es a

nd c

oalit

ions

, inc

ludi

ng t

he i

mpl

emen

tatio

n of

pol

icie

s, pr

actic

es a

nd

actio

ns a

risin

g fr

om th

e pr

oces

ses

refe

rred

to in

par

agra

ph 1

10 a

bove

and

par

agra

ph 1

25

belo

w a

nd p

rese

nted

in

the

sum

mar

y fo

r po

licym

aker

s re

ferr

ed t

o in

par

agra

ph 1

12(c

) ab

ove;

(c)

Take

s sto

ck o

f rel

ated

pro

gres

s and

reco

gniz

es n

ew o

r stre

ngth

ened

vol

unta

ry

effo

rts, i

nitia

tives

and

coa

litio

ns;

(d)

Prov

ides

mea

ning

ful

and

regu

lar

oppo

rtuni

ties

for

the

effe

ctiv

e hi

gh-le

vel

enga

gem

ent o

f di

gnita

ries

of P

artie

s, in

tern

atio

nal o

rgan

izat

ions

, int

erna

tiona

l coo

pera

tive

initi

ativ

es a

nd n

on-P

arty

stak

ehol

ders

;

122.

D

ecid

es t

hat

two

high

-leve

l ch

ampi

ons

shal

l be

app

oint

ed t

o ac

t on

beh

alf

of t

he

Pres

iden

t of

the

Con

fere

nce

of t

he P

artie

s to

fac

ilita

te t

hrou

gh s

treng

then

ed h

igh-

leve

l en

gage

men

t in

the

perio

d 20

16–2

020

the

succ

essf

ul e

xecu

tion

of e

xist

ing

effo

rts a

nd t

he

scal

ing-

up a

nd i

ntro

duct

ion

of n

ew o

r st

reng

then

ed v

olun

tary

eff

orts

, in

itiat

ives

and

co

aliti

ons,

incl

udin

g by

:

3

<http

://cl

imat

eact

ion.

unfc

cc.in

t/>.

FCC

C/C

P/20

15/L

.9/R

ev.1

18

(a)

Wor

king

w

ith

the

Exec

utiv

e Se

cret

ary

and

the

curr

ent

and

inco

min

g Pr

esid

ents

of

the

Con

fere

nce

of t

he P

artie

s to

coo

rdin

ate

the

annu

al h

igh-

leve

l ev

ent

refe

rred

to in

par

agra

ph 1

21 a

bove

;

(b)

Enga

ging

with

int

eres

ted

Parti

es a

nd n

on-P

arty

sta

keho

lder

s, in

clud

ing

to

furth

er th

e vo

lunt

ary

initi

ativ

es o

f the

Lim

a-Pa

ris A

ctio

n A

gend

a;

(c)

Prov

idin

g gu

idan

ce to

the

secr

etar

iat o

n th

e or

gani

zatio

n of

tech

nica

l exp

ert

mee

tings

refe

rred

to in

par

agra

ph 1

12(a

) abo

ve a

nd p

arag

raph

130

(a) b

elow

;

123.

Al

so d

ecid

es t

hat

the

high

-leve

l ch

ampi

ons

refe

rred

to

in p

arag

raph

122

abo

ve

shou

ld n

orm

ally

ser

ve fo

r a te

rm o

f tw

o ye

ars,

with

thei

r ter

ms

over

lapp

ing

for a

full

year

to

ens

ure

cont

inui

ty, s

uch

that

:

(a)

The

Pres

iden

t of

the

Con

fere

nce

of t

he P

artie

s of

the

tw

enty

-firs

t se

ssio

n sh

ould

app

oint

one

cha

mpi

on,

who

sho

uld

serv

e fo

r on

e ye

ar f

rom

the

dat

e of

the

ap

poin

tmen

t unt

il th

e la

st d

ay o

f the

Con

fere

nce

of th

e Pa

rties

at i

ts tw

enty

-sec

ond

sess

ion;

(b)

The

Pres

iden

t of

the

Con

fere

nce

of th

e Pa

rties

of

the

twen

ty-s

econ

d se

ssio

n sh

ould

app

oint

one

cha

mpi

on w

ho s

houl

d se

rve

for

two

year

s fr

om t

he d

ate

of t

he

appo

intm

ent u

ntil

the

last

day

of

the

Con

fere

nce

of th

e Pa

rties

at i

ts tw

enty

-third

ses

sion

(N

ovem

ber 2

017)

;

(c)

Ther

eafte

r, ea

ch s

ubse

quen

t Pre

side

nt o

f the

Con

fere

nce

of th

e Pa

rties

sho

uld

appo

int

one

cham

pion

who

sho

uld

serv

e fo

r tw

o ye

ars

and

succ

eed

the

prev

ious

ly

appo

inte

d ch

ampi

on w

hose

term

has

end

ed;

124.

In

vite

s al

l in

tere

sted

Par

ties

and

rele

vant

org

aniz

atio

ns t

o pr

ovid

e su

ppor

t fo

r th

e w

ork

of th

e ch

ampi

ons r

efer

red

to in

par

agra

ph 1

22 a

bove

;

125.

D

ecid

es t

o la

unch

, in

the

per

iod

2016

2020

, a

tech

nica

l ex

amin

atio

n pr

oces

s on

ad

apta

tion;

126.

Al

so d

ecid

es t

hat

the

tech

nica

l ex

amin

atio

n pr

oces

s on

ada

ptat

ion

refe

rred

to

in

para

grap

h 12

5 ab

ove

will

end

eavo

ur t

o id

entif

y co

ncre

te o

ppor

tuni

ties

for

stre

ngth

enin

g re

silie

nce,

redu

cing

vul

nera

bilit

ies

and

incr

easi

ng th

e un

ders

tand

ing

and

impl

emen

tatio

n of

ad

apta

tion

actio

ns;

127.

Fu

rthe

r de

cide

s th

at th

e te

chni

cal e

xam

inat

ion

proc

ess

refe

rred

to in

par

agra

ph 1

25

abov

e sh

ould

be

orga

nize

d jo

intly

by

the

Subs

idia

ry B

ody

for

Impl

emen

tatio

n an

d th

e Su

bsid

iary

Bod

y fo

r Sci

entif

ic a

nd T

echn

olog

ical

Adv

ice,

and

con

duct

ed b

y th

e A

dapt

atio

n C

omm

ittee

;

128.

D

ecid

es th

at th

e pr

oces

s ref

erre

d to

in p

arag

raph

125

abo

ve w

ill b

e pu

rsue

d by

:

(a)

Faci

litat

ing

the

shar

ing

of g

ood

prac

tices

, exp

erie

nces

and

less

ons l

earn

ed;

(b)

Iden

tifyi

ng a

ctio

ns t

hat

coul

d si

gnifi

cant

ly e

nhan

ce t

he i

mpl

emen

tatio

n of

ad

apta

tion

actio

ns, i

nclu

ding

act

ions

that

cou

ld e

nhan

ce e

cono

mic

div

ersi

ficat

ion

and

have

m

itiga

tion

co-b

enef

its;

(c)

Prom

otin

g co

oper

ativ

e ac

tion

on a

dapt

atio

n;

(d)

Iden

tifyi

ng o

ppor

tuni

ties

to s

treng

then

ena

blin

g en

viro

nmen

ts a

nd e

nhan

ce

the

prov

isio

n of

sup

port

for

adap

tatio

n in

the

con

text

of

spec

ific

polic

ies,

prac

tices

and

ac

tions

;

129.

Al

so d

ecid

es t

hat

the

tech

nica

l ex

amin

atio

n pr

oces

s on

ada

ptat

ion

refe

rred

to

in

para

grap

h 12

5 ab

ove

will

take

into

acc

ount

the

proc

ess,

mod

aliti

es, o

utpu

ts, o

utco

mes

and

le

sson

s le

arne

d fr

om t

he t

echn

ical

exa

min

atio

n pr

oces

s on

miti

gatio

n re

ferr

ed t

o in

pa

ragr

aph

110

abov

e;

FCC

C/C

P/20

15/L

.9/R

ev.1

19

130.

Re

ques

ts th

e se

cret

aria

t to

supp

ort t

he te

chni

cal e

xam

inat

ion

proc

ess

refe

rred

to in

pa

ragr

aph

125

abov

e by

:

(a)

Org

aniz

ing

regu

lar

tech

nica

l ex

pert

mee

tings

foc

usin

g on

spe

cific

pol

icie

s, st

rate

gies

and

act

ions

;

(b)

Prep

arin

g an

nual

ly,

on t

he b

asis

of

the

mee

tings

ref

erre

d to

in

para

grap

h 13

0(a)

abo

ve a

nd in

tim

e to

ser

ve a

s an

inpu

t to

the

sum

mar

y fo

r pol

icym

aker

s re

ferr

ed to

in

par

agra

ph 1

12(c

) abo

ve, a

tech

nica

l pap

er o

n op

portu

nitie

s to

enh

ance

ada

ptat

ion

actio

n,

as w

ell a

s op

tions

to s

uppo

rt th

eir

impl

emen

tatio

n, in

form

atio

n on

whi

ch s

houl

d be

mad

e av

aila

ble

in a

use

r-fr

iend

ly o

nlin

e fo

rmat

;

131.

D

ecid

es t

hat

in c

ondu

ctin

g th

e pr

oces

s re

ferr

ed t

o in

par

agra

ph 1

25 a

bove

, th

e A

dapt

atio

n C

omm

ittee

will

eng

age

with

and

exp

lore

way

s to

take

into

acc

ount

, syn

ergi

ze

with

and

bui

ld o

n th

e ex

istin

g ar

rang

emen

ts f

or a

dapt

atio

n-re

late

d w

ork

prog

ram

mes

, bo

dies

and

ins

titut

ions

und

er t

he C

onve

ntio

n so

as

to e

nsur

e co

here

nce

and

max

imum

va

lue;

132.

Al

so d

ecid

es to

con

duct

, in

conj

unct

ion

with

the

asse

ssm

ent r

efer

red

to in

par

agra

ph

120

abov

e, a

n as

sess

men

t of

the

pro

cess

ref

erre

d to

in

para

grap

h 12

5 ab

ove,

so

as t

o im

prov

e its

eff

ectiv

enes

s;

133.

In

vite

s Par

ties a

nd o

bser

ver o

rgan

izat

ions

to su

bmit

info

rmat

ion

on th

e op

portu

nitie

s re

ferr

ed to

in p

arag

raph

126

abo

ve b

y 3

Febr

uary

201

6;

V.

NO

N-P

AR

TY

ST

AK

EH

OL

DE

RS

134.

W

elco

mes

the

effo

rts o

f all

non-

Party

sta

keho

lder

s to

add

ress

and

resp

ond

to c

limat

e ch

ange

, inc

ludi

ng th

ose

of c

ivil

soci

ety,

the

priv

ate

sect

or, f

inan

cial

inst

itutio

ns, c

ities

and

ot

her s

ubna

tiona

l aut

horit

ies;

135.

In

vite

s th

e no

n-Pa

rty s

take

hold

ers

refe

rred

to

in p

arag

raph

134

abo

ve t

o sc

ale

up

thei

r eff

orts

and

sup

port

actio

ns to

redu

ce e

mis

sion

s an

d/or

to b

uild

resi

lienc

e an

d de

crea

se

vuln

erab

ility

to th

e ad

vers

e ef

fect

s of

clim

ate

chan

ge a

nd d

emon

stra

te th

ese

effo

rts v

ia th

e N

on-S

tate

Act

or Z

one

for C

limat

e A

ctio

n plat

form

4 refe

rred

to in

par

agra

ph 1

18 a

bove

;

136.

Re

cogn

izes

the

need

to s

treng

then

kno

wle

dge,

tech

nolo

gies

, pra

ctic

es a

nd e

fforts

of

loca

l com

mun

ities

and

indi

geno

us p

eopl

es re

late

d to

add

ress

ing

and

resp

ondi

ng to

clim

ate

chan

ge,

and

esta

blis

hes

a pl

atfo

rm f

or t

he e

xcha

nge

of e

xper

ienc

es a

nd s

harin

g of

bes

t pr

actic

es o

n m

itiga

tion

and

adap

tatio

n in

a h

olis

tic a

nd in

tegr

ated

man

ner;

137.

Al

so r

ecog

nize

s th

e im

porta

nt r

ole

of p

rovi

ding

inc

entiv

es f

or e

mis

sion

red

uctio

n ac

tiviti

es, i

nclu

ding

tool

s suc

h as

dom

estic

pol

icie

s and

car

bon

pric

ing;

VI.

A

DM

INIS

TR

AT

IVE

AN

D B

UD

GE

TA

RY

MA

TT

ER

S

138.

Ta

kes

note

of t

he e

stim

ated

bud

geta

ry im

plic

atio

ns o

f the

act

iviti

es to

be

unde

rtake

n by

the

secr

etar

iat r

efer

red

to in

this

dec

isio

n an

d re

ques

ts th

at th

e ac

tions

of t

he s

ecre

taria

t ca

lled

for i

n th

is d

ecis

ion

be u

nder

take

n su

bjec

t to

the

avai

labi

lity

of fi

nanc

ial r

esou

rces

;

139.

Em

phas

izes

th

e ur

genc

y of

m

akin

g ad

ditio

nal

reso

urce

s av

aila

ble

for

the

impl

emen

tatio

n of

the

rel

evan

t act

ions

, inc

ludi

ng a

ctio

ns r

efer

red

to in

this

dec

isio

n, a

nd

the

impl

emen

tatio

n of

the

wor

k pr

ogra

mm

e re

ferr

ed to

in p

arag

raph

9 a

bove

;

4 <

http

://cl

imat

eact

ion.

unfc

cc.in

t/>.

FCC

C/C

P/20

15/L

.9/R

ev.1

20

140.

U

rges

Par

ties

to m

ake

volu

ntar

y co

ntrib

utio

ns fo

r the

tim

ely

impl

emen

tatio

n of

this

de

cisi

on.

FCC

C/C

P/20

15/L

.9

21

Ann

ex

PAR

IS A

GR

EE

ME

NT

The

Parti

es to

this

Agr

eem

ent,

Bein

g Pa

rties

to th

e U

nite

d N

atio

ns F

ram

ewor

k C

onve

ntio

n on

Clim

ate

Cha

nge,

her

eina

fter r

efer

red

to a

s “t

he

Con

vent

ion”

,

Purs

uant

to th

e D

urba

n Pl

atfo

rm fo

r Enh

ance

d A

ctio

n es

tabl

ishe

d by

dec

isio

n 1/

CP.

17 o

f the

Con

fere

nce

of th

e Pa

rties

to th

e C

onve

ntio

n at

its s

even

teen

th se

ssio

n,

In p

ursu

it of

the

obj

ectiv

e of

the

Con

vent

ion,

and

bei

ng g

uide

d by

its

prin

cipl

es, i

nclu

ding

the

prin

cipl

e of

eq

uity

and

com

mon

but

diff

eren

tiate

d re

spon

sibi

litie

s an

d re

spec

tive

capa

bilit

ies,

in t

he l

ight

of

diffe

rent

na

tiona

l circ

umst

ance

s,

Reco

gniz

ing

the

need

for

an

effe

ctiv

e an

d pr

ogre

ssiv

e re

spon

se t

o th

e ur

gent

thr

eat

of c

limat

e ch

ange

on

the

basi

s of

the

bes

t av

aila

ble

scie

ntifi

c kn

owle

dge,

Also

rec

ogni

zing

the

spe

cific

nee

ds a

nd s

peci

al c

ircum

stan

ces

of d

evel

opin

g co

untry

Par

ties,

espe

cial

ly t

hose

th

at a

re p

artic

ular

ly v

ulne

rabl

e to

the

adve

rse

effe

cts o

f clim

ate

chan

ge, a

s pro

vide

d fo

r in

the

Con

vent

ion,

Taki

ng fu

ll ac

coun

t of

the

spec

ific

need

s an

d sp

ecia

l situ

atio

ns o

f th

e le

ast d

evel

oped

cou

ntrie

s w

ith r

egar

d to

fu

ndin

g an

d tra

nsfe

r of t

echn

olog

y,

Reco

gniz

ing

that

Par

ties

may

be

affe

cted

not

onl

y by

clim

ate

chan

ge, b

ut a

lso

by th

e im

pact

s of

the

mea

sure

s ta

ken

in re

spon

se to

it,

Emph

asiz

ing

the

intri

nsic

rel

atio

nshi

p th

at c

limat

e ch

ange

act

ions

, res

pons

es a

nd im

pact

s ha

ve w

ith e

quita

ble

acce

ss to

sust

aina

ble

deve

lopm

ent a

nd e

radi

catio

n of

pov

erty

,

Reco

gniz

ing

the

fund

amen

tal

prio

rity

of s

afeg

uard

ing

food

sec

urity

and

end

ing

hung

er,

and

the

parti

cula

r vu

lner

abili

ties o

f foo

d pr

oduc

tion

syst

ems t

o th

e ad

vers

e im

pact

s of c

limat

e ch

ange

,

Taki

ng in

to a

ccou

nt th

e im

pera

tives

of

a ju

st tr

ansi

tion

of th

e w

orkf

orce

and

the

crea

tion

of d

ecen

t wor

k an

d qu

ality

jobs

in a

ccor

danc

e w

ith n

atio

nally

def

ined

dev

elop

men

t prio

ritie

s,

Ackn

owle

dgin

g th

at c

limat

e ch

ange

is a

com

mon

con

cern

of

hum

anki

nd, P

artie

s sh

ould

, whe

n ta

king

act

ion

to

addr

ess

clim

ate

chan

ge, r

espe

ct, p

rom

ote

and

cons

ider

thei

r re

spec

tive

oblig

atio

ns o

n hu

man

righ

ts, t

he ri

ght t

o he

alth

, th

e rig

hts

of i

ndig

enou

s pe

ople

s, lo

cal

com

mun

ities

, m

igra

nts,

child

ren,

per

sons

with

dis

abili

ties

and

peop

le in

vul

nera

ble

situ

atio

ns a

nd th

e rig

ht to

dev

elop

men

t, as

wel

l as g

ende

r equ

ality

, em

pow

erm

ent o

f wom

en

and

inte

rgen

erat

iona

l equ

ity,

Reco

gniz

ing

the

impo

rtanc

e of

the

cons

erva

tion

and

enha

ncem

ent,

as a

ppro

pria

te, o

f sin

ks a

nd re

serv

oirs

of

the

gree

nhou

se g

ases

refe

rred

to in

the

Con

vent

ion,

Not

ing

the

impo

rtanc

e of

ens

urin

g th

e in

tegr

ity o

f al

l ec

osys

tem

s, in

clud

ing

ocea

ns,

and

the

prot

ectio

n of

bi

odiv

ersi

ty, r

ecog

nize

d by

som

e cu

lture

s as M

othe

r Ear

th, a

nd n

otin

g th

e im

porta

nce

for s

ome

of th

e co

ncep

t of

“clim

ate

just

ice”

, whe

n ta

king

act

ion

to a

ddre

ss c

limat

e ch

ange

,

Affir

min

g th

e im

porta

nce

of e

duca

tion,

tra

inin

g, p

ublic

aw

aren

ess,

publ

ic p

artic

ipat

ion,

pub

lic a

cces

s to

in

form

atio

n an

d co

oper

atio

n at

all

leve

ls o

n th

e m

atte

rs a

ddre

ssed

in th

is A

gree

men

t,

Reco

gniz

ing

the

impo

rtanc

e of

the

enga

gem

ents

of

all l

evel

s of

gov

ernm

ent a

nd v

ario

us a

ctor

s, in

acc

orda

nce

with

resp

ectiv

e na

tiona

l leg

isla

tions

of P

artie

s, in

add

ress

ing

clim

ate

chan

ge,

Also

rec

ogni

zing

tha

t su

stai

nabl

e lif

esty

les

and

sust

aina

ble

patte

rns

of c

onsu

mpt

ion

and

prod

uctio

n, w

ith

deve

lope

d co

untry

Par

ties t

akin

g th

e le

ad, p

lay

an im

porta

nt ro

le in

add

ress

ing

clim

ate

chan

ge,

Hav

e ag

reed

as f

ollo

ws:

FCC

C/C

P/20

15/L

.9/R

ev.1

22

Art

icle

1

For

the

purp

ose

of t

his

Agr

eem

ent,

the

defin

ition

s co

ntai

ned

in A

rticl

e 1

of t

he C

onve

ntio

n sh

all

appl

y. I

n ad

ditio

n:

1.

“Con

vent

ion”

mea

ns th

e U

nite

d N

atio

ns F

ram

ewor

k C

onve

ntio

n on

Clim

ate

Cha

nge,

ado

pted

in N

ew Y

ork

on 9

M

ay 1

992.

2.

“C

onfe

renc

e of

the

Parti

es”

mea

ns th

e C

onfe

renc

e of

the

Parti

es to

the

Con

vent

ion.

3.

“P

arty

” m

eans

a P

arty

to th

is A

gree

men

t.

Art

icle

2

1.

This

Agr

eem

ent,

in e

nhan

cing

the

impl

emen

tatio

n of

the

Con

vent

ion,

incl

udin

g its

obj

ectiv

e, a

ims

to s

treng

then

th

e gl

obal

res

pons

e to

the

thr

eat

of c

limat

e ch

ange

, in

the

con

text

of

sust

aina

ble

deve

lopm

ent

and

effo

rts t

o er

adic

ate

pove

rty, i

nclu

ding

by:

(a

) H

oldi

ng th

e in

crea

se in

the

glob

al a

vera

ge te

mpe

ratu

re to

wel

l bel

ow 2

°C

abo

ve p

re-in

dust

rial l

evel

s an

d to

pur

sue

effo

rts to

lim

it th

e te

mpe

ratu

re in

crea

se to

1.5

°C

abo

ve p

re-in

dust

rial l

evel

s, re

cogn

izin

g th

at

this

wou

ld si

gnifi

cant

ly re

duce

the

risks

and

impa

cts o

f clim

ate

chan

ge;

(b)

Incr

easi

ng th

e ab

ility

to a

dapt

to th

e ad

vers

e im

pact

s of

clim

ate

chan

ge a

nd fo

ster

clim

ate

resi

lienc

e an

d lo

w g

reen

hous

e ga

s em

issi

ons d

evel

opm

ent,

in a

man

ner t

hat d

oes n

ot th

reat

en fo

od p

rodu

ctio

n;

(c)

Mak

ing

finan

ce f

low

s co

nsis

tent

with

a p

athw

ay t

owar

ds l

ow g

reen

hous

e ga

s em

issi

ons

and

clim

ate-

resi

lient

dev

elop

men

t.

2.

This

Agr

eem

ent

will

be

impl

emen

ted

to r

efle

ct e

quity

and

the

prin

cipl

e of

com

mon

but

diff

eren

tiate

d re

spon

sibi

litie

s and

resp

ectiv

e ca

pabi

litie

s, in

the

light

of d

iffer

ent n

atio

nal c

ircum

stan

ces.

Art

icle

3

As

natio

nally

det

erm

ined

con

tribu

tions

to th

e gl

obal

resp

onse

to c

limat

e ch

ange

, all

Parti

es a

re to

und

erta

ke a

nd

com

mun

icat

e am

bitio

us e

ffor

ts a

s de

fined

in

Arti

cles

4,

7, 9

, 10

, 11

and

13

with

the

vie

w t

o ac

hiev

ing

the

purp

ose

of th

is A

gree

men

t as s

et o

ut in

Arti

cle

2. T

he e

ffor

ts o

f all

Parti

es w

ill re

pres

ent a

pro

gres

sion

ove

r tim

e,

whi

le r

ecog

nizi

ng t

he n

eed

to s

uppo

rt de

velo

ping

cou

ntry

Par

ties

for

the

effe

ctiv

e im

plem

enta

tion

of t

his

Agr

eem

ent.

Art

icle

4

1.

In o

rder

to a

chie

ve th

e lo

ng-te

rm te

mpe

ratu

re g

oal s

et o

ut in

Arti

cle

2, P

artie

s ai

m to

rea

ch g

loba

l pea

king

of

gree

nhou

se g

as e

mis

sion

s as

soo

n as

pos

sibl

e, re

cogn

izin

g th

at p

eaki

ng w

ill ta

ke lo

nger

for d

evel

opin

g co

untry

Pa

rties

, and

to u

nder

take

rapi

d re

duct

ions

ther

eafte

r in

acco

rdan

ce w

ith b

est a

vaila

ble

scie

nce,

so

as to

ach

ieve

a

bala

nce

betw

een

anth

ropo

geni

c em

issi

ons

by s

ourc

es a

nd r

emov

als

by s

inks

of g

reen

hous

e ga

ses

in th

e se

cond

ha

lf of

this

cen

tury

, on

the

basi

s of

equ

ity, a

nd in

the

cont

ext o

f sus

tain

able

dev

elop

men

t and

eff

orts

to e

radi

cate

po

verty

. 2.

Ea

ch P

arty

sha

ll pr

epar

e, c

omm

unic

ate

and

mai

ntai

n su

cces

sive

nat

iona

lly d

eter

min

ed c

ontri

butio

ns t

hat

it in

tend

s to

achi

eve.

Par

ties s

hall

purs

ue d

omes

tic m

itiga

tion

mea

sure

s, w

ith th

e ai

m o

f ach

ievi

ng th

e ob

ject

ives

of

such

con

tribu

tions

. 3.

Ea

ch P

arty

’s s

ucce

ssiv

e na

tiona

lly d

eter

min

ed c

ontri

butio

n w

ill re

pres

ent a

pro

gres

sion

bey

ond

the

Party

’s th

en

curr

ent n

atio

nally

det

erm

ined

con

tribu

tion

and

refle

ct it

s hi

ghes

t po

ssib

le a

mbi

tion,

ref

lect

ing

its c

omm

on b

ut

diffe

rent

iate

d re

spon

sibi

litie

s and

resp

ectiv

e ca

pabi

litie

s, in

the

light

of d

iffer

ent n

atio

nal c

ircum

stan

ces.

4.

D

evel

oped

cou

ntry

Par

ties

shou

ld c

ontin

ue t

akin

g th

e le

ad b

y un

derta

king

eco

nom

y-w

ide

abso

lute

em

issi

on

redu

ctio

n ta

rget

s. D

evel

opin

g co

untry

Par

ties

shou

ld c

ontin

ue e

nhan

cing

the

ir m

itiga

tion

effo

rts,

and

are

enco

urag

ed t

o m

ove

over

tim

e to

war

ds e

cono

my-

wid

e em

issi

on r

educ

tion

or l

imita

tion

targ

ets

in t

he l

ight

of

diffe

rent

nat

iona

l circ

umst

ance

s.

5.

Supp

ort s

hall

be p

rovi

ded

to d

evel

opin

g co

untry

Par

ties

for

the

impl

emen

tatio

n of

this

Arti

cle,

in

acco

rdan

ce

with

Arti

cles

9,

10 a

nd 1

1, r

ecog

nizi

ng t

hat

enha

nced

sup

port

for

deve

lopi

ng c

ount

ry P

artie

s w

ill a

llow

for

hi

gher

am

bitio

n in

thei

r act

ions

.

FCC

C/C

P/20

15/L

.9

23

6.

The

leas

t dev

elop

ed c

ount

ries

and

smal

l isl

and

deve

lopi

ng S

tate

s m

ay p

repa

re a

nd c

omm

unic

ate

stra

tegi

es, p

lans

an

d ac

tions

for l

ow g

reen

hous

e ga

s em

issi

ons d

evel

opm

ent r

efle

ctin

g th

eir s

peci

al c

ircum

stan

ces.

7.

M

itiga

tion

co-b

enef

its r

esul

ting

from

Par

ties’

ada

ptat

ion

actio

ns a

nd/o

r ec

onom

ic d

iver

sific

atio

n pl

ans

can

cont

ribut

e to

miti

gatio

n ou

tcom

es u

nder

this

Arti

cle.

8.

In

com

mun

icat

ing

thei

r na

tiona

lly d

eter

min

ed c

ontri

butio

ns, a

ll Pa

rties

sha

ll pr

ovid

e th

e in

form

atio

n ne

cess

ary

for

clar

ity, t

rans

pare

ncy

and

unde

rsta

ndin

g in

acc

orda

nce

with

dec

isio

n 1/

CP.

21 a

nd a

ny r

elev

ant d

ecis

ions

of

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent.

9.

Each

Par

ty s

hall

com

mun

icat

e a

natio

nally

det

erm

ined

con

tribu

tion

ever

y fiv

e ye

ars

in a

ccor

danc

e w

ith d

ecis

ion

1/C

P.21

and

any

rele

vant

dec

isio

ns o

f the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t and

be

info

rmed

by

the

outc

omes

of t

he g

loba

l sto

ckta

ke re

ferr

ed to

in A

rticl

e 14

. 10

. Th

e C

onfe

renc

e of

the

Par

ties

serv

ing

as t

he m

eetin

g of

the

Par

ties

to t

he P

aris

Agr

eem

ent

shal

l co

nsid

er

com

mon

tim

e fr

ames

for n

atio

nally

det

erm

ined

con

tribu

tions

at i

ts fi

rst s

essi

on.

11.

A P

arty

may

at a

ny ti

me

adju

st it

s ex

istin

g na

tiona

lly d

eter

min

ed c

ontri

butio

n w

ith a

vie

w to

enh

anci

ng it

s le

vel

of a

mbi

tion,

in a

ccor

danc

e w

ith g

uida

nce

adop

ted

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent.

12

. N

atio

nally

det

erm

ined

con

tribu

tions

com

mun

icat

ed b

y Pa

rties

sha

ll be

rec

orde

d in

a p

ublic

reg

istry

mai

ntai

ned

by th

e se

cret

aria

t. 13

. Pa

rties

sha

ll ac

coun

t fo

r th

eir

natio

nally

det

erm

ined

con

tribu

tions

. In

acco

untin

g fo

r an

thro

poge

nic

emis

sion

s an

d re

mov

als

corr

espo

ndin

g to

the

ir na

tiona

lly d

eter

min

ed c

ontri

butio

ns, P

artie

s sh

all

prom

ote

envi

ronm

enta

l in

tegr

ity,

trans

pare

ncy,

acc

urac

y, c

ompl

eten

ess,

com

para

bilit

y an

d co

nsis

tenc

y, a

nd e

nsur

e th

e av

oida

nce

of

doub

le c

ount

ing,

in a

ccor

danc

e w

ith g

uida

nce

adop

ted

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s the

mee

ting

of

the

Parti

es to

the

Paris

Agr

eem

ent.

14

. In

the

con

text

of

thei

r na

tiona

lly d

eter

min

ed c

ontri

butio

ns,

whe

n re

cogn

izin

g an

d im

plem

entin

g m

itiga

tion

actio

ns w

ith r

espe

ct to

ant

hrop

ogen

ic e

mis

sion

s an

d re

mov

als,

Parti

es s

houl

d ta

ke in

to a

ccou

nt, a

s ap

prop

riate

, ex

istin

g m

etho

ds a

nd g

uida

nce

unde

r th

e C

onve

ntio

n, i

n th

e lig

ht o

f th

e pr

ovis

ions

of

para

grap

h 13

of

this

A

rticl

e.

15.

Parti

es s

hall

take

int

o co

nsid

erat

ion

in t

he i

mpl

emen

tatio

n of

thi

s A

gree

men

t th

e co

ncer

ns o

f Pa

rties

with

ec

onom

ies m

ost a

ffec

ted

by th

e im

pact

s of r

espo

nse

mea

sure

s, pa

rticu

larly

dev

elop

ing

coun

try P

artie

s.

16

. Pa

rties

, inc

ludi

ng r

egio

nal

econ

omic

int

egra

tion

orga

niza

tions

and

the

ir m

embe

r St

ates

, tha

t ha

ve r

each

ed a

n ag

reem

ent

to a

ct j

oint

ly u

nder

par

agra

ph 2

of

this

Arti

cle

shal

l no

tify

the

secr

etar

iat

of t

he t

erm

s of

tha

t ag

reem

ent,

incl

udin

g th

e em

issi

on l

evel

allo

cate

d to

eac

h Pa

rty w

ithin

the

rel

evan

t tim

e pe

riod,

whe

n th

ey

com

mun

icat

e th

eir

natio

nally

det

erm

ined

con

tribu

tions

. Th

e se

cret

aria

t sh

all

in t

urn

info

rm t

he P

artie

s an

d si

gnat

orie

s to

the

Con

vent

ion

of th

e te

rms o

f tha

t agr

eem

ent.

17.

Each

par

ty to

such

an

agre

emen

t sha

ll be

resp

onsi

ble

for i

ts e

mis

sion

leve

l as

set o

ut in

the

agre

emen

t ref

erre

d to

in

par

agra

ph 1

6 ab

ove

in a

ccor

danc

e w

ith p

arag

raph

s 13

and

14 o

f thi

s Arti

cle

and

Arti

cles

13

and

15.

18.

If P

artie

s ac

ting

join

tly d

o so

in

the

fram

ewor

k of

, an

d to

geth

er w

ith,

a re

gion

al e

cono

mic

int

egra

tion

orga

niza

tion

whi

ch is

itse

lf a

Party

to th

is A

gree

men

t, ea

ch m

embe

r Sta

te o

f tha

t reg

iona

l eco

nom

ic in

tegr

atio

n or

gani

zatio

n in

divi

dual

ly, a

nd to

geth

er w

ith th

e re

gion

al e

cono

mic

inte

grat

ion

orga

niza

tion,

sha

ll be

resp

onsi

ble

for i

ts e

mis

sion

leve

l as

set o

ut in

the

agre

emen

t com

mun

icat

ed u

nder

par

agra

ph 1

6 of

this

Arti

cle

in a

ccor

danc

e w

ith p

arag

raph

s 13

and

14 o

f thi

s Arti

cle

and

Arti

cles

13

and

15.

19.

All

Parti

es s

houl

d st

rive

to f

orm

ulat

e an

d co

mm

unic

ate

long

-term

low

gre

enho

use

gas

emis

sion

dev

elop

men

t st

rate

gies

, m

indf

ul o

f A

rticl

e 2

taki

ng i

nto

acco

unt

thei

r co

mm

on b

ut d

iffer

entia

ted

resp

onsi

bilit

ies

and

resp

ectiv

e ca

pabi

litie

s, in

the

light

of d

iffer

ent n

atio

nal c

ircum

stan

ces.

Art

icle

5

1.

Parti

es s

houl

d ta

ke a

ctio

n to

con

serv

e an

d en

hanc

e, a

s ap

prop

riate

, sin

ks a

nd r

eser

voirs

of

gree

nhou

se g

ases

as

refe

rred

to in

Arti

cle

4, p

arag

raph

1(d

), of

the

Con

vent

ion,

incl

udin

g fo

rest

s.

2.

Parti

es a

re e

ncou

rage

d to

take

act

ion

to im

plem

ent a

nd s

uppo

rt, in

clud

ing

thro

ugh

resu

lts-b

ased

pay

men

ts, t

he

exis

ting

fram

ewor

k as

set

out

in re

late

d gu

idan

ce a

nd d

ecis

ions

alre

ady

agre

ed u

nder

the

Con

vent

ion

for:

polic

y ap

proa

ches

and

pos

itive

inc

entiv

es f

or a

ctiv

ities

rel

atin

g to

red

ucin

g em

issi

ons

from

def

ores

tatio

n an

d fo

rest

de

grad

atio

n, a

nd th

e ro

le o

f con

serv

atio

n, s

usta

inab

le m

anag

emen

t of f

ores

ts a

nd e

nhan

cem

ent o

f for

est c

arbo

n

FCC

C/C

P/20

15/L

.9/R

ev.1

24

stoc

ks i

n de

velo

ping

cou

ntrie

s; a

nd a

ltern

ativ

e po

licy

appr

oach

es,

such

as

join

t m

itiga

tion

and

adap

tatio

n ap

proa

ches

for

the

int

egra

l an

d su

stai

nabl

e m

anag

emen

t of

for

ests

, w

hile

rea

ffirm

ing

the

impo

rtanc

e of

in

cent

iviz

ing,

as a

ppro

pria

te, n

on-c

arbo

n be

nefit

s ass

ocia

ted

with

such

app

roac

hes.

Art

icle

6

1.

Parti

es r

ecog

nize

tha

t so

me

Parti

es c

hoos

e to

pur

sue

volu

ntar

y co

oper

atio

n in

the

im

plem

enta

tion

of t

heir

natio

nally

det

erm

ined

con

tribu

tions

to a

llow

for h

ighe

r am

bitio

n in

thei

r miti

gatio

n an

d ad

apta

tion

actio

ns a

nd to

pr

omot

e su

stai

nabl

e de

velo

pmen

t and

env

ironm

enta

l int

egrit

y.

2.

Parti

es s

hall,

whe

re e

ngag

ing

on a

vol

unta

ry b

asis

in

coop

erat

ive

appr

oach

es t

hat

invo

lve

the

use

of

inte

rnat

iona

lly tr

ansf

erre

d m

itiga

tion

outc

omes

tow

ards

nat

iona

lly d

eter

min

ed c

ontri

butio

ns, p

rom

ote

sust

aina

ble

deve

lopm

ent

and

ensu

re e

nviro

nmen

tal

inte

grity

and

tra

nspa

renc

y, i

nclu

ding

in

gove

rnan

ce,

and

shal

l ap

ply

robu

st a

ccou

ntin

g to

ens

ure,

inte

r al

ia, t

he a

void

ance

of

doub

le c

ount

ing,

con

sist

ent w

ith g

uida

nce

adop

ted

by

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent.

3.

Th

e us

e of

inte

rnat

iona

lly tr

ansf

erre

d m

itiga

tion

outc

omes

to a

chie

ve n

atio

nally

det

erm

ined

con

tribu

tions

und

er

this

Agr

eem

ent s

hall

be v

olun

tary

and

aut

horiz

ed b

y pa

rtici

patin

g Pa

rties

. 4.

A

mec

hani

sm to

con

tribu

te to

the

miti

gatio

n of

gre

enho

use

gas e

mis

sion

s and

supp

ort s

usta

inab

le d

evel

opm

ent i

s he

reby

est

ablis

hed

unde

r th

e au

thor

ity a

nd g

uida

nce

of th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

th

e Pa

rties

to

the

Paris

Agr

eem

ent

for

use

by P

artie

s on

a v

olun

tary

bas

is.

It sh

all

be s

uper

vise

d by

a b

ody

desi

gnat

ed b

y th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent,

and

shal

l aim

: (a

) To

pro

mot

e th

e m

itiga

tion

of g

reen

hous

e ga

s em

issi

ons w

hile

fost

erin

g su

stai

nabl

e de

velo

pmen

t; (b

) To

inc

entiv

ize

and

faci

litat

e pa

rtici

patio

n in

the

miti

gatio

n of

gre

enho

use

gas

emis

sion

s by

pub

lic a

nd

priv

ate

entit

ies a

utho

rized

by

a Pa

rty;

(c)

To c

ontri

bute

to t

he r

educ

tion

of e

mis

sion

leve

ls i

n th

e ho

st P

arty

, whi

ch w

ill b

enef

it fr

om m

itiga

tion

activ

ities

res

ultin

g in

em

issi

on r

educ

tions

that

can

als

o be

use

d by

ano

ther

Par

ty to

ful

fil it

s na

tiona

lly

dete

rmin

ed c

ontri

butio

n; a

nd

(d)

To d

eliv

er a

n ov

eral

l miti

gatio

n in

glo

bal e

mis

sion

s.

5.

Emis

sion

redu

ctio

ns re

sulti

ng fr

om th

e m

echa

nism

refe

rred

to in

par

agra

ph 4

of t

his

Arti

cle

shal

l not

be

used

to

dem

onst

rate

ach

ieve

men

t of

the

hos

t Pa

rty’s

nat

iona

lly d

eter

min

ed c

ontri

butio

n if

used

by

anot

her

Party

to

dem

onst

rate

ach

ieve

men

t of i

ts n

atio

nally

det

erm

ined

con

tribu

tion.

6.

Th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent

shal

l ens

ure

that

a

shar

e of

the

proc

eeds

fro

m a

ctiv

ities

und

er th

e m

echa

nism

ref

erre

d to

in p

arag

raph

4 o

f th

is A

rticl

e is

use

d to

co

ver

adm

inis

trativ

e ex

pens

es a

s w

ell a

s to

ass

ist d

evel

opin

g co

untry

Par

ties

that

are

par

ticul

arly

vul

nera

ble

to

the

adve

rse

effe

cts o

f clim

ate

chan

ge to

mee

t the

cos

ts o

f ada

ptat

ion.

7.

Th

e C

onfe

renc

e of

the

Par

ties

serv

ing

as t

he m

eetin

g of

the

Par

ties

to th

e Pa

ris A

gree

men

t sh

all a

dopt

rul

es,

mod

aliti

es a

nd p

roce

dure

s for

the

mec

hani

sm re

ferr

ed to

in p

arag

raph

4 o

f thi

s Arti

cle

at it

s fir

st se

ssio

n.

8.

Parti

es r

ecog

nize

the

impo

rtanc

e of

inte

grat

ed, h

olis

tic a

nd b

alan

ced

non-

mar

ket a

ppro

ache

s be

ing

avai

labl

e to

Pa

rties

to a

ssis

t in

the

impl

emen

tatio

n of

thei

r nat

iona

lly d

eter

min

ed c

ontri

butio

ns, i

n th

e co

ntex

t of s

usta

inab

le

deve

lopm

ent

and

pove

rty e

radi

catio

n, i

n a

coor

dina

ted

and

effe

ctiv

e m

anne

r, in

clud

ing

thro

ugh,

int

er a

lia,

miti

gatio

n, a

dapt

atio

n, fi

nanc

e, te

chno

logy

tran

sfer

and

cap

acity

-bui

ldin

g, a

s app

ropr

iate

. The

se a

ppro

ache

s sha

ll ai

m to

: (a

) Pr

omot

e m

itiga

tion

and

adap

tatio

n am

bitio

n;

(b)

Enha

nce

publ

ic

and

priv

ate

sect

or

parti

cipa

tion

in

the

impl

emen

tatio

n of

na

tiona

lly

dete

rmin

ed

cont

ribut

ions

; and

(c

) En

able

opp

ortu

nitie

s for

coo

rdin

atio

n ac

ross

inst

rum

ents

and

rele

vant

inst

itutio

nal a

rran

gem

ents

. 9.

A

fra

mew

ork

for

non-

mar

ket

appr

oach

es t

o su

stai

nabl

e de

velo

pmen

t is

her

eby

defin

ed t

o pr

omot

e th

e no

n-m

arke

t app

roac

hes r

efer

red

to in

par

agra

ph 8

of t

his A

rticl

e.

FCC

C/C

P/20

15/L

.9

25

Art

icle

7

1.

Parti

es h

ereb

y es

tabl

ish

the

glob

al g

oal o

n ad

apta

tion

of e

nhan

cing

ada

ptiv

e ca

paci

ty, s

treng

then

ing

resi

lienc

e an

d re

duci

ng v

ulne

rabi

lity

to c

limat

e ch

ange

, w

ith a

vie

w t

o co

ntrib

utin

g to

sus

tain

able

dev

elop

men

t an

d en

surin

g an

ade

quat

e ad

apta

tion

resp

onse

in th

e co

ntex

t of t

he te

mpe

ratu

re g

oal r

efer

red

to in

Arti

cle

2.

2.

Parti

es re

cogn

ize

that

ada

ptat

ion

is a

glo

bal c

halle

nge

face

d by

all

with

loca

l, su

bnat

iona

l, na

tiona

l, re

gion

al a

nd

inte

rnat

iona

l di

men

sion

s, an

d th

at it

is

a ke

y co

mpo

nent

of

and

mak

es a

con

tribu

tion

to th

e lo

ng-te

rm g

loba

l re

spon

se t

o cl

imat

e ch

ange

to

prot

ect

peop

le, l

ivel

ihoo

ds a

nd e

cosy

stem

s, ta

king

int

o ac

coun

t th

e ur

gent

and

im

med

iate

nee

ds o

f th

ose

deve

lopi

ng c

ount

ry P

artie

s th

at a

re p

artic

ular

ly v

ulne

rabl

e to

the

adve

rse

effe

cts

of

clim

ate

chan

ge.

3.

The

adap

tatio

n ef

forts

of d

evel

opin

g co

untry

Par

ties

shal

l be

reco

gniz

ed, i

n ac

cord

ance

with

the

mod

aliti

es to

be

adop

ted

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent a

t its

firs

t se

ssio

n.

4.

Parti

es r

ecog

nize

tha

t th

e cu

rren

t ne

ed f

or a

dapt

atio

n is

sig

nific

ant

and

that

gre

ater

lev

els

of m

itiga

tion

can

redu

ce th

e ne

ed fo

r add

ition

al a

dapt

atio

n ef

forts

, and

that

gre

ater

ada

ptat

ion

need

s can

invo

lve

grea

ter a

dapt

atio

n co

sts.

5.

Parti

es a

ckno

wle

dge

that

ada

ptat

ion

actio

n sh

ould

follo

w a

cou

ntry

-driv

en, g

ende

r-re

spon

sive

, par

ticip

ator

y an

d fu

lly t

rans

pare

nt a

ppro

ach,

tak

ing

into

con

side

ratio

n vu

lner

able

gro

ups,

com

mun

ities

and

eco

syst

ems,

and

shou

ld b

e ba

sed

on a

nd g

uide

d by

the

bes

t av

aila

ble

scie

nce

and,

as

appr

opria

te,

tradi

tiona

l kn

owle

dge,

kn

owle

dge

of i

ndig

enou

s pe

ople

s an

d lo

cal

know

ledg

e sy

stem

s, w

ith a

vie

w t

o in

tegr

atin

g ad

apta

tion

into

re

leva

nt so

cioe

cono

mic

and

env

ironm

enta

l pol

icie

s and

act

ions

, whe

re a

ppro

pria

te.

6.

Parti

es r

ecog

nize

the

im

porta

nce

of s

uppo

rt fo

r an

d in

tern

atio

nal

coop

erat

ion

on a

dapt

atio

n ef

forts

and

the

im

porta

nce

of ta

king

into

acc

ount

the

need

s of

dev

elop

ing

coun

try P

artie

s, es

peci

ally

thos

e th

at a

re p

artic

ular

ly

vuln

erab

le to

the

adve

rse

effe

cts o

f clim

ate

chan

ge.

7.

