Volume III | INTERNATIONAL COURT OF JUSTICE

Document Number

18620

Parent Document Number

18616

Document File

18620.pdf

INTERNATIONAL COURT OF JUSTICE

OBLIGATION TO NEGOTIATE ACCESS TO THE
PACIFIC OCEAN

(BOLIVIA v. CHILE)

PRELIMINARY OBJECTION OF THE

REPUBLIC OF CHILE

Volume 3
(Annexes 47 - 77)

15 JULY 2014 LIST OF ANNEXES

(V OLUMES 1, 2AND 3)

ANNEX T ITLE SOURCE PAGE
N O N O

VOLUME 1:C ORE DOCUMENTS
ANNEXES 1 -13

Annex 1 Treaty of Peace of Ancón between Spanish transcription 71
Chile and Peru, signed at Lima on submitted by Bolivia as
20 October 1883 (the Treaty of Annex 97 to its
Ancón) Memorial

Spanish transcription, English
translation

Annex 2 Truce Pact between Bolivia and Original submitted by 77
Chile, signed at Valparaíso on Bolivia as Annex 108 to
4 April 1884 (the 1884 Truce Pact)its Memorial

Spanish transcription, English
translation, original in Spanish

Annex 3 Treaty on Transfer of Territory Original submitted by 91
between Bolivia and Chile, signed Bolivia as Annex 98 to

Santiago on 18 May 1895 (the 1895 its Memorial
Treaty)

Spanish transcription, English
translation, original in Spanish

Annex 4 Protocol of 9 December 1895 on theChile, Ministry of 105
scope of the obligations agreed upForeign Affairs, Report
in the treaties of 18 May between of the Minister of

Bolivia and Chile, signed at SucreForeign Affairs to the
9 December 1895 (the National Congress
December 1895 Protocol) (1897), p 179

Original in Spanish, English
translation LIST OF ANNEXES

(V OLUMES 1, 2 AND 3)

ANNEX TITLE S OURCE PAGE
N O NO

VOLUME 1:C ORE D OCUMENTS
A NNEXES 1 -13

Annex 1 Treaty of Peace of Ancón between Spanish transcription 71
Chile and Peru, signed at Lima on submitted by Bolivia as
20 October 1883 (the Treaty of Annex 97 to its
Ancón) Memorial

Spanish transcription, English
translation

Annex 2 Truce Pact between Bolivia and Original submitted by 77
Chile, signed at Valparaíso on Bolivia as Annex 108 to
4 April 1884 (the 1884 Truce Pact) its Memorial

Spanish transcription, English
translation, original in Spanish

Annex 3 Treaty on Transfer of Territory Original submitted by 91
between Bolivia and Chile, signed aBolivia as Annex 98 to

Santiago on 18 May 1895 (the 1895 its Memorial
Treaty)

Spanish transcription, English
translation, original in Spanish

Annex 4 Protocol of 9 December 1895 on the Chile, Ministry of 105
scope of the obligations agreed upoForeign Affairs, Report
in the treaties of 18 May between of the Minister of

Bolivia and Chile, signed at Sucre Foreign Affairs to the
9 December 1895 (the National Congress
December 1895 Protocol) (1897), p 179

Original in Spanish, English
translation

i ANNEX T ITLE S OURCE PAGE
NO N O

Annex 5 Note from Heriberto Gutiérrez, Chile, Ministry of 109
Extraordinary Envoy and Minister Foreign Affairs, Report
Plenipotentiary of Bolivia in Chile, to the Minister of

Adolfo Guerrero, Minister of Foreign Foreign Affairs to the
Affairs of Chile, No 117, National Congress
29 April 1896 (1897), p 182

Original in Spanish, English
translation

Annex 6 Note from Adolfo Guerrero, Minister Chile, Ministry of 113
of Foreign Affairs of Chile, to Foreign Affairs, Report
Heriberto Gutiérrez, Extraordinary of the Minister of

Envoy and Minister Plenipotentiary Foreign Affairs to the
of Bolivia in Chile, No 521, National Congress
29 April 1896 (1897), p 183

Original in Spanish, English
translation

Annex 7 Note from Heriberto Gutiérrez, Chile, Ministry of 117
Extraordinary Envoy and Minister Foreign Affairs, Report
Plenipotentiary of Bolivia in Chile, of the Minister of

Adolfo Guerrero, Minister of Foreign Foreign Affairs to the
Affairs of Chile, No 118, National Congress
30 April 1896 (1897), p 184

Original in Spanish, English
translation

Annex 8 Explanatory Protocol of the Protocol Original submitted by 121
of 9 December 1895 between Bolivia Bolivia as Annex 106 to
and Chile, signed at Santiago on its Memorial

30 April 1896 (the 1896 Protocol)
Spanish transcription, English

translation, original in Spanish

ii ANNEX TITLE SOURCE PAGE
N O N O

Annex 5 Note from Heriberto Gutiérrez, Chile, Ministry of 109
Extraordinary Envoy and Minister Foreign Affairs, Report
Plenipotentiary of Bolivia in Chile, to the Minister of

Adolfo Guerrero, Minister of Foreign Foreign Affairs to the
Affairs of Chile, No 117, National Congress
29 April 1896 (1897), p 182

Original in Spanish, English
translation

Annex 6 Note from Adolfo Guerrero, Minister Chile, Ministry of 113
of Foreign Affairs of Chile, to Foreign Affairs, Report
Heriberto Gutiérrez, Extraordinary of the Minister of

Envoy and Minister Plenipotentiary Foreign Affairs to the
of Bolivia in Chile, No 521, National Congress
29 April 1896 (1897), p 183

Original in Spanish, English
translation

Annex 7 Note from Heriberto Gutiérrez, Chile, Ministry of 117
Extraordinary Envoy and Minister Foreign Affairs, Report
Plenipotentiary of Bolivia in Chile, of the Minister of

Adolfo Guerrero, Minister of Foreign Foreign Affairs to the
Affairs of Chile, No 118, National Congress
30 April 1896 (1897), p 184

Original in Spanish, English
translation

Annex 8 Explanatory Protocol of the Protocol Original submitted by 121
of 9 December 1895 between Bolivia Bolivia as Annex 106 to
and Chile, signed at Santiago on its Memorial

30 April 1896 (the 1896 Protocol)
Spanish transcription, English

translation, original in Spanish ANNEX T ITLE S OURCE PAGE
NO NO

Annex 13 American Treaty on Pacific 30 United Nations 231
Settlement, signed at Bogotá on Treaty Series 83

30 April 1948 (entry into force
6 May 1949) (the Pact of Bogotá)

Original in English and Spanish

VOLUME 2:A NNEXES 14-46

Annex 14 Protocol to Seek an Arrangement to Put Chile, Ministry of 265
an End to the War of the Pacific, Foreign Affairs,

13 February 1884 Treaties, Conventions
Original in Spanish, English translationnd International
Arrangements of
Chile 1810-1976,
Volume II (1977),

pp 52-55

Annex 15 Treaty of Commerce between the Chile, Ministry of 275
Republics of Chile and Bolivia, signed Foreign Affairs,
at Santiago on 18 May 1895 Report of the Minister
of Foreign Affairs to
Original in Spanish, English translation
the National Congress
(1897), p 170

Annex 16 Protocol on Debts between Bolivia and Bolivia, Ministry of 291
Chile, signed at Santiago on Foreign Affairs,
28 May 1895 Report of the Minister

Original in Spanish, English translationf Foreign Affairs to
the Ordinary
Congress (1896),
p 182

iv ANNEX T ITLE SOURCE PAGE
N O NO

Annex 13 American Treaty on Pacific 30 United Nations 231
Settlement, signed at Bogotá on Treaty Series 83

30 April 1948 (entry into force
6 May 1949) (the Pact of Bogotá)

Original in English and Spanish

V OLUME 2:A NNEXES 14-46

Annex 14 Protocol to Seek an Arrangement to Put Chile, Ministry of 265
an End to the War of the Pacific, Foreign Affairs,

13 February 1884 Treaties, Conventions
Original in Spanish, English translationnd International
Arrangements of
Chile 1810-1976,
Volume II (1977),

pp 52-55

Annex 16 Protocol on Debts between Bolivia and Bolivia, Ministry of 291
Chile, signed at Santiago on Foreign Affairs,
28 May 1895 Report of the Minister

Original in Spanish, English translationf Foreign Affairs to
the Ordinary
Congress (1896),
p 182 ANNEX T ITLE S OURCE PAGE
NO N O

Annex 21 Agreement between Bolivia and Chile Bolivia, Ministry of 349
to Postpone the Exchange of Foreign Affairs,
Instruments of Ratification for the Treaties Archive,

Treaties signed on 18 May 1895 until No 16
30 January 1896, signed at Santiago on
15 January 1896

Spanish transcription, English
translation, original in Spanish

Annex 22 Chamber of Deputies of Chile, Chile, Records of the 353
Extraordinary Secret Session No33 of Chamber of Deputies
16 January 1896 (extract) (1896)

Original in Spanish, English translation

Annex 23 Chamber of Deputies of Chile, Chile, Records of the 375

Extraordinary Secret Session No34 of Chamber of Deputies
17 January 1896 (extract) (1896)
Original in Spanish, English translation

Annex 24 Agreement between Bolivia and Chile Bolivia, Ministry of 407
to Postpone the Exchange of Foreign Affairs,
Instruments of Ratification for the Treaties Archive,
Treaties signed on 18 May 1895 until No 17
30 April 1896, signed at Santiago on

30 January 1896
Spanish transcription, English
translation, original in Spanish

Annex 25 Letter from the Ministry of Foreign Archives of the 411
Affairs of Chile to Manuel Salinas, Ministry of Foreign
Extraordinary Envoy and Minister Affairs of Chile
Plenipotentiary of Chile in Bolivia,
15 June 1897 (extract)

Spanish transcription, English
translation, original in Spanish

vi ANNEX TITLE SOURCE PAGE
N O N O

Annex 21 Agreement between Bolivia and Chile Bolivia, Ministry of 349
to Postpone the Exchange of Foreign Affairs,
Instruments of Ratification for the Treaties Archive,

Treaties signed on 18 May 1895 until No 16
30 January 1896, signed at Santiago on
15 January 1896

Spanish transcription, English
translation, original in Spanish

Annex 22 Chamber of Deputies of Chile, Chile, Records of the 353
Extraordinary Secret Session No33 of Chamber of Deputies
16 January 1896 (extract) (1896)

Original in Spanish, English translation

Annex 23 Chamber of Deputies of Chile, Chile, Records of the 375

Extraordinary Secret Session No34 of Chamber of Deputies
17 January 1896 (extract) (1896)
Original in Spanish, English translation

30 January 1896
Spanish transcription, English
translation, original in Spanish

Spanish transcription, English
translation, original in Spanish A NNEX T ITLE SOURCE PAGE
NO N O

Annex 31 Act of Exchange of Instruments of Bolivia, Ministry of 537
Ratification for the 1904 Treaty of Foreign Affairs,
Peace and Amity between Bolivia and Collection of Treaties

Chile, 10 March 1905 in Force in the
Original in Spanish, English translationepublic of Bolivia,
Volume IV, p 405

Annex 32 Protocol that Designates an Arbitrator Chile, Ministry of 541
between Bolivia and Chile, signed at Foreign Affairs,

Santiago on 16 April 1907 Treaties, Conventions
Original in Spanish, English translationnd International
Arrangements of Chile
1810-1976, Volume II
(1977), p 132

545
Annex 33 Bolivia, Opening Session of Congress, Bolivia, Congress of
6 August 1910 (La Paz, 1911) (extracts) 1910-1911,
Original in Spanish, English translationapporteur of the
Honourable National
Congress (La Paz,
1911), pp 1-10, 51

Annex 34 Convention on Trade between Chile Chile, Ministry of 559
and Bolivia, signed at Santiago on Foreign Affairs,
6 August 1912 Treaties, Conventions
and International
Original in Spanish, English translatioArrangements of

Chile 1810-1976,
Volume II (1977),
p 145

Annex 35 Act Fixing the Date of Transfer of the Chile, Ministry of 569
Bolivian Section of the Railroad to theForeign Affairs,

Republic of Bolivia, signed at Arica onTreaties, Conventions
13 May 1913 and International
Original in Spanish, English translationrrangements of
Chile 1810-1976,
Volume II (1977),
p 150

viii ANNEX T ITLE SOURCE PAGE
N O NO

Annex 31 Act of Exchange of Instruments of Bolivia, Ministry of 537
Ratification for the 1904 Treaty of Foreign Affairs,
Peace and Amity between Bolivia and Collection of Treaties

Chile, 10 March 1905 in Force in the
Original in Spanish, English translationepublic of Bolivia,
Volume IV, p 405

Annex 32 Protocol that Designates an Arbitrator Chile, Ministry of 541
between Bolivia and Chile, signed at Foreign Affairs,

Santiago on 16 April 1907 Treaties, Conventions
Original in Spanish, English translationnd International
Arrangements of Chile
1810-1976, Volume II
(1977), p 132

Chile 1810-1976,
Volume II (1977),
p 145

Annex 35 Act Fixing the Date of Transfer of the Chile, Ministry of 569
Bolivian Section of the Railroad to theForeign Affairs,

Republic of Bolivia, signed at Arica onTreaties, Conventions
13 May 1913 and International
Original in Spanish, English translationrrangements of
Chile 1810-1976,
Volume II (1977),
p 150 ANNEX T ITLE S OURCE PAGE
NO N O

Annex 41 Note from Ricardo Jaimes Freyre, Bolivia, Ministry of 603
Extraordinary Envoy and Minister Foreign Affairs,
Plenipotentiary of Bolivia in Chile, toReport of the Minister

Luis Izquierdo, Minister of Foreign of Foreign Affairs to
Affairs of Chile, 15 February 1923 the Ordinary
Original in Spanish, English translationongress (1923),
pp 122-123

Annex 42 Protocol Regarding the Transfer of the Chile, Ministry of 607

Bolivian Section of the Railroad from Foreign Affairs,
Arica to La Paz between Bolivia and Treaties, Conventions
Chile, signed at Santiago on and International
2 February 1928 Arrangements of
Chile 1810-1976,
Original in Spanish, English translatioVolume II (1977),

p 155

Annex 43 Act of Transfer of the Railroad from Chile, Ministry of 611
Arica to the Plateau of La Paz – Foreign Affairs,
Bolivian Section between Bolivia and Treaties, Conventions
Chile, signed at Viacha on and International

13 May 1928 Arrangements of
Original in Spanish, English translationhile 1810-1976,
Volume II (1977),
p 157

Annex 44 Convention on Transit between Bolivia Chile, Ministry of 615

and Chile, signed at Santiago on Foreign Affairs,
16 August 1937 Treaties, Conventions
Original in Spanish, English translationnd International
Arrangements of
Chile 1810-1976,
Volume II (1977),

p 174

x ANNEX TITLE SOURCE PAGE
N O N O

Annex 41 Note from Ricardo Jaimes Freyre, Bolivia, Ministry of 603
Extraordinary Envoy and Minister Foreign Affairs,
Plenipotentiary of Bolivia in Chile, toReport of the Minister

Luis Izquierdo, Minister of Foreign of Foreign Affairs to
Affairs of Chile, 15 February 1923 the Ordinary
Original in Spanish, English translationongress (1923),
pp 122-123

Annex 42 Protocol Regarding the Transfer of the Chile, Ministry of 607

p 155

13 May 1928 Arrangements of
Original in Spanish, English translationhile 1810-1976,
Volume II (1977),
p 157

Annex 44 Convention on Transit between Bolivia Chile, Ministry of 615

and Chile, signed at Santiago on Foreign Affairs,
16 August 1937 Treaties, Conventions
Original in Spanish, English translationnd International
Arrangements of
Chile 1810-1976,
Volume II (1977),

p 174 ANNEX TITLE SOURCE P AGE
NO N O

(F) Letter from the General Manager of Terminal Puerto 673
Terminal Puerto Arica S.A., Arica S.A.

10 January 2014
Original in Spanish, English translation

677
(G) Letter from Terminal Puerto Arica S.A. Terminal Puerto
to the General Manager of Empresa Arica S.A.
Portuaria Arica, 30 April 2014 (extract)

Original in Spanish, English translation

Annex 46 Declaration of Arica by the Ministers oChile, Ministry of 683
Foreign Affairs of Bolivia and Chile, Foreign Affairs,
signed at Arica on 25 January 1953 Treaties,

(extract) Conventions and
Original in Spanish, English translationnternational
Arrangements of
Chile 1810-1976,
Volume II (1977),

p 222

V OLUME 3:A NNEXES 47-77

Annex 47 Agreements between Bolivia and Chile and Chilean Decrees 687
relating to the Sica Sica – Arica Oil Pipeline, 1957-1992

(A) Agreement on the Sica Sica – Chile, Ministry of Foreign 687
Arica Oil Pipeline of Affairs, Treaties, Conventions
Yacimientos Petroliferos and International
Fiscales Bolivianos, TransitingArrangements of Chile 1810-

Through Chilean Territory 1976, Volume II (1977),
between Bolivia and Chile, pp 240-245
Santiago, 24 April 1957
(extracts)

Original in Spanish, English
translation

xii ANNEX TITLE SOURCE P AGE
N O N O

(F) Letter from the General Manager of Terminal Puerto 673
Terminal Puerto Arica S.A., Arica S.A.

10 January 2014
Original in Spanish, English translation

677
(G) Letter from Terminal Puerto Arica S.A. Terminal Puerto
to the General Manager of Empresa Arica S.A.
Portuaria Arica, 30 April 2014 (extract)

Original in Spanish, English translation

Annex 46 Declaration of Arica by the Ministers ofChile, Ministry of 683
Foreign Affairs of Bolivia and Chile, Foreign Affairs,
signed at Arica on 25 January 1953 Treaties,

(extract) Conventions and
Original in Spanish, English translationInternational
Arrangements of
Chile 1810-1976,
Volume II (1977),

p 222

VOLUME 3:A NNEXES 47-77

Annex 47 Agreements between Bolivia and Chile and Chilean Decrees 687
relating to the Sica Sica – Arica Oil Pipeline, 1957-1992

Through Chilean Territory 1976, Volume II (1977),
between Bolivia and Chile, pp 240-245
Santiago, 24 April 1957
(extracts)

Original in Spanish, English
translation ANNEX TITLE SOURCE P AGE
NO N O

(F) Amendment to the Agreement Official Journal of the 715
on the Sica Sica – Arica Oil Republic of Chile, No 29.745,

Pipeline of Yacimientos 28 April 1977, pp 2-3
Petroliferos Fiscales Bolivianos,
Transiting Through Chilean
Territory between Bolivia and
Chile, Santiago,

4 December 1974 (extracts)
Original in Spanish, English

translation

(G) Agreement entered into for Chile, Ministry of Foreign 721
Yacimientos Petroliferos Affairs, Report of the
Fiscales Bolivianos to perform Minister of Foreign Affairs to
works on the Sica Sica –Arica the National Congress

Oil Pipeline between Bolivia (1992), pp 327-329
and Chile, signed at Santiago on
5 November 1992 (extracts)

Original in Spanish, English
translation

Annex 48 Memorandum from the Original submitted by Bolivia 729
Embassy of Chile in Bolivia to as Annex 24 to its Memorial

the Bolivian Ministry of
Foreign Affairs, 10 July 1961

Original in Spanish, English
translation

Annex 49 Chilean National Congress National Congress of Chile 733
Chamber Debate, Background
of Decree No 526 – American

Treaty on Pacific Settlement
(1967) (extracts)

Original in Spanish, English
translation

xiv ANNEX TITLE SOURCE P AGE
N O N O

(F) Amendment to the Agreement Official Journal of the 715
on the Sica Sica – Arica Oil Republic of Chile, No 29.745,

Pipeline of Yacimientos 28 April 1977, pp 2-3
Petroliferos Fiscales Bolivianos,
Transiting Through Chilean
Territory between Bolivia and
Chile, Santiago,

4 December 1974 (extracts)
Original in Spanish, English

translation

Oil Pipeline between Bolivia (1992), pp 327-329
and Chile, signed at Santiago on
5 November 1992 (extracts)

Original in Spanish, English
translation

Annex 48 Memorandum from the Original submitted by Bolivia 729
Embassy of Chile in Bolivia to as Annex 24 to its Memorial

the Bolivian Ministry of
Foreign Affairs, 10 July 1961

Original in Spanish, English
translation

Annex 49 Chilean National Congress National Congress of Chile 733
Chamber Debate, Background
of Decree No 526 – American

Treaty on Pacific Settlement
(1967) (extracts)

Original in Spanish, English
translation ANNEX TITLE SOURCE P AGE
NO N O

Annex 53 Message of Bolivian President Reproduced in LF Guachalla, 765
Banzer announcing that Chile’s Bolivia-Chile: The Maritime
Reply (19 December 1975) Negotiation, 1975-1978

constitutes a globally acceptable982), pp 85-86
basis for negotiations,
21 December 1975

Original in Spanish, English
translation

Annex 54 Communiqué from the Bolivian Reproduced in RP Lizón, 771
Ministry of Foreign Affairs on History of the Charaña
the Charaña Negotiations, Negotiations (2011), pp 137-

5 January 1976 138
Original in Spanish, English
translation

Annex 55 Statement by Mr Schweitzer, Organization of American 777
Minister of Foreign Affairs of States, General Assembly,
Chile, at the Fourth Session ofThirteenth Ordinary Session,
the General Committee of the 1983, Records and
General Assembly of the Documents, Volume II, Part I,

Organization of American OEA/Ser.P/XIII.02 (1984),
States, 18 November 1983 pp 348, 368-370
(extract)

Original in Spanish, English
translation

xvi ANNEX TITLE SOURCE P AGE
N O N O

Annex 53 Message of Bolivian President Reproduced in LF Guachalla, 765
Banzer announcing that Chile’s Bolivia-Chile: The Maritime
Reply (19 December 1975) Negotiation, 1975-1978

constitutes a globally acceptable1982), pp 85-86
basis for negotiations,
21 December 1975

Original in Spanish, English
translation

Annex 54 Communiqué from the Bolivian Reproduced in RP Lizón, 771
Ministry of Foreign Affairs on History of the Charaña
the Charaña Negotiations, Negotiations (2011), pp 137-

5 January 1976 138
Original in Spanish, English
translation

Annex 55 Statement by Mr Schweitzer, Organization of American 777
Minister of Foreign Affairs of States, General Assembly,
Chile, at the Fourth Session of Thirteenth Ordinary Session,
the General Committee of the 1983, Records and
General Assembly of the Documents, Volume II, Part I,

Organization of American OEA/Ser.P/XIII.02 (1984),
States, 18 November 1983 pp 348, 368-370
(extract)

Original in Spanish, English
translation ANNEX T ITLE S OURCE PAGE
NO N O

Annex 59 Statement by Mr Iturralde, Organization of American 837
Minister of Foreign Affairs of States, General Assembly,

Bolivia, at the Fourth Session ofineteenth Ordinary Session,
the General Committee of the 1989, Records and
Organization of American Documents, Volume II, Part I,
States, 16 November 1989 OEA/Ser.P/XIX.O2 (1991),
(extracts) pp 373, 405-407, 411-413

Original in Spanish, English
translation

853
Annex 60 Bolivian Supreme Decree Official Gazette of the
No 24434 of 12 December 1996 Plurinational State of Bolivia
(extracts)

Original in Spanish, English
translation

Annex 61 Ministry of Foreign Affairs of <http://www.emboliviacanada 865
Bolivia, The Blue Book: The .com/documents/libro_azul-

Maritime Claim of Bolivia El_problema_maritimo_boliv
(Directorate of Information of iano_en_ingles.pdf>
the Presidency of the Republic
of Bolivia, May 2004) (extracts)

Original in English

Annex 62 Political Constitution of the <http://www.presidencia.gob. 925
Plurinational State of Bolivia, bo/documentos/publicaciones/

7 February 2009 (extracts) constitucion.pdf>
Original in Spanish, English

translation

xviii ANNEX TITLE SOURCE PAGE
N O N O

Annex 59 Statement by Mr Iturralde, Organization of American 837
Minister of Foreign Affairs of States, General Assembly,

Original in Spanish, English
translation

853
Annex 60 Bolivian Supreme Decree Official Gazette of the
No 24434 of 12 December 1996 Plurinational State of Bolivia
(extracts)

Original in Spanish, English
translation

Annex 61 Ministry of Foreign Affairs of <http://www.emboliviacanada 865
Bolivia, The Blue Book: The .com/documents/libro_azul-

Maritime Claim of Bolivia El_problema_maritimo_boliv
(Directorate of Information of iano_en_ingles.pdf>
the Presidency of the Republic
of Bolivia, May 2004) (extracts)

Original in English

Annex 62 Political Constitution of the <http://www.presidencia.gob. 925
Plurinational State of Bolivia,bo/documentos/publicaciones/

7 February 2009 (extracts) constitucion.pdf>
Original in Spanish, English

translation ANNEX T ITLE S OURCE PAGE
NO NO

Annex 67 Service Manual for the Port of <http://www.tpa.cl/v1/appl/up 961
Arica, 1 December 2011 load/subidos/201112293911.p

(extracts) df>
Original in Spanish, English

translation

Annex 68 Letter from the Chilean Archives of the Ministry of 975
Ministry of Foreign Affairs to Foreign Affairs of Chile
the General Secretariat of the
Organization of American

States, No 389,
12 December 2011

Original in Spanish, English
translation

Annex 69 Empresa Portuaria Arica, Port <http://www.puertoarica.cl/W 979
of Arica, 2012 Annual Report eb/archivos/memoria2012.pdf
(extracts) >

Original in Spanish, English
translation

985
Annex 70 Empresa Portuaria Iquique, Port <http://www.epi.cl/docs/mem
of Iquique, 2012 Annual Report oria2012.pdf>
(extracts)

Original in Spanish, English
translation

Annex 71 Bolivian Law on Normative Bolivia, Senate, Act 991
Application – Statement of Implementing Regulations:

Reasons, 6 February 2013 Explanatory Memorandum,
(extracts) 6 February 2013

Original in Spanish, English
translation

xx ANNEX TITLE SOURCE P AGE
N O N O

Annex 67 Service Manual for the Port of <http://www.tpa.cl/v1/appl/up 961
Arica, 1 December 2011 load/subidos/201112293911.p

(extracts) df>
Original in Spanish, English

translation

Annex 68 Letter from the Chilean Archives of the Ministry of 975
Ministry of Foreign Affairs to Foreign Affairs of Chile
the General Secretariat of the
Organization of American

States, No 389,
12 December 2011

Original in Spanish, English
translation

Annex 69 Empresa Portuaria Arica, Port <http://www.puertoarica.cl/W 979
of Arica, 2012 Annual Report eb/archivos/memoria2012.pdf
(extracts) >

Original in Spanish, English
translation

985
Annex 70 Empresa Portuaria Iquique, Port <http://www.epi.cl/docs/mem
of Iquique, 2012 Annual Report oria2012.pdf>
(extracts)

Original in Spanish, English
translation

Annex 71 Bolivian Law on Normative Bolivia, Senate, Act 991
Application – Statement of Implementing Regulations:

Reasons, 6 February 2013 Explanatory Memorandum,
(extracts) 6 February 2013

Original in Spanish, English
translation A NNEX T ITLE SOURCE PAGE
N O N O

Annex 76 Official Bolivian Press Release,tp://www3.abi.bo/nucleo/n 1095

“Morales calls on Obama to oticias.php?i=2&j=20140630
show Chile how treaties may be12624>
revised and territories returned”,
Bolivian Information Agency,
30 June 2014

Original in Spanish, English
translation

Annex 77 Organization of American <http://www.oas.org/juridico/1099
States, Signatories and english/sigs/a-42.html>
Ratifications, A-42: American
Treaty on Pacific Settlement

Original in English

xxii Annex 47

Agreements between Bolivia and Chile and Chilean Decrees
relating to the Sica Sica – Arica Oil Pipeline, 1957-1992

Annex 47 (A)

Agreement on the Sica Sica – Arica Oil Pipeline of
Yacimientos Petroliferos Fiscales Bolivianos, Transiting
Through Chilean Territory between Bolivia and Chile,

Santiago, 24 April 1957 (extracts)
(Original in Spanish, English translation)

Chile, Ministry of Foreign Affairs, Treaties, Conventions and International
Arrangements of Chile 1810-1976, Volume II (1977), pp 240-245

687Annex 47

688 Annex 47

AGREEMENT ON THE SICA SICA – ARICA OIL PIPELINE OF
YACIMIENTOS PETROLIFEROS FISCALES BOLIVIANOS, TRANSITING
THROUGH CHILEAN TERRITORY

Exchange of Notes signed at Santiago de Chile, on 24 April 1957.

…

Republic of Chile
Ministry of
Foreign Affairs

No 3276. – Santiago, 24 April 1957.

Dear Ambassador:

The Supplementary Protocol to the Economic Complementarity Treaty of
14 October 1955, subsection g), paragraph 2,tablishes that deta ils relating to the
study, construction, operation a nd maintenance, in Chilean territory, of oil pipelines
leaving Bolivian territory and arriving at th e port of Arica or any other Chilean port,
shall be established by both Governments, in each case, by means of exchanges of notes
that shall include different matters such as: layout, and condition of any easements it

may be necessary to establish; the regime governing the temporary import into Chile of
machinery, motor vehicles and equipment required for study and construction purposes;
the conditions available for foreign persel employed at such works; the free
admission of elements necessary for the permanent operation and maintenance of the oil
pipelines and, in general, any and all details as may be pertinent for such purposes.

…

A. – General Information

…

A terminal station shall be installed at port of Arica. That station shall have
containers available for the storage of anappropriate volume of fuel, in addition to

689Annex 47

690 Annex 47

appropriate facilities for the loading of tankers and appropriate constructions for
administration and dwelling purposes.

…

C. – Personnel, construction materials, operation and maintenance, etc.

The construction, operati on and maintenance of the above-mentioned oil
pipeline shall be the responsibility of Yacimie ntos Petrolíferos Fiscales Bolivianos, an
entity vested, by means of this exchange of notes, with the aforementioned facilities set
out in the Economic Complementation Treaty of 31 January 1955, as amended by the
Supplementary Protocol of 14 October of the same year, relating to this line.

…

The approximate details of personnel, materials, etc., required during the
construction phases, for a limited time, and those for operation and maintenance, for an
indefinite time, are the following:

691Annex 47

692 Annex 47

3. Terminal in Arica

c) 6 tanks, each of approximately 50,000 barrels capacity.

…

D. – Other Matters

The works shall be constructed, to the ex tent possible, on Chilean public land to
be granted at no cost to Yac imientos Petrolíferos Fiscales Bolivianos for use under a
concession for the duration of the exploitation of the oil pipeline.

…

By means of this note, in response to Your Excellency’s note, all requirements
and formalities set forth in subsection g), pa ragraph 2) of the Supplementary Protocol
signed at La Paz on 14 October 1955 are hereby fulfilled.

693Annex 47

694 Annex 47

…

To His Excellency, Mr Renán Castrillo, Ambassador of Bolivia.

____________

BOLIVIAN EMBASSY

No 13-57. – Santiago, 24 April 1957.

Dear Minister:

…

695Annex 47

696 Annex 47

…

To His Excellency, Mr Eduardo Urzúa Meri no, Deputy Minister of Foreign Affairs of
Chile.

697Annex 47

698 Annex 47

Annex 47 (B)

Chilean Decree No 336 granting Yacimientos Petroliferos

Fiscales Bolivianos a concession for the use of 13 hectares of
public land in Arica, 16 April 1958 (extract)

(Original in Spanish, English translation)

Chile, Ministry of Land and Settlement

699Annex 47

700 Annex 47

REPUBLIC OF CHILE YACIMIENTOS PETROLIFEROS FISCALES
MINISTRY OF LAND AND BOLIVIANOS.- Concession for free use of public
SETTLEMENT land in Arica, for the construction of the Sica-Sica
Dossier 266447 oil pipeline terminal.-

Ref.: 1000-2 SANTIAGO, 16 April 1958.-
I hereby order as follows:
No 336.-

...