Parti

es s

houl

d st

reng

then

thei

r co

oper

atio

n on

enh

anci

ng a

ctio

n on

ada

ptat

ion,

taki

ng in

to a

ccou

nt th

e C

ancu

n A

dapt

atio

n Fr

amew

ork,

incl

udin

g w

ith re

gard

to:

(a)

Shar

ing

info

rmat

ion,

goo

d pr

actic

es, e

xper

ienc

es a

nd le

sson

s le

arne

d, in

clud

ing,

as

appr

opria

te, a

s th

ese

rela

te to

scie

nce,

pla

nnin

g, p

olic

ies a

nd im

plem

enta

tion

in re

latio

n to

ada

ptat

ion

actio

ns;

(b)

Stre

ngth

enin

g in

stitu

tiona

l ar

rang

emen

ts,

incl

udin

g th

ose

unde

r th

e C

onve

ntio

n th

at

serv

e th

is

Agr

eem

ent,

to s

uppo

rt th

e sy

nthe

sis

of r

elev

ant

info

rmat

ion

and

know

ledg

e, a

nd t

he p

rovi

sion

of

tech

nica

l sup

port

and

guid

ance

to P

artie

s;

(c)

Stre

ngth

enin

g sc

ient

ific

know

ledg

e on

clim

ate,

incl

udin

g re

sear

ch, s

yste

mat

ic o

bser

vatio

n of

the

clim

ate

syst

em a

nd e

arly

war

ning

sys

tem

s, in

a m

anne

r th

at i

nfor

ms

clim

ate

serv

ices

and

sup

ports

dec

isio

n-m

akin

g;

(d)

Ass

istin

g de

velo

ping

cou

ntry

Par

ties

in i

dent

ifyin

g ef

fect

ive

adap

tatio

n pr

actic

es,

adap

tatio

n ne

eds,

prio

ritie

s, su

ppor

t pro

vide

d an

d re

ceiv

ed fo

r ada

ptat

ion

actio

ns a

nd e

fforts

, and

cha

lleng

es a

nd g

aps,

in a

m

anne

r con

sist

ent w

ith e

ncou

ragi

ng g

ood

prac

tices

; (e

) Im

prov

ing

the

effe

ctiv

enes

s and

dur

abili

ty o

f ada

ptat

ion

actio

ns.

8.

Uni

ted

Nat

ions

spe

cial

ized

org

aniz

atio

ns a

nd a

genc

ies

are

enco

urag

ed t

o su

ppor

t th

e ef

forts

of

Parti

es t

o im

plem

ent t

he a

ctio

ns re

ferr

ed to

in p

arag

raph

7 o

f thi

s Arti

cle,

taki

ng in

to a

ccou

nt th

e pr

ovis

ions

of p

arag

raph

5

of th

is A

rticl

e.

9.

Each

Par

ty s

hall,

as

appr

opria

te, e

ngag

e in

ada

ptat

ion

plan

ning

pro

cess

es a

nd t

he i

mpl

emen

tatio

n of

act

ions

, in

clud

ing

the

deve

lopm

ent o

r enh

ance

men

t of r

elev

ant p

lans

, pol

icie

s and

/or c

ontri

butio

ns, w

hich

may

incl

ude:

(a

) Th

e im

plem

enta

tion

of a

dapt

atio

n ac

tions

, und

erta

king

s and

/or e

fforts

; (b

) Th

e pr

oces

s to

form

ulat

e an

d im

plem

ent n

atio

nal a

dapt

atio

n pl

ans;

(c

) Th

e as

sess

men

t of

clim

ate

chan

ge i

mpa

cts

and

vuln

erab

ility

, w

ith a

vie

w t

o fo

rmul

atin

g na

tiona

lly

dete

rmin

ed p

riorit

ized

act

ions

, tak

ing

into

acc

ount

vul

nera

ble

peop

le, p

lace

s and

eco

syst

ems;

(d

) M

onito

ring

and

eval

uatin

g an

d le

arni

ng fr

om a

dapt

atio

n pl

ans,

polic

ies,

prog

ram

mes

and

act

ions

; and

(e

) B

uild

ing

the

resi

lienc

e of

so

cioe

cono

mic

an

d ec

olog

ical

sy

stem

s, in

clud

ing

thro

ugh

econ

omic

di

vers

ifica

tion

and

sust

aina

ble

man

agem

ent o

f nat

ural

reso

urce

s.

FCC

C/C

P/20

15/L

.9/R

ev.1

26

10.

Each

Par

ty s

houl

d, a

s ap

prop

riate

, su

bmit

and

upda

te p

erio

dica

lly a

n ad

apta

tion

com

mun

icat

ion,

whi

ch m

ay

incl

ude

its p

riorit

ies,

impl

emen

tatio

n an

d su

ppor

t ne

eds,

plan

s an

d ac

tions

, w

ithou

t cr

eatin

g an

y ad

ditio

nal

burd

en fo

r dev

elop

ing

coun

try P

artie

s. 11

. Th

e ad

apta

tion

com

mun

icat

ion

refe

rred

to in

par

agra

ph 1

0 of

this

Arti

cle

shal

l be,

as

appr

opria

te, s

ubm

itted

and

up

date

d pe

riodi

cally

, as

a co

mpo

nent

of o

r in

conj

unct

ion

with

oth

er c

omm

unic

atio

ns o

r doc

umen

ts, i

nclu

ding

a

natio

nal a

dapt

atio

n pl

an, a

nat

iona

lly d

eter

min

ed c

ontri

butio

n as

ref

erre

d to

in A

rticl

e 4,

par

agra

ph 2

, and

/or

a na

tiona

l com

mun

icat

ion.

12

. Th

e ad

apta

tion

com

mun

icat

ions

refe

rred

to in

par

agra

ph 1

0 of

this

Arti

cle

shal

l be

reco

rded

in a

pub

lic re

gist

ry

mai

ntai

ned

by th

e se

cret

aria

t. 13

. C

ontin

uous

and

enh

ance

d in

tern

atio

nal

supp

ort

shal

l be

pro

vide

d to

dev

elop

ing

coun

try P

artie

s fo

r th

e im

plem

enta

tion

of p

arag

raph

s 7,

9, 1

0 an

d 11

of t

his

Arti

cle,

in a

ccor

danc

e w

ith th

e pr

ovis

ions

of A

rticl

es 9

, 10

and

11.

14.

The

glob

al st

ockt

ake

refe

rred

to in

Arti

cle

14 sh

all,

inte

r alia

: (a

) R

ecog

nize

ada

ptat

ion

effo

rts o

f dev

elop

ing

coun

try P

artie

s;

(b)

Enha

nce

the

impl

emen

tatio

n of

ada

ptat

ion

actio

n ta

king

int

o ac

coun

t th

e ad

apta

tion

com

mun

icat

ion

refe

rred

to in

par

agra

ph 1

0 of

this

Arti

cle;

(c

) R

evie

w th

e ad

equa

cy a

nd e

ffec

tiven

ess o

f ada

ptat

ion

and

supp

ort p

rovi

ded

for a

dapt

atio

n; a

nd

(d)

Rev

iew

the

over

all p

rogr

ess

mad

e in

ach

ievi

ng th

e gl

obal

goa

l on

adap

tatio

n re

ferr

ed to

in p

arag

raph

1 o

f th

is A

rticl

e.

Art

icle

8

1.

Parti

es r

ecog

nize

the

impo

rtanc

e of

ave

rting

, min

imiz

ing

and

addr

essi

ng lo

ss a

nd d

amag

e as

soci

ated

with

the

adve

rse

effe

cts

of c

limat

e ch

ange

, in

clud

ing

extre

me

wea

ther

eve

nts

and

slow

ons

et e

vent

s, an

d th

e ro

le o

f su

stai

nabl

e de

velo

pmen

t in

redu

cing

the

risk

of lo

ss a

nd d

amag

e.

2.

The

War

saw

Int

erna

tiona

l Mec

hani

sm f

or L

oss

and

Dam

age

asso

ciat

ed w

ith C

limat

e C

hang

e Im

pact

s sh

all b

e su

bjec

t to

the

auth

ority

and

gui

danc

e of

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t and

may

be

enha

nced

and

stre

ngth

ened

, as

dete

rmin

ed b

y th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent.

3.

Pa

rties

sho

uld

enha

nce

unde

rsta

ndin

g, a

ctio

n an

d su

ppor

t, in

clud

ing

thro

ugh

the

War

saw

Int

erna

tiona

l M

echa

nism

, as

appr

opria

te, o

n a

coop

erat

ive

and

faci

litat

ive

basi

s w

ith r

espe

ct to

loss

and

dam

age

asso

ciat

ed

with

the

adve

rse

effe

cts o

f clim

ate

chan

ge.

4.

Acc

ordi

ngly

, are

as o

f coo

pera

tion

and

faci

litat

ion

to e

nhan

ce u

nder

stan

ding

, act

ion

and

supp

ort m

ay in

clud

e:

(a)

Early

war

ning

sys

tem

s;

(b)

Emer

genc

y pr

epar

edne

ss;

(c)

Slow

ons

et e

vent

s;

(d)

Even

ts th

at m

ay in

volv

e irr

ever

sibl

e an

d pe

rman

ent l

oss a

nd d

amag

e;

(e)

Com

preh

ensi

ve ri

sk a

sses

smen

t and

man

agem

ent;

(f)

Ris

k in

sura

nce

faci

litie

s, cl

imat

e ris

k po

olin

g an

d ot

her i

nsur

ance

solu

tions

; (g

) N

on-e

cono

mic

loss

es;

(h)

Res

ilien

ce o

f com

mun

ities

, liv

elih

oods

and

eco

syst

ems.

5.

Th

e W

arsa

w I

nter

natio

nal

Mec

hani

sm s

hall

colla

bora

te w

ith e

xist

ing

bodi

es a

nd e

xper

t gr

oups

und

er t

he

Agr

eem

ent,

as w

ell a

s rel

evan

t org

aniz

atio

ns a

nd e

xper

t bod

ies o

utsi

de th

e A

gree

men

t.

Art

icle

9

1.

Dev

elop

ed c

ount

ry P

artie

s sh

all p

rovi

de fi

nanc

ial r

esou

rces

to a

ssis

t dev

elop

ing

coun

try P

artie

s w

ith r

espe

ct to

bo

th m

itiga

tion

and

adap

tatio

n in

con

tinua

tion

of th

eir e

xist

ing

oblig

atio

ns u

nder

the

Con

vent

ion.

2.

O

ther

Par

ties a

re e

ncou

rage

d to

pro

vide

or c

ontin

ue to

pro

vide

such

supp

ort v

olun

taril

y.

3.

As

part

of a

glo

bal

effo

rt, d

evel

oped

cou

ntry

Par

ties

shou

ld c

ontin

ue t

o ta

ke t

he l

ead

in m

obili

zing

clim

ate

finan

ce f

rom

a w

ide

varie

ty o

f so

urce

s, in

stru

men

ts a

nd c

hann

els,

notin

g th

e si

gnifi

cant

rol

e of

pub

lic f

unds

,

FCC

C/C

P/20

15/L

.9

27

thro

ugh

a va

riety

of

actio

ns, i

nclu

ding

sup

porti

ng c

ount

ry-d

riven

stra

tegi

es, a

nd ta

king

into

acc

ount

the

need

s an

d pr

iorit

ies

of d

evel

opin

g co

untry

Par

ties.

Such

mob

iliza

tion

of c

limat

e fin

ance

sho

uld

repr

esen

t a p

rogr

essi

on

beyo

nd p

revi

ous e

ffor

ts.

4.

The

prov

isio

n of

sca

led-

up f

inan

cial

res

ourc

es s

houl

d ai

m t

o ac

hiev

e a

bala

nce

betw

een

adap

tatio

n an

d m

itiga

tion,

tak

ing

into

acc

ount

cou

ntry

-driv

en s

trate

gies

, an

d th

e pr

iorit

ies

and

need

s of

dev

elop

ing

coun

try

Parti

es,

espe

cial

ly t

hose

tha

t ar

e pa

rticu

larly

vul

nera

ble

to t

he a

dver

se e

ffect

s of

clim

ate

chan

ge a

nd h

ave

sign

ifica

nt c

apac

ity c

onst

rain

ts,

such

as

the

leas

t de

velo

ped

coun

tries

and

sm

all

isla

nd d

evel

opin

g St

ates

, co

nsid

erin

g th

e ne

ed fo

r pub

lic a

nd g

rant

-bas

ed re

sour

ces f

or a

dapt

atio

n.

5.

Dev

elop

ed c

ount

ry P

artie

s sh

all

bien

nial

ly c

omm

unic

ate

indi

cativ

e qu

antit

ativ

e an

d qu

alita

tive

info

rmat

ion

rela

ted

to p

arag

raph

s 1

and

3 of

thi

s A

rticl

e, a

s ap

plic

able

, inc

ludi

ng, a

s av

aila

ble,

pro

ject

ed l

evel

s of

pub

lic

finan

cial

res

ourc

es t

o be

pro

vide

d to

dev

elop

ing

coun

try P

artie

s. O

ther

Par

ties

prov

idin

g re

sour

ces

are

enco

urag

ed to

com

mun

icat

e bi

enni

ally

suc

h in

form

atio

n on

a v

olun

tary

bas

is.

6.

The

glob

al s

tock

take

ref

erre

d to

in

Arti

cle

14 s

hall

take

int

o ac

coun

t th

e re

leva

nt i

nfor

mat

ion

prov

ided

by

deve

lope

d co

untry

Par

ties a

nd/o

r Agr

eem

ent b

odie

s on

effo

rts re

late

d to

clim

ate

finan

ce.

7.

Dev

elop

ed c

ount

ry P

artie

s sh

all

prov

ide

trans

pare

nt a

nd c

onsi

sten

t in

form

atio

n on

sup

port

for

deve

lopi

ng

coun

try P

artie

s pr

ovid

ed a

nd m

obili

zed

thro

ugh

publ

ic i

nter

vent

ions

bie

nnia

lly i

n ac

cord

ance

with

the

m

odal

ities

, pro

cedu

res

and

guid

elin

es to

be

adop

ted

by th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

th

e Pa

rties

to th

e Pa

ris A

gree

men

t, at

its

first

ses

sion

, as

stip

ulat

ed in

Arti

cle

13, p

arag

raph

13.

Oth

er P

artie

s ar

e en

cour

aged

to d

o so

. 8.

Th

e Fi

nanc

ial

Mec

hani

sm o

f th

e C

onve

ntio

n, i

nclu

ding

its

ope

ratin

g en

titie

s, sh

all

serv

e as

the

fin

anci

al

mec

hani

sm o

f thi

s Agr

eem

ent.

9.

Th

e in

stitu

tions

ser

ving

thi

s A

gree

men

t, in

clud

ing

the

oper

atin

g en

titie

s of

the

Fin

anci

al M

echa

nism

of

the

Con

vent

ion,

sha

ll ai

m to

ens

ure

effic

ient

acc

ess

to f

inan

cial

res

ourc

es th

roug

h si

mpl

ified

app

rova

l pro

cedu

res

and

enha

nced

rea

dine

ss s

uppo

rt fo

r de

velo

ping

cou

ntry

Par

ties,

in p

artic

ular

for

the

leas

t dev

elop

ed c

ount

ries

and

smal

l isl

and

deve

lopi

ng S

tate

s, in

the

cont

ext o

f the

ir na

tiona

l clim

ate

stra

tegi

es a

nd p

lans

.

Art

icle

10

1.

Parti

es s

hare

a l

ong-

term

vis

ion

on t

he i

mpo

rtanc

e of

ful

ly r

ealiz

ing

tech

nolo

gy d

evel

opm

ent

and

trans

fer

in

orde

r to

impr

ove

resi

lienc

e to

clim

ate

chan

ge a

nd to

redu

ce g

reen

hous

e ga

s em

issi

ons.

2.

Pa

rties

, not

ing

the

impo

rtanc

e of

tech

nolo

gy f

or th

e im

plem

enta

tion

of m

itiga

tion

and

adap

tatio

n ac

tions

und

er

this

Agr

eem

ent

and

reco

gniz

ing

exis

ting

tech

nolo

gy d

eplo

ymen

t an

d di

ssem

inat

ion

effo

rts,

shal

l st

reng

then

co

oper

ativ

e ac

tion

on te

chno

logy

dev

elop

men

t and

tran

sfer

. 3.

Th

e Te

chno

logy

Mec

hani

sm e

stab

lishe

d un

der t

he C

onve

ntio

n sh

all s

erve

this

Agr

eem

ent.

4.

A te

chno

logy

fram

ewor

k is

her

eby

esta

blis

hed

to p

rovi

de o

vera

rchi

ng g

uida

nce

to th

e w

ork

of th

e Te

chno

logy

M

echa

nism

in p

rom

otin

g an

d fa

cilit

atin

g en

hanc

ed a

ctio

n on

tech

nolo

gy d

evel

opm

ent a

nd tr

ansf

er in

ord

er to

su

ppor

t the

impl

emen

tatio

n of

this

Agr

eem

ent,

in p

ursu

it of

the

long

-term

vis

ion

refe

rred

to in

par

agra

ph 1

of

this

Arti

cle.

5.

A

ccel

erat

ing,

enc

oura

ging

and

ena

blin

g in

nova

tion

is c

ritic

al f

or a

n ef

fect

ive,

lon

g-te

rm g

loba

l re

spon

se t

o cl

imat

e ch

ange

and

pro

mot

ing

econ

omic

gro

wth

and

sus

tain

able

dev

elop

men

t. Su

ch e

ffor

t sh

all

be,

as

appr

opria

te, s

uppo

rted,

incl

udin

g by

the

Tech

nolo

gy M

echa

nism

and

, thr

ough

fina

ncia

l mea

ns, b

y th

e Fi

nanc

ial

Mec

hani

sm o

f the

Con

vent

ion,

for c

olla

bora

tive

appr

oach

es to

rese

arch

and

dev

elop

men

t, an

d fa

cilit

atin

g ac

cess

to

tech

nolo

gy, i

n pa

rticu

lar f

or e

arly

stag

es o

f the

tech

nolo

gy c

ycle

, to

deve

lopi

ng c

ount

ry P

artie

s.

6.

Supp

ort,

incl

udin

g fin

anci

al s

uppo

rt, s

hall

be p

rovi

ded

to d

evel

opin

g co

untry

Par

ties

for

the

impl

emen

tatio

n of

th

is A

rticl

e, in

clud

ing

for

stre

ngth

enin

g co

oper

ativ

e ac

tion

on te

chno

logy

dev

elop

men

t and

tran

sfer

at d

iffer

ent

stag

es o

f the

tech

nolo

gy c

ycle

, with

a v

iew

to a

chie

ving

a b

alan

ce b

etw

een

supp

ort f

or m

itiga

tion

and

adap

tatio

n.

The

glob

al s

tock

take

refe

rred

to in

Arti

cle

14 s

hall

take

into

acc

ount

ava

ilabl

e in

form

atio

n on

eff

orts

rela

ted

to

supp

ort o

n te

chno

logy

dev

elop

men

t and

tran

sfer

for d

evel

opin

g co

untry

Par

ties.

Art

icle

11

1.

Cap

acity

-bui

ldin

g un

der

this

Agr

eem

ent s

houl

d en

hanc

e th

e ca

paci

ty a

nd a

bilit

y of

dev

elop

ing

coun

try P

artie

s, in

par

ticul

ar c

ount

ries

with

the

lea

st c

apac

ity,

such

as

the

leas

t de

velo

ped

coun

tries

, an

d th

ose

that

are

pa

rticu

larly

vul

nera

ble

to th

e ad

vers

e ef

fect

s of

clim

ate

chan

ge, s

uch

as s

mal

l isl

and

deve

lopi

ng S

tate

s, to

take

FCC

C/C

P/20

15/L

.9/R

ev.1

28

effe

ctiv

e cl

imat

e ch

ange

act

ion,

incl

udin

g, in

ter a

lia, t

o im

plem

ent a

dapt

atio

n an

d m

itiga

tion

actio

ns, a

nd s

houl

d fa

cilit

ate

tech

nolo

gy d

evel

opm

ent,

diss

emin

atio

n an

d de

ploy

men

t, ac

cess

to c

limat

e fin

ance

, rel

evan

t asp

ects

of

educ

atio

n,

train

ing

and

publ

ic

awar

enes

s, an

d th

e tra

nspa

rent

, tim

ely

and

accu

rate

co

mm

unic

atio

n of

in

form

atio

n.

2.

Cap

acity

-bui

ldin

g sh

ould

be

coun

try-d

riven

, ba

sed

on a

nd r

espo

nsiv

e to

nat

iona

l ne

eds,

and

fost

er c

ount

ry

owne

rshi

p of

Par

ties,

in p

artic

ular

, fo

r de

velo

ping

cou

ntry

Par

ties,

incl

udin

g at

the

nat

iona

l, su

bnat

iona

l an

d lo

cal

leve

ls.

Cap

acity

-bui

ldin

g sh

ould

be

guid

ed b

y le

sson

s le

arne

d, i

nclu

ding

tho

se f

rom

cap

acity

-bui

ldin

g ac

tiviti

es u

nder

the

Con

vent

ion,

and

sho

uld

be a

n ef

fect

ive,

iter

ativ

e pr

oces

s th

at is

par

ticip

ator

y, c

ross

-cut

ting

and

gend

er-r

espo

nsiv

e.

3.

All

Parti

es s

houl

d co

oper

ate

to e

nhan

ce th

e ca

paci

ty o

f dev

elop

ing

coun

try P

artie

s to

impl

emen

t thi

s A

gree

men

t. D

evel

oped

cou

ntry

Par

ties s

houl

d en

hanc

e su

ppor

t for

cap

acity

-bui

ldin

g ac

tions

in d

evel

opin

g co

untry

Par

ties.

4.

A

ll Pa

rties

enh

anci

ng th

e ca

paci

ty o

f dev

elop

ing

coun

try P

artie

s to

impl

emen

t thi

s Agr

eem

ent,

incl

udin

g th

roug

h re

gion

al,

bila

tera

l an

d m

ultil

ater

al a

ppro

ache

s, sh

all

regu

larly

com

mun

icat

e on

the

se a

ctio

ns o

r m

easu

res

on

capa

city

-bui

ldin

g. D

evel

opin

g co

untry

Par

ties

shou

ld r

egul

arly

com

mun

icat

e pr

ogre

ss m

ade

on i

mpl

emen

ting

capa

city

-bui

ldin

g pl

ans,

polic

ies,

actio

ns o

r mea

sure

s to

impl

emen

t thi

s Agr

eem

ent.

5.

C

apac

ity-b

uild

ing

activ

ities

sha

ll be

enh

ance

d th

roug

h ap

prop

riate

ins

titut

iona

l ar

rang

emen

ts t

o su

ppor

t th

e im

plem

enta

tion

of t

his

Agr

eem

ent,

incl

udin

g th

e ap

prop

riate

ins

titut

iona

l ar

rang

emen

ts e

stab

lishe

d un

der

the

Con

vent

ion

that

ser

ve th

is A

gree

men

t. Th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent s

hall,

at i

ts fi

rst s

essi

on, c

onsi

der a

nd a

dopt

a d

ecis

ion

on th

e in

itial

inst

itutio

nal a

rran

gem

ents

fo

r cap

acity

-bui

ldin

g.

Art

icle

12

Parti

es s

hall

coop

erat

e in

taki

ng m

easu

res,

as a

ppro

pria

te, t

o en

hanc

e cl

imat

e ch

ange

edu

catio

n, tr

aini

ng, p

ublic

aw

aren

ess,

publ

ic p

artic

ipat

ion

and

publ

ic a

cces

s to

info

rmat

ion,

reco

gniz

ing

the

impo

rtanc

e of

thes

e st

eps

with

re

spec

t to

enha

ncin

g ac

tions

und

er th

is A

gree

men

t.

Art

icle

13

1.

In o

rder

to b

uild

mut

ual t

rust

and

con

fiden

ce a

nd to

pro

mot

e ef

fect

ive

impl

emen

tatio

n, a

n en

hanc

ed tr

ansp

aren

cy

fram

ewor

k fo

r act

ion

and

supp

ort,

with

bui

lt-in

flex

ibili

ty w

hich

take

s in

to a

ccou

nt P

artie

s’ d

iffer

ent c

apac

ities

an

d bu

ilds u

pon

colle

ctiv

e ex

perie

nce

is h

ereb

y es

tabl

ishe

d.

2.

The

trans

pare

ncy

fram

ewor

k sh

all p

rovi

de f

lexi

bilit

y in

the

impl

emen

tatio

n of

the

prov

isio

ns o

f th

is A

rticl

e to

th

ose

deve

lopi

ng c

ount

ry P

artie

s th

at n

eed

it in

the

lig

ht o

f th

eir

capa

citie

s. Th

e m

odal

ities

, pr

oced

ures

and

gu

idel

ines

refe

rred

to in

par

agra

ph 1

3 of

this

Arti

cle

shal

l ref

lect

such

flex

ibili

ty.

3.

The

trans

pare

ncy

fram

ewor

k sh

all b

uild

on

and

enha

nce

the

trans

pare

ncy

arra

ngem

ents

und

er th

e C

onve

ntio

n,

reco

gniz

ing

the

spec

ial c

ircum

stan

ces o

f the

leas

t dev

elop

ed c

ount

ries a

nd sm

all i

slan

d de

velo

ping

Sta

tes,

and

be

impl

emen

ted

in a

faci

litat

ive,

non

-intru

sive

, non

-pun

itive

man

ner,

resp

ectfu

l of n

atio

nal s

over

eign

ty, a

nd a

void

pl

acin

g un

due

burd

en o

n Pa

rties

.

4.

The

trans

pare

ncy

arra

ngem

ents

und

er th

e C

onve

ntio

n, in

clud

ing

natio

nal c

omm

unic

atio

ns, b

ienn

ial r

epor

ts a

nd

bien

nial

upd

ate

repo

rts, i

nter

natio

nal

asse

ssm

ent

and

revi

ew a

nd i

nter

natio

nal

cons

ulta

tion

and

anal

ysis

, sha

ll fo

rm p

art o

f the

exp

erie

nce

draw

n up

on fo

r the

dev

elop

men

t of t

he m

odal

ities

, pro

cedu

res

and

guid

elin

es u

nder

pa

ragr

aph

13 o

f thi

s Arti

cle.

5.

Th

e pu

rpos

e of

the

fram

ewor

k fo

r tra

nspa

renc

y of

act

ion

is to

pro

vide

a c

lear

und

erst

andi

ng o

f clim

ate

chan

ge

actio

n in

the

light

of t

he o

bjec

tive

of th

e C

onve

ntio

n as

set

out

in it

s A

rticl

e 2,

incl

udin

g cl

arity

and

trac

king

of

prog

ress

tow

ards

ach

ievi

ng P

artie

s’ in

divi

dual

nat

iona

lly d

eter

min

ed c

ontri

butio

ns u

nder

Arti

cle

4, a

nd P

artie

s’

adap

tatio

n ac

tions

und

er A

rticl

e 7,

inc

ludi

ng g

ood

prac

tices

, pr

iorit

ies,

need

s an

d ga

ps,

to i

nfor

m t

he g

loba

l st

ockt

ake

unde

r Arti

cle

14.

6.

The

purp

ose

of th

e fr

amew

ork

for t

rans

pare

ncy

of s

uppo

rt is

to p

rovi

de c

larit

y on

sup

port

prov

ided

and

rece

ived

by

rele

vant

indi

vidu

al P

artie

s in

the

cont

ext o

f clim

ate

chan

ge a

ctio

ns u

nder

Arti

cles

4, 7

, 9, 1

0 an

d 11

, and

, to

the

exte

nt p

ossi

ble,

to

prov

ide

a fu

ll ov

ervi

ew o

f ag

greg

ate

finan

cial

sup

port

prov

ided

, to

info

rm t

he g

loba

l st

ockt

ake

unde

r Arti

cle

14.

7.

Each

Par

ty sh

all r

egul

arly

pro

vide

the

follo

win

g in

form

atio

n:

FCC

C/C

P/20

15/L

.9

29

(a)

A n

atio

nal i

nven

tory

repo

rt of

ant

hrop

ogen

ic e

mis

sion

s by

sou

rces

and

rem

oval

s by

sin

ks o

f gre

enho

use

gase

s, pr

epar

ed u

sing

goo

d pr

actic

e m

etho

dolo

gies

acc

epte

d by

the

Inte

rgov

ernm

enta

l Pan

el o

n C

limat

e C

hang

e an

d ag

reed

upo

n by

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

A

gree

men

t; (b

) In

form

atio

n ne

cess

ary

to tr

ack

prog

ress

mad

e in

im

plem

entin

g an

d ac

hiev

ing

its n

atio

nally

det

erm

ined

co

ntrib

utio

n un

der A

rticl

e 4.

8.

Ea

ch P

arty

sho

uld

also

pro

vide

info

rmat

ion

rela

ted

to c

limat

e ch

ange

impa

cts

and

adap

tatio

n un

der A

rticl

e 7,

as

appr

opria

te.

9.

Dev

elop

ed c

ount

ry P

artie

s sh

all,

and

othe

r Par

ties

that

pro

vide

sup

port

shou

ld, p

rovi

de in

form

atio

n on

fina

ncia

l, te

chno

logy

tran

sfer

and

cap

acity

-bui

ldin

g su

ppor

t pro

vide

d to

dev

elop

ing

coun

try P

artie

s und

er A

rticl

e 9,

10

and

11.

10.

Dev

elop

ing

coun

try P

artie

s sh

ould

pro

vide

info

rmat

ion

on f

inan

cial

, tec

hnol

ogy

trans

fer

and

capa

city

-bui

ldin

g su

ppor

t nee

ded

and

rece

ived

und

er A

rticl

es 9

, 10

and

11.

11.

Info

rmat

ion

subm

itted

by

each

Par

ty u

nder

par

agra

phs

7 an

d 9

of th

is A

rticl

e sh

all u

nder

go a

tech

nica

l exp

ert

revi

ew, i

n ac

cord

ance

with

dec

isio

n 1/

CP.

21. F

or th

ose

deve

lopi

ng c

ount

ry P

artie

s th

at n

eed

it in

the

light

of

thei

r ca

paci

ties,

the

revi

ew p

roce

ss s

hall

incl

ude

assi

stan

ce in

iden

tifyi

ng c

apac

ity-b

uild

ing

need

s. In

add

ition

, ea

ch P

arty

sha

ll pa

rtici

pate

in a

fac

ilita

tive,

mul

tilat

eral

con

side

ratio

n of

pro

gres

s w

ith r

espe

ct to

eff

orts

und

er

Arti

cle

9, a

nd it

s res

pect

ive

impl

emen

tatio

n an

d ac

hiev

emen

t of i

ts n

atio

nally

det

erm

ined

con

tribu

tion.

12

. Th

e te

chni

cal e

xper

t rev

iew

und

er th

is p

arag

raph

sha

ll co

nsis

t of a

con

side

ratio

n of

the

Party

’s s

uppo

rt pr

ovid

ed,

as re

leva

nt, a

nd it

s im

plem

enta

tion

and

achi

evem

ent o

f its

nat

iona

lly d

eter

min

ed c

ontri

butio

n. T

he re

view

sha

ll al

so id

entif

y ar

eas

of im

prov

emen

t for

the

Party

, and

incl

ude

a re

view

of t

he c

onsi

sten

cy o

f the

info

rmat

ion

with

th

e m

odal

ities

, pro

cedu

res

and

guid

elin

es r

efer

red

to i

n pa

ragr

aph

13 o

f th

is A

rticl

e, t

akin

g in

to a

ccou

nt t

he

flexi

bilit

y ac

cord

ed to

the

Party

und

er p

arag

raph

2 o

f thi

s Arti

cle.

The

revi

ew s

hall

pay

parti

cula

r atte

ntio

n to

the

resp

ectiv

e na

tiona

l cap

abili

ties a

nd c

ircum

stan

ces o

f dev

elop

ing

coun

try P

artie

s.

13.

The

Con

fere

nce

of t

he P

artie

s se

rvin

g as

the

mee

ting

of t

he P

artie

s to

the

Par

is A

gree

men

t sh

all,

at i

ts f

irst

sess

ion,

bui

ldin

g on

exp

erie

nce

from

the

arr

ange

men

ts r

elat

ed t

o tra

nspa

renc

y un

der

the

Con

vent

ion,

and

el

abor

atin

g on

the

pro

visi

ons

in t

his

Arti

cle,

ado

pt c

omm

on m

odal

ities

, pr

oced

ures

and

gui

delin

es,

as

appr

opria

te, f

or th

e tra

nspa

renc

y of

act

ion

and

supp

ort.

14.

Supp

ort s

hall

be p

rovi

ded

to d

evel

opin

g co

untri

es fo

r the

impl

emen

tatio

n of

this

Arti

cle.

15

. Su

ppor

t sha

ll al

so b

e pr

ovid

ed fo

r the

bui

ldin

g of

tran

spar

ency

-rel

ated

cap

acity

of d

evel

opin

g co

untry

Par

ties

on

a co

ntin

uous

bas

is.

Art

icle

14

1.

The

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent s

hall

perio

dica

lly ta

ke

stoc

k of

the

impl

emen

tatio

n of

this

Agr

eem

ent t

o as

sess

the

colle

ctiv

e pr

ogre

ss to

war

ds a

chie

ving

the

purp

ose

of

this

Agr

eem

ent a

nd it

s lo

ng-te

rm g

oals

(ref

erre

d to

as

the

“glo

bal s

tock

take

”). I

t sha

ll do

so

in a

com

preh

ensi

ve

and

faci

litat

ive

man

ner,

cons

ider

ing

miti

gatio

n, a

dapt

atio

n an

d th

e m

eans

of i

mpl

emen

tatio

n an

d su

ppor

t, an

d in

th

e lig

ht o

f equ

ity a

nd th

e be

st a

vaila

ble

scie

nce.

2.

Th

e C

onfe

renc

e of

the

Parti

es s

ervi

ng a

s th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent s

hall

unde

rtake

its

first

glo

bal s

tock

take

in 2

023

and

ever

y fiv

e ye

ars

ther

eafte

r unl

ess

othe

rwis

e de

cide

d by

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent.

3.

The

outc

ome

of th

e gl

obal

sto

ckta

ke s

hall

info

rm P

artie

s in

upd

atin

g an

d en

hanc

ing,

in a

nat

iona

lly d

eter

min

ed

man

ner,

thei

r ac

tions

and

sup

port

in a

ccor

danc

e w

ith th

e re

leva

nt p

rovi

sion

s of

this

Agr

eem

ent,

as w

ell a

s in

en

hanc

ing

inte

rnat

iona

l coo

pera

tion

for c

limat

e ac

tion.

Art

icle

15

1.

A m

echa

nism

to fa

cilit

ate

impl

emen

tatio

n of

and

pro

mot

e co

mpl

ianc

e w

ith th

e pr

ovis

ions

of t

his

Agr

eem

ent i

s he

reby

est

ablis

hed.

2.

Th

e m

echa

nism

refe

rred

to in

par

agra

ph 1

of t

his

Arti

cle

shal

l con

sist

of a

com

mitt

ee th

at s

hall

be e

xper

t-ba

sed

and

faci

litat

ive

in n

atur

e an

d fu

nctio

n in

a m

anne

r th

at i

s tra

nspa

rent

, no

n-ad

vers

aria

l an

d no

n-pu

nitiv

e. T

he

com

mitt

ee sh

all p

ay p

artic

ular

atte

ntio

n to

the

resp

ectiv

e na

tiona

l cap

abili

ties a

nd c

ircum

stan

ces o

f Par

ties.

FCC

C/C

P/20

15/L

.9/R

ev.1

30

3.

The

com

mitt

ee s

hall

oper

ate

unde

r th

e m

odal

ities

and

pro

cedu

res

adop

ted

by t

he C

onfe

renc

e of

the

Par

ties

serv

ing

as t

he m

eetin

g of

the

Par

ties

to t

he P

aris

Agr

eem

ent

at i

ts f

irst

sess

ion

and

repo

rt an

nual

ly t

o th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t.

Art

icle

16

1.

The

Con

fere

nce

of th

e Pa

rties

, the

sup

rem

e bo

dy o

f the

Con

vent

ion,

sha

ll se

rve

as th

e m

eetin

g of

the

Parti

es to

th

is A

gree

men

t. 2.

Pa

rties

to th

e C

onve

ntio

n th

at a

re n

ot P

artie

s to

this

Agr

eem

ent m

ay p

artic

ipat

e as

obs

erve

rs in

the

proc

eedi

ngs

of a

ny s

essi

on o

f the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

this

Agr

eem

ent.

Whe

n th

e C

onfe

renc

e of

the

Parti

es s

erve

s as

the

mee

ting

of th

e Pa

rties

to th

is A

gree

men

t, de

cisi

ons

unde

r thi

s A

gree

men

t sh

all b

e ta

ken

only

by

thos

e th

at a

re P

artie

s to

this

Agr

eem

ent.

3.

Whe

n th

e C

onfe

renc

e of

the

Parti

es s

erve

s as

the

mee

ting

of th

e Pa

rties

to th

is A

gree

men

t, an

y m

embe

r of

the

Bur

eau

of th

e C

onfe

renc

e of

the

Parti

es r

epre

sent

ing

a Pa

rty to

the

Con

vent

ion

but,

at th

at ti

me,

not

a P

arty

to

this

Agr

eem

ent,

shal

l be

repl

aced

by

an a

dditi

onal

mem

ber t

o be

ele

cted

by

and

from

am

ongs

t the

Par

ties

to th

is

Agr

eem

ent.

4.

The

Con

fere

nce

of t

he P

artie

s se

rvin

g as

the

mee

ting

of t

he P

artie

s to

the

Par

is A

gree

men

t sh

all

keep

und

er

regu

lar r

evie

w th

e im

plem

enta

tion

of th

is A

gree

men

t and

shal

l mak

e, w

ithin

its

man

date

, the

dec

isio

ns n

eces

sary

to

pro

mot

e its

effe

ctiv

e im

plem

enta

tion.

It sh

all p

erfo

rm th

e fu

nctio

ns a

ssig

ned

to it

by

this

Agr

eem

ent a

nd sh

all:

(a)

Esta

blis

h su

ch su

bsid

iary

bod

ies a

s dee

med

nec

essa

ry fo

r the

impl

emen

tatio

n of

this

Agr

eem

ent;

and

(b)

Exer

cise

such

oth

er fu

nctio

ns a

s may

be

requ

ired

for t

he im

plem

enta

tion

of th

is A

gree

men

t. 5.

Th

e ru

les

of p

roce

dure

of

the

Con

fere

nce

of t

he P

artie

s an

d th

e fin

anci

al p

roce

dure

s ap

plie

d un

der

the

Con

vent

ion

shal

l be

app

lied

mut

atis

mut

andi

s un

der

this

Agr

eem

ent,

exce

pt a

s m

ay b

e ot

herw

ise

deci

ded

by

cons

ensu

s by

the

Con

fere

nce

of th

e Pa

rties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent.

6.

The

first

ses

sion

of

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t sh

all b

e co

nven

ed b

y th

e se

cret

aria

t in

conj

unct

ion

with

the

first

ses

sion

of t

he C

onfe

renc

e of

the

Parti

es th

at is

sc

hedu

led

afte

r the

dat

e of

ent

ry in

to fo

rce

of th

is A

gree

men

t. Su

bseq

uent

ord

inar

y se

ssio

ns o

f the

Con

fere

nce

of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t sha

ll be

hel

d in

con

junc

tion

with

ord

inar

y se

ssio

ns o

f the

Con

fere

nce

of th

e Pa

rties

, unl

ess

othe

rwis

e de

cide

d by

the

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t. 7.

Ex

traor

dina

ry s

essi

ons

of t

he C

onfe

renc

e of

the

Par

ties

serv

ing

as t

he m

eetin

g of

the

Par

ties

to t

he P

aris

A

gree

men

t sh

all

be h

eld

at s

uch

othe

r tim

es a

s m

ay b

e de

emed

nec

essa

ry b

y th

e C

onfe

renc

e of

the

Par

ties

serv

ing

as th

e m

eetin

g of

the

Parti

es to

the

Paris

Agr

eem

ent o

r at t

he w

ritte

n re

ques

t of a

ny P

arty

, pro

vide

d th

at,

with

in s

ix m

onth

s of

the

requ

est b

eing

com

mun

icat

ed to

the

Parti

es b

y th

e se

cret

aria

t, it

is s

uppo

rted

by a

t lea

st

one

third

of t

he P

artie

s.

8.

The

Uni

ted

Nat

ions

and

its

spec

ializ

ed a

genc

ies

and

the

Inte

rnat

iona

l Ato

mic

Ene

rgy

Age

ncy,

as

wel

l as

any

Stat

e m

embe

r th

ereo

f or

obs

erve

rs th

eret

o no

t par

ty to

the

Con

vent

ion,

may

be

repr

esen

ted

at s

essi

ons

of th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t as

obse

rver

s. A

ny b

ody

or

agen

cy,

whe

ther

nat

iona

l or

int

erna

tiona

l, go

vern

men

tal

or n

on-g

over

nmen

tal,

whi

ch i

s qu

alifi

ed i

n m

atte

rs

cove

red

by th

is A

gree

men

t and

whi

ch h

as in

form

ed th

e se

cret

aria

t of i

ts w

ish

to b

e re

pres

ente

d at

a s

essi

on o

f th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t as a

n ob

serv

er, m

ay b

e so

adm

itted

unl

ess

at le

ast o

ne th

ird o

f the

Par

ties

pres

ent o

bjec

t. Th

e ad

mis

sion

and

par

ticip

atio

n of

obs

erve

rs

shal

l be

subj

ect t

o th

e ru

les o

f pro

cedu

re re

ferr

ed to

in p

arag

raph

5 o

f thi

s Arti

cle.

Art

icle

17

1.

The

secr

etar

iat e

stab

lishe

d by

Arti

cle

8 of

the

Con

vent

ion

shal

l ser

ve a

s the

secr

etar

iat o

f thi

s Agr

eem

ent.

2.

Arti

cle

8, p

arag

raph

2, o

f th

e C

onve

ntio

n on

the

func

tions

of t

he s

ecre

taria

t, an

d A

rticl

e 8,

par

agra

ph 3

, of t

he

Con

vent

ion,

on

the

arra

ngem

ents

mad

e fo

r the

func

tioni

ng o

f the

sec

reta

riat,

shal

l app

ly m

utat

is m

utan

dis t

o th

is

Agr

eem

ent.

The

secr

etar

iat s

hall,

in a

dditi

on, e

xerc

ise

the

func

tions

ass

igne

d to

it u

nder

this

Agr

eem

ent a

nd b

y th

e C

onfe

renc

e of

the

Parti

es se

rvin

g as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t.

FCC

C/C

P/20

15/L

.9

31

Art

icle

18

1.

The

Subs

idia

ry B

ody

for

Scie

ntifi

c an

d Te

chno

logi

cal

Adv

ice

and

the

Subs

idia

ry B

ody

for

Impl

emen

tatio

n es

tabl

ishe

d by

Arti

cles

9 a

nd 1

0 of

the

Con

vent

ion

shal

l ser

ve, r

espe

ctiv

ely,

as t

he S

ubsi

diar

y B

ody

for S

cien

tific

an

d Te

chno

logi

cal A

dvic

e an

d th

e Su

bsid

iary

Bod

y fo

r Im

plem

enta

tion

of th

is A

gree

men

t. Th

e pr

ovis

ions

of t

he

Con

vent

ion

rela

ting

to t

he f

unct

ioni

ng o

f th

ese

two

bodi

es s

hall

appl

y m

utat

is m

utan

dis

to t

his

Agr

eem

ent.

Sess

ions

of

the

mee

tings

of

the

Subs

idia

ry B

ody

for

Scie

ntifi

c an

d Te

chno

logi

cal

Adv

ice

and

the

Subs

idia

ry

Bod

y fo

r Im

plem

enta

tion

of th

is A

gree

men

t sha

ll be

hel

d in

con

junc

tion

with

the

mee

tings

of,

resp

ectiv

ely,

the

Subs

idia

ry B

ody

for

Scie

ntifi

c an

d Te

chno

logi

cal

Adv

ice

and

the

Subs

idia

ry B

ody

for

Impl

emen

tatio

n of

the

C

onve

ntio

n.

2.

Parti

es to

the

Con

vent

ion

that

are

not

Par

ties

to th

is A

gree

men

t may

par

ticip

ate

as o

bser

vers

in th

e pr

ocee

ding

s of

any

ses

sion

of

the

subs

idia

ry b

odie

s. W

hen

the

subs

idia

ry b

odie

s se

rve

as t

he s

ubsi

diar

y bo

dies

of

this

A

gree

men

t, de

cisi

ons u

nder

this

Agr

eem

ent s

hall

be ta

ken

only

by

thos

e th

at a

re P

artie

s to

this

Agr

eem

ent.

3.

Whe

n th

e su

bsid

iary

bod

ies

esta

blis

hed

by A

rticl

es 9

and

10

of t

he C

onve

ntio

n ex

erci

se t

heir

func

tions

with

re

gard

to m

atte

rs c

once

rnin

g th

is A

gree

men

t, an

y m

embe

r of t

he b

urea

ux o

f tho

se s

ubsi

diar

y bo

dies

repr

esen

ting

a Pa

rty to

the

Con

vent

ion

but,

at th

at t

ime,

not

a P

arty

to th

is A

gree

men

t, sh

all b

e re

plac

ed b

y an

add

ition

al

mem

ber t

o be

ele

cted

by

and

from

am

ongs

t the

Par

ties t

o th

is A

gree

men

t.

Art

icle

19

1.

Subs

idia

ry b

odie

s or

oth

er in

stitu

tiona

l arr

ange

men

ts e

stab

lishe

d by

or

unde

r th

e C

onve

ntio

n, o

ther

than

thos

e re

ferr

ed t

o in

thi

s A

gree

men

t, sh

all

serv

e th

is A

gree

men

t up

on a

dec

isio

n of

the

Con

fere

nce

of t

he P

artie

s se

rvin

g as

the

mee

ting

of t

he P

artie

s to

the

Par

is A

gree

men

t. Th

e C

onfe

renc

e of

the

Par

ties

serv

ing

as t

he

mee

ting

of t

he P

artie

s to

the

Par

is A

gree

men

t sh

all

spec

ify t

he f

unct

ions

to

be e

xerc

ised

by

such

sub

sidi

ary

bodi

es o

r arr

ange

men

ts.

2.

The

Con

fere

nce

of th

e Pa

rties

ser

ving

as

the

mee

ting

of th

e Pa

rties

to th

e Pa

ris A

gree

men

t may

pro

vide

furth

er

guid

ance

to su

ch su

bsid

iary

bod

ies a

nd in

stitu

tiona

l arr

ange

men

ts.

Art

icle

20

1.

This

Agr

eem

ent

shal

l be

ope

n fo

r si

gnat

ure

and

subj

ect

to r

atifi

catio

n, a

ccep

tanc

e or

app

rova

l by

Sta

tes

and

regi

onal

eco

nom

ic in

tegr

atio

n or

gani

zatio

ns th

at a

re P

artie

s to

the

Con

vent

ion.

It s

hall

be o

pen

for

sign

atur

e at

th

e U

nite

d N

atio

ns H

eadq

uarte

rs in

New

Yor

k fr

om 2

2 A

pril

2016

to 2

1 A

pril

2017

. The

reaf

ter,

this

Agr

eem

ent

shal

l be

open

for

acc

essi

on f

rom

the

day

follo

win

g th

e da

te o

n w

hich

it is

clo

sed

for

sign

atur

e. I

nstru

men

ts o

f ra

tific

atio

n, a

ccep

tanc

e, a

ppro

val o

r acc

essi

on sh

all b

e de

posi

ted

with

the

Dep

osita

ry.

2.

Any

reg

iona

l ec

onom

ic i

nteg

ratio

n or

gani

zatio

n th

at b

ecom

es a

Par

ty t

o th

is A

gree

men

t w

ithou

t an

y of

its

m

embe

r Sta

tes

bein

g a

Party

sha

ll be

bou

nd b

y al

l the

obl

igat

ions

und

er th

is A

gree

men

t. In

the

case

of r

egio

nal

econ

omic

int

egra

tion

orga

niza

tions

with

one

or

mor

e m

embe

r St

ates

tha

t ar

e Pa

rties

to

this

Agr

eem

ent,

the

orga

niza

tion

and

its m

embe

r St

ates

sha

ll de

cide

on

thei

r res

pect

ive

resp

onsi

bilit

ies

for t

he p

erfo

rman

ce o

f the

ir ob

ligat

ions

und

er th

is A

gree

men

t. In

suc

h ca

ses,

the

orga

niza

tion

and

the

mem

ber S

tate

s sh

all n

ot b

e en

title

d to

ex

erci

se ri

ghts

und

er th

is A

gree

men

t con

curr

ently

. 3.

In

th

eir

inst

rum

ents

of

ra

tific

atio

n,

acce

ptan

ce,

appr

oval

or

ac

cess

ion,

re

gion

al

econ

omic

in

tegr

atio

n or

gani

zatio

ns s

hall

decl

are

the

exte

nt o

f th

eir

com

pete

nce

with

res

pect

to

the

mat

ters

gov

erne

d by

thi

s A

gree

men

t. Th

ese

orga

niza

tions

sha

ll al

so in

form

the

Dep

osita

ry, w

ho s

hall

in tu

rn in

form

the

Parti

es, o

f an

y su

bsta

ntia

l mod

ifica

tion

in th

e ex

tent

of t

heir

com

pete

nce.

Art

icle

21

1.

This

Agr

eem

ent

shal

l en

ter

into

for

ce o

n th

e th

irtie

th d

ay a

fter

the

date

on

whi

ch a

t le

ast

55 P

artie

s to

the

C

onve

ntio

n ac

coun

ting

in to

tal f

or a

t lea

st a

n es

timat

ed 5

5 pe

rcen

t of t

he to

tal g

loba

l gre

enho

use

gas

emis

sion

s ha

ve d

epos

ited

thei

r ins

trum

ents

of r

atifi

catio

n, a

ccep

tanc

e, a

ppro

val o

r acc

essi

on.

2.

Sole

ly fo

r the

lim

ited

purp

ose

of p

arag

raph

1 o

f thi

s A

rticl

e, “

tota

l glo

bal g

reen

hous

e ga

s em

issi

ons”

mea

ns th

e m

ost u

p-to

-dat

e am

ount

com

mun

icat

ed o

n or

bef

ore

the

date

of a

dopt

ion

of th

is A

gree

men

t by

the

Parti

es to

the

Con

vent

ion.

3.

Fo

r eac

h St

ate

or re

gion

al e

cono

mic

inte

grat

ion

orga

niza

tion

that

ratif

ies,

acce

pts

or a

ppro

ves

this

Agr

eem

ent o

r ac

cede

s th

eret

o af

ter t

he c

ondi

tions

set

out

in p

arag

raph

1 o

f thi

s A

rticl

e fo

r ent

ry in

to fo

rce

have

bee

n fu

lfille

d,

FCC

C/C

P/20

15/L

.9/R

ev.1

32

this

Agr

eem

ent

shal

l en

ter

into

for

ce o

n th

e th

irtie

th d

ay a

fter

the

date

of

depo

sit

by s

uch

Stat

e or

reg

iona

l ec

onom

ic in

tegr

atio

n or

gani

zatio

n of

its i

nstru

men

t of r

atifi

catio

n, a

ccep

tanc

e, a

ppro

val o

r acc

essi

on.

4.

For

the

purp

oses

of

para

grap

h 1

of t

his

Arti

cle,

any

ins

trum

ent

depo

site

d by

a r

egio

nal

econ

omic

int

egra

tion

orga

niza

tion

shal

l not

be

coun

ted

as a

dditi

onal

to th

ose

depo

site

d by

its m

embe

r Sta

tes.

Art

icle

22

The

prov

isio

ns o

f A

rticl

e 15

of

the

Con

vent

ion

on th

e ad

optio

n of

am

endm

ents

to th

e C

onve

ntio

n sh

all a

pply

m

utat

is m

utan

dis t

o th

is A

gree

men

t.

Art

icle

23

1.

Th

e pr

ovis

ions

of

Arti

cle

16 o

f th

e C

onve

ntio

n on

the

adop

tion

and

amen

dmen

t of

anne

xes

to th

e C

onve

ntio

n sh

all a

pply

mut

atis

mut

andi

s to

this

Agr

eem

ent.

2.

A

nnex

es to

this

Agr

eem

ent s

hall

form

an

inte

gral

par

t the

reof

and

, unl

ess

othe

rwis

e ex

pres

sly

prov

ided

for

, a

refe

renc

e to

this

Agr

eem

ent c

onst

itute

s at

the

sam

e tim

e a

refe

renc

e to

any

ann

exes

ther

eto.

Suc

h an

nexe

s sh

all

be r

estri

cted

to

lists

, fo

rms

and

any

othe

r m

ater

ial

of a

des

crip

tive

natu

re t

hat

is o

f a

scie

ntifi

c, t

echn

ical

, pr

oced

ural

or a

dmin

istra

tive

char

acte

r.

Art

icle

24

Th

e pr

ovis

ions

of

Arti

cle

14 o

f th

e C

onve

ntio

n on

set

tlem

ent o

f di

sput

es s

hall

appl

y m

utat

is m

utan

dis

to th

is

Agr

eem

ent.

Art

icle

25

1.

Ea

ch P

arty

shal

l hav

e on

e vo

te, e

xcep

t as p

rovi

ded

for p

arag

raph

2 o

f thi

s Arti

cle.

2.

R

egio

nal

econ

omic

int

egra

tion

orga

niza

tions

, in

mat

ters

with

in t

heir

com

pete

nce,

sha

ll ex

erci

se t

heir

right

to

vote

with

a n

umbe

r of v

otes

equ

al to

the

num

ber o

f the

ir m

embe

r Sta

tes

that

are

Par

ties

to th

is A

gree

men

t. Su

ch

an o

rgan

izat

ion

shal

l not

exe

rcis

e its

righ

t to

vote

if a

ny o

f its

mem

ber S

tate

s exe

rcis

es it

s rig

ht, a

nd v

ice

vers

a.

Art

icle

26

Th

e Se

cret

ary-

Gen

eral

of t

he U

nite

d N

atio

ns sh

all b

e th

e D

epos

itary

of t

his A

gree

men

t.

Art

icle

27

N

o re

serv

atio

ns m

ay b

e m

ade

to th

is A

gree

men

t. Art

icle

28

1.

At a

ny ti

me

afte

r thr

ee y

ears

from

the

date

on

whi

ch th

is A

gree

men

t has

ent

ered

into

forc

e fo

r a P

arty

, tha

t Par

ty

may

with

draw

from

this

Agr

eem

ent b

y gi

ving

writ

ten

notif

icat

ion

to th

e D

epos

itary

. 2.

A

ny s

uch

with

draw

al s

hall

take

eff

ect u

pon

expi

ry o

f one

yea

r fro

m th

e da

te o

f rec

eipt

by

the

Dep

osita

ry o

f the

no

tific

atio

n of

with

draw

al, o

r on

such

late

r dat

e as

may

be

spec

ified

in th

e no

tific

atio

n of

with

draw

al.

3.

Any

Par

ty t

hat

with

draw

s fr

om t

he C

onve

ntio

n sh

all

be c

onsi

dere

d as

als

o ha

ving

with

draw

n fr

om t

his

Agr

eem

ent.

Art

icle

29

The

orig

inal

of

this

Agr

eem

ent,

of w

hich

the

Ara

bic,

Chi

nese

, Eng

lish,

Fre

nch,

Rus

sian

and

Spa

nish

text

s ar

e eq

ually

aut

hent

ic, s

hall

be d

epos

ited

with

the

Secr

etar

y-G

ener

al o

f the

Uni

ted

Nat

ions

. D

ON

E at

Par

is th

is tw

elfth

day

of D

ecem

ber t

wo

thou

sand

and

fifte

en.

IN W

ITN

ESS

WH

EREO

F, th

e un

ders

igne

d, b

eing

dul

y au

thor

ized

to th

at e

ffec

t, ha

ve si

gned

this

Agr

eem

ent.

Convention on Biological Diversity, 1992

UNTS, vol. 1760, p. 143

Cartagena Protocol on Biosafety to the Convention on Biological Diversity, 2000

UNTS, vol. 2266, p. 257

Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their

Utilization to the Convention on Biological Diversity, 2010

UNEP/CBD/COP/DEC/X/1, Annex I, 29 October 2010

Nagoya-Kulua Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol on Biosafety, 2010

UNEP/CBD/BS/COP-MOP/5/17, 2010

Marrakesh Agreement Establishing the World Trade

Organization, 1994, Preamble

UNTS, vol. 1867, p. 154

Marrakesh Agreement Establishing the World Trade Organization

Preamble

The Parties to this Agreement,

Recognizing that their relations in the field of trade and economic endeavour should be conducted with a view to raising standards of living, ensuring full employment and a large and steadily growing volume of real income and effective demand, and expanding the production of and trade in goods and services, while allowing for the optimal use of the world’s resources in accordance with the objective of sustainable development, seeking both to protect and preserve the environment and to enhance the means for doing so in a manner consistent with their respective needs and concerns at different levels of economic development.

Recognizing further that there is a need for positive efforts designed to ensure that developing countries, and especially the least developed among them, secure a share in the growth of international trade commensurate with the needs of their economic development,

Being desirous of contributing to these objectives by entering into reciprocal and mutually advantageous arrangements directed to the substantial reduction of tariffs and other barriers to trade and to the eliminations of discriminatory treatment in international trade relations,

Resolved, therefore, to develop an integrated, more viable and durable multilateral trading system encompassing the General Agreement on Tariffs and Trade, the results of past liberalization efforts, and all of the results of the Uruguay Round of Multilateral Trade Negotiations,

Determined to preserve the basic principles and to further the objectives underlying this multilateral trading system,

Agree as follows:

Santiago Declaration on the 25th Anniversary of the signing of the Protocol on Environmental Protection to the Antarctic Treaty

Submitted by Chile at the Thirty-ninth Antarctic Treaty Consultative Meeting – Nineteenth Committee on Environmental Protection Meeting,

Santiago, Chile, 23 May 2016 – 1 Jun 2016, Number AD003, Agenda Item ATCM 18

1

Santiago Declaration on the Twenty Fifth Anniversary of the signing of the

Protocol on Environmental Protection to the Antarctic Treaty

The Consultative Parties to the Antarctic Treaty, meeting in Santiago, Chile, in May

2016, on the occasion of the twenty fifth anniversary of the signing of the 1991

Protocol on Environmental Protection to the Antarctic Treaty (the Environmental

Protocol),

Recalling the 2009 ATCM XXXII Washington Ministerial Meeting Declaration on

the 50th Anniversary of the Antarctic Treaty,

Further recalling the 2011 Declaration on Antarctic Co-operation on the occasion of

the 50th Anniversary of the entry into force of the Antarctic Treaty,

Recognizing the significance of the Environmental Protocol, signed in Madrid on 4

October 1991, within the Antarctic Treaty system,

Recalling the commitment of the Consultative Parties to the comprehensive protection

of the Antarctic environment and dependent and associated ecosystems, and the

designation of Antarctica as a natural reserve, devoted to peace and science,

Reaffirming that the comprehensive protection of the Antarctic environment and

dependent and associated ecosystems is in the interests of science and mankind as a

whole,

Recalling the responsibilities of the Antarctic Treaty Consultative Parties to ensure

that all activities in Antarctica are consistent with the Antarctic Treaty system,

Further recalling that the comprehensive protection of the Antarctic environment and

dependent and associated ecosystems is a fundamental consideration in planning

activities and scientific research in the Antarctic Treaty area,

Determined to ensure full implementation of the principles and provisions of the

Protocol and its Annexes to support comprehensive protection of the Antarctic

environment and dependent and associated ecosystems,

2

Deeply concerned about the effects of global environmental change, in particular

climate change, for the Antarctic environment and dependent and associated

ecosystems,

Convinced that international cooperation in Antarctica is essential to effectively study

global environmental changes and that the Antarctic Treaty system provides the

necessary framework to enhance this cooperation,

Mindful of the need to ensure that all human activity in Antarctica is conducted in a

manner that effectively promotes the continued protection of the Antarctic

environment and prevents and minimizes impacts,

Reaffirming the importance of drawing upon the best available scientific and

technical advice in the management of activities in Antarctica and the comprehensive

protection of the Antarctic environment and dependent and associated ecosystems,

Recognizing the importance of the Committee on Environmental Protection as an

advisory body to the Antarctic Treaty Consultative Meetings in connection with the

implementation of the Environmental Protocol,

Hereby:

1.- Reaffirm their strong and unwavering commitment to the objectives and purposes

of the Antarctic Treaty and its Environmental Protocol;

2.- Pledge to further strengthen their efforts to preserve and protect the Antarctic

terrestrial and marine environments, bearing in mind the designation of Antarctica as

a natural reserve, devoted to peace and science;

3.- Reaffirm, in particular, their strong and unequivocal commitment to Articles 6 and

7 of the Environmental Protocol, which respectively set out principles on Cooperation

in the planning and conduct of activities in the Antarctic Treaty area, and prohibit any

activity relating to mineral resources, other than scientific research;

3

4.- Pledge to make all necessary efforts to bring Annex VI of the Protocol on

Environmental Protection on Liability Arising from Environmental Emergencies into

force, as a critical step towards implementing Articles 15 and 16 of the Environmental

Protocol;

5.- Welcome the increase in Parties to the Environmental Protocol to thirty-seven

Parties at the time of this declaration and encourage other States that are committed to

the objectives and purposes of the Protocol to accede;

6.- Commit to ensure that current and future tourism and non-governmental activities

are effectively managed, including addressing challenges and impacts arising from

potential growth and diversification of such activities, bearing in mind the provisions

of the Antarctic Treaty system and in particular, those contained in the Environmental

Protocol;

7.- Reaffirm their intention to work together to better understand changes to the

Antarctic climate and to actively seek ways to address the effects of climate change

on the Antarctic environment and dependent and associated ecosystems;

8.- Renew their commitment to promote co-operative programs of scientific, technical

and educational value, including activities designed to protect the Antarctic

environment and dependent and associated ecosystems; and to facilitate the sharing of

Antarctic assets and infrastructure to support collaborative scientific projects

wherever possible and practicable;

9.- Reaffirm their commitment to remain vigilant and take effective and timely action

to address future Antarctic environmental challenges.

Adopted at Santiago, Chile, May 30th, 2016.

Environment, Sustainable Development and International Law - Extracts from Relevant Case Law,

1993-2011 (Professor Laurence Boisson de Chazournes)

Pro

fess

or L

. Boi

sson

de

Cha

zour

nes

Page

1 o

f 40

Env

iron

men

t, Su

stai

nabl

e D

evel

opm

ent a

nd I

nter

natio

nal L

aw

Ext

ract

s1 fro

m R

elev

ant

Cas

e L

aw

Tab

le o

f C

onte

nts:

Min

ors

Opo

sa v

. Sec

reta

ry o

f the

Dep

artm

ent o

f env

iron

men

t and

Nat

ural

Res

ourc

es,

Judg

men

t of

the

Supr

eme

Cou

rt o

f th

e R

epub

lic o

f th

e Ph

illip

ines

, 30

July

199

3,

33 I

.L.M

. 174

199

4, (

p. 1

85) .

......

......

......

......

......

......

......

......

......

......

......

......

......

......

......

......

2

Uni

ted

Stat

es —

Sta

ndar

ds fo

r R

efor

mul

ated

and

Con

vent

iona

l Gas

olin

e (D

S 2)

, Rep

ort o

f th

e A

ppel

late

Bod

y of

the

Wor

ld T

rade

Org

aniz

atio

n, 2

9 A

pril

199

6 (p

. 13,

15,

16-

18) .

......

.....

2

Leg

alit

y of

the

Thr

eat o

r U

se o

f Nuc

lear

Wea

pons

, Adv

isor

y O

pini

on o

f th

e In

tern

atio

nal

Cou

rt o

f Ju

stic

e, 8

Jul

y 19

96 (

para

s 27

-36)

.....

......

......

......

......

......

......

......

......

......

......

......

.....

4

Cas

e C

once

rnin

g th

e G

abcí

kovo

-Nag

ymar

os P

roje

ct (

Hun

gary

/Slo

vaki

a), J

udgm

ent o

f th

e In

tern

atio

nal C

ourt

of

Just

ice,

25

Sept

embe

r 19

97 (

para

s 53

and

140

) ....

......

......

......

......

......

... 7

Uni

ted

Stat

es —

Im

port

Pro

hibi

tion

of c

erta

in S

hrim

p an

d Sh

rim

p P

rodu

cts

(DS

58),

R

epor

t of

the

App

ella

te B

ody

of th

e W

orld

Tra

de O

rgan

izat

ion,

12

Oct

ober

199

8 (p

aras

12

8-13

1, 1

52-1

53, 1

67-1

69 a

nd 1

85-1

86) .

......

......

......

......

......

......

......

......

......

......

......

......

.....

8

The

Ogo

ni C

ase

(Nig

eria

), C

omm

unic

atio

n 15

5/96

of

the

Afr

ican

Com

mis

sion

on

Hum

an

and

Peop

les’

Rig

hts

in r

espo

nse

to a

pet

ition

by

the

Soci

al a

nd E

cono

mic

Rig

hts

Act

ion

Cen

ter

and

the

Cen

ter

for

Eco

nom

ic a

nd S

ocia

l Rig

hts

/ Nig

eria

, 27

May

200

2 (p

aras

53-

58, 6

8-69

and

fin

ding

s) ..

......

......

......

......

......

......

......

......

......

......

......

......

......

......

......

......

.... 1

2

Arb

itra

tion

Reg

ardi

ng th

e Ir

on R

hine

("I

jzer

en R

ijn"

) R

ailw

ay (

Bel

gium

v N

ethe

rlan

ds),

A

war

d of

the

Perm

anen

t Cou

rt o

f A

rbit

rati

on a

d ho

c A

rbit

ral T

ribu

nal,

24 M

ay 2

005

(par

as

58-5

9 an

d 22

1-22

3) ...

......

......

......

......

......

......

......

......

......

......

......

......

......

......

......

......

......

... 1

5

Eur

opea

n C

omm

unit

ies

– M

easu

res

Aff

ecti

ng th

e A

ppro

val a

nd M

arke

ting

of B

iote

ch

Pro

duct

s (D

S 29

1/29

2/29

3), R

epor

t of

a Pa

nel o

f th

e W

orld

Tra

de O

rgan

izat

ion,

29

Sep

tem

ber

2006

(pa

ras

7.65

, 7.6

7-7.

76 a

nd 7

.86-

7.96

) ....

......

......

......

......

......

......

......

......

. 16

Bra

zil –

Mea

sure

s af

fect

ing

Impo

rts

of R

etre

aded

Tyr

es (

DS

332)

, Rep

ort o

f th

e A

ppel

late

B

ody

of th

e W

orld

Tra

de O

rgan

izat

ion,

3 D

ecem

ber

2007

(pa

ras

139-

155

and

178-

183)

.....

... 2

2

Alb

ania

: P

ower

Sec

tor

Gen

erat

ion

and

Res

truc

turi

ng P

roje

ct (

IDA

Cre

dit N

o. 3

872-

AL

B),

W

orld

Ban

k’s

Insp

ecti

on P

anel

, Inv

esti

gati

on R

epor

t, 7

Aug

ust 2

009

(par

agra

phs

322-

332)

......

......

......

......

......

......

......

......

......

......

......

......

......

.... 2

9

Cas

e C

once

rnin

g P

ulp

Mil

ls o

n th

e R

iver

Uru

guay

(A

rgen

tina

/Uru

guay

),

Judg

men

t of

the

Inte

rnat

iona

l Cou

rt o

f Ju

stic

e, 2

0 A

pril

2010

(p

aras

101

, 164

, 177

, 188

, 204

-205

, 215

-217

and

219

) ....

......

......

......

......

......

......

......

......

.....

31

Res

pons

ibil

itie

s an

d O

blig

atio

ns o

f Sta

tes

spon

sori

ng P

erso

ns a

nd E

ntit

ies

wit

h re

spec

t to

Act

ivit

ies

in T

he A

rea,

Adv

isor

y O

pini

on o

f th

e Se

abed

Dis

pute

s C

ham

ber

of th

e In

tern

atio

nal T

ribu

nal f

or th

e L

aw o

f th

e Se

a, F

ebru

ary

2011

(par

as 1

21-1

37 a

nd 1

41-1

63) .

.... 3

3

1 All

ori

gina

l foo

tnot

es f

alli

ng w

ithin

the

scop

e of

the

extr

acts

hav

e be

en o

mit

ted.

Page

2 o

f 40

Min

ors

Opo

sa v

. Sec

reta

ry o

f th

e D

epar

tmen

t of

envi

ronm

ent a

nd N

atur

al R

esou

rces

, Ju

dgm

ent

of t

he S

upre

me

Cou

rt o

f th

e R

epub

lic o

f th

e P

hilli

pine

s, 3

0 Ju

ly 1

993,

33

I.L

.M. 1

74 1

994,

(p.

185

)

Thi

s ca

se, h

owev

er, h

as a

spe

cial

and

nov

el e

lem

ent.

Pet

ition

ers

min

ors

asse

rt th

at th

ey r

epre

sent

thei

r ge

nera

tion

as w

ell a

s ge

nera

tions

yet

unb

orn.

We

find

no

diff

icul

ty in

rul

ing

that

they

can

, for

them

selv

es.

for

othe

rs o

f th

eir

gene

ratio

n an

d fo

r th

e su

ccee

ding

gen

erat

ions

, fi

le a

cla

ss s

uit.

The

ir p

erso

nalit

y to

sue

in b

ehal

f of

the

suc

ceed

ing

gene

ratio

ns c

an o

nly

be b

ased

on

the

conc

ept

of i

nter

gene

ratio

nal

resp

onsi

bilit

y in

sofa

r as

the

rig

ht t

o a

bala

nced

and

hea

lthfu

l ec

olog

y is

conc

erne

d. S

uch

a ri

ght,

as h

erei

naft

er e

xpou

nded

, con

side

rs th

e "r

hyth

m a

nd h

arm

ony

of n

atur

e."

Nat

ure

mea

ns t

he c

reat

ed w

orld

in

its e

ntir

ety.

Suc

h rh

ythm

and

har

mon

y in

disp

ensa

bly

incl

ude,

inte

r al

ia,

the

judi

ciou

s di

spos

ition

. ut

iliza

tion,

man

agem

ent,

rene

wal

and

con

serv

atio

n of

the

coun

try’

s fo

rest

, m

iner

al,

land

, w

ater

s, f

ishe

ries

, w

ildlif

e, o

ff-s

hore

are

as a

nd o

ther

nat

ural

reso

urce

s to

the

end

tha

t th

eir

expl

orat

ion,

dev

elop

men

t an

d ut

iliza

tion

be e

quita

bly

acce

ssib

le t

o

the

pres

ent

as w

ell a

s fu

ture

gen

erat

ions

. Nee

dles

s to

say

, eve

ry g

ener

atio

n ha

s a

resp

onsi

bilit

y to

the

next

to

pres

erve

tha

t rh

ythm

and

har

mon

y fo

r th

e fu

ll en

joym

ent

of a

bal

ance

d an

d he

alth

ful

ecol

ogy.

Put

a l

ittle

dif

fere

ntly

, th

e m

inor

s’ a

sser

tion

of t

heir

rig

ht t

o a

soun

d en

viro

nmen

t

cons

titut

es,

at t

he s

ame

time,

the

per

form

ance

of

thei

r ob

ligat

ion

to e

nsur

e th

e pr

otec

tion

of t

hat

righ

t for

the

gene

ratio

ns to

com

e.

Uni

ted

Stat

es —

Sta

ndar

ds f

or R

efor

mul

ated

and

Con

vent

iona

l G

asol

ine

(DS

2),

Rep

ort

of t

he A

ppel

late

Bod

y of

the

Wor

ld T

rade

Org

aniz

atio

n, 2

9 A

pril

1996

(p.

13

, 15,

16-

18)

The

Pan

el R

epor

t to

ok t

he v

iew

tha

t cl

ean

air

was

a "

natu

ral

reso

urce

" th

at c

ould

be

"dep

lete

d."

Acc

ordi

ngly

, as

alre

ady

note

d ea

rlie

r, th

e Pa

nel c

oncl

uded

that

a p

olic

y to

red

uce

the

depl

etio

n of

clea

n ai

r w

as a

pol

icy

to c

onse

rve

an e

xhau

stib

le n

atur

al r

esou

rce

with

in t

he m

eani

ng o

f

Art

icle

XX

(g).

Sh

ortly

the

reaf

ter,

how

ever

, th

e Pa

nel

Rep

ort

also

con

clud

ed t

hat

"the

les

s

favo

urab

le b

asel

ine

esta

blis

hmen

ts m

etho

ds"

wer

e no

t pr

imar

ily a

imed

at

the

cons

erva

tion

of

exha

ustib

le n

atur

al r

esou

rces

and

thus

fel

l out

side

the

just

ifyi

ng s

cope

of

Art

icle

XX

(g).

[...]

Furt

herm

ore,

the

Pan

el R

epor

t ap

pear

s to

hav

e ut

ilize

d a

conc

lusi

on i

t ha

d re

ache

d ea

rlie

r in

hold

ing

that

the

bas

elin

e es

tabl

ishm

ent

rule

s di

d no

t fa

ll w

ithi

n th

e ju

stif

ying

ter

ms

of A

rtic

les

XX

(b);

i.e

. th

at t

he b

asel

ine

esta

blis

hmen

t ru

les

wer

e no

t "n

eces

sary

" fo

r th

e pr

otec

tion

of

hum

an,

anim

al o

r pl

ant

life.

T

he P

anel

Rep

ort,

it w

ill b

e re

call

ed,

foun

d th

at t

he b

asel

ine

esta

blis

hmen

t ru

les

had

not

been

sho

wn

by t

he U

nite

d St

ates

to

be "

nece

ssar

y" u

nder

Art

icle

XX

(b)

sinc

e al

tern

ativ

e m

easu

res

eith

er

cons

iste

nt

or

less

in

cons

iste

nt

with

th

e G

ener

al

Agr

eem

ent

wer

e re

ason

ably

ava

ilabl

e to

the

Uni

ted

Stat

es f

or a

chie

ving

its

aim

of

prot

ecti

ng

hum

an,

anim

al o

r pl

ant

life.

I

n ot

her

wor

ds,

the

Pane

l R

epor

t ap

pear

s to

hav

e ap

plie

d th

e

"nec

essa

ry"

test

not

onl

y in

exa

min

ing

the

base

line

esta

blis

hmen

t rul

es u

nder

Art

icle

XX

(b),

but

also

in th

e co

urse

of

appl

ying

Art

icle

XX

(g).

[…]

Page

3 o

f 40

App

lyin

g th

e ba

sic

prin

cipl

e of

int

erpr

etat

ion

that

the

wor

ds o

f a

trea

ty,

like

the

Gen

eral

Agr

eem

ent,

are

to b

e gi

ven

thei

r or

dina

ry m

eani

ng, i

n th

eir

cont

ext

and

in t

he l

ight

of

the

trea

ty's

obje

ct a

nd p

urpo

se,

the

App

ella

te B

ody

obse

rves

tha

t th

e Pa

nel

Rep

ort

faile

d to

tak

e ad

equa

te

acco

unt

of t

he w

ords

act

ually

use

d by

Art

icle

XX

in

its s

ever

al p

arag

raph

s.

In e

num

erat

ing

the

vari

ous

cate

gori

es o

f go

vern

men

tal a

cts,

law

s or

reg

ulat

ions

whi

ch W

TO

Mem

bers

may

car

ry o

ut

or p

rom

ulga

te in

pur

suit

of d

iffe

ring

legi

timat

e st

ate

polic

ies

or in

tere

sts

outs

ide

the

real

m o

f tr

ade

liber

aliz

atio

n, A

rtic

le X

X u

ses

diff

eren

t ter

ms

in r

espe

ct o

f di

ffer

ent c

ateg

orie

s:

"nec

essa

ry"

- in

par

agra

phs

(a),

(b)

and

(d)

;

"ess

entia

l" -

in p

arag

raph

(j)

;

"rel

atin

g to

" -

in p

arag

raph

s (c

), (

e) a

nd (

g);

"for

the

prot

ectio

n of

" -

in p

arag

raph

(f)

;

"in

purs

uanc

e of

" -

in p

arag

raph

(h)

; an

d

"inv

olvi

ng"

- in

par

agra

ph (

i).

It d

oes

not

seem

rea

sona

ble

to s

uppo

se t

hat

the

WT

O M

embe

rs i

nten

ded

to r

equi

re, i

n re

spec

t of

each

and

eve

ry c

ateg

ory,

the

sam

e ki

nd o

r de

gree

of

conn

ectio

n or

rel

atio

nshi

p be

twee

n th

e

mea

sure

und

er a

ppra

isal

and

the

stat

e in

tere

st o

r po

licy

soug

ht to

be

prom

oted

or

real

ized

.

At t

he s

ame

time,

Art

icle

XX

(g)

and

its p

hras

e, "

rela

ting

to th

e co

nser

vatio

n of

exh

aust

ible

nat

ural

reso

urce

s,"

need

to

be r

ead

in c

onte

xt a

nd i

n su

ch a

man

ner

as t

o gi

ve e

ffec

t to

the

pur

pose

s an

d

obje

cts

of t

he G

ener

al A

gree

men

t. T

he c

onte

xt o

f A

rtic

le X

X(g

) in

clud

es t

he p

rovi

sion

s of

the

rest

of

the

Gen

eral

Agr

eem

ent,

incl

udin

g in

par

ticul

ar A

rtic

les

I, I

II a

nd X

I;

conv

erse

ly,

the

cont

ext o

f A

rtic

les

I an

d II

I an

d X

I in

clud

es A

rtic

le X

X.

Acc

ordi

ngly

, the

phr

ase

"rel

atin

g to

the

cons

erva

tion

of e

xhau

stib

le n

atur

al r

esou

rces

" m

ay n

ot b

e re

ad s

o ex

pans

ivel

y as

ser

ious

ly t

o

subv

ert t

he p

urpo

se a

nd o

bjec

t of

Art

icle

III

:4.

Nor

may

Art

icle

III

:4 b

e gi

ven

so b

road

a r

each

as

effe

ctiv

ely

to

emas

cula

te

Art

icle

XX

(g)

and

the

polic

ies

and

inte

rest

s it

embo

dies

.

The

rela

tions

hip

betw

een

the

affi

rmat

ive

com

mitm

ents

set

out

in,

e.g

., A

rtic

les

I, I

II a

nd X

I, a

nd t

he

polic

ies

and

inte

rest

s em

bodi

ed i

n th

e "G

ener

al E

xcep

tions

" lis

ted

in A

rtic

le X

X,

can

be g

iven

mea

ning

with

in t

he f

ram

ewor

k of

the

Gen

eral

Agr

eem

ent

and

its o

bjec

t an

d pu

rpos

e by

a t

reat

y

inte

rpre

ter

only

on

a ca

se-t

o-ca

se b

asis

, by

car

eful

scr

utin

y of

the

fac

tual

and

leg

al c

onte

xt i

n a

give

n di

sput

e, w

ithou

t di

sreg

ardi

ng t

he w

ords

act

ually

use

d by

the

WT

O M

embe

rs t

hem

selv

es t

o

expr

ess

thei

r in

tent

and

pur

pose

.

The

198

7 H

erri

ng a

nd S

alm

on r

epor

t, an

d th

e Pa

nel

Rep

ort

itsel

f, g

ave

som

e re

cogn

ition

to

the

fore

goin

g co

nsid

erat

ions

of

prin

cipl

e.

As

earl

ier

note

d, t

he P

anel

Rep

ort

quot

ed t

he f

ollo

win

g

exce

rpt f

rom

the

Her

ring

and

Sal

mon

rep

ort:

as t

he p

ream

ble

of A

rtic

le X

X i

ndic

ates

, th

e pu

rpos

e of

inc

ludi

ng A

rtic

le X

X(g

)

in th

e G

ener

al A

gree

men

t was

not

to w

iden

the

scop

e fo

r m

easu

res

serv

ing

trad

e

polic

y pu

rpos

es b

ut m

erel

y to

ens

ure

that

the

com

mitm

ents

und

er t

he G

ener

al

Agr

eem

ent

do n

ot h

inde

r th

e pu

rsui

t of

pol

icie

s ai

med

at

the

cons

erva

tion

of

exha

ustib

le n

atur

al r

esou

rces

. (e

mph

asis

add

ed)

All

the

part

icip

ants

and

the

thi

rd p

artic

ipan

ts i

n th

is a

ppea

l ac

cept

the

pro

prie

ty a

nd a

pplic

abili

ty

of t

he v

iew

of

the

Her

ring

and

Sal

mon

rep

ort

and

the

Pane

l R

epor

t th

at a

mea

sure

mus

t be

Page

4 o

f 40

"pri

mar

ily a

imed

at"

the

con

serv

atio

n of

exh

aust

ible

nat

ural

res

ourc

es i

n or

der

to f

all

with

in t

he

scop

e of

Art

icle

XX

(g).

Acc

ordi

ngly

, we

see

no n

eed

to e

xam

ine

this

poi

nt f

urth

er, s

ave,

per

haps

,

to n

ote

that

the

phra

se "

prim

arily

aim

ed a

t" is

not

itse

lf tr

eaty

lang

uage

and

was

not

des

igne

d as

a

sim

ple

litm

us te

st f

or in

clus

ion

or e

xclu

sion

fro

m A

rtic

le X

X(g

).

Aga

inst

thi

s ba

ckgr

ound

, w

e tu

rn t

o th

e sp

ecif

ic q

uest

ion

of w

heth

er t

he b

asel

ine

esta

blis

hmen

t

rule

s ar

e ap

prop

riat

ely

rega

rded

as

"pri

mar

ily a

imed

at "

the

con

serv

atio

n of

nat

ural

res

ourc

es f

or

the

purp

oses

of

A

rtic

le X

X(g

).

W

e co

nsid

er

that

th

is

ques

tion

mus

t be

an

swer

ed

in

the

affi

rmat

ive.

The

bas

elin

e es

tabl

ishm

ent r

ules

, tak

en a

s a

who

le (

that

is, t

he p

rovi

sion

s re

latin

g to

est

ablis

hmen

t

of b

asel

ines

for

dom

estic

ref

iner

s, a

long

with

the

prov

isio

ns r

elat

ing

to b

asel

ines

for

ble

nder

s an

d

impo

rter

s of

gas

olin

e), n

eed

to b

e re

late

d to

the

"non

-deg

rada

tion"

req

uire

men

ts s

et o

ut e

lsew

here

in t

he G

asol

ine

Rul

e.

Tho

se p

rovi

sion

s ca

n sc

arce

ly b

e un

ders

tood

if

scru

tiniz

ed s

tric

tly b

y

them

selv

es,

tota

lly d

ivor

ced

from

oth

er s

ectio

ns o

f th

e G

asol

ine

Rul

e w

hich

cer

tain

ly c

onst

itute

part

of

the

cont

ext

of t

hese

pro

visi

ons.

T

he b

asel

ine

esta

blis

hmen

t ru

les

whe

ther

ind

ivid

ual

or

stat

utor

y, w

ere

desi

gned

to

perm

it sc

rutin

y an

d m

onito

ring

of

the

leve

l of

com

plia

nce

of r

efin

ers,

impo

rter

s an

d bl

ende

rs w

ith th

e "n

on-d

egra

datio

n" r

equi

rem

ents

. W

ithou

t bas

elin

es o

f so

me

kind

,

such

sc

rutin

y w

ould

no

t be

po

ssib

le

and

the

Gas

olin

e R

ule'

s ob

ject

ive

of

stab

ilizi

ng

and

prev

entin

g fu

rthe

r de

teri

orat

ion

of t

he l

evel

of

air

pollu

tion

prev

ailin

g in

199

0, w

ould

be

subs

tant

ially

fru

stra

ted.

T

he r

elat

ions

hip

betw

een

the

base

line

esta

blis

hmen

t ru

les

and

the

"non

-

degr

adat

ion"

req

uire

men

ts o

f th

e G

asol

ine

Rul

e is

not

neg

ated

by

the

inco

nsis

tenc

y, f

ound

by

the

Pane

l, of

the

bas

elin

e es

tabl

ishm

ent r

ules

with

the

term

s of

Art

icle

III

:4.

We

cons

ider

that

, giv

en

that

sub

stan

tial

rela

tions

hip,

the

bas

elin

e es

tabl

ishm

ent

rule

s ca

nnot

be

rega

rded

as

mer

ely

inci

dent

ally

or

inad

vert

ently

aim

ed a

t th

e co

nser

vatio

n of

cle

an a

ir i

n th

e U

nite

d St

ates

for

the

purp

oses

of

Art

icle

XX

(g).

Leg

ality

of

th

e T

hrea

t or

U

se

of

Nuc

lear

W

eapo

ns,

Adv

isor

y O

pini

on

of

the

Inte

rnat

iona

l Cou

rt o

f Ju

stic

e, 8

Jul

y 19

96 (

para

s 27

-36)

27.

In b

oth

thei

r w

ritte

n an

d or

al s

tate

men

ts,

som

e St

ates

fur

ther

mor

e ar

gued

tha

t an

y us

e of

nucl

ear

wea

pons

wou

ld b

e un

law

ful

by r

efer

ence

to

exis

ting

nor

ms

rela

ting

to

the

safe

guar

ding

and

prot

ecti

on o

f th

e en

viro

nmen

t, in

vie

w o

f th

eir

esse

ntia

l im

port

ance

.

Spec

ific

ref

eren

ces

wer

e m

ade

to v

ario

us e

xist

ing

inte

rnat

iona

l tr

eatie

s an

d in

stru

men

ts.

The

se

incl

uded

Add

itio

nal

Prot

ocol

1 o

f 19

77 t

o th

e G

enev

a C

onve

ntio

ns o

f 19

49,

Art

icle

35,

para

grap

h 3,

of

whi

ch p

rohi

bits

the

em

ploy

men

t of

"m

etho

ds o

r m

eans

of

war

fare

whi

ch a

re

inte

nded

, or

may

be

expe

cted

, to

caus

e w

ides

prea

d, l

ong-

term

and

sev

ere

dam

age

to t

he n

atur

al

envi

ronm

ent"

; an

d th

e C

onve

ntio

n of

18

May

197

7 on

the

Pro

hibi

tion

of M

ilit

ary

or A

ny O

ther

Hos

tile

Use

of

Env

iron

men

tal

Mod

ific

atio

n T

echn

ique

s, w

hich

pro

hibi

ts t

he u

se o

f w

eapo

ns

whi

ch h

ave

"wid

espr

ead,

lon

g-la

stin

g or

sev

ere

effe

cts"

on

the

envi

ronm

ent

(Art

. 1).

Als

o ci

ted

wer

e Pr

inci

ple

21 o

f th

e St

ockh

olm

Dec

lara

tion

of

1972

and

Pri

ncip

le 2

of

the

Rio

Dec

lara

tion

of 1

992

whi

ch e

xpre

ss th

e co

mm

on c

onvi

ctio

n of

the

Stat

es c

once

rned

that

they

hav

e a

duty

"to

ensu

re t

hat

activ

ities

with

in t

heir

jur

isdi

ctio

n or

con

trol

do

not

caus

e da

mag

e to

the

envi

ronm

ent o

f ot

her

Stat

es o

r of

are

as b

eyon

d th

e lim

its o

f na

tiona

l jur

isdi

ctio

n".

Page

5 o

f 40

The

se i

nstr

umen

ts a

nd o

ther

pro

visi

ons

rela

ting

to

the

prot

ecti

on a

nd s

afeg

uard

ing

of t

he

envi

ronm

ent

wer

e sa

id t

o ap

ply

at a

l1 t

imes

, in

war

as

wel

l as

in

peac

e, a

nd i

t w

as c

onte

nded

that

the

y w

ould

be

viol

ated

by

the

use

of n

ucle

ar w

eapo

ns w

hose

con

sequ

ence

s w

ould

be

wid

espr

ead

and

wou

ld h

ave

tran

sbou

ndar

y ef

fect

s.

28. O

ther

Sta

tes

ques

tione

d th

e bi

ndin

g le

gal q

uali

ty o

f th

ese

prec

epts

of

envi

ronm

enta

l law

; or,

in t

he c

onte

xt o

f th

e C

onve

ntio

n on

the

Pro

hibi

tion

of M

ilita

ry o

r A

ny O

ther

Hos

tile

Use

of

Env

iron

men

tal

Mod

ific

atio

n T

echn

ique

s, d

enie

d th

at i

t w

as c

once

rned

at

al1

with

the

use

of

nucl

ear

wea

pons

in

host

ilitie

s; o

r, i

n th

e ca

se o

f A

dditi

onal

Pro

toco

l 1,

den

ied

that

the

y w

ere

gene

rall

y bo

und

by i

ts t

erm

s, o

r re

call

ed t

hat

they

had

res

erve

d th

eir

posi

tion

in r

espe

ct o

f

Art

icle

35,

par

agra

ph 3

, the

reof

.

It w

as a

lso

argu

ed b

y so

me

Stat

es th

at th

e pr

inci

pal p

urpo

se o

f en

viro

nmen

tal t

reat

ies

and

norm

s

was

the

pro

tect

ion

of t

he e

nvir

onm

ent

in t

ime

of p

eace

. It

was

sai

d th

at t

hose

tre

atie

s m

ade

no

men

tion

of

nucl

ear

wea

pons

. It w

as a

lso

poin

ted

out t

hat w

arfa

re in

gen

eral

, and

nuc

lear

war

fare

in p

artic

ular

, w

ere

not

men

tione

d in

the

ir t

exts

and

tha

t it

wou

ld b

e de

stab

ilizi

ng t

o th

e ru

le o

f

law

and

to c

onfi

denc

e in

inte

rnat

iona

l neg

otia

tions

if th

ose

trea

ties

wer

e no

w in

terp

rete

d in

suc

h

a w

ay a

s to

pro

hibi

t the

use

of

nucl

ear

wea

pons

.

29.

The

Cou

rt r

ecog

nize

s th

at t

he e

nvir

onm

ent

is u

nder

dai

ly t

hrea

t an

d th

at t

he u

se o

f nu

clea

r

wea

pons

cou

ld c

onst

itute

a c

atas

trop

he f

or t

he e

nvir

onm

ent.

The

Cou

rt a

lso

reco

gniz

es t

hat

the

envi

ronm

ent i

s no

t an

abst

ract

ion

but r

epre

sent

s th

e li

ving

spa

ce, t

he q

ualit

y of

life

and

the

very

heal

th o

f hu

man

bei

ngs,

inc

ludi

ng g

ener

atio

ns u

nbor

n. T

he e

xist

ence

of

the

gene

ral

oblig

atio

n

of S

tate

s to

ens

ure

that

act

iviti

es w

ithin

thei

r ju

risd

ictio

n an

d co

ntro

l res

pect

the

envi

ronm

ent o

f

othe

r St

ates

or

of a

reas

bey

ond

natio

nal

cont

rol

is n

ow p

art

of t

he c

orpu

s of

int

erna

tiona

l la

w

rela

ting

to th

e en

viro

nmen

t.

30.

How

ever

, th

e C

ourt

is

of t

he v

iew

tha

t th

e is

sue

is n

ot w

heth

er t

he t

reat

ies

rela

ting

to t

he

prot

ectio

n of

the

env

iron

men

t ar

e or

are

not

app

licab

le d

urin

g an

arm

ed c

onfl

ict,

but

rath

er

whe

ther

the

obl

igat

ions

ste

mm

ing

from

the

se t

reat

ies

wer

e in

tend

ed t

o be

obl

igat

ions

of

tota

l

rest

rain

t dur

ing

mili

tary

con

flic

t.

The

Cou

rt d

oes

not

cons

ider

tha

t th

e tr

eatie

s in

que

stio

n co

uld

have

int

ende

d to

dep

rive

a S

tate

of t

he e

xerc

ise

of i

ts r

ight

of

self

-def

ence

und

er i

nter

natio

nal

law

bec

ause

of

its

oblig

atio

ns t

o

prot

ect

the

envi

ronm

ent.

Non

ethe

less

, St

ates

m

ust

take

en

viro

nmen

tal

cons

ider

atio

ns

into

acco

unt w

hen

asse

ssin

g w

hat i

s ne

cess

ary

and

prop

ortio

nate

in th

e pu

rsui

t of

legi

timat

e m

ilita

ry

obje

ctiv

es.