IT IS HEREBY ORDERED THAT:

YACIMIENTOS PETROLIFEROS FISCALES BOLIVIANOS be granted,
throughout the term of exploitation of the Sica Sica -Arica Oil Pipeline, a concession for free use of
an area of public land with a surface of thirteen hectares (13 ha) for the installation of the terminal
station of such oil pipeline. Such area isted near a place called Quebrada Encantada, 1,200
meters from the main road of the Pan-American Highway, in the industrial zone of the city of Arica,
in the municipality and district of Arica, Province of Tarapacá, as identified in plot No. 58201, with

the following boundaries: NORTH: public land for 400 meters; EAST: public land for 325 meters;
SOUTH: public land for 400 meters , separated by an unnamed st reet; and WEST: public land for
325 meters, separated by an avenue under construction.-

…

701Annex 47

702 Annex 47

Annex 47 (C)

Chilean Decree No 657 granting Yacimientos Petroliferos

Fiscales Bolivianos a concession for the use of four parcels of
public land in Arica, 2 July 1958 (extract)

(Original in Spanish, English translation)

Chile, Ministry of Land and Settlement

703Annex 47

704 Annex 47

REPUBLIC OF CHILE YACIMIENTOS PETROLIFEROS FISCALES
MINISTRY OF LAND AND BOLIVIANOS. Concession for free use of public
SETTLEMENT land for the installation of the Sica Sica-Arica oil
Dossier 268.056.- pipeline.-

ahc.esa.
SANTIAGO, 2 July 1958.-

I hereby order as follows:

No 657

…

IT IS HEREBY ORDERED THAT:

YACIMIENTOS PETROLIFEROS FISCALES BOLIVIANOS be granted,
throughout the term of exploitation of the Sica Sica- Arica Oil Pipeline, a concession for free use of
the areas of public land indicated below, located in the industrial zone of the city of Arica, in the

municipality and district of Arica, Province of Tarapacá, which are identified in plot No. 791 of the
Province of Tarapacá and registered in the name of the State Treasury, with specification of surface
area, on page 146 overleaf, No. 178 of the 1955 Property Register of the Arica Land Registrar, as
indicated below:

a) Strip of land 6 meters wide and 1,880meters long, marked on plot No. 791-
Tarapacá, comprised within the boundaries marked by the letters A-B-C-D, with a surface area of
11,280 square meters that runs from North to Sout h, starting from the oil pipeline terminal station,

up to street 22 under construction.

b) Strip of land 6 meters wide and 1,540 meters long, that runs through street 22 and
parallel to the railway track to Tacna, identified in plot No. 791 as referred to, by the letters C-G-H-

E-F. It has a surface area of 9,240 square meters.

c) Lot No. 2, of 3.50 hectares, for the installation of a ballast tank, with the following
boundaries: NORTH, street 22 for 250 meters; EAST, urban boundary of the industrial zone for160

meters; SOUTH, along the San José river for approximately 270 meters; and EAST, public land for
130 meters.

d) Strip of land bordered by the bed ofthe San José river, comprised within the

boundaries marked by the letters D-F-G, of approximately 1,880 meters in length, and with a width
sufficient for the installation of a pipe for the discharge of ballast water, with a surface area of 1,500
square meters, in a terminal with the San José ri ver at the sea, for the placement of an auxiliary
pump.

…

705Annex 47

706 Annex 47

Annex 47 (D)

Chilean Decree No 1133 granting Yacimientos Petroliferos

Fiscales Bolivianos a concession for the use of 150 hectares of
public land in Arica, 8 October 1958 (extract)

(Original in Spanish, English translation)

Chile, Ministry of Land and Settlement

707Annex 47

708 Annex 47

REPUBLIC OF CHILE YACIMIENTOS PETROLIFEROS
MINISTRY OF LAND AND FISCALES BOLIVIANOS.-
SETTLEMENT Concession for free use of public land for

… the installation of the Sica Sica-Arica oil
pipeline.-

SANTIAGO, 8 October 1958.-

No 1133

…

IT IS HEREBY ORDERED THAT:

YACIMIENTOS PETROLIFEROS FISCALES BOLIVIANOS be granted,

throughout the term of exploitation of the Sica Sica-Arica Oil Pipeline, a concession for
free use of a strip of public land 10m wide with a total extension of about 150-km in
length, representing a total surface area of 150 hectares, located in the District of Arica,

Province of Tarapacá. These lands are id entified on plot No. 794, of the Province of
Tarapacá, and registered in the name of the State Treasury, with specification of surface
area, on page 25 overleaf, No. 60 of the 1935 Property Register of the Arica Land

Registrar, as indicated below;

…

709Annex 47

710 Annex 47

Annex 47 (E)

Chilean Decree No 708 granting Yacimientos Petroliferos
Fiscales Bolivianos a concession for the use of three 308 square

metre plots of public land in Arica, 18 June 1959 (extract)
(Original in Spanish, English translation)

Chile, Ministry of Land and Settlement

711Annex 47

712 Annex 47

YACIMIENTOS PETROLIFEROS
FISCALES BOLIVIANOS.- Concession
REPUBLIC OF CHILE for free use of public land in Arica.-
MINISTRY OF LAND AND
SETTLEMENT

…

SANTIAGO, 18 June 1959

No 708

…

IT IS HEREBY ORDERED THAT:

YACIMIENTOS PETROLIFEROS FISCALES BOLIVIANOS be granted,

throughout the term of exploitation of the Sica Sica-Arica Oil Pipeline, a concession
for free use of three plots of public land of a surface area of three hundred and eight
square meters (308 m ) each, for the construction of housing for the oil pipeline

personnel responsible for the pressure reducin g stations. These plots are located in
the places named Puquíos, Pampa Ossa anSan Martín, in the District of Arica,
Province of Tarapacá. They are registered in the name of the State Treasury, with

specification of surface area, on page 25 overleaf, No. 60 of the 1935 Property
Register of the Arica Land Registrar, as indicated below:

a) Plot located in Puquíos …

b) Plot located in Pampa Ossa …

c) Plot located near San Martín Station ….

713Annex 47

714 Annex 47

Annex 47 (F)

Amendment to the Agreement on the Sica Sica – Arica Oil
Pipeline of Yacimientos Petroliferos Fiscales Bolivianos,

Transiting Through Chilean Territory between Bolivia and
Chile, Santiago, 4 December 1974 (extracts)

(Original in Spanish, English translation)
Official Journal of the Republic of Chile, No 29.745, 28 April 1977, pp 2-3

715Annex 47

716Annex 47

717Annex 47

718 Annex 47

…
Ministry of Foreign Affairs

PROMULGATES THE AMENDMENT TO THE AGREEMENT ON THE SICA SICA – ARICA
OIL PIPELINE OF YACIMIENTOS PETROLIFEROS FISCALES BOLIVIANOS, TRANSITING

THROUGH CHILEAN TERRITORY, SIGNED AT SANTIAGO ON 24 APRIL 1957

No. 132
AUGUSTO PINOCHET UGARTE
President of the Republic of Chile

…

GENERAL CONSULAR OFFICE OF BOLIVIA
Santiago de Chile
Santiago, 4 December 1974

G.S. No 389
Mr. Minister:

I am pleased to refer to the agreement executed by means of notes exchanged on 24 April 1957
between the Governments of Bolivia and Chile whereby specifications for the oil pipeline that runs
between Sica Sica and Arica where established.

Subsection “C”, paragraph “3” of that agreement es tablishes that there shall be “six tanks, each of
approximately 50,000 barrels capacity” at the Arica Terminal.
Bolivian oil exports require increasing the oil storage capacity to approximately 700,000 barrels capacity.

For such reason, I hereby propose to Your Excellency that the relevant part of subsection “C”,
paragraph “3” of the above-mentioned agreement dated 24 April 1957 be amended. That agreement shall

thereafter read as follows: “six tanks with an approximate total capacity of 700,000 barrels.”
…
This note and Your Excellency’s response shall constitute a formal agreement to amend, under the

above-mentioned terms, the agreement of 24 April 1957. The agreement to be hereafter executed shall
enter into force when both Governments communito each other that they have complied with the
relevant internal procedures required to obtain approval in their respective countries.

…
REPUBLIC OF CHILE
MINISTRY OF FOREIGN AFFAIRS

Number 21,250
Santiago, 4 December 1974

Mr. Deputy Secretary:
…
By means of this note, I hereby grant the approval of my Government to the proposal submitted in

the note previously attached. An agreement is thus entered into by and between Chile and Bolivia to
amend, under the terms proposed, the agreement signed on 24 April 1957.
…

GENERAL CONSULAR OFFICE OF BOLIVIA
Santiago de Chile

Santiago, 4 December 1974
G.S. No. 390
Mr. Minister:

I am pleased to write to Your Excellency in order to propose, on behalf of my Government, that a
joint commission comprised of representatives of the

719Annex 47

companies YPFB and ENAP be established, for the purposes of analyzing the following items:

1. Location of a new terminal for the Sica Sica - Arica Oil Pipeline, with approximately 2,000,000

barrels storage capacity, in addition to the installation of a new unballasting system.

2. Laying of an additional line of the Sica Sica - Arica oil pipeline, with a capacity in line with the
new needs for Bolivian oil exports.

3. Extension of the current underwater line and laying of a new additional underwater line.

The joint commission shall study all technical aspects necessary and shall submit to both
Governments the conclusions and recommendations that are relevant for the purpose of updating and
expanding the agreements in force on this subject, and that may allow for the projection and performance

of the works necessary to implement the above-mentioned items.

…

REPUBLIC OF CHILE
MINISTRY OF FOREIGN AFFAIRS
Santiago, 4 December 1974

Number 21,251
Mr. Deputy Secretary:

…
By means of this note, I hereby express to Your Excellency the Chilean Government’s agreement
regarding the proposal transcribed above. A formal agreement between our Governments is hereby

established.
…

720 Annex 47

Annex 47 (G)

Agreement entered into for Yacimientos Petroliferos Fiscales
Bolivianos to perform works on the Sica Sica – Arica Oil
Pipeline between Bolivia and Chile, signed at Santiago on

5 November 1992 (extracts)
(Original in Spanish, English translation)

Chile, Ministry of Foreign Affairs, Report of the Minister of Foreign Affairs to the
National Congress (1992), pp 327-329

721Annex 47

722 Annex 47

AGREEMENT ENTERED INTO FOR YACIMIENTOS PETROLIFEROS FISCALES
BOLIVIANOS TO PERFORM WORKS ON THE
SICA SICA-ARICA OIL PIPELINE

Santiago, 5 November 1992

Mr. Consul General,

I hereby acknowledge receipt of your note CGB, No. 153/92, dated 5 November
1992, whereby Your Excellency proposes to ente r into an agreement formulated in the

following terms:

“Under instructions of my Government, I am pleased to make reference to the

Economic Complementarity Tr eaty, dated 31 January 1955, entered into by both
countries as well as to the Supplementary Protocol, dated 14 October 1955.

In such regard, the Bolivian Government proposes to the honorable Chilean
Government a treaty under which both governments agree to provide all necessary
means so that Yacimientos Petroliferos Fiscales Bolivianos may perform such works as

may be necessary on the Sica Sica-Ar ica Oil Pipeline to use its double-track
capabilities, for both exports and imports of liquids through the facilities it has in the
Arica Terminal.

…

723Annex 47

724 Annex 47

TO MR.
ALBERTO ZELADA CASTEDO

CONSUL GENERAL OF BOLIVIA
HAND DELIVERED

ENRIQUE SILVA CIMMA
Minister of Foreign Affairs

CGB-153-92

Santiago, 5 November 1992

Mr. Minister:

…

725Annex 47

726 Annex 47

This note and Your Excellency’s reply note will constitute an agreement
between our two countries, which will enter into force on the date of the reply note; and

to which the rules of the Economimplementarity Treaty dated 31 January 1955
shall apply, as the case may be.

…

TO YOUR EXCELLENCY

ENRIQUE SILVA CIMMA
MINISTER OF FOREIGN AFFAIRS
SANTIAGO

727728 Annex 48

Memorandum from the Embassy of Chile in Bolivia to the
Bolivian Ministry of Foreign Affairs, 10 July 1961

(Original in Spanish, English translation)

Original submitted by Bolivia as Annex 24 to its Memorial

729Annex 48

730 Annex 48

MEMORANDUM

1. Chile has always been willing, along with preserving the legal situation
established by the Treaty of Peace of 1904, to examine in direct negotiations with

Bolivia the possibility of satisfying the aspirations of the latter and the interests of

Chile. Chile will always reject resorting, on Bolivia’s end, to organizations which

are not competent to resolve an issue settled by the Treaty, which could only be
amended by direct agreement of the parties.

2. Our Ministry of Foreign Affairs’ Note N° 9, dated Santiago 20 June 1950, is

clear evidence of the said purposes. Through it, Chile expresses its “willing

formally to enter into direct negotiati ons aimed at finding a formula that would
make it possible to give to Bolivia a sovereign access to the Pacific Ocean of its

own, and for Chile to receive compensation of a non-territorial character that

effectively takes into account its interests .”

3. President Paz Estenssoro, having expressed his willingness to visit

President Alessandri, in response to the invitation that the President of Chile

extended to him, it would seem especially untimely and inconvenient to agitate

public opinion in both countries with the announcement of an appeal to
international organizations to deal with a problem that the Government of Bolivia

has not dealt with its in direct relations with the Government of Chile.

La Paz, 10 July 1961

731732 Annex 49

Chilean National Congress Chamber Debate, Background of

Decree No 526 – American Treaty on Pacific Settlement (1967)
(extracts)

(Original in Spanish, English translation)

National Congress of Chile

733Annex 49

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734 Annex 49

Background of Decree No. 526

CHAMBER DEBATE

…

Mr. DE LA FUENTE. –Mr. President, the reporting Congressman clearly explained the

meaning of the American Treaty on Pacific Settlement, known as the “Pact of Bogotá”, as well
as the reservation made by Chile through the draft being discussed here.

In ratifying the Treaty with a reservation not submitted at the time of signature of the Pact, Chile
intends to reiterate the validity of Resolution 29 adopted at the Eighth Inter-American
Conference. In this sense, the only reservations that Chile considers to be valid as against it, are

the reservations of third countries, which have been notified to Chile through the Pan-American
Union before the deposit of the corresponding instrument of ratification, and which Chile has
expressly accepted; and that Chile does not and shall not accept any reservation intended to

change in any way the scope of Article VI.
Article VI, as rejected by Bolivia, reads as follows: “The Delegation of Bolivia makes a

reservation with regard to Article VI, in as much as it considers that pacific procedures may also
be applied to controversies arising from matters settled by arrangement between the Parties,
when the said arrangement affects the vital interests of a State.”

735Annex 49

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736 Annex 49

This reservation has a direct effect on the problem of Bolivia’s landlocked situation, which was
already settled in the 1904 pact.

…

Our country rejects Bolivia’s reservation with a clear and precise argument as expressed in the
report, which reads as follows: “Chile has always asserted the principle that all reservations
made by a State to an international instrument must be notified to the institution responsible for

receiving such instruments of ratification; acco rdingly, the effect of any reasoned statement
made by a State at the time of signing the instrument, is undermined.”

Our country takes this position because once a reservation is made before the international
institution appointed to consider instruments of ratification, such institution must immediately
notify all the signatory States, which gives them the opportunity to express the acceptance or

rejection of the reservation that they deem appropriate . Instead, where the reservation is made
by a country at the time of signing the international instrument, it is assumed that it is known
and accepted by the signatory States, without giving them the opportunity to approve or reject it.

In this case, Bolivia should have deposited its reservation with the Pan-American Union. In
turn, the Pan-American Union, being aware of it, should have notified the signatory States of the

Pact so that they could express their opinion about the reservation.

Therefore, our country denies the effect of the reservation made by Bolivia at the time of

signing the instrument, and further considers that in order to perfect the

737Annex 49

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738 Annex 49

reservation, Bolivia must reiterate it when depositing the instrument of ratification; further, the
Pan-American Union must communicate the reservation to the other countries, for them to

indicate whether they accept it or not, pursuant to Resolution XXIX adopted at the Eighth
International Inter-American Conference.

Notwithstanding the foregoing, and in order to better safeguard the national interest, Chile has
decided to make a reservation upon ratification of the “Pact of Bogotá”, whereby our country
rejects any reservation intended to change the scope of Article VI.

The hope of Bolivia in formulating its reservation to Article VI is to revive its wish for access to
the Pacific Ocean, thereby undermining the effect of the 1904 Treaty and pretending that it was

a treaty imposed by the use of force.

The Treaty of Peace of 20 October 1904, signed by Bolivia and Chile, was ratified by the parties

in La Paz on 10 May 1905. In this agreement, Chile’s absolute and perpetual dominion over the
territories occupied pursuant to the Truce Pact was established, and Bolivia renounced having
its own access to the sea.

Thus, Chile recovered the sovereignty over the littoral that it had under its jurisdiction at the
time of national independence.

Moreover, the Treaty of Peace contributed to Bo livia’s development: the railway from Arica to
La Paz, built by Chile; financial assistance which partially allowed for the construction of

several railways within Bolivia; payment by Chile of credits granted to Bolivia; the provision of
£300,000 in cash by Chile to the Government of Bolivia. Besides, the Treaty of 1904 was not
imposed by force. It was signed 24 years after the ceasefire.

Negotiations began at the end of the term of office of President General Pando. The new Head
of State in Bolivia, General Montes, put forward the draft of the Treaty of Peace with Chile,

obtaining an overwhelming majority, which showed the approval by the Bolivian people of the
agreement subsequently signed with Chile and ratified again by the Bolivian people who
reelected General Montes as President of the Republic, after the pact was signed.

We the liberals will support the American Treaty on Pacific Settlement with the reservation
made by our Government to clearly establish our position regarding Article VI of that Pact. We

hope that it will be ratified by the other signatory countries so that it becomes fully effective.

It is said.

739740 Annex 50

Bolivian Supreme Decree No 8866 declaring that the
management of customs in Chilean ports is the responsibility of

the Autonomous Administration of Customs Warehouses, 1969
(extract)

(Original in Spanish, English translation)

Official Gazette of the Plurinational State of Bolivia

741Annex 50

GACETA OFICIAL DEL ESTADO PLURINACIONAL DE BOLIVIA

DECRETO SUPREMO Nº 08866
LUIS ADOLFO SILES SALINAS

PRESIDENTE CONSTITUCIONAL DE LA REPÚBLICA

CONSIDERANDO:

Que, el país tiene suscritos con las Repúblicas limítrofes, convenios sobre
libre e irrestricto tránsito de mercaderías de y para Bolivia;

Que, en ejecución de dichos convenios, el país mantiene en puertos y lugares
de tránsito de mercaderías de y para Bolivia, Agencias Aduaneras, que desempeñan
simultáneamente las funciones de Consulados;

Que, en la práctica, a causa de los objetivos diferentes emergentes de la doble

función atribuída a las citadas Agencias, no han satisfecho los propósitos de un
oportuno, económico y eficiente despacho y movilización de la carga boliviana de
importación y exportación, resultando por tanto conveniente el desdoblamiento
funcional que permita la especialización de los respectivos servicios consulares y
aduaneros, con los consiguientes beneficios para el Estado y el público usuario;
Que, la falta de personal especializado en las predichas Agencias Aduaneras,

su insuficiencia financiera, la carencia de equipo de trabajo y otros factores de orden
administrativo, obligan a empresas estatales y paraestatales a mantener en puertos y
lugares de operación de tránsito de mercaderías, oficinas aduaneras propias a costos
elevados que afectan sus respectivos presupuestos;

Que, en consecuencia, es conveniente reorganizar las Agencias Consulares y

Aduaneras precitadas, dotándolas de una nueva estructura administrativa, equipo de
trabajo adecuado y suficientes recursos financieros y personal técnico que respondan
plenamente a las exigencias del comercio internacional del país;

Que, por los antecedentes acumulados sobre la materia, se establece que los
aludidos Convenios internacionales y los derechos que derivan de ellos son ejercitados

por Bolivia en forma limitada, sometiendo su comercio internacional a inadecuadas,
gravosas y dilatorias prácticas portuarias y métodos de trabajo rutinarios;

Que, de otra parte, las Agencias Aduaneras Privadas, cuyas funciones se
concretan al reembarque de las mercaderías en los puertos y lugares de tránsito de
carga boliviana de importación, han elevado exageradamente las tarifas por la

prestación de sus servicios, determinando recargos injustificados en el costo de dichos
bienes;

Que, conforme al derecho de libre tránsito que le acuerdan los Convenios
internacionales que tiene suscritos el país con las Repúblicas vecinas, corresponde al
Supremo Gobierno tomar las providencias adecuadas con la finalidad de proteger la

742 Annex 50

SUPREME DECREE No 08866
LUIS ADOLFO SILES SALINAS
CONSTITUTIONAL PRESIDENT OF THE REPUBLIC

WHEREAS:

That the country has executed with ad joining Republics agreements on free
and unrestricted transit of goods from and to Bolivia;

That, in connection with the performan ce of such agreements, the country
maintains customs agencies at ports and locations where goods are in transit from and to
Bolivia, which serve as consular offices at the same time;

That, in practice, as a result of different objectives arising from the dual function
exercised by the above-mentioned agencies, the purposes of timely, economical and
efficient clearance and movement of Bo livian cargo for import and export purposes
have not been fulfilled, and it is thus convenient to divide the functions so that the
agencies may specialize in the respective consular and customs services, with

consequent benefits for the Government and users;

That the lack of personnel specializedin the above-mentioned customs agencies,
insufficient financial resources, lack of work teams and other matters of an administrative
nature, make it necessary for government-owned and private companies to maintain
customs offices of their own at ports and locations where goods are in transit, at very high
costs, which affect their respective budgets;

That, as a consequence of the foregoing, it is deemed convenient to reorganize

the above-mentioned consular and custom s agencies, vesting them with a new
administrative structure, appropriate work teams and sufficient financial resources, as well
as technical personnel capable of satisfying in full the country’s needs relating to
international trade;

That, by reason of prior experience acquired in this regard, it is established that
the above-mentioned international agreements and rights derived therefrom are exercised
by Bolivia in a limited manner, resulting in the application of inappropriate, prejudicial
and delayed port practices and routine wo rk methods, affecting Bolivia’s international

trade;

That, on the other hand, private customs agencies, the functions of which relate
to the reshipment of goods at ports and locations where Bolivian cargo is in transit to
Bolivia, have increased their fees for rendering of services excessively, thus resulting in
unjustified higher charges in the costs for such goods;

That, pursuant to the free transit right established under the international

agreements executed by and between the country and neighboring Republics, the
Supreme Government is responsible for taki ng any and all appropr iate action for the
purposes of protecting

743Annex 50

mercadería destinada a Bolivia de daños, pérdidas, demora, gravámenes injustificados
y otras incidencias que vienen afectándola, con repercusión desfavorable sobre las
inversiones de divisas que supone el comercio internacional.
CONSIDERANDO:

Que, por Decreto Ley Nº. 7230 de 30 de junio de 1965 se ha creado la
Administración Autónoma de Almacenes Aduaneros, entidad independiente y
especializada con las funciones de recibir, almacenar, clasificar, custodiar, proteger,
entregar, cuidar de su transporte, embarcar y reembarcar toda la mercadería de
importación y exportación del país.

Que, dicha entidad por su estructura jurídica, sus sistemas operativos, equipo
de trabajo, personal técnico especializado y autarquía económica, es el instrumento
adecuado de que dispone el Estado Boliviano para implantar un nuevo sistema técnico,
económico y administrativo en las operaciones de despacho de mercadería de y para

Bolivia, sin afectar las estipulaciones de convenios internacionales suscritos sobre esta
materia.

EN CONSEJO DE MINISTROS,

DECRETA:

ARTÍCULO 1.- Las funciones de las Agencias Aduaneras oficiales que
actualmente operan en los puertos y lugares de tránsito de mercaderías de y para

Bolivia, pasan a ser responsabilidad de la Administración Autónoma de Almacenes
Aduaneros, quedando excluída toda otra entidad estatal o paraestatal de ejercer
idénticas o similares funciones, salvo lo dispuesto en el artículo 10° del presente
Decreto.

744 Annex 50

goods intended to arrive in Bolivia from damage, loss, delays, unjustified charges and
other matters that may affect them and that may have detrimental effects for foreign
currency investments involved in international trade.

WHEREAS:
That the Autonomous Administration of Customs Warehouses, an independent
entity specializing in the receipt, storage, classification, custody, protection, delivery,
care of transport, shipment and re-shipment of all goods for import to and export from

the country was created by virtue of Decree Law No 7230 dated 30 June 1965.

That, by reason of the legal structure, operating systems, work teams,
specialized technical personnel and economic autarchy of that entity, the above-
mentioned Administration constitutes the appropriate instrument available for the
Bolivian Government to implement a new technical, economic and administrative
system in connection with the clearance of goods from and to Bolivia, without affecting
the provisions set forth under the international agreements executed on this subject.

NOW THEREFORE, THE COUNCIL OF MINISTERS,

DECREES AS FOLLOWS:

ARTICLE 1.- The functions currently exercised by the official customs
agencies regarding operations at ports and locations where goods are in transit from and
to Bolivia shall become the responsibility of the Autonomous Administration of
Customs Warehouses, and any other state or pa rastatal entity shall be excluded from

exercising identical or similar functions, except as provided for by Article 10 of this
Decree.

…

745746 Annex 51

Act of Deposit of the Instrument Containing the Ratification by
the Chilean Government of the American Treaty on Pacific

Settlement, 15 April 1974

(Original in Spanish, English translation)

Archives of the General Secretariat of the Organization of American States,
Washington DC

747Annex 51

748 Annex 51

ORGANIZATION OF A MERICAN STATES
W ASHINGTON ,D.C.

G ENERAL SECRETARIAT

ACT OF DEPOSIT OF THE INSTRUMENT CONTAINING THE RATIFICATION
BY THE CHILEAN GOVERNMENT OF THE AMERICAN TREATY ON PACIFIC
SETTLEMENT, THE “PACT OF BOGOT Á”, EXECUTED ON 30 APRIL 1948 AT

THE NINTH INTERNATIONAL AMERICAN CONFERENCE HELD IN BOGOTÁ,
COLOMBIA

On 15 April 1974, His Excellency the Amba ssador, Chile’s representative at the
Permanent Council of the Organization ofAmerican States, Mr. Manuel Trucco;
Mr. Galo Plaza, the Secretary General of the Organization of American States; and

Mr. Miguel Rafael Urquía, Assistant Secretary General and Secretary of the Permanent
Council of the Organization of American States; have gathered at the General
Secretariat of the Organization of American States in order for the Government of Chile
to deposit its instrument of ratification of the American Treaty on Pacific Settlement,
the “Pact of Bogotá”, signed on 30 Apri1948 at the Ninth International American

Conference held in Bogotá, Colombia.

The above-mentioned instrument of ratification contains the following
reservation made by the Government of Chile at the time of ratification of the said
American Treaty on Pacific Settlement:

Chile considers that Article LV of the Pact, in the part that
refers to the possibility that some of the Contracting States
would make reservations, must be interpreted in the light of
paragraph No. 2 of Resolution XXIX adopted at the Eighth
International Conference of American States.

Pursuant to the procedure set out at number 2 in the Resolution referred to in the
above-mentioned Reservation, the General Secretariat consulted with the Governments
of the Member States on 24 October1967, 30 April 1968 and 27 February 1969, in
order to ask them if they found the reserva tion made by the Chilean Government to be
acceptable.

749Annex 51

750 Annex 51

The instrument of ratification was delivered by the Ambassador to the Secretary-

General to be deposited at the General Secret ariat pursuant to the provisions contained
in Article LII of the American Treaty on Pacific Settlement.

IN WITNESS WHEREOF, this Act has been signed in two originals, at the
place and date stated above.

[Signature]
Manuel Trucco

Ambassador, Chilean Representative

at the Permanent Council of the
Organization of American States

[Signature]
Galo Plaza

Secretary-General of the

Organization of American States

[Signature]
M. Rafael Urquía

Assistant Secretary-General and Secretary
of the Permanent Council of the

Organization of American States

[Seal of the Organization of American States]

751752 Annex 52

Note from Patricio Carvajal Prado, Minister of Foreign Affairs
of Chile, to Guillermo Gutiérrez Vea Murguia, Extraordinary

and Plenipotentiary Ambassador of Bolivia in Chile, No 686,
19 December 1975

(Original in Spanish, English translation)

Original submitted by Bolivia as Annex 73 to its Memorial

753Annex 52

754 Annex 52

Republic of Chile
Ministry of Foreign Affairs

N° 686

Santiago, 19 December 1975

Mr. Ambassador,

I am pleased to acknowledge receipt of the Note N° 681/108/75 dated 16

December this year, through which Your Excellency notifies me that the Enlightened
Government of Bolivia accepts the general te rms of the response of the Government of
Chile to the proposal presented through the Aide Memoire of 26 August last, relating to

the negotiation framework that would enable the reaching of an adequate, total, and
definitive solution to [the] Bolivian landlocked situation.

2. In addition, through your Government’s instructions, it requests a written response
in equal terms to the one which the undersig ned formulated verbally to Your Excellency
in the meeting of the 12th of this month, and which would constitute the basis of

agreement for a negotiation between both our countries.

3. Furthermore, Your Excellency expressed the thanks of your Government for the

intentions expressed by the President of Chile to negotiate with Bolivia a sovereign
maritime coast linked to the Bolivian territory through an equally sovereign land strip.

4. Regarding Your Excellency’s request, I reaffirm in the present note the terms with
which my Government would like to respond co nsidering the guidelines for a negotiation
aimed at finding a mutually convenient solution, subject to:

To H.E. Mr.
Guillermo Gutiérrez Vea Murguia
Extraordinary and Plenipotentiary Ambassador of Bolivia
Hand delivered

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756 Annex 52

a) This response expresses H.E. Mr. President Banzer’s statements in

order to consider the current reality without erasing historical antecedents.

b) On this basis, the Chilean response is based on a mutually

convenient arrangement that would take in to account the interests of both countries
without containing any innovation to the provi sions of the Treaty of Peace, Amity, and
Commerce signed between Chile and Bolivia on 20 October 1904.

c) As His Excellency President Banzer stated, the cession to Bolivia
of a sovereign maritime coast linked to Bolivian territory through an equally sovereign

territorial strip would be considered.

d) Chile would be willing to negotiate with Bolivia the cession of a

strip of territory north of Arica up to the Linea de la Concordia based on the following
delimitations:

- North Boundary: the current Chilean boundary with Peru.

- South Boundary: Gallinazos ravine and the upper edge of the

ravine north of the River Lluta, (so that the A-15 highway from Arica to Tambo Quemado
would in its entirety be part of Chilean terr itory) up until a point to the South of Puquios
Station, and then a straight line passing through Cota 5370 of Mount Nasahuento and

continuing up until the current international boundary between Chile and Bolivia.

- Area: the cession would include th e land territory described before
and the maritime territory comprised between parallels of the end points of the coast that

would be ceded (territorial sea, economical zone, and submarine shelf).

757Annex 52

758 Annex 52

e) The Government of Chile rejects, for being unacceptable, the
cession of territory to the south of the limit indicated, that could affect in any way the
territorial continuity of the country.

f) The cession to Bolivia described in section d) would be subject to a
simultaneous exchange of territories, that is to say, Chile would at the same time receive
in exchange a compensatory area at least equal to the area of land and sea ceded to

Bolivia.

The territory that Chile would receive from Bolivia could be
continuous or composed of different portions of border territory.

In order to determine the new political-international limits
between Chile and Bolivia, the Mixed Bounda ries Commission would be re-established,
granting it authority to examine the border zone and to make proposals regarding the

fixing of the limits to both Governments, trying to avoid that the territories to be ceded
comprise populated areas.

g) The installations or public constructions existing in the territories to
be ceded, must be obtained by the State that receives the territory at a replacement price
determined by common agreement. (Chacalluta Airport, Railway from Arica to Visviri,

etc.)

h) Both Governments of Bolivia and Chile will respect private rights,

legally acquired in the territories under their respective sovereignties as a consequence of
the arrangement to be reached.

i) The Government of Bolivia would authorize the use by Chile of the

totality of the waters of the Lauca River.

759Annex 52

760 Annex 52

j) The territory ceded by Chile would be declared a Demilitarized
Zone and in accordance with previous conversations the Bolivian Government will be
committed to obtain the express guarantee of the OAS with respect to the inviolability of

the ceded land strip.

k) Both Governments would commit not to cede the exchanged

territories to a third power.

l) Arriving to the final agreement, a solemn testimony will be left

mentioning that the territorial cession that permits the sovereign access to the sea
represents the full and definite solution to the landlocked situation of Bolivia.

m) Bolivia will commit to respect the easements in favor of Peru
established in the Chilean-Peruvian Treaty of 3 June 1929.

n) The force of this agreement will be conditioned upon Peru’s prior

agreement in accordance with Article 1° of the Supplementary Protocol to the
aforementioned Treaty.

5. Noting that the Enlightened Government of Bolivia through Note N°
681/108/75 dated 16 December 1975, has accep ted the general terms of Chilean
Government’s response, on this date my Gove rnment is proceeding to formulate to Peru

the consultation referred to in letter n) of the aforementioned paragraph.

6. Finally, I refer to the last paragra ph of the note to which I respond, in which

Your Excellency states the following:

761Annex 52

762 Annex 52

“The Government of Boliv ia understands that the ot her proposals formulated in
the Aide Memoire of last 26 August, and th e ones that were exposed by Your Excellency
will be subject to negotiations that contemplate the satisfaction of mutual interests”.

As I state in letter e) of paragraph 4 of this Note, the proposals comprised in
sections 4, 5, and 6 of the Aide Memoire presented by the Bolivian Embassy on 26

August 1975, are discarded for not being acceptable by the Government of Chile.