Res

pect

for

the

env

iron

men

t is

one

of

the

elem

ents

tha

t go

to

asse

ssin

g w

heth

er a

n

actio

n is

in c

onfo

rmity

with

the

prin

cipl

es o

f ne

cess

ity a

nd p

ropo

rtio

nalit

y.

Thi

s ap

proa

ch i

s su

ppor

ted,

ind

eed,

by

the

term

s of

Pri

ncip

le 2

4 of

the

Rio

Dec

lara

tion

, w

hich

prov

ides

that

:

"War

fare

is

inhe

rent

ly d

estr

uctiv

e of

sus

tain

able

dev

elop

men

t. St

ates

sha

ll th

eref

ore

resp

ect

inte

rnat

iona

l la

w p

rovi

ding

pro

tect

ion

for

the

envi

ronm

ent

in t

imes

of

arm

ed

conf

lict a

nd c

oope

rate

in it

s fu

rthe

r de

velo

pmen

t, as

nec

essa

ry."

31. T

he C

ourt

not

es f

urth

erm

ore

that

Art

icle

s 35

, par

agra

ph 3

, and

55

of A

ddit

iona

l Pr

otoc

ol 1

prov

ide

addi

tiona

l pr

otec

tion

for

the

envi

ronm

ent.

Tak

en t

oget

her,

the

se p

rovi

sion

s em

body

a

Page

6 o

f 40

gene

ral

oblig

atio

n to

pro

tect

the

nat

ural

env

iron

men

t ag

ains

t w

ides

prea

d, l

ong-

term

and

sev

ere

envi

ronm

enta

l dam

age;

the

proh

ibit

ion

of m

etho

ds a

nd m

eans

of

war

fare

whi

ch a

re in

tend

ed, o

r

may

be

expe

cted

, to

cau

se s

uch

dam

age;

and

the

pro

hibi

tion

of a

ttack

s ag

ains

t th

e na

tura

l

envi

ronm

ent b

y w

ay o

f re

pris

als.

The

se a

re p

ower

ful c

onst

rain

ts f

or a

l1 th

e St

ates

hav

ing

subs

crib

ed to

thes

e pr

ovis

ions

.

32.

Gen

eral

Ass

embl

y re

solu

tion

47/

37 o

f 25

Nov

embe

r 19

92 o

n th

e "P

rote

ctio

n of

the

Env

iron

men

t in

Tim

es o

f A

rmed

Con

flic

t" i

s al

so o

f in

tere

st i

n th

is c

onte

xt.

It a

ffir

ms

the

gene

ral v

iew

acc

ordi

ng to

whi

ch e

nvir

onm

enta

l con

side

ratio

ns c

onst

itute

one

of

the

elem

ents

to

be t

aken

int

o ac

coun

t in

the

im

plem

enta

tion

of

the

prin

cipl

es o

f th

e la

w a

pplic

able

in

arm

ed

conf

lict:

it st

ates

tha

t "d

estr

uctio

n of

the

env

iron

men

t, no

t ju

stif

ied

by m

ilita

ry n

eces

sity

and

carr

ied

out

wan

tonl

y, i

s cl

earl

y co

ntra

ry t

o ex

istin

g in

tern

atio

nal

law

". A

ddre

ssin

g th

e re

ality

that

cer

tain

ins

trum

ents

are

not

yet

bin

ding

on

al1

Stat

es,

the

Gen

eral

Ass

embl

y in

thi

s

reso

luti

on "

[a]p

peal

s to

al1

Sta

tes

that

hav

e no

t yet

don

e so

to c

onsi

der

beco

min

g pa

rtie

s to

the

rele

vant

inte

rnat

iona

l con

vent

ions

".

In i

ts r

ecen

t O

rder

in

the

Req

uest

for

an

Exa

min

atio

n of

the

Sit

uati

on i

n A

ccor

danc

e w

ith

Par

agra

ph 6

3 of

the

Cou

rt's

Jud

gmen

t of 2

0 D

ecem

ber

1974

in th

e N

ucle

ar T

ests

(N

ew Z

eala

nd

v. F

ranc

e) C

ase,

the

Cou

rt s

tate

d th

at it

s co

nclu

sion

was

"w

ithou

t pre

judi

ce to

the

oblig

atio

ns o

f

Stat

es t

o re

spec

t an

d pr

otec

t th

e na

tura

l en

viro

nmen

t" (

Ord

er o

f 22

Sep

tem

ber

1995

, I.

C.

J.

Rep

orts

199

5, p

. 30

6, p

ara.

64)

. A

ltho

ugh

that

sta

tem

ent

was

mad

e in

the

con

text

of

nucl

ear

test

ing,

it n

atur

ally

als

o ap

plie

s to

the

actu

al u

se o

f nu

clea

r w

eapo

ns in

arm

ed c

onfl

ict.

33.

The

Cou

rt t

hus

find

s th

at w

hile

the

exi

stin

g in

tern

atio

nal

law

rel

atin

g to

the

pro

tect

ion

and

safe

guar

ding

of

the

envi

ronm

ent

does

not

spe

cifi

cally

pro

hibi

t th

e us

e of

nuc

lear

wea

pons

, it

indi

cate

s im

port

ant

envi

ronm

enta

l fa

ctor

s th

at a

re p

rope

rly

to b

e ta

ken

into

acc

ount

in

the

cont

ext o

f th

e im

plem

enta

tion

of th

e pr

inci

ples

and

rul

es o

f th

e la

w a

pplic

able

in a

rmed

con

flic

t.

34.

In t

he l

ight

of

the

fore

goin

g th

e C

ourt

con

clud

es t

hat

the

mos

t di

rect

ly r

elev

ant

appl

icab

le

law

gov

erni

ng t

he q

uest

ion

of w

hich

it

was

sei

sed,

is

that

rel

atin

g to

the

use

of

forc

e en

shri

ned

in t

he U

nite

d N

atio

ns C

hart

er a

nd t

he l

aw a

pplic

able

in

arm

ed c

onfl

ict

whi

ch r

egul

ates

the

cond

uct

of h

ostil

ities

, to

geth

er w

ith a

ny s

peci

fic

trea

ties

on

nucl

ear

wea

pons

tha

t th

e C

ourt

mig

ht d

eter

min

e to

be

rele

vant

.

35.

In a

pply

ing

this

law

to

the

pres

ent

case

, th

e C

ourt

can

not

how

ever

fai

l to

tak

e in

to a

ccou

nt

cert

ain

uniq

ue c

hara

cter

isti

cs o

f nu

clea

r w

eapo

ns. T

he C

ourt

has

not

ed th

e de

fini

tion

s of

nuc

lear

wea

pons

con

tain

ed i

n va

riou

s tr

eatie

s an

d ac

cord

s. I

t al

so n

otes

tha

t nu

clea

r w

eapo

ns a

re

expl

osiv

e de

vice

s w

hose

ene

rgy

resu

lts f

rom

the

fus

ion

or f

issi

on o

f th

e at

om.

By

its

very

natu

re,

that

pro

cess

, in

nuc

lear

wea

pons

as

they

exi

st t

oday

, re

leas

es n

ot o

nly

imm

ense

quan

titie

s of

hea

t an

d en

ergy

, bu

t al

so p

ower

ful

and

prol

onge

d ra

diat

ion.

Acc

ordi

ng t

o th

e

mat

eria

l be

fore

the

Cou

rt,

the

firs

t tw

o ca

uses

of

dam

age

are

vast

ly m

ore

pow

erfu

l th

an t

he

dam

age

caus

ed b

y ot

her

wea

pons

, w

hile

the

phe

nom

enon

of

radi

atio

n is

sai

d to

be

pecu

liar

to

nucl

ear

wea

pons

. T

hese

cha

ract

eris

tics

rend

er t

he n

ucle

ar w

eapo

n po

tent

ially

cat

astr

ophi

c. T

he

dest

ruct

ive

pow

er o

f nu

clea

r w

eapo

ns c

anno

t be

con

tain

ed i

n ei

ther

spa

ce o

r tim

e. T

hey

have

the

pote

ntia

l to

dest

roy

al1

civi

lizat

ion

and

the

entir

e ec

osys

tem

of

the

plan

et.

The

rad

iatio

n re

leas

ed b

y a

nucl

ear

expl

osio

n w

ould

aff

ect

heal

th, a

gric

ultu

re, n

atur

al r

esou

rces

Page

7 o

f 40

and

dem

ogra

phy

over

a v

ery

wid

e ar

ea.

Furt

her,

the

use

of

nucl

ear

wea

pons

wou

ld b

e a

seri

ous

dang

er t

o fu

ture

gen

erat

ions

. Io

nizi

ng

radi

atio

n ha

s th

e po

tent

ial t

o da

mag

e th

e fu

ture

env

iron

men

t, fo

od a

nd m

arin

e ec

osys

tem

, and

to

caus

e ge

netic

def

ects

and

illn

ess

in f

utur

e ge

nera

tions

.

36. I

n co

nseq

uenc

e, i

n or

der

corr

ectly

to

appl

y to

the

pre

sent

cas

e th

e C

hart

er l

aw o

n th

e us

e of

forc

e an

d th

e la

w a

pplic

able

in

arm

ed c

onfl

ict,

in p

artic

ular

hum

anita

rian

law

, it

is i

mpe

rati

ve

for

the

Cou

rt t

o ta

ke a

ccou

nt o

f th

e un

ique

cha

ract

eris

tics

of n

ucle

ar w

eapo

ns, a

nd i

n pa

rtic

ular

thei

r de

stru

ctiv

e ca

paci

ty,

thei

r ca

paci

ty t

o ca

use

unto

ld h

uman

suf

feri

ng,

and

thei

r ab

ility

to

caus

e da

mag

e to

gen

erat

ions

to c

ome.

Cas

e C

once

rnin

g th

e G

abcí

kovo

-Nag

ymar

os P

roje

ct (

Hun

gary

/Slo

vaki

a),

Judg

men

t of

the

Int

erna

tion

al C

ourt

of

Just

ice,

25

Sept

embe

r 19

97 (

para

s 53

and

140

)

53. T

he C

ourt

has

no

diff

icul

ty in

ack

now

ledg

ing

that

the

conc

erns

exp

ress

ed b

y H

unga

ry f

or it

s

natu

ral

envi

ronm

ent

in t

he r

egio

n af

fect

ed b

y th

e G

abcí

kovo

-Nag

ymar

os P

roje

ct r

elat

ed t

o an

esse

ntia

l in

tere

st"

of t

hat

Stat

e, w

ithin

the

mea

ning

giv

en t

o th

at e

xpre

ssio

n in

Art

icle

33

of t

he

Dra

ft o

f th

e In

tern

atio

nal L

aw C

omm

issi

on.

The

Com

mis

sion

, in

its

Com

men

tary

, in

dica

ted

that

one

sho

uld

not,

in t

hat

cont

ext,

redu

ce a

n

"ess

entia

l in

tere

st"

to a

mat

ter

only

of

the

"exi

sten

ce"

of t

he S

tate

, an

d th

at t

he w

hole

que

stio

n

was

, ul

tim

atel

y, t

o be

jud

ged

in t

he l

ight

of

the

part

icul

ar c

ase

(see

Yea

rboo

k of

the

Int

erna

tion

al

Law

Com

mis

sion

, 19

80,

Vol

. II

, Pa

rt 2

, p.

49,

par

a. 3

2);

at t

he s

ame

tim

e, i

t in

clud

ed a

mon

g th

e

situ

atio

ns t

hat

coul

d oc

casi

on a

sta

te o

f ne

cess

ity,

"a g

rave

dan

ger

to .

. .

the

eco

logi

cal

pres

erva

tion

of

all o

r so

me

of [

the]

terr

itor

y [o

f a

Stat

e]"

(ibi

d, p

. 35,

par

a. 3

); a

nd s

peci

fied

, wit

h

refe

renc

e to

Sta

te p

ract

ice,

tha

t "I

t is

pri

mar

ily i

n th

e la

st t

wo

deca

des

that

saf

egua

rdin

g th

e

ecol

ogic

al b

alan

ce h

as c

ome

to b

e co

nsid

ered

an

'ess

entia

l in

tere

st' o

f al

1 St

ates

." (

Ibid

., p.

39,

para

. 14.

)

The

Cou

rt r

ecal

ls t

hat

it ha

s re

cent

ly h

ad o

ccas

ion

to s

tres

s, i

n th

e fo

llow

ing

term

s, t

he g

reat

sign

ific

ance

tha

t it

atta

ches

to

resp

ect

for

the

envi

ronm

ent,

not

only

for

Sta

tes

but

also

for

the

who

le o

f m

anki

nd:

"the

env

iron

men

t is

not

an

abst

ract

ion

but

repr

esen

ts t

he l

ivin

g sp

ace,

th

e qu

ality

of

life

and

the

very

hea

lth o

f hu

man

bei

ngs,

inc

ludi

ng

gene

ratio

ns u

nbor

n. T

he e

xist

ence

of

the

gene

ral o

blig

atio

n of

Sta

tes

to

ensu

re t

hat

activ

ities

with

in t

heir

jur

isdi

ctio

n an

d co

ntro

l re

spec

t th

e en

viro

nmen

t of

oth

er S

tate

s or

of

area

s be

yond

nat

iona

l co

ntro

l is

now

pa

rt o

f th

e co

rpus

of

inte

rnat

iona

l la

w r

elat

ing

to t

he e

nvir

onm

ent."

(L

egal

ity

of t

he T

hrea

t or

Use

of

Nuc

lear

Wea

pons

, A

dvis

ory

Opi

nion

, I.

C. J

. Rep

orts

199

6, p

p. 2

41 -

242,

par

a. 2

9.)

[…]

140.

It

is c

lear

tha

t th

e Pr

ojec

t's i

mpa

ct u

pon,

and

its

im

plic

atio

ns f

or,

the

envi

ronm

ent

are

of

nece

ssity

a k

ey i

ssue

. T

he n

umer

ous

scie

ntif

ic r

epor

ts w

hich

hav

e be

en p

rese

nted

to

the

Cou

rt

by t

he P

artie

s - ev

en i

f th

eir

conc

lusi

ons

are

ofte

n co

ntra

dict

ory

- pr

ovid

e ab

unda

nt e

vide

nce

that

this

impa

ct a

nd th

ese

impl

icat

ions

are

con

side

rabl

e.

Page

8 o

f 40

In o

rder

to e

valu

ate

the

envi

ronm

enta

l ris

ks, c

urre

nt s

tand

ards

mus

t be

take

n in

to c

onsi

dera

tion.

Thi

s is

not

onl

y al

low

ed b

y th

e w

ordi

ng o

f A

rtic

les

15 a

nd 1

9, b

ut e

ven

pres

crib

ed, t

o th

e ex

tent

that

the

se a

rtic

les

impo

se a

con

tinui

ng -

and

thus

nec

essa

rily

evo

lvin

g – ob

liga

tion

on t

he p

arti

es

to m

aint

ain

the

qual

ity o

f th

e w

ater

of

the

Dan

ube

and

to p

rote

ct n

atur

e.

The

Cou

rt is

min

dful

that

, in

the

fiel

d of

env

iron

men

tal

prot

ecti

on, v

igil

ance

and

pre

vent

ion

are

requ

ired

on

acco

unt

of t

he o

ften

irr

ever

sibl

e ch

arac

ter

of d

amag

e to

the

env

iron

men

t an

d of

the

limit

atio

ns in

here

nt in

the

very

mec

hani

sm o

f re

para

tion

of

this

type

of

dam

age.

Thr

ough

out

the

ages

, m

anki

nd h

as,

for

econ

omic

and

oth

er r

easo

ns,

cons

tant

ly i

nter

fere

d w

ith

natu

re.

In

the

past

, th

is

was

of

ten

done

w

itho

ut

cons

ider

atio

n of

th

e ef

fect

s up

on

the

envi

ronm

ent.

Ow

ing

to n

ew s

cien

tifi

c in

sigh

ts a

nd t

o a

grow

ing

awar

enes

s of

the

ris

ks f

or

man

kind

— f

or p

rese

nt a

nd f

utur

e ge

nera

tion

s —

of

purs

uit

of s

uch

inte

rven

tions

at

an

unco

nsid

ered

and

una

bate

d pa

ce,

new

nor

ms

and

stan

dard

s ha

ve b

een

deve

lope

d, s

et f

orth

in

a

grea

t num

ber

of in

stru

men

ts d

urin

g th

e la

st tw

o de

cade

s. S

uch

new

nor

ms

have

to

be t

aken

int

o

cons

ider

atio

n, a

nd s

uch

new

sta

ndar

ds g

iven

pro

per

wei

ght,

not

only

whe

n St

ates

con

tem

plat

e

new

act

iviti

es b

ut a

lso

whe

n co

ntin

uing

with

act

iviti

es b

egun

in th

e pa

st.

Thi

s ne

ed t

o re

conc

ile

econ

omic

dev

elop

men

t w

ith p

rote

ctio

n of

the

env

iron

men

t is

apt

ly

expr

esse

d in

the

conc

ept o

f su

stai

nabl

e de

velo

pmen

t.

For

the

purp

oses

of

the

pres

ent

case

, th

is m

eans

tha

t th

e Pa

rtie

s to

geth

er s

houl

d lo

ok a

fres

h at

the

effe

cts

on th

e en

viro

nmen

t of

the

oper

atio

n of

the

Gab

cíko

vo p

ower

pla

nt. I

n pa

rtic

ular

they

mus

t fi

nd a

sat

isfa

ctor

y so

luti

on f

or t

he v

olum

e of

wat

er t

o be

rel

ease

d in

to t

he o

ld b

ed o

f th

e

Dan

ube

and

into

the

side

-arm

s on

bot

h si

des

of th

e ri

ver.

Uni

ted

Stat

es —

Im

port

Pro

hibi

tion

of c

erta

in S

hrim

p an

d Sh

rim

p P

rodu

cts

(DS

58),

R

epor

t of

the

App

ella

te B

ody

of t

he W

orld

Tra

de O

rgan

izat

ion,

12

Oct

ober

199

8 (p

aras

128

-131

, 152

-153

, 167

-169

and

185

-186

)

128.

[…

] T

extu

ally

, A

rtic

le X

X(g

) is

not

lim

ited

to

the

cons

erva

tion

of

"min

eral

" or

"no

n-

livin

g" n

atur

al r

esou

rces

. T

he c

ompl

aina

nts'

pri

ncip

al a

rgum

ent

is r

oote

d in

the

not

ion

that

"liv

ing"

na

tura

l re

sour

ces

are

"ren

ewab

le"

and

ther

efor

e ca

nnot

be

"e

xhau

stib

le"

natu

ral

reso

urce

s.

We

do n

ot b

elie

ve t

hat

"exh

aust

ible

" na

tura

l re

sour

ces

and

"ren

ewab

le"

natu

ral

reso

urce

s ar

e m

utua

lly e

xclu

sive

. O

ne l

esso

n th

at m

oder

n bi

olog

ical

sci

ence

s te

ach

us i

s th

at

livi

ng s

peci

es,

thou

gh i

n pr

inci

ple,

cap

able

of

repr

oduc

tion

and,

in

that

sen

se,

"ren

ewab

le",

are

in c

erta

in c

ircu

mst

ance

s in

deed

sus

cept

ible

of

depl

etio

n, e

xhau

stio

n an

d ex

tinc

tion

, fr

eque

ntly

beca

use

of h

uman

act

iviti

es.

Liv

ing

reso

urce

s ar

e ju

st a

s "f

inite

" as

pet

role

um,

iron

ore

and

othe

r no

n-li

ving

res

ourc

es.

129.

T

he w

ords

of

Art

icle

XX

(g),

"ex

haus

tible

nat

ural

res

ourc

es",

wer

e ac

tual

ly c

raft

ed m

ore

than

50

year

s ag

o.

The

y m

ust

be r

ead

by a

tre

aty

inte

rpre

ter

in t

he l

ight

of

cont

empo

rary

conc

erns

of

the

com

mun

ity

of n

atio

ns a

bout

the

prot

ecti

on a

nd c

onse

rvat

ion

of th

e en

viro

nmen

t.

Whi

le A

rtic

le X

X w

as n

ot m

odif

ied

in t

he U

rugu

ay R

ound

, th

e pr

eam

ble

atta

ched

to

the

WT

O

Agr

eem

ent

show

s th

at t

he s

igna

tori

es t

o th

at A

gree

men

t w

ere,

in

1994

, fu

lly a

war

e of

the

impo

rtan

ce a

nd l

egit

imac

y of

env

iron

men

tal

prot

ecti

on a

s a

goal

of

natio

nal

and

inte

rnat

iona

l

poli

cy.

The

pre

ambl

e of

the

WT

O A

gree

men

t --

whi

ch i

nfor

ms

not

only

the

GA

TT

199

4, b

ut

Page

9 o

f 40

also

the

oth

er c

over

ed a

gree

men

ts -

- ex

plic

itly

ackn

owle

dges

"th

e ob

ject

ive

of s

usta

inab

le

deve

lopm

ent"

:

The

Par

ties

to th

is A

gree

men

t,

Rec

ogni

zing

tha

t th

eir

rela

tions

in

the

fiel

d of

tra

de a

nd e

cono

mic

en

deav

our

shou

ld b

e co

nduc

ted

wit

h a

view

to

rais

ing

stan

dard

s of

li

ving

, en

suri

ng f

ull

empl

oym

ent

and

a la

rge

and

stea

dily

gro

win

g vo

lum

e of

re

al

inco

me

and

effe

ctiv

e de

man

d,

and

expa

ndin

g th

e pr

oduc

tion

of

and

trad

e in

goo

ds a

nd s

ervi

ces,

whi

le a

llow

ing

for

the

optim

al u

se o

f th

e w

orld

's r

esou

rces

in a

ccor

danc

e w

ith th

e ob

ject

ive

of

sust

aina

ble

deve

lopm

ent,

seek

ing

both

to

prot

ect

and

pres

erve

the

en

viro

nmen

t an

d to

enh

ance

the

mea

ns f

or d

oing

so

in a

man

ner

cons

iste

nt w

ith

thei

r re

spec

tive

need

s an

d co

ncer

ns a

t di

ffer

ent

leve

ls

of e

cono

mic

dev

elop

men

t, …

(em

phas

is a

dded

)

130.

Fr

om t

he p

ersp

ecti

ve e

mbo

died

in

the

prea

mbl

e of

the

WT

O A

gree

men

t, w

e no

te t

hat

the

gene

ric

term

"na

tura

l res

ourc

es"

in A

rtic

le X

X(g

) is

not

"st

atic

" in

its

cont

ent o

r re

fere

nce

but i

s

rath

er "

by d

efin

itio

n, e

volu

tion

ary"

. It

is,

the

refo

re,

pert

inen

t to

not

e th

at m

oder

n in

tern

atio

nal

conv

entio

ns a

nd d

ecla

ratio

ns m

ake

freq

uent

ref

eren

ces

to n

atur

al r

esou

rces

as

embr

acin

g bo

th

livin

g an

d no

n-liv

ing

reso

urce

s.

For

inst

ance

, the

198

2 U

nite

d N

atio

ns C

onve

ntio

n on

the

Law

of t

he S

ea (

"UN

CL

OS"

), i

n de

fini

ng t

he j

uris

dict

iona

l ri

ghts

of

coas

tal

stat

es i

n th

eir

excl

usiv

e

econ

omic

zon

es, p

rovi

des:

Art

icle

56

- R

ight

s, j

uris

dict

ion

and

duti

es o

f th

e co

asta

l St

ate

in t

he

excl

usiv

e ec

onom

ic z

one

1.

In

the

excl

usiv

e ec

onom

ic z

one,

the

coas

tal S

tate

has

:

(a)

sove

reig

n ri

ghts

fo

r th

e pu

rpos

e of

ex

plor

ing

and

expl

oiti

ng,

cons

ervi

ng a

nd m

anag

ing

the

natu

ral

reso

urce

s, w

heth

er l

ivin

g or

non

-li

ving

, of

the

wat

ers

supe

rjac

ent

to t

he s

ea-b

ed a

nd o

f th

e se

a-be

d an

d its

sub

soil,

…(e

mph

asis

add

ed)

The

UN

CL

OS

also

rep

eate

dly

refe

rs i

n A

rtic

les

61 a

nd 6

2 to

"liv

ing

reso

urce

s" i

n sp

ecif

ying

righ

ts a

nd d

utie

s of

sta

tes

in t

heir

exc

lusi

ve e

cono

mic

zon

es.

The

Con

vent

ion

on B

iolo

gica

l

Div

ersi

ty u

ses

the

conc

ept

of "

biol

ogic

al r

esou

rces

".

Age

nda

21 s

peak

s m

ost

broa

dly

of

"nat

ural

res

ourc

es"

and

goes

int

o de

taile

d st

atem

ents

abo

ut "

mar

ine

livi

ng r

esou

rces

".

In

addi

tion

, the

Res

olut

ion

on A

ssis

tanc

e to

Dev

elop

ing

Cou

ntri

es, a

dopt

ed in

con

junc

tion

wit

h th

e

Con

vent

ion

on th

e C

onse

rvat

ion

of M

igra

tory

Spe

cies

of

Wil

d A

nim

als,

rec

ites

:

Con

scio

us

that

an

im

port

ant

elem

ent

of

deve

lopm

ent

lies

in

the

cons

erva

tion

and

man

agem

ent

of l

ivin

g na

tura

l re

sour

ces

and

that

m

igra

tory

spe

cies

con

stitu

te a

sig

nifi

cant

par

t of

the

se r

esou

rces

; …

(em

phas

is a

dded

)

131.

G

iven

the

rec

ent

ackn

owle

dgem

ent

by t

he i

nter

natio

nal

com

mun

ity o

f th

e im

port

ance

of

conc

erte

d bi

late

ral

or m

ultil

ater

al a

ctio

n to

pro

tect

liv

ing

natu

ral

reso

urce

s, a

nd r

ecal

ling

the

expl

icit

reco

gniti

on b

y W

TO

Mem

bers

of

the

obje

ctiv

e of

sus

tain

able

dev

elop

men

t in

the

prea

mbl

e of

th

e W

TO

A

gree

men

t, w

e be

lieve

it

is

too

late

in

th

e da

y to

su

ppos

e th

at

Art

icle

XX

(g)

of

the

GA

TT

199

4 m

ay

be

read

as

re

ferr

ing

only

to

th

e co

nser

vati

on

of

Page

10

of 4

0

exha

usti

ble

min

eral

or

othe

r no

n-liv

ing

natu

ral r

esou

rces

.

[…]

152.

A

t th

e en

d of

the

Uru

guay

Rou

nd,

nego

tiat

ors

fash

ione

d an

app

ropr

iate

pre

ambl

e fo

r th

e

new

WT

O A

gree

men

t, w

hich

str

engt

hene

d th

e m

ultil

ater

al t

radi

ng s

yste

m b

y es

tabl

ishi

ng a

n

inte

rnat

iona

l or

gani

zatio

n,

inte

r al

ia,

to

faci

litat

e th

e im

plem

enta

tion,

ad

min

istr

atio

n an

d

oper

atio

n, a

nd t

o fu

rthe

r th

e ob

ject

ives

, of

tha

t A

gree

men

t an

d th

e ot

her

agre

emen

ts r

esul

ting

from

tha

t R

ound

. I

n re

cogn

itio

n of

the

im

port

ance

of

cont

inui

ty w

ith

the

prev

ious

GA

TT

syst

em, n

egot

iato

rs u

sed

the

prea

mbl

e of

the

GA

TT

194

7 as

the

tem

plat

e fo

r th

e pr

eam

ble

of th

e

new

WT

O A

gree

men

t. T

hose

neg

otia

tors

evi

dent

ly b

elie

ved,

how

ever

, tha

t the

obj

ectiv

e of

"fu

ll

use

of t

he r

esou

rces

of

the

wor

ld"

set

fort

h in

the

pre

ambl

e of

the

GA

TT

194

7 w

as n

o lo

nger

appr

opri

ate

to t

he w

orld

tra

ding

sys

tem

of

the

1990

's.

As

a re

sult

, th

ey d

ecid

ed t

o qu

alif

y th

e

orig

inal

obj

ectiv

es o

f th

e G

AT

T 1

947

with

the

follo

win

g w

ords

:

… w

hile

all

owin

g fo

r th

e op

tim

al u

se o

f th

e w

orld

's r

esou

rces

in

acco

rdan

ce w

ith th

e ob

ject

ive

of s

usta

inab

le d

evel

opm

ent,

seek

ing

both

to

pro

tect

and

pre

serv

e th

e en

viro

nmen

t an

d to

enh

ance

the

mea

ns f

or

doin

g so

in

a

man

ner

cons

iste

nt

with

th

eir

resp

ectiv

e ne

eds

and

conc

erns

at d

iffe

rent

leve

ls o

f ec

onom

ic d

evel

opm

ent,

153.

We

note

onc

e m

ore

that

this

lang

uage

dem

onst

rate

s a

reco

gniti

on b

y W

TO

neg

otia

tors

that

optim

al u

se o

f th

e w

orld

's r

esou

rces

sho

uld

be m

ade

in a

ccor

danc

e w

ith t

he o

bjec

tive

of

sust

aina

ble

deve

lopm

ent.

As

this

pre

ambu

lar

lang

uage

ref

lect

s th

e in

tent

ions

of

nego

tiat

ors

of

the

WT

O A

gree

men

t, w

e be

liev

e it

mus

t ad

d co

lour

, tex

ture

and

sha

ding

to

our

inte

rpre

tati

on o

f

the

agre

emen

ts a

nnex

ed to

the

WT

O A

gree

men

t, in

this

cas

e, th

e G

AT

T 1

994.

We

have

alr

eady

obse

rved

tha

t A

rtic

le X

X(g

) of

the

GA

TT

199

4 is

app

ropr

iate

ly r

ead

with

the

per

spec

tive

embo

died

in th

e ab

ove

prea

mbl

e.

[…]

167.

A

pro

pos

this

fai

lure

to

have

pri

or c

onsi

sten

t re

cour

se t

o di

plom

acy

as a

n in

stru

men

t of

envi

ronm

enta

l pr

otec

tion

pol

icy,

whi

ch p

rodu

ces

disc

rim

inat

ory

impa

cts

on c

ount

ries

exp

ortin

g

shri

mp

to t

he U

nite

d St

ates

wit

h w

hich

no

inte

rnat

iona

l ag

reem

ents

are

rea

ched

or

even

seri

ousl

y at

tem

pted

, a n

umbe

r of

poi

nts

mus

t be

mad

e.

Firs

t, th

e C

ongr

ess

of t

he U

nite

d St

ates

expr

essl

y re

cogn

ized

the

impo

rtan

ce o

f se

curi

ng in

tern

atio

nal a

gree

men

ts f

or th

e pr

otec

tion

and

cons

erva

tion

of t

he s

ea t

urtle

spe

cies

in

enac

ting

this

law

. S

ectio

n 60

9(a)

dir

ects

the

Sec

reta

ry

of S

tate

to:

[...]

Apa

rt

from

th

e ne

gotia

tion

of

the

Inte

r-A

mer

ican

C

onve

ntio

n fo

r th

e Pr

otec

tion

an

d

Con

serv

atio

n of

Sea

Tur

tles

(the

"In

ter-

Am

eric

an C

onve

ntio

n")

whi

ch c

oncl

uded

in

1996

, th

e

reco

rd b

efor

e th

e Pa

nel

does

not

ind

icat

e an

y se

riou

s, s

ubst

antia

l ef

fort

s to

car

ry o

ut t

hese

expr

ess

dire

ctio

ns o

f C

ongr

ess.

168.

Se

cond

, th

e pr

otec

tion

and

con

serv

atio

n of

hig

hly

mig

rato

ry s

peci

es o

f se

a tu

rtle

s, t

hat

is,

the

very

pol

icy

obje

ctiv

e of

the

mea

sure

, de

man

ds c

once

rted

and

coo

pera

tive

eff

orts

on

the

part

of

the

man

y co

untr

ies

who

se w

ater

s ar

e tr

aver

sed

in t

he c

ours

e of

rec

urre

nt s

ea t

urtle

Page

11

of 4

0

mig

ratio

ns.

The

nee

d fo

r, a

nd t

he a

ppro

pria

tene

ss o

f, s

uch

effo

rts

have

bee

n re

cogn

ized

in

the

WT

O

itsel

f as

w

ell

as

in

a si

gnif

ican

t nu

mbe

r of

ot

her

inte

rnat

iona

l in

stru

men

ts

and

decl

arat

ions

. A

s st

ated

ear

lier,

the

Dec

isio

n on

Tra

de a

nd E

nvir

onm

ent,

whi

ch p

rovi

ded

for

the

esta

blis

hmen

t of

the

CT

E a

nd s

et o

ut it

s te

rms

of r

efer

ence

, ref

ers

to b

oth

the

Rio

Dec

lara

tion

on

Env

iron

men

t an

d D

evel

opm

ent

and

Age

nda

21.

O

f pa

rtic

ular

rel

evan

ce i

s Pr

inci

ple

12 o

f th

e

Rio

Dec

lara

tion

on

Env

iron

men

t and

Dev

elop

men

t, w

hich

sta

tes,

in p

art:

Uni

late

ral a

ctio

ns to

dea

l with

env

iron

men

tal c

halle

nges

out

side

th

e ju

risd

icti

on o

f th

e im

port

ing

coun

try

shou

ld b

e av

oide

d.

Env

iron

men

tal

mea

sure

s ad

dres

sing

tra

nsbo

unda

ry o

r gl

obal

en

viro

nmen

tal

prob

lem

s sh

ould

, as

far

as

poss

ible

, be

bas

ed o

n in

tern

atio

nal c

onse

nsus

.(em

phas

is a

dded

)

In a

lmos

t ide

ntic

al la

ngua

ge, p

arag

raph

2.2

2(i)

of

Age

nda

21 p

rovi

des:

Gov

ernm

ents

sho

uld

enco

urag

e G

AT

T,

UN

CT

AD

and

oth

er

rele

vant

in

tern

atio

nal

and

regi

onal

ec

onom

ic

inst

itut

ions

to

ex

amin

e,

in

acco

rdan

ce

with

th

eir

resp

ectiv

e m

anda

tes

and

com

pete

nces

, the

fol

low

ing

prop

ositi

ons

and

prin

cipl

es: …

(i)

Avo

id

unila

tera

l ac

tion

to

deal

w

ith

envi

ronm

enta

l ch

alle

nges

out

side

the

jur

isdi

ctio

n of

the

im

port

ing

coun

try.

E

nvir

onm

enta

l m

easu

res

addr

essi

ng

tran

sbor

der

prob

lem

s sh

ould

, as

fa

r as

po

ssib

le,

be

base

d on

an

in

tern

atio

nal

cons

ensu

s.(e

mph

asis

add

ed)

Mor

eove

r, w

e no

te th

at A

rtic

le 5

of

the

Con

vent

ion

on B

iolo

gica

l Div

ersi

ty s

tate

s:

each

co

ntra

ctin

g pa

rty

shal

l, as

fa

r as

po

ssib

le

and

as

appr

opri

ate,

coo

pera

te w

ith o

ther

con

trac

ting

part

ies

dire

ctly

or,

w

here

ap

prop

riat

e,

thro

ugh

com

pete

nt

inte

rnat

iona

l or

gani

zatio

ns,

in r

espe

ct o

f ar

eas

beyo

nd n

atio

nal

juri

sdic

tion

and

on o

ther

mat

ters

of

mut

ual i

nter

est,

for

the

cons

erva

tion

and

sust

aina

ble

use

of b

iolo

gica

l div

ersi

ty.

The

Con

vent

ion

on t

he C

onse

rvat

ion

of M

igra

tory

Spe

cies

of

Wild

Ani

mal

s, w

hich

cla

ssif

ies

the

rele

vant

spe

cies

of

sea

turt

les

in it

s A

nnex

I a

s "E

ndan

gere

d M

igra

tory

Spe

cies

", s

tate

s:

The

con

trac

ting

part

ies

[are

] co

nvin

ced

that

con

serv

atio

n an

d ef

fect

ive

man

agem

ent

of m

igra

tory

spe

cies

of

wil

d an

imal

s re

quir

es t

he c

once

rted

act

ion

of a

ll St

ates

with

in t

he n

atio

nal

boun

dari

es o

f w

hich

suc

h sp

ecie

s sp

end

any

part

of

thei

r lif

e cy

cle.

Furt

herm

ore,

we

note

tha

t WT

O M

embe

rs i

n th

e R

epor

t of

the

CT

E, f

orm

ing

part

of

the

Rep

ort

of t

he G

ener

al C

ounc

il to

Min

iste

rs o

n th

e oc

casi

on o

f th

e Si

ngap

ore

Min

iste

rial

Con

fere

nce,

endo

rsed

and

sup

port

ed:

… m

ulti

late

ral s

olut

ions

bas

ed o

n in

tern

atio

nal c

oope

rati

on a

nd

cons

ensu

s as

the

bes

t an

d m

ost

effe

ctiv

e w

ay f

or g

over

nmen

ts t

o ta

ckle

env

iron

men

tal

prob

lem

s of

a t

rans

boun

dary

or

glob

al

natu

re.

W

TO

A

gree

men

ts

and

mul

tilat

eral

en

viro

nmen

tal

agre

emen

ts

(ME

As)

ar

e re

pres

enta

tive

of

ef

fort

s of

th

e in

tern

atio

nal

com

mun

ity t

o pu

rsue

sha

red

goal

s, a

nd i

n th

e de

velo

pmen

t of

a

mut

uall

y su

ppor

tive

rela

tion

ship

be

twee

n th

em, d

ue r

espe

ct m

ust b

e af

ford

ed to

bot

h. (

emph

asis

add

ed)

169.

T

hird

, th

e U

nite

d St

ates

di

d ne

gotia

te

and

conc

lude

on

e re

gion

al

inte

rnat

iona

l

Page

12

of 4

0

agre

emen

t fo

r th

e pr

otec

tion

and

cons

erva

tion

of s

ea t

urtle

s:

The

Int

er-A

mer

ican

Con

vent

ion.

[...]

185.

In

rea

chin

g th

ese

conc

lusi

ons,

we

wis

h to

und

ersc

ore

wha

t w

e ha

ve n

ot d

ecid

ed i

n th

is

appe

al.

We

have

not

dec

ided

tha

t th

e pr

otec

tion

and

pre

serv

atio

n of

the

env

iron

men

t is

of

no

sign

ific

ance

to th

e M

embe

rs o

f th

e W

TO

. C

lear

ly, i

t is.

We

have

not

dec

ided

that

the

sove

reig

n

natio

ns t

hat

are

Mem

bers

of

the

WT

O c

anno

t ad

opt

effe

ctiv

e m

easu

res

to p

rote

ct e

ndan

gere

d

spec

ies,

suc

h as

sea

tur

tles.

Cle

arly

, th

ey c

an a

nd s

houl

d.

And

we

have

not

dec

ided

tha

t

sove

reig

n st

ates

sho

uld

not

act

toge

ther

bila

tera

lly, p

luri

late

rally

or

mul

tilat

eral

ly,

eith

er w

ithin

the

WT

O o

r in

oth

er in

tern

atio

nal f

ora,

to p

rote

ct e

ndan

gere

d sp

ecie

s or

to o

ther

wis

e pr

otec

t the

envi

ronm

ent.

Cle

arly

, the

y sh

ould

and

do.

186.

W

hat

we

have

dec

ided

in

this

app

eal

is s

impl

y th

is:

alth

ough

the

mea

sure

of

the

Uni

ted

Stat

es in

dis

pute

in th

is a

ppea

l ser

ves

an e

nvir

onm

enta

l obj

ectiv

e th

at is

rec

ogni

zed

as le

gitim

ate

unde

r pa

ragr

aph

(g)

of A

rtic

le X

X o

f th

e G

AT

T 1

994,

thi

s m

easu

re h

as b

een

appl

ied

by t

he

Uni

ted

Stat

es i

n a

man

ner

whi

ch c

onst

itute

s ar

bitr

ary

and

unju

stif

iabl

e di

scri

min

atio

n be

twee

n

Mem

bers

of

the

WT

O, c

ontr

ary

to th

e re

quir

emen

ts o

f th

e ch

apea

u of

Art

icle

XX

. Fo

r al

l of

the

spec

ific

rea

sons

out

lined

in

this

Rep

ort,

this

mea

sure

doe

s no

t qu

alif

y fo

r th

e ex

empt

ion

that

Art

icle

XX

of

the

GA

TT

199

4 af

ford

s to

mea

sure

s w

hich

ser

ve c

erta

in r

ecog

nize

d, l

egiti

mat

e

envi

ronm

enta

l pur

pose

s bu

t whi

ch, a

t the

sam

e ti

me,

are

not

app

lied

in a

man

ner

that

con

stitu

tes

a m

eans

of

ar

bitr

ary

or

unju

stif

iabl

e di

scri

min

atio

n be

twee

n co

untr

ies

whe

re

the

sam

e

cond

ition

s pr

evai

l or

a di

sgui

sed

rest

rict

ion

on in

tern

atio

nal t

rade

. A

s w

e em

phas

ized

in U

nite

d

Stat

es –

Gas

olin

e, W

TO

Mem

bers

are

fre

e to

ado

pt t

heir

ow

n po

licie

s ai

med

at

prot

ectin

g th

e

envi

ronm

ent

as l

ong

as, i

n so

doi

ng, t

hey

fulf

ill

thei

r ob

ligat

ions

and

res

pect

the

rig

hts

of o

ther

Mem

bers

und

er th

e W

TO

Agr

eem

ent.

The

Ogo

ni C

ase

(Nig

eria

), C

omm

unic

atio

n 15

5/96

of

the

Afr

ican

Com

mis

sion

on

Hum

an a

nd P

eopl

es’

Rig

hts

in r

espo

nse

to a

pet

itio

n by

the

Soc

ial

and

Eco

nom

ic

Rig

hts

Act

ion

Cen

ter

and

the

Cen

ter

for

Eco

nom

ic a

nd S

ocia

l Rig

hts

/ Nig

eria

, 27

May

200

2 (p

aras

53-

58, 6

8-69

and

fin

ding

s)

53.

Gov

ernm

ent

com

plia

nce

with

the

spi

rit

of A

rtic

les

16 a

nd 2

4 of

the

Afr

ican

Cha

rter

mus

t

also

inc

lude

ord

erin

g or

at

leas

t pe

rmitt

ing

inde

pend

ent

scie

ntif

ic m

onito

ring

of

thre

aten

ed

envi

ronm

ents

, re

quir

ing

and

publ

icis

ing

envi

ronm

enta

l an

d so

cial

im

pact

stu

dies

pri

or t

o an

y

maj

or i

ndus

tria

l de

velo

pmen

t, un

dert

akin

g ap

prop

riat

e m

onit

orin

g an

d pr

ovid

ing

info

rmat

ion

to

thos

e co

mm

uniti

es e

xpos

ed t

o ha

zard

ous

mat

eria

ls a

nd a

ctiv

itie

s an

d pr

ovid

ing

mea

ning

ful

oppo

rtun

itie

s fo

r in

divi

dual

s to

be

hear

d an

d to

par

ticip

ate

in t

he d

evel

opm

ent

deci

sion

s

affe

ctin

g th

eir

com

mun

ities

.

54. W

e no

w e

xam

ine

the

cond

uct o

f th

e go

vern

men

t of

Nig

eria

in r

elat

ion

to A

rtic

les

16 a

nd 2

4

of th

e A

fric

an C

hart

er. U

ndou

bted

ly a

nd a

dmitt

edly

, the

gov

ernm

ent o

f N

iger

ia, t

hrou

gh N

NPC

has

the

righ

t to

pro

duce

oil,

the

inc

ome

from

whi

ch w

ill

be u

sed

to f

ulfi

l th

e ec

onom

ic a

nd

soci

al r

ight

s of

Nig

eria

ns. B

ut t

he c

are

that

sho

uld

have

bee

n ta

ken

as o

utlin

ed i

n th

e pr

eced

ing

para

grap

h an

d w

hich

wou

ld h

ave

prot

ecte

d th

e ri

ghts

of

the

vict

ims

of th

e vi

olat

ions

com

plai

ned

of w

as n

ot t

aken

. To

exac

erba

te t

he s

itua

tion,

the

sec

urity

for

ces

of t

he g

over

nmen

t en

gage

d in

cond

uct

in v

iola

tion

of

the

righ

ts o

f th

e O

goni

s by

att

acki

ng,

burn

ing

and

dest

royi

ng s

ever

al

Page

13

of 4

0

Ogo

ni v

illa

ges

and

hom

es.

55.

The

Com

plai

nant

s al

so a

llege

a v

iola

tion

of

Art

icle

21

of t

he A

fric

an C

hart

er b

y th

e

gove

rnm

ent

of N

iger

ia.

The

Com

plai

nant

s al

lege

tha

t th

e M

ilit

ary

gove

rnm

ent

of N

iger

ia w

as

invo

lved

in

oil

prod

ucti

on a

nd t

hus

did

not

mon

itor

or

regu

late

the

ope

rati

ons

of t

he o

il

com

pani

es a

nd i

n so

doi

ng p

aved

a w

ay f

or t

he O

il C

onso

rtiu

ms

to e

xplo

it oi

l re

serv

es i

n

Ogo

nila

nd. F

urth

erm

ore,

in

all

thei

r de

alin

gs w

ith t

he O

il C

onso

rtiu

ms,

the

gov

ernm

ent

did

not

invo

lve

the

Ogo

ni C

omm

unit

ies

in t

he d

ecis

ions

tha

t af

fect

ed t

he d

evel

opm

ent

of O

goni

land

.

The

des

truc

tive

and

sel

fish

rol

e-pl

ayed

by

oil

deve

lopm

ent

in O

goni

land

, cl

osel

y ti

ed w

ith

repr

essi

ve t

actic

s of

the

Nig

eria

n G

over

nmen

t, an

d th

e la

ck o

f m

ater

ial

bene

fits

acc

ruin

g to

the

loca

l pop

ulat

ion,

may

wel

l be

said

to c

onst

itute

a v

iola

tion

of A

rtic

le 2

1.

Art

icle

21

prov

ides

1. A

ll pe

ople

s sh

all f

reel

y di

spos

e of

thei

r w

ealth

and

nat

ural

res

ourc

es.

Thi

s ri

ght

shal

l be

exe

rcis

ed i

n th

e ex

clus

ive

inte

rest

of

the

peop

le.

In

no c

ase

shal

l a p

eopl

e be

dep

rive

d of

it.