With regard to the trade issues, such as the ones offered by Your Excellency

related to the laying of a pipeline to supply fuel to the mining industry at the North of
Chile and the petrochemi cal and refinery industries to be installed in Chilean ports, the
Government of Chile would be willing to negotiate on the basis established by a mutual

agreement.

Besides expressing to Your Excellenc y my highest and most distinguished

consideration, I reiterate my hope of perfecting an agreement that contributes decisively
to the friendship and the development of our nations.

(Signature Illegible)

PATRICIO CARVAJAL PRADO

Minister of Foreign Affairs.

763764 Annex 53

Message of Bolivian President Banzer announcing that Chile’s
Reply (19 December 1975) constitutes a globally acceptable

basis for negotiations, 21 December 1975

(Original in Spanish, English translation)

Reproduced in LF Guachalla, Bolivia-Chile: The Maritime Negotiation, 1975-1978
(1982), pp 85-86

765Annex 53

766 Annex 53

Once the necessary and adequate conditions
22 December 1975
had been provided, the Government of Bolivia,
MESSAGE OF PRESIDENT BANZER (21 through its Ambassador accredited to the Chilean
December 1975) ANNOUNCING THAT Government, submitted a formal proposal for a
CHILE’S REPLY (19 DECEMBER 1975)
CONSTITUTES A GLOBALLY practical solution to our confinement, which we
truly believe provided for the interests and
ACCEPTABLE BASIS FOR NEGOTIATIONS expectations of both countries. This proposal of 26
August of this year marked the beginning of a final
(from EL DIARIO)
stage on the way to a satisfactory solution.
Yesterday, the Bolivian Ambassador in
People of Bolivia, Santiago furnished me with Chile’s reply to the
Following the consistent behavior that was
adopted from the very first moment when I took Bolivian requirement of a maritime coastline with
territorial continuity and full sovereignty.
office, I do hereby inform my people of matters that
are significantly relevant to the life of the Republic. In that reply, the Government of Chile
At this time, which must be considered a decisive accepted to grant Bolivia a maritime coastline in
Northern Arica together with connecting territory,
stage in this nation-building process, in defining our with a transfer of sovereign rights. Such acceptance,
future and consolidating our lifestyle, I inform you
once again about the actions taken by my which addresses a vital issue raised in the Bolivian
administration on a very serious issue. proposal, has been agreed to by the National
Government.
Regaining access to the sea.
One of the main issues of concern for the Furthermore, it is my duty to inform the people
of Bolivia that Chile’s reply, as expected, involves
Government of the Armed Forces that I preside over the exchange of equivalent territories that do not
is to find a solution to the confinement of our affect the territorial area of both countries, nor their
nation, which has been addressed eagerly, with a
wealth or safety.
realistic approach and with profound patriotism. In this regard, the National Government is
In this context, a consistent policy, oriented
both to unify the ideas of the Bolivian people and to thoughtfully considering this proposal, with the aim
of avoiding any outcome that affects the
follow a deliberate, truthful and constructive line of development of our country, its prospects for
action, was outlined. Therefore, our international improving the standard of living of the people and,
actions were translated into an initiative to realize
Bolivia’s need to regain access to the waters of the last but not least, the preservation of the national
wealth provided by its natural resources.
Pacific Ocean. In other words, we cannot shift from being a
In this sense, as the people are well aware, we
have made fundamental achievements in opening confined country to a mortgaged one.
Other issues involved in Chile’s reply are yet
new perspectives to enable an acceptable solution
for the people of Bolivia. The national mindset was to be carefully weighed by the National
unified through the historical consultation that took Government. In view of that, they are under
analysis for the purpose of negotiations, which will
place in Cochabamba: a continental understanding be resumed immediately thereafter.
was obtained and, thus, the Charaña meeting was
prepared as a practical way to foster dialogue and In light of this background that I am now
direct negotiations towards finding solutions to sharing with our people, the Government
understands that the reply of the Chilean
Bolivia’s confinement.
Upon the restoration of diplomatic relations Government to the Bolivian proposal constitutes a
between Bolivia and Chile, my Government globally acceptable basis for negotiations.
Moreover, we are aware of the fact that such
devoted all efforts to agree with Chile on a formula negotiations must be carried out with the utmost
to provide our nation with its own and sovereign
maritime coastline, connected to our territory, also care and safeguarding the interests of the Bolivian
nation, as we have done so far. Also, the
on a sovereign basis. We knew that negotiations Government is aware of the fact that these
were not going to be easy. The complexity of this
issue required imaginative efforts, foresight and negotiations with the Chilean Government shall be
unwavering determination to arrive at constructive subject to the rules of international law. In this
sense, I have been notified of the
solutions. Therefore, our mission was dedicated,
tenacious and responsibly carried out.

767Annex 53

768 Annex 53

consultation that the Chilean Government had with The message of peace brought by Christmas

the Government of Peru, in compliance with the time is present at this time. I am pleased to bring
international agreements signed by both countries. such good news to the homes of all Bolivians. I am
We trust that the understanding that we will reach at peace knowing that the efforts, the tenacity and
will effectively take into account the interests of all the responsibility were fruitful not only for Bolivia,

stakeholders, in a matter which is crucial for our but also in terms of creating new hopes for peace,
nation. understanding and a decision to move towards the
The information that I am sharing with the future with the confidence of peoples that have faith
in their greatness.
people evidences a fundamental achievement and
the successful understanding between two countries I am joyful to celebrate Christmas listening to
that were summoned to agree on common goals that the Christian message of rebirth together with a

are vital for the wellbeing of their people. Also, this hopeful and vigorous people.
is the culmination of the first stage of a laborious Finally, I want to express my fervent
and tough task that I was entrusted with at the admiration for my people, who have supported the
Consultation Meeting on Regaining Access to the
efforts of the National Government at all times. To
Sea, held in Cochabamba. In my capacity as the workers, farmers, intellectuals, students and
President of the Republic, I have tried to interpret soldiers, men and women from the very heart of
the nation’s feelings and to preserve the Bolivian South America that encourage this national crusade
interests in this matter, as in no other. I truly believe
to regain access to the sea, my sincere gratitude. I
that this stage, successfully concluded now, will reaffirm the commitment of the Government of the
safely lead us to meeting our need to regain access Armed Forces of the Nation to meet your
to the sea. expectations. We are at a turning point in our

Fellow nationals: history and we reiterate, truly advocating for peace
With true love for my people I have undertaken and greatness, our decision to be triumphant.

the responsibility for fighting for a noble cause that
has been deep rooted in the hearts of all Bolivians
for 96 years and that, until yesterday, was
practically lost. So, the relations with Chile were

restored, trusting that this sister nation, led by the
honorable President, General Augusto Pinochet
Ugarte, will honor its commitment to do justice to
the cause of a nation located in the center of the

continent and that, without respite, marches towards
the sea.

769770 Annex 54

Communiqué from the Bolivian Ministry of Foreign Affairs on
the Charaña Negotiations, 5 January 1976

(Original in Spanish, English translation)

Reproduced in RP Lizón, History of the Charanña Negotiations (2011), pp 137-138

771Annex 54

772 Annex 54

2. Communiqué from the Bolivian Ministry of Foreign Affairs on the Negotiations

In early January 1976, the Bolivian Ministry of Foreign Affairs sent new instructions to its
mission in Chile. But they were delivered to the local press, via an Official Press Release dated
5 January. It is important to note that this document is the first evidence that Bolivia had

accepted not only the “general terms” of the Chile an proposal, 1ut also the [term of] territorial
compensation. Due to its importance, it is transcribed below:

“1) The Bolivian government agrees that for a pragmatic negotiation that allows our

country to obtain its own sovereign access to the Pacific Ocean, the current reality must
be considered.

“2) The National Government agrees to the cession to Bolivia of a sovereign maritime

coast, linked to Bolivian territory by a s overeign strip of land, whose northern boundary
is the border between Chile and Peru. As for the southern boundary, in principle, the
points of reference proposed by the Chilean Foreign Office are considered admissible, but
the proper adjustments must be studied afterwards.

“3) The acceptance of a simultaneous exchange of territories is subject to a clarification
of the maritime area, in view of the fact that the extension of internal waters, territorial
sea and patrimonial sea has not yet been defined by the International Community.

“4) Indeed, the Law of the Sea is in the pro cess of being codified, and this codification
has not made substantive progress. Therefore, this point should be the object of careful
negotiation that takes into account principles of equity and the national interests.

“5) The National Government has stated that the territories that are likely to be
exchanged should be determined through an evaluation by the proper organizations in
Bolivia and Chile.

1
GUTIERREZ V.M., GUILLERMO; personal file (Documents 1-4, years 1975-76).

773Annex 54

774 Annex 54

“Therefore, Bolivia reserves the right to negotiate the areas that might be potentially
exchanged.

“6) The alternative of demilitarizing the zone to be ceded to Bolivia has been objected to

and will be the subject of late r negotiations, in which our country will set forth its points
of view contrary to a limitation of sovereignty. Nevertheless, let the record reflect that
Bolivia has no bellicose intenti ons, given that its plans are part of a proposal for peace,
development and integration in the Southern Pacific”.

“7) The instructions containing the Bolivian position mention the need to jointly pursue

the negotiations of details, such as the determination by the two Parties of the amounts to
be paid for the existing infrastructure in the territories to be exchanged, such as the
La Paz-Arica Railway, the Chacalluta Airport, roads, etc.

“8) Moreover, it has been stated that the use of the waters of the River Lauca by Chile

will be subject to negotiation in all its details at a future stage in which additional aspects
will be defined.

“9) The Bolivian Government has expressed its conviction that the principle of free
transit must be maintained intact and put into practice as part of a concept of reciprocity.
Along these lines, it has been repeated that the operating rules for free transit must be

continuously improved and perfected.

“10) The Bolivian Government believes that it is of great significance for the Americas
that countries in the Western Hemisphere promote the stability of an understanding aimed
not only at achieving a sovereign access to the Pacific Ocean for Bolivia, but also at

creating a climate for the performance of wo rk and undertakings between our countries
that improve the standard of living of their peoples.

“It is important to note that the Government of the Armed Forces has repeated that the
Chilean Government’s answer constitutes an acceptable global basis for negotiations. On

that basis, and in accordance with its invari able patriotic conduct, the Government will
continue the negotiations by consulting the sentiments and interests of all sectors of the
Bolivian people.

775776 Annex 55

Statement by Mr Schweitzer, Minister of Foreign Affairs of
Chile, at the Fourth Session of the General Committee of the

General Assembly of the Organization of American States,
18 November 1983 (extract)

(Original in Spanish, English translation)

Organization of American States, General Assembly, Thirteenth Ordinary Session,
1983, Records and Documents, Volume II, Part I, OEA/Ser.P/XIII.02 (1984),
pp 348, 368-370

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778 Annex 55

GENERAL COMMITTEE

MINUTES OF THE FOURTH SESSION

Date: Friday 18 November 1983
Time: 11:15 a.m.
Place: Hall of the Americas

…

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780 Annex 55

The MINISTER OF FOREIGN AFFAIRS OF CHILE (Mr. Schweitzer): Thank you,
Mr. President. Mr. President, Ministers of Foreign Affairs, distinguished Representatives:

The presentation of the “Report on the maritime problem of Bolivia” moves my
Delegation to make some necessary clarifications. The first relates to the definition of my
country’s border with Bolivia. In this regard, I want to be very emphatic: the boundaries between

Chile and Bolivia were fixed once and for all by an international treaty that was freely signed by
both countries in 1904. Consequently, we do not ha ve any pending legal problems with Bolivia

and this Organization of American States has no jurisdiction whatsoever to issue pronouncements
on territorial matters of the Member States.

Any negotiations with Bolivia aimed at satisfying Bolivia’s longing for sovereign access
to the Pacific Ocean through Chilean territory is a matter for solution directly between Bolivia
and Chile, and might possibly require the particip ation of Peru, if it involves the territories

included in the Treaty of 1929, which Chile signed with Peru. Any negotiations of this type must
also be the result of a process; a process that involves improving and normalizing the relations
between our two countries and that permits us to create the positive political environment that

facilitates an action of this na ture. My country is and has always been willing to make a
contribution to the beginning of this process.

Another aspect is related to regional cooperation and the purposes of integration that Bolivia
mentions.

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Chile has been a strong proponent of Latin American integration. We have supported it
from a general standpoint and we ha ve repeatedly informed Bolivia of our desire to promote it
with them in the bilateral and the regional context.

We do not purport to attribute responsibility for what has not been done in this respect.
Nevertheless, Chile has not ha d and does not have any concer ns about initiating a process of

rapprochement with Bolivia to realize the vast possibilities of integration between the two sister
nations called by history and geography to live together harmoniously under a framework of
mutual cooperation.

The Bolivian Minister of Foreign Affairs has referred to the integration that has made so

much progress in Europe, and without any doubt, th e old continent has set an example for us of
how countries with an enormous history of rivalr y have set aside their past antagonism for the
benefit of their people, in broad processes of integration and cooperation.

For integration is a means of overcoming the differences of the past, with a view toward
the future, and with modern ideas that allow nations to overcome their historical anachronism,

whereby two neighboring countries live distan ced from each other and absorbed in futile
quarrels.

Another aspect that needs to be clarified is the facilities to access the sea that Bolivia has
through Chilean territory. In this regard, suffice it to say that, as we have said before, there is not

another country in the world that enjoys great er advantages of communication with the ocean
than those offered by Chile to Bolivia. Even so, we have always aimed to improve and perfect the
free transit regime.

The Representative of Bolivia mentioned in hi s declaration that he regretted having to
note that, despite his willingness, no progress had been made in meeting the objectives prescribed

in the resolutions approved by this Assembly in the past four years.

As far as I am concerned, I would also like the record to reflect that the resolutions

approved by this Assembly and rejected by my country could not have given rise to any progress
at all. We have stated that it is beyond the juri sdiction of this Assembly and that a process of

negotiations with Bolivia regarding Chilean territories can only find an interlocutor when it is
done directly with Chile.

We also affirm right from the start that an attempt to have an international organization
participate in a matter that is outside its jurisdiction and relates to Chile’s exclusive sovereignty
was a wrong, improper path. We repeat that the only appropriate way is to engage in dialogue

with Chile to seek a rapproche ment between the two countries and a recovery of the bonds of
friendship in a climate of mutual respect.

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Mr. President, the distinguished Minister of Foreign Affairs of Bolivia has expressed the
intention of his Government to approach this problem with a vision towards the future and in a

constructive spirit. We cannot fail to be glad of su ch positive intentions. Chile firmly believes in
a policy of good neighborliness, which has become one the guiding principles driving its foreign
policy. As we have already said, borders hould be points of union, and become dynamic

elements of cooperation. Thank you very much, Mr. President.

…

785786 Annex 56

Study prepared by the General Secretariat of the Organization of
American States – Part II: American Treaty on Pacific
Settlement, 9 April 1985 (extracts)

(Original in English)

Appendix II to Permanent Council of the Organization of American States,
Committee on Hemispheric Security, Peaceful Settlement of Disputes in the
Organization of American States (Document prepared by the Department of
International Law of the Secretariat for Legal Affairs), OEA/Ser.G CP/CSH-278/00,
13 March 2000, pp 29-30, 42

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Statement by Mr Bedregal, Minister of Foreign Affairs of

Bolivia, at the Fourth Session of the General Committee of the
Organization of American States, 12 November 1987 (extract)

(Original in Spanish, English translation)

Organization of American States, General Assembly, Seventeenth Ordinary Session,
1987, Records and Documents, Volume II, Part I, OEA/Ser.P/XVII.O2 (1987),
pp 341, 351-355

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GENERAL COMMITTEE
MINUTES OF THE FOURTH SESSION

Date: 12 November 1987
Time: 5:45 p.m.
Place: Hall of the Americas

…

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THE MINISTER OF FOREIGN AFFAIRS OF BOLIVIA (Mr. Bedregal): Thank

you very much, Mr. President. Mr. Presiden t, distinguished Representatives, on repeated
occasions, this Assembly has duly paid attenti on to the Representatives of my country in

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relation to a vital problem that has affected Bolivia since its territory was mutilated in a war
of conquest in 1879, depriving the country of its own sovereign access to the Pacific Ocean

and thus creating conditions that limit its de velopment and generate tensions and concerns
that impact international policies of good-neighborliness and brotherhood among the peoples
of our continent. As everyone knows, Bolivia was left confined, once its access to the sea was

closed off, by the Treaty of 1904, which form alized Chile’s possession of the extensive
Bolivian littoral and which was signed under clear and evident conditions of pressure,
stretching free and authentic consent. A brie f memorandum presented to the ninth regular

session of the OAS General Assembly covers the background to this problem and notes the
historical-legal aspects that precisely show the violation of the principles of law and norms of
civilized coexistence.

Mr. President, on this occasion we would like to present a set of historic maps that

clearly and decisively show our claim and that it is historically justified.

As already stated, after the Treaty of 1904, Bolivia has continually attempted to use

dialogue to resolve this problem that is truly a historic injustice, and it has not yet met with a
sufficient openness to make it possible to reach an agreement.

In this regard, the Representatives of the current Chilean government systematically
and at times dogmatically proffer phrases such as “Chile does not owe Bolivia anything”,
“Bolivia never had the sea”, all in a language that papers over the real problem, which is an

issue that blights the peace, the understanding, and the mutual interests of the nations of Latin
America. This attitude precludes dialogue and hampers any attempt to reach an agreement

that could overcome the legacy of pain and violence that would be better forgotten, since this
memory clouds the clear vision of understanding and harmony that should prevail among the
peoples and states of the hemisphere, and above all, hinders the integration and development

of our nations, the achievement of which is a hi storic goal for all countries in the Americas,
working through the OAS.

In this very Assembly we have had the enormous satisfaction, something I believe is
also reassuring to the entire hemisphere, of seeing many efforts and much good will
expended in resolving the Central American issue and in addressing the problems that thwart

the road to peace, dialogue, and brotherhood.

Mr. President, the strength and justice of the Bolivian claim have on several
occasions compelled Chile to recognize the need to reach an agreement. I refer to the 1950
commitments, through the formal exchange of notes from the respective Ministries of

Foreign Affairs, in which it was agreed to “fi nd a formula that could make it possible to give

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to Bolivia an access to the Pacific Ocean of its own, and for Chile to receive compensation of
a non-territorial character that effectively take s into account its interests”. These notes are

known in the annals of diplomacy as the “Larraín-Ostria Gutiérrez” notes, after the
ambassadors of the time.

This agreement, which engages the good will of the Chilean State in its relationship
with Bolivia, as in its dealings with the international community, entails an obligation for
Chile to undertake coordinated negotiations ai med at finding a solution to this geographic

confinement, in accordance with the general conditions agreed upon in those 1950 notes.

The distinguished Representatives here should be aware that we are talking about the

validity of a formal commitment, frequently confused with a generous concession born of the
good will of the current Government of Chile, which sometimes, with arrogant disdain,

denies these commitments. In view of this, my country, respectfully adhering to these
agreements, requests that this problem be addressed in a responsible dialogue that deals with
the solution provided for in the aforementioned documents.

As a natural and just result of the presentations made to this great Assembly on eight
consecutive occasions, this Assembly, our Orga nization, the oldest in the hemisphere, urged

the countries involved to use dialogue to seek an equitable solution to the thorny problem of
Bolivia's landlocked status.

Mr. President, this time the Representatives of Bolivia bring before this great
Assembly a deplorable circumstance that concerns not only Bolivia and Chile, but the

Organization itself.

Here in this Assembly, and in accordance with these principles, Bolivia, firmly

committed to its implacable desire to regain an access to the Pacific Ocean within the
framework of the eight OAS resolutions, began a process of negotiations with the Chilean
government in 1986 in an attempt to find an e quitable and satisfactory solution, as many of

the Ministers of Foreign Affairs here pres ent already know. The initial steps taken in
successive meetings of the Ministers of Foreign Affairs of Bolivia and Chile at international
meetings hinted at a possibl e understanding, as it had been agr eed to hold a first official

meeting on 21 April of this year, in accordance with the information duly presented to the
General Assembly of the OAS meeting in Guatemala last year. This time the Ministers of

Foreign Affairs met in the city of Mont evideo, under the generous hospitality of the
illustrious government of the Oriental Republic of Uruguay.

On that occasion, following a plan prev iously agreed upon by both Ministers of
Foreign Affairs, the Bolivian Minister ha nded his Chilean counterpart a proposal that

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would serve as a basis for continuing negotiations. Over the course of two days, the Chilean
Minister of Foreign Affairs and his Delegation presented the Bolivian delegation with a list of
explanatory questions, which were answer ed in writing within hours by the Bolivian

delegation. These documents are appended to this report.

A few days later, while high expectations of rapprochement prevailed, this favorable
climate was shattered by a s udden, lamentable statement by a member of the Chilean
Government, damaging this negotiating process with expressions both unworthy of its office

and aggressive in form and in substance.

On 9 June, 48 days later, the Bolivian Representative in Santiago was suddenly

called to the Chilean Ministry of Foreign Affa irs, where he was handed an official press
release that contained a rude rejection of th e Bolivian proposal, leading to the unilateral
interruption of the efforts of negotiations favorable to both States and repeatedly endorsed by

the community of the Americas.

After the frustration that cut off the achievement of those shared ideals of the
integration of our nations, sections in the Ch ilean Government unleashed a strident publicity
campaign, trying to convince its people and international public opinion that Bolivia never

had any right to the sea, thereby trying to invalidate the moral weight of the negotiations and
Bolivia's historic and legal right to possess a coastline and a port on the Pacific.

Mr President, distinguished Representatives, when presenting this report here before
an audience of such stature, it is not necessary to stress the inconsistency of the statement by
the Chilean Government. I need do no more than respectfully suggest that the Representatives

imagine how they would have reacted if it had been their nation, Government, or country that
had been so unjustifiably and unnecessarily insulted.

Unilaterally breaking off the beginning of the negotiations was a rejection not only
of the Bolivian proposal, but also, in the same way, of the repeated calls, exhortations, and

recommendations of the OAS. Negotiations are a reasoned exchange of opinions that analyze
and evaluate the content of a proposal in orde r to achieve an agreement that satisfies the
interests of the parties. This did not happen with the Bolivian proposal, the content of which

was practical and convenient for important intere sts of Chile, as it included electricity, gas,
and water in an area that has limited energy and vital resources, thus complementing a vision
of joint development.

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The exhortations by the Organization, expre ssed in successive resolutions of the
General Assemblies, arise from the recognition that this is a worrying problem that affects the

relationships among States, one that must be resolved through dialogue between the involved
parties in order to regain the regional harmony that underpins coexistence and development.

These exhortations by the OAS are carried out through joint action, aimed at eliminating
tensions that could lead to the use of force as a prelude to disturbing peace, the preservation
of which is the ineluctable responsibility of e OAS, as set forth in the precepts of the

Charter.

Mr. President, that is why I request that the members of this Assembly approve the

draft resolution presented by my delegation, as this draft is in the same vein as the previously
approved resolutions, which constitute official documents. Thank you very much.

…

803804 Annex 58

Statement by Mr Bedregal, Minister of Foreign Affairs of

Bolivia, at the Third Session of the General Committee of the
Organization of American States, 16 November 1988 (extract)

(Original in Spanish, English translation)

Organization of American States, General Assembly, Eighteenth Ordinary Session,
1988, Records and Documents, Volume II, Part I, OEA/Ser.P/XVIII.O2 (1989),
pp 380-394

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GENERAL COMMITTEE

MINUTES OF THE THIRD SESSION

Date: 16 November 1988
Time: 10:00 a.m.
Place: Sheraton Hotel

…

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The MINISTER OF FOREIGN AFFAIRS OF BOLIVIA (Mr Bedregal): Thank you very
much, Mr President. Mr President, Ministers of Foreign Affairs, Heads of Delegation,

Representatives:

This matter has been under c onsideration in our Organization since 1979. At that time,

the spirit of justice and desire for integration of the Continent were expressed with the statement
“that it is of continuing hemispheric interest that an equitable solution be found”, one that is just

and provides Bolivia with “appropriate sovereign access to the Pacific Ocean”, in order to create
a climate of “stable peace that will promote the economic and social progress of the area of the
Americas directly affected by the consequences of the landlocked status of Bolivia.”

The Organization of American States recommended that the States affected by this

problem open negotiations for the purpose of providing

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Bolivia with a free, continuous, and sovereign connection with the Pacific Ocean. The decision
adopted by the 1979 Assembly only reflected the concern and interest of the nations of the
hemisphere, already expressed in 1975, in the fo rmal session of the OAS’s Permanent Council

held in August to commemorate the sesquicentennary of Bolivia’s independence, where it was
recognized by consensus that Bolivia’s geographic confinement was a hemispheric problem that

deserved a solution that would benefit not only Boliv ia, but also the countries directly affected
by this confinement.

Mr President, it must be noted that prio r to the 1979 resolution, the Bolivian maritime
matter was also the subject of important bilateral diplomatic negotiations, some of which are

quite valuable background, which we will briefly point out in this report. In 1895, pursuant to the
Treaty on Transfer of Territories, Chile committed to hand over Tacna and Arica if the result of

the plebiscite agreed to with Peru favored it, and if not, the cove of Vítor or another similar one.

In 1920, the Ministers of Foreign Affairs of Bolivia and Chile signed a Protocol in which

Chile expressed its willingness for Bolivia to acquire access to the sea, to the north of Arica and
the railway line, which is territory subject to the plebiscite provided for in the Treaty of Ancón,

which was the point that ended the war between Chile and Peru.

In 1926, the U.S. Secretary of State, Frank P. Kellogg, in the use and exercise of his good
offices, proposed that: “The provinces of Tacn a and Arica should become part of Bolivia’s
geographic heritage in perpetuity.” The proposal was accepted in principle by Chile.

In 1950, notes were exchanged between the Minister of Foreign Affairs of Bolivia

Gutiérrez and Minister of Foreign Affairs of Chile Larraín, through which Chile agreed to
negotiate the concession to Boliv ia of its own continuous and s overeign access to the Pacific
Ocean, without territorial compensation.

In 1961, through the so-called Trucco memorandum, named after the Chilean ambassador

to Bolivia who submitted the official docume nt, Chile reiterated its offer under the same
framework as in the aforementioned notes of 1950.

In 1975, based on the Charaña bilateral meet ing, held on 8 February between the
President of Bolivia, Hugo Banzer Suárez, and the President of Chile, Augusto Pinochet, a

negotiation process began in which the Government of Chile accepted to grant to Bolivia its own
free, useful, sovereign access over contiguous territory in the north of Arica.

Finally, in 1986, the process of rapprochemen t between the Minister of Foreign Affairs
Guillermo Bedregal of Bolivia, who is speaking at this meeting, and Minister of Foreign Affairs

Jaime del Valle

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of Chile, was unilaterally and abruptly interrupted, regarding which I will make a brief comment
later.

Distinguished Representatives, unfortunately all this history and these diplomatic efforts
did not achieve the desired outcome. Nevertheless, this valuable background confirms the desire

to reach an agreement between the parties, and, for different reasons, the unwillingness of the
Republic of Chile to conclude the negotiations with Bolivia since the War of the Pacific ended is

noted.

On the other hand, it is also observed that Bo livia sought renewed access to the Pacific

Ocean in accordance with the customs and diplomatic practice established by the community of
States. Bolivia affirms, like all the nations in the Americas, that our Organization, i.e., the OAS,

is morally and legally the appropriate forum for reaching a solution to its confinement.
International law of the Americas has never been hermetic and has never been fossilized in

unyielding dogmas. Nor has inter-American law to lerated abuse of proces s, and it has always
responded to good faith. In this regard, it seems necessary to repeat the legal grounds that
support the OAS’s jurisdiction in this matter, contained in Article 2 of our Organization’s

Charter.

Bolivia’s maritime issue is a problem that has still not been resolved. Therefore, it can,
and does, create tensions and ill-will in the re gion. As a result, it is appropriate for the

Organization to take initiatives to guarantee harmony and co-existence without threats and
uncertainty.

The profound content annually ratified, of the 19 79 resolution, is inspired by the desire
for Latin American unity and the conscious conviction of the countries of our hemisphere, which

declare that finding an equitable solution, th rough which Bolivia would obtain sovereign and
useful access to the Pacific Ocean, is of permanent interest to the hemisphere.

Hemispheric interest is a collective desire of the Americas sustained by the OAS’s belief

and conviction that a solution to this problem must be found. This hemispheric conviction is a
concept from which the jurisdiction of the Or ganization emanates, because the unanimous
declaration made as a multilateral principle that reflects the hemispheric intent is transformed

into a desire leading to dialogue. This is confirmed in turn by the obvious fact that current
hemispheric circumstances are di fferent from those that prevaile d in 1904. Nevertheless, we

must remember that the Treaty was signed at a time when a general awareness could already be
noted in the Americas with regard to the prohibition on the use of force in relationships between

the States.

Mr President, as early as 1829, the Grand Marshal of Ayacucho had already proclaimed

to the entire world that victory does not convey right. Regarding that

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doctrine, which is so in fashion currently, it is appropriate to cite the text of Pope Pius XII’s
encyclical Summi Pontificatus of 20 October 1939, which states:

Now, it is true that with the passage of time and the substantial change of
circumstances, which were not and perhap s could not have been foreseen at the

time of making of a treaty, such a treaty or some of its clauses can in fact become,
or at least seem to become unjust, impracticable or inapplicable for one of the

parties. It is obvious that should such be the case, recourse should be had in good
time to a frank discussion with a view to modifying the treaty as advisable or fully
replacing the existing one.

The historical and legal background to Boliv ia’s maritime problem reveals that the

unfortunate confinement of Bolivia, arising from Chile’s expansionist activities, has created a
historical disproportion that unjustly affects and limits my country’s economic and social
development. This is another reason for reiterati ng from a doctrinal standpoint that there is a

substantial change in the circumstances that has occurred compared to those existing in 1904,
and this is fully compatible with Article 62 of the Vienna Convention.

The forced landlocked situation of my count ry, in addition to causing insurmountable

obstacles to its development, establishes a situ ation of dependence that is in frank opposition to
the procedures for integration and fraternal cooperation and co-existence that inspire the
contemporary American spirit. This dependency is evident and it cannot be concealed by the

granting of limited “transit” facilities. It is a fact that the person granting such facilities makes
them exclusively dependent on his will and the recipient is at the mercy of the grantor.

Mr President, convinced that the spirit of justice and the unquestionable reality of the
international legal doctrine of our Organization have full political and diplomatic validity,

Bolivia comes before this General Assembly to insist on a dialogue aimed at finding the mutual
agreement that will resolve this problem. During the last nine General Assemblies, our sister

nation members of the OAS urged and emphasized this path for the resolution of this dramatic
injustice. As a result, with the appeals issuing from this forum, Bolivia repeatedly sought to enter

into negotiations with the Republic of Chile to try to find potential solutions, through sincere
conversations, in good faith and kinship.

All the distinguished Representatives presen t here know that in 1986 Bolivia promoted
negotiations with Chile, which culminated in an official meeting at the level of the Ministers of

Foreign Affairs, in Montevideo, in April 198 7, thanks to the generous hospitality of the

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illustrious Government of the Oriental Republic of Uruguay, as Bolivia and Chile in due time
informed the sixteenth General Assembly of the OAS, held in Guatemala City.

The unfortunate outcome of that negotiation is also well-known by all, which was not due
to my country’s inconsistency or lack of desire , but rather due to Chile’s sudden suspension of

negotiations in June 1987, thwarting a possible solution once again. This unilateral decision was
denounced by my country during the OAS’s last General Assembly, held in Washington.

Our regional organization, joining the new fr ustration of the Bolivian nation, during the
1987 Assembly, passed a resolution that lament ed the interruption of the negotiations held

between Bolivia and Chile, and again urged that the negotiations aimed at finding a formula to
make it possible to give Bolivia access to the Pacific Ocean be resumed, within the framework of

the resolutions that were approved annually from 1979.

Distinguished Representatives, one year has passed since the last Assembly in
Washington. Today we find ourselves meeting ag ain in the capital of this noble and generous
country, El Salvador, and as our working agenda demands, a report must be made to this General

Assembly regarding the progress that has occurred as a result of the adoption of Resolution 873.

I must report to this Assembly that unfortunately no progress has been made in the past
year regarding the resolution of this problem, increasing the anguish of the Bolivian people and
the difficulties that my country must face to ach ieve harmonious and sust ainable development.

This lack of progress in the negotiations is not due to absence of desire on the part of the
Government of Bolivia.

Bolivia, because reason is on its side—and I think it can invoke the justice and tradition

of the public law of the hemisphere—brings its legitimate complaint before this Organization
once again, and repeats its commitment and determined intention to seek, within a hemispheric
framework of solidarity, a solution that includes the interests of all the parties involved, through

frank and direct dialogue with them.

Before ending this presentation, I am pl eased to report that His Holiness Pope
John Paul II, on his visit to Bolivia, upon addressing the diplomatic corps in La Paz, stated:

I believe the supreme value of peac e, of which you must be convinced
advocates, indefatigable defenders, and restorers when necessary, must be placed

among your priorities as diplomatic professionals.

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In this regard, I would like to remind yo u of the principles of reciprocity,
solidarity, and effective cooperation in international relations.

The Holy Father continued:

Peace, to whose cause we must all contribute, is not achieved through

intransigence or national egocentricities. On the contrary, it is achieved and
guaranteed through mutual understanding. Moreover, that understanding is made
easier and more fruitful when it comes from a sincere spirit of solidarity; from

that solidarity that makes all men of this world brothers, destined by the Creator
so that we may all partake of its assets equitably.

Only thus -- said John Paul II -- on the basis of justice and solidarity, and

with the effort of mutual understanding, is it possible to establish stable bases of
equilibrium to build an international community without permanent and severe
anxiety, without dramatic insecuritie s, without conflicts with irreparable

consequences. Only thus will it be possible to find appropriate solutions to the
latent problems in various parts of Latin America, such as certain border disputes

or the matter of Bolivia’s landlocked situation.

The moral recognition that His Holiness gave to the problem of Bolivia’s maritime
confinement and his call to resolve it through th e contributions of the diplomatic community

reinforces our commitment and conviction to se ek a negotiated solution that will ultimately
overcome the century-long confinement that has been imposed on Bolivia. By virtue of this
background I request, Mr President and Representa tives, the approval of the current draft

resolution that repeats, in unifying and respectful language, the content of the resolutions
adopted in the previous Assemblies of the Organization of American States. Thank you very

much, Mr President.

THE PRESIDENT: Thank you very much, Mr Minister of Foreign Affairs of Bolivia.
The Representative of Chile has the floor.

The REPRESENTATIVE OF CHILE (Mr Illanes): Thank you very much, Mr President.
Mr President, an essential duty, that of safeguarding the historical and legal truth, obliges me to

respond to the ideas of the distinguished Bolivian Minister of Foreign Affairs.

The Treaty of 1904, which definitively fixed the border between Chile and Bolivia, was
not imposed under any pressure whatsoever. Quite to the contrary, its basic terms were proposed
by the Bolivian Government at the time; it was negotiated for two years with the highest

Bolivian authorities, several of whom, years later, and by popular vote, again held

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those same high offices. The Treaty imposed onerous commitments on Chile, some for fixed
terms, others in perpetuity. The simple recounting of them would suffice to debunk the allegation
that this accord reflects the absolute will of only one of the parties.

The Treaty of 1904 granted Bolivia, in perpetui ty, the broadest and most favorable legal

regime for access to the sea, through Chilean territory and ports, to which no landlocked country
has a right, and this regime does not depend on Chile’s will, Mr President, it is established in a
treaty. It is a legal obligation for my country. It cannot be altered by Ch ile and does not depend

on our whim, on our desire. It is permanent; it is binding. The foregoing eliminates the alleged
maritime confinement of Bolivia. That theory is also contradicted by the access facilities to the

Pacific and the Atlantic that four other countries bordering Bolivia have granted it. These include
connections by road, railway, warehouses, free tr ade zones, etc. All this, not to mention the

rights that multilateral agreements, such as the 1965 United Nations Convention on Transit Trade
of Land-locked States, the Protocol that amended the LAFTA, changing it to LAIA in 1980, etc.,
establish in favor of landlocked states.

Finally, the Treaty of 1904 was signed one-quarter of a century after hostilities between

the countries ceased. Furthermore, it is appropriate to recall that it was approved by the Bolivian
parliament prior to its ratification by the Government of that country. Thus, the Bolivian
Representatives cannot keep repeating that that instrument was imposed by force, when in reality

it was freely negotiated, signed, and approved by two sovereign nations.

The ancient Roman fathers of the compendium of logic and rational thinking known as
the law coined an aphorism that is on point— valenta non site in juri , that is to say, there is no

injustice committed against one who consented.

Moreover, it is fitting to note that Bolivia has always recognized the full validity of the

treaty in question. For example, in the past, as in 1910, in a note that the Bolivian Minister of
Foreign Affairs, Mr Sánchez Bustamante, sent to his Chilean and Peruvian colleagues, or as

recently as last September, from the mouth of the Minister of Foreign Affairs Bedregal himself
in his presentation before the United Nations General Assembly. They could hardly have taken a
different stance given the fact that, since 1904, Ch ile and Bolivia have en tered into dozens of

treaties, agreements, conventions, etc., many of which are based precisely on the aforementioned
Treaty of Peace and Amity.

No one can, therefore, ignore that, during its 84 years in force, the said instrument has

enjoyed a permanent,

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uninterrupted, and fruitful app lication, which has made it the cornerstone of Chilean-Bolivian

relations. As we recognized with satisfacti on, my country, and Bolivia too, have honored the
binding word, respecting and exercising the rights and faithfully complying with the obligations

included in that treaty.

Mr President, faced with this objective reality, on what logical basis could the Bolivian

claim that there is a maritime conflict or dispute between our countries that would involve a risk
to the peaceful co-existence of the region be accepted? To dismiss such a senseless idea, it would

be sufficient to remember here that the Treaty of 1904 definitively settled all disputes between
the parties. In fact, its articles include a border agreement and a commercial free transit regime in
Bolivia’s favor, expressly characterized by the perpetuity of those commitments.

From another perspective, Bolivia states that the existence of this hypothetical dispute is

due to Bolivia’s alleged right to reclaim from Chile its own sovereign access to the Pacific.
However, from which of the sources of international law — specifically recognized by Article 38

of the Statute of the International Court of Justice — does this alleged right that Bolivia confers
upon itself arise? Certainly there is no intern ational convention or custom, general legal
principle, judicial decision, or published legal opinion on which Bolivia can base this claim.

In truth, just as non-existent as the alleged Bolivian right, is the resulting Chilean

obligation to ensure sovereign access to the sea for this country. Nor is there a dispute or conflict
of any type between our countries. On th e whole, it seems to concern the Bolivian
Representatives that said illusory dispute might disrupt the peace in our region. My country in no

way shares such apprehensions.

Now I repeat what has been said so many times in the past. Chile’s legitimate and
peaceful exercise of the rights granted to it by a valid and current treaty can never be the source

of a dispute. Proof of this is the absolute p eace in which Chileans and Bolivians have co-existed
for more than a century.

Furthermore, Chile has shown by its acts that even facing serious and real international
conflicts, such as the one that would be brandi shed now, its manifest peace-loving ideals have

not changed. My country, a Member State of th e United Nations and the OAS Charters, as well
as of the Inter-American Treaty of Reciprocal Assistance, has renounced the use of threats and
force in its international relations. Mr President, Chile will never resort to aggression, it

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would only exercise its inherent right to self-defense in the unthinkable event it were a victim of
it.

Thus, if there is no threat to the peace of our region, because there is no dispute between

Chile and Bolivia that could put it at risk, th eir representatives cannot rightly invoke the
measures intended to provide a peaceful soluti on, less still imagine procedures intended to
enforce resolutions adopted not only with the di ssenting vote of my country, but outside the

bounds of the express jurisdiction that the OAS Charter grants to this Assembly.

Mr President, the Bolivian proposal to enhance or update in light of contemporary
realities, treaties such as the Treaty of Peac e and Amity that binds our two countries, would

entail a foreseeable and serious risk to the stabil ity of the relationships between the States. Just
imagine the chaos that would occur in international life if treaties that establish borders could
later be updated or adapted based on the Bolivian Minister of Foreign Affairs’ new legal theory.

Who, how, according to what criteria, would the updating or redrafting of such instruments be
carried out?

The Minister of Foreign Affairs of Bolivia, in his speech yesterday in the plenary session,
attempted to set out some so-called historical-dialectical analogies between certain current

international situations and, we assume, the treaty that established the Chilean-Bolivian border.
Even without an in-depth study, it is immediatel y apparent that the cases he mentioned reveal

obvious confusion of ideas that hinder any analogy. Thus, the cases of Gibraltar and Hong Kong
are typically colonial situations, created between countries that are separated by large geographic

distances, if not located on different continents. Those situations also appear to be characterized
by the non-existence of disputed territorial rights prior to th e establishment of the colonial
administration.

In the specific case of the Malvinas/Falkland Islands, another example of colonial

imposition -- the most painful for us Americans --, we were not aware that there was, as the
Foreign Minister stated, “an obsolete treaty”, whi ch had to be overcome. We would appreciate
clarification in that regard by the distinguished Bolivian Delegation.

For its part, the 1903 treaty relating to Panama was never a border treaty like the one

entered into by Chile and Bolivia one year later. That treaty established a series of rights in favor
of one party that seriously limited the sovereignty of the other, so both parties mutually decided

to modify that situation.

825Annex 58

826 Annex 58

The treaty entered into between Mexico and the United States for the territory of
Chamizal and the one between Bolivia and Br azil, of 1958, the latter having no relationship
whatsoever to border issues, were also amended by agreement of the parties.

Finally, the dispute between Chile and Argentina over the Austral zone, which

fortunately was resolved thanks to the mediatio n of His Holiness Pope John Paul II, specifically
had to do with the interpretation of a border treaty entered into one century earlier, which was
and is fully respected by the parties. This inst rument was not modified at all by the 1985 treaty

that the mediation gave rise to.

As is easily observed, the alleged analogies mentioned do not apply when compared to
the Chile-Bolivia Treaty of 1904, which is a bor der treaty entered into between bordering

countries and which put an end to a territorial dispute that lasted for more than 60 years.

Mr President, let’s consider seriously matters related to our nations. The wise rules of

civil law prescribe that the contract is a law for cont racting parties; if this rule is essential in the
scope of private relationships, there is all the more reason for it to be so in the international

arena. Respect for, and the sanctity of, treaties is an inescapable requirement for rational thinking
and peaceful co-existence of nations, especially in the case of treaties that set borders; there is a
reason they were excluded by the Vienna Convention on the Law of Treaties from the

application of the exceptional clause rebus sic stantibus.

For these reasons, my country rejects, as it al ways has in the past, the steps Bolivia is
taking with a view to amending the 1904 Trea ty. Likewise, it considers all individual or

collective attempts by third-party States aimed at this same unacceptable end to be interference
in its foreign affairs.

In the presence of this Assembly, Chile reiterates to Bolivia its desire for peace and
harmony so that through broad cooperation and effective integra tion we can achieve the shared

well-being and progress that our countries imperatively need. I can assure the Bolivian Minister
of Foreign Affairs that this is the only viab le path of cooperation, on which we once more
cordially invite him to travel. Furthermore, I venture to predict that the position of future Chilean

Governments will not be fundamentally different. In fact, the principles that the current
Administration has held on this matter correspond to the deepest feelings and national interests,

those that cannot be compromised because they are identified with our homeland itself. That is

827Annex 58

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why I do not hesitate to say that such motivations will be shared and maintained in the future,
whatever the political definition or ideology of those who are responsible for guiding Chile’s

destiny.

The Representatives know that Chile has invariably maintained that the OAS lacks
jurisdiction to hear Bolivia's aspirations. Nothing in the Organization’s Charter authorizes it to

do so. Therefore, we cannot con tinue to participate in this debate; in the vote on the respective
draft resolution, which we request be done by ro ll-call, we will vote against it and we urge the
Representatives not to support it. Thank you very much, Mr President.

THE PRESIDENT: Thank you very much, Re presentative of Chile. The Minister of

Foreign Affairs of Bolivia asked for the floor.

The MINISTER OF FOREIGN AFFAIRS OF BOLIVIA (Mr Bedregal): Mr President,
Representatives, this is a subject that would seem to be located either in science fiction or in the
absolute validity of historical experiences such as those I have indicated. I do not intend to

discredit the intelligent argument of the Representative of our sister Republic of Chile regarding
this matter, but it is part of history, a part th at does not really correspond to what this Assembly

has been analyzing and considering for more than a decade.

Latin American public opinion during the last fifteen years has, unfortunately, sided with
the authoritarian government in power in Ch ile, whose diplomacy, unfortunately, has

systematically and capriciously falsified the historical and legal truth regarding the inalienable
and legitimate rights of Bolivia to access to the Pacific Ocean. This Chilean offensive, which
attempts to confuse international public opinion, maintains things such as: “Bolivia never had the

sea; Chile does not owe anything to Bolivia; the borders have been defined by the 1904 Treaty; it
enjoys the greatest free transit facilities; the OAS has no jurisdiction over this matter, as the

Chilean Representative has just said”, etc.

Included among these actions, which are launc hed, I believe, in a disrespectful manner,
the Minister of Foreign Affairs has recently published and distributed a booklet titled “The
Maritime Aspirations of Bolivia,” which even states that the liberator Simón Bolívar, the first

governor of my country, Bolivia , arbitrarily and unilaterally usurped Chilean coastlines for
Bolivia. This is one more affront that I belie ve Bolivia and the Continent cannot adequately

quantify.

Mr President, attempts are always made to distort history, and in this regard my
Government, with the greatest care and objectivity, has distributed a document indicating the real
history of this matter. At no time are we se eking to denounce a treaty, at no time are we

829Annex 58

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seeking a confrontation, but we do feel that it is essential to reiterate before an Assembly such as

this one that Bolivia’s rights over the territories of Atacama along the Pacific Ocean go back to
times even before our independence. And when independence was proclaimed, the principle of

uti possidetis juris of 1910 fully included, as shown in the cartography of that time, Chile’s
recognition of Bolivia’s rights over Atacama, which is included not only in the constitutional
texts that said country enacted for itself in 1822, 1823, and 1833, but also in the first bilateral

legal instrument entered into between the two nations, the Treaty of Friendship, Commerce and
Navigation, approved by the Chilean Congress in 1833 and 1834. I could easily and happily, but

with little seriousness, say that this is a Treaty that is also fully valid, because it has been
discussed and approved by their congresses in the exercise of their sovereignty.

It is important, Mr President, and excuse the need for this explanation, to remember that
the Chilean Minister of Foreign Affairs, Santamaría, an important person from that country, who

even became President of the Republic, courageo usly acknowledged the historical truth—Chile
occupied the Bolivian coastline, but he was not sure that it had the legitimacy to do so, so in a

letter sent to Rafael Sotomayor, Minister of War, on 1 December 1880, in the midst of the War
of the Pacific, he made the following statement: “In what situation will that Republic remain if it

is deprived of its entire littoral? We would do poorly to believe that because of our desire and
without consulting any other interest but our interest that we are going to be able to alter the map
of Latin America.” The aggression and usur pation of the littoral took place during a time

recognized by all important Chilean figures. Thus, President Santamaría himself, with notable
concern regarding the consequences that the conflict that Chile caused would give rise to, said:

“Let’s not forget that we cannot cut off Bolivia -- Santamaría says -- deprived of Antofagasta and
the entire littoral it previously held up to the Loa River. We must provide them with their own

port somewhere, a gateway to gain entrance to th e interior without anxiety, without requesting
authorization.”

Chile caused Bolivia’s forced landlocked situation of 109 years, as a result of the military
usurpation undertaken by Chile in 1879; 158,000 km 2 of territory in its littoral department and

400 km of maritime coastline and incalculable econo mic losses, as well as its isolation from
proximity to and the riches of the sea.

The Treaty of Amity of 1904, was entered into by Bolivia, which was forced to do so

after 25 years of military occupation; it resulted in: complete interference in its customs, ports,
and trade, free admission of Chilean products to the Bolivian market, widespread obstacles to the
exit of Bolivian products . Ultimately, this was an oppressi ve customs and trade noose that

suffocated its economy, in addition to the permanent threat that if Bolivia did not

831Annex 58

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sign the Treaty this would mean a return to war and reinitiating military hostilities.

With this history, what other choice did Bolivia have to escape the economic stranglehold

that Chile imposed on it? As explicit recognition of Bolivia’s right over the maritime territory of
Atacama and with a guilty conscience for having dispossessed violently assets belonging to

others, Chile grants in the 1904 Treaty, which the distinguished Chilean Representative just
mentioned, the broadest free transit regime to Bolivia through all its territories and ports.

Nevertheless, truth and practice, my fellow R epresentatives, are very different; Chile’s
permanent unilateral position is reflected by limits on the transit of people and goods, arbitrary
increases to transport tariffs, judgments agai nst the Bolivian State for onerous amounts of

money, slow procedures and administration in port services, lack of port infrastructure for
warehousing of grains destined for Bolivia, which when left outside suffer 30 percent losses to

their original volume due to seabirds and losses to value and nutritional quality due to the effects
of humidity and wind. Proof of this is that in the second meeting held by the Ministers of Foreign

Affairs of Bolivia and Chile in New York, in 1986, as a prelude to the last negotiation that was
held in Montevideo from 21 to 23 April 1987, the Binational Commissi on for Rapprochement
was formed to first resolve pending issues or deficient services in the free transit system, such as

the Antofagasta-Bolivia railway, the Arica-La Paz railway, roads to the Pacific, Oruro-Pisiga-
Iquique road, temporary access permits for Bolivi an cargo vehicles, construction of silos in

Antofagasta and Arica, merchandise security in Antofagasta and Arica, which pay the highest
insurance in the world due to th e lack of security at the ware houses; port mobilization fees for

goods in transit to and from Bolivia, unilateral and arbitrary diversion of the waters of the Lauca
River.

Mr President, distinguished Representatives, a regime theoretically called “free transit”
with the broadest range of facilities, as the Chilean Representative has mentioned, which in

practice does not respond to th e obligations undertaken by Chile in the Treaty of 1904, with
various deficiencies, obsol ete or non-existent services, obstacles and barriers to the transit of

people and goods, unilateral decisions and innumerable limitations, constitutes absolute proof of
the inviolability and non-performance of the treaties that Chile so lightly proclaims.

Paradoxically, these treaties are being violated by Chile’s own diplomacy and its own civil
authorities.

Regarding the OAS’s jurisdiction, which was arrogantly or at least inconsiderately
brought up this time just as it was previously, to specify its legal basis as the principal

multilateral instrument of pub lic international law of the Americas, we must remember

833Annex 58

834 Annex 58

its post-war origin, as the Pan-American League of Nations, is based on the civilized progress

and evolution of the relationships between the American States that are aware of the need to
establish dialogue, understanding, solidarity, and ju stice, as rules of peaceful co-existence, so

that truth and reason prevail over the violence of war, classified permanently by Chilean
geopolitics as “the supreme law of nations.”

As a result, Mr President, distinguished Representatives, Bolivia again appeals to the
American conscience, to fraternity, and the desire to negotiate at this time in which we are going

to renew the possibilities for peace through negoti ations, for the respectful adoption of the draft
resolution that has been submitted for your consideration. Thank you very much, Mr President.

835836 Annex 59

Statement by Mr Iturralde, Minister of Foreign Affairs of

Bolivia, at the Fourth Session of the General Committee of the
Organization of American States, 16 November 1989 (extracts)

(Original in Spanish, English translation)

Organization of American States, General Assembly, Nineteenth Ordinary Session,
1989, Records and Documents, Volume II, Part I, OEA/Ser.P/XIX.O2 (1991),
pp 373, 405-407, 411-413

837Annex 59

838 Annex 59

GENERAL COMMITTEE
MINUTES OF THE FOURTH SESSION

Date: 16 November 1989
Time: 11:25 a.m.

Place: Hall of the Americas

…

839Annex 59

840 Annex 59

THE MINISTER OF FOREIGN AFFAIRS AND WORSHIP OF BOLIVIA
(Mr Iturralde): Mr President, distinguished Representatives, ten years ago, America urged that a

fair solution be found whereby Bolivia will return to the sea through sovereign and useful access
to the Pacific Ocean. Against the background of several successive pronouncements by the

Continent in Atlanta, Havana and Ayacucho in the previous decade, the ninth regular period of
sessions of the General Assembly, held in the city of La Paz in 1979, began an era of successive
support for the maritime cause of Bolivia, whic h was ultimately incorporated in the Inter-

American doctrine and meant that Bolivia's demand was backed by the System, as a need that

841Annex 59

842 Annex 59

requires a solution in order to move ahead with regional integration and hemispheric solidarity.
Everyone in the Americas is aware of the historical, legal and economic foundations of Bolivia’s

demand. It is not appropriate on this occasion to reopen new debates, because the reality of
Bolivia’s just cause is in the conscience of a ll the peoples of the Continent. It is enough to

recount what has happened in the search for practical results that take into account the interest of
the Parties affected by the problem, through the means required by modern coexistence,
overcoming traditional schemes an d prejudices with a mindset open to the next century. We

expect new results that reflect the collective effo rt of the entire Continent with an attitude of
understanding for practical advancement through direct dialogue or any of the procedures
indicated by the OAS Charter and the Pact of Bogotá.

During the past year, the pronouncements of support by the Non-Aligned Movement and
other international forums have been repeated. Of special importance, due to their legal and

democratic provenance, are th e pronouncements by parliamentar y fora reiterated in the World
Parliamentary Union, the Latin American Parliaments and the Andean Parliament, as well as the

Conference of Presidents of Ibero-Ameri can Parliaments. All these pronouncements are
summarized in the resounding support of the meeting of ministers of the Non-Aligned
Movement, which said:

The Ministers reiterate once again their ca tegorical support for the legitimate and
just claim of the Republic of Bolivia to recover direct and useful access to the Pacific

Ocean, with full sovereignty over it.

Moreover, they again called on the Chilean Government “to resume negotiations with the

Bolivian Government, aimed at finding a lasting solution to the maritime problem of Bolivia, as
they are convinced that the international community is interested in its solution.”

Several Presidents of Latin American nations , such as Presidents Carlos Andrés Pérez
and Carlos Menem, joined the other leaders and echoed their opinions, which are already part of

the continent’s position on this joint march for a shared desire to overcome misunderstandings
that separate people and hinder fraternal coexistence.

Mr President, the most recent evidence that the political leaders of the Continent are in
favor of a constructive solution was given only a few weeks ago, when the President of our sister
Republic of Peru, Alan García Pérez, at his meeting with Bolivian President, Jaime Paz Zamora,

on Lake Titicaca, stated that “Peru supports Bolivia ’s sovereign access to the Pacific Ocean and
if a bilateral agreement between Chile and Bolivia comes about and Peru must be consulted, Peru
will give its acceptance and approval, because this represents a necessity in Latin America.”

843Annex 59

844 Annex 59

In all those pronouncements, the principles of our Organization, contained in its Charter,
have been fully corroborated, partic ularly as set forth in Article 1, in the obligation “to achieve

an order of peace and justice”, Article 2 (c), “ to prevent possible causes of difficulties”, and
Article 2 (e), “to seek the solution of political , juridical, and economic problems” that may arise

among its members.

My Government, Mr President, distinguished Representatives, reiterates its gratitude for

the support that it has received and also re news its unfailing willingness to reach an
understanding. On the eve of the 21st Century and an unavoidable call to renew the Inter-
American ideals of peace and harmony, Bolivia pays homage to those instances that open new

perspectives for the solution of its confinement. In so doing, it reaffirms its willingness to seek a
formula of understanding in order to honor the exhortations of the Organization of American
States, making dialogue viable with the goal of promoting the search for solutions to the

fundamental problems of our countries to reach a harmonious coexistence with real participation
in the process of regional integration.

Mr President, distinguished Re presentatives, for the reas ons cited, the Delegation of
Bolivia submits to this distinguished Assembly for its consideration a draft resolution sponsored

by numerous sister nations in the Continent and marked by a spirit of solidarity and a desire for
integration of the region. Thank you very much.

…

845Annex 59

846 Annex 59

The MINISTER OF FOREIGN AFFAIRS AND WORSHIP OF BOLIVIA

(Mr Iturralde): Allow me, Mr President, to make a few very brief remarks about the comments
made by the distinguished Foreign Minister of Chile. This General Assembly,

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particularly during the past ni ne years, has had the time and the opportunity to consider the
arguments made by the Republic of Chile to keep my country in captivity, to keep it cloistered.

Our Organization, with the careful and recognized attention with which it studies each of

the topics submitted to it for consideration, in homa ge to law and justice, and consistently with
the principles and rules that promote their development, has determined—and my country
acknowledges and expresses its appreciation fo r this understanding—that the confinement of

Bolivia constitutes a continuing hemispheric concern, and for these nine years it has
resoundingly called for a solution to this vital problem for Bolivia.

A few moments ago, when reading the report on the agenda presented by my Delegation,
I was reminded of the strong and diverse supp ort that my country has received, with such
gratitude, at the international level. The arguments put forth today are that it is not necessary to

use this forum to debate the problem bilaterally. It is necessary to use this forum so that this
forum can encourage bilateral discussions. Moreove r, we have never received any proposal that

really analyzes the problem and finds the solu tion. The reference to 1979 and other resolutions
are there as a historical reference. It cannot be denied that these resolutions have been approved,
because to deny that would mean calling into doubt decisions approved by the OAS.

Free transit, as agreed to in bilateral c onventions, is a positive rule of universal law
currently approved by the Convention on the Sea entered into in Geneva in 1958; in other words,

it is nothing new or exceptional for Bolivia. The Treaty of 1904 was signed under threat from
Minister Abraham Koenig, proclaiming the doctrine that victory gives rights, a principle that the
United Nations Charter expressly rejects. The arguments that have been made by the Chilean

Minister of Foreign Affairs today have been he ard, studied and weighed by this Organization,
which has heard the grounds for Bolivia’s claim and the punctual response given to Chile in the

debate on historical, legal, economic and political aspects of Bolivia’s confinement.

For these reasons, Mr President and distinguished Representatives, I do not think that it is

necessary to reopen the debate on the distinguished Chilean Minister of Foreign Affairs’ answer
before you. I think that this phase has passed. A llow me to insist, the Organization of American
States has defined its position on this issue. It is time for them to understand, as they must

understand, and as we said as early as 1971, that Bolivia has an imperative, urgent need to access
to the sea in order to survive and develop as an independent country equal to the others in the
Hemisphere.

849Annex 59

850 Annex 59

Understand that Bolivia will never renounce its claim to obtain access to the sea, that we
will return to the OAS and any other international forum and engage in any negotiations

necessary until we achieve our goal. The OAS, Mr President, illustrious Representatives, is
morally and legally, as we also said in1979, the proper and propitious forum for an open,
positive dialogue on the maritime problem of Bolivia. Once again, Bolivia reaffirms its

willingness to seek a formula of understanding with Chile, in order to honor the exhortations of
the Organization of American States, as I said be fore, making visible the dialogue, in order to
promote the search for solutions to the fundame ntal problems of our countries and to achieve

peaceful coexistence for their real participation in the process of regional integration. Thank you
very much.

…

851852 Annex 60

Bolivian Supreme Decree No 24434 of 12 December 1996
(extracts)

(Original in Spanish, English translation)

Official Gazette of the Plurinational State of Bolivia

853Annex 60

DECRETO SUPREMO Nº 24434

GONZALO SANCHEZ DE LOZADA
PRESIDENTE CONSTITUCIONAL DE LA REPUBLICA

CONSIDERANDO:

Que el decreto ley 7230 del 30 de junio de 1965, ampliado y complementado por

decretos supremos 8866 y 8968 respectivamente de 28 de julio y 27 de octubre de 1969,
creó la Administración Autónoma de Almacenes Aduaneros como entidad de Derecho
Público con personalidad jurídica propia y autonomía financiera, para recibir, almacenar
y entregar toda la mercadería importada o por exportar y cooperar con la organización

aduanera boliviana en la clasificación, aforo y despacho de las importaciones y
exportaciones del país;
Que la Administración Autónoma de Almacenes Aduaneros se vió enfrentada, no
obstante de sus auspiciosos inicios, a un conjunto de problemas internos y externos, que

le impidieron cumplir adecuadamente las funciones que se le habían asignado y
satisfacer las expectativas de los usuarios del sistema;
Que el decreto supremo 23098 de 19 de marzo de 1992 dispuso, al reorganizar el
sistema aduanero del país, la privatización de los servicios que la Administración

Autónoma de Almacenes Aduaneros prestaba en el territorio nacional, manteniendo
únicamente sus facultades de atender el servicio exterior en puertos de tránsito,
funciones que no pueden ser delegadas a personas privadas, en respeto de principios
constitucionales porque involucraría la presencia del Estado boliviano en esos puertos;

Que es necesario modernizar la prestación de los indicados servicios, creando una
administración que facilite y ejerza un eficaz control y fiscalización de las operaciones
propias del tránsito de mercaderías de importación y exportación, cuya estructura
técnica y administrativa se adecúe a las exigencias del tráfico y responda a las

estrategias económicas y geopolíticas que el comercio internacional impone al Estado;
Que es necesario, en el marco de ese objetivo, jerarquizar y conferir mayor dinamismo a
la agencia aduanera de Bolivia en los referidos puertos, cuyas funciones reconocidas en
tratados y convenios vigentes se insertan en el sistema de recaudación, control,

verificación y fiscalización de la administración aduanera y en el sistema integrado de
administración tributaria a instituirse por el Poder Ejecutivo.

EN CONSEJO DE MINISTROS
DECRETA: ADMINISTRACION DE SERVICIOS PORTUARIOS – BOLIVIA

CAPITULO I
DISPOSICIONES GENERALES

ARTICULO 1.- (De la extinción de AADAA).Queda extinguida la Administración

Autónoma de Almacenes Aduaneros (AADAA) a partir de los ochenta (80) días de la
fecha de vigencia del presente decreto supremo, institución creada por decreto ley 7230
de 30 de junio de 1965, ampliada en sus funciones a puertos y lugares de tránsito por
decreto supremo 8866 de 28 de julio de 1969 y modificada en su status jurídico a

empresa pública estatal por el decreto supremo 23098 de 19 de marzo de 1992.

854 Annex 60

SUPREME DECREE No 24434

GONZALO SANCHEZ DE LOZADA

CONSTITUTIONAL PRESIDENT OF THE REPUBLIC

…

COUNCIL OF MINISTERS
DECREE ON THE ADMINISTRATION OF PORT SERVICES – BOLIVIA

CHAPTER I

GENERAL PROVISIONS

SECTION 1. - (Abolition of the AADAA). The Autonomous Administration of Customs
Warehouses [AADAA] shall cease to exist from the eightieth day (80) that the present

supreme decree is in force. The AADAA is an institution established under decree
law 7230 of 30 June 1965; its functions having been later extended to include ports and

transit areas through supreme decree No. 8866 of 28 July 1969 and its legal status having
been changed to a state-owned company through supreme decree No. 23098 of 19 March
1992.

855Annex 60

ARTICULO 2.- (De la creación de ASPB).Créase, en sustitución de la extinguida

Administración Autónoma de Almacenes Aduaneros, la Administración de Servicios
Portuarios Bolivia (ASPB), como entidad pública descentralizada sin fines de lucro, con
autonomía de gestión técnica, administrativa y financiera, personalidad jurídica y
patrimonio propios, que ejercerá las funciones y atribuciones establecidas en el presente

decreto y sus normas reglamentarias a partir de la fecha de extinción de AADAA.

ARTICULO 3.- (De la tuición de ASPB).La ASPB estará bajo la tuición del Ministerio
de Hacienda, de conformidad con el artículo 117 del decreto supremo 23360 del 12 de

octubre de 1993, reglamentario de la Ley de Ministerios del Poder Ejecutivo.

ARTICULO 4.- (De las atribuciones de ASPB).La Administración de Servicios
PortuariosBolivia, tendrá las siguientes atribuciones:

1.
Ser el agente aduanero oficial acreditado por el Gobierno boliviano en los puertos
habilitados para el tránsito de mercaderías de y hacia Bolivia.

2.
Ejercer la potestad que tiene el Estado boliviano en los puertos habilitados para el
tránsito de mercaderías de y para Bolivia, controlando y fiscalizando las operaciones de
comercio exterior, conforme a las normas jurídicas vigentes.

3.
Ejecutar las políticas del Gobierno nacional sobre desarrollo portuario y comercio
exterior.

ARTICULO 5.- (De las funciones específicas).La ASPB ejercerá las siguientes
funciones específicas, en cumplimiento de tratados y convenios internacionales, y a
nombre del Gobierno boliviano:

1.
Recibir, almacenar, custodiar, proteger, entregar, embarcar o reembarcar toda clase de
mercancías de importación en tránsito hacia Bolivia, independientemente de su
procedencia, consignadas a personas individuales o colectivas, nacionales o extranjeras,

públicas o privadas y/u organismos internacionales, en los puertos de tránsito donde la
entidad tenga agencias establecidas.

Estas atribuciones comprenden a las mercancías de exportación de empresas e

instituciones gubernamentales. ASPB también podrá prestar estos servicios a los
exportadores privados que así lo requieran.

Constituirse en agente despachador de aduana en los puertos y lugares de tránsito de
mercaderías y de productos internados o despachados de y hacia Bolivia.

Establecer y administrar almacenes afianzados en puertos extranjeros y lugares de
tránsito de mercaderías y productos internados o despachados de y hacia Bolivia.