2. I

n ca

se o

f sp

olia

tion

the

disp

osse

ssed

peo

ple

shal

l ha

ve t

he r

ight

to

the

law

ful

reco

very

of

its

pr

oper

ty

as

wel

l as

to

an

ad

equa

te

com

pens

atio

n.

3. T

he f

ree

disp

osal

of

wea

lth a

nd n

atur

al r

esou

rces

sha

ll be

exe

rcis

ed

wit

hout

pr

ejud

ice

to

the

obli

gati

on

of

prom

otin

g in

tern

atio

nal

econ

omic

co-

oper

atio

n ba

sed

on m

utua

l re

spec

t, eq

uita

ble

exch

ange

an

d th

e pr

inci

ples

of

inte

rnat

iona

l law

.

4.

Stat

es

part

ies

to

the

pres

ent

Cha

rter

sh

all

indi

vidu

ally

an

d co

llect

ivel

y ex

erci

se t

he r

ight

to

free

dis

posa

l of

the

ir w

ealth

and

na

tura

l re

sour

ces

with

a

view

to

st

reng

then

ing

Afr

ican

un

ity

and

solid

arity

.

5. S

tate

s Pa

rtie

s to

the

pre

sent

Cha

rter

sha

ll un

dert

ake

to e

limin

ate

all

form

s of

for

eign

eco

nom

ic e

xplo

itat

ion

part

icul

arly

tha

t pr

actis

ed b

y in

tern

atio

nal

mon

opol

ies

so a

s to

ena

ble

thei

r pe

ople

s to

ful

ly b

enef

it fr

om th

e ad

vant

ages

der

ived

fro

m th

eir

natio

nal r

esou

rces

.

56.

The

ori

gin

of t

his

prov

isio

n m

ay b

e tr

aced

to

colo

nial

ism

, du

ring

whi

ch t

he h

uman

and

mat

eria

l re

sour

ces

of A

fric

a w

ere

larg

ely

expl

oite

d fo

r th

e be

nefi

t of

out

side

pow

ers,

cre

atin

g

trag

edy

for

Afr

ican

s th

emse

lves

, dep

rivi

ng th

em o

f th

eir

birt

hrig

ht a

nd a

lien

atin

g th

em f

rom

the

land

. The

aft

erm

ath

of c

olon

ial

expl

oita

tion

has

left

Afr

ica'

s pr

ecio

us r

esou

rces

and

peo

ple

still

vuln

erab

le t

o fo

reig

n m

isap

prop

riat

ion.

The

dra

fter

s of

the

Cha

rter

obv

ious

ly w

ante

d to

rem

ind

Afr

ican

go

vern

men

ts

of

the

cont

inen

t's

pain

ful

lega

cy

and

rest

ore

co-o

pera

tive

econ

omic

deve

lopm

ent t

o its

trad

ition

al p

lace

at t

he h

eart

of

Afr

ican

Soc

iety

.

57.

Gov

ernm

ents

hav

e a

duty

to

prot

ect

thei

r ci

tize

ns,

not

only

thr

ough

app

ropr

iate

leg

isla

tion

and

effe

ctiv

e en

forc

emen

t bu

t al

so b

y pr

otec

ting

the

m f

rom

dam

agin

g ac

ts t

hat

may

be

perp

etra

ted

by p

riva

te p

artie

s (S

ee U

nion

des

Jeu

nes

Avo

cats

/C

had)

. T

his

duty

cal

ls f

or

posi

tive

ac

tion

on

pa

rt

of

gove

rnm

ents

in

fu

lfil

ling

thei

r ob

ligat

ion

unde

r hu

man

ri

ghts

inst

rum

ents

. T

he p

ract

ice

befo

re o

ther

tri

buna

ls a

lso

enha

nces

thi

s re

quir

emen

t as

is

evid

ence

d

in t

he c

ase

Vel

àsqu

ez R

odrí

guez

v.

Hon

dura

s. I

n th

is l

andm

ark

judg

men

t, th

e In

ter-

Am

eric

an

Cou

rt o

f H

uman

Rig

hts

held

that

whe

n a

Stat

e al

low

s pr

ivat

e pe

rson

s or

gro

ups

to a

ct f

reel

y an

d

with

im

puni

ty t

o th

e de

trim

ent

of t

he r

ight

s re

cogn

ised

, it

wou

ld b

e in

cle

ar v

iola

tion

of

its

Page

14

of 4

0

oblig

atio

ns t

o pr

otec

t th

e hu

man

rig

hts

of i

ts c

itize

ns.

Sim

ilar

ly,

this

obl

igat

ion

of t

he S

tate

is

furt

her

emph

asis

ed i

n th

e pr

actic

e of

the

Eur

opea

n C

ourt

of

Hum

an R

ight

s, i

n X

and

Y v

.

Net

herl

ands

. In

tha

t ca

se,

the

Cou

rt p

rono

unce

d th

at t

here

was

an

oblig

atio

n on

aut

hori

ties

to

take

ste

ps t

o m

ake

sure

tha

t th

e en

joym

ent

of t

he r

ight

s is

not

int

erfe

red

with

by

any

othe

r

priv

ate

pers

on.

58.

The

Com

mis

sion

not

es t

hat

in t

he p

rese

nt c

ase,

des

pite

its

obl

igat

ion

to p

rote

ct p

erso

ns

agai

nst

inte

rfer

ence

s in

the

enj

oym

ent

of t

heir

rig

hts,

the

Gov

ernm

ent

of N

iger

ia f

acili

tate

d th

e

dest

ruct

ion

of th

e O

goni

land

. Con

trar

y to

its

Cha

rter

obl

igat

ions

and

des

pite

suc

h in

tern

atio

nally

esta

blis

hed

prin

cipl

es, t

he N

iger

ian

Gov

ernm

ent

has

give

n th

e gr

een

light

to

priv

ate

acto

rs, a

nd

the

oil

Com

pani

es i

n pa

rtic

ular

, to

dev

asta

tingl

y af

fect

the

wel

l-be

ing

of t

he O

goni

s. B

y an

y

mea

sure

of

stan

dard

s, i

ts p

ract

ice

falls

sho

rt o

f th

e m

inim

um c

ondu

ct e

xpec

ted

of g

over

nmen

ts,

and

ther

efor

e, is

in v

iola

tion

of A

rtic

le 2

1 of

the

Afr

ican

Cha

rter

[…]

68.

The

uni

quen

ess

of t

he A

fric

an s

itua

tion

and

the

spe

cial

qua

litie

s of

the

Afr

ican

Cha

rter

on

Hum

an

and

Peop

les'

R

ight

s im

pose

s up

on

the

Afr

ican

C

omm

issi

on

an

impo

rtan

t ta

sk.

Inte

rnat

iona

l la

w a

nd h

uman

rig

hts

mus

t be

res

pons

ive

to A

fric

an c

ircu

mst

ance

s. C

lear

ly,

colle

ctiv

e ri

ghts

, env

iron

men

tal

righ

ts, a

nd e

cono

mic

and

soc

ial

righ

ts a

re e

ssen

tial

elem

ents

of

hum

an r

ight

s in

Afr

ica.

The

Afr

ican

Com

mis

sion

will

app

ly a

ny o

f th

e di

vers

e ri

ghts

con

tain

ed

in t

he A

fric

an C

hart

er.

It w

elco

mes

thi

s op

port

unit

y to

mak

e cl

ear

that

the

re i

s no

rig

ht i

n th

e

Afr

ican

Cha

rter

tha

t ca

nnot

be

mad

e ef

fect

ive.

As

indi

cate

d in

the

pre

cedi

ng p

arag

raph

s,

how

ever

, the

Nig

eria

n G

over

nmen

t di

d no

t liv

e up

to

the

min

imum

exp

ecta

tions

of

the

Afr

ican

Cha

rter

.

69.

The

Com

mis

sion

doe

s no

t w

ish

to f

ault

gov

ernm

ents

tha

t ar

e la

bour

ing

unde

r di

ffic

ult

circ

umst

ance

s to

im

prov

e th

e liv

es o

f th

eir

peop

le.

The

sit

uati

on o

f th

e pe

ople

of

Ogo

nila

nd,

how

ever

, re

quir

es,

in t

he v

iew

of

the

Com

mis

sion

, a

reco

nsid

erat

ion

of t

he G

over

nmen

t’s

attit

ude

to

the

alle

gatio

ns

cont

aine

d in

th

e in

stan

t co

mm

unic

atio

n.

The

in

terv

entio

n of

mul

tinat

iona

l co

rpor

atio

ns m

ay b

e a

pote

ntia

lly p

ositi

ve f

orce

for

dev

elop

men

t if

the

Sta

te a

nd

the

peop

le c

once

rned

are

eve

r m

indf

ul o

f th

e co

mm

on g

ood

and

the

sacr

ed r

ight

s of

ind

ivid

uals

and

com

mun

ities

. T

he C

omm

issi

on h

owev

er t

akes

not

e of

the

eff

orts

of

the

pres

ent

civi

lian

adm

inis

trat

ion

to

redr

ess

the

atro

citie

s th

at

wer

e co

mm

itted

by

th

e pr

evio

us

mili

tary

adm

inis

trat

ion

as il

lust

rate

d in

the

Not

e V

erba

le r

efer

red

to in

par

agra

ph 3

0 of

this

dec

isio

n

For

the

abo

ve r

easo

ns, t

he C

omm

issi

on,

[…]

App

eals

to

the

gove

rnm

ent

of t

he F

eder

al R

epub

lic o

f N

iger

ia t

o en

sure

pro

tect

ion

of t

he

envi

ronm

ent,

heal

th a

nd li

veli

hood

of

the

peop

le o

f O

goni

land

by:

[…

]

- E

nsur

ing

that

app

ropr

iate

env

iron

men

tal

and

soci

al i

mpa

ct a

sses

smen

ts a

re p

repa

red

for

any

futu

re o

il de

velo

pmen

t an

d th

at t

he s

afe

oper

atio

n of

any

fur

ther

oil

deve

lopm

ent

is g

uara

ntee

d

thro

ugh

effe

ctiv

e an

d in

depe

nden

t ove

rsig

ht b

odie

s fo

r th

e pe

trol

eum

indu

stry

; and

- Pr

ovid

ing

info

rmat

ion

on h

ealt

h an

d en

viro

nmen

tal

risk

s an

d m

eani

ngfu

l ac

cess

to

regu

lato

ry

and

deci

sion

-mak

ing

bodi

es to

com

mun

ities

like

ly to

be

affe

cted

by

oil o

pera

tions

.

Page

15

of 4

0

Arb

itrat

ion

Reg

ardi

ng

the

Iron

R

hine

("

Ijze

ren

Rijn

")

Rai

lway

(B

elgi

um

v N

ethe

rlan

ds),

Aw

ard

of t

he P

erm

anen

t C

ourt

of

Arb

itra

tion

ad

hoc

Arb

itra

l T

ribu

nal,

24 M

ay 2

005

(par

as 5

8-59

and

221

-223

)

58. I

t is

to

be r

ecal

led

that

Art

icle

31,

par

agra

ph 3

, sub

para

grap

h (c

) of

the

Vie

nna

Con

vent

ion

on t

he L

aw o

f T

reat

ies

mak

es r

efer

ence

to

"any

rel

evan

t ru

les

of i

nter

natio

nal

law

app

licab

le i

n

the

rela

tions

bet

wee

n th

e pa

rtie

s."

For

this

rea

son

– as

wel

l as

for

rea

sons

rel

atin

g to

its

ow

n

juri

sdic

tion

-

the

Tri

buna

l ha

s ex

amin

ed

any

prov

isio

ns

of

Eur

opea

n la

w

that

m

ight

be

cons

ider

ed o

f po

ssib

le r

elev

ance

in

this

cas

e (s

ee C

hapt

er I

II b

elow

). P

rovi

sion

s of

gen

eral

inte

rnat

iona

l la

w a

re a

lso

appl

icab

le t

o th

e re

lati

ons

betw

een

the

Part

ies,

and

thu

s sh

ould

be

take

n in

to a

ccou

nt in

inte

rpre

ting

Art

icle

XII

of

the

1839

Tre

aty

of S

epar

atio

n an

d A

rtic

le I

V o

f

the

Iron

Rhi

ne T

reat

y. F

urth

er,

inte

rnat

iona

l en

viro

nmen

tal

law

has

rel

evan

ce t

o th

e re

latio

ns

betw

een

the

Part

ies.

The

re i

s co

nsid

erab

le d

ebat

e as

to

wha

t, w

ithi

n th

e fi

eld

of e

nvir

onm

enta

l

law

, co

nstit

utes

"ru

les"

or

"pri

ncip

les"

; w

hat

is "

soft

law

"; a

nd w

hich

env

iron

men

tal

trea

ty l

aw

or p

rinc

iple

s ha

ve c

ontr

ibut

ed t

o th

e de

velo

pmen

t of

cus

tom

ary

inte

rnat

iona

l la

w.

With

out

ente

ring

fur

ther

int

o th

ose

cont

rove

rsie

s, t

he T

ribu

nal

note

s th

at i

n al

l of

the

se c

ateg

orie

s

"env

iron

men

t" i

s br

oadl

y re

ferr

ed t

o as

inc

ludi

ng a

ir,

wat

er,

land

, fl

ora

and

faun

a, n

atur

al

ecos

yste

ms

and

site

s, h

uman

hea

lth a

nd s

afet

y, a

nd c

limat

e. T

he e

mer

ging

pri

ncip

les,

wha

teve

r

thei

r cu

rren

t st

atus

, m

ake

refe

renc

e to

con

serv

atio

n, m

anag

emen

t, no

tion

s of

pre

vent

ion

and

of

sust

aina

ble

deve

lopm

ent,

and

prot

ectio

n fo

r fu

ture

gen

erat

ions

.

59.

Sinc

e th

e St

ockh

olm

Con

fere

nce

on t

he E

nvir

onm

ent

in 1

972

ther

e ha

s be

en a

mar

ked

deve

lopm

ent

of i

nter

natio

nal

law

rel

atin

g to

the

pro

tect

ion

of t

he e

nvir

onm

ent.

Tod

ay,

both

inte

rnat

iona

l an

d E

C l

aw r

equi

re t

he i

nteg

ratio

n of

app

ropr

iate

env

iron

men

tal

mea

sure

s in

the

desi

gn

and

impl

emen

tati

on

of

econ

omic

de

velo

pmen

t ac

tivi

ties

. Pr

inci

ple

4 of

th

e R

io

Dec

lara

tion

on

Env

iron

men

t an

d D

evel

opm

ent,

adop

ted

in 1

992

(31

I.L

.M.

p. 8

74,

at p

. 87

7),

whi

ch r

efle

cts

this

tren

d, p

rovi

des

that

"en

viro

nmen

tal p

rote

ctio

n sh

all c

onst

itute

an

inte

gral

par

t

of t

he d

evel

opm

ent

proc

ess

and

cann

ot b

e co

nsid

ered

in

isol

atio

n fr

om i

t." I

mpo

rtan

tly,

thes

e

emer

ging

pri

ncip

les

now

int

egra

te e

nvir

onm

enta

l pr

otec

tion

into

the

dev

elop

men

t pr

oces

s.

Env

iron

men

tal

law

and

the

law

on

deve

lopm

ent

stan

d no

t as

alte

rnat

ives

but

as

mut

ually

rein

forc

ing,

int

egra

l co

ncep

ts,

whi

ch r

equi

re t

hat

whe

re d

evel

opm

ent

may

cau

se s

igni

fica

nt

harm

to

the

envi

ronm

ent

ther

e is

a d

uty

to p

reve

nt,

or a

t le

ast

miti

gate

, su

ch h

arm

(se

e

para

grap

h 22

2). T

his

duty

, in

the

opin

ion

of th

e T

ribu

nal,

has

now

bec

ome

a pr

inci

ple

of g

ener

al

inte

rnat

iona

l la

w.

Thi

s pr

inci

ple

appl

ies

not

only

in

auto

nom

ous

activ

ities

but

als

o in

act

iviti

es

unde

rtak

en in

impl

emen

tati

on o

f sp

ecif

ic tr

eati

es b

etw

een

the

Part

ies.

The

Tri

buna

l wou

ld r

ecal

l

the

obse

rvat

ion

of t

he I

nter

natio

nal

Cou

rt o

f Ju

stic

e in

the

Gab

cíko

vo-N

agym

aros

cas

e th

at

"[t]

his

need

to

reco

ncil

e ec

onom

ic d

evel

opm

ent

with

pro

tect

ion

of t

he e

nvir

onm

ent

is a

ptly

expr

esse

d in

th

e co

ncep

t of

su

stai

nabl

e de

velo

pmen

t"

(Gab

cíko

vo-N

agym

aros

(Hun

gary

/Slo

vaki

a), J

udgm

ent,

I.C

.J R

epor

ts 1

997,

p. 7

at p

. 78,

par

a. 1

40).

And

in th

at c

onte

xt

the

Cou

rt f

urth

er c

lari

fied

tha

t "n

ew n

orm

s ha

ve t

o be

tak

en i

nto

cons

ider

atio

n, a

nd .

. .

new

stan

dard

s gi

ven

prop

er w

eigh

t, no

t on

ly w

hen

Stat

es c

onte

mpl

ate

new

act

iviti

es b

ut a

lso

whe

n

cont

inui

ng w

ith

acti

viti

es b

egun

in

the

past

" (I

bid.

). I

n th

e vi

ew o

f th

e T

ribu

nal

this

dic

tum

appl

ies

equa

lly to

the

Iron

Rhi

ne r

ailw

ay.

[…]

Page

16

of 4

0

221.

[…

] A

s th

e T

ribu

nal

has

alre

ady

obse

rved

abo

ve (

see

para

grap

h 59

), e

cono

mic

dev

elop

men

t is

to b

e re

conc

iled

wit

h th

e pr

otec

tion

of

the

envi

ronm

ent,

and,

in

so d

oing

, new

nor

ms

have

to

be

take

n in

to c

onsi

dera

tion,

inc

ludi

ng w

hen

acti

viti

es b

egun

in

the

past

are

now

exp

ande

d an

d

upgr

aded

.

222.

The

use

of

the

Iron

Rhi

ne r

ailw

ay s

tart

ed s

ome

120

year

s ag

o an

d it

is n

ow e

nvis

aged

and

requ

este

d by

Bel

gium

at

a su

bsta

ntia

lly i

ncre

ased

and

int

ensi

fied

lev

el.

Such

new

use

"is

susc

epti

ble

of h

avin

g an

adv

erse

im

pact

on

the

envi

ronm

ent

and

caus

ing

harm

to

it.

Tod

ay,

in

inte

rnat

iona

l en

viro

nmen

tal

law

, a

grow

ing

emph

asis

is

bein

g pu

t on

the

dut

y of

pre

vent

ion.

Muc

h of

int

erna

tiona

l en

viro

nmen

tal

law

has

bee

n fo

rmul

ated

by

refe

renc

e to

the

im

pact

tha

t

activ

ities

in o

ne te

rrito

ry m

ay h

ave

on th

e te

rrito

ry o

f an

othe

r. T

he I

nter

natio

nal C

ourt

of

Just

ice

expr

esse

d th

e vi

ew t

hat

"[t]

he e

xist

ence

of

the

gene

ral

oblig

atio

n of

Sta

tes

to e

nsur

e th

at

activ

ities

wit

hin

thei

r ju

risd

ictio

n an

d co

ntro

l res

pect

the

envi

ronm

ent o

f ot

her

Stat

es o

r of

are

as

beyo

nd

natio

nal

cont

rol

is

now

pa

rt

of

the

corp

us

of

inte

rnat

iona

l la

w

rela

ting

to

the

envi

ronm

ent"

(L

egal

ity

of t

he T

hrea

t or

Use

of

Nuc

lear

Wea

pons

, A

dvis

ory

Opi

nion

, IC

.J.

Rep

orts

199

6(1)

, p. 2

26 a

t pp.

241

-242

, par

a. 2

9).

223.

App

lyin

g th

e pr

inci

ples

of

inte

rnat

iona

l en

viro

nmen

tal

law

, the

Tri

buna

l ob

serv

es t

hat

it is

face

d, in

the

inst

ant c

ase,

not

with

a s

ituat

ion

of a

tran

sbou

ndar

y ef

fect

of

the

econ

omic

act

ivity

in th

e te

rrito

ry o

f on

e st

ate

on th

e te

rrito

ry o

f an

othe

r st

ate,

but

with

the

effe

ct o

f th

e ex

erci

se o

f

a tr

eaty

-gua

rant

eed

righ

t of

one

sta

te i

n th

e te

rrito

ry o

f an

othe

r st

ate

and

a po

ssib

le i

mpa

ct o

f

such

exe

rcis

e on

the

ter

rito

ry o

f th

e la

tter

stat

e. T

he T

ribu

nal

is o

f th

e vi

ew t

hat,

by a

nalo

gy,

whe

re a

sta

te e

xerc

ises

a r

ight

und

er i

nter

nati

onal

law

with

in t

he t

erri

tory

of

anot

her

stat

e,

cons

ider

atio

ns o

f en

viro

nmen

tal

prot

ectio

n al

so a

pply

. T

he e

xerc

ise

of B

elgi

um's

rig

ht o

f

tran

sit,

as i

t ha

s fo

rmul

ated

its

req

uest

, th

us m

ay w

ell

nece

ssit

ate

mea

sure

s by

the

Net

herl

ands

to p

rote

ct th

e en

viro

nmen

t to

whi

ch B

elgi

um w

ill h

ave

to c

ontr

ibut

e as

an

inte

gral

ele

men

t of

its

requ

est.

The

rea

ctiv

atio

n of

the

Iro

n R

hine

rai

lway

can

not

be v

iew

ed i

n is

olat

ion

from

the

envi

ronm

enta

l pr

otec

tion

mea

sure

s ne

cess

itat

ed b

y th

e in

tend

ed u

se o

f th

e ra

ilw

ay l

ine.

The

se

mea

sure

s ar

e to

be

fully

inte

grat

ed in

to th

e pr

ojec

t and

its

cost

s.

Eur

opea

n C

omm

uniti

es –

Mea

sure

s A

ffec

ting

the

App

rova

l and

Mar

ketin

g of

Bio

tech

P

rodu

cts

(DS

291/

292/

293)

, Rep

ort

of a

Pan

el o

f th

e W

orld

Tra

de O

rgan

izat

ion,

29

Sept

embe

r 20

06 (

para

s 7.

65, 7

.67-

7.76

and

7.8

6-7.

96)

[…]

7.

Rel

evan

ce o

f ot

her

rule

s of

int

erna

tion

al l

aw t

o th

e in

terp

reta

tion

of

the

WT

O

agre

emen

ts a

t is

sue

in t

his

disp

ute

(a)

Oth

er a

pplic

able

rul

es o

f in

tern

atio

nal

law

as

an i

nter

pret

ativ

e el

emen

t to

be

take

n

into

acc

ount

tog

ethe

r w

ith

the

"con

text

" (A

rtic

le 3

1(3)

(c)

of t

he V

ienn

a C

onve

ntio

n on

the

Law

of

Tre

atie

s)

(i)

Gen

eral

7.65

Pu

rsua

nt t

o A

rtic

le 3

.2 o

f th

e D

SU,

we

are

to i

nter

pret

the

WT

O a

gree

men

ts "

in

acco

rdan

ce w

ith c

usto

mar

y ru

les

of in

terp

reta

tion

of p

ublic

inte

rnat

iona

l law

". T

hese

cus

tom

ary

rule

s ar

e re

flec

ted,

in p

art,

in A

rtic

le 3

1 of

the

Vie

nna

Con

vent

ion.

Page

17

of 4

0

[…]

7.67

A

rtic

le 3

1(3)

(c)

dire

ctly

spe

aks

to t

he i

ssue

of

the

rele

vanc

e of

oth

er r

ules

of

inte

rnat

iona

l

law

to

the

inte

rpre

tatio

n of

a t

reat

y. I

n co

nsid

erin

g th

e pr

ovis

ions

of

Art

icle

31(

3)(c

), w

e no

te,

initi

ally

, tha

t it r

efer

s to

"ru

les

of in

tern

atio

nal l

aw".

Tex

tual

ly, t

his

refe

renc

e se

ems

suff

icie

ntly

broa

d to

enc

ompa

ss a

ll ge

nera

lly a

ccep

ted

sour

ces

of p

ublic

int

erna

tiona

l la

w, t

hat

is t

o sa

y, (

i)

inte

rnat

iona

l co

nven

tions

(tr

eatie

s),

(ii)

int

erna

tion

al c

usto

m (

cust

omar

y in

tern

atio

nal

law

), a

nd

(iii)

the

reco

gniz

ed g

ener

al p

rinc

iple

s of

law

. In

our

view

, the

re c

an b

e no

dou

bt th

at tr

eatie

s an

d

cust

omar

y ru

les

of i

nter

natio

nal

law

are

"ru

les

of i

nter

nati

onal

law

" w

ithi

n th

e m

eani

ng o

f

Art

icle

31(

3)(c

). W

e th

eref

ore

agre

e w

ith t

he E

urop

ean

Com

mun

ities

tha

t a

trea

ty l

ike

the

Bio

safe

ty P

roto

col

wou

ld q

ualif

y as

a "

rule

of

inte

rnat

iona

l la

w".

Reg

ardi

ng t

he r

ecog

nize

d

gene

ral

prin

cipl

es o

f la

w w

hich

are

app

licab

le i

n in

tern

atio

nal

law

, it

may

not

app

ear

self

-

evid

ent t

hat t

hey

can

be c

onsi

dere

d as

"ru

les

of in

tern

atio

nal l

aw"

with

in th

e m

eani

ng o

f A

rtic

le

31(3

)(c)

. H

owev

er,

the

App

ella

te B

ody

in U

S –

Shri

mp

mad

e it

clea

r th

at p

ursu

ant

to A

rtic

le

31(3

)(c)

gen

eral

pri

ncip

les

of i

nter

natio

nal

law

are

to

be t

aken

int

o ac

coun

t in

the

int

erpr

etat

ion

of W

TO

pro

visi

ons.

As

we

men

tion

furt

her

belo

w,

the

Eur

opea

n C

omm

uniti

es c

onsi

ders

tha

t

the

prin

cipl

e of

pre

caut

ion

is a

"ge

nera

l pr

inci

ple

of i

nter

natio

nal

law

". B

ased

on

the

App

ella

te

Bod

y re

port

on

US

– Sh

rim

p, w

e w

ould

agr

ee t

hat

if t

he p

reca

utio

nary

pri

ncip

le i

s a

gene

ral

prin

cipl

e of

int

erna

tiona

l la

w,

it co

uld

be c

onsi

dere

d a

"rul

e of

int

erna

tiona

l la

w"

with

in t

he

mea

ning

of

Art

icle

31(

3)(c

).

7.68

Fu

rthe

rmor

e, a

nd i

mpo

rtan

tly,

Art

icle

31(

3)(c

) in

dica

tes

that

it

is o

nly

thos

e ru

les

of

inte

rnat

iona

l la

w w

hich

are

"ap

plic

able

in

the

rela

tions

bet

wee

n th

e pa

rtie

s" t

hat

are

to b

e ta

ken

into

acc

ount

in

inte

rpre

ting

a tr

eaty

. T

his

limita

tion

giv

es r

ise

to t

he q

uest

ion

of w

hat

is m

eant

by t

he t

erm

"th

e pa

rtie

s".

In c

onsi

deri

ng t

his

issu

e, w

e no

te t

hat

Art

icle

31(

3)(c

) do

es n

ot r

efer

to "

one

or m

ore

part

ies"

. N

or d

oes

it re

fer

to "

the

part

ies

to a

dis

pute

". W

e fu

rthe

r no

te t

hat

Art

icle

2.1

(g)

of t

he V

ienn

a C

onve

ntio

n de

fine

s th

e m

eani

ng o

f th

e te

rm "

part

y" f

or t

he

purp

oses

of

the

Vie

nna

Con

vent

ion.

Thu

s, "

part

y" m

eans

"a

Stat

e w

hich

has

con

sent

ed t

o be

boun

d by

the

trea

ty a

nd f

or w

hich

the

trea

ty is

in f

orce

". I

t may

be

infe

rred

fro

m t

hese

ele

men

ts

that

the

rul

es o

f in

tern

atio

nal

law

app

licab

le i

n th

e re

latio

ns b

etw

een

"the

par

ties

" ar

e th

e ru

les

of i

nter

natio

nal

law

app

licab

le i

n th

e re

latio

ns b

etw

een

the

Stat

es w

hich

hav

e co

nsen

ted

to b

e

boun

d by

the

tre

aty

whi

ch i

s be

ing

inte

rpre

ted,

and

for

whi

ch t

hat

trea

ty i

s in

for

ce.

Thi

s

unde

rsta

ndin

g of

the

ter

m "

the

part

ies"

lea

ds l

ogic

ally

to

the

view

tha

t th

e ru

les

of i

nter

nati

onal

law

to

be t

aken

int

o ac

coun

t in

int

erpr

etin

g th

e W

TO

agr

eem

ents

at

issu

e in

thi

s di

sput

e ar

e

thos

e w

hich

are

app

licab

le in

the

rela

tions

bet

wee

n th

e W

TO

Mem

bers

.

7.69

It

is

impo

rtan

t to

not

e th

at A

rtic

le 3

1(3)

(c)

man

date

s a

trea

ty i

nter

pret

er t

o ta

ke i

nto

acco

unt

othe

r ru

les

of i

nter

natio

nal

law

("[

t]he

re s

hall

be t

aken

int

o ac

coun

t");

it

does

not

mer

ely

give

a t

reat

y in

terp

rete

r th

e op

tion

of d

oing

so.

It

is t

rue

that

the

obl

igat

ion

is t

o "t

ake

acco

unt"

of

such

rul

es,

and

thus

no

part

icul

ar o

utco

me

is p

resc

ribe

d. H

owev

er,

Art

icle

31(

1)

mak

es c

lear

tha

t a

trea

ty i

s to

be

inte

rpre

ted

"in

good

fai

th".

Thu

s, w

here

con

side

rati

on o

f al

l

othe

r in

terp

reta

tive

elem

ents

se

t ou

t in

A

rtic

le

31

resu

lts

in

mor

e th

an

one

perm

issi

ble

inte

rpre

tatio

n, a

tre

aty

inte

rpre

ter

follo

win

g th

e in

stru

ctio

ns o

f A

rtic

le 3

1(3)

(c)

in g

ood

faith

wou

ld i

n ou

r vi

ew n

eed

to s

ettle

for

tha

t in

terp

reta

tion

whi

ch i

s m

ore

in a

ccor

d w

ith

othe

r

appl

icab

le r

ules

of

inte

rnat

iona

l law

.

Page

18

of 4

0

7.70

Tak

ing

acco

unt o

f th

e fa

ct th

at A

rtic

le 3

1(3)

(c)

man

date

s co

nsid

erat

ion

of o

ther

app

lica

ble

rule

s of

int

erna

tiona

l la

w,

and

that

suc

h co

nsid

erat

ion

may

pro

mpt

a t

reat

y in

terp

rete

r to

ado

pt

one

inte

rpre

tatio

n ra

ther

tha

n an

othe

r, w

e th

ink

it m

akes

sen

se t

o in

terp

ret

Art

icle

31(

3)(c

) as

requ

irin

g co

nsid

erat

ion

of t

hose

rul

es o

f in

tern

atio

nal

law

whi

ch a

re a

pplic

able

in

the

rela

tions

betw

een

all p

artie

s to

the

trea

ty w

hich

is b

eing

inte

rpre

ted.

Req

uiri

ng th

at a

trea

ty b

e in

terp

rete

d

in t

he l

ight

of

othe

r ru

les

of i

nter

natio

nal

law

whi

ch b

ind

the

Stat

es p

artie

s to

the

tre

aty

ensu

res

or e

nhan

ces

the

cons

iste

ncy

of t

he r

ules

of

inte

rnat

iona

l la

w a

pplic

able

to

thes

e St

ates

and

thu

s

cont

ribu

tes

to a

void

ing

conf

licts

bet

wee

n th

e re

leva

nt r

ules

.

7.71

The

E

urop

ean

Com

mun

ities

ap

pear

s to

su

gges

t th

at

we

mus

t in

terp

ret

the

WT

O

agre

emen

ts a

t is

sue

in t

his

disp

ute

in t

he l

ight

of

othe

r ru

les

of i

nter

natio

nal

law

eve

n if

the

se

rule

s ar

e no

t bi

ndin

g on

all

Part

ies

to t

his

disp

ute.

In

addr

essi

ng t

his

argu

men

t, w

e fi

rst

reca

ll

our

view

tha

t A

rtic

le 3

1(3)

(c)

shou

ld b

e in

terp

rete

d to

man

date

con

side

rati

on o

f ru

les

of

inte

rnat

iona

l la

w w

hich

are

app

licab

le i

n th

e re

latio

ns b

etw

een

all

part

ies

to t

he t

reat

y w

hich

is

bein

g in

terp

rete

d. T

he p

arti

es t

o a

disp

ute

over

com

plia

nce

wit

h a

part

icul

ar t

reat

y ar

e, o

f

cour

se, p

artie

s to

that

trea

ty. I

n re

latio

n to

the

pres

ent d

ispu

te it

can

thus

be

said

that

if a

rul

e of

inte

rnat

iona

l la

w i

s no

t ap

plic

able

to

one

of t

he f

our

WT

O M

embe

rs w

hich

are

par

ties

to

the

pres

ent

disp

ute,

th

e ru

le

is

not

appl

icab

le

in

the

rela

tions

be

twee

n al

l W

TO

M

embe

rs.

Acc

ordi

ngly

, ba

sed

on o

ur i

nter

pret

atio

n of

Art

icle

31(

3)(c

), w

e do

not

con

side

r th

at i

n

inte

rpre

ting

the

rele

vant

WT

O a

gree

men

ts w

e ar

e re

quir

ed t

o ta

ke i

nto

acco

unt

othe

r ru

les

of

inte

rnat

iona

l la

w w

hich

are

not

app

licab

le t

o on

e of

the

Par

ties

to t

his

disp

ute.

But

eve

n

inde

pend

ently

of

ou

r ow

n in

terp

reta

tion,

w

e th

ink

Art

icle

31

(3)(

c)

cann

ot

reas

onab

ly

be

inte

rpre

ted

as t

he E

urop

ean

Com

mun

ities

sug

gest

s. I

ndee

d, i

t is

not

app

aren

t w

hy a

sov

erei

gn

Stat

e w

ould

ag

ree

to

a m

anda

tory

ru

le

of

trea

ty

inte

rpre

tati

on

whi

ch

coul

d ha

ve

as

a

cons

eque

nce

that

the

int

erpr

etat

ion

of a

tre

aty

to w

hich

tha

t St

ate

is a

par

ty i

s af

fect

ed b

y ot

her

rule

s of

inte

rnat

iona

l law

whi

ch th

at S

tate

has

dec

ided

not

to a

ccep

t.

7.72

Bef

ore

appl

ying

our

inte

rpre

tati

on o

f A

rtic

le 3

1(3)

(c)

to th

e pr

esen

t cas

e, it

is im

port

ant t

o

note

that

the

pres

ent c

ase

is n

ot o

ne in

whi

ch r

elev

ant r

ules

of

inte

rnat

iona

l law

are

app

licab

le in

the

rela

tions

bet

wee

n al

l par

ties

to th

e di

sput

e, b

ut n

ot b

etw

een

all W

TO

Mem

bers

, and

in w

hich

all

part

ies

to t

he d

ispu

te a

rgue

tha

t a

mul

tilat

eral

WT

O a

gree

men

t sh

ould

be

inte

rpre

ted

in t

he

light

of

thes

e ot

her

rule

s of

inte

rnat

iona

l law

. The

refo

re, w

e ne

ed n

ot, a

nd d

o no

t, ta

ke a

pos

itio

n

on w

heth

er i

n su

ch a

situ

atio

n w

e w

ould

be

entit

led

to t

ake

the

rele

vant

oth

er r

ules

of

inte

rnat

iona

l law

into

acc

ount

.

(ii)

Con

vent

ion

on B

iolo

gica

l Div

ersi

ty a

nd B

iosa

fety

Pro

toco

l

7.73

W

ith

the

fore

goin

g ob

serv

atio

ns i

n m

ind,

we

now

con

side

r w

heth

er t

he m

ultil

ater

al

trea

ties

iden

tifie

d by

th

e E

urop

ean

Com

mun

ities

ar

e "r

elev

ant

rule

s of

in

tern

atio

nal

law

appl

icab

le i

n th

e re

latio

ns b

etw

een

the

part

ies"

. T

he E

urop

ean

Com

mun

ities

has

ide

ntif

ied

two

mul

tilat

eral

trea

ties,

the

Con

vent

ion

on B

iolo

gica

l Div

ersi

ty a

nd th

e B

iosa

fety

Pro

toco

l. W

e fi

rst

addr

ess

the

Con

vent

ion

on B

iolo

gica

l Div

ersi

ty.

7.74

W

e no

te t

hat

like

mos

t ot

her

WT

O M

embe

rs,

Arg

enti

na,

Can

ada

and

the

Eur

opea

n

Com

mun

itie

s ha

ve r

atif

ied

the

Con

vent

ion

on B

iolo

gica

l Div

ersi

ty a

nd a

re th

us p

artie

s to

it. T

he

Uni

ted

Stat

es h

as s

igne

d it

in

1993

, but

has

not

rat

ifie

d it

sin

ce. T

hus,

the

Uni

ted

Stat

es i

s no

t a

part

y to

the

Con

vent

ion

on B

iolo

gica

l D

iver

sity

, and

so

for

the

Uni

ted

Stat

es t

he C

onve

ntio

n is

Page

19

of 4

0

not

in f

orce

. In

oth

er w

ords

, th

e C

onve

ntio

n on

Bio

logi

cal

Div

ersi

ty i

s no

t "a

ppli

cabl

e" i

n th

e

rela

tions

bet

wee

n th

e U

nite

d St

ates

and

all

othe

r W

TO

Mem

bers

. The

mer

e fa

ct t

hat

the

Uni

ted

Stat

es h

as s

igne

d th

e C

onve

ntio

n on

Bio

logi

cal

Div

ersi

ty d

oes

not

mea

n th

at t

he C

onve

ntio

n is

appl

icab

le t

o it.

Nor

doe

s it

mea

n th

at t

he U

nite

d St

ates

will

rat

ify

it, o

r th

at i

t is

und

er a

n

oblig

atio

n to

do

so. W

e ha

ve s

aid

that

if a

rul

e of

inte

rnat

iona

l law

is n

ot a

pplic

able

to o

ne o

f th

e

Part

ies

to

this

di

sput

e,

it is

no

t ap

plic

able

in

th

e re

latio

ns

betw

een

all

WT

O

Mem

bers

.

The

refo

re,

in v

iew

of

the

fact

tha

t th

e U

nite

d St

ates

is

not

a pa

rty

to t

he C

onve

ntio

n on

Bio

logi

cal

Div

ersi

ty,

we

do n

ot a

gree

with

the

Eur

opea

n C

omm

uniti

es t

hat

we

are

requ

ired

to

take

int

o ac

coun

t th

e C

onve

ntio

n on

Bio

logi

cal

Div

ersi

ty i

n in

terp

retin

g th

e m

ultil

ater

al W

TO

agre

emen

ts a

t iss

ue in

this

dis

pute

.

7.75

Tur

ning

to th

e B

iosa

fety

Pro

toco

l, w

e no

te th

at it

ent

ered

into

for

ce o

nly

on 1

1 Se

ptem

ber

2003

, i.e

., af

ter

this

Pan

el w

as e

stab

lish

ed b

y th

e D

SB. A

mon

g th

e W

TO

Mem

bers

par

ties

to th

e

Bio

safe

ty P

roto

col

is t

he E

urop

ean

Com

mun

ities

. A

rgen

tina

and

Can

ada

have

sig

ned

the

Bio

safe

ty P

roto

col,

but

have

not

rat

ifie

d it

sinc

e. H

ence

, th

ey a

re n

ot p

artie

s to

it.

The

Uni

ted

Stat

es h

as n

ot s

igne

d th

e B

iosa

fety

Pro

toco

l. W

hile

thi

s do

es n

ot p

recl

ude

the

Uni

ted

Stat

es

from

rat

ifyi

ng t

he P

roto

col,

the

Uni

ted

Stat

es h

as s

o fa

r no

t do

ne s

o. A

ccor

ding

ly, i

t, to

o, i

s no

t

a pa

rty

to th

e B

iosa

fety

Pro

toco

l. W

e do

not

con

side

r th

at th

e ru

les

of th

e B

iosa

fety

Pro

toco

l can

be d

eem

ed to

be

appl

icab

le to

the

Uni

ted

Stat

es m

erel

y be

caus

e th

e U

nite

d St

ates

par

ticip

ates

in

the

Prot

ocol

's C

lear

ing-

Hou

se M

echa

nism

. It

follo

ws

that

the

Bio

safe

ty P

roto

col

is n

ot i

n fo

rce

for

Arg

entin

a, C

anad

a or

the

Uni

ted

Stat

es. W

e de

duce

fro

m t

his

that

the

Bio

safe

ty P

roto

col

is

not "

appl

icab

le"

in th

e re

latio

ns b

etw

een

thes

e W

TO

Mem

bers

and

all

othe

r W

TO

Mem

bers

. As

we

have

sai

d ab

ove,

in

our

view

, the

mer

e fa

ct t

hat

WT

O M

embe

rs l

ike

Arg

enti

na a

nd C

anad

a

have

sig

ned

the

Bio

safe

ty P

roto

col

does

not

mea

n th

at t

he P

roto

col

is a

pplic

able

to

them

. In

view

of

the

fact

tha

t se

vera

l W

TO

Mem

bers

, inc

ludi

ng t

he C

ompl

aini

ng P

artie

s to

thi

s di

sput

e,

are

not

part

ies

to t

he B

iosa

fety

Pro

toco

l, w

e do

not

agr

ee w

ith t

he E

urop

ean

Com

mun

ities

tha

t

we

are

requ

ired

to ta

ke in

to a

ccou

nt th

e B

iosa

fety

Pro

toco

l in

inte

rpre

ting

the

mul

tila

tera

l WT

O

agre

emen

ts a

t iss

ue in

this

dis

pute

.

(iii

) P

reca

utio

nary

pri

ncip

le

7.76

W

e ha

ve s

tate

d ea

rlie

r th

at, i

n ou

r vi

ew, t

he r

elev

ant

rule

s of

inte

rnat

iona

l law

to

be t

aken

into

acc

ount

incl

ude

gene

ral p

rinc

iple

s of

law

.

[…]

7.86

T

he P

anel

not

es t

he E

urop

ean

Com

mun

itie

s' c

onte

ntio

n th

at t

he p

reca

utio

nary

pri

ncip

le

has

"by

now

" be

com

e a

fully

-fle

dged

and

gen

eral

pri

ncip

le o

f in

tern

atio

nal

law

. T

he E

urop

ean

Com

mun

ities

has

not

exp

lain

ed e

xact

ly w

hat

it m

eans

by

the

term

"ge

nera

l pr

inci

ple

of

inte

rnat

iona

l la

w".

We

note

tha

t th

is t

erm

may

be

unde

rsto

od a

s en

com

pass

ing

eith

er r

ules

of

cust

omar

y la

w o

r th

e re

cogn

ized

gen

eral

pri

ncip

les

of l

aw o

r bo

th. G

iven

thi

s, w

e ar

e pr

epar

ed

to c

onsi

der

whe

ther

the

pre

caut

iona

ry p

rinc

iple

fit

s w

ithin

eith

er o

f th

ese

cate

gori

es.

Thi

s

appr

oach

is c

onsi

sten

t wit

h th

e po

sitio

n ta

ken

by th

e E

urop

ean

Com

mun

ities

in E

C –

Hor

mon

es

whe

re t

he E

urop

ean

Com

mun

itie

s co

nten

ded

on a

ppea

l th

at t

he p

reca

utio

nary

pri

ncip

le w

as a

gene

ral c

usto

mar

y ru

le o

f in

tern

atio

nal l

aw o

r at

leas

t a g

ener

al p

rinc

iple

of

law

.

7.87

In

its

rep

ort

on E

C –

Hor

mon

es,

the

App

ella

te B

ody

had

this

to

say

in r

espo

nse

to t

he

Page

20

of 4

0

afor

emen

tione

d co

nten

tion

by th

e E

urop

ean

Com

mun

ities

:

"The

sta

tus

of t

he p

reca

utio

nary

pri

ncip

le i

n in

tern

atio

nal

law

con

tinu

es t

o be

the

su

bjec

t of

deb

ate

amon

g ac

adem

ics,

law

pra

ctit

ione

rs,

regu

lato

rs a

nd j

udge

s. T

he

prec

autio

nary

pri

ncip

le i

s re

gard

ed b

y so

me

as h

avin

g cr

ysta

llize

d in

to a

gen

eral

pr

inci

ple

of c

usto

mar

y in

tern

atio

nal

envi

ronm

enta

l la

w.

Whe

ther

it

has

been

wid

ely

acce

pted

by

Mem

bers

as

a pr

inci

ple

of g

ener

al o

r cu

stom

ary

inte

rnat

iona

l la

w a

ppea

rs

less

tha

n cl

ear.

We

cons

ider

, ho

wev

er,

that

it

is u

nnec

essa

ry,

and

prob

ably

im

prud

ent,

for

the

App

ella

te B

ody

in t

his

appe

al t

o ta

ke a

pos

itio

n on

thi

s im

port

ant,

but

abst

ract

, qu

estio

n. W

e no

te t

hat

the

Pane

l its

elf

did

not

mak

e an

y de

fini

tive

find

ing

with

reg

ard

to

the

stat

us

of

the

prec

autio

nary

pr

inci

ple

in

inte

rnat

iona

l la

w

and

that

th

e pr

ecau

tiona

ry p

rinc

iple

, at

lea

st o

utsi

de t

he f

ield

of

inte

rnat

iona

l en

viro

nmen

tal

law

, st

ill a

wai

ts a

utho

rita

tive

form

ulat

ion.

It a

ppea

rs t

o us

im

port

ant,

neve

rthe

less

, to

not

e so

me

aspe

cts

of t

he r

elat

ions

hip

of t

he

prec

autio

nary

pri

ncip

le t

o th

e SP

S A

gree

men

t. Fi

rst,

the

prin

cipl

e ha

s no

t be

en w

ritte

n in

to t

he S

PS A

gree

men

t as

a g

roun

d fo

r ju

stif

ying

SPS

mea

sure

s th

at a

re o

ther

wis

e in

cons

iste

nt w

ith t

he o

blig

atio

ns o

f M

embe

rs s

et o

ut i

n pa

rtic

ular

pro

visi

ons

of t

hat

Agr

eem

ent.