Coadyuvar, en su calidad de agente aduanero, a la Dirección General de Aduanas en la

856 Annex 60

SECTION 2. - (Creation of the ASPB). The now abolished Autonomous Administration of

Customs Warehouses shall be superseded by the Bolivian Administration of Port Services
[Administración de Servicios Portuarios Bolivia, ASPB], a non-profit independent agency
of the Government, with autonomous management in technical, administrative and

financial matters, its own legal personality and patrimony, and which shall exercise the
functions and powers set forth in this decree and associated regulations from the date of

termination of the AADAA.
…

SECTION 4. - (Functions of the ASPB). The Bolivian Administration of Port Services

shall have the following functions:

1.
To be the official customs agent accredited by the Bolivian Government in the ports in

which the transit of goods to and from Bolivia is permitted.

2.
To exercise the authority of the Bolivian State in the ports in which the transit of goods to

and from Bolivia is permitted, controlling and supervising foreign trade transactions
pursuant to the laws currently in force.

3.
To implement the policies of the National Government on the development of ports and

foreign trade.

SECTION 5. - (Specific Functions). The ASPB shall exercise the following specific
functions in accordance with international treaties and conventions and on behalf of the

Bolivian Government:

1.
To receive, store, safeguard, protect, deliver, ship or re-ship imported goods of all kinds in

transit to Bolivia, regardless of their origin, which are sent to natural or legal persons,
whether Bolivian or foreign, and whether public, private and/or international bodies, at the
ports of transit where the entity has established agencies.

These functions include goods exported from companies and governmental institutions.

ASPB may also offer these services to private exporters upon request.

To act as clearing and forwarding agent at the ports and places where goods and products
shipped to or from Bolivia are in transit.

3.
To establish and administer warehouses in foreign ports and places where goods and
products shipped to or from Bolivia are in transit.

4.
To assist, acting as customs officer, the General Customs Administration in

857Annex 60

elaboración de manifiestos de carga/declaración de tránsito aduanero (MC/DTA) o
manifiesto internacional de carga/declaración de tránsito aduanero (MIC/DTA), como
documento de aduana de partida de todas las mercancías en tránsito hacia Bolivia
despachadas desde los puertos habilitados para su comercio; debiendo respetar, aplicar y

cumplir las normas, procedimientos y sistemas dispuestos por la Dirección General de
Aduanas.

Apoyar, en el ámbito de su competencia, las tareas de la Dirección General de Aduanas
de Bolivia.

Realizar tareas de manipuleo de carga en puerto mediante la contratación o
subcontratación de los indicados servicios.

Establecer el tarifario para los servicios prestados, que deberá reflejar los costos
mínimos de operación.

Establecer almacenes, silos y recintos extraportuarios para el servicio del comercio
exterior de Bolivia.

Generar la información de base de un sistema integrado de control aduanero como
aduana de partida.

CAPITULO II

DEL DIRECTORIO

ARTICULO 6.- (Del Directorio).El directorio es el órgano superior de la
Administración de Servicios PortuariosBolivia, encargado de definir regulaciones que

preserven los derechos e intereses del Estado boliviano y de los usuarios en los puertos
de tránsito, orientar y desarrollar las actividades de la entidad, y sugerir las políticas a
aplicarse por el Gobierno nacional en materia portuaria y de control del comercio
exterior.

ARTICULO 7. (De la conformación). El directorio estará constituido en la siguiente
forma:
1.
El Ministro de Hacienda, que ejercerá la presidencia y podrá ser representado por el

Secretario Nacional de Hacienda.

2.
El Secretario Nacional de Relaciones Internacionales o el subsecretario que éste

delegue.

3.
El Subsecretario de Tributación, que podrá ser representado por el Director de

Tributación Aduanera.

858 Annex 60

drafting manifests/customs transit declarations (M/CD) or international manifests/customs
transit declarations (IM/CD), as a departure customs document for all goods in transit to

Bolivia from ports in which the trade thereof is permitted; provided that it shall observe,
apply and comply with the rules, procedures and systems set out by the General Customs
Administration.

5.
To support, within the scope of its powers, the work of the Bolivian General Customs

Administration.

To carry out cargo handling tasks in ports by contracting or sub-contracting the relevant
services.

7.
To set out a tariff scheme for the services rendered, which shall reflect minimum operating
costs.

8.
To establish warehouses, silos and off-port offices to service Bolivian foreign trade.

9.
To generate the basic information for an integrated customs control system as a customs

office of departure.

…

859Annex 60

El Presidente de la Cámara Nacional de Industrias, que podrá ser representado por la
autoridad que éste designe.

El Presidente de la Cámara Nacional de Comercio, que podrá ser representado por la
autoridad que éste designe.

El Director ejecutivo de la entidad será el secretario del directorio, con derecho a voz

pero sin voto.
Las labores que desempeñen los miembros del directorio y su secretario, no serán
remuneradas por ningún concepto.

ARTICULO 8.- (De las reuniones, del quorum y de la votación).El directorio debe
reunirse en sesiones ordinarias con la periodicidad que disponga el reglamento, a que se
refiere el numeral 1 del artículo siguiente, y extraordinariamente cuantas veces sea
necesario, para la organización y eficiente desarrollo de la entidad. Las reuniones

extraordinarias podrán convocarse cuando el presidente del directorio así lo considere o
a petición expresa de cualquiera de los miembros del directorio.
El Directorio formará quorum con cuatro (4) de sus miembros, con la obligatoria
asistencia de su Presidente.

Todas las decisiones serán adoptadas por mayoría absoluta de votos de los directores
presentes.

ARTICULO 9.- (De las atribuciones).El directorio tendrá las siguientes atribuciones:

1.
Definir los lineamientos y políticas que orienten las actividades de la entidad así como
aprobar el estatuto, manual orgánico funcional y reglamento interno de ASPB, así como
las enmiendas que sean propuestas por la dirección ejecutiva de la entidad.

El estatuto, manual orgánico funcional y reglamento interno, y sus enmiendas,
aprobados por el directorio de la entidad, serán puestos en vigencia mediante resolución
ministerial del Ministerio de Hacienda.

2.
Designar al Director ejecutivo de la entidad, por dos tercios 2/3 de la totalidad de los
directores.

3.
Licitar y adjudicar los servicios portuarios, ajustándose a las normas legales vigentes en
la materia.

4.
Aprobar los niveles tarifarios de todos los servicios que preste la entidad, a propuesta
del Director ejecutivo, que se pondrán en vigencia mediante resolución secretarial de la

Secretaría Nacional de Hacienda.

5.
Contratar al personal ejecutivo, de acuerdo a lo establecido en el reglamento interno de

la entidad.

860 Annex 60

6.
Autorizar la ejecución de obras en general, para la realización de los objetivos y

funciones específicas de la ASPB, con sujeción a las normas legales vigentes en la
materia.

Sugerir a los órganos competentes la adopción de políticas y normas legales, que
contribuyan a que la entidad responda permanentemente a las exigencias del comercio
exterior en constante evolución.

8.
Aprobar el presupuesto de la entidad y fiscalizar su cumplimiento.

9.
Contratar auditorías externas de acuerdo con las leyes, para la revisión de los estados

contables y balances de administración.

10.
Fiscalizar las labores de la Dirección ejecutiva y aprobar los balances de la entidad.

11.
Establecer y organizar agencias en puertos marítimos, lacustres, fluviales o en
localidades que sirvan de tránsito en el exterior del país, a mercaderías de importación.

12.
Concretar con aprobación del Ministerio de Hacienda, acuerdos con autoridades
portuarias, representantes de zonas francas, agencias de empresas porteadoras y otras en

materias que se vinculen al objetivo de facilitar el tráfico del comercio exterior del país.

13.
Conformar las comisiones necesarias para su funcionamiento, entre ellas una de
evaluación técnica de los pliegos y propuestas para la contratación de servicios

portuarios antes de su presentación al directorio, en cuya consideración necesariamente
deben participar los dos miembros del directorio representantes del sector privado.

14.
Otorgar al Director ejecutivo los poderes necesarios para el cumplimiento de sus
funciones.

15.
Designar y decidir la contratación de las auditorías interna y externa de la entidad.

ARTICULO 10.- (De las atribuciones del Presidente).Son atribuciones del Presidente

del Directorio las siguientes:
1.
Convocar y presidir las reuniones ordinarias y extraordinarias del directorio, con
derecho a voz y voto dirimidor.

861Annex 60

2.
Supervisar y controlar las actividades de la entidad y de su Director ejecutivo.

3.
Representar judicialmente a la entidad junto al Director Ejecutivo, pudiendo ambos
delegar esta representación en terceros, mediante poderes especiales.

CAPITULO III
DE LA DIRECCION EJECUTIVA

ARTICULO 11.- (Del Director ejecutivo).El Director ejecutivo es la máxima autoridad
administrativa de la entidad, siendo responsable ante el directorio de organizar, dirigir y

coordinar la actividad general de la Administración de Servicios Portuarios Bolivia.
Será designado por el directorio por el período de dos (2) años, pudiendo ser ratificado
en su mandato por períodos consecutivos.

ARTICULO 12.- (Atribuciones).Son atribuciones del Director ejecutivo de la entidad,
las siguientes:
1.
Representar oficialmente a la entidad por delegación del directorio, conforme a los

poderes que éste le otorgue.

2.
Administrar la entidad bajo su responsabilidad, de acuerdo a las atribuciones que le

señala el presente decreto, los estatutos y el reglamento interno de la entidad.

3.
Cumplir y hacer cumplir las disposiciones legales que rigen la administración de la
entidad, los estatutos, los reglamentos que se dictaren y las decisiones del directorio.

4.
Asesorar en la contratación de los servicios portuarios, ajustándose a las
especificaciones y decisiones del directorio y velar por su correcta ejecución.

5.
Proponer al directorio los presupuestos anuales, para su consideración y aprobación.

6.
Designar al personal técnico, administrativo y demás funcionarios, de acuerdo al
reglamento interno de la entidad.

7.
Preparar y presentar los balances al cierre de cada gestión para la aprobación del
directorio.

CAPITULO IV
DE LA ETAPA DE TRANSICION

ARTICULO 13.- (Liquidación de AADAA).La Administración Autónoma de
Almacenes Aduaneros (AADAA) procederá a su liquidación, dentro los ochenta (80)

862 Annex 60

días de la vigencia del presente decreto supremo, debiendo transferir la totalidad de sus
activos y pasivos a ASPB, excepto los activos que previa evaluación no sean necesarios
para el funcionamiento de la nueva entidad y que serán transferidos al Tesoro General
de la Nación.

El fondo de operaciones de AADAA será transferido íntegramente a la nueva entidad.
AADAA deberá transferir sus cuentas por cobrar en calidad de activos a la
Administración de Servicios PortuariosBolivia (ASPB), en el momento de inicio de
actividades de ésta última; actividades, empresa que tendrá suficiente personalidad

jurídica para efectuar el cobro de dichas cuentas, conforme al reglamento que dicte su
directorio.
AADAA debe liquidar en el mismo plazo su actual personal, cumpliendo las normas
legales vigentes en la materia. El personal liquidado de AADAA podrá ser contratado

por ASPB, previo cumplimiento de lo establecido en los artículos 9, atribución 5, y 12,
atribución 6, del presente decreto.

ARTICULO 14.- (De la constitución del directorio de ASPB).El directorio de la

administración de servicios portuarios Bolivia debe constituirse dentro los treinta (30)
días de vigencia del presente decreto supremo para prever la organización de la nueva
entidad.
El directorio aprobará, en el término de sesenta (60) días computable a partir de la

vigencia del presente decreto, el estatuto, manual orgánico funcional y reglamento
interno que la dirección ejecutiva de AADAA en liquidación presente a su
consideración.

ARTICULO 15.- (Resolución de contratos).AADAA en liquidación deberá culminar, en
el marco de las normas legales vigentes, sus procesos judiciales pendientes. Todos los
procesos judiciales que no se haya culminado, hasta la fecha de inicio de funciones de
ASPB, deberán transferirse a ésta entidad, que tendrá la suficiente personalidad jurídica

para continuarlos hasta su finalización, debiendo tomarse las previsiones
presupuestarias pertinentes.

CAPITULO V
ABROGACIONES Y DEROGACIONES

ARTICULO 16 . Abrógase las siguientes disposiciones legales:

Decreto 7230 de 30 de junio de 1965.
Decreto supremo 8866 de 28 de julio de 1969.
Decreto supremo 8968 de 27 de octubre de 1969.
Decreto supremo 9572 de 9 de febrero de 1971.

Decreto supremo 11190 de 23 de noviembre de 1973.

Derógase:
Los artículos 34, 35 y 158 del decreto supremo 23098 de 19 de marzo de 1992. El

artículo 2 del decreto supremo 23806 de 23 de junio de 1994.
Se abroga todas las demás disposiciones legales contrarias al presente decreto supremo.
El señor Ministro de Estado en el despacho de Hacienda queda encargado del
cumplimiento y ejecución del presente decreto supremo.

Es dado en Palacio de Gobierno de la ciudad de La Paz, a los doce días del mes de
diciembre de mil novecientos noventa y seis años.

863Annex 60

FDO. GONZALO SANCHEZ DE LOZADA, Antonio Aranibar Quiroga, Franklin
Anaya Vásquez, Alfonso Erwin Kreidler Guillaux, José Guillermo Justiniano Sandoval,
Raúl España Smith, Fernando Candia Castillo, Freddy Teodovich Ortíz, Moisés
Jarmúsz Levy, Hugo San Martín Arzabe, Mauricio Balcazar Gutiérrez, Alfonso Revollo

Thenier, Jaime Villalobos Sanjinés.

864 Annex 61

Ministry of Foreign Affairs of Bolivia, The Blue Book: The
Maritime Claim of Bolivia (Directorate of Information of the

Presidency of the Republic of Bolivia, May 2004) (extracts)

(Original in English)

<http://www.emboliviacanada.com/documents/libro_azul-
El_problema_maritimo_boliviano_en_ingles.pdf>

865Annex 61

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866 Annex 61

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4377-()8-7▯.96-7▯3*▯▯▯▯▯x▯▯8LI▯&SPMZMER 1MGLMPPE▯ 8EQIW▯+YEPEKYEPE▯ 'SFVI ERH 4EUYMGE▯

XIVVMXSV] MRGPYHIH XLI JSVQIV 6S]EP%YHMIRGME SJ %PWS WSQI WQEPP XS[RW WYGL EW 'EPEQE ERH 7ER
'LEVGEW▯ -R ▯▯▯▯▯ 1EVMWGEP%RXSRMS .SWÍ HI 7YGVI▯ 4IHVS HI%XEGEQE LEZI HIZIPSTIH [MXLMR XLMW

4VIWMHIRX SJ &SPMZME XSSO QIEWYVIW XS QSHIVRM^I XIVVMXSV]▯
XLI TSPMXMGEP HMZMWMSR SJ XLI GSYRXV]▯%W E QEXXIV SJ

JEGX▯▯&SPMZME▯[EW▯HMZMHIH▯MRXS▯JMZI▯wHÍTEVXIQIRXW*▯-678 86)%8= 3* *6-)2(7,-4 ▯
REQIP] 'LYUYMWEGE▯ 0E 4E^▯ 'SGLEFEQFE▯ 7ERXE '311)6') %2( 2%:-+%8-32 7-+2)(

'VY^ ERH 4SXSWÑ▯ 8LIWI TSPMXMGEP ERH EHQMRMWXVEXMZI8;))2 & 30-:-% %2( ' ,-0)
YRMXW [IVI EPWS WYFHMZMHIH MRXS TVSZMRGIW▯ ERH 8LI XIVVMXSVMEP WXEXYW SJ &SPMZME [EW RIZIV

XLIWI▯PEWX▯SRIW▯MRXS▯wGERXSRWx▯▯%XEGEQE▯▯LEZMRK▯EWYIWXMSRIH F] 'LMPI▯ -R JEGX▯ XLI ▯▯▯▯▯ ▯▯▯▯ ERH
MXW GETMXEP 7ER 4IHVS HI%XEGEQE FIPSRKIH XS XLI ▯▯▯▯ 'LMPIER 4SPMXMGEP 'SRWXMXYXMSRW VIGSKRM^IH

NYVMWHMGXMSR SJ 4SXSWM▯ -X [EW E HV] ERH EVMH VIKMSR▯ XLI RSVXLIVR FSYRHEV] SJ 'LMPI [EW XLI

[MXLSYX [EXIV [LMGL LEH▯ LS[IZIV MQTSVXERX %XEGEQE (IWIVX▯ 8LMW TSWMXMSR MW EPWS VIJPIGXIH MR
RMXVEXI▯ FSVE\ ERH GSTTIV SVIW▯ XLI JMVWX FMPEXIVEP 8VIEX] SR *VMIRHWLMT▯ 'SQQIVGI

3RP] MR ▯▯▯▯▯ XLI (ITEVXQIRX SJ 0MXSVEP [EW ERH2EZMKEXMSRWMKRIHF]FSXLGSYRXVMIW▯8LMW[EW
GVIEXIH▯ ▯-X [EW TSPMXMGEPP] WYFHMZMHIH MRXS X[S ETTVSZIH F] XLI 'SRKVIWW SJ 'LMPI FIX[IIR ▯▯▯▯

TVSZMRGIW▯ REQIP]▯ 0E 1EV [MXL MXW GETMXEP▯ 'SFMNERH ▯▯▯▯▯

868 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

[MXLSYX &SPMZMER TIVQMWWMSR▯ &SPMZME [ERXIH XS

WSPZI XLIWI ZMSPEXMSRW XLVSYKL JVMIRHP] HMEPSKYI
[MXL QMKVERXW▯ ,S[IZIV▯ 'LMPI VIJYWIH XS XEPO

EFSYX XLI MWWYI [LMPI MX GSRXMRYIH SGGYT]MRK XLI
&SPMZMER XIVVMXSV]▯

* -678 86)%8= 32 &392(%6-)7 7-+2)(

&)8;))2 &30-:-% %2( ' ,-0) ▯▯▯▯▯
8LI JMVWX 8VIEX] SR FSVHIVW FIX[IIR &SPMZME ERH

'LMPI [EW WMKRIH SR%YKYWX ▯▯▯ ▯▯▯▯▯ 8LI
FSYRHEV] [EW WIXXPIH SR TEVEPPIP ▯▯ 7 0EX▯ -X EPWS

HIXIVQMRIH XLI TEVXRIVWLMT MR XLI I\TPSMXEXMSR SJ

KYERS▯ QIXEPW ERH QMRIVEPW MR XLI XIVVMXSV]
FIX[IIR TEVEPPIPW ▯▯ ERH ▯▯ 7 0EX▯ -R XLMW [E]▯

'LMPI EGLMIZIH MXW KSEP XS EHZERGI EW JEV EW XLI ▯▯
7 0EX▯ ERH [EW EPPS[IH XS [SVO ERH I\TPSMX

I\MWXMRK VMGLIW EW JEV EW ▯▯7 0EX▯

7)'32( 86)%8= 32 &392(%6-)7
(V▯ 6EJEIP &YWXMPPSW▯ *SVIMKR 1MRMWXIV SJ &SPMZME ERH & 30-:-% %2( ' ,-0)
RIKSXMEXSV [MXL 'LMPI▯ ,MW ▯▯▯▯ VITSVX WIXW XLI LMWXSVMGEP ERH
NYVMHMGEP FEWMW JSV XLI VMKLXW SJ &SPMZME MR XLI 4EGMJMG 3GIER▯
3R%YKYWX ▯▯ ▯▯▯▯ XLI WIGSRH 8VIEX] SR FSVHIVW

' ,-0)%2 -2'967-327 32 & 30-:-%2 [EW WMKRIH FIX[IIR XLI X[S GSYRXVMIW▯ -X
QEMRXEMRIH XLI HMZMWMSR PMRI SR ▯▯ 7 0EX▯ ERH XLI
'3%787
8LI KVS[MRK MQTSVXERGI SJ RMXVEXIW MR XLI [SVPHKLXW JSV 'LMPIER I\TPSMXEXMSR EW JEV EW ▯▯ 7 0EX▯
-X [EW EPWS EKVIIH XLEX 'LMPIER MRHYWXVMIW [SYPH
QEVOIXW XSKIXLIV [MXL XLI JEGX XLEX &SPMZME LEH E
WGEVGI TSTYPEXMSR MR XLI TVSZMRGI SJ%XEGEQE ERHX FI XE\IH HYVMRK ▯▯ ]IEVW▯
3R .YRI ▯▯▯▯▯ E 'SQTPIQIRXEV] 8VIEX] XS XLMW
VIHYGIH IGSRSQMG VIWSYVGIW XS I\IVGMWI MXW
EYXLSVMX]▯ IRGSYVEKIH QER] 'LMPIER EHZIRXYVIVWRWXVYQIRX [EW WMKRIH MR SVHIV XS EQIRH%VXMGPIW ▯
ERH ▯▯ ERH MRGSVTSVEXI ER EVFMXVEXMSR GPEYWI▯
WMRGI ▯▯▯▯ XS WIXXPI MR XLEX XIVVMXSV] ERH I\TPSXI MX

869Annex 61

8LI&PYI&SSO

8 ,) 3''94%8-32 3* %283*%+%78%
2SRIXLIPIWW▯ SR *IFVYEV] ▯▯▯ ▯▯▯▯ 'LMPI HIGMHIH

XS SGGYT] XLI TSVX SJ%RXSJEKEWXE [LIVI XLIVI
[IVI RS QMPMXEV] JSVGIW▯%JXIV LEZMRK XEOIR SZIV

%RXSJEKEWXE▯ 'LMPI SGGYTMIH XLI TSVXW SJ 'SFMNE▯
1INMPPSRIW ERH +EXMGS▯ XLI WQEPP XS[RW SJ 'EPEQE

ERH 7ER 4IHVS HI%XEGEQE▯ FIWMHIW XLI QMRMRK
SVIW MR 'EVEGSPIW▯

8 ,) 4%'-*-' ; %6
-R ▯▯▯▯▯ &SPMZME [EW PIH XS E [EV XLEX HMH RSX [ERX

RSV PSSOIH JSV▯ -X LEH XS HIJIRH MXW WSZIVIMKRX] ERH
FIGEYWI SJ E HIJIRWMZI XVIEX] WMKRIH [MXL 4IVY▯ MX

MRXIRHIH XS WXST XLI MRZEWMSR XS XLEX XIVVMXSV]▯ 'LMPI
HIGPEVIH [EV XS &SPMZME ERH 4IVY SR%TVMP ▯▯ ▯▯▯▯▯

8LI GSRJPMGX [EW YRJEMV FIGEYWI 'LMPI▯ E[EVI SJ MXW
8IVVMXSV] VIJIVVIH XS MR XLI ▯▯▯▯▯▯▯▯▯ 8VIEXTYVTSWI LEH EVQIH MXWIPJ MR EHZERGI▯
'LMPI FSYRHEV] EW TIV XLI ▯▯▯▯ ERH ▯▯▯▯ 8VIEXMIW▯
&SPMZME ERH 4IVY JSYRH XLIQWIPZIW EPQSWX [MXLSYX

[EV QIERW▯ ERH XLI EJXIVQEXL SJ XLI [EV [EW XLI
8 ,) 8)2 ')287 8%< PSWW SJ XLI &SPMZMER 0MXXSVEP SR SRI LERH▯ ERH XLI
%JXIV XLI VEXMJMGEXMSR SJ XLI ▯▯▯▯ 8VIEX]▯ E &VMXMWL
SGGYTEXMSR SJ 8EVETEGÅ▯ 8EGRE ERH%VMGE SR XLI
'SQTER] EWOIH XLI ETTVSZEP SJ E GSRGIWWMSR XS 4IVYZMER WMHI▯
I\TPSMX RMXVEXI▯ 8LI &SPMZMER 'SRKVIWW HIXIVQMRIH
8LI ▯▯▯▯ 4EGMJMG ;EV WXEVXIH [MXL XLI 'LMPIER
XS▯GLEVKI▯▯▯▯GIRXW▯XS▯IZIV]▯wUYMRXEPx▯▯▯▯▯▯TSYREVQIH MRZEWMSR XS XLI &SPMZMER PMXXSVEP▯ -X MW
SJ I\TSVXIH RMXVEXI▯ 8LMW QIEWYVI TVSZSOIH E GPEMQ
MQTSVXERX XS TSMRX SYX XLI LIVSMG HIJIRWI SJ
JVSQ 'LMPI XLEX XLSYKLX XLI XVIEX] [EW ZMSPEXIH'EPEQE [LIVI )HYEVHS%FEVSE▯ XLI QSWX

WTMXI SJ XLI JEGX MX [EW QIERX XS ETTP] SRP] XSSYXWXERHMRK &SPMZMER GMZMP LIVS▯ TPE]IH E GVYGMEP
'LMPIER IRXIVTVMWIW▯ RSX &VMXMWL▯ 8LIR XLI
VSPI▯%W E GSRWIUYIRGI SJ XLEX GSRJPMGX▯ XLI GSYRXV]
+SZIVRQIRX SJ &SPMZME HIGPEVIH XLEX MX [EW STIRPSWX ▯▯▯▯▯▯▯ WUYEVI OMPSQIXIVW ▯EVSYRH ▯▯▯▯▯▯
XS EGGITX EVFMXVEXMSR TVSZMHIH F] XLI WEQI XVIEX]▯

870 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

WUYEVI QMPIW
SJ MXW XIVVMXSV] EPSRK [MXL ▯▯▯ HIZIPSTQIRX SJ 'LMPI▯ &IWMHIW▯ WSQI SJ XLI QSWX
OMPSQIXIVW ▯▯▯▯▯▯ QMPIW
SJ MXW GSEWX PMRI▯ MRGPYHMRKERX HITSWMXW SJ WYPJYV [IVI JSYRH PEXIV SR MR

XLI JSVQIV &SPMZMER TVSZMRGI SJ%XEGEQE▯%RSXLIV

GSRWIUYIRGI SJ XLI PMXXSVEP PSWW [EW XLEX &SPMZME
GSYPH RSX FIRIJMX JVSQ XLI L]HVSPSKMG VMGLIW ERH

REXYVEP VIWSYVGIW SJ XLI WIE FIH▯ 0EWX FYX RSX PIEWX▯
TVSKVIWW ERH TVSWTIVMX] SJ XLI RSVXLIVR VIKMSR SJ

'LMPI MW HYI XS XLI EGXMZI GSQQIVGI XLEX I\MWXW EX
TVIWIRX [MXL &SPMZME▯

8 ,) 463437%07 3* 8,) ' ,-0)%2

' ,%2')0036 ( 31-2+3 7%28% 1 %6-%

3R (IGIQFIV ▯▯ ▯▯▯▯ XLI 'LMPIER *SVIMKR%JJEMVW
1MRMWXIV▯ 1V▯ (SQMRKS 7ERXE 1EVME▯ [LS FIGEQI

PEXIV SR 4VIWMHIRX SJ 'LMPI▯ [VSXI E PIXXIV XS LMW
JVMIRH▯ .SWI :MGXSVMRS 0EWXEVVME▯ XLEX VIEHW EW

JSPPS[W▯ w;I▯ RS[ S[RIVW SJ XLI [LSPI &SPMZMER
PMXXSVEP ERH SJ XLI [LSPI (ITEVXQIRX SJ 8EVETEGE

WLSYPH KMZI E [E] SYX ERH ER IRXVERGI HSSV XS
&SPMZME▯▯▯x▯%]IEV▯PEXIV▯▯SR▯2SZIQFIV▯▯▯▯▯▯▯7ERXE

1EVME [SYPH VITIEX XLIWI WEQI MHIEW MR ERSXLIV

)HYEVHS %FEVSE▯ GMZMPMER LIVS▯ MQQSPEXIH PIXXIV EHHVIWWIH XS 6EJEIP 7SXSQE]SV▯ 1MRMWXIV SJ
HIJIRWI SJ XLI 8STEXIV &V;EV MR GEQTEMKR▯ w0IX YW RSX JSVKIX XLEX [I

WIZIVEP TSVXW▯ FE]W ERH WQEPP FE]W EW [IPP EW MXWRRSX HVS[R &SPMZME▯ (ITVMZIH SJ%RXSJEKEWXE
WSZIVIMKR EGGIWW XS XLI WIE▯ ERH XLI [LSPI PMXXSVEP [LMGL MX S[RIH FIJSVI▯ EW JEV

-R XLI &SPMZMER PSWX XIVVMXSV]▯ GSTTIV SVIW [IVIW XLI 0SE ▯6MZIV
[I WLSYPH KMZI MX E TSVX SJ MXW
HMWGSZIVIH EX 'LYUYMGEQEXE SRI SJ XLI QSWX S[R ER SYXPIX XLEX EPPS[W MX IRXIV [MXLSYX JIEV▯

MQTSVXERX QMRIW RSX SRP] MR 'LMPI FYX MR XLI [SVPH▯SYX▯EWOMRK▯JSV▯TIVQMWWMSR▯▯▯x▯7ERXE▯1EVME▯HMH

%PWS▯ MQTSVXERX VIWSYVGIW SJ KYERS ERH RMXVEXI RSX GSRGIMZI &SPMZME EW E PERH▯PSGOIH GSYRXV] ERH
[IVI PSWX▯ %PP SJ XLMW LEW GSRXVMFYXIH KVIEXP] XS XLIMJ LMW GSYRXV] [MXLSYX GSRWYPXMRK MRXIVIWXW

871Annex 61

8LI&PYI&SSO

SXLIV XLER XLSWI SJ MXW S[R▯ GSYPH QSHMJ] XLI QETWIE XLVSYKL MXW JSVQIV XIVVMXSV] FIGEYWI▯ EW XLI
SJ ▯7SYXL
%QIVMGE▯ 4IVYZMER TVSZMRGI SJ 8EVETEGE [EW KMZIR YT XS

'LMPI▯ MX GSYPH RSX HMZMHI MR X[S XLI XIVVMXSV] MX LEH
8 ,) % 2'32 86)%8= 7-+2)( &)8;))2 SGGYTMIH▯%R] WSPYXMSR LEH XS FI HSRI XS XLI RSVXL

4 )69 %2( ',-0) ▯▯▯▯▯
SJ 8EVETEGE ERH SRGI MX [EW HIJMRIH XLI WMXYEXMSR
8LI ▯▯▯▯▯ XLI 8VIEX] SJ%RGSR IWXEFPMWLIH TIEGSJ 8EGRE ERH%VMGE▯

FIX[IIR 4IVY ERH 'LMPI▯ 4IVY LEW KMZIR YT XLI
8EVETEGE TVSZMRGI XS XLI PEXXIV ERH EKVIIH SR8L,)MR8 69') 4 %'8 ▯▯▯▯▯

E TPIFMWGMXI XS HIJMRI XLI WXEXYW SJ XLI 4IVY&SPMZME▯ XLVIEXIRIH F] RI[ LSWXMPMXMIW [MXL 'LMPIER
TVSZMRGIW▯SJ▯%VMGE▯ERH▯8EGRE▯MR▯'LMPIvW▯TSWWIXVSSTW GSRGIRXVEXIH MR 4YRS▯ 8EGRE▯ 1SPPIRHS ERH

8LI TPIFMWGMXI RIZIV XSSO TPEGI HYI XS XLI 'EPEQE▯ JIPX GSQTIPPIH XS WMKR E 8VYGI 4EGX SR

STTSWMXMSR SJ 'LMPI▯ 8LI 'LMPIER +SZIVRQIRX▯ %TVMP ▯▯ ▯▯▯▯ MR :EPTEVEMWS▯ 'LMPI▯ &IGEYWI SJ XLMW
EJXIV WYFWGVMFMRK XLI%RGSR 8VIEX]▯ FIKER WXEXMRKIVREXMSREP MRWXVYQIRX▯ 'LMPI NYWXMJMIH XLI

XLEX MX [EW RSX TSWWMFPI XS KMZI &SPMZME ER I\MX XSXMSR SJ XLI &SPMZMER XIVVMXSVMIW ERRI\IH
HYVMRK XLI [EV ERH HIGMHIH XS EHQMRMWXVEXI XLI

&SPMZMER GYWXSQ▯LSYWIW ERH XSSO SZIV XLI
VIZIRYIW EW E [EV XVMFYXI▯ 8LI XIVQW SJ XLI 4EGX

[IVI QEMRXEMRIH GSRJMHIRXMEP YRXMP GSRKVIWWIW SJ
FSXL GSYRXVMIW ETTVSZIH MX MR ▯▯▯▯▯ 3R 1E] ▯▯▯

▯▯▯▯▯ MX [EW EPWS WMKRIH E 'SQTPIQIRXEV]
4VSXSGSP▯ &SXL MRWXVYQIRXW [IVI IRXMVIP]

FIRIJMGMEP XS 'LMPI ERH IRGSYVEKIH XLI I\TERWMSR
SJ 'LMPIER TVSHYGXW MR XLI &SPMZMER QEVOIX▯ 8LYW▯

8LVSYKL XLI QIHMEXMSR SJ XLI 9RMXIH 7XEXIW▯ XLIIQSR]▯[EW▯GSQTPIXI▯
VITVIWIRXEXMZIW SJ &SPMZME 1EVMERS &ETXMWXE ERH .YER
'VMW×WXSQS 'EVMPPS▯ %RXSRMS %VIREW ERH %RXSRMS +EVGME
VITVIWIRXEXMZIW SJ 4IVY▯ ERH )YWIFMS 0MPS ERH *VERGMWGS32 3* % 283*%+%78%
:IVKEVE VITVIWIRXEXMZIW SJ 'LMPI QIX SR FSEVH XLI
w0EGOE[EREx▯GSVZIXXI▯SJ▯XLI▯9RMXIH▯7XEXIW▯MR▯3GXSFIV ▯▯▯▯▯ XLI 'LMPIER +SZIVRQIRX XSSO
EGXMSR SR E FMPP SJ PE[ XLEX GVIEXIH XLI 'LMPIER
▯▯▯▯▯ EGXMRK EW QSHIVEXSV▯ 8LSQEW %WFSVE▯ SJ XLI 9RMXIH
7XEXIW▯ %X XLMW QIIXMRK RS EKVIIQIRX [EW VIEG4VSZMRGI SJ%RXSJEKEWXE▯ [LMGL [EW HMWGYWWIH ERH
I\SVFMXERX HIQERHW SJ 'LMPI VIPEXMZI XS XLI GIWWMSR SJ
XIVVMXSVMIW ERH MRHIQRMXMIW▯

872 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

ETTVSZIH F] XLI 'LMPIER 7IREXI IEVPMIV MR .ERYEV]IEVMRK MR QMRH XLEX RMXVEXIW [IVI [MHIP] YWIH XS
▯▯▯▯▯ MRGVIEWI XLI EKVMGYPXYVEP TVSHYGXMZMX]▯ XLI] FIGEQI

&SPMZMER EYXLSVMXMIW TVSXIWXIH RSX SRP] FIGEYWI SJMPIvW▯QEMR▯WSYVGI▯SJ▯I\TSVXW▯MRGSQI▯YRXMP▯XLI
XLI▯7IREXIvW▯HIGMWMSR▯FYX▯TEVXMGYPEVP]▯▯JSV▯XLI *MVWX ;SVPH ;EV▯

GVIEXMSR SJ E TVSZMRGI SR &SPMZMER XIVVMXSV] [LMGL
[EW RSX KMZIR YT MR XLI 8VYGI 4EGX▯ -R WTMXI SJ XLMW▯8= 3* 4)%') %2( *6-)2(7,-4

&SPMZME GSYPH RSX MQTIHI XLI ERRI\EXMSR SJ MXW 7-+2)( &)8;))2 ' ,-0) %2( & 30-:-%
XIVVMXSV]▯%RXSJEKEWXE [EW VMGL MR RMXVEXISVIW▯ ▯▯▯▯▯

&SPMZME ERH 'LMPI [IVI ZIV] GPSWI XS VIEGL E JMREP
TIEGI EKVIIQIRX MR ▯▯▯▯▯ [LIR FSXL KSZIVRQIRXW

WMKRIH JMZI MRXIVVIPEXIH EGGSVHW▯ 8LI JMVWX SRI

GSRGIVRIH▯'LMPIvW▯WSZIVIMKRX]▯SR▯&SPMZMER
SGGYTMIH XIVVMXSV]▯ QIRXMSRIH MR XLI ▯▯▯▯ 8VYGI

4EGX▯ ERH JMRERGMEP SFPMKEXMSRW VIWYPXMRK JVSQ [EV
ERH 'LMPIER SGGYTEXMSR▯ 8LI WIGSRH SRI▯ QEHI

VIJIVIRGI XS XLI GIWWMSR SJ%VMGE SV XLI WQEPP FE]
SJ :MXSV F] 'LMPI▯ EJXIV XLI HMWTYXI FIX[IIR 'LMPI

ERH 4IVY WSPZIH XLIMV HMWTYXI▯ 8LI XLMVH SRI [EW
SR 'SQQIVGMEP 6YPIW▯ 8LI PEWX X[S 4VSXSGSPW▯

GSRWMHIVIH MRHMZMWMFPI ERH E wGSQTVILIRWMZI
TEGOEKIx▯▯VYPIH▯GVIHMXW▯ERH▯JMRERGMEP▯SFPMKEXMSRW▯

8LIWI XVIEXMIW HMH RSX IRXIV MRXS JSVGI FIGEYWI XLI
'LMPIER 'SRKVIWW HMH RSX ETTVSZI XLI JMJXL

TVSXSGSP XLEX HIEPX [MXL XLI MRHMZMWMFMPMX] MWWYI SJ

FSXL MRWXVYQIRXW GSRGIVRMRK XLI XVERWJIVIRGI SJ
XIVVMXSVMIW ERH XLI VIFYMPHMRK SJ TIEGI▯

% &6%,%1 / 32-2+ t7(-4031%8-'238)
(V▯ 1EVMERS &ETXMWXE RIKSXMEXIH XLI ▯▯▯▯ 8VIEX]▯ -R LMW
TSWMXMSR EW 4VIWMHIRX SJ &SPMZME LI RIKSXMEXIH XLI ▯▯▯▯RRMRK SJ XLI ▯▯XL 'IRXYV]▯ XLI 'LMPIER
8VIEX]▯SR▯FSEVH▯XLI▯9▯7▯▯GSVZIXXI▯w0EGO+KSZIVRQIRX ETTSMRXIH%FVELEQ /SRMRK EW

873Annex 61

8LI&PYI&SSO

1MRMWXIV 4PIRMTSXIRXMEV] MR 0E 4E^▯ &SPMZME▯ 3R VIEWSR▯ -J MX HMH RSX [I [SYPH RSX LEZI MRXIVIWX XS

%YKYWX ▯▯▯ ▯▯▯▯▯ 1V▯ /SRMRK EHHVIWWIH E OIIT MX JSV SYVWIPZIW▯
HMTPSQEXMG RSXI XS XLI +SZIVRQIRX SJ &SPMZME▯ 8LMW PIXXIV [EW ER YPXMQEXYQ XS XLI +SZIVRQIRX SJ

GSRXEMRMRK▯ER▯wYPXMQEXYQx▯XLEX▯HMTPSQEXMG▯LMWXSV] &SPMZME▯ ERH MR XLI PSRK VYR▯ MX WIXXPIH XLI XIVQW SJ

VIQIQFIVW EW SRI SJ XLI QSWX FVYXEP ERH G]RMGEP XLI 4IEGI 8VIEX] XLEX FSXL GSYRXVMIW [SYPH WMKR
HSGYQIRX SJ EPP XMQIW▯ FIGEYWI MX [EW QIERX XS PEXIV SR▯

GSRWSPMHEXI XLI VMKLX XS EGUYMWMXMSR SJ XIVVMXSVMIW F]
JSVGI▯ 8LI HMTPSQEXMG RSXI VIEH EW JSPPS[W▯ w%X XLI * 6-)2(7,-4 %2( 4)%') 86)%8=

IRH SJ [EV▯ XLI ZMGXSVMSYW REXMSR MQTSWIW MXW 7-+2)( &)8;))2 & 30-:-% %2( ' ,-0)
GSRHMXMSRW ERH HIQERHW TE]QIRX JSV I\TIRWIW▯ ▯▯▯▯▯

&SPMZME PSWX ERH HMH RSX LEZI QSRI] XS TE] JSV▯ WS &SPMZME▯ [MXLSYX TSVXW▯ RSV XVERWMX JEGMPMXMIW▯ EW [IPP

MX WYVVIRHIVIH MXW PMXXSVEP▯ 8LMW GIWWMSR MW MRHIJMRMXI▯MXW GYWXSQW YRHIV 'LMPIER EHQMRMWXVEXMSR▯ ERH
JSV ER MRHIJMRMXI TIVMSH SJ XMQI▯ 7S MX WE]W XLI EPWS [MXL MXW XIVVMXSV] SR XLI WIEGSEWX QMPMXEVMP]

8VYGI 4EGX▯ -X [EW ER EFWSPYXI GIWWMSR▯ SGGYTMIH▯ [EW JSVGIH XS EGGITX XLI XIVQW SJ E HVEJX
YRGSRHMXMSREP▯ TIVTIXYEP▯▯▯%W E GSRWIUYIRGI▯ XVIEX] MQTSWIH F] 'LMPI SR (IGIQFIV ▯▯▯ ▯▯▯▯▯

'LMPI HSIW RSX S[I ER]XLMRK▯ HSIW RSX LEZI ER] 8LI EJSVIQIRXMSRIH XVIEX] [EW VYFVMGEXIH MR
SFPMKEXMSRW▯ RSX IZIR XS KMZI E TMIGI SJ PERH RSV E 7ERXMEKS F] 1MRMWXIVW SJ *SVIMKR%JJEMVW 4MRMPPE

TSVX ▯XS &SPMZME
-X MW ER IVVSV [MHIP] HMWWIQMREXIH JSV &SPMZME ERH )H[EVHW JSV 'LMPI▯ 8LI XVIEX]

[LMGL MW HEMP] VITIEXIH SR XLI WXVIIXW F] XLI QIHME VEXMJMIH XLI XIVQW SJ%FVELEQ /SRMRKW YPXMQEXYQ
XS FIPMIZI XLEX &SPMZME LEW XLI VMKLX XS GPEMQ E TSVXMR ▯▯▯▯▯ 8LI JMREP ZIVWMSR SJ XLI *VMIRHWLMT ERH

MR GSQTIRWEXMSR JSV MXW PMXXSVEP▯ 8LIVI MW RS WYGL E 4IEGI 8VIEX] [EW WMKRIH MR 7ERXMEKS▯ 'LMPI SR
XLMRK▯ 'LMPI LEW SGGYTMIH XLI PMXXSVEP ERH LEW 3GXSFIV ▯▯▯ ▯▯▯▯▯

KVEFFIH MX [MXL XLI WEQI GVMXIVME XLEX +IVQER] -R I\GLERKI JSV XLI PMXXSVEP▯ 'LMPI KEZI &SPMZME
ERRI\IH%PWEGI▯0SVVEMRI XS XLI )QTMVI▯ [MXL XLI JVII XVERWMX JEGMPMXMIW▯ ER MRHIQRMX] SJ ▯▯▯▯▯▯▯ 0

WEQI XMXPI XLI 9RMXIH 7XEXIW SJ 2SVXL%QIVMGE LEW ▯&VMXMWL TSYRHW
ERH E VEMPVSEH JVSQ%VMGE XS 0E

XEOIR SZIV 4YIVXS 6MGS▯ 3YV VMKLXW EVI VSSXIH MR 4E^▯ MR XLI YRHIVWXERHMRK XLEX XLI WIGXMSR SR
ZMGXSV]▯ XLI WYTVIQI PE[ SJ REXMSRW▯▯▯▯ 8LI JEGX XLEX'LMPIvW▯WMHI▯[SYPH▯FI▯YRHIV▯MXW▯EHQMRMWXVEXMSR▯

XLI PMXXSVEP MW VMGL ERH MW [SVXL PSXW SJ QMPPMSRW▯ [ILMW MW LS[ &SPMZME FIGEQI E PERH▯PSGOIH GSYRXV]▯
EPVIEH] ORI[ XLEX▯ ;I OIIT MX FIGEYWI SJ XLEX WEQI

874 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

-X MW MQTSVXERX XS YRHIVPMRI XLI JEGX XLEX WMRGIJ 8EGRE ERH%VMGE [EW RSX WSPZIH ERH MX [SYPH
▯▯▯▯▯ &SPMZME [EW XMVIPIWW ERH TIVWMWXIRX MR MXWIQEMR YRWSPZIH JSV EPQSWX X[IRX] ]IEVW QSVI▯

GPEMQW XS VIXYVR XS XLI GSEWXW SJ XLI 4EGMJMG 3GIER▯
8 ,) 0)%+9) 3* 2 %8-327

' ,%2')0036 7%2',)> %JXIV▯XLI▯*MVWX▯;SVPH▯;EV▯▯▯▯▯▯▯z▯▯▯▯▯
▯XLIVI▯[EW
& 978%1%28) t7 1)136%2(91 E TSWWMFMPMX] XS HMWGYWW XLI 8VIEX] SJ ▯▯▯▯▯ *MVWX▯ EX

3R%TVMP ▯▯▯ ▯▯▯▯▯ &SPMZMER 'LERGIPPSV (ERMIP XLI 4EVMW 'SRJIVIRGI MR ▯▯▯▯▯ ERH PEXIV SR EX XLI
7ERGLI^ &YWXEQERXI▯ JSPPS[MRK 4VIWMHIRX 0IEKYI SJ 2EXMSRW MR ▯▯▯▯▯ XLI &SPMZMER

)PMSHSVS▯:MPPE^SRvW▯HMVIGXMSRW▯▯EHHVIWWIH▯E HIPIKEXMSR LEW TVSTSWIH XS VIZMWI XLI
HMTPSQEXMG RSXI XS 4IVY ERH 'LMPI MR [LMGL &SPMZMEVIQIRXMSRIH XVIEX] EPSRK [MXL 4IVY [LS MR

I\TPEMRIH MXW NYWX GPEMQW ERH EVKYQIRXIH MXW TVMRGMTPI LEH XLI WEQI TSWMXMSR GSRGIVRMRK XLI

[MPPMRKRIWW XS SFXEMR ER SYXPIX SX XLI 4EGMJMG 3GIER] SJ ▯▯▯▯▯ ▯0EXIV SR▯ XLEX GSYRXV] [MXLHVI[
XLVSYKL XLI XIVVMXSVMIW SJ 8EGRE SV%VMGE [LMGL MXW VIUYIWX
▯

[IVI YRHIV 'LMPIER VYPI EX XLI XMQI▯ HYI XS XLI JEGXI WEQI XMQI▯ 'LMPI HIGPEVIH XLEX XLI 0IEKYI
XLEX 8VIEX] SJ%RGSR [EW MR JSVGI▯ HMH RSX LEZI XLI EYXLSVMX] RSV XLI TS[IV XS EHSTX

7ERGLI^ &YWXEQERXI WEMH▯ w&SPMZME GERRSX PMZI HIGMWMSRW GSRGIVRMRK EQIRHQIRXW XS MRXIVREXMSREP
MWSPEXIH JVSQ XLI WIE▯ MRWXVYQIRXW▯ ,S[IZIV▯ XLI 'LMPIER HIPIKEXI

8SHE] ERH EP[E]W▯ MX [MPP HS MXW YXQSWX MR SVHIV XSXMR )H[EVHW SJJIVIH JSVQEPP] XS WSPZI XLI
LEZI EX PIEWX SRI YWIJYP TSVX SR XLI 4EGMJMG ERH [MPPER 1EVMXMQI 4VSFPIQ▯

RIZIV VIQEMR TEWWMZI IZIV] XMQI XLI MWWYI SJ 8EGRE
ERH%VMGE MW FVSYKLX YT▯ WMRGI XLI JSYRHEXMSRW SJ ,) % '8 3* .%29%6= ▯▯▯ ▯▯▯▯

MXW ZIV] I\MWXIRGI [IVI XLVIEXIRIH▯▯▯▯ 8LI 1MRMWXIVWMTPSQEX )QMPMS &IPPS 'SHIGMHS [LS EW
GEFMRIX MR 0E 4E^ MW VIEH] XS QEOI TVSTSWEPW ERHLERGIPPSV SJ 'LMPI LEH WMKRIH XLI 8VIEX] SJ ▯▯▯▯▯

WEXMWJEGXSV] GSQTIRWEXMSRW XS 7ERXMEKS ERH 0MQE▯MWMXIH 0E 4E^ MR ▯▯▯▯ MR SVHIV XS WMKR ER%GX [MXL

MR XLI YRHIVWXERHMRK XLEX XLI] [SYPH PMOI XS FIKMRRGIPPSV 'EVPSW +YXMÍVVI^▯ &IPPS 'SHIGMHS
RIKSXMEXMSRW▯ERH▯GSRWMHIV▯&SPMZMEvW▯WMXYEXMSR▯MR▯XLIMX GPIEV XLEX XLI 'LMPIER +SZIVRQIRX [EW

WTMVMX▯SJ▯NYWXMGIx▯ [MPPMRK XS TVSTMXMEXI E TSPMG] SJ XLI QSWX WMRGIVI
-R▯WTMXI▯SJ▯XLI▯XSRI▯SJ▯XLMW▯VIUYIWX▯▯&SPMZMEvW▯GPEMQSWIWX YRHIVWXERHMRK [MXL &SPMZME ERH EPWS▯ XS

HMH RSX WYGGIIH▯ QSWXP] FIGEYWI XLI HIJMRMXI WXEXYWXW FIWX XS TVSQSXI ER EKVIIQIRX XLEX EPPS[IH
&SPMZME XS JYPJMPP MXW GSRGIVR VIKEVHMRK E WSZIVIMKR

875Annex 61

8LI&PYI&SSO

EGGIWW XS XLI WIE [MXL XLI TYVTSWI SJ FYMPHMRK WSPMHKSXMEXMSR FIX[IIR XLSWI GSYRXVMIW▯%W E QEXXIV
JSYRHEXMSRW JSV E JYXYVI JVMIRHWLMT FIX[IIR FSXLSJ JEGX▯ MX [EW EKVIIH XLEX 'LMPI [SYPH OIIT%VMGE▯

GSYRXVMIW▯ 'LMPI [EW STIR XS SJJIV &SPMZME ER SYXPIXI 4IVY [SYPH HS XLI WEQI [MXL 8EGRE▯
XS XLI SGIER F] KMZMRK YT ER MQTSVXERX TMIGI SJ

PERH MR XLI RSVXLIVR TEVX SJ%VMGE ERH MRWMHI XLI
VEMPVSEH PMRI MR XLI XIVVMXSV] WYFNIGX XS TPIFMWGMXI ▯

EW LEW FIIR WXEXIH MR XLI XVIEX] SJ%RGSR▯

8 ,) / )003+ t7 463437%0
3R 2SZIQFIV ▯▯▯ ▯▯▯▯▯ XLI%QIVMGER 7IGVIXEV] SJ

7XEXI▯ *VERO /IPPSK▯ [LS [EW EPWS E QIHMEXSV MR

XLI HMWTYXI FIX[IIR 4IVY ERH 'LMPI▯ GSRWMHIVIH XLI
YRNYWX WMXYEXMSR SJ &SPMZME EJXIV MX PSWX MXW PMXXSVEP

ERH HIGMHIH XS WIRH E 1IQSVERHYQ XS XLI
KSZIVRQIRXW SJ FSXL GSYRXVMIW▯ /IPPSK TVSTSWIH

XLEX XLI] KVERX XS &SPMZME▯ MR TIVTIXYMX]▯ IZIV]
VMKLX▯ XMXPI ERH MRXIVIWXW XLI] QMKLX LEZI MR XLI

TVSZMRGIW SJ 8EVETEGE ERH%VMGE▯ 8LI 'LMPIER
+SZIVRQIRX HIGMHIH▯ MR TVMRGMTPI▯ XS GSRWMHIV

/IPPSKvW▯TVSTSWEP▯[LMPI▯4IVY▯VIJYWIH▯XS▯WYVVIRHIV %QFEWWEHSV %PFIVXS 3WXVME +YXMIVVI^▯ WMKRIH XLI 2SXIW SJ
XLSWI▯XIVVMXSVMIW▯▯8LI▯/IPPSKvW▯TVSTSWEP▯[EW▯ZIV▯▯▯▯ [MXL ;EPOIV 0EVVEMR▯ 1MRMWXIV SJ *SVIMKR %JJEMVW SJ 'LMPI▯

RIEV XS SFXEMR E JMREP WSPYXMSR XS XLI UYIWXMSR SJ
8EGRE ERH%VMGE ERH EPPS[IH &SPMZME XS KIX GPSWIV&SPMZME JIPX MQTEMVIH F] XLMW XVIEX]▯ FIGEYWI MR E

XS WSPZI MXW KISKVETLMGEP WIGPYWMSR▯ 'SQTPIQIRXEV] 4VSXSGSP▯ MX [EW WXMTYPEXIH XLEX XLI

+SZIVRQIRXW SJ 'LMPI ERH 4IVY GSYPH RSX▯ [MXLSYX
8 ,) 86)%8= 3* ▯▯▯▯ 7-+2)( E TVIZMSYW GSRWIRX▯ KMZI YT XS E XLMVH TS[IV XLI

&)8;))2 4)69 %2( ' ,-0) [LSPI SV TEVX SJ XLI XIVVMXSVMIW QIRXMSRIH MR XLI
-R ZMI[ XLEX XLI TPIFMWGMXI TVSZMHIH MR XLI 8VIE8VIEX] SJ ▯▯▯▯▯ 8LI VIJIVIRGI XS E XLMVH TS[IV [EW

SJ%RGSRWMKRIHFIX[IIR'LMPIERH4IVYHMHRSX E GPIEV EPPYWMSR XS &SPMZME▯ w7MRGI XLIR ▯ WE]W
XEOI TPEGI▯ XLI 9RMXIH 7XEXIW SJ%QIVMGE TVSQSXIH(ERMIP 7EPEQERGE ▯ E JSVQIV &SPMZMER 4VIWMHIRX▯

876 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

'LMPI PSGOIH XLI SYXPIX XS XLI WIE JSV &SPMZME ERHVQEPP] XLI WIEGSEWX TVSFPIQ▯%X ER 3%7 +IRIVEP
KEZI▯XLI▯OI]▯XS▯4IVYx▯ %WWIQFP]▯ LI WEMH▯ w8LI [EXIVW SJ XLI LMKL

%RHIER QSYRXEMRW FIX[IIR &SPMZME ERH 4IVÞ

8 ,) ▯▯▯▯ 2 38)7 GSYPH FI YWIH XS FYMPH E KEVHIR MR XLI 7SYXL
-R ▯▯▯▯▯ XLI &SPMZMER%QFEWWEHSV MR 'LMPI▯ %QIVMGER GSEWX MR XLI [IWXIVR WMHI SJ 'LMPI ERH

%PFIVXS 3WXVME +YXMIVVI^▯ ERH XLI 1MRMWXIV SJ 4IVY▯ KMZMRK &SPMZME E TSVX SR XLI 4EGMJMG MR
*SVIMKR%JJEMVW SJ 'LMPI▯ ,SVEGMS ;EPOIV 0EVVEMR▯I\GLERKI▯ 8LI 9RMXIH 7XEXIW [EW STIR XS JMRERGI

I\GLERKIH MQTSVXERX (MTPSQEXMG 2SXIW MR [LMGL XLI HIZIPSTQIRX SJ XLEX VIKMSR▯ 9RJSVXYREXIP]▯
XLI] TVSTSWIH XLEX XLIMV KSZIVRQIRXW WXEVX JSVQEXLSWI HMTPSQEXMG HÍQEVGLIW [IVI RSX JVYMXJYP▯

RIKSXMEXMSRW XS WEXMWJ] XLI &SPMZMER GSRGIVR F]
KVERXMRK E GSVVMHSV MR XLI RSVXLIVR TEVX SJ%VMGE▯

8LEX TVSTSWEP [EW JEZSVIH F] +EFVMIP +SR^ÅPIW

:MHIPE▯ 4VIWMHIRX SJ 'LMPI EX XLEX XMQI▯ ,S[IZIV▯
LI VIUYMVIH E RSR XIVVMXSVMEP GSQTIRWEXMSR▯ 8LI

GSQTIRWEXMSR JSVQYPE JSV 'LMPI GSRXIQTPEXIH wXS
KVERX XS &SPMZME E WXVMT SJ PERH▯ ▯▯ OMPSQIXIVW

▯EVSYRH ▯ QMPIW
▯ RIMKLFSVMRK XLI 4IVYZMER FSVHIV▯
VYRRMRK EPSRK XLI PMXXSVEP▯ WS XLEX &SPMZME GSYPH

GSQQYRMGEXI [MXL XLI 4EGMJMG 3GIER XLVSYKL MXW
S[R XIVVMXSV] ERH FYMPH E TSVX▯ -R I\GLERKI▯ 'LMPI

GSYPH FIRIJMX JVSQ XLI [EXIVW SJ XLI 8MXMGEGE 0EOI

XS KIRIVEXI IPIGXVMGMX] JSV XLI TVSZMRGIW SJ
8EVETEGÅ ERH%RXSJEKEWXE▯

-28)6:)28-32 3* , %66= 8 691%2

%JXIV HMJJIVIRX MRXIVREXMSREP MRMXMEXMZIW [IVI
PEYRGLIH F] XLI&SPMZMER HMTPSQEG] XS YTHEXI XLI

QEVMXMQI TVSFPIQ▯ XLI %QIVMGER 4VIWMHIRX ,EVV]
8VYQER TVSTSWIH XLEX F] TIEGIJYP QIERW ERH

HMVIGX RIKSXMEXMSRW▯ 'LMPI ERH &SPMZME GSRWMHIV

877Annex 61

8LI&PYI&SSO

8 ,) ():-%8-32 3* 8,) ;%8)67 3* TVSFPIQ▯ 8LI VIWYPX [EW XLI FVIEOMRK YT SJ
HMTPSQEXMG VIPEXMSRW FIX[IIR FSXL GSYRXVMIW▯
8,) 0%9'% 6 -:)6
-R XLI QMHHPI SJ E XIRWI ERH HMJJMGYPX FMPEXIVEP
8 ,) ▯▯▯ 8, %22-:)67%6= 3* 8,)
VIPEXMSR▯ MR%TVMP ▯▯▯▯▯ 'LMPI HIGMHIH XS HIZMEXI
XLI 0EYGE 6MZIV [EXIVW▯ ER MRXIVREXMSREP VMZIV SJ)2') 3* 8,) 6 )49&0-' 3*
& 30-:-%▯
WYGGIWWMZI GSYVWI▯%W E QEXXIV SJ JEGX▯ &SPMZME
TVIWIRXIH E GPEMQ XS XLI 3%7▯ FYX XLMW 3R%YKYWX ▯▯ ▯▯▯▯▯ XLI 3VKERM^EXMSR SJ%QIVMGER
7XEXIW GSQQIQSVEXIH XLI ▯▯▯XL%RRMZIVWEV] SJ
3VKERM^EXMSR [EW RSX IJJIGXMZI MR WSPZMRKXLI (IGPEVEXMSR SJ -RHITIRHIRGI F] XLI 6ITYFPMG

-R XLI PSGEXMSR SJ 'LEVEÕE▯ XLI 4VIWMHIRX SJ &SPMZME▯ +IR▯ ,YKS &ER^IV ERH XLI 4VIWMHIRX SJ 'LMPI▯ +IR▯ %YKYWXS 4MRSGLIX▯
WMKRIH XLI %KVIIQIRX XLEX FIEVW XLI REQI SJ XLEX FSVHIV PSGEXMSR▯

878 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

SJ &SPMZME▯ -R XLEX STTSVXYRMX] E HIGPEVEXMSR [EW (IGPEVEXMSR SJ 'LEVEÕE I\TVIWWMRK SRGI QSVI MXW

EHSTXIH QEOMRK ER I\TPMGMX VIJIVIRGI XS XLI WSPMHEVMX]x▯
&SPMZMER QEVMXMQI TVSFPIQ JSV XLI JMVWX XMQI▯

8LI XI\X SJ XLI HIGPEVEXMSR WE]W▯ w8LI 4IVQERIRX 2 )+38-%8-32 &)8;))2 ▯▯▯▯ %2(

'SYRGMP SJ XLI%QIVMGER 7XEXIW HIGPEVIW XLI ▯▯▯▯
JSPPS[MRK▯▯w-X▯MW▯SJ▯GSRXMRIRXEP▯GSRGIVR▯&SPMZMEvW -2 ▯▯▯▯▯ E RIKSXMEXMRK TVSGIWW SR E GSVVMHSV ERH

WMXYEXMSR SJ ▯KISKVETLMGEP
WIGPYWMSR▯ 8LMW MW [L] ER IRGPEZI [EW WXEVXIH [LMGL MQTPMIH XLI
EPP%QIVMGER 7XEXIW SJJIV XS GSSTIVEXI F] VIIWXEFPMWLQIRX SJ HMTPSQEXMG VIPEXMSRW FIX[IIR

GSRGMPMEXMRK VIGMTVSGEP MRXIVIWXW ERH TVSQSXMRK &SPMZME ERH 'LMPI▯ 8LMW TVSGIWW MW ORS[R EW XLI
GSRWXVYGXMZI YRHIVWXERHMRKW MR XLI WIEVGL SJ w)QFVEGI▯SJ▯'LEVEÕEx▯ERH▯[EW▯PIH▯F]▯JSVQIV

WSPYXMSRW XLEX▯ EGGSVHMRK XS MRXIVREXMSREP PE[▯ ERH 4VIWMHIRXW +IRIVEP ,YKS &ER^IV JVSQ &SPMZME ERH

MR TEVXMGYPEV▯ XS XLI 'LEVXIV SJ XLI 3VKERM^EXMSR SJ +IRIVEP%YKYWXS 4MRSGLIX JVSQ 'LMPI▯ 8LI
%QIVMGER 7XEXIW▯ LIPT &SPMZME XS VIQSZI XLI +SZIVRQIRX SJ &SPMZME LEW EWOIH 'LMPI JSV E

HMJJMGYPXMIW XLEX XLI WMXYEXMSR SJ WIGPYWMSR LEW WSZIVIMKR WIEGSEWX FIX[IIR XLI 'SRGSVHME 0MRI
FVSYKLX EPSRK JSV MXW IGSRSQMG ERH WSGMEP ERH XLI PMQMX SJ XLI YVFER EVIE SJ%VMGE▯ 8LMW GSEWX

HIZIPSTQIRX▯ WLSYPH GSRXMRYI XLVSYKL E WSZIVIMKR PERH WXVMT EW
JEV EW XLI &SPMZMER▯'LMPIER FSVHIV▯ MRGPYHMRK XLI

-X MW MQTSVXERX XS TSMRX SYX [LEX XLI 'LMPIER XVERWJIVIRGI▯SJ▯XLI▯%VMGEz0E▯4E^▯VEMPVSEH▯▯8LI

HIPIKEXI HIGPEVIH EX XLEX GSQQIQSVEXMSR▯ w8LI 'LMPIER ERW[IV SR (IGIQFIV ▯▯▯ ▯▯▯▯ [EW▯ w8LI
'LMPIER HIPIKEXMSR EWWSGMEXIW MXWIPJ XS XLI ▯▯▯ TVSTSWEP VIWTSRHW XS VIGMTVSGEP MRXIVIWXW ERH MX

ERRMZIVWEV] SJ XLI -RHITIRHIRGI SJ &SPMZME MR E WLSYPH RSX LEZI ER] MRRSZEXMSRW VIKEVHMRK XLI
WTMVMX SJ FVSXLIVLSSH▯ I\TVIWWMRK MXW FIWX [MWLIW 8VIEX] SJ ▯▯▯▯▯ 'LMPI [SYPH FI MR E TSWMXMSR XS

JSV XLI TVSKVIWW ERH [IPJEVI SJ MXW TISTPI▯ ;I RIKSXMEXI XLI GIWWMSR SJ E WXVMT XS XLI 2SVXL SJ
WLEVI [MXL NS] XLMW LMWXSVMGEP HEXI XLEX FIPSRKW %VMGE EW JEV EW XLI 'SRGSVHME 0MRI▯▯▯ 8LI VSEH XS

EPWS XS XLI %QIVMGEW [LIVI XLI TSPMXMGEP 8EQFS 5YIQEHS [SYPH WXE] MR 'LMPIER XIVVMXSV]▯

MRHITIRHIRGI SJ 7SYXL %QIVMGER GSYRXVMIW LEW 8LI EJSVIQIRXMSRIH GIWWMSR [SYPH FI GSRHMXMSRIH
HIJMRMXIP] GYPQMREXIH▯▯▯ 8LI 'LMPIER HIPIKEXMSR XS XLI WMQYPXERISYW I\GLERKI SJ XIVVMXSVMIW▯▯▯

ETTVSZIW XLI HIGPEVEXMSR SJ XLI 4IVQERIRX -RWXEPPEXMSRW SV I\MWXMRK WXEXI S[RIH FYMPHMRKW
'SYRGMP ERH VIMXIVEXIW XLI WTMVMX SJ XLI .SMRX ▯'LEGEPPYXE▯%MVTSVX▯▯%VMGE▯z:MWZMVM▯6EMPVSEH▯▯IXG

MR XLI XIVVMXSV] XS FI WYVVIRHIVIH [MPP FI EGUYMVIH

879Annex 61

8LI&PYI&SSO

4VIWMHIRX▯ ;EPXIV +YIZEVE▯%V^I▯ EHHVIWWIW XLI +IRIVEP %WWIQFP] SJ XLI 3VKERM^EXMSR SJ %QIVMGER 7XEXIW MR 0E 4E^▯ &SPMZME▯