Seco

ndl y

, th

e pr

ecau

tiona

ry p

rinc

iple

ind

eed

find

s re

flec

tion

in A

rtic

le 5

.7

of t

he S

PS A

gree

men

t. W

e ag

ree,

at

the

sam

e ti

me,

with

the

Eur

opea

n C

omm

uniti

es,

that

ther

e is

no

need

to a

ssum

e th

at A

rtic

le 5

.7 e

xhau

sts

the

rele

vanc

e of

a p

reca

utio

nary

pr

inci

ple.

It

is r

efle

cted

als

o in

the

six

th p

arag

raph

of

the

prea

mbl

e an

d in

Art

icle

3.3

. T

hese

exp

licit

ly r

ecog

nize

the

righ

t of

Mem

bers

to e

stab

lish

thei

r ow

n ap

prop

riat

e le

vel

of s

anit

ary

prot

ecti

on, w

hich

lev

el m

ay b

e hi

gher

(i.e

., m

ore

caut

ious

) th

an t

hat

impl

ied

in e

xist

ing

inte

rnat

iona

l st

anda

rds,

gui

deli

nes

and

reco

mm

enda

tion

s. T

hird

ly,

a pa

nel

char

ged

with

det

erm

inin

g, f

or in

stan

ce, w

heth

er "

suff

icie

nt s

cien

tific

evi

denc

e" e

xist

s to

w

arra

nt t

he m

aint

enan

ce b

y a

Mem

ber

of a

par

ticul

ar S

PS m

easu

re m

ay, o

f co

urse

, and

sh

ould

, be

ar i

n m

ind

that

res

pons

ible

, re

pres

enta

tive

gove

rnm

ents

com

mon

ly a

ct f

rom

pe

rspe

ctiv

es

of

prud

ence

an

d pr

ecau

tion

w

here

ri

sks

of

irre

vers

ible

, e.

g.

life-

term

inat

ing,

dam

age

to h

uman

hea

lth

are

conc

erne

d. L

astly

, how

ever

, the

pre

caut

iona

ry

prin

cipl

e do

es n

ot, b

y its

elf,

and

with

out a

cle

ar te

xtua

l dir

ectiv

e to

that

eff

ect,

relie

ve a

pa

nel

from

the

dut

y of

app

lyin

g th

e no

rmal

(i.e

. cus

tom

ary

inte

rnat

iona

l la

w)

prin

cipl

es

of tr

eaty

inte

rpre

tatio

n in

rea

ding

the

prov

isio

ns o

f th

e SP

S A

gree

men

t."

7.88

The

App

ella

te B

ody

mad

e th

is s

tate

men

t in

Janu

ary

1998

. It a

ppea

rs to

us

from

the

Part

ies'

argu

men

ts a

nd o

ther

ava

ilabl

e m

ater

ials

tha

t th

e le

gal

deba

te o

ver

whe

ther

the

pre

caut

iona

ry

prin

cipl

e co

nstit

utes

a r

ecog

nize

d pr

inci

ple

of g

ener

al o

r cu

stom

ary

inte

rnat

iona

l la

w i

s st

ill

ongo

ing.

Not

ably

, the

re h

as, t

o da

te, b

een

no a

utho

rita

tive

deci

sion

by

an i

nter

natio

nal

cour

t or

trib

unal

whi

ch r

ecog

nize

s th

e pr

ecau

tiona

ry p

rinc

iple

as

a pr

inci

ple

of g

ener

al o

r cu

stom

ary

inte

rnat

iona

l la

w. I

t is

cor

rect

tha

t pr

ovis

ions

exp

licitl

y or

im

plic

itly

appl

ying

the

pre

caut

iona

ry

prin

cipl

e ha

ve b

een

inco

rpor

ated

int

o nu

mer

ous

inte

rnat

iona

l co

nven

tions

and

dec

lara

tions

,

alth

ough

, fo

r th

e m

ost

part

, th

ey a

re e

nvir

onm

enta

l co

nven

tions

and

dec

lara

tion

s. A

lso,

the

prin

cipl

e ha

s be

en r

efer

red

to a

nd a

pplie

d by

Sta

tes

at t

he d

omes

tic l

evel

, ag

ain

mos

tly i

n

dom

esti

c en

viro

nmen

tal

law

. O

n th

e ot

her

hand

, th

ere

rem

ain

ques

tions

reg

ardi

ng t

he p

reci

se

defi

nitio

n an

d co

nten

t of

the

pre

caut

iona

ry p

rinc

iple

. Fi

nally

, re

gard

ing

doct

rine

, w

e no

te t

hat

man

y au

thor

s ha

ve e

xpre

ssed

the

vie

w t

hat

the

prec

autio

nary

pri

ncip

le e

xist

s as

a g

ener

al

prin

cipl

e in

inte

rnat

iona

l la

w. A

t th

e sa

me

time,

as

alre

ady

note

d by

the

App

ella

te B

ody,

oth

ers

have

exp

ress

ed s

cept

icis

m a

nd c

onsi

der

that

the

pre

caut

iona

ry p

rinc

iple

has

not

yet

att

aine

d th

e

stat

us o

f a

gene

ral p

rinc

iple

in in

tern

atio

nal l

aw.

7.89

Si

nce

the

lega

l st

atus

of

the

prec

autio

nary

pri

ncip

le r

emai

ns u

nset

tled,

lik

e th

e A

ppel

late

Bod

y be

fore

us,

we

cons

ider

that

pru

denc

e su

gges

ts t

hat w

e no

t atte

mpt

to r

esol

ve th

is c

ompl

ex

issu

e, p

artic

ular

ly i

f it

is n

ot n

eces

sary

to

do s

o. O

ur a

naly

sis

belo

w m

akes

cle

ar t

hat

for

the

Page

21

of 4

0

purp

oses

of

disp

osin

g of

the

leg

al c

laim

s be

fore

us,

we

need

not

tak

e a

posi

tion

on

whe

ther

or

not

the

prec

autio

nary

pri

ncip

le i

s a

reco

gniz

ed p

rinc

iple

of

gene

ral

or c

usto

mar

y in

tern

atio

nal

law

. The

refo

re, w

e re

frai

n fr

om e

xpre

ssin

g a

view

on

this

issu

e.

(b)

Oth

er r

ules

of

inte

rnat

iona

l law

as

evid

ence

of

the

ordi

nary

mea

ning

of

term

s us

ed in

a

trea

ty

7.90

Up

to

this

po

int,

we

have

ex

amin

ed

whe

ther

th

ere

are

othe

r ap

plic

able

ru

les

of

inte

rnat

iona

l law

whi

ch w

e ar

e re

quir

ed to

take

into

acc

ount

, in

acco

rdan

ce w

ith

Art

icle

31(

3)(c

)

of t

he V

ienn

a C

onve

ntio

n, in

int

erpr

etin

g th

e W

TO

agr

eem

ents

at

issu

e in

thi

s di

sput

e. W

e no

w

turn

to

exam

ine

whe

ther

oth

er r

ules

of

inte

rnat

iona

l la

w c

ould

be

cons

ider

ed b

y us

in

the

inte

rpre

tatio

n of

the

WT

O a

gree

men

ts a

t is

sue

even

if

thes

e ru

les

are

not

appl

icab

le i

n th

e

rela

tion

s be

twee

n th

e W

TO

Mem

bers

and

thu

s do

not

fal

l w

ithin

the

cat

egor

y of

rul

es w

hich

is

at is

sue

in A

rtic

le 3

1(3)

(c).

7.91

T

he E

urop

ean

Com

mun

itie

s no

tes

in t

his

rega

rd t

hat

in U

S –

Shri

mp

the

App

ella

te B

ody

inte

rpre

ted

WT

O r

ules

by

refe

renc

e to

tre

atie

s w

hich

wer

e no

t bi

ndin

g on

all

par

ties

to

the

proc

eedi

ngs.

Mor

e sp

ecif

ical

ly,

the

Eur

opea

n C

omm

uniti

es p

oint

s ou

t th

at t

he A

ppel

late

Bod

y

in th

at c

ase

invo

ked

trea

ties

in s

uppo

rt o

f ar

gum

ents

mad

e by

the

Uni

ted

Stat

es, e

ven

thou

gh th

e

Uni

ted

Stat

es h

ad e

ithe

r no

t si

gned

or

not

ratif

ied

thes

e tr

eatie

s. T

he E

urop

ean

Com

mun

itie

s

note

s th

at o

ne s

uch

trea

ty w

as th

e C

onve

ntio

n on

Bio

logi

cal D

iver

sity

.

7.92

T

he P

anel

rec

alls

tha

t pu

rsua

nt t

o A

rtic

le 3

1(1)

of

the

Vie

nna

Con

vent

ion,

the

ter

ms

of a

trea

ty m

ust

be i

nter

pret

ed i

n ac

cord

ance

with

the

"or

dina

ry m

eani

ng"

to b

e gi

ven

to t

hese

ter

ms

in t

heir

con

text

and

in

the

light

of

its o

bjec

t an

d pu

rpos

e. T

he o

rdin

ary

mea

ning

of

trea

ty t

erm

s

is o

ften

det

erm

ined

on

the

basi

s of

dic

tiona

ries

. We

thin

k th

at, i

n ad

ditio

n to

dic

tion

arie

s, o

ther

rele

vant

rul

es o

f in

tern

atio

nal

law

may

in

som

e ca

ses

aid

a tr

eaty

int

erpr

eter

in

esta

blis

hing

, or

conf

irm

ing,

the

ord

inar

y m

eani

ng o

f tr

eaty

ter

ms

in t

he s

peci

fic

cont

ext

in w

hich

the

y ar

e us

ed.

Such

rul

es w

ould

not

be

cons

ider

ed b

ecau

se t

hey

are

lega

l ru

les,

but

rat

her

beca

use

they

may

prov

ide

evid

ence

of

the

ordi

nary

mea

ning

of

term

s in

the

sam

e w

ay t

hat

dict

iona

ries

do.

The

y

wou

ld b

e co

nsid

ered

for

the

ir i

nfor

mat

ive

char

acte

r. I

t fo

llow

s th

at w

hen

a tr

eaty

int

erpr

eter

does

not

con

side

r an

othe

r ru

le o

f in

tern

atio

nal

law

to

be i

nfor

mat

ive,

he

or s

he n

eed

not

rely

on

it.

7.93

In

the

light

of

the

fore

goin

g, w

e co

nsid

er th

at a

pan

el m

ay c

onsi

der

othe

r re

leva

nt r

ules

of

inte

rnat

iona

l la

w w

hen

inte

rpre

ting

the

term

s of

WT

O a

gree

men

ts i

f it

deem

s su

ch r

ules

to

be

info

rmat

ive.

B

ut

a pa

nel

need

no

t ne

cess

arily

re

ly

on

othe

r ru

les

of

inte

rnat

iona

l la

w,

part

icul

arly

if

it co

nsid

ers

that

the

ord

inar

y m

eani

ng o

f th

e te

rms

of W

TO

agr

eem

ents

may

be

asce

rtai

ned

by r

efer

ence

to o

ther

ele

men

ts.

7.94

T

his

appr

oach

is

cons

iste

nt w

ith t

he A

ppel

late

Bod

y's

appr

oach

in

US

– Sh

rim

p, a

s w

e

unde

rsta

nd i

t. In

tha

t ca

se,

the

App

ella

te B

ody

had

to i

nter

pret

the

ter

m "

exha

usti

ble

natu

ral

reso

urce

s" in

Art

icle

XX

(g)

of th

e G

AT

T 1

994.

The

App

ella

te B

ody

foun

d th

at th

is te

rm w

as b

y

defi

niti

on e

volu

tion

ary

and

ther

efor

e fo

und

it "

pert

inen

t to

not

e th

at m

oder

n in

tern

atio

nal

conv

entio

ns a

nd d

ecla

ratio

ns m

ake

freq

uent

ref

eren

ces

to n

atur

al r

esou

rces

as

embr

acin

g bo

th

livi

ng a

nd n

on-l

ivin

g re

sour

ces"

. T

hus,

as

we

unde

rsta

nd i

t, th

e A

ppel

late

Bod

y dr

ew o

n ot

her

rule

s of

int

erna

tiona

l la

w b

ecau

se i

t co

nsid

ered

tha

t th

ey w

ere

info

rmat

ive

and

aide

d it

in

Page

22

of 4

0

esta

blis

hing

the

mea

ning

and

sco

pe o

f th

e te

rm "

exha

ustib

le n

atur

al r

esou

rces

". T

he E

urop

ean

Com

mun

ities

cor

rect

ly p

oint

s ou

t th

at t

he A

ppel

late

Bod

y re

ferr

ed t

o co

nven

tions

whi

ch w

ere

not a

pplic

able

to a

ll di

sput

ing

part

ies.

How

ever

, the

mer

e fa

ct th

at o

ne o

r m

ore

disp

utin

g pa

rtie

s

are

not p

artie

s to

a c

onve

ntio

n do

es n

ot n

eces

sari

ly m

ean

that

a c

onve

ntio

n ca

nnot

she

d li

ght o

n

the

mea

ning

and

sco

pe o

f a

trea

ty te

rm to

be

inte

rpre

ted.

7.95

In

the

pre

sent

cas

e, i

n re

spon

se t

o a

ques

tion

from

the

Pan

el,

the

Eur

opea

n C

omm

uniti

es

has

iden

tifie

d a

num

ber

of p

rovi

sion

s of

the

Con

vent

ion

on B

iolo

gica

l D

iver

sity

and

of

the

Bio

safe

ty P

roto

col

whi

ch i

t co

nsid

ers

mus

t be

tak

en i

nto

acco

unt

by t

he P

anel

. T

he E

urop

ean

Co m

mun

ities

has

not

exp

lain

ed h

ow t

hese

pro

visi

ons

are

rele

vant

to

the

inte

rpre

tatio

n of

the

WT

O a

gree

men

ts a

t is

sue

in t

his

disp

ute.

We

have

car

eful

ly c

onsi

dere

d th

e pr

ovis

ions

ref

erre

d

to

by

the

Eur

opea

n C

omm

uniti

es.

Ulti

mat

ely,

ho

wev

er,

we

did

not

find

it

nece

ssar

y or

appr

opri

ate

to r

ely

on th

ese

part

icul

ar p

rovi

sion

s in

inte

rpre

ting

the

WT

O a

gree

men

ts a

t iss

ue in

this

dis

pute

.

7.96

Fu

rthe

rmor

e, w

e re

call

that

aft

er c

onsu

lting

the

Par

ties,

we

have

req

uest

ed s

ever

al

inte

rnat

iona

l org

aniz

atio

ns (

Cod

ex, F

AO

, the

IPP

C S

ecre

tari

at, W

HO

, OIE

, the

CB

D S

ecre

tari

at

and

UN

EP)

to id

entif

y m

ater

ials

(re

fere

nce

wor

ks, g

loss

arie

s, o

ffic

ial d

ocum

ents

of

the

rele

vant

inte

rnat

iona

l org

aniz

atio

ns, i

nclu

ding

con

vent

ions

, sta

ndar

ds a

nd g

uide

lines

, etc

.) th

at m

ight

aid

us i

n de

term

inin

g th

e or

dina

ry m

eani

ng o

f ce

rtai

n te

rms

used

in

the

defi

nitio

ns p

rovi

ded

in

Ann

ex A

to

the

SPS

Agr

eem

ent.

The

mat

eria

ls w

e ha

ve o

btai

ned

in t

his

way

hav

e be

en t

aken

into

acc

ount

by

us, a

s ap

prop

riat

e.

Bra

zil

– M

easu

res

affe

ctin

g Im

port

s of

Ret

read

ed T

yres

(D

S 33

2),

Rep

ort

of t

he

App

ella

te B

ody

of t

he W

orld

Tra

de O

rgan

izat

ion,

3 D

ecem

ber

2007

(pa

ras

139-

155

and

178-

183)

139.

W

e be

gin

by r

ecal

ling

that

the

ana

lysi

s of

a m

easu

re u

nder

Art

icle

XX

of

the

GA

TT

1994

is tw

o-tie

red.

Fi

rst,

a pa

nel

mus

t ex

amin

e w

heth

er th

e m

easu

re f

alls

und

er a

t lea

st o

ne o

f

the

ten

exce

ptio

ns l

iste

d un

der

Art

icle

XX

.

Seco

ndly

, th

e qu

estio

n of

whe

ther

the

mea

sure

at

issu

e sa

tisfi

es th

e re

quir

emen

ts o

f th

e ch

apea

u of

Art

icle

XX

mus

t be

cons

ider

ed.

140.

W

e no

te a

t the

out

set t

hat t

he p

artic

ipan

ts d

o no

t dis

pute

that

it is

with

in th

e au

thor

ity o

f

a W

TO

Mem

ber

to s

et th

e pu

blic

hea

lth o

r en

viro

nmen

tal o

bjec

tives

it s

eeks

to a

chie

ve ,

as w

ell

as t

he l

evel

of

prot

ecti

on t

hat

it w

ants

to

obta

in, t

hrou

gh t

he m

easu

re o

r th

e po

licy

it ch

oose

s to

adop

t.

141.

A

rtic

le X

X(b

) of

the

GA

TT

199

4 re

fers

to

mea

sure

s "n

eces

sary

to

prot

ect

hum

an,

anim

al o

r pl

ant

life

or h

ealth

".

The

ter

m "

nece

ssar

y" i

s m

enti

oned

not

onl

y in

Art

icle

XX

(b)

of

the

GA

TT

199

4, b

ut a

lso

in A

rtic

les

XX

(a)

and

XX

(d)

of t

he G

AT

T 1

994,

as

wel

l as

in

Art

icle

XIV

(a),

(b)

, an

d (c

) of

the

GA

TS.

In

Kor

ea –

Var

ious

Mea

sure

s on

Bee

f, th

e A

ppel

late

Bod

y

unde

rsco

red

that

"th

e w

ord

'nec

essa

ry'

is n

ot l

imite

d to

tha

t w

hich

is

'indi

spen

sabl

e'".

T

he

App

ella

te B

ody

adde

d:

Mea

sure

s w

hich

are

ind

ispe

nsab

le o

r of

abs

olut

e ne

cess

ity o

r in

evita

ble

to s

ecur

e co

mpl

ianc

e ce

rtai

nly

fulf

il th

e re

quir

emen

ts o

f A

rtic

le X

X(d

). B

ut o

ther

mea

sure

s, to

o,

may

fal

l w

ithin

the

am

bit

of t

his

exce

ptio

n.

As

used

in

Art

icle

XX

(d),

the

ter

m

"nec

essa

ry"

refe

rs,

in o

ur v

iew

, to

a r

ange

of

degr

ees

of n

eces

sity

. A

t on

e en

d of

thi

s

Page

23

of 4

0

cont

inuu

m

lies

"n

eces

sary

" un

ders

tood

as

"i

ndis

pens

able

";

at

th

e ot

her

end,

is

"n

eces

sary

" ta

ken

to

mea

n as

"m

akin

g a

cont

ribu

tion

to."

We

cons

ider

th

at

a "n

eces

sary

" m

easu

re i

s, i

n th

is c

ontin

uum

, lo

cate

d si

gnif

ican

tly c

lose

r to

the

pol

e of

"i

ndis

pens

able

" th

an

to

the

oppo

site

po

le

of

sim

ply

"mak

ing

a co

ntri

butio

n to

".

(foo

tnot

e om

itte

d)

142.

In

Kor

ea –

Var

ious

Mea

sure

s on

Bee

f, th

e A

ppel

late

Bod

y ex

plai

ned

that

det

erm

inin

g

whe

ther

a m

easu

re is

"ne

cess

ary"

with

in th

e m

eani

ng o

f A

rtic

le X

X(d

):

... i

nvol

ves

in e

very

cas

e a

proc

ess

of w

eigh

ing

and

bala

ncin

g a

seri

es o

f fa

ctor

s w

hich

pr

omin

entl

y in

clud

e th

e co

ntri

buti

on

mad

e by

th

e co

mpl

ianc

e m

easu

re

to

the

enfo

rcem

ent o

f th

e la

w o

r re

gula

tion

at i

ssue

, the

impo

rtan

ce o

f th

e co

mm

on in

tere

sts

or

valu

es p

rote

cted

by

that

law

or

regu

latio

n, a

nd t

he a

ccom

pany

ing

impa

ct o

f th

e la

w o

r re

gula

tion

on

impo

rts

or e

xpor

ts.

143.

In

US

– G

ambl

ing,

the

App

ella

te B

ody

addr

esse

d th

e "n

eces

sity

" te

st i

n th

e co

ntex

t of

Art

icle

XIV

of

the

GA

TS.

T

he A

ppel

late

Bod

y st

ated

tha

t th

e w

eigh

ing

and

bala

ncin

g pr

oces

s

inhe

rent

in

the

nece

ssity

ana

lysi

s "b

egin

s w

ith a

n as

sess

men

t of

the

'rel

ativ

e im

port

ance

' of

the

inte

rest

s or

val

ues

furt

here

d by

the

cha

lleng

ed m

easu

re",

and

als

o in

volv

es a

n as

sess

men

t of

othe

r fa

ctor

s, w

hich

will

usu

ally

inc

lude

"th

e co

ntri

buti

on o

f th

e m

easu

re t

o th

e re

aliz

atio

n of

the

ends

pur

sued

by

it" a

nd "

the

rest

rict

ive

impa

ct o

f th

e m

easu

re o

n in

tern

atio

nal c

omm

erce

".

144.

It

is

agai

nst

this

bac

kgro

und

that

we

mus

t de

term

ine

whe

ther

the

Pan

el e

rred

in

asse

ssin

g th

e co

ntri

butio

n of

the

Impo

rt B

an to

the

real

izat

ion

of th

e ob

ject

ive

purs

ued

by it

, and

in t

he m

anne

r in

whi

ch i

t wei

ghed

thi

s co

ntri

butio

n in

its

anal

ysis

of

the

nece

ssit

y of

the

Impo

rt

Ban

. W

e be

gin

by i

dent

ifyi

ng t

he o

bjec

tive

purs

ued

by t

he I

mpo

rt B

an.

The

Pan

el f

ound

tha

t

the

obje

ctiv

e of

the

Im

port

Ban

is

the

redu

ctio

n of

the

"ex

posu

re t

o th

e ri

sks

to h

uman

, an

imal

or p

lant

lif

e or

hea

lth a

risi

ng f

rom

the

acc

umul

atio

n of

was

te t

yres

" ,

and

note

d th

at "

few

inte

rest

s ar

e m

ore

'vita

l' an

d 'im

port

ant'

than

prot

ecti

ng h

uman

bei

ngs

from

hea

lth

risk

s, a

nd t

hat

prot

ecti

ng t

he e

nvir

onm

ent

is n

o le

ss

impo

rtan

t."

The

Pan

el a

lso

obse

rved

that

"B

razi

l's c

hose

n le

vel o

f pr

otec

tion

is th

e re

duct

ion

of

the

risk

s of

was

te t

yre

accu

mul

atio

n to

the

max

imum

ext

ent

poss

ible

."

Reg

ardi

ng t

he t

rade

rest

rict

iven

ess

of t

he m

easu

re, t

he P

anel

not

ed t

hat

it is

"as

tra

de-r

estr

ictiv

e as

can

be,

as

far

as

retr

eade

d ty

res

from

non

-ME

RC

OSU

R c

ount

ries

are

con

cern

ed, s

ince

it a

ims

to h

alt c

ompl

etel

y

thei

r en

try

into

Bra

zil."

145.

W

e tu

rn t

o th

e m

etho

dolo

gy u

sed

by t

he P

anel

in

anal

yzin

g th

e co

ntri

butio

n of

the

Impo

rt B

an t

o th

e ac

hiev

emen

t of

its

obj

ectiv

e.

Such

a c

ontr

ibut

ion

exis

ts w

hen

ther

e is

a

genu

ine

rela

tions

hip

of e

nds

and

mea

ns b

etw

een

the

obje

ctiv

e pu

rsue

d an

d th

e m

easu

re a

t iss

ue.

The

sel

ectio

n of

a m

etho

dolo

gy t

o as

sess

a m

easu

re's

con

trib

utio

n is

a f

unct

ion

of t

he n

atur

e of

the

risk

, the

obj

ectiv

e pu

rsue

d, a

nd th

e le

vel o

f pr

otec

tion

soug

ht.

It u

ltim

atel

y al

so d

epen

ds o

n

the

natu

re, q

uant

ity, a

nd q

ualit

y of

evi

denc

e ex

istin

g at

the

tim

e th

e an

alys

is i

s m

ade.

B

ecau

se

the

Pane

l, as

the

tri

er o

f th

e fa

cts,

is

in a

pos

ition

to

eval

uate

the

se c

ircu

mst

ance

s, i

t sh

ould

enjo

y a

cert

ain

latit

ude

in d

esig

ning

the

app

ropr

iate

met

hodo

logy

to

use

and

deci

ding

how

to

stru

ctur

e or

org

aniz

e th

e an

alys

is o

f th

e co

ntri

butio

n of

the

mea

sure

at i

ssue

to th

e re

aliz

atio

n of

the

ends

pur

sued

by

it.

Thi

s la

titu

de i

s no

t, ho

wev

er, b

ound

less

. In

deed

, a p

anel

mus

t an

alyz

e

the

cont

ribu

tion

of th

e m

easu

re a

t iss

ue to

the

real

izat

ion

of th

e en

ds p

ursu

ed b

y it

in a

ccor

danc

e

with

the

requ

irem

ents

of

Art

icle

XX

of

the

GA

TT

199

4 an

d A

rtic

le 1

1 of

the

DSU

.

Page

24

of 4

0

146.

W

e no

te t

hat t

he P

anel

cho

se t

o co

nduc

t a q

ualit

ativ

e an

alys

is o

f th

e co

ntri

butio

n of

the

Impo

rt B

an t

o th

e ac

hiev

emen

t of

its

obj

ectiv

e.

In

prev

ious

cas

es, t

he A

ppel

late

Bod

y ha

s no

t

esta

blis

hed

a re

quir

emen

t th

at s

uch

a co

ntri

butio

n be

qua

ntif

ied.

T

o th

e co

ntra

ry,

in

EC

Asb

esto

s, t

he A

ppel

late

Bod

y em

phas

ized

tha

t th

ere

is "

no r

equi

rem

ent

unde

r A

rtic

le X

X(b

) of

the

GA

TT

199

4 to

qua

ntif

y, a

s su

ch, t

he r

isk

to h

uman

life

or

heal

th".

In

oth

er w

ords

, "[a

] ri

sk

may

be

eval

uate

d ei

ther

in

quan

titat

ive

or q

ualit

ativ

e te

rms.

"

Alt

houg

h th

e re

fere

nce

by t

he

App

ella

te B

ody

to t

he q

uant

ific

atio

n of

a r

isk

is n

ot t

he s

ame

as t

he q

uant

ific

atio

n of

the

con

trib

utio

n of

a

mea

sure

to th

e re

aliz

atio

n of

the

obje

ctiv

e pu

rsue

d by

it (

whi

ch c

ould

be,

as

it is

in th

is c

ase,

the

redu

ctio

n of

a r

isk)

, it a

ppea

rs to

us

that

the

sam

e lin

e of

rea

soni

ng a

pplie

s to

the

anal

y sis

of

the

cont

ribu

tion,

whi

ch c

an b

e do

ne e

ithe

r in

qua

ntita

tive

or in

qua

litat

ive

term

s.

147.

A

ccor

ding

ly,

we

do n

ot a

ccep

t th

e E

urop

ean

Com

mun

ities

' co

nten

tion

that

the

Pan

el

was

und

er a

n ob

liga

tion

to

quan

tify

the

con

trib

utio

n of

the

Im

port

Ban

to

the

redu

ctio

n in

the

num

ber

of w

aste

tyr

es a

nd t

o de

term

ine

the

num

ber

of w

aste

tyr

es t

hat

wou

ld b

e re

duce

d as

a

resu

lt of

the

Impo

rt B

an.

In

our

view

, the

Pan

el's

cho

ice

of a

qua

litat

ive

anal

ysis

was

with

in th

e

boun

ds o

f th

e la

titud

e it

enjo

ys in

cho

osin

g a

met

hodo

logy

for

the

anal

ysis

of

the

cont

ribu

tion.

148.

T

he P

anel

ana

lyze

d th

e co

ntri

butio

n of

the

Im

port

Ban

to

the

achi

evem

ent

of i

ts

obje

ctiv

e in

a c

oher

ent

sequ

ence

. I

t ex

amin

ed f

irst

the

im

pact

of

the

repl

acem

ent

of i

mpo

rted

retr

eade

d ty

res

with

new

tyr

es o

n th

e re

duct

ion

of w

aste

. S

econ

dly,

the

Pan

el s

ough

t to

dete

rmin

e w

heth

er i

mpo

rted

ret

read

ed t

yres

wou

ld b

e re

plac

ed w

ith d

omes

tica

lly

retr

eade

d

tyre

s, w

hich

led

it

to e

xam

ine

whe

ther

dom

estic

use

d ty

res

can

be a

nd a

re b

eing

ret

read

ed i

n

Bra

zil.

Thi

rdly

, it

cons

ider

ed w

heth

er t

he r

educ

tion

in t

he n

umbe

r of

was

te t

yres

wou

ld

cont

ribu

te to

a r

educ

tion

of th

e ri

sks

to h

uman

, ani

mal

, and

pla

nt li

fe a

nd h

ealt

h.

149.

T

he P

anel

's a

naly

sis

was

not

onl

y di

rect

ed a

t an

ass

essm

ent

of t

he c

urre

nt s

ituat

ion

and

the

imm

edia

te e

ffec

ts o

f th

e Im

port

Ban

on

the

redu

ctio

n of

the

exp

osur

e to

the

tar

gete

d ri

sks.

The

Pan

el's

app

roac

h al

so f

ocus

ed o

n ev

alua

ting

the

exte

nt t

o w

hich

the

Im

port

Ban

is

likel

y to

resu

lt i

n a

redu

ctio

n of

the

exp

osur

e to

the

se r

isks

.

In t

he c

ours

e of

its

rea

soni

ng,

the

Pane

l

mad

e an

d te

sted

som

e ke

y hy

poth

eses

, in

clud

ing:

th

at i

mpo

rted

ret

read

ed t

yres

are

bei

ng

repl

aced

with

new

tyr

es

and

dom

esti

cally

ret

read

ed t

yres

;

that

som

e pr

opor

tion

of d

omes

tic

used

tyr

es a

re r

etre

adab

le a

nd a

re b

eing

ret

read

ed

; t

hat

Bra

zil

intr

oduc

ed a

num

ber

of

mea

sure

s to

fac

ilita

te t

he a

cces

s of

dom

estic

ret

read

ers

to g

ood-

qual

ity u

sed

tyre

s ;

tha

t m

ore

auto

mot

ive

insp

ectio

ns i

n B

razi

l le

ad t

o an

inc

reas

e in

the

num

ber

of r

etre

adab

le u

sed

tyre

s ;

and

that

Bra

zil

has

the

prod

uctio

n ca

paci

ty t

o re

trea

d su

ch t

yres

.

The

Pan

el s

ough

t to

ver

ify

thes

e hy

poth

eses

on

the

basi

s of

the

evi

denc

e ad

duce

d by

the

par

ties

and

fou

nd t

hem

to

be

logi

cally

sou

nd a

nd s

uppo

rted

by

suff

icie

nt e

vide

nce.

In

the

nex

t Se

ctio

n, w

e w

ill

exam

ine

the

Eur

opea

n C

omm

uniti

es' c

laim

that

the

Pane

l fai

led

to m

ake

an o

bjec

tive

asse

ssm

ent o

f th

e fa

cts

with

res

pect

to th

e ve

rifi

catio

n of

som

e of

thes

e hy

poth

eses

. A

ssum

ing,

for

the

time

bein

g, th

at

the

Pane

l as

sess

ed t

he f

acts

in

acco

rdan

ce w

ith A

rtic

le 1

1 of

the

DSU

, it

appe

ars

to u

s th

at t

he

Pane

l's a

naly

sis

supp

orts

its

con

clus

ion

that

the

Im

port

Ban

is

capa

ble

of m

akin

g a

cont

ribu

tion

and

can

resu

lt in

a r

educ

tion

of e

xpos

ure

to t

he t

arge

ted

risk

s.

We

have

now

to

dete

rmin

e

whe

ther

this

was

suf

fici

ent t

o co

nclu

de th

at th

e Im

port

Ban

is "

nece

ssar

y" w

ithi

n th

e m

eani

ng o

f

Art

icle

XX

(b)

of th

e G

AT

T 1

994.

Page

25

of 4

0

150.

A

s th

e Pa

nel

reco

gniz

ed,

an i

mpo

rt b

an i

s "b

y de

sign

as

trad

e-re

stri

ctiv

e as

can

be"

.

We

agre

e w

ith

the

Pane

l th

at

ther

e m

ay

be

circ

umst

ance

s w

here

su

ch

a m

easu

re

can

neve

rthe

less

be

nece

ssar

y, w

ithin

the

mea

ning

of

Art

icle

XX

(b).

We

also

rec

all t

hat,

in K

orea

Var

ious

Mea

sure

s on

Bee

f, th

e A

ppel

late

Bod

y in

dica

ted

that

"th

e w

ord

'nec

essa

ry'

is n

ot

limit

ed to

that

whi

ch is

'ind

ispe

nsab

le'"

. H

avin

g sa

id th

at, w

hen

a m

easu

re p

rodu

ces

rest

rict

ive

effe

cts

on i

nter

natio

nal

trad

e as

sev

ere

as t

hose

res

ultin

g fr

om a

n im

port

ban

, it

appe

ars

to u

s

that

it

wou

ld b

e di

ffic

ult

for

a pa

nel

to f

ind

that

mea

sure

nec

essa

ry u

nles

s it

is s

atis

fied

tha

t th

e

mea

sure

is

apt

to m

ake

a m

ater

ial

cont

ribu

tion

to

the

achi

evem

ent

of i

ts o

bjec

tive

. T

hus,

we

disa

gree

with

Bra

zil's

sug

gest

ion

that

, bec

ause

it

aim

s to

red

uce

risk

exp

osur

e to

the

max

imum

exte

nt

poss

ible

, an

im

port

ba

n th

at

brin

gs

a m

argi

nal

or

insi

gnif

ican

t co

ntri

butio

n ca

n

neve

rthe

less

be

cons

ider

ed n

eces

sary

.

151.

T

his

does

not

mea

n th

at a

n im

port

ban

, or

ano

ther

tra

de-r

estr

icti

ve m

easu

re,

the

cont

ribu

tion

of w

hich

is

not

imm

edia

tely

obs

erva

ble,

can

not

be j

ustif

ied

unde

r A

rtic

le X

X(b

).

We

reco

gniz

e th

at c

erta

in c

ompl

ex p

ublic

hea

lth o

r en

viro

nmen

tal

prob

lem

s m

ay b

e ta

ckle

d

only

with

a c

ompr

ehen

sive

pol

icy

com

pris

ing

a m

ultip

licity

of

inte

ract

ing

mea

sure

s.

In t

he

shor

t-te

rm,

it m

ay p

rove

dif

ficu

lt to

iso

late

the

con

trib

utio

n to

pub

lic

heal

th o

r en

viro

nmen

tal

obje

ctiv

es o

f on

e sp

ecif

ic m

easu

re f

rom

tho

se a

ttrib

utab

le t

o th

e ot

her

mea

sure

s th

at a

re p

art

of

the

sam

e co

mpr

ehen

sive

pol

icy.

M

oreo

ver,

the

res

ults

obt

aine

d fr

om c

erta

in a

ctio

ns—

for

inst

ance

, mea

sure

s ad

opte

d in

ord

er t

o at

tenu

ate

glob

al w

arm

ing

and

clim

ate

chan

ge, o

r ce

rtai

n

prev

entiv

e ac

tions

to r

educ

e th

e in

cide

nce

of d

isea

ses

that

may

man

ifes

t the

mse

lves

onl

y af

ter

a

cert

ain

peri

od o

f ti

me—

can

only

be

eval

uate

d w

ith

the

bene

fit

of t

ime.

I

n or

der

to j

ustif

y an

impo

rt b

an u

nder

Art

icle

XX

(b),

a p

anel

mus

t be

sat

isfi

ed t

hat

it b

ring

s ab

out

a m

ater

ial

cont

ribu

tion

to t

he a

chie

vem

ent

of i

ts o

bjec

tive.

Su

ch a

dem

onst

rati

on c

an o

f co

urse

be

mad

e

by r

esor

ting

to e

vide

nce

or d

ata,

per

tain

ing

to t

he p

ast

or t

he p

rese

nt,

that

est

ablis

h th

at t

he

impo

rt

ban

at

issu

e m

akes

a

mat

eria

l co

ntri

butio

n to

th

e pr

otec

tion

of

pu

blic

he

alth

or

envi

ronm

enta

l ob

ject

ives

pur

sued

. T

his

is n

ot,

how

ever

, th

e on

ly t

ype

of d

emon

stra

tion

tha

t

coul

d es

tabl

ish

such

a c

ontr

ibut

ion.

T

hus,

a p

anel

mig

ht c

oncl

ude

that

an

impo

rt b

an i

s

nece

ssar

y on

the

bas

is o

f a

dem

onst

ratio

n th

at t

he i

mpo

rt b

an a

t is

sue

is a

pt t

o pr

oduc

e a

mat

eria

l co

ntri

butio

n to

the

ach

ieve

men

t of

its

obj

ecti

ve.

Thi

s de

mon

stra

tion

cou

ld c

onsi

st o

f

quan

titat

ive

proj

ectio

ns i

n th

e fu

ture

, or

qual

itati

ve r

easo

ning

bas

ed o

n a

set

of h

ypot

hese

s th

at

are

test

ed a

nd s

uppo

rted

by

suff

icie

nt e

vide

nce.

152.

W

e ha

ve

now

to

as

sess

w

heth

er

the

qual

itativ

e an

alys

is

prov

ided

by

th

e Pa

nel

esta

blis

hes

that

the

Im

port

Ban

is

apt

to p

rodu

ce a

mat

eria

l co

ntri

butio

n to

the

ach

ieve

men

t of

the

obje

ctiv

e of

red

ucin

g ex

posu

re to

the

risk

s ar

isin

g fr

om th

e ac

cum

ulat

ion

of w

aste

tyre

s.

153.

W

e ob

serv

e, f

irst

, tha

t the

Pan

el a

naly

zed

the

cont

ribu

tion

of

the

Impo

rt B

an a

s in

itia

lly

desi

gned

, w

itho

ut t

akin

g in

to a

ccou

nt t

he i

mpo

rts

of r

emou

lded

tyr

es u

nder

the

ME

RC

OS

UR

exem

ptio

n.

As

we

indi

cate

d ab

ove,

thi

s is

not

the

onl

y po

ssib

le a

ppro

ach.

N

ever

thel

ess,

we

proc

eed

with

our

exa

min

atio

n of

the

Pane

l's r

easo

ning

on

that

bas

is f

or th

e re

ason

s w

e ex

plai

ned

earl

ier.

In

the

lig

ht o

f th

e ev

iden

ce a

dduc

ed b

y th

e pa

rtie

s, t

he P

anel

was

of

the

view

tha

t th

e

Impo

rt B

an w

ould

lea

d to

im

port

ed r

etre

aded

tyr

es b

eing

rep

lace

d w

ith r

etre

aded

tyr

es m

ade

from

loc

al c

asin

gs ,

or

with

new

tyr

es t

hat

are

retr

eada

ble.

A

s co

ncer

ns n

ew t

yres

, th

e Pa

nel

obse

rved

, an

d w

e ag

ree,

tha

t re

trea

ded

tyre

s "h

ave

by d

efin

ition

a s

hort

er l

ifes

pan

than

new

tyre

s" a

nd th

at, a

ccor

ding

ly, t

he

Page

26

of 4

0

Impo

rt B

an "

may

lea

d to

a r

educ

tion

in t

he t

otal

num

ber

of w

aste

tyr

es b

ecau

se i

mpo

rted

retr

eade

d ty

res

may

be

subs

titut

ed f

or b

y ne

w ty

res

whi

ch h

ave

a lo

nger

life

span

."

As

conc

erns

tyre

s re

trea

ded

in B

razi

l fr

om l

ocal

cas

ings

, th

e Pa

nel

was

sat

isfi

ed t

hat

Bra

zil

had

the

prod

uctio

n ca

paci

ty t

o re

trea

d do

mes

tic u

sed

tyre

s a

nd t

hat

"at

leas

t so

me

dom

estic

use

d ty

res

are

bein

g re

trea

ded

in B

razi

l."

The

Pan

el a

lso

agre

ed th

at B

razi

l has

take

n a

seri

es o

f m

easu

res

to f

acili

tate

the

acce

ss o

f do

mes

tic r

etre

ader

s to

goo

d-qu

ality

use

d ty

res

, and

that

new

tyre

s so

ld

in B

razi

l ar

e hi

gh-q

ualit

y ty

res

that

com

ply

with

int

erna

tion

al s

tand

ards

and

hav

e th

e po

tent

ial

to b

e re

trea

ded.

T

he P

anel

's c

oncl

usio

n w

ith w

hich

we

agre

e w

as t

hat,

" if

the

dom

esti

c

retr

eadi

ng in

dust

ry r

etre

ads

mor

e do

mes

tic u

sed

tyre

s, th

e ov

eral

l num

ber

of w

aste

tyre

s w

ill b

e

redu

ced

by g

ivin

g a

seco

nd l

ife

to s

ome

used

tyr

es, w

hich

oth

erw

ise

wou

ld h

ave

beco

me

was

te

imm

edia

tely

aft

er t

heir

fir

st a

nd o

nly

life.

"

For

thes

e re

ason

s, t

he P

anel

fou

nd t

hat

a re

duct

ion

of w

aste

tyr

es w

ould

res

ult

from

the

Im

port

Ban

and

tha

t, th

eref

ore,

the

Im

port

Ban

wou

ld

cont

ribu

te to

red

ucin

g ex

posu

re to

the

risk

s as

soci

ated

with

the

accu

mul

atio

n of

was

te ty

res.

As

the

Pane

l's a

naly

sis

was

qua

litat

ive,

the

Pane

l did

not

see

k to

est

imat

e, in

qua

ntita

tive

term

s, th

e

redu

ctio

n of

was

te t

yres

tha

t w

ould

res

ult

from

the

Im

port

Ban

, or

the

tim

e ho

rizo

n of

suc

h a

redu

ctio

n.

Su

ch

esti

mat

es

wou

ld

have

be

en

very

us

eful

an

d,

undo

ubte

dly,

w

ould

ha

ve

stre

ngth

ened

the

fou

ndat

ion

of t

he P

anel

's f

indi

ngs.

H

avin

g sa

id t

hat,

it do

es n

ot a

ppea

r to

us

erro

neou

s to

con

clud

e, o

n th

e ba

sis

of t

he h

ypot

hese

s m

ade,

tes

ted,

and

acc

epte

d by

the

Pan

el,

that

few

er w

aste

tyre

s w

ill b

e ge

nera

ted

with

the

Impo

rt B

an th

an o

ther

wis

e.

154.

M

oreo

ver,

we

wis

h to

und

ersc

ore

that

the

Im

port

Ban

mus

t be

vie

wed

in

the

broa

der

cont

ext

of t

he c

ompr

ehen

sive

str

ateg

y de

sign

ed a

nd i

mpl

emen

ted

by B

razi

l to

dea

l w

ith

was

te

tyre

s. T

his

com

preh

ensi

ve s

trat

egy

incl

udes

not

onl

y th

e Im

port

Ban

but

als

o th

e im

port

ban

on

used

tyr

es,

as w

ell

as t

he c

olle

ctio

n an

d di

spos

al s

chem

e ad

opte

d by

CO

NA

MA

Res

olut

ion

258/

1999

, as

am

ende

d in

200

2, w

hich

mak

es i

t m

anda

tory

for

dom

estic

man

ufac

ture

rs a

nd

impo

rter

s of

new

tyr

es t

o pr

ovid

e fo

r th

e sa

fe d

ispo

sal

of w

aste

tyr

es i

n sp

ecif

ied

prop

orti

ons.

For

its p

art,

CO

NA

MA

Res

olut

ion

258/

1999

, as

amen

ded

in 2

002,

aim

s to

red

uce

the

expo

sure

to r

isks

ari

sing

fro

m t

he a

ccum

ulat

ion

of w

aste

tyr

es b

y fo

rcin

g m

anuf

actu

rers

and

im

port

ers

of

new

tyr

es t

o co

llect

and

dis

pose

of

was

te t

yres

at

a ra

tio o

f fi

ve w

aste

tyr

es f

or e

very

fou

r ne

w

tyre

s. T

his

mea

sure

als

o en

cour

ages

Bra

zilia

n re

trea

ders

to r

etre

ad m

ore

dom

estic

use

d ty

res

by

exem

ptin

g do

mes

tic

retr

eade

rs f

rom

dis

posa

l obl

igat

ions

as

long

as

they

pro

cess

tyre

s co

nsum

ed

with

in B

razi

l.

Thu

s, t

he C

ON

AM

A s

chem

e pr

ovid

es a

ddit

iona

l su

ppor

t fo

r an

d is

con

sist

ent

wit

h th

e de

sign

of

Bra

zil's

str

ateg

y fo

r re

duci

ng t

he n

umbe

r of

was

te t

yres

. T

he t

wo

mut

ually

enfo

rcin

g pi

llars

of

Bra

zil's

ove

rall

stra

tegy

—th

e Im

port

Ban

and

the

im

port

ban

on

used

tyre

s—im

ply

that

the

dem

and

for

retr

eade

d ty

res

in B

razi

l m

ust

be m

et b

y th

e do

mes

tic

retr

eade

rs,

and

that

the

se r

etre

ader

s, i

n pr

inci

ple,

can

use

onl

y do

mes

tic u

sed

tyre

s fo

r ra

w

mat

eria

l. O

ver

tim

e, th

is c

ompr

ehen

sive

reg

ulat

ory

sche

me

is a

pt to

indu

ce s

usta

inab

le c

hang

es

in th

e pr

acti

ces

and

beha

viou

r of

the

dom

esti

c re

trea

ders

, as

wel

l as

othe

r ac

tors

, and

res

ult i

n an

incr

ease

in

the

num

ber

of r

etre

adab

le t

yres

in

Bra

zil

and

a hi

gher

rat

e of

ret

read

ing

of d

omes

tic

casi

ngs

in B

razi

l. T

hus,

the

Im

port

Ban

app

ears

to

us a

s on

e of

the

key

ele

men

ts o

f th

e

com

preh

ensi

ve s

trat

egy

desi

gned

by

Bra

zil

to d

eal

with

was

te t

yres

, al

ong

with

the

im

port

ban

on u

sed

tyre

s an

d th

e co

llect

ion

and

disp

osal

sch

eme

esta

blis

hed

by C

ON

AM

A R

esol

utio

n

258/

1999

, as

amen

ded

in 2

002.