F] XLI WXEXI XLEX VIGIMZIW XLI XIVVMXSV] MR EKVIIH
6 )73098-32 ▯▯▯ 3* 8,) 3%7
TVMGIW▯%JXIV[EVHW▯ FIGEYWI SJ XLI 8VIEX] SJ ▯+▯)2)6%0 % 77)1&0=
'LMPI QEHI GSRWYPXEXMSRW [MXL 4IVY SR XLI MWWYI▯
%X XLI 'SQQIQSVEXMSR SJ XLI 'IRXIRRMEP
4IVY TVSTSWIH XLI EPXIVREXMZI SJ E XVMTEVXMXI%RRMZIVWEV] SJ XLI 4EGMJMG ;EV▯ HYVMRK XLI 3%7
KISKVETLMGEP EVIE▯ 'LMPI FVSOI YT XLI RIKSXMEXMSR
+IRIVEP%WWIQFP]▯ &SPMZME SFXEMRIH 6IWSPYXMSR
TVSGIWW▯ MR WTMXI SJ XLI JEGX XLEX 4IVY QEHI ▯▯▯▯ GSRWMHIVIH XLI QSWX MQTSVXERX MR XLI
TSWMXMSR QSVI JPI\MFPI▯ -R FVMIJ▯ w8LI )QFVEGI SJ
QYPXMPEXIVEP PIZIP▯ 8LMW VIWSPYXMSR TSMRXW SYX XLEX
'LEVEÕEx▯QIERX▯XLEX▯XLI▯XLVII▯GSYRXVMIW▯TVIWIXLI &SPMZMER QEVMXMQI TVSFPIQ MW ER MWWYI SJ
XLIMV TSWMXMSRW▯ -R ZMI[ XLEX XLSWI RIKSXMEXMSRW
TIVQERIRX LIQMWTLIVMG MRXIVIWX ERH XLEX MX MW
[IVI RSX WYGGIWWJYP▯ MR 1EVGL ▯▯▯▯ &SPMZME ERRIGIWWEV] XS WIEVGL JSV E NYWX ERH IUYMXEFPI
'LMPI FVSOI YT HMTPSQEXMG VIPEXMSRW SRGI QSVI▯

880 Annex 61

1ET SJ XLI TVSTSWIH 'SVVMHSV
SJ 'LMPI XS &SPMZME MR ▯▯▯▯▯

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

&XLI 'SVVMHSV GYXXMRK EGVSWW XLI
WYKKIWXIH F] 4IVY▯ ▯▯▯▯▯▯

WSPYXMSR XLEX TVSZMHIW &SPMZME [MXL E WSZIVIMKR ERH QEVMXMQI TVSFPIQ▯ 'LMPI LEW NSMRIH XLI GSRWIRWYW

YWIJYP EGGIWW XS XLI 4EGMJMG 3GIER▯ 8LI VIWSPYXMSR MR ▯▯▯▯▯ ▯▯▯▯ ERH ▯▯▯▯▯

VIGSKRM^IW XLEX XLI &SPMZMER QEVMXMQI TVSFPIQ 6IWSPYXMSRW ETTVSZIH MR ▯▯▯▯ ERH ▯▯▯▯ GEPP YTSR

HSIW RSX SRP] EJJIGX &SPMZME ERH 'LMPI▯ MX GSRGIVRIH 7XEXIW XS WXEVX▯ XLVSYKL VIPIZERX

VIGSQQIRHW▯ FIWMHIW▯ XS WXEVX RIKSXMEXMSRW MR SVHIV GLERRIPW E HMEPSKYI XLEX EPPS[W XLI QSWX
XS KMZI &SPMZME E JVII ERH WSZIVIMKR GSRRIGXMSR WEXMWJEGXSV] WSPYXMSRW▯

[MXL XLI 4EGMJMG 3GIER▯ 8LI ▯▯▯▯ VIWSPYXMSR GEPPW YTSR &SPMZME ERH 'LMPI▯

MR XLI REQI SJ%QIVMGER FVSXLIVLSSH▯ XS MRMXMEXI

1 %-2 3%7 6 )73098-327 ER ETTVSEGLMRK ERH WXVIRKXLIRMRK TVSGIWW SJ FSXL

*VSQ ▯▯▯▯ XS ▯▯▯▯▯ XLI 3%7 EHSTXIH IPIZIR REXMSRW▯ SVMIRXIH XS RSVQEPM^I XLIMV VIPEXMSRW▯
VIWSPYXMSRW ▯SRI IZIV] ]IEV
SR XLI &SPMZMER MRGPYHMRK MR TEVXMGYPEV▯ E JSVQYPE XS JEGMPMXEXI

+YMPPIVQS &IHVIKEP▯ 1MRMWXIV SJ *SVIMKR %JJEMVW SJ &SPMZME ERH .EMQI HIP :EPPI▯ 1MRMWXIV SJ *SVIMKR %JJEMVW SJ 'LMPI
TEVXMGMTEXIH▯MR▯XLI▯RIKSXMEXMSRW▯SJ▯[LEX▯[EW▯ORS[R▯EW▯XLI▯wJVIWL▯ETTVSEGLx▯▯[MXL▯XLIQ▯MW▯XLI▯4VIWMHIRX▯SJ▯XLI▯-RXIVEQIVMGER
(IZIPSTQIRX &ERO▯ )RVMUYI -KPIWMEW▯

881Annex 61

8LI&PYI&SSO

&SPMZME E WSZIVIMKR SYXPIX XS XLI 4EGMJMG 3GIER XLI QEVMXMQI TVSFPIQ MR 1SRXIZMHIS▯ -R%TVMP
FEWIH GSR VIGMTVSGEP GSRZIRMIRGIW ▯ VMKLXW ERH ▯▯▯▯▯ EX 1SRXIZMHIS &SPMZME HIQERHIH E GSVVMHSV

MRXIVIWXW▯SJ▯XLI▯GSRGIVRIH▯TEVXMIWx▯ ERH XLI GIWWMSR SJ XLI JSPPS[MRK IRGPEZIW▯ 8SGSTMPPE
-R XLI EFSZI QIRXMSRIH WMXYEXMSRW XLIVI LEW FIIR E ERH XLI WQEPP FE]W SJ 'EQEVSRIW ERH 1MGLMPPE▯

[MPPMRKRIWW SJ 'LMPI XS GSQTVSQMWI XLI FIKMRRMRK 8LI &SPMZMER 'LERGIPPSV WYFQMXXIH X[S

SJ RIKSXMEXMSRW MR SVHIV XS WIEVGL JSV E WSPYXMSR XS 1IQSVERHE▯ -R XLI JMVWX SRI▯ &SPMZME EWOIH 'LMPI
XLI &SPMZMER QEVMXMQI TVSFPIQ▯ XLI GIWWMSR SJ E WSZIVIMKR ERH YWIJYP WIEGSEWX

PMROIH XS MXW XIVVMXSV] XLVSYKL E WXVMT SJ PERH SJ MXW
8 ,) 2)+38-%8-32 3* ▯▯▯▯▯ ▯▯▯▯ S[R▯ PMQMXMRK XS XLI 2SVXL [MXL XLI 'SRGSVHME 0MRI▯

-R ▯▯▯▯▯ XLI +SZIVRQIRX SJ 9VYKYE] SJJIVIH MXW ERH XS XLI 7SYXL [MXL XLI 0PYXE 6MZIV EW JEV EW E
GSSTIVEXMSR WS XLEX FSXL GSYRXVMIW GSYPH RIKSXMEXI
TSMRX PSGEXIH XS XLI ;IWX SJ 'SPSRIP %PGÍVVIGE ERH

4VIWMHIRXW .EMQI 4E^▯>EQSVE SJ &SPMZME ERH %PFIVXS *YNMQSVM SJ 4IVY WMKRIH XLI %KVIIQIRXW w1EVMWGEP 7ERXE 'VY^ SR
.ERYEV] ▯▯▯ ▯▯▯▯▯ 8LVSYKL XLIWI %KVIIQIRXW 4IVY GIHIH X[S JVII ^SRIW XS &SPMZME▯ 3RI SJ XLIQ E JVII MRHYWXVMEP ^SRI ERH XLI
SXLIV SRI E XSYVMWX ^SRI▯ EW [IPP EW JEGMPMXMIW JSV XLI EHQMRMWXVEXMSR SJ XL I 4SVX SJ -03 JSV E ▯▯ ]IEV XIVQ▯

882 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

JVSQ XLIVI▯ E KISHIWMG PMRI EW JEV EW PERHQEVO <-WXERHMRK▯ WSPMHEVMX] ERH MRXIKVEXMSR MR XLI

SJ XLI TVIWIRX FSYRHEV] FIX[IIR &SPMZME ERH 'LMPI▯LIVI▯ &IWMHIW▯ GEPPW YTSR XLI TEVXMIW XS
8LI WIGSRH 1IQSVERHYQ TVSTSWIW XLVII X]TIW SJMEPSKYI ERH PIEZIW STIR XLI GSRWMHIVEXMSR SJ XLMW

EPXIVREXMZIW JSV IRGPEZIW PSGEXIH MR XIVVMXSVMIW RSXXS XLI VIUYIWX SJ TEVXMIW GSRGIVRIH▯ JSV
WYFNIGX XS XLI 8VIEX] SJ ▯▯▯▯▯ REQIP]▯ SRI MRI\X 3VHMREV] 7IWWMSRW SJ XLI 3%7 +IRIVEP

'EQEVSRIW WQEPP FE] EW JEV 4MWEKYE▯ XLI WIGSRH▯IQFP]x▯
JVSQ 8SGSTMPPE XS 'SFMNE▯ ERH XLI XLMVH▯ JVSQX▯XLI▯IRH▯SJ▯.EMQI▯4E^▯>EQSVEvW▯%HQMRMWXVEXMSR

1SGLMPPE WQEPP FE] XS 1INMPPSRIW▯ XLIVI [EW E WXVSRK TSPMXMGEP HIXEGLQIRX FIX[IIR
3R%TVMP ▯▯ ERH ▯▯ ▯▯▯▯▯ XLI 'LMPIER HIPIKEXMSRPMZME ERH 'LMPI▯

EGGITXIH EH VIJIVIRHYQ XLI EJSVIQIRXMSRIH
1IQSVERHE▯ 6 )43687 32 8,) 1%6-8-1) 463&0)1

3R .YRI ▯▯▯▯▯ 'LMPI HIGPMRIH XLI GSRWMHIVEXMSR SJ 30-:-% %8 8,) 3%7 + )2)6%0

WYGL TVSTSWEPW ERH VEXLIV SJJIVIH XS WXYH] TEPPMEXMZI
WSPYXMSRW▯XS▯&SPMZMEvW▯KISKVETLMG▯WIGPYWMSR▯7MRGI ▯▯▯▯▯ &SPMZME LEW HIGMHIH XS WYFQMX%RRYEP

VITSVXW SR XLI 1EVMXMQI 4VSFPIQ XS HIQSRWXVEXI
8 ,) +3:)621)28 3* .%-1) 4%> XLI TIVQERIRX HEQEKI XLI KISKVETLMG WIGPYWMSR

> %136% GEYWIW XS MXW IGSRSQ]▯ [LMGL TEVEHS\MGEPP]
&SPMZMER TVIWMHIRX .EMQI 4E^ >EQSVE EHHVIWWIHITVIWIRXW QIERMRKJYP FIRIJMXW JSV 'LMPI▯ 8LIWI

LMW 'LMPIER LSQSPSKSYW 4EXVMGMS%]P[MR SR XLIVITSVXW LEZI VIGIMZIH XLI WSPMHEVMX] SJ HMJJIVIRX
RIIH SJ WSPZMRK XLI QEVMXMQI TVSFPIQ▯ 3R XLIGSYRXVMIW SJ XLI -RXIV%QIVMGER GSQQYRMX]▯

SXLIV LERH▯ &SPMZME WMKRIH [MXL 'LMPI ER
)GSRSQMG 'SQTPIQIRXEV] %GGSVH ▯%') ▯▯
[MXL 8 ,) + 32>%03 7%2',)> () 0 3>%(%

XLI TYVTSWI SJ [MHIRMRK ERH HMZIVWMJ]MRK XLI%(1-2-786%8-32
I\GLERKI SJ KSSHW ERH WIVZMGIW FIX[IIR FSXL (YVMRK LMW JMVWX KSZIVRQIRX XIVQ XLI JSVQYPE ▯

GSYRXVMIW▯ (YVMRK LMW EHQMRMWXVEXMSR ▯ XLI 3%7MXLSYX▯GSRHMXMSRW▯ERH▯[MXLSYX▯I\GPYWMSRWx▯[EW
+IRIVEP %WWIQFP] ETTVSZIH E VIWSPYXMSR [LMGLTVSTSWIH▯ -R WM\ HMJJIVIRX STTSVXYRMXMIW▯ MX [EW

EJJMVQW XLI MQTSVXERGI XLEX XLI WSPYXMSR SJ MRXIRHIH XS STIR RIKSXMEXMSRW MR SVHIV XS SFXEMR E
&SPMZMEvW▯QEVMXMQI▯TVSFPIQ▯LEW▯▯FIEVMRK▯MR▯QMRHIVIMKR SYXPIX XS XLI 4EGMJMG 3GIER FYX [MXLSYX

FSXL TEVXMIW▯ VIGMTVSGEP EHZERXEKIW▯ VMKLXW ERHYPXW▯ *MREPP]▯ XLIVI [EW E FMPEXIVEP
MRXIVIWXW MR SVHIV XS VIEGL E FIXXIV MX VETTVSGLIQIRX XLVSYKL GSRJMHIRXMEP IQMWWEVMIW XS

883Annex 61

8LI&PYI&SSO

XEPO EFSYX XLI QEVMXMQI TVSFPIQ▯ &SXL WMHIW EKIRHE [EW XS HIZIPST XLI 4EGMJMG 02+ 4VSNIGX
I\GLERKIH MRJSVQEXMSR ERH I\TPSVIH WSPYXMSR GSRGIVRMRK XLI I\TSVXEXMSR SJ &SPMZMER REXYVEP KEW

JSVQYPEW [LMGL▯ LS[IZIV▯ HMH RSX JPSYVMWL▯ XS 2SVXL%QIVMGER QEVOIXW XLVSYKL TSVXW SR XLI
4EGMJMG▯%X XLI WEQI XMQI▯ LI [ERXIH &SPMZME XS

8,) , 9+3 & %2>)6 79%6)> FIRIJMX JVSQ XLI KEW I\TSVXW▯ WS XLEX XLI GSYRXV]
%(1-2-786%8-32 GSYPH LEZI TVIWIRGI ERH KVEZMXEXMSR SR XLI 4EGMJMG

3RI SJ XLI TYVTSWIW SJ LMW EHQMRMWXVEXMSR [EWF] GVIEXMRK E 7TIGMEP )GSRSQMG >SRI▯
TVIWIRX TIVWMWXIRXP] XLI &SPMZMER WIEGSEWX GP(YVMRK▯7ERGLI^▯HI▯0S^EHEvW▯7IGSRH▯XIVQ▯▯%YKYWX

XLMW GSRXI\X▯ XLI &SPMZMER ERH 'LMPIER 'LERGI▯▯▯▯▯3GXSFIV ▯▯▯▯
▯ RIKSXMEXMSRW SR XLI 4EGMJMG
QIX EX%PKEVFI▯ 4SVXYKEP▯ ERH IWXEFPMWLIH E RI02+ 4VSNIGX GSRXMRYIH FYX [MXLSYX VIWYPXW▯

STIR%KIRHE ▯ 7MRGI XLIR SR▯ XLIVI [IVI XLVII

TSPMXMGEP IRGSYRXIVW SJ XLI LMKLIWX PIZIP▯ 3R'3034,32
7ITXIQFIV ▯▯▯▯▯ 4VIWMHIRXW ,YKS &ER^IV ERH &SPMZME QEMRXEMRIH HMTPSQEXMG VIPEXMSRW [MXL 'LMPI

6MGEVHS 0EKSW QIX MR &VEWMPME▯ MR 4EREQE JVSQ▯▯▯▯XS▯▯▯▯▯-RXLMWTIVMSHSJWIZIR
▯2SZIQFIV ▯▯▯▯
ERH MR 5YIFIG ▯%TVMP ▯▯▯▯
▯%WHIGEHIW▯ &SPMZME XVMIH SR WIZIVEP SGGEWMSRW XS

E VIWYPX▯ &SPMZME ERH 'LMPI MRGPYHIH MR XLI%KRIKSXMEXI WSZIVIMKR EGGIWW XS XLI WIE▯ [MXLSYX
EPP IWWIRXMEP QEXXIVW VIPIZERX XS XLIMV FMPEXWYGGIWW▯ -R%TVMP ▯▯▯▯▯ 'LMPI VIJYWIH XS GSRWMHIV

VIPEXMSRW▯▯w[MXLSYX▯ER]▯I\GPYWMSRx▯ XLI QEVMXMQI UYIWXMSR▯ HIWTMXI VEMWMRK MX MR E
QIQSVERHYQ WIRX TVIZMSYWP] XS XLI &SPMZMER

8,) .36+) 5 9-63+% 6 %1-6)> 1MRMWXV] SJ *SVIMKR 6IPEXMSRW▯ 1SVISZIV▯ 'LMPI
%(1-2-786%8-32 HIGMHIH YRMPEXIVEPP] XS EPXIV XLI GSYVWI SJ XLI

%JXIV▯&ER^IVvW▯VIWMKREXMSR▯▯.SVKI▯5YMVSKE▯6EQ0EYGE 6MZIV XS[EVHW XLI 4EGMJMG 3GIER▯ XLYW
WYGGIIHIH XS XLI 4VIWMHIRG]▯ -R 2SZIQFIV ▯▯▯▯GEYWMRK IRZMVSRQIRXEP HEQEKI XS XLI SVMKMREP

LI QIX 'LMPIER 4VIWMHIRX 6MGEVHS 0EKSW XS [EXIVGSYVWI▯ [LMGL JPS[W MRXS XLI 'SMTEWE WEPXTER▯

GSRXMRYI GSRZIVWEXMSRW SR XLI FMPEXIVEP EKIRH*SV XLMW VIEWSR▯ &SPMZME JIPX SFPMKIH XS HIGMHI XS
3RI▯SJ▯XLI▯QEMR▯KSEPW▯MR▯.SVKI▯5YMVSKEvW▯I\XIVREP

884 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

FVIEO SJJ HMTPSQEXMG VIPEXMSRW▯ YRXMP WYGL XMQI EW TVIWIRX HE]▯ MR WTMXI SJ TSWWIWWMRK ZEWX VIWIVZIW SJ

'LMPI HIGMHIH XS EHHVIWW XLIWI TIRHMRK MWWYIW▯ REXYVEP KEW▯ &SPMZME GERRSX I\TSVX WYGL VIWIVZIW
HMVIGXP] JSV XLI FIRIJMX SJ MXW TISTPI▯

(IWTMXI XLI 'LMPIER TSWMXMSR▯ XLI REXMSREP
KSZIVRQIRX TVIWMHIH F] +IRIVEP ,YKS &ER^IV

7YEVI^ VIRI[IH HMTPSQEXMG VIPEXMSRW MR ▯▯▯▯▯ EJXIV

XLI 'LMPIER 4VIWMHIRX %YKYWXS 4MRSGLIX EKVIIH XS
FIKMR▯RIKSXMEXMSRW▯XS▯TYX▯ER▯IRH▯XS▯&SPMZMEvW

QEVMXMQI GSRJMRIQIRX▯ ,S[IZIV▯ KMZIR XLI
MRJPI\MFMPMX] SJ XLI 'LMPIER KSZIVRQIRX MR XLI

FMPEXIVEP RIKSXMEXMSRW▯ XLI TVMRGMTEP VIEWSR [L]

XLIWI HMH RSX QSZI JSV[EVH▯ XLI &SPMZMER
KSZIVRQIRX HIGMHIH XS FVIEO SJJ VIPEXMSRW EKEMR MR

▯▯▯▯▯ 8LI PEGO SJ HMTPSQEXMG VIPEXMSRW MW TVSSJ XS
XLI MRXIVREXMSREP GSQQYRMX] XLEX XLIVI MW E

TVSFPIQ TIRHMRK FIX[IIR FSXL GSYRXVMIW▯ XLEX

'LMPI QYWX WIXXPI▯ 8LIVI MW RS HSYFX XLEX MR XLI
IZIRX SJ JEZSYVEFPI RIKSXMEXMSRW FIX[IIR 'LMPI

ERH▯&SPMZME▯z▯WSQIXLMRK▯&SPMZME▯LEW▯WSYKLX
XLVSYKLSYX▯XLI▯▯▯XL▯GIRXYV]▯z▯JYPP▯HMTPSQEXMG

VIPEXMSRW [MPP FI VIRI[IH▯

8S GSRGPYHI▯ MX MW [SVXL IQTLEWM^MRK XLEX XLI

VIGSZIV] SJ XLI GSEWXPMRI MW E TIVQERIRX JSVIMKR

TSPMG] KSEP JSV &SPMZME [LMGL GER RIZIV FI KMZIR
YT▯ 'LMPI MW XLI SRP] GSYRXV] MR XLI ;IWXIVR

LIQMWTLIVI [MXL [LMGL &SPMZME HSIW RSX LEZI
HMTPSQEXMG VIPEXMSRW▯ TVSSJ XLEX XLIVI MW ER MWWYI

SYXWXERHMRK FIX[IIR FSXL GSYRXVMIW▯ 8LI &SPMZMER

TISTPI WYJJIV HEMP] XLI GSWX SJ GSRJMRIQIRX▯ -R XLI

885Annex 61

6 6IGIRX IZIRXW

:MI[ SJ 'SFMNE▯ &SPMZME▯ %RHVÍ &VIWWSR▯ ▯▯▯▯▯

886 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

-R XLI JVEQI SJ XLI 9RMXIH 2EXMSRW +IRIVEP +SZIVRQIRX ERH TISTPI SJ 'LMPI XS EGX PSSOMRK EX

%WWIQFP]▯ SR 7ITXIQFIV ▯▯▯ ▯▯▯▯▯ 'EVPSW 1IWE▯ XLI JYXYVI▯ F] VITEMVMRK E LMWXSVMGEP HEQEKI XLEX
:MGITVIWMHIRX SJ XLI 6ITYFPMG SJ &SPMZME EX XLI LEW OITX YW ERGLSVIH MR XLI WIZIRXIIRXL GIRXYV]▯

XMQI▯ QEHI VIJIVIRGI XS XLI &SPMZMER WIE GSEWX
HIQERH ERH EWOIH 'LMPI XS EGX MR XLI PMKLX SJ XLI 8[S HE]W EJXIV▯ FIJSVI XLI 3%7 4IVQERIRX 'SYRGMP▯

▯▯WX 'IRXYV] GMVGYQWXERGIW▯%X XLI ▯▯XL 4PIREV] XLI &SPMZMER :MGITVIWMHIRX TSMRXIH SYX XLI RIIH XS

7IWWMSR SJ XLI 92+%▯ LI WEMH▯ w8SHE]▯ QSVI XLER WSPZI▯ EW E JMVWX TVMSVMX] MWWYI▯ XLI WIPPMRK SJ REXYVEP
IZIV FIJSVI▯ - [ERX XS VIEJJMVQ EX XLMW JSVYQ XLEX KEW XS XLI 9RMXIH 7XEXIW ERH 1I\MGS▯ 'EVPSW 1IWE

&SPMZME [MPP RIZIV VIPMRUYMWL MXW NYWX GPEMQ JSV E I\TPEMRIH EX XLI 3%7 XLI HIIT GVMWMW MR &SPMZME
WSZIVIMKR EGGIWW XS XLI 4EGMJMG 3GIER▯ FIGEYWI MX ERH XLI EGXW SJ ZMSPIRGI EPP SZIV XLI GSYRXV] [LMGL

[EW FSVR EW ER MRHITIRHIRX 6ITYFPMG [MXL E WIE YRHIVQMRIH MXW HIQSGVEXMG WXEFMPMX]▯

GSEWX▯ 8LMW HIQERH▯ [LMGL MW EPVIEH] QSVI XLER
SRI LYRHVIH ]IEVW SPH▯ MW RSX XLI VIWYPX SJ SFWXMREG] 1IWE▯WEMH▯x▯-▯FIPMIZI▯[I▯EVI▯KSMRK▯XLVSYKL▯E

SV GETVMGI FYX SJ XLI WLSVXEKI SJ SYV IGSRSQMG TSPEVM^EXMSR SJ XLI GSYRXV]▯ E VEHMGEPM^EXMSR SJ
VIWSYVGIW ERH LYKI KISKVETLMG LERHMGETW XLEX TSWMXMSRW▯ XLYW▯ [I RIIH HMEPSKYI▯ XS GSQI RIEVIV▯

HMQMRMWL SYV QEVOIX GSQTIXMXMZIRIWW▯ ERH XLI [MPP XS KMZI YT TSWMXMSRW▯ *SV 'EVPSW 1IWE▯

8LI JEGX SJ LEZMRK FIIR PERH▯PSGOIH LSPHW FEGO VEHMGEPMWQ WLSYPH RSX FI JSVQYPEXIH [LIR XLI
RSX SRP] SYV IGSRSQMG KVS[XL FYX EPWS XLI [IPJEVI JYXYVI SJ XLI GSYRXV] [EW FIMRK HIGMHIH▯

SJ SYV GMXM^IRW EW XLI EREP]WMW SJ XLI GLEPPIRKIW
JEGIH F] EPP PERH▯PSGOIH GSYRXVMIW LEW WLS[R▯ 'SRGIVRMRK XLI WIE GSEWX TVSFPIQ▯ 'EVPSW 1IWE

WEMH XLEX XLI ;EV SJ ▯▯▯▯ FIX[IIR 'LMPI▯ &SPMZME

8LI VIWXSVEXMSR SJ XLI WXEXYW SJ E GSEWXEP WXEXI MW ER ERH 4IVY LEW GLERKIH &SPMZME MRXS E PERH▯PSGOIH
EGX SJ NYWXMGI ERH MX LEW FIIR JSV YW YREZSMHEFPI▯ -R 7XEXI▯ 8LI GSYRXV]▯ [LMGL LEH E GSEWXEP EVIE SJ

XLMW YRHIVWXERHMRK▯ [I [MPP GSRXMRYI WIEVGLMRK JSV QSVI XLER ▯▯▯▯▯▯▯ WUYEVI OMPSQIXIVW ▯EVSYRH
▯▯▯▯▯▯ WUYEVI QMPIW
PSWX XLEX XIVVMXSV] EW E
WSPMHEVMX] ERH WYTTSVX JVSQ XLI MRXIVREXMSREP
GSQQYRMX]▯ GSRWIUYIRGI SJ XLI 4EGMJMG ;EV▯

3YV ZSGEXMSR ERH HIXIVQMREXMSR XS[EVHW 8LEX XIVVMXSV] [EW YRNYWXP] WIM^IH JVSQ &SPMZME

MRXIKVEXMSR ERH IGSRSQMG GSQTPIQIRXEXMSR [MXL ERH MX MW E LMWXSVMGEP SFPMKEXMSR JSV EPP &SPMZMERW XS

RIMKLFSVMRK GSYRXVMIW PIEH YW XS GEPP YTSR XLI VIGYTIVEXI E JVII ERH WSZIVIMKR EGGIWW XS XLI WIE▯

887Annex 61

8LI&PYI&SSO

&SPMZMERW LEZI EP[E]W FIIR EFWSPYXIP] GEXIKSVMGEPSO EX MXW JYXYVI VIPEXMSRWLMT [MXL &SPMZME▯
EFSYX XLMW GPEMQ▯ %GGSVHMRK XS XLI &SPMZMER +SZIVRQIRX▯ XLI

&SPMZMER GPEMQ HSIW RSX MQTP] ER I\GIWWMZI
0EXIV SR▯ XLI :MGITVIWMHIRX VIGEPPIH XLEX &SPMZWEGVMJMGI JVSQ 'LMPI▯ E TVMZMPIKIH GSYRXV] JSV MXW

ERH 'LMPI LEZI E XVEYQEXMG ERH YRVIWSPZIH PSRK GSEWX▯ ERH [LMGL LEW F] REXYVI▯ E VIPEXMSR SJ
VIPEXMSRWLMT MR [LMGL &SPMZME HIQERHW 'LMPI XS GSQTPIQIRXEVMX] [MXL XLI [IWXIVR TEVX SJ &SPMZME

YTHEXI MXW EREGLVSRMWXMG TSWMXMSR EGGSVHMRK XS ERH XLI WSYXLIVR TEVX SJ 4IVY▯
VIUYMVIQIRXW SJ XLI ▯▯WX 'IRXYV]▯ *SV E GSYRXV]

XLEX LEW PSSOIH EX XLI JYXYVI [MXL WS QYGL 4 6)7-()28-%0 1 )77%+) 32 . %29%6=
MRXIPPMKIRGI▯ MX [SYPH FI EPWS ZIV] MQTSVXERX X▯▯ ▯▯▯▯

4VIWMHIRX 'EVPSW (▯ 1IWE▯+MWFIVX TPEGIH XLI QEVMXMQI HIQERH SJ &SPMZME MR XLI QSWX MQTSVXERX MRXIVREXMSREP WGIREVMSW▯

888 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

%JXIV XLI 3GXSFIV GVMWMW I\TPSMXIH▯ XLI HIQERH JSV 8LI +SZIVRQIRX ERH XLI TISTPI SJ &SPMZME EVI
E WIE GSEWX [EW FVSYKLX YT EKEMR MR XLI VIKMSREP KVEXIJYP XS XLI 4VIWMHIRX SJ :IRI^YIPE▯ ,YKS

ERH QYPXMPEXIVEP PIZIPW▯ 3R .ERYEV] ▯▯ ▯▯▯▯▯ 'LÅZI^▯ XS XLI 4VIWMHIRX SJ 'YFE▯ *MHIP GEWXVS▯ XS

4VIWMHIRX 'EVPSW 1IWE EHHVIWWIH &SPMZMERW ERH XLI 4VIWMHIRX SJ &VE^MP▯ 0YM^ -RÅGMS 0YPE (E 7MPZE▯
XLI MRXIVREXMSREP GSQQYRMX] YRHIVPMRMRK XLEX XLI XS XLI 4VIWMHIRX SJ 9VYKYE]▯ .SVKI &EXPPI▯ XS

&SPMZMER 7IEGSEWX 4VSFPIQ PE] EX XLI GSVI SJ XLI *SVQIV 4VIWMHIRX SJ XLI 9RMXIH 7XEXIW SJ%QIVMGE▯
ZMSPIRX IZIRXW MR 3GXSFIV▯ 3RI SJ XLI GVYGMEP .MQQ] 'EVXIV▯ XS XLI 7IGVIXEV] +IRIVEP SJ XLI

UYIWXMSRW EX XLEX QSQIRX [EW MJ XLI &SPMZMER KEW 9RMXIH 2EXMSRW▯ /SJM%RRER▯ JSV EPP SJ XLIQ▯ [LS
[EW KSMRK XS FI WSPH SV RSX XLVSYKL E 'LMPIER TSVX▯ SR FILEPJ SJ XLIMV GSYRXVMIW▯ SVKERM^EXMSRW SV

▯%KVIEX QENSVMX] SJ &SPMZMERW I\TVIWWIH XLIMV GSRZMGXMSRW LEZI WYTTSVXIH ERH WYTTSVX &SPMZME
STTSWMXMSR XS XLMW EPXIVREXMZI FIGEYWI XLIVI [EW E XSHE]▯ 8LSWI ZSMGIW SJ WYTTSVX ERH WSPMHEVMX] VEXMJ]

TIRHMRK TVSFPIQ [MXL 'LMPI▯ &IJSVI HIGMHMRK XS XLEX XLI GPEMQ SJ &SPMZME MW PIKMXMQEXI▯ NYWX ERH
FIRIJMX E WTIGMJMG VIKMSR SJ XLEX GSYRXV]▯ XLI EFWSPYXIP] RIGIWWEV] JSV MXW HIZIPSTQIRX ERH MX MW

+SZIVRQIRX EH TISTPI SJ &SPMZME [ERXIH XS PMROIH XS WXEFMPMX] MR XLI VIKMSR▯
VIGYTIVEXI XLIMV WSZIVIMKR EGGIWW XS XLI WIE▯

8LI +SZIVRQIRX SJ &SPMZME HIQERHW 'LMPI ER
8LI &SPMZMER GPEMQ MW RSX SRP] E FMPEXIVEP UYIWXMSR▯ EXXMXYHI GSLIVIRX [MXL MRRSZEXMZI GYVVIRXW SJ XLI

-R 3GXSFIV ▯▯▯▯▯
▯ MX FIGEQI E TSXIRXMEP IPIQIRX ▯▯WX▯'IRXYV]▯▯ETTIEPW▯XS▯'LMPIvW▯YRHIVWXERHMRK▯▯JSV
SJ HIWXEFMPM^EXMSR MR XLI VIKMSR FIGEYWI MX TYX EX FSXL GSYRXVMIW [MPP RSX FI EFPI XS LEZI E JPS[MRK