155.

A

s w

e ex

plai

ned

abov

e, w

e ag

ree

wit

h th

e Pa

nel's

rea

soni

ng s

ugge

stin

g th

at f

ewer

Page

27

of 4

0

was

te t

yres

will

be

gene

rate

d w

ith t

he I

mpo

rt B

an i

n pl

ace.

In

add

ition

, B

razi

l ha

s de

velo

ped

and

impl

emen

ted

a co

mpr

ehen

sive

str

ateg

y to

dea

l w

ith w

aste

tyr

es.

As

a ke

y el

emen

t of

thi

s

stra

tegy

, th

e Im

port

Ban

is

likel

y to

bri

ng a

mat

eria

l co

ntri

buti

on t

o th

e ac

hiev

emen

t of

its

obje

ctiv

e of

red

ucin

g th

e ex

posu

re to

ris

ks a

risi

ng f

rom

the

accu

mul

atio

n of

was

te ty

res.

On

the

basi

s of

the

se c

onsi

dera

tions

, w

e ar

e of

the

vie

w t

hat

the

Pane

l di

d no

t er

r in

fin

ding

tha

t th

e

Impo

rt B

an c

ontr

ibut

es to

the

achi

evem

ent o

f it

s ob

ject

ive.

[…

]

178.

W

e be

gin

our

anal

ysis

by

reca

lling

tha

t, in

ord

er t

o de

term

ine

whe

ther

a m

easu

re i

s

"nec

essa

ry"

with

in t

he m

eani

ng o

f A

rtic

le X

X(b

) of

the

GA

TT

199

4, a

pan

el m

ust

cons

ider

the

rele

vant

fac

tors

, par

ticul

arly

the

im

port

ance

of

the

inte

rest

s or

val

ues

at s

take

, the

ext

ent

of t

he

cont

ribu

tion

to t

he a

chie

vem

ent

of t

he m

easu

re's

obj

ectiv

e, a

nd i

ts t

rade

res

tric

tiven

ess.

If

thi

s

anal

ysis

yie

lds

a pr

elim

inar

y co

nclu

sion

tha

t th

e m

easu

re i

s ne

cess

ary,

thi

s re

sult

mus

t be

conf

irm

ed b

y co

mpa

ring

the

mea

sure

with

pos

sibl

e al

tern

ativ

es,

whi

ch m

ay b

e le

ss t

rade

rest

rict

ive

whi

le p

rovi

ding

an

equi

vale

nt c

ontr

ibut

ion

to t

he a

chie

vem

ent

of t

he o

bjec

tive.

T

his

com

pari

son

shou

ld b

e ca

rrie

d ou

t in

the

lig

ht o

f th

e im

port

ance

of

the

inte

rest

s or

val

ues

at

stak

e.

It is

thro

ugh

this

pro

cess

that

a p

anel

det

erm

ines

whe

ther

a m

easu

re is

nec

essa

ry.

179.

In

thi

s ca

se, t

he P

anel

ide

ntif

ied

the

obje

ctiv

e of

the

Im

port

Ban

as

bein

g th

e re

duct

ion

of th

e ex

posu

re to

ris

ks a

risi

ng f

rom

the

accu

mul

atio

n of

was

te ty

res.

It a

sses

sed

the

impo

rtan

ce

of t

he i

nter

ests

und

erly

ing

this

obj

ectiv

e.

It f

ound

tha

t ri

sks

of d

engu

e fe

ver

and

mal

aria

ari

se

from

the

acc

umul

atio

n of

was

te t

yres

and

tha

t th

e ob

ject

ive

of p

rote

ctin

g hu

man

lif

e an

d he

alth

agai

nst

such

dis

ease

s "i

s bo

th v

ital

and

im

port

ant

in t

he h

ighe

st d

egre

e".

The

Pan

el n

oted

tha

t

the

obje

ctiv

e of

the

Im

port

Ban

als

o re

late

s to

the

pro

tect

ion

of t

he e

nvir

onm

ent,

a va

lue

that

it

cons

ider

ed—

corr

ectly

, in

ou

r vi

ew—

impo

rtan

t.

The

n,

the

Pane

l an

alyz

ed

the

trad

e

rest

rict

iven

ess

of t

he I

mpo

rt B

an a

nd i

ts c

ontr

ibut

ion

to t

he a

chie

vem

ent

of i

ts o

bjec

tive

. I

t

appe

ars

from

the

Pan

el's

rea

soni

ng t

hat

it co

nsid

ered

tha

t, in

the

lig

ht o

f th

e im

port

ance

of

the

inte

rest

s pr

otec

ted

by t

he o

bjec

tive

of t

he I

mpo

rt B

an, t

he c

ontr

ibut

ion

of t

he I

mpo

rt B

an t

o th

e

achi

evem

ent

of i

ts o

bjec

tive

outw

eigh

s its

tra

de r

estr

icti

vene

ss.

Thi

s fi

ndin

g of

the

Pan

el d

oes

not a

ppea

r er

rone

ous

to u

s.

180.

T

he P

anel

then

pro

ceed

ed to

exa

min

e th

e al

tern

ativ

es to

the

Impo

rt B

an p

ropo

sed

by th

e

Eur

opea

n C

omm

uniti

es.

The

Pan

el e

xpla

ined

tha

t so

me

of t

hem

cou

ld n

ot b

e vi

ewed

as

alte

rnat

ives

to th

e Im

port

Ban

bec

ause

they

wer

e co

mpl

emen

tary

to it

and

wer

e al

read

y in

clud

ed

in B

razi

l's c

ompr

ehen

sive

pol

icy.

N

ext,

the

Pane

l co

mpa

red

the

othe

r al

tern

ativ

es p

ropo

sed

by

the

Eur

opea

n C

omm

uniti

es—

land

filli

ng, s

tock

pilin

g, in

cine

ratio

n, a

nd m

ater

ial r

ecyc

ling—

with

the

Impo

rt B

an,

taki

ng i

nto

cons

ider

atio

n th

e sp

ecif

ic r

isks

ass

ocia

ted

with

the

se p

ropo

sed

alte

rnat

ives

. T

he P

anel

con

clud

ed f

rom

thi

s co

mpa

rativ

e as

sess

men

t th

at n

one

of t

he p

ropo

sed

optio

ns w

as a

rea

sona

bly

avai

labl

e al

tern

ativ

e to

the

Impo

rt B

an.

181.

T

he E

urop

ean

Com

mun

itie

s ar

gues

tha

t th

e Pa

nel

faile

d to

mak

e a

prop

er c

olle

ctiv

e

asse

ssm

ent

of a

ll th

e pr

opos

ed a

ltern

ativ

es,

a co

nten

tion

tha

t do

es n

ot s

tand

for

the

fol

low

ing

reas

ons.

Firs

t, th

e Pa

nel

did

refe

r to

its

co

llect

ive

exam

inat

ion

of

thes

e al

tern

ativ

es

in

conc

ludi

ng t

hat

"non

e of

the

se,

eith

er i

ndiv

idua

lly o

r co

llec

tive

ly,

wou

ld b

e su

ch t

hat

the

risk

s

aris

ing

from

was

te t

yres

in

Bra

zil

wou

ld b

e sa

fely

eli

min

ated

, as

is

inte

nded

by

the

curr

ent

impo

rt b

an."

Se

cond

ly,

as n

oted

by

the

Pane

l an

d di

scus

sed

abov

e, s

ome

of t

he p

ropo

sed

Page

28

of 4

0

alte

rnat

ives

are

not

rea

l sub

stitu

tes

for

the

Impo

rt B

an s

ince

they

com

plem

ent e

ach

othe

r as

par

t

of B

razi

l's c

ompr

ehen

sive

pol

icy.

F

inal

ly,

havi

ng f

ound

tha

t ot

her

prop

osed

alte

rnat

ives

wer

e

not

reas

onab

ly a

vaila

ble

or c

arri

ed t

heir

ow

n ri

sks,

the

se a

lter

nati

ves

wou

ld n

ot h

ave

wei

ghed

diff

eren

tly in

a c

olle

ctiv

e as

sess

men

t of

alte

rnat

ives

.

182.

In

sum

, th

e Pa

nel's

con

clus

ion

that

the

Im

port

Ban

is

nece

ssar

y w

as t

he r

esul

t of

a

proc

ess

invo

lvin

g,

firs

t, th

e ex

amin

atio

n of

th

e co

ntri

butio

n of

th

e Im

port

B

an

to

the

achi

evem

ent

of i

ts o

bjec

tive

agai

nst

its t

rade

res

tric

tive

ness

in

the

light

of

the

inte

rest

s at

sta

ke,

and,

sec

ondl

y, t

he c

ompa

riso

n of

the

pos

sibl

e al

tern

ativ

es,

incl

udin

g as

soci

ated

ris

ks,

with

the

Impo

rt B

an.

The

ana

lytic

al p

roce

ss f

ollo

wed

by

the

Pane

l is

con

sist

ent

with

the

app

roac

h

prev

ious

ly d

efin

ed b

y th

e A

ppel

late

Bod

y.

The

wei

ghin

g an

d ba

lanc

ing

is a

hol

istic

ope

ratio

n

that

invo

lves

put

ting

all t

he v

aria

bles

of

the

equa

tion

toge

ther

and

eva

luat

ing

them

in r

elat

ion

to

each

oth

er a

fter

hav

ing

exam

ined

them

indi

vidu

ally

, in

orde

r to

rea

ch a

n ov

eral

l jud

gem

ent.

We

ther

efor

e do

not

sha

re t

he E

urop

ean

Com

mun

ities

' vie

w t

hat

the

Pane

l di

d no

t "a

ctua

lly"

wei

gh

and

bala

nce

the

rele

vant

fac

tors

, o

r th

at t

he P

anel

mad

e a

met

hodo

logi

cal

erro

r in

com

pari

ng

the

alte

rnat

ive

optio

ns p

ropo

sed

by th

e E

urop

ean

Com

mun

ities

wit

h th

e Im

port

Ban

.

183.

In

the

lig

ht o

f al

l th

ese

cons

ider

atio

ns,

we

are

of t

he v

iew

tha

t th

e Pa

nel

did

not

err

in

the

man

ner

it co

nduc

ted

its a

naly

sis

unde

r A

rtic

le X

X(b

) of

the

GA

TT

199

4 as

to

whe

ther

the

Impo

rt B

an w

as "

nece

ssar

y to

pro

tect

hum

an, a

nim

al o

r pl

ant l

ife

or h

ealth

".

C. G

ener

al C

oncl

usio

n on

the

Nec

essi

ty A

naly

sis

unde

r A

rtic

le X

X(b

) of

the

GA

TT

199

4

210.

A

t th

is s

tage

, it

may

be

usef

ul t

o re

capi

tula

te o

ur v

iew

s on

the

iss

ue o

f w

heth

er t

he

Impo

rt B

an i

s ne

cess

ary

with

in t

he m

eani

ng o

f A

rtic

le X

X(b

) of

the

GA

TT

199

4.

Thi

s is

sue

illus

trat

es t

he t

ensi

ons

that

may

exi

st b

etw

een,

on

the

one

hand

, in

tern

atio

nal

trad

e an

d, o

n th

e

othe

r ha

nd,

publ

ic h

ealth

and

env

iron

men

tal

conc

erns

ari

sing

fro

m t

he h

andl

ing

of w

aste

gene

rate

d by

a p

rodu

ct a

t th

e en

d of

its

use

ful

life.

In

thi

s re

spec

t, th

e fu

ndam

enta

l pr

inci

ple

is

the

righ

t th

at W

TO

Mem

bers

hav

e to

det

erm

ine

the

leve

l of

pro

tect

ion

that

the

y co

nsid

er

appr

opri

ate

in a

giv

en c

onte

xt.

Ano

ther

key

ele

men

t of

the

ana

lysi

s of

the

nec

essi

ty o

f a

mea

sure

und

er A

rtic

le X

X(b

) is

the

cont

ribu

tion

it br

ings

to th

e ac

hiev

emen

t of

its

obje

ctiv

e. A

cont

ribu

tion

exis

ts w

hen

ther

e is

a g

enui

ne r

elat

ions

hip

of e

nds

and

mea

ns b

etw

een

the

obje

ctiv

e pu

rsue

d an

d th

e m

easu

re a

t is

sue.

T

o be

cha

ract

eriz

ed a

s ne

cess

ary,

a m

easu

re d

oes

not

have

to

be i

ndis

pens

able

. H

owev

er,

its c

ontr

ibut

ion

to t

he a

chie

vem

ent

of t

he o

bjec

tive

mus

t be

mat

eria

l, no

t m

erel

y m

argi

nal

or i

nsig

nifi

cant

, es

peci

ally

if

the

mea

sure

at

issu

e is

as

trad

e re

stri

ctiv

e as

an

impo

rt b

an.

Thu

s, t

he c

ontr

ibut

ion

of t

he m

easu

re h

as t

o be

wei

ghed

agai

nst

its t

rade

res

tric

tiven

ess,

tak

ing

into

acc

ount

the

im

port

ance

of

the

inte

rest

s or

the

val

ues

unde

rlyi

ng t

he o

bjec

tive

purs

ued

by i

t. A

s a

key

com

pone

nt o

f a

com

preh

ensi

ve p

olic

y ai

min

g

to r

educ

e th

e ri

sks

aris

ing

from

the

accu

mul

atio

n of

was

te ty

res,

the

Impo

rt B

an p

rodu

ces

such

a

mat

eria

l co

ntri

butio

n to

the

rea

lizat

ion

of i

ts o

bjec

tive.

L

ike

the

Pane

l, w

e co

nsid

er t

hat

this

cont

ribu

tion

is s

uffi

cien

t to

con

clud

e th

at t

he I

mpo

rt B

an i

s ne

cess

ary,

in

the

abse

nce

of

reas

onab

ly a

vaila

ble

alte

rnat

ives

.

211.

T

he

Eur

opea

n C

omm

uniti

es

prop

osed

a

seri

es

of

alte

rnat

ives

to

th

e Im

port

B

an.

Whe

reas

th

e Im

port

B

an

is

a pr

even

tive

non-

gene

ratio

n m

easu

re,

mos

t of

th

e pr

opos

ed

alte

rnat

ives

are

was

te m

anag

emen

t an

d di

spos

al m

easu

res

that

are

rem

edia

l in

cha

ract

er.

We

cons

ider

tha

t m

easu

res

to e

ncou

rage

dom

estic

ret

read

ing

or t

o im

prov

e th

e re

trea

dabi

lity

of

Page

29

of 4

0

tyre

s, a

bet

ter

enfo

rcem

ent

of t

he i

mpo

rt b

an o

n us

ed t

yres

, an

d a

bette

r im

plem

enta

tion

of

exis

ting

col

lect

ion

and

disp

osal

sch

emes

, ar

e co

mpl

emen

tary

to

the

Impo

rt B

an;

ind

eed,

the

y

cons

titut

e m

utua

lly s

uppo

rtiv

e el

emen

ts o

f a

com

preh

ensi

ve p

olic

y to

dea

l w

ith w

aste

tyr

es.

The

refo

re, t

hese

mea

sure

s ca

nnot

be

cons

ider

ed r

eal

alte

rnat

ives

to

the

Impo

rt B

an.

As

rega

rds

land

filli

ng,

stoc

kpili

ng,

co-i

ncin

erat

ion

of w

aste

tyr

es,

and

mat

eria

l re

cycl

ing,

the

se r

emed

ial

met

hods

car

ry th

eir

own

risk

s or

, bec

ause

of

the

cost

s in

volv

ed, a

re c

apab

le o

f di

spos

ing

of o

nly

a lim

ited

num

ber

of w

aste

tyre

s. T

he P

anel

did

not

err

in c

oncl

udin

g th

at th

e pr

opos

ed m

easu

res

or p

ract

ices

are

not

rea

sona

bly

avai

labl

e al

tern

ativ

es.

212.

A

ccor

ding

ly,

havi

ng a

lrea

dy f

ound

tha

t th

e Pa

nel

did

not

brea

ch i

ts d

uty

unde

r A

rtic

le

11 o

f th

e D

SU, a

nd i

n th

e li

ght

of t

he a

bove

con

side

rati

ons,

we

uph

old

the

Pan

el's

fin

ding

, in

para

grap

h 7.

215

of t

he P

anel

Rep

ort,

that

the

Im

port

Ban

can

be

cons

ider

ed "

nece

ssar

y to

prot

ect h

uman

, ani

mal

or

plan

t lif

e or

hea

lth.

"

Alb

ania

: P

ower

Sec

tor

Gen

erat

ion

and

Res

truc

turi

ng P

roje

ct (

IDA

Cre

dit

No.

387

2-A

LB

),

Wor

ld

Ban

k’s

Insp

ecti

on

Pan

el,

Inve

stig

atio

n R

epor

t,

7 A

ugus

t 20

09

(par

agra

phs

322-

332)

322.

Giv

en th

at th

e R

eque

stor

s fi

rst a

ppro

ache

d th

e A

arhu

s C

onve

ntio

n C

ompl

ianc

e C

omm

ittee

,

whi

ch

carr

ied

out

its

inqu

iry

befo

re

that

of

th

e Pa

nel,

we

will

su

mm

ariz

e th

e A

arhu

s

inve

stig

atio

n an

d it

s fi

ndin

gs.

323.

Im

port

antly

, th

e A

arhu

s C

onve

ntio

n C

ompl

ianc

e C

omm

ittee

’s r

evie

w f

ocus

ed o

n th

e

actio

ns o

f A

lban

ia (

Part

y),

not

on t

he B

ank.

How

ever

, th

e co

nclu

sion

s of

the

Com

mitt

ee a

re

rele

vant

bec

ause

Ban

k po

licy

give

s th

e m

ain

resp

onsi

bilit

y fo

r co

nsul

tatio

n to

the

bor

row

er a

nd

requ

ires

th

e B

ank

to

ensu

re

that

th

e bo

rrow

er

fulf

ills

this

re

quir

emen

t. Fu

rthe

rmor

e,

requ

irem

ents

of

the

Aar

hus

Con

vent

ion

are

larg

ely

sim

ilar

to B

ank’

s pu

blic

con

sult

atio

n an

d

disc

losu

re r

equi

rem

ents

set

for

th i

n O

P 4.

01.T

he C

omm

ittee

pri

mar

ily a

ddre

ssed

the

iss

ue o

f

publ

ic p

artic

ipat

ion

with

reg

ard

to D

ecis

ion

20 o

f th

e C

ounc

il o

f T

erri

tori

al A

djus

tmen

t of

Alb

ania

, da

ted

Febr

uary

19,

200

3, a

ppro

ving

the

con

stru

ctio

n si

te o

f th

e V

lora

the

rmal

pow

er

stat

ion.

The

Aar

hus

Com

mitt

ee d

eter

min

ed t

hat

the

requ

irem

ents

of

para

grap

hs 3

, 4

and

8 of

Art

icle

6 o

f th

e A

arhu

s C

onve

ntio

n319

are

app

lica

ble.

Art

icle

6 o

f th

e A

arhu

s C

onve

ntio

n

appl

ies

to d

ecis

ions

on

prop

osed

act

ivit

ies

list

ed i

n A

nnex

I,

whi

ch i

nclu

de t

herm

al p

ower

stat

ions

and

oth

er c

ombu

stio

n in

stal

latio

ns w

ith h

eat

inpu

t of

50

meg

awat

ts o

r m

ore,

am

ong

othe

r ac

tivi

ties

, an

d to

dec

isio

ns o

n ot

her

prop

osed

act

iviti

es w

hich

may

hav

e “a

sig

nifi

cant

effe

ct o

n th

e en

viro

nmen

t.”

324.

Reg

ardi

ng t

he d

ecis

ion

to e

stab

lish

the

site

of

the

ther

mal

pow

er p

lant

, th

e A

arhu

s

Com

mitt

ee c

oncl

uded

tha

t th

e on

ly e

lem

ent

of p

ublic

par

ticip

atio

n in

thi

s ph

ase

of t

he p

roce

ss

appe

ars

to h

ave

been

the

pub

lic m

eetin

g th

at t

ook

plac

e on

Oct

ober

28

or 3

1, 2

002.

The

Aar

hus

Com

mitt

ee e

xam

ined

the

min

utes

and

the

lis

t of

par

ticip

ants

of

the

Oct

ober

31,

200

2, m

eeti

ng

and

com

pare

d th

em w

ith t

he m

inut

es a

nd t

he l

ist

of p

arti

cipa

nts

of t

he S

epte

mbe

r 3,

200

3

mee

ting.

The

Aar

hus

Com

mitt

ee n

oted

“ou

t of

16

ques

tions

put

for

war

d by

the

par

ticip

ants

of

the

firs

t mee

ting

and

18 q

uest

ions

rai

sed

at th

e se

cond

mee

ting,

12

are

exac

tly th

e sa

me.

325.

The

Aar

hus

Com

mitt

ee f

urth

er n

oted

tha

t ni

ne o

f th

ese

ques

tions

rec

eive

d pr

actic

ally

verb

atim

ide

ntic

al r

epli

es.

In a

ddit

ion,

int

rodu

ctio

ns t

o th

e m

eeti

ngs

and

som

e of

the

gen

eral

Page

30

of 4

0

inte

rven

tion

s m

ade

by th

e pu

blic

off

icia

ls w

ere

also

iden

tica

l. T

he A

arhu

s C

omm

itte

e fo

und

that

the

lists

of

part

icip

ants

of

the

two

mee

ting

s di

ffer

onl

y re

gard

ing

four

add

itio

nal p

ubli

c of

fici

als

who

at

tend

ed

the

firs

t m

eetin

g.

The

A

arhu

s C

omm

itte

e st

ated

th

at

“the

re

sult

s of

th

is

com

para

tive

anal

ysis

rai

se s

erio

us c

once

rns

rega

rdin

g th

e ex

tent

to

whi

ch t

he r

epor

t of

the

mee

ting

can

be r

elie

d up

on a

s an

acc

urat

e re

cord

of

the

proc

eedi

ngs

as w

ell

as r

egar

ding

the

genu

ine

natu

re o

f th

e qu

estio

ns a

nd c

once

rns

rais

ed,

reco

rded

and

sub

sequ

ently

tak

en i

nto

acco

unt i

n th

e de

cisi

on-m

akin

g pr

oces

s.”

326.

Wit

h re

spec

t to

the

Oct

ober

31,

200

2, m

eetin

g, t

he A

arhu

s C

omm

ittee

con

clud

ed t

he

foll

owin

g:

“The

unc

lear

cir

cum

stan

ces

surr

ound

ing

the

mee

ting

in O

ctob

er 2

002,

and

the

fail

ure

of

the

Part

y co

ncer

ned

to p

rovi

de a

nyth

ing

to s

ubst

antia

te t

he c

laim

tha

t th

e m

eeti

ng w

as

duly

ann

ounc

ed a

nd o

pen

for

publ

ic p

artic

ipat

ion,

as

wel

l as

con

cern

s ab

out

the

qual

ity

of t

he m

eetin

g re

cord

s, l

ead

the

Com

mit

tee

to c

oncl

ude

that

the

Par

ty c

once

rned

fai

led

to c

ompl

y w

ith th

e re

quir

emen

ts f

or p

ublic

par

tici

pati

on s

et o

ut in

par

agra

phs

3, 4

and

8

of a

rtic

le 6

of

the

Con

vent

ion.

327.

The

Aar

hus

Com

mitt

ee a

lso

revi

ewed

and

com

men

ted

on t

he m

eetin

gs t

hat

took

pla

ce o

n

Apr

il 2

, 20

03,

and

Sept

embe

r 3,

200

3. (

As

note

d ab

ove,

Man

agem

ent

indi

cate

s th

at t

he

mee

ting

s he

ld o

n A

pril

2, 2

003,

and

Sep

tem

ber

3, 2

003

corr

espo

nd to

the

tw

o E

A c

onsu

ltat

ions

requ

ired

by

the

Ban

k fo

r a

Cat

egor

y A

pro

ject

.) T

he A

arhu

s C

omm

ittee

sta

ted

that

the

tw

o

mee

tings

tha

t to

ok p

lace

on

Apr

il 2,

200

3, a

nd S

epte

mbe

r 3,

200

3, t

ook

plac

e af

ter

the

deci

sion

on t

he a

ppro

val

of t

he c

onst

ruct

ion

site

in

Vlo

ra a

nd “

ther

efor

e ca

nnot

be

cons

ider

ed a

s ev

ents

cont

ribu

ting

to th

e in

volv

emen

t of

the

publ

ic in

that

dec

isio

n.”

328.

The

Aar

hus

Com

mitt

ee f

urth

er n

oted

tha

t A

lban

ia d

id n

ot p

rovi

de a

ny i

nfor

mat

ion

“to

dem

onst

rate

tha

t th

e m

eeti

ngs

in A

pril

and

Sep

tem

ber

2003

wer

e pu

blic

ly a

nnou

nced

, so

as

to

allo

w m

embe

rs o

f th

e pu

blic

opp

osin

g th

e pr

ojec

t to

act

ivel

y ta

ke p

art

in t

he d

ecis

ion-

mak

ing.

In a

dditi

on, t

he A

arhu

s C

omm

ittee

sta

ted

that

Alb

ania

did

not

“gi

ve a

ny r

easo

nabl

e ex

plan

atio

n

as to

why

the

rath

er s

tron

g lo

cal o

ppos

itio

n to

the

proj

ect,

indi

cate

d by

the

14,0

00 p

eopl

e ca

lling

for

a re

fere

ndum

, was

not

hea

rd o

r re

pres

ente

d pr

oper

ly a

t any

of

thes

e m

eetin

gs.”

With

res

pect

to th

e m

eeti

ngs

held

on

Apr

il 2

, 200

3, a

nd S

epte

mbe

r 3,

200

3, th

e A

arhu

s C

omm

ittee

con

clud

ed

that

“[t

]his

giv

es r

ise

to c

once

rns

that

the

inv

itatio

n pr

oces

s al

so a

t th

is s

tage

was

sel

ectiv

e an

d

insu

ffic

ient

.”

329.

Fol

low

ing

its

fiel

d in

quir

y, t

he A

arhu

s C

omm

itte

e (s

ee B

ox 1

, C

h.1)

iss

ued

its

over

all

conc

lusi

on a

fter

its

Jun

e 20

07 m

eeti

ng.

The

Aar

hus

Com

mit

tee

foun

d th

at:

“[a]

ltho

ugh

som

e

effo

rts

wer

e m

ade

to p

rovi

de f

or p

ublic

par

ticip

atio

n, t

hese

lar

gely

too

k pl

ace

afte

r th

e cr

ucia

l

deci

sion

on

sitin

g an

d w

ere

subj

ect

to s

ome

qual

itativ

e de

fici

enci

es,

lead

ing

the

Com

mitt

ee t

o

find

that

the

Part

y co

ncer

ned

faile

d to

com

ply

fully

with

the

requ

irem

ents

in q

uest

ion.

330.

In

acco

rdan

ce w

ith

OP

4.01

, it

is

nece

ssar

y th

at a

n E

A t

akes

int

o ac

coun

t, in

ter

alia

, th

e

coun

try’

s ob

ligat

ions

per

tain

ing

to p

roje

ct a

ctiv

ities

und

er r

elev

ant

inte

rnat

iona

l en

viro

nmen

tal

trea

ties

and

agre

emen

ts.

OP

4.01

sta

tes

that

the

Ban

k do

es n

ot f

inan

ce p

roje

ct a

ctiv

ities

tha

t

wou

ld c

ontr

aven

e a

coun

try’

s ob

ligat

ions

und

er a

ny s

uch

inte

rnat

iona

l tre

aty

or a

gree

men

t.

331.

As

note

d ab

ove,

with

res

pect

to

the

prop

osed

the

rmal

pow

er p

lant

, the

Aar

hus

Com

mit

tee

foun

d th

at s

ome

effo

rts

wer

e m

ade

to p

rovi

de f

or p

ubli

c pa

rtic

ipat

ion,

but

not

ed t

hat

“…th

ese

Page

31

of 4

0

larg

ely

took

pla

ce a

fter

the

cru

cial

dec

isio

n on

siti

ng a

nd w

ere

subj

ect

to s

ome

qual

itativ

e

defi

cien

cies

”.

The

A

arhu

s C

omm

ittee

co

nclu

ded

that

A

lban

ia

faile

d to

co

mpl

y w

ith

the

requ

irem

ents

for

pub

lic p

artic

ipat

ion

set

out

in p

arag

raph

s 3,

4 a

nd 8

of

Art

icle

6 o

f th

e A

arhu

s

Con

vent

ion.

332.

Bas

ed o

n th

e fo

rego

ing,

the

Pan

el f

inds

tha

t M

anag

emen

t di

d no

t en

sure

tha

t th

e Pr

ojec

t

prep

arat

ion

activ

ities

com

plie

d w

ith t

he c

onsu

ltati

on a

nd p

ubli

c pa

rtic

ipat

ion

requ

irem

ents

of

the

Aar

hus

Con

vent

ion.

Thi

s do

es n

ot c

ompl

y w

ith

OP

4.01

.

Cas

e C

once

rnin

g P

ulp

Mill

s on

the

Riv

er U

rugu

ay (

Arg

entin

a/U

rugu

ay),

Jud

gmen

t of

the

Int

erna

tion

al C

ourt

of

Just

ice,

20

Apr

il 20

10 (

para

s 10

1, 1

64, 1

77, 1

88, 2

04-

205,

215

-217

and

219

)

101.

The

Cou

rt p

oint

s ou

t tha

t the

pri

ncip

le o

f pr

even

tion,

as

a cu

stom

ary

rule

, has

its

orig

ins

in

the

due

dilig

ence

tha

t is

req

uire

d of

a S

tate

in

its t

erri

tory

. It

is “

ever

y St

ate’

s ob

ligat

ion

not

to

allo

w k

now

ingl

y its

ter

rito

ry t

o be

use

d fo

r ac

ts c

ontr

ary

to t

he r

ight

s of

oth

er S

tate

s” (

Cor

fu

Cha

nnel

(U

nite

d K

ingd

om v

. Alb

ania

), M

erit

s, J

udgm

ent,

I.C

.J. R

epor

ts 1

949,

p. 2

2). A

Sta

te is

thus

obl

iged

to

use

all

the

mea

ns a

t its

dis

posa

l in

ord

er t

o av

oid

activ

ities

whi

ch t

ake

plac

e in

its t

erri

tory

, or

in a

ny a

rea

unde

r its

jur

isdi

ctio

n, c

ausi

ng s

igni

fica

nt d

amag

e to

the

env

iron

men

t

of a

noth

er S

tate

. T

his

Cou

rt h

as e

stab

lishe

d th

at t

his

obli

gati

on “

is n

ow p

art

of t

he c

orpu

s of

inte

rnat

iona

l la

w r

elat

ing

to t

he e

nvir

onm

ent”

(L

egal

ity

of t

he T

hrea

t or

Use

of

Nuc

lear

Wea

pons

, Adv

isor

y O

pini

on, I

.C.J

. Rep

orts

199

6 (I

), p

. 242

, par

a. 2

9).

[…]

164.

Reg

ardi

ng t

he a

rgum

ents

put

for

war

d by

Arg

enti

na o

n th

e re

vers

al o

f th

e bu

rden

of

proo

f

and

on th

e ex

iste

nce,

vis

-à-v

is e

ach

Par

ty, o

f an

equ

al o

nus

to p

rove

und

er th

e 19

75 S

tatu

te, t

he

Cou

rt c

onsi

ders

tha

t w

hile

a p

reca

utio

nary

app

roac

h m

ay b

e re

leva

nt i

n th

e in

terp

reta

tion

and

appl

icat

ion

of th

e pr

ovis

ions

of

the

Stat

ute,

it d

oes

not f

ollo

w th

at it

ope

rate

s as

a r

ever

sal o

f th

e

burd

en o

f pr

oof.

The

Cou

rt i

s al

so o

f th

e vi

ew t

hat

ther

e is

not

hing

in

the

1975

Sta

tute

its

elf

to

indi

cate

that

it p

lace

s th

e bu

rden

of

proo

f eq

ually

on

both

Par

ties.

[…]

177.

Reg

ardi

ng A

rtic

le 2

7, i

t is

the

vie

w o

f th

e C

ourt

tha

t its

for

mul

atio

n re

flec

ts n

ot o

nly

the

need

to

reco

ncile

the

var

ied

inte

rest

s of

rip

aria

n St

ates

in

a tr

ansb

ound

ary

cont

ext

and

in

part

icul

ar i

n th

e us

e of

a s

hare

d na

tura

l re

sour

ce,

but

also

the

nee

d to

str

ike

a ba

lanc

e be

twee

n

the

use

of t

he w

ater

s an

d th

e pr

otec

tion

of t

he r

iver

con

sist

ent

wit

h th

e ob

ject

ive

of s

usta

inab

le

deve

lopm

ent.

The

Cou

rt h

as a

lrea

dy d

ealt

with

the

obl

igat

ions

ari

sing

fro

m A

rtic

les

7 to

12

of

the

1975

Sta

tute

whi

ch h

ave

to b

e ob

serv

ed,

acco

rdin

g to

Art

icle

27,

by

any

Part

y w

ishi

ng t

o

exer

cise

its

righ

t to

use

the

wat

ers

of th

e ri

ver

for

any

of th

e pu

rpos

es m

enti

oned

ther

ein

inso

far

as s

uch

use

may

be

liabl

e to

aff

ect t

he r

égim

e of

the

rive

r or

the

qual

ity o

f its

wat

ers.

The

Cou

rt

wis

hes

to a

dd t

hat

such

uti

lizat

ion

coul

d no

t be

con

side

red

to b

e eq

uita

ble

and

reas

onab

le i

f th

e

inte

rest

s of

the

oth

er r

ipar

ian

Stat

e in

the

sha

red

reso

urce

and

the

env

iron

men

tal

prot

ecti

on o

f

the

latte

r w

ere

not

take

n in

to a

ccou

nt.

Con

sequ

ently

, it

is

the

opin

ion

of t

he C

ourt

tha

t A

rtic

le

27 e

mbo

dies

thi

s in

terc

onne

cted

ness

bet

wee

n eq

uita

ble

and

reas

onab

le u

tiliz

atio

n of

a s

hare

d

reso

urce

and

the

bal

ance

bet

wee

n ec

onom

ic d

evel

opm

ent

and

envi

ronm

enta

l pr

otec

tion

tha

t is

the

esse

nce

of s

usta

inab

le d

evel

opm

ent.

Page

32

of 4

0

[…]

188.

Thi

s vi

gila

nce

and

prev

enti

on is

all

the

mor

e im

port

ant i

n th

e pr

eser

vati

on o

f th

e ec

olog

ical

bala

nce,

sin

ce t

he n

egat

ive

impa

ct o

f hu

man

act

ivit

ies

on t

he w

ater

s of

the

riv

er m

ay a

ffec

t

othe

r co

mpo

nent

s of

the

eco

syst

em o

f th

e w

ater

cour

se s

uch

as i

ts f

lora

, fa

una,

and

soi

l. T

he

oblig

atio

n to

co-

ordi

nate

, th

roug

h th

e C

omm

issi

on,

the

adop

tion

of t

he n

eces

sary

mea

sure

s, a

s

wel

l as

the

ir e

nfor

cem

ent

and

obse

rvan

ce, a

ssum

es,

in t

his

cont

ext,

a ce

ntra

l ro

le i

n th

e ov

eral

l

syst

em o

f pr

otec

tion

of t

he R

iver

Uru

guay

est

ablis

hed

by t

he 1

975

Stat

ute.

It

is t

here

fore

of

cruc

ial i

mpo

rtan

ce th

at th

e Pa

rtie

s re

spec

t thi

s ob

ligat

ion.

[…]

204.

It

is t

he o

pini

on o

f th

e C

ourt

tha

t in

ord

er f

or t

he P

arti

es p

rope

rly

to c

ompl

y w

ith

thei

r

oblig

atio

ns u

nder

Art

icle

41

(a)

and

(b)

of t

he 1

975

Stat

ute,

the

y m

ust,

for

the

purp

oses

of

prot

ectin

g an

d pr

eser

ving

the

aqua

tic e

nvir

onm

ent w

ith

resp

ect t

o ac

tiviti

es w

hich

may

be

liabl

e

to c

ause

tra

nsbo

unda

ry h

arm

, ca

rry

out

an e

nvir

onm

enta

l im

pact

ass

essm

ent.

As

the

Cou

rt h

as

obse

rved

in th

e ca

se c

once

rnin

g th

e D

ispu

te R

egar

ding

Nav

igat

iona

l an

d R

elat

ed R

ight

s, “

ther

e

are

situ

atio

ns in

whi

ch th

e pa

rtie

s’ in

tent

upo

n co

nclu

sion

of

the

trea

ty w

as, o

r m

ay b

e pr

esum

ed

to h

ave

been

, to

giv

e th

e te

rms

used

� o

r so

me

of t

hem

� a

mea

ning

or

cont

ent

capa

ble

of

evol

ving

, no

t on

e fi

xed

once

and

for

all,

so

as t

o m

ake

allo

wan

ce f

or,

amon

g ot

her

thin

gs,

deve

lopm

ents

in in

tern

atio

nal l

aw”

(Dis

pute

Reg

ardi

ng N

avig

atio

nal

and

Rel

ated

Rig

hts

(Cos

ta

Ric

a v.

Nic

arag

ua),

Jud

gmen

t of

13

July

200

9, p

ara.

64)

. In

this

sen

se, t

he o

blig

atio

n to

pro

tect

and

pres

erve

, un

der

Art

icle

41

(a)

of t

he S

tatu

te,

has

to b

e in

terp

rete

d in

acc

orda

nce

wit

h a

prac

tice,

whi

ch in

rec

ent y

ears

has

gai

ned

so m

uch

acce

ptan

ce a

mon

g St

ates

that

it m

ay n

ow b

e

cons

ider

ed a

req

uire

men

t un

der

gene

ral

inte

rnat

iona

l la

w t

o un

dert

ake

an e

nvir

onm

enta

l im

pact

asse

ssm

ent

whe

re t

here

is

a ri

sk t

hat

the

prop

osed

ind

ustr

ial

activ

ity m

ay h

ave

a si

gnif

ican

t

adve

rse

impa

ct i

n a

tran

sbou

ndar

y co

ntex

t, in

par

ticul

ar,

on a

sha

red

reso

urce

. M

oreo

ver,

due

dili

genc

e, a

nd th

e du

ty o

f vi

gila

nce

and

prev

entio

n w

hich

it im

plie

s, w

ould

not

be

cons

ider

ed to

have

bee

n ex

erci

sed,

if

a pa

rty

plan

ning

wor

ks l

iabl

e to

aff

ect

the

régi

me

of t

he r

iver

or

the

qual

ity o

f its

wat

ers

did

not

unde

rtak

e an

env

iron

men

tal

impa

ct a

sses

smen

t on

the

pot

entia

l

effe

cts

of s

uch

wor

ks.

205.

The

Cou

rt o

bser

ves

that

nei

ther

the

197

5 St

atut

e no

r ge

nera

l in

tern

atio

nal

law

spe

cify

the

scop

e an

d co

nten

t of

an e

nvir

onm

enta

l im

pact

ass

essm

ent.

It p

oint

s ou

t mor

eove

r th

at A

rgen

tina

and

Uru

guay

are

not

par

ties

to

the

Esp

oo C

onve

ntio

n. F

inal

ly,

the

Cou

rt n

otes

tha

t th

e ot

her

inst

rum

ent

to w

hich

Arg

entin

a re

fers

in

supp

ort

of i

ts a

rgum

ents

, nam

ely,

the

UN

EP

Goa

ls a

nd

Prin

cipl

es,

is n

ot b

indi

ng o

n th

e Pa

rtie

s, b

ut,

as g

uide

lines

iss

ued

by a

n in

tern

atio

nal

tech

nica

l

body

, ha

s to

be

take

n in

to a

ccou

nt b

y ea

ch P

arty

in

acco

rdan

ce w

ith A

rtic

le 4

1 (a

) in

ado

ptin

g

mea

sure

s w

ithin

its

dom

estic

reg

ulat

ory

fram

ewor

k. M

oreo

ver,

thi

s in

stru

men

t pr

ovid

es o

nly

that

th

e “e

nvir

onm

enta

l ef

fect

s in

an

E

IA

shou

ld

be

asse

ssed

w

ith

a de

gree

of

de

tail

com

men

sura

te w

ith t

heir

lik

ely

envi

ronm

enta

l si

gnif

ican

ce”

(Pri

ncip

le 5

) w

ithou

t gi

ving

any

indi

catio

n of

min

imum

cor

e co

mpo

nent

s of

the

ass

essm

ent.

Con

sequ

ently

, it

is

the

view

of

the

Cou

rt t

hat

it is

for

eac

h S

tate

to

dete

rmin

e in

its

dom

estic

leg

isla

tion

or i

n th

e au

thor

izat

ion

proc

ess

for

the

proj

ect,

the

spec

ific

con

tent

of

the

envi

ronm

enta

l im

pact

ass

essm

ent

requ

ired

in

each

cas

e, h

avin

g re

gard

to th

e na

ture

and

mag

nitu

de o

f th

e pr

opos

ed d

evel

opm

ent a

nd it

s li

kely

adve

rse

impa

ct

on

the

envi

ronm

ent

as

wel

l as

to

th

e ne

ed

to

exer

cise

du

e di

ligen

ce

in

cond

uctin

g su

ch

an

asse

ssm

ent.

The

C

ourt

al

so

cons

ider

s th

at

an

envi

ronm

enta

l im

pact

Page

33

of 4

0

asse

ssm

ent

mus

t be

con

duct

ed p

rior

to

the

impl

emen

tati

on o

f a

proj

ect.

Mor

eove

r, o

nce

oper

atio

ns h

ave

star

ted

and,

whe

re n

eces

sary

, th

roug

hout

the

lif

e of

the

pro

ject

, co

ntin

uous

mon

itori

ng o

f its

eff

ects

on

the

envi

ronm

ent s

hall

be u

nder

take

n.

[...]

(ii)

Con

sult

atio

n of

the

aff

ecte

d po

pula

tion

s

215.

The

Par

ties

disa

gree

on

the

exte

nt t

o w

hich

the

pop

ulat

ions

lik

ely

to b

e af

fect

ed b

y th

e

cons

truc

tion

of

the

Ori

on (

Bot

nia)

mil

l, pa

rtic

ular

ly o

n th

e A

rgen

tine

side

of

the

rive

r, w

ere

cons

ulte

d in

the

cou

rse

of t

he e

nvir

onm

enta

l im

pact

ass

essm

ent.

Whi

le b

oth

Part

ies

agre

e th

at

cons

ulta

tion

of

th

e af

fect

ed

popu

latio

ns

shou

ld

form

pa

rt

of

an

envi

ronm

enta

l im

pact

asse

ssm

ent,

Arg

entin

a as

sert

s th

at i

nter

natio

nal

law

im

pose

s sp

ecif

ic o

blig

atio

ns o

n St

ates

in

this

reg

ard.

In

supp

ort

of t

his

argu

men

t, A

rgen

tina

poi

nts

to A

rtic

les

2.6

and

3.8

of t

he E

spoo

Con

vent

ion,

Art

icle

13

of t

he 2

001

Inte

rnat

iona

l L

aw C

omm

issi

on d

raft

Art

icle

s on

Pre

vent

ion

of T

rans

boun

dary

Har

m f

rom

Haz

ardo

us A

ctiv

ities

, and

Pri

ncip

les

7 an

d 8

of t

he U

NE

P G

oals

and

Prin

cipl

es.

Uru

guay

con

side

rs t

hat

the

prov

isio

ns i

nvok

ed b

y A

rgen

tina

cann

ot s

erve

as

a

lega

l ba

sis

for

an o

blig

atio

n to

con

sult

the

affe

cted

pop

ulat

ions

and

add

s th

at i

n an

y ev

ent

the

affe

cted

pop

ulat

ions

had

inde

ed b

een

cons

ulte

d.

216.

The

Cou

rt i

s of

the

vie

w t

hat

no l

egal

obl

igat

ion

to c

onsu

lt th

e af

fect

ed p

opul

atio

ns a

rise

s

for

the

Part

ies

from

the

inst

rum

ents

invo

ked

by A

rgen

tina.

217.

Reg

ardi

ng t

he f

acts

, th

e C

ourt

not

es t

hat

both

bef

ore

and

afte

r th

e gr

antin

g of

the

ini

tial

envi

ronm

enta

l au

thor

izat

ion,

Uru

guay

did

und

erta

ke a

ctiv

ities

aim

ed a

t co

nsul

ting

the

affe

cted

popu

latio

ns,

both

on

the

Arg

enti

ne a

nd t

he U

rugu

ayan

sid

es o

f th

e ri

ver.

The

se a

ctiv

ities

incl

uded

mee

ting

s on

2 D

ecem

ber

2003

in R

ío N

egro

, and

on

26 M

ay 2

004

in F

ray

Ben

tos,

with

part

icip

atio

n of

Arg

entin

e no

n-go

vern

men

tal

orga

niza

tions

. In

add

ition

, on

21 D

ecem

ber

2004

,

a pu

blic

hea

ring

was

con

vene

d in

Fra

y B

ento

s w

hich

, ac

cord

ing

to U

rugu

ay,

addr

esse

d am

ong

othe

r su

bjec

ts, t

he “

hand

ling

of

chem

ical

pro

duct

s in

the

plan

t and

in th

e po

rt; t

he a

ppea

ranc

e of

acid

ra

in,

diox

ins,

fu

rans

an

d ot

her

poly

chlo

rate

s of

hi

gh

toxi

city

th

at

coul

d af

fect

th

e

envi

ronm

ent;

com

plia

nce

wit

h th

e St

ockh

olm

Con

vent

ion;

atm

osph

eric

em

issi

ons

of t

he p

lant

;

elec

trom

agne

tic a

nd e

lect

rost

atic

em

issi

ons;

[an

d] li

quid

dis

char

ges

into

the

rive

r”.

Inha

bita

nts

of F

ray

Ben

tos

and

near

by r

egio

ns o

f U

rugu

ay a

nd A

rgen

tina

part

icip

ated

in

the

mee

ting

and

sub

mit

ted

138

docu

men

ts c

onta

inin

g qu

esti

ons

or c

once

rns.

[...]

219.

In

the

ligh

t of

the

abo

ve,

the

Cou

rt f

inds

tha

t co

nsul

tati

on b

y U

rugu

ay o

f th

e af

fect

ed

popu

latio

ns d

id in

deed

take

pla

ce.

Res

pons

ibili

ties

and

Obl

igat

ions

of

Stat

es s

pons

orin

g P

erso

ns a

nd E

ntiti

es w

ith

resp

ect

to

Act

iviti

es

in

The

A

rea,

A

dvis

ory

Opi

nion

of

th

e Se

abed

D

ispu

tes

Cha

mbe

r of

th

e In

tern

atio

nal

Tri

buna

l fo

r th

e L

aw

of

the

Sea,

F

ebru

ary

2011

(par

as 1

21-1

37 a

nd 1

41-1

63)

V. D

irec

t ob

ligat

ions

of

spon

sori

ng S

tate

s

Page

34

of 4

0

121.

The

obl

igat

ions

of

spon

sori

ng S

tate

s ar

e no

t li

mit

ed t

o th

e du

e di

lige

nce

“obl

igat

ion

to

ensu

re”.

Und

er t

he C

onve

ntio

n an

d re

late

d in

stru

men

ts, s

pons

orin

g St

ates

als

o ha

ve o

blig

atio

ns

wit

h w

hich

the

y ha

ve t

o co

mpl

y in

depe

nden

tly o

f th

eir

oblig

atio

n to

ens

ure

a ce

rtai

n be

havi

our

by th

e sp

onso

red

cont

ract

or. T

hese

obl

igat

ions

may

be

char

acte

rize

d as

“di

rect

obl

igat

ions

”.

122.

Am

ong

the

mos

t im

port

ant

of t

hese

dir

ect

obli

gati

ons

incu

mbe

nt o

n sp

onso

ring

Sta

tes

are:

the

oblig

atio

n to

ass

ist

the

Aut

hori

ty i

n th

e ex

erci

se o

f co

ntro

l ov

er a

ctiv

ities

in

the

Are

a; t

he

oblig

atio

n to

app

ly a

pre

caut

iona

ry a

ppro

ach;

the

obl

igat

ion

to a

pply

bes

t en

viro

nmen

tal

prac

tices

; th

e ob

ligat

ion

to t

ake

mea

sure

s to

ens

ure

the

prov

isio

n of

gua

rant

ees

in t

he e

vent

of

an e

mer

genc

y or

der

by th

e A

utho

rity

for

pro

tect

ion

of th

e m

arin

e en

viro

nmen

t; th

e ob

liga

tion

to

ensu

re t

he a

vaila

bilit

y of

rec

ours

e fo

r co

mpe

nsat

ion

in r

espe

ct o

f da

mag

e ca

used

by

pollu

tion;

and

the

oblig

atio

n to

con

duct

env

iron

men

tal

impa

ct a

sses

smen

ts.

The

se o

blig

atio

ns w

ill b

e

exam

ined

in p

arag

raph

s 12

4-15

0.

123.

It m

ust n

ever

thel

ess

be s

tate

d, a

t the

out

set,

that

com

plia

nce

with

thes

e ob

ligat

ions

can

als

o

be s

een

as a

rel

evan

t fac

tor

in m

eetin

g th

e du

e di

ligen

ce “

oblig

atio

n to

ens

ure”

and

that

the

said

oblig

atio

ns a

re in

mos

t cas

es c

ouch

ed a

s ob

ligat

ions

to e

nsur

e co

mpl

ianc

e w

ith a

spe

cifi

c ru

le.

The

obl

igat

ion

to a

ssis

t the

Aut

hori

ty

124.

Pur

suan

t to

the

las

t se

nten

ce o

f ar

ticle

153

, pa

ragr

aph

4, o

f th

e C

onve

ntio

n, s

pons

orin

g

Stat

es h

ave

the

oblig

atio

n to

ass

ist

the

Aut

hori

ty i

n its

tas

k of

con

trol

ling

activ

ities

in

the

Are

a

for

the

purp

ose

of

ensu

ring

co

mpl

ianc

e w

ith

the

rele

vant

pr

ovis

ions

of

Pa

rt

XI

of

the

Con

vent

ion

and

rela

ted

inst

rum

ents

. T

his

obli

gatio

n is

to

be m

et “

by t

akin

g al

l m

easu

res

nece

ssar

y to

ens

ure

such

com

plia

nce

in a

ccor

danc

e w

ith a

rtic

le 1

39”.

The

obl

igat

ion

of t

he

spon

sori

ng S

tate

s is

a d

irec

t on

e, b

ut i

t is

to

be m

et t

hrou

gh c

ompl

ianc

e w

ith t

he “

due

dilig

ence

obli

gati

on”

set o

ut in

art

icle

139

of

the

Con

vent

ion.

Pre

caut

iona

ry a

ppro

ach

125.

The

Nod

ules

Reg

ulat

ions

and

the

Sulp

hide

s R

egul

atio

ns c

onta

in p

rovi

sion

s th

at e

stab

lish

a

dire

ct

oblig

atio

n fo

r sp

onso

ring

St

ates

. T

his

oblig

atio

n is

re

leva

nt

for

impl

emen

ting

th

e

“res

pons

ibili

ty t

o en

sure

” th

at s

pons

ored

con

trac

tors

mee

t th

e ob

ligat

ions

set

out

in

Part

XI

of

the

Con

vent

ion

and

rela

ted

inst

rum

ents

. T

hese

are

reg

ulat

ion

31,

para

grap

h 2,

of

the

Nod

ules

Reg

ulat

ions

and

reg

ulat

ion

33,

para

grap

h 2,

of

the

Sulp

hide

s R

egul

atio

ns,

both

of

whi

ch s

tate

that

spo

nsor

ing

Stat

es (

as w

ell

as t

he A

utho

rity

) “s

hall

appl

y a

prec

autio

nary

app

roac

h, a

s

refl

ecte

d in

Pri

ncip

le 1

5 of

the

Rio

Dec

lara

tion”

in

orde

r “t

o en

sure

eff

ectiv

e pr

otec

tion

for

the

mar

ine

envi

ronm

ent f

rom

har

mfu

l eff

ects

whi

ch m

ay a

rise

fro

m a

ctiv

ities

in th

e A

rea”

.

126.

Pri

ncip

le 1

5 of

the

199

2 R

io D

ecla

rati

on o

n E

nvir

onm

ent

and

Dev

elop

men

t (h

erei

naft

er

“the

Rio

Dec

lara

tion”

) re

ads:

In o

rder

to

prot

ect

the

envi

ronm

ent,

the

prec

autio

nary

app

roac

h sh

all

be w

idel

y ap

plie

d

by

Stat

es

acco

rdin

g to

th

eir

capa

bilit

ies.

W

here

th

ere

are

thre

ats

of

seri

ous

or

irre

vers

ible

dam

age,

lac

k of

ful

l sc

ient

ific

cer

tain

ty s

hall

not

be u

sed

as a

rea

son

for

post

poni

ng c

ost-

effe

ctiv

e m

easu

res

to p

reve

nt e

nvir

onm

enta

l deg

rada

tion.

Page

35

of 4

0

127.

The

pro

visi

ons

of t

he a

fore

men

tione

d R

egul

atio

ns t

rans

form

thi

s no

n-bi

ndin

g st

atem

ent

of

the

prec

auti

onar

y ap

proa

ch

in

the

Rio

D

ecla

rati

on

into

a

bind

ing

obli

gati

on.

The

impl

emen

tati

on o

f th

e pr

ecau

tiona

ry a

ppro

ach

as d

efin

ed i

n th

ese

Reg

ulat

ions

is

one

of t

he

obli

gati

ons

of s

pons

orin

g St

ates

.

128.

It

shou

ld b

e no

ted

that

whi

le t

he f

irst

sen

tenc

e of

Pri

ncip

le 1

5 se

ems

to r

efer

in

gene

ral

term

s to

the

“pre

caut

iona

ry a

ppro

ach”

, the

sec

ond

sent

ence

lim

its it

s sc

ope

to th

reat

s of

“se

riou

s

or

irre

vers

ible

da

mag

e”

and

to

“cos

t-ef

fect

ive”

m

easu

res

adop

ted

in

orde

r to

pr

even

t

“env

iron

men

tal d

egra

dati

on”.

129.

Mor

eove

r, b

y st

atin

g th

at th

e pr

ecau

tiona

ry a

ppro

ach

shal

l be

appl

ied

by S

tate

s “a

ccor

ding

to t

heir

cap

abili

ties”

, th

e fi

rst

sent

ence

of

Prin

cipl

e 15

int

rodu

ces

the

poss

ibili

ty o

f di

ffer

ence

s

in a

pplic

atio

n of

the

pre

caut

iona

ry a

ppro

ach

in l

ight

of

the

diff

eren

t ca

pabi

litie

s of

eac

h St

ate

(see

par

agra

phs

151-

163)

.

130.

The

ref

eren

ce t

o th

e pr

ecau

tion

ary

appr

oach

as

set

out

in t

he t

wo

Reg

ulat

ions

app

lies

spec

ific

ally

to

th

e ac

tiviti

es

envi

sage

d th

erei

n,

nam

ely,

pr

ospe

ctin

g an

d ex

plor

atio

n fo

r

poly

met

allic

nod

ules

and

pol

ymet

allic

sul

phid

es.

It i

s to

be

expe

cted

tha

t th

e A

utho

rity

will

eith

er r

epea

t or

fur

ther

dev

elop

thi

s ap

proa

ch w

hen

it re

gula

tes

expl

oita

tion

activ

ities

and

activ

ities

con

cern

ing

othe

r ty

pes

of m

iner

als.

131.

Hav

ing

esta

blis

hed

that

und

er t

he N

odul

es R

egul

atio

ns a

nd t

he S

ulph

ides

Reg

ulat

ions

,

both

spo

nsor

ing

Stat

es a

nd t

he A

utho

rity

are

und

er a

n ob

ligat

ion

to a

pply

the

pre

caut

iona

ry

appr

oach

in

resp

ect

of a

ctiv

ities

in

the

Are

a, i

t is

app

ropr

iate

to

poin

t ou

t th

at t

he p

reca

utio

nary

appr

oach

is

also

an

inte

gral

par

t of

the

gen

eral

obl

igat

ion

of d

ue d

ilige

nce

of s

pons

orin

g St

ates

,

whi

ch i

s ap

plic

able

eve

n ou

tsid

e th

e sc

ope

of t

he R

egul

atio

ns.

The

due

dili

genc

e ob

ligat

ion

of

the

spon

sori

ng S

tate

s re

quir

es t

hem

to

take

all

appr

opri

ate

mea

sure

s to

pre

vent

dam

age

that

mig

ht r

esul

t fr

om t

he a

ctiv

ities

of

cont

ract

ors

that

the

y sp

onso

r. T

his

oblig

atio

n ap

plie

s in

situ

atio

ns w

here

sci

entif

ic e

vide

nce

conc

erni

ng t

he s

cope

and

pot

enti

al n

egat

ive

impa

ct o

f th

e

activ

ity i

n qu

estio

n is

ins

uffi

cien

t bu

t w

here

the

re a

re p

laus

ible

ind

icat

ions

of

pote

ntia

l ri

sks.

A

spon

sori

ng S

tate

wou

ld n

ot m

eet

its

obli

gati

on o

f du

e di

ligen

ce i

f it

disr

egar

ded

thos

e ri

sks.

Such

dis

rega

rd w

ould

am

ount

to a

fai

lure

to c

ompl

y w

ith th

e pr

ecau

tiona

ry a

ppro

ach.

132.

The

link

bet

wee

n an

obl

igat

ion

of d

ue d

ilige

nce

and

the

prec

auti

onar

y ap

proa

ch i

s im

plic

it

in th

e T

ribu

nal’

s O

rder

of

27 A

ugus

t 199

9 in

the

Sout

hern

Blu

efin

Tun

a C

ases

(N

ew Z

eala

nd v

.

Japa

n; A

ustr

alia

v.

Japa

n).

Thi

s em

erge

s fr

om t

he d

ecla

ratio

n of

the

Tri

buna

l th

at t

he p

artie

s

“sho

uld

in

the

circ

umst

ance

s ac

t w

ith

prud

ence

an

d ca

utio

n to

en

sure

th

at

cons

erva

tion

mea

sure

s ar

e ta

ken

…”

(IT

LO

S R

epor

ts 1

999,

p. 2

74, a

t pa

ragr

aph

77),

and

is

conf

irm

ed b

y th

e

furt

her

stat

emen

ts

that

“t

here

is

sc

ient

ific

un

cert

aint

y re

gard

ing

mea

sure

s to

be

ta

ken

to

cons

erve

the

sto

ck o

f so

uthe

rn b

luef

in t

una”

(pa

ragr

aph

79)

and

that

“al

thou

gh t

he T

ribu

nal

cann

ot c

oncl

usiv

ely

asse

ss th

e sc

ient

ific

evi

denc

e pr

esen

ted

by th

e pa

rtie

s, it

fin

ds th

at m

easu

res

shou

ld b

e ta

ken

as a

mat

ter

of u

rgen

cy”

(par

agra

ph 8

0).

133.

It

shou

ld b

e fu

rthe

r no

ted

that

the

Sul

phid

es R

egul

atio

ns,

Ann

ex 4

, se

ctio

n 5.

1, i

n se

ttin

g

out a

“st

anda

rd c

laus

e” f

or e

xplo

ratio

n co

ntra

cts,

pro

vide

s th

at:

The

Con

trac

tor

shal

l ta

ke n

eces

sary

mea

sure

s to

pre

vent

, re

duce

and

con

trol

pol

lutio

n an

d ot

her

haza

rds

to th

e m

arin

e en

viro

nmen

t ari

sing

fro

m it

s ac

tiviti

es in

the

Are

a as

far

Page

36

of 4

0

as r

easo

nabl

y po

ssib

le a

pply

ing

a pr

ecau

tion

ary

appr

oach

and

bes

t en

viro

nmen

tal

prac

tices

.

Thu

s, t

he p

reca

utio

nary

app

roac

h (c

alle

d “p

rinc

iple

” in

the

Fre

nch

text

of

the

stan

dard

cla

use

just

men

tione

d) i

s a

cont

ract

ual

oblig

atio

n of

the

spo

nsor

ed c

ontr

acto

rs w

hose

com

plia

nce

the

spon

sori

ng S

tate

has

the

resp

onsi

bilit

y to

ens

ure.

134.

In

the

para

llel

pro

visi

on o

f th

e co

rres

pond

ing

stan

dard

cla

uses

for

exp

lora

tion

cont

ract

s in

the

Nod

ules

Reg

ulat

ions

, A

nnex

4,

sect

ion

5.1,

no

refe

renc

e is

mad

e to

the

pre

caut

iona

ry

appr

oach

. H

owev

er,

unde

r th

e ge

nera

l ob

ligat

ion

illu

stra

ted

in p

arag

raph

131

, th

e sp

onso

ring

Stat

e ha

s to

tak

e m

easu

res

with

in t

he f

ram

ewor

k of

its

ow

n le

gal

syst

em i

n or

der

to o

blig

e

spon

sore

d en

titie

s to

ado

pt s

uch

an a

ppro

ach.

135.

The

Cha

mbe

r ob

serv

es t

hat

the

prec

autio

nary

app

roac

h ha

s be

en i

ncor

pora

ted

into

a

grow

ing

num

ber

of i

nter

natio

nal

trea

ties

and

othe

r in

stru

men

ts,

man

y of

whi

ch r

efle

ct t

he

form

ulat

ion

of P

rinc

iple

15

of th

e R

io D

ecla

ratio

n. I

n th

e vi

ew o

f th

e C

ham

ber,

this

has

initi

ated

a tr

end

tow

ards

mak

ing

this

app

roac

h pa

rt o

f cu

stom

ary

inte

rnat

iona

l la

w.

Thi

s tr

end

is c

lear

ly

rein

forc

ed b

y th

e in

clus

ion

of t

he p

reca

utio

nary

app

roac

h in

the

Reg

ulat

ions

and

in

the

“sta

ndar

d cl

ause

” co

ntai

ned

in A

nnex

4,

sect

ion

5.1,

of

the

Sulp

hide

s R

egul

atio

ns.

So d

oes

the

foll

owin

g st

atem

ent

in p

arag

raph

164

of

the

ICJ

Judg

men

t in

Pul

p M

ills

on

the

Riv

er U

rugu

ay

that

“a

prec

autio

nary

app

roac

h m

ay b

e re

leva

nt i

n th

e in

terp

reta

tion

and

app

lica

tion

of

the

prov

isio

ns o

f th

e St

atut

e” (

i.e.,

the

envi

ronm

enta

l bi

late

ral

trea

ty w

hose

int

erpr

etat

ion

was

the

mai

n bo

ne o

f co

nten

tion

betw

een

the

part

ies)

. Thi

s st

atem

ent

may

be

read

in

light

of

artic

le 3

1,

para

grap

h 3(

c),

of t

he V

ienn

a C

onve

ntio

n, a

ccor

ding

to

whi

ch t

he i

nter

pret

atio

n of

a t

reat

y

shou

ld t

ake

into

acc

ount

not

onl

y th

e co

ntex

t bu

t “a

ny r

elev

ant

rule

s of

int

erna

tiona

l la

w

appl

icab

le in

the

rela

tions

bet

wee

n th

e pa

rtie

s”.

Bes

t env

iron

men

tal p

ract

ices

136.

Mor

eove

r, r

egul

atio

n 33

, pa

ragr

aph

2, o

f th

e Su

lphi

des

Reg

ulat

ions

sup

plem

ents

the

spon

sori

ng S

tate

s ob

liga

tion

to

appl

y th

e pr

ecau

tion

ary

appr

oach

with

an

oblig

atio

n to

app

ly

“bes

t env

iron

men

tal p

ract

ices

”. T

he s

ame

oblig

atio

n is

est

ablis

hed

as a

con

trac

tual

obl

igat

ion

in

sect

ion

5.1

of

Ann

ex

4 (S

tand

ard

Cla

uses

fo

r ex

plor

atio

n co

ntra

cts)

of

th

e Su

lphi

des

Reg

ulat

ions

. T

here

is

no

re

fere

nce

to

“bes

t en

viro

nmen

tal

prac

tices

” in

th

e N

odul

es

Reg

ulat

ions

; th

eir

stan

dard

con

trac

t cl

ause

(A

nnex

4,

sect

ion

5.1)

, m

erel

y re

fers

to

the

“bes

t

tech

nolo

gy”

avai

labl

e to

the

con

trac

tor.

The

ado

ptio

n of

hig

her

stan

dard

s in

the

mor

e re

cent

Sulp

hide

s R

egul

atio

ns w

ould

see

m t

o in

dica

te t

hat,

in l

ight

of

the

adva

ncem

ent

in s

cien

tific

know

ledg

e, m

embe

r St

ates

of

the

Aut

hori

ty h

ave

beco

me

conv

ince

d of

the

nee

d fo

r sp

onso

ring

Stat

es to

app

ly “

best

env

iron

men

tal p

ract

ices

” in

gen

eral

term

s so

that

they

may

be

seen

to h

ave

beco

me

ensh

rine

d in

the

spon

sori

ng S

tate

s o

blig

atio

n of

due

dili

genc

e.

137.

In

the

abse

nce

of a

spe

cifi

c re

ason

to

the

cont

rary

, it

may

be

held

tha

t th

e N

odul

es

Reg

ulat

ions

sho

uld

be i

nter

pret

ed i

n lig

ht o

f th

e de

velo

pmen

t of

the

law

, as

evi

denc

ed b

y th

e

subs

eque

nt a

dopt

ion

of th

e Su

lphi

des

Reg

ulat

ions

.

[…]

VI.

Env

iron

men

tal i

mpa

ct a

sses

smen

t

Page

37

of 4

0

141.

The

obl

igat

ion

of t

he c

ontr

acto

r to

con

duct

an

envi

ronm

enta

l im

pact

ass

essm

ent

is

expl

icitl

y se

t out

in s

ectio

n 1,

par

agra

ph 7

, of

the

Ann

ex to

the

1994

Agr

eem

ent a

s fo

llow

s: “

An

appl

icat

ion

for

appr

oval

of

a pl

an o

f w

ork

shal

l be

acc

ompa

nied

by

an a

sses

smen

t of

the

pote

ntia

l en

viro

nmen

tal

impa

cts

of t

he p

ropo

sed

activ

ities

…”.

The

spo

nsor

ing

Stat

e is

und

er a

due

dilig

ence

obl

igat

ion

to e

nsur

e co

mpl

ianc

e by

the

spon

sore

d co

ntra

ctor

with

this

obl

igat

ion.

142.

Reg

ulat

ion

31, p

arag

raph

6, o

f th

e N

odul

es R

egul

atio

ns a

nd r

egul

atio

n 33

, par

agra

ph 6

, of

the

Sulp

hide

s R

egul

atio

ns e

stab

lish

a di

rect

obl

igat

ion

of t

he s

pons

orin

g St

ate

conc

erni

ng

envi

ronm

enta

l im

pact

ass

essm

ent,

whi

ch c

an a

lso

be r

ead

as a

rel

evan

t fa

ctor

for

mee

ting

the

spon

sori

ng S

tate

’s d

ue d

ilig

ence

obl

igat

ion.

Thi

s ob

ligat

ion

is l

inke

d to

the

dir

ect

obli

gati

on o

f

assi

stin

g th

e A

utho

rity

con

side

red

at p

arag

raph

124

. The

abo

vem

enti

oned

pro

visi

ons

of t

he t

wo

Reg

ulat

ions

rea

d as

fol

low

s: “

[c]o

ntra

ctor

s, s

pons

orin

g St

ates

and

oth

er i

nter

este

d St

ates

or

entit

ies

shal

l co

oper

ate

with

th

e A

utho

rity

in

th

e es

tabl

ishm

ent

and

impl

emen

tati

on

of

prog

ram

mes

for

mon

itor

ing

and

eval

uati

ng t

he i

mpa

cts

of d

eep

seab

ed m

inin

g on

the

mar

ine

envi

ronm

ent”

. Thi

s pr

ovis

ion

is d

esig

ned

to c

lari

fy a

nd e

nsur

e co

mpl

ianc

e w

ith t

he s

pons

orin

g

Stat

e’s

oblig

atio

n to

coo

pera

te w

ith t

he A

utho

rity

in

the

exer

cise

of

the

latte

r’s

cont

rol

over

activ

ities

in

the

Are

a un

der

artic

le 1

53,

para

grap

h 4,

of

the

Con

vent

ion,

and

of

its

gene

ral

oblig

atio

n of

due

dili

genc

e un

der

artic

le 1

39 th

ereo

f.

The

spo

nsor

ing

Stat

e is

obl

iged

not

onl

y to

coo

pera

te w

ith t

he A

utho

rity

in

the

esta

blis

hmen

t

and

impl

emen

tati

on o

f im

pact

ass

essm

ents

, but

als

o to

use

app

ropr

iate

mea

ns t

o en

sure

tha

t th

e

cont

ract

or c

ompl

ies

with

its

oblig

atio

n to

con

duct

an

envi

ronm

enta

l im

pact

ass

essm

ent.

143.

Con

trac

tors

and

spo

nsor

ing

Stat

es m

ust

coop

erat

e w

ith t

he A

utho

rity

in

the

esta

blis

hmen

t

of m

onito

ring

pro

gram

mes

to

eval

uate

the

im

pact

of

deep

sea

bed

min

ing

on t

he m

arin

e

envi

ronm

ent,

part

icul

arly

thr

ough

the

cre

atio

n of

“im

pact

ref

eren

ce z

ones

” an

d “p

rese

rvat

ion

refe

renc

e zo

nes”

(re

gula

tion

31, p

arag

raph

s 6

and

7, o

f th

e N

odul

es R

egul

atio

ns a

nd r

egul

atio

n

33,

para

grap

h 6,

of

th

e Su

lphi

des

Reg

ulat

ions

).

A

com

pari

son

betw

een

envi

ronm

enta

l

cond

ition

s in

the

“im

pact

ref

eren

ce z

one”

and

in

the

“pre

serv

atio

n re

fere

nce

zone

” m

akes

it

poss

ible

to a

sses

s th

e im

pact

of

activ

ities

in th

e A

rea.

144.

As

clar

ifie

d in

par

agra

ph 1

0 of

the

Rec

omm

enda

tions

for

the

Gui

danc

e of

the

Con

trac

tors

for

the

Ass

essm

ent

of

the

Poss

ible

E

nvir

onm

enta

l Im

pact

s A

risi

ng

from

E

xplo

rati

on

for

Poly

met

allic

Nod

ules

in

the

Are

a, i

ssue

d by

the

Aut

hori

tys

Leg

al a

nd T

echn

ical

Com

mis

sion

in 2

002

purs

uant

to

regu

lati

on 3

8 of

the

Nod

ules

Reg

ulat

ions

(IS

BA

/7/L

TC

/1/R

ev.1

of

13

Febr

uary

200

2), c

erta

in a

ctiv

ities

req

uire

“pr

ior

envi

ronm

enta

l im

pact

ass

essm

ent,

as w

ell

as a

n

envi

ronm

enta

l m

onit

orin

g pr

ogra

mm

e”.

The

se a

ctiv

itie

s ar

e li

sted

in

para

grap

h 10

(a)

to

(c)

of

the

Rec

omm

enda

tions

.

145.

It s

houl

d be

str

esse

d th

at th

e ob

liga

tion

to c

ondu

ct a

n en

viro

nmen

tal i

mpa

ct a

sses

smen

t is

a

dire

ct o

blig

atio

n un

der

the

Con

vent

ion

and

a ge

nera

l ob

liga

tion

und

er c

usto

mar

y in

tern

atio

nal

law

.

146.

As

rega

rds

the

Con

vent

ion,

art

icle

206

sta

tes

the

follo

win

g:

Whe

n St

ates

hav

e re

ason

able

gro

unds

for

bel

ievi

ng t

hat

plan

ned

acti

viti

es u

nder

the

ir

juri

sdic

tion

or c

ontr

ol m

ay c

ause

sub

stan

tial

poll

utio

n of

or

sign

ific

ant

and

harm

ful

chan

ges

to th

e m

arin

e en

viro

nmen

t, th

ey s

hall,

as

far

as p

ract

icab

le, a

sses

s th

e po

tent

ial

Page

38

of 4

0

effe

cts

of s

uch

activ

ities

on

the

mar

ine

envi

ronm

ent

and

shal

l co

mm

unic

ate

repo

rts

of

the

resu

lts o

f su

ch a

sses

smen

ts in

the

man

ner

prov

ided

in a

rtic

le 2

05.

[Art

icle

205

ref

ers

to a

n ob

liga

tion

to p

ubli

sh r

epor

ts.]

147.

With

res

pect

to

cust

omar

y in

tern

atio

nal

law

, th

e IC

J, i

n its

Jud

gmen

t in

Pul

p M

ills

on

the

Riv

er U

rugu

ay, s

peak

s of

:

a pr

actic

e, w

hich

in

rece

nt y

ears

has

gai

ned

so m

uch

acce

ptan

ce a

mon

g St

ates

tha

t it

m

ay n

ow b

e co

nsid

ered

a r

equi

rem

ent

unde

r ge

nera

l in

tern

atio

nal

law

to

unde

rtak

e an

en

viro

nmen

tal

impa

ct a

sses

smen

t w

here

the

re i

s a

risk

tha

t th

e pr

opos

ed i

ndus

tria

l ac

tivity

may

hav

e a

sign

ific

ant a

dver

se im

pact

in a

tra

nsbo

unda

ry c

onte

xt, i

n pa

rtic

ular

, on

a s

hare

d re

sour

ce. M

oreo

ver,

due

dili

genc

e, a

nd th

e du

t y o

f vi

gila

nce

and

prev

enti

on

whi

ch i

t im

plie

s, w

ould

not

be

cons

ider

ed t

o ha

ve b

een

exer

cise

d, i

f a

part

y pl

anni

ng

wor

ks l

iabl

e to

aff

ect

the

régi

me

of t

he r

iver

or

the

qual

ity o

f its

wat

ers

did

not

unde

rtak

e an

env

iron

men

tal

impa

ct a

sses

smen

t on

the

pot

entia

l ef

fect

s of

suc

h w

orks

. (P

arag

raph

204

)

148.

Alth

ough

aim

ed a

t th

e sp

ecif

ic s

ituat

ion

unde

r di

scus

sion

by

the

Cou

rt,

the

lang

uage

use

d

seem

s br

oad

enou

gh t

o co

ver

acti

viti

es i

n th

e A

rea

even

bey

ond

the

scop

e of

the

Reg

ulat

ions

.

The

Cou

rt’s

rea

soni

ng in

a tr

ansb

ound

ary

cont

ext m

ay a

lso

appl

y to

act

ivit

ies

wit

h an

impa

ct o

n

the

envi

ronm

ent

in

an

area

be

yond

th

e lim

its

of

natio

nal

juri

sdic

tion;

an

d th

e C

ourt

s

refe

renc

es t

o “s

hare

d re

sour

ces”

may

als

o ap

ply

to r

esou

rces

tha

t ar

e th

e co

mm

on h

erita

ge o

f

man

kind

. T

hus,

in

light

of

the

cust

omar

y ru

le m

entio

ned

by t

he I

CJ,

it

may

be

cons

ider

ed t

hat

envi

ronm

enta

l im

pact

ass

essm

ents

sho

uld

be i

nclu

ded

in t

he s

yste

m o

f co

nsul

tati

ons

and

prio

r

notif

icat

ions

set

out

in

artic

le 1

42 o

f th

e C

onve

ntio

n w

ith r

espe

ct t

o “r

esou

rce

depo

sits

in

the

Are

a w

hich

lie

acro

ss li

mit

s of

nat

iona

l jur

isdi

ctio

n”.

149.

It

mus

t, ho

wev

er,

be o

bser

ved

that

, in

the

vie

w o

f th

e IC

J, g

ener

al i

nter

natio

nal

law

doe

s

not

“spe

cify

the

sco

pe a

nd c

onte

nt o

f an

env

iron

men

tal

impa

ct a

sses

smen

t” (

para

grap

h 20

5 of

the

Judg

men

t in

Pul

p M

ills

on

the

Riv

er U

rugu

ay).

Whi

le a

rtic

le 2

06 o

f th

e C

onve

ntio

n gi

ves

only

few

indi

catio

ns o

f th

is s

cope

and

con

tent

, the

indi

catio

ns in

the

Reg

ulat

ions

, and

esp

ecia

lly

in t

he R

ecom

men

datio

ns r

efer

red

to i

n pa

ragr

aph

144,

add

pre

cisi

on a

nd s

peci

fici

ty t

o th

e

oblig

atio

n as

it a

pplie

s in

the

cont

ext o

f ac

tiviti

es in

the

Are

a.

150.

In

ligh

t of

the

abov

e, th

e C

ham

ber

is o

f th

e vi

ew th

at th

e ob

ligat

ions

of

the

cont

ract

ors

and

of th

e sp

onso

ring

Sta

tes

conc

erni

ng e

nvir

onm

enta

l im

pact

ass

essm

ents

ext

end

beyo

nd th

e sc

ope

of a

pplic

atio

n of

spe

cifi

c pr

ovis

ions

of

the

Reg

ulat

ions

.

VII

. Int

eres

ts a

nd n

eeds

of

deve

lopi

ng S

tate

s

151.

With

res

pect

to

activ

ities

in

the

Are

a, t

he f

ifth

pre

ambu

lar

para

grap

h of

the

Con

vent

ion

stat

es th

at th

e ac

hiev

emen

t of

the

goal

s se

t out

in p

revi

ous

prea

mbu

lar

para

grap

hs:

will

con

trib

ute

to t

he r

ealiz

atio

n of

a j

ust

and

equi

tabl

e in

tern

atio

nal

econ

omic

ord

er

whi

ch t

akes

int

o ac

coun

t th

e in

tere

sts

and

need

s of

man

kind

as

a w

hole

and

, in

pa

rtic

ular

, th

e sp

ecia

l in

tere

sts

and

need

s of

dev

elop

ing

coun

trie

s, w

heth

er c

oast

al o

r la

nd-l

ocke

d.

152.

Acc

ordi

ngly

, it

is

nece

ssar

y to

exa

min

e w

heth

er d

evel

opin

g sp

onso

ring

Sta

tes

enjo

y

pref

eren

tial

trea

tmen

t as

com

pare

d w

ith

that

gra

nted

to

deve

lope

d sp

onso

ring

Sta

tes

unde

r th

e

Con

vent

ion

and

rela

ted

inst

rum

ents

.

Page

39

of 4

0

153.

Und

er a

rtic

le 1

40, p

arag

raph

1, o

f th

e C

onve

ntio

n:

Act

iviti

es i

n th

e A

rea

shal

l, as

spe

cifi

cally

pro

vide

d fo

r in

thi

s Pa

rt,

be c

arri

ed o

ut f

or

the

bene

fit

of m

anki

nd a

s a

who

le,

irre

spec

tive

of

the

geog

raph

ical

loc

atio

n of

Sta

tes,

w

heth

er c

oast

al o

r la

nd-l

ocke

d, a

nd ta

king

into

par

ticul

ar c

onsi

dera

tion

the

inte

rest

s an

d ne

eds

of d

evel

opin

g St

ates

154.

Acc

ordi

ng to

art

icle

148

of

the

Con

vent

ion:

The

eff

ectiv

e pa

rtic

ipat

ion

of d

evel

opin

g St

ates

in

activ

ities

in

the

Are

a sh

all

be

prom

oted

as

spec

ific

ally

pro

vide

d fo

r in

thi

s Pa

rt,

havi

ng d

ue r

egar

d to

the

ir s

peci

al

inte

rest

s an

d ne

eds,

and

in

part

icul

ar t

o th

e sp

ecia

l ne

eds

of t

he l

and-

lock

ed a

nd

geog

raph

ical

ly d

isad

vant

aged

am

ong

them

to

over

com

e ob

stac

les

aris

ing

from

the

ir

disa

dvan

tage

d lo

catio

n, i

nclu

ding

rem

oten

ess

from

the

Are

a an

d di

ffic

ulty

of

acce

ss t

o an

d fr

om it

.

155.

The

se p

rovi

sion

s de

velo

p, w

ith r

espe

ct t

o ac

tiviti

es i

n th

e A

rea,

the

sta

tem

ent

in t

he f

ifth

prea

mbu

lar

para

grap

h of

the

Con

vent

ion.

156.

For

the

pur

pose

s of

the

pre

sent

Adv

isor

y O

pini

on,

and

in p

artic

ular

of

Que

stio

n 1,

it

is

impo

rtan

t to

det

erm

ine

the

mea

ning

of

arti

cle

148

of t

he C

onve

ntio

n. A

ccor

ding

to

this

prov

isio

n, t

he g

ener

al p

urpo

se o

f pr

omot

ing

the

part

icip

atio

n of

dev

elop

ing

Stat

es i

n ac

tivi

ties

in th

e A

rea

taki

ng in

to a

ccou

nt th

eir

spec

ial i

nter

ests

and

nee

ds is

to b

e ac

hiev

ed “

as s

peci

fica

lly

prov

ided

for

” in

Par

t XI

(an

expr

essi

on a

lso

foun

d in

art

icle

140

of

the

Con

vent

ion)

. Thi

s m

eans

that

the

re i

s no

gen

eral

cla

use

for

the

cons

ider

atio

n of

suc

h in

tere

sts

and

need

s be

yond

wha

t is

prov

ided

for

in

spec

ific

pro

visi

ons

of P

art

XI

of t

he C

onve

ntio

n. A

per

usal

of

Part

XI

show

s

imm

edia

tely

tha

t th

ere

are

seve

ral

prov

isio

ns d

esig

ned

to e

nsur

e th

e pa

rtic

ipat

ion

of d

evel

opin

g

Stat

es in

act

iviti

es in

the

Are

a an

d to

take

into

par

ticul

ar c

onsi

dera

tion

thei

r in

tere

sts

and

need

s.

157.

The

app

roac

h of

the

Con

vent

ion

to t

his

is p

arti

cula

rly

evid

ent

in t

he p

rovi

sion

s gr

anti

ng a

pref

eren

ce t

o de

velo

ping

Sta

tes

that

wis

h to

eng

age

in m

inin

g in

are

as o

f th

e de

ep s

eabe

d

rese

rved

for

the

Aut

hori

ty (

Ann

ex I

II,

artic

les

8 an

d 9,

of

the

Con

vent

ion)

; in

the

obl

igat

ion

of

Stat

es t

o pr

omot

e in

tern

atio

nal

coop

erat

ion

in m

arin

e sc

ient

ific

res

earc

h in

the

Are

a in

ord

er t

o

ensu

re t

hat

prog

ram

mes

are

dev

elop

ed “

for

the

bene

fit

of d

evel

opin

g St

ates

” (a

rtic

le 1

43,

para

grap

h 3,

of

the

Con

vent

ion)

; an

d in

the

obl

igat

ion

of t

he A

utho

rity

and

of

Stat

es P

arti

es t

o

prom

ote

the

tran

sfer

of

tech

nolo

gy t

o de

velo

ping

Sta

tes

(art

icle

144

, pa

ragr

aph

1, o

f th

e

Con

vent

ion

and

sect

ion

5 of

the

Ann

ex t

o th

e 19

94 A

gree

men

t),

and

to p

rovi

de t

rain

ing

oppo

rtun

ities

for

per

sonn

el f

rom

dev

elop

ing

Stat

es (

arti

cle

144,

par

agra

ph 2

, of

the

Con

vent

ion

and

sect

ion

5 of

the

Ann

ex t

o th

e 19

94 A

gree

men

t);

in t

he p

erm

issi

on g

rant

ed t

o th

e A

utho

rity

in t

he e

xerc

ise

of i

ts p

ower

s an

d fu

nctio

ns t

o gi

ve s

peci

al c

onsi

dera

tion

to

deve

lopi

ng S

tate

s,

notw

iths

tand

ing

the

rule

aga

inst

dis

crim

inat

ion

(art

icle

152

of

the

Con

vent

ion)

; an

d in

the

obli

gati

on o

f th

e C

ounc

il t

o ta

ke “

into

par

ticu

lar

cons

ider

atio

n th

e in

tere

sts

and

need

s of

deve

lopi

ng

Stat

es”

in

reco

mm

endi

ng,

and

appr

ovin

g,

resp

ectiv

ely,

ru

les

regu

latio

ns

and

proc

edur

es o

n th

e eq

uita

ble

shar

ing

of f

inan

cial

and

oth

er b

enef

its d

eriv

ed f

rom

act

iviti

es in

the

Are

a (a

rtic

les

160,

par

agra

ph 2

(f)(

i), a

nd 1

62, p

arag

raph

2(o

)(i)

, of

the

Con

vent

ion)

.

158.

How

ever

, non

e of

the

gen

eral

pro

visi

ons

of t

he C

onve

ntio

n co

ncer

ning

the

res

pons

ibil

itie

s

(or

the

liabi

lity)

of

the

spon

sori

ng S

tate

“sp

ecif

ical

ly p

rovi

des”

for

acc

ordi

ng p

refe

rent

ial

trea

tmen

t to

spo

nsor

ing

Stat

es t

hat

are

deve

lopi

ng S

tate

s. A

s ob

serv

ed a

bove

, th

ere

is n

o

prov

isio

n re

quir

ing

the

cons

ider

atio

n of

suc

h in

tere

sts

and

need

s be

yond

wha

t is

spe

cifi

call

y

Page

40

of 4

0

stat

ed i

n Pa

rt X

I. I

t m

ay t

here

fore

be

conc

lude

d th

at t

he g

ener

al p

rovi

sion

s co

ncer

ning

the

resp

onsi

bilit

ies

and

liabi

lity

of t

he s

pons

orin

g St

ate

appl

y eq

ually

to

all

spon

sori

ng S

tate

s,

whe

ther

dev

elop

ing

or d

evel

oped

.

159.

Equ

ality

of

trea

tmen

t be

twee

n de

velo

ping

and

dev

elop

ed s

pons

orin

g St

ates

is

cons

iste

nt

with

the

nee

d to

pre

vent

com

mer

cial

ent

erpr

ises

bas

ed i

n de

velo

ped

Stat

es f

rom

set

ting

up

com

pani

es i

n de

velo

ping

Sta

tes,

acq

uiri

ng t

heir

nat

iona

lity

and

obt

aini

ng t

heir

spo

nsor

ship

in

the

hope

of

bein

g su

bjec

ted

to l

ess

burd

enso

me

regu

lati

ons

and

cont

rols

. T

he s

prea

d of

spon

sori

ng

Stat

es

“of

conv

enie

nce”

w

ould

je

opar

dize

un

ifor

m

appl

icat

ion

of

the

high

est

stan

dard

s of

pro

tect

ion

of t

he m

arin

e en

viro

nmen

t, th

e sa

fe d

evel

opm

ent

of a

ctiv

ities

in

the

Are

a an

d pr

otec

tion

of th

e co

mm

on h

erita

ge o

f m

anki

nd.

160.

The

se o

bser

vati

ons

do n

ot e

xclu

de th

at r

ules

set

ting

out

dir

ect o

blig

atio

ns o

f th

e sp

onso

ring

Stat

e co

uld

prov

ide

for

diff

eren

t tre

atm

ent f

or d

evel

oped

and

dev

elop

ing

spon

sori

ng S

tate

s.

161.

As

poin

ted

out

in p

arag

raph

125

, th

e pr

ovis

ions

of

the

Nod

ules

Reg

ulat

ions

and

the

Sulp

hide

s R

egul

atio

ns

that

se

t ou

t th

e ob

ligat

ion

for

the

spon

sori

ng

Stat

e to

ap

ply

a

prec

autio

nary

app

roac

h in

ens

urin

g ef

fect

ive

prot

ectio

n of

the

mar

ine

envi

ronm

ent

refe

r to

Prin

cipl

e 15

of

the

Rio

Dec

lara

tion.

As

men

tione

d ea

rlie

r, P

rinc

iple

15

prov

ides

tha

t th

e

prec

autio

nary

app

roac

h sh

all

be a

pplie

d by

Sta

tes

“acc

ordi

ng t

o th

eir

capa

bili

ties”

. It

fol

low

s

that

the

req

uire

men

ts f

or c

ompl

ying

with

the

obl

igat

ion

to a

pply

the

pre

caut

iona

ry a

ppro

ach

may

be

stri

cter

for

the

dev

elop

ed t

han

for

the

deve

lopi

ng s

pons

orin

g St

ates

. T

he r

efer

ence

to

diff

eren

t cap

abili

ties

in th

e R

io D

ecla

rati

on d

oes

not,

how

ever

, app

ly to

the

oblig

atio

n to

fol

low

“bes

t env

iron

men

tal p

ract

ices

” se

t out

, as

men

tion

ed a

bove

, in

regu

lati

on 3

3, p

arag

raph

2, o

f th

e

Sulp

hide

s R

egul

atio

ns.

162.

Fur

ther

mor

e, t

he r

efer

ence

to

“cap

abili

ties”

is

only

a b

road

and

im

prec

ise

refe

renc

e to

the

diff

eren

ces

in d

evel

oped

and

dev

elop

ing

Stat

es.

Wha

t co

unts

in

a sp

ecif

ic s

ituat

ion

is t

he l

evel

of s

cien

tific

kno

wle

dge

and

tech

nica

l ca

pabi

lity

avai

labl

e to

a g

iven

Sta

te i

n th

e re

leva

nt

scie

ntif

ic a

nd te

chni

cal f

ield

s.

163.

It

shou

ld b

e po

inte

d ou

t th

at t

he f

ifth

pre

ambu

lar

para

grap

h of

the

Con

vent

ion

emph

asiz

es

that

the

ach

ieve

men

t of

the

goa

ls o

f th

e C

onve

ntio

n w

ill

“con

trib

ute

to t

he r

eali

zati

on o

f a

just

and

equi

tabl

e in

tern

atio

nal

econ

omic

ord

er w

hich

tak

es i

nto

acco

unt

the

inte

rest

s an

d ne

eds

of

man

kind

as

a w

hole

and

, in

par

ticul

ar,

the

spec

ial

inte

rest

s an

d ne

eds

of d

evel

opin

g co

untr

ies,

whe

ther

coa

stal

or

land

lock

ed”.

As

note

d ab

ove,

art

icle

148

of

the

Con

vent

ion

spea

ks a

bout

the

prom

otio

n of

the

eff

ectiv

e pa

rtic

ipat

ion

of d

evel

opin

g St

ates

in

activ

ities

in

the

Are

a. W

hat

is

mor

e im

port

ant

is t

hat

Ann

ex I

II, a

rtic

le 9

, par

agra

ph 4

, of

the

Con

vent

ion

spec

ific

ally

ref

ers

to

the

righ

t of

a d

evel

opin

g St

ate

or a

ny n

atur

al o

r ju

ridi

cal

pers

on s

pons

ored

by

it an

d ef

fect

ivel

y

cont

rolle

d by

it, t

o in

form

the

Aut

hori

ty th

at it

wis

hes

to s

ubm

it a

plan

of

wor

k w

ith r

espe

ct to

a

rese

rved

are

a. T

hese

pro

visi

ons

have

the

eff

ect

of r

eser

ving

hal

f of

the

pro

pose

d co

ntra

ct a

reas

in f

avou

r of

the

Aut

hori

ty a

nd d

evel

opin

g St

ates

. T

oget

her

wit

h th

ose

prov

isio

ns m

enti

oned

in

para

grap

h 15

7, t

hey

requ

ire

effe

ctiv

e im

plem

enta

tion

wit

h a

view

to

enab

ling

the

dev

elop

ing

Stat

es

to

part

icip

ate

in

deep

se

abed

m

inin

g on

an

eq

ual

foot

ing

wit

h de

velo

ped

Stat

es.

Dev

elop

ing

Stat

es s

houl

d re

ceiv

e ne

cess

ary

assi

stan

ce in

clud

ing

trai

ning

.

****

*