VMWO XLI &SPMZMER HIQSGVEG] ERH KIRIVEXIH E VIPEXMSRWLMT▯ YRPIWW XLI UYIWXMSR SJ WSZIVIMKRX] MW

GVMXMGEP WMXYEXMSR QEVOIH F] YRGIVXEMRX]▯ 8LI WSPZIH▯ 8LI TISTPI SJ &SPMZME [SYPH PMOI XS XLMRO
RIMKLFSVMRK GSYRXVMIW ERH SXLIV 7XEXIW MR XLI HIITP] XSKIXLIV [MXL XLI 4VIWMHIRX SJ 'LMPI ERH XLI

VIKMSR [IVI GSRGIVRIH FIGEYWI XLI &SPMZMER GVMWMW 'LMPIER TISTPI SR XLI JYXYVI SJ XLIMV QYXYEP
GSYPH I\XIRH MXWIPJ SZIV SXLIV REXMSRW▯ *SV XLEX VIPEXMSRW▯ &SXL REXMSRW GER FYMPH E GSQQSR

VIEWSR▯ EX TVIWIRX▯ XLI 1EVMXMQI 4VSFPIQ SJ HIWXMR]▯ SRGI &SPMZME LEW VIXYVRIH XS XLI GSEWXW SJ
&SPMZME MW E QEXXIV SJ MRXIVIWX JSV XLI MRXIVREXMSREP XLI 4EGMJMG 3GIER▯

GSQQYRMX]▯ ERH XLYW▯ WXEFMPMX] MR XLI VIKMSR KSIW
RIGIWWEVMP] XLVSYKL XLI WSPYXMSR SJ XLI &SPMZMER -J XLI WSPYXMSR XS XLI 1EVMXMQI 4VSFPIQ SJ &SPMZME

7IEGSEWX 4VSFPIQ▯ LEW XS KS XLVSYKL XLI HIGMWMSR SJ 4IVY▯ XLI
&SPMZMER +SZIVRQIRX ETTIEPW XS XLI GSRWXVYGXMZI

889Annex 61

8LI&PYI&SSO

WTMVMX SJ XLI 4IVYZMER TISTPI▯ &SPMZME ERH 4IVY EVI %JXIV[EVHW▯ XLI 4VIWMHIRX SJ &SPMZME TSMRXIH SYX

GPSWIP] YRMXIH F] XLIMV GYPXYVI▯ LMWXSV]▯ E GSQQSR XLEX XLI VI▯IWXEFPMWLQIRX SJ HMTPSQEXMG VIPEXMSRW
TEWX▯ TVIWIRX ERH JYXYVI▯ ;I LSTI 4IVY GER KMZI E FIX[IIR &SPMZME ERH 'LMPI [MPP FIGSQI E VIEPMX] MR

TSWMXMZI ERW[IV▯ MJ MX [IVI RIGIWWEV]▯ GSRGIVRMRK E XLI ZIV] QSQIRX XLEX XLI 1EVMXMQI 4VSFPIQ LEW

JYRHEQIRXEP MWWYI JSV &SPMZME▯ FIIR WSPZIH HIJMRMXMZIP]▯ 8LI TVSSJ XLEX WYGL E
TVSFPIQ I\MWXIH [EW XLEX MX [EW FIMRK HMWGYWWIH▯

8 ,) )<86%36(-2%6= 7 911-8 3* 8,)
% 1)6-'%7 %X LMW EVVMZEP MR 0E 4E^▯ 4VIWMHIRX 1IWE WEMH XLEX

(YVMRK XLI I\XVESVHMREV] 7YQQMX SJ XLI%QIVMGEW▯ MR▯XLI▯&SPMZMER▯+SZIVRQIRXvW▯YRHIVWXERHMRK▯XLI
GSRZIRIH EX 1SRXIVVI]▯ 1I\MGS MR .ERYEV] ▯▯▯▯▯ VI▯IWXEFPMWLQIRX SJ HMTPSQEXMG VIPEXMSRW [SYPH FI

4VIWMHIRX 'EVPSW 1IWE HIGPEVIH XLEX▯ w[I PSSO EX E VIEPMX] [LIR XLI 1EVMXMQI 4VSFPIQ SJ &SPMZME

XLI JYXYVI [MXL JEMXL▯ ERH GSRZSOI 4VIWMHIRX 0EKSW [EW HIJMRMXIP] WSPZIH▯ ERH MX [MPP RSX FI XLI
ERH XLI 'LMPIER +SZIVRQIRX XS WIEVGL XSKIXLIV WXEVXMRK TSMRX FYX XLI IRH SJ XLI RIKSXMEXMSR

[MXL YW E HIJMRMXI WSPYXMSR XS SYV WIE▯GSEWX GPEMQ▯ TVSGIWW▯ 8LIR▯ 1IWE LEW SFWIVZIH LMW 'LMPIER
8LI &SPMZMER ,IEH SJ 7XEXI HIGPEVIH XLEX GSPPIEKYIvW▯PEGO▯SJ▯GSLIVIRGI▯▯JSV▯LI▯LEW▯EJJMVQIH

MRXIVREXMSREP KSSH VIPEXMSRW VIWTSRH XS XLI RIIH SJ XLEX XLI 1EVMXMQI 4VSFPIQ SJ &SPMZME [EW E
WSPZMRK TVSFPIQW [LMGL WLSYPH FI WSPZIH JSV E FMPEXIVEP SRI▯ FYX EX XLI WEQI XMQI▯ LI EZSMHIH E

VIEWSR SJ NYWXMGI▯ TVIWMHIRXMEP IRGSYRXIV▯

,IEHW SJ 7XEXI ERH +SZIVRQIRX TEVXMGMTEXIH EX XLI )\XVESVHMREV] 7YQQMX SJ XLI %QIVMGEW MR 1SRXIVVI]▯ 1I\MGS▯

890 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

&SPMZMER 7IEGSEWX 'PEMQ SVMIRXIH XS SFXEMR E JVII▯

WSZIVIMKR ER YWIJYP SYXPIX XS XLI 4EGMJMG 3GIER▯
8LMVHP]▯ MX WXEXIW XLEX XLI &SPMZMER TISTPI▯

VITVIWIRXIH F] MXW QEMR WSGMEP▯ TSPMXMGEP ERH
IGSRSQMG SVKERM^EXMSRW QEMRXEMRW XLI QSWX WSPMH

YRMX] SR E LMWXSVMGEP GPEMQ▯ ERH JMREPP] MX I\TVIWWIW

MXW ETTVIGMEXMSR XS KSZIVRQIRXW ERH TISTPIW SJ XLI
VIKMSR ERH XLI MRXIVREXMSREP GSQQYRMX] JSV XLIMV

WYTTSVX XS &SPMZME▯

%X XLI QIERXMQI▯ XLI 'SRKVIWW 6IWSPYXMSR▯

ETTVSZIH TSMRXW SYX MR XLI JMVWX TPEGI▯ XLEX SR
*SVQIV 1MRMWXIVW SJ *SVIMKR %JJEMVW SJ &SPMZME VITVI*IFVYEV] ▯▯▯ MX MW XLI ▯▯▯XL ERRMZIVWEV] SJ XLI
EX XLI 7XVEXIKMG %HZMWSV] &SEVH▯
*MVWX VS[▯ .YPMS +EVVIX %▯▯ .YER -KREGMS 7MPIW 1MRM'LMPIER SGGYTEXMSR ERH 3GXSFIV ▯▯ MW XLI
*SVIMKR %JJEMVW▯ 4VIWMHIRX 'EVPSW (▯ 1IWE +MWFIVX▯'IRXIRRMEP 'SQQIQSVEXMSR SJ XLI 8VIEX] SJ ▯▯▯▯
+EPMRHS▯ 'EVPSW -XYVVEPHI▯ )HKEV 'EQEGLS 3▯
7IGSRH VS[▯ %KYWXÑR 7EEZIHVE ;▯▯ 'EVPSW 7EEZIHVE▯ +IGSRGPYHIH FIX[IIR &SPMZME ERH 'LMPI▯ -X EPWS
'IWEV 6YM^▯ %RXSRMS %VERMFEV▯
8LMVH VS[▯ .EZMIV 1YVMPPS▯ 1EVMS :IPEVHI▯ +YWXEZSXIW YRERMQSYWP] XLEX XLI 6ITYFPMG SJ &SPMZME
*IVRÅRHI^ LEW RSX VIRSYRGIH ERH [MPP RIZIV VIRSYRGI XS MXW

PIKMXMQEXI VMKLX SJ VIXYVR XS XLI WIE▯
7 944368 *631 8,) & 30-:-%2
' 32+6)77
8LMVHP]▯ MX VIGEPPW XLEX 'LMPI MW XLI SRP] GSYRXV] MR
8LI &SPMZMER 'SRKVIWW▯ MR E 7TIGMEP 7IWWMSR▯ SR
XLI LIQMWTLIVI [MXL [LMGL &SPMZME HSIW RSX LEZI
.ERYEV] ▯▯▯ ▯▯▯▯▯ ETTVSZIH (IGPEVEXMSR ▯▯▯▯▯▯ HMTPSQEXMG VIPEXMSRW▯ ▯E JEGX
XLEX WLS[W XLI
ERH 6IWSPYXMSR ▯▯▯▯▯▯▯▯▯▯ -R XLI (IGPEVEXMSR XLI
I\MWXIRGI SJ E TVSFPIQ▯
2EXMSREP 'SRKVIWW SJ &SPMZME I\TVIWWIH MXW JMVQ
GSRZMGXMSR XLEX XLI WIE GSEWX GPEMQ MW ER
8LI 6IWSPYXMSR EPWS QIRXMSRW XLEX &SPMZME LEW
MREPMIREFPI VMKLX SJ XLI &SPMZMER TISTPI▯ 7IGSRHP]▯
MQTSVXERX REXYVEP KEW VIWSYVGIW [LMGL GER RSX FI
MX WXEXIW MXW WXVSRKIWX ERH QSWX HIXIVQMRIH WYTTSVX HMVIGXP] I\TSVXIH JSV &SPMZME HSIW RSX LEZI E
XS XLI EGXMSRW XEOIR F] XLI 4VIWMHIRX SJ XLI
WIETSVX SJ MXW S[R▯
6ITYFPMG MR XLI MRXIVREXMSREP EVIRE VIKEVHMRK XLI

891Annex 61

8LI&PYI&SSO

%X XLI IRH▯ XLI HSGYQIRX TSMRXW SYX XLEX XLI EPP VIPIZERX EGXMSRW SVMIRXIH XS SFXEMR E WSPYXMSR JSV

&SPMZMER 7IEGSEWX 'PEMQ MW E QEXXIV XLEX RIIHW XSXLI &SPMZMER 7IEGSEWX 4VSFPIQ▯ ERH MRWXVYGXIH
FI ETTVSEGLIH FMPEXIVEP ERH XVMPEXIVEPP] [LIRIZIVQIQFIVW SJ 'SRKVIWW XS HMWWIQMREXI EX EPP

HIJMRMXI WSPYXMSR XS XLI TVSFPIQ MW FIMRK WIEVGLIVIKMSREP▯ GSRXMRIRXEP ERH [SVPH MRXIV▯
ERH QYPXMPEXIVEP▯ FIGEYWI MX LEW FIGSQI ER MWWYI TEVPMEQIRXEV] JSVE XLI NYWX &SPMZMER 7IEGSEWX

LIQMWTLIVMG ERH MRXIVREXMSREP MRXIVIWX ▯GSRGIVR
▯'PEMQ▯ EWOMRK JSV XLIMV WYTTSVX ERH WSPMHEVMX] MR
XLI WSPYXMSR JSV MXW KISKVETLMGEP WIGPYWMSR▯

&EWIH SR XLEX VEXMSREPI▯ XLI &SPMMZER 'SRKVIWW
HIGMHIH XS GSRJSVQ E 7TIGMEP 'SQQMXXII LIEHIH 2IZIV FIJSVI▯ XLI 2EXMSREP 'SRKVIWW LEW WLS[R
F] FSXL 'SQQMWWMSRW SJ -RXIVREXMSREP 6IPEXMSRW WYGL E YRMX] ERH YRERMQMX] GSRGIVRMRK XLI

▯7IREXI ERH (ITYXMIW 'LEQFIV
MR SVHIV XS &SPMZMER 7IEGSEWX 'PEMQ▯
GSSVHMREXI TIVQERIRXP] [MXL XLI )\IGYXMZI &VERGL

---

6 6IGIRX HIGPEVEXMSRW SJ WYTTSVX XS XLI

&SPMZMER QEVMXMQI GPEMQ

&SPMZMER GSVZIXXI MR XLI FSVHIV SJ 'LMPI▯&SPMZME▯ %RHVÍ &VIWWSR▯ ▯▯▯▯▯

892 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

u- LEZI FIIR QEHI E[EVI XLEX EGGIWW XS XLI WIE MW E ZIV] MQTSVXERX QEXXIV XS XL I &SPMZMERW ERH - YRHIV▯

WXERH▯XLIVI▯EVI▯GSRZIVWEXMSRW▯YRHIV▯[E]▯▯-▯EQ▯[IPP▯HMWTSWIH▯XS▯ SJJIV▯Q]▯WIVZMGIW▯XS▯LIPT▯VIEGL▯E▯WSPYXMSRv▯
/SJM %RRER▯ 9RMXIH 2EXMSRW 7IGVIXEV] +IRIVEP▯ 2SZIQFIV ▯▯▯▯▯

u&SPMZME▯SRGI▯LEH▯E▯WIEi▯ERH▯-▯HVIEQ▯SJ▯GSQMRK▯SRI▯HE]▯XS▯FEXL▯S IR▯E▯&SPMZMER▯FIEGLv▯
,YKS 'LEZI^▯ 4VIWMHIRX SJ :IRI^YIPE

2SZIQFIV ▯▯▯▯▯

u8LI WSPYXMSR XS XLI 4EREQE 'EREP MWWYI WLSYPH FSHI [IPP JSV XLI TIEGIJYP WS PYXMSR SJ SXLIV HMWTYXIW

MR SYV LIQMWTLIVI▯ ;MXL XLI WEQI WTMVMX SJ JVMIRHWLMT ERH EGGSQQSHEXMSR▯ [ I WLSYPH XEGOPI SXLIV TVSFPIQW

WYGL▯EW▯&SPMZMEvW▯EGGIWW▯XS▯XLI▯WIEi▯XLI▯HMJJMGYPX▯HIGMWMSRW▯GE R▯SRP]▯FI▯QEHI▯F]▯&SPMZME▯▯4IVY▯ERH▯'LMPI▯
,S[IZIV▯ [I EVI [MPPMRK▯ EPSRK [MXL XLI 3VKERM^EXMSR SJ %QIVMGER 7XEXIW▯ X LI 9RMXIH 2EXMSRW▯ ERH SXLIV

GSYRXVMIW▯ XS JMRH E WSPYXMSR XS XLI PERH▯PSGOIH WXEXYW SJ &SPMZME▯ SRI [LM GL MW EGGITXEFPI XS FSXL TEVXMIW ERH
[LMGL▯GSRXVMFYXIW▯XS▯TIVQERIRX▯TIEGI▯ERH▯XLI▯HIZIPSTQIRX▯SJ▯XLI ▯VIKMSR▯v

.MQQ] 'EVXIV▯ *SVQIV 4VIWMHIRX SJ XLI 9RMXIH 7XEXIW ERH ;MRRIV SJ XLI 2SFIP 4IEGI 4VM^I▯

.YRI ▯▯▯▯

wi▯3RI▯JIIPW▯XLEX▯'LEZI^▯MW▯MR▯XVIQIRHSYW▯JSVQ▯▯;LIR▯LI▯WE]W▯uKMZI▯XLI▯WIE▯FEGO▯XS▯XLI▯&SPMZMERWv▯

LI GSQIW EGVSWW EW QYGL QSVI GSRZMRGMRK XLER SXLIVW [LIR XLI] WE] XLI WEQI▯ 8 LIVI GERRSX FI E QSVI NYWX
HIQERH▯▯=SY▯LIEV▯LMQ▯ERH▯LI▯LEW▯WYGL▯XVIQIRHSYW▯JSVGI▯x

*MHIP 'EWXVS▯ 4VIWMHIRX SJ 'YFE

(IGIQFIV ▯▯▯▯▯

w-XvW▯E▯FMPEXIVEP▯UYIWXMSR▯FIX[IIR▯&SPMZME▯ERH▯'LMPIi▯ERH▯MR▯XL I▯IZIRX▯SJ▯ER▯EKVIIQIRX▯FIX[IIR▯FSXL

GSYRXVMIW▯[LMGL▯MQTPMIW▯E▯XIVVMXSVMEP▯WSPYXMSR▯MR▯%VMGEi▯4IVY▯[ MPP▯LEZI▯E▯TSWMXMZI▯ERH▯JVMIRHP]▯EXXMXYHIx▯
%PINERHVS 8SPIHS▯ 4VIWMHIRX SJ 4IVY

.ERYEV] ▯▯▯▯▯

893Annex 61

8LI&PYI&SSO

wi;I▯YRHIVWXERH▯XLEX▯XLMW▯TVSFPIQ▯MW▯ZIV]▯WIRWMXMZI▯ERH▯XLEX▯XL IVI▯EVI▯HMJJIVIRX▯ZMWMSRW▯▯FYX▯XLEX▯MX
QYWX FI VIWSPZIH F] XLI X[S GSYRXVMIW XLVSYKL HMEPSKYI▯ %RH MJ XLIVI MW E [E] [I GER LIPT▯ ZIV] [IPP▯ FYX

[I▯[SRvX▯SJJIV▯WSPYXMSRW▯SJ▯SYV▯S[R▯HIWMKR▯▯)ZMHIRXP]▯XLMW▯MW▯E ▯FMPEXIVEP▯TVSFPIQ▯▯FYX▯[MXL▯VIKMSREP▯VITIV▯

GYWWMSRW▯MR▯7SYXL▯%QIVMGE▯ERH▯XLIVIJSVI▯MXvW▯E▯TVSFPIQ▯[LMGL▯MW ▯SJ▯MRXIVIWX▯XS▯EPP▯SJ▯YW▯▯FYX▯[I▯HSRvX▯[ERX▯XS
TVINYHKI▯[LEX▯XLI▯WSPYXMSR▯[MPP▯FIi▯'LMPI▯ERH▯&SPMZME▯QYWX▯IRXI V▯MRXS▯HMWGYWWMSRW▯▯ERH▯MJ▯[I▯GER▯LIPT▯EX

WSQI▯WXEKI▯▯[I▯[MPP▯HS▯WSx▯
'IPWS %QSVMQ▯ &VE^MPMER *SVIMKR 1MRMWXIV

(IGIQFIV ▯▯▯▯

w&YIRSW▯%MVIW▯TVSTSWIH▯E▯TPER▯JSV▯&SPMZMEvW▯EGGIWW▯XS▯XLI▯WIE▯F IJSVI▯EPP▯XLI▯VIGIRX▯IZIRXW▯[LMGL▯LEZI

GEYWIH WYGL XVSYFPI▯ ;I GEPPIH MX XLI 'SVVMHSV JSV 4IEGI▯ E WXVMT SR XLI FSVH IV FIX[IIR 4IVY ERH 'LMPI▯ XS FI

EHQMRMWXIVIH F] 1IVGSWYV▯ [MXL &SPMZME▯ 'LMPI ERH 4IVY▯ EW E ▯▯ ]IEV GSRGIW WMSR XS EZSMH XLI GSRWXMXYXMSREP
TVSFPIQ SJ LEZMRK XS GIHI XIVVMXSV]▯ 8LI TPER MRGPYHIH XLI GSRWXVYGXMSR SJ E VSEH▯ E KEW TMTIPMRI▯ ERH E VEMP▯

[E]▯▯;I▯JIPX▯XLMW▯XS▯FI▯E▯WSYRH▯WSPYXMSR▯XS▯XLI▯TVSFPIQW▯TSWIH▯ F]▯WXVMGXP]▯FMPEXIVEP▯WSPYXMSRWx▯

6EJEIP &MIPWE▯ %VKIRXMRIER *SVIMKR 1MRMWXIV
.ERYEV] ▯▯▯▯▯

w-R 1SRXIVVI]▯ 'LMPI ERH &SPMZME LEZI SRGI EKEMR GPEWLIH▯ [MXLSYX WYGGIWW▯ SZIV XLI UYIWXMSR SJ

&SPMZMEvW▯EGGIWW▯XS▯XLI▯WIE▯▯6IPEXMSRW▯FIX[IIR▯FSXL▯GSYRXVMIW▯[IVI▯FVSOIR▯MR▯▯▯▯▯▯▯[LIR▯RIKSXMEXMSRW▯SZIV

XLMW QEXXIV JEMPIH▯ EPXLSYKL FSXL GSYRXVMIW HS QEMRXEMR GSRWYPEV VIPEXMSRW▯ 8LI GSRXVSZIVW] MW SZIV ▯▯▯ ]IEVW
SPH▯▯KSMRK▯FEGO▯XS▯XLI▯;EV▯SJ▯XLI▯4EGMJMG▯SJ▯▯▯▯▯▯▯'LMPI▯XLIR▯WIM^IH▯XLI▯WXVMT▯SJ▯PERH▯RS[▯GPEMQIH▯F]▯&SPMZMEx▯

%VXMGPI SJ XLI 3WWIVZEXSVI 6SQERS

.ERYEV] ▯▯▯▯▯

wi8LI▯QEVMXMQI▯GPEMQ▯MW▯SRI▯SJ▯XLI▯JI[▯XLIQIW▯MR▯&SPMZMER▯LVM]W▯X[ SLMGL▯LEW▯LIPTIH▯GSRWSPMHEXI▯XLI

YRMX] SJ XLI REXMSR▯ -X MW ER EWTMVEXMSR [LMGL XVERWGIRHW EPP XLI IXLRMG▯ VI KMSREP ERH MHISPSKMGEP HMZMWMSRW XLEX
GYWXSQEVMP]▯TPEKYI▯&SPMZMERWi▯-▯[MPP▯EPWS▯▯EPSRK▯[MXL▯'SQQERHER X▯'LEZI^▯▯FEXLI▯MR▯XLI▯GSPH▯[EXIVW▯SJ▯XLI

&SPMZMER▯WIE▯▯JSV▯[LMGL▯-▯WERK▯WS▯QER]▯L]QRW▯MR▯Q]▯GLMPHLSSH▯MR ▯'SGLEFEQFEx▯

1EVMS :EVKEW 0PSWE
.ERYEV] ▯▯▯▯▯

894 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

w8S XLI I\XIRX XLEX SRP] JVSQ XLI GSEWX GER WSZIVIMKRX] SZIV XLI WIE FI EWWYV IH▯ GSRJMRIQIRX MW E QMW▯

JSVXYRI▯JSV▯XLI▯WXEXI▯▯&SPMZMEvW▯VMKLXW▯XS▯LMKL▯WIE▯XVEJJMG▯EVI ▯GSRHMXMSRIH▯F]▯XLI▯KSSH▯[MPP▯SJ▯MXW▯QEVMXMQI
RIMKLFSVW▯ 8LIVI MW SRP] SRI XLMRK [SVWI XLER RSX LEZMRK E GSEWXPMRI▯ LEZMR K SRGI TSWWIWWIH MX ERH PSWX MX▯

EW LETTIRIH XS &SPMZME EW E VIWYPX SJ MXW HIJIEX MR XLI ;EV SJ XLI 4EGMJMG ▯▯▯▯ ▯
▯ E JVYWXVEXMSR XLEX GER SRP] FI
GSQTEVIH▯[MXL▯XLEX▯SJ▯PSWMRK▯XLI▯PMKLX▯EJXIV▯ORS[MRK▯+VEREHEx▯

%RXSRMS 6IQMVS &VSXSRW▯ 4VSJIWWSV SJ -RXIVREXMSREP 0E[▯ %YXSRSQSYW 9RMZIVWMX] SJ 1EHVMH▯ ▯▯▯▯▯

895Annex 61

8LI▯:MGIVS]EPX]▯SJ▯4IVY▯▯-XEPMER 1ET SJ ▯▯▯▯▯GEW▯▯XSHE]▯&SPMZME ▯▯[MXL▯FSVHIVW▯SZIV▯XLI▯4EGMJMG▯3GIER▯z

' 'LMPIER RSXEFPIW MR VIPEXMSR XS XLI

&SPMZMER QEVMXMQI GPEMQ

1INMPPSRIW▯ &SPMZME▯ MR XLI FEGOKVSYRH XLI 'SRWYPEXI SJ 'LMPI [MXL XLI 'LM PIER JPEK▯ %RHVÍ &VIWWSR▯ ▯▯▯▯▯

896 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

w0IX YW RSX JSVKIX XLEX [I GERRSX PIX &SPMZME GLSOI▯ (ITVMZIH SJ %RXSJEKEWX EERHS JXIIMX

GSEWXPMRI MX SRGI TSWWIWWIH YT XS 0SE▯ &SPMZME QYWX FI TVSZMHIH [MXL MXW S[R TSVX MR E WIGXMSR SJ XLI

GSEWX▯ E GSVVMHSV XLEX EPPS[W XLI GSYRXV] XS GVSWW MRXS XLI MRXIVMSV [MXLSY X [SVV]▯ [MXLSYX LEZMRK XS EWO JSV
TIVQMWWMSRx▯

(SQMRKS 7ERXE 1EVME▯ MR E PIXXIV EHHVIWWIH XS XLI ;EV 1MRMWXIV▯ 6EJEIP 7SXSQE]SV▯ ▯▯▯▯▯

w3RGI &SPMZME GIEWIW XS FI E PERH▯PSGOIH REXMSR▯ XLI GEYWI SJ MXW [SVVMIW ER H VEZMRKW [MPP IRH▯%PP XLI

EPEVQ▯ERH▯JIVQIRX▯XLEX▯LEW▯GSQI▯MR▯XLI▯[EOI▯SJ▯&SPMZMEvW▯YRG MIEWIEVGL▯JSV▯REXMSREP▯MHIRXMX]▯XLVSYKL▯XLI
WIE [MPP WMQTP] ZERMWL▯ SRGI MR TSWWIWWMSR SJ E QEVMXMQI XIVVMXSV]▯ ERH SRG I WEXMWJMIH MXW EWTMVEXMSRW▯ &SPMZME

[MPP▯FI▯EFPI▯XS▯EGLMIZI▯TIEGI▯[MXL▯'LMPI▯ERH▯XLIVI▯[MPP▯FI▯XVER UYMPMX]▯MR▯XLMW▯TEVX▯SJ▯XLI▯GSRXMRIRX▯x▯

0YMW &EVVSW &SVKSÕS▯ *SVQIV 1MRMWXIV SJ *SVIMKR %JJEMVW ERH *SVQIV :MGI 4VIWMHIRX SJ XLI 6ITYFPMG▯ ▯▯▯▯▯

w-X MW GPIEV XLEX 'LMPI▯ [MXL MXW XLSYWERHW SJ QMPIW SJ GSEWXPERH▯ GERRSX JI IP XLI WEQI QEVMXMQI RIIH EW
&SPMZME▯▯MXvW▯E▯GEWI▯SJ▯LEZMRK▯QSVI▯XLER▯IRSYKL▯▯-R▯GSRXVEWX▯▯M X▯MW▯NYWX▯ERH▯LYQERI▯XLEX▯&SPMZME▯▯[LMGL▯HSIW

RSX LEZI IZIR ER MRGL SJ GSEWX▯ MW LMKLP] HIWMVSYW SJ EGUYMVMRK [LEXIZIV I\X IRWMSR TSWWMFPI▯ LS[IZIV WQEPP

MX QE] FI▯ +IRIVEPP]▯ [LEX SRI LEW MR EFYRHERGI MW SJ PMXXPI GSRGIVR SV ZEPYI ▯ ,S[ HMJJIVIRX [LIR SRI
HIWMVIW▯[LEX▯SRI▯RS▯PSRKIV▯TSWWIWWIW▯x

%UYMPIW :IVKEVE :MGYÕE▯ %VQ] %VXMPPIV] 'SPSRIP▯ 1IQFIV SJ 4EVPMEQIRX ERH 1MRMWXIV SJ 7XEXI▯ ▯▯▯▯▯

w-X MW GYVMSYW LS[ EPEVQIH QIR KIX EFSYX XVMJPIW▯ &SPMZME EWOW JSV E TSVX▯ 'S YPH ER]XLMRK FI QSVI PSK▯

MGEP# %R] XIVVMXSVMEPP] PEVKI GSYRXV] [SYPH HS XLI WEQI MR WYGL E WMXYEXMSR ▯ ;I 'LMPIERW▯ MJ [I [IVI MR XLI
&SPMZMERWv TSWMXMSR▯▯[SYPH▯[I▯RSX▯EPWS▯WIIO▯EGGIWW▯XS▯XLI▯WIE#▯- ▯FIPMIZI▯ERH▯-▯EWWIVX▯▯EW▯E▯'LMPIER▯ERH▯EW▯E

LYQER FIMRK▯ XLEX [I QYWX IRXIV MRXS HMWGYWWMSRW [MXL &SPMZME EW WSSR EW TSW WMFPI▯ ERH XLEX FSXL GSYRXVMIW

QYWX▯ERH▯GER▯VIWSPZI▯XLMW▯KVIEX▯TVSFPIQ▯SJ▯XLI▯&SPMZMER▯REXMSRv W▯EGGIWW▯XS▯XLI▯WIE▯MR▯E▯KIRIVSYW▯ERH▯EQMGE▯
FPI [E]▯ -X MW RSX VMKLX XS WXMJPI E REXMSR ERH MX [SYPH FI MRLYQER XS HS WS▯ +IR IVSWMX] QYWX GSQI JVSQ FSXL

TEVXMIW WS XLEX MR XLMW [E] RS WEGVMJMGIW EVI QEHI XLEX PEXIV GEYWI FMXXIVRI WW ERH XLI WIIH SJ JYXYVI VIWIRX▯
QIRX▯x

:MGIRXI ,YMHSFVS▯ SRI SJ XLI KVIEX JMKYVIW SJ 'LMPIER XLSYKLX ERH P]VMGMWQ▯ ▯▯▯▯▯

897Annex 61

8LI&PYI&SSO

w7MRGI▯&SPMZEV▯▯XLIWI▯GSRHMXMSRW▯LEZI▯KSX▯[SVWI▯▯&SPMZMEvW▯XIVVMXSV]▯▯XSS▯I\XIRWMZI▯ERH▯HIJIRWIPIWW▯▯LEW
FIIR WPMGIH SJJ SR MXW JSYV FSVHIVW▯ ;MXLSYX EGGIWW XS XLI WIE▯ XLI GSYRXV] L EW FIGSQI PERH▯PSGOIH▯ MWSPEXMRK

MX▯WXMPP▯QSVI▯▯ERH▯▯IWTIGMEPP]▯▯GSRHMXMSRMRK▯XLI▯&SPMZMER▯GLEVE GXIV▯x

)RVMUYI >SVMPPE▯ TSPMXMGMER ERH [VMXIV▯ ▯▯▯▯▯

w%VMGE▯WLSYPH▯FI▯XLI▯PERH▯SJ▯RS▯SRI▯ERH▯IZIV]SRI▯▯E▯XSXEPP]▯JVI I▯TSVXi▯MR▯WYGL▯E▯GEWI▯▯&SPMZME▯[SYPH
FI EFPI XS WEXMWJ] MXW QEVMXMQI EWTMVEXMSRW▯ 4IVY [SYPH RS PSRKIV LEZI FSVH IV TVSFPIQW ERH 'LMPI [SYPH

LEZI▯E▯GSQQIVGMEP▯GIRXIVi▯%VMGE▯MW▯SRP]▯MQTSVXERX▯EW▯E▯FSVHIV▯F EWXMSR▯x

&IRNEQMR▯7YFIVGEWWIEY\▯▯EYXLSV▯SJ▯u'LMPI▯SV▯E▯1EH▯+ISKVETL]v▯▯▯▯▯▯▯▯

w4ISTPI WLEQIPIWWP] MKRSVI XLI JEGX XLEX [LIR XLI 6ITYFPMG SJ &SPMZME [EW F SVR SR %YKYWX ▯▯ ▯▯▯▯▯

MRWTMVIH F] &SPMZEV ERH HIGPEVIH F] 1EVWLEP %RXSRMS .SWÍ HI 7YGVI▯ XLI +VIE X 0MFIVEXSV WTSOI [MXL VIWS▯
RERGI▯SJ▯E▯TSVX▯JSV▯XLI▯VIGIRXP]▯FSVR▯GSQQYRMX]▯▯XLEX▯SJ▯1INMPP SRIW▯ERH▯XLEX▯SJ▯0SEi▯8LI▯GSRWXMXYXMSRW▯SJ

▯▯▯▯ ERH ▯▯▯▯ VIGSKRM^IH XLEX XLI PMQMXW SJ 'LMPI EVI 'ETI ,SVR MR XLI WSYXL E RH MR XLI RSVXL XLI%XEGEQE

(IWIVX▯▯8LI▯JYRHEQIRXEP▯PIXXIVW▯GMXIH▯GPEVMJ]▯XLI▯RSVXLIVR▯PMQM X▯EW▯uYT▯XSvXLI▯YRTSTYPEXIH▯%XEGEQE▯x▯
.YER 'EVPSW 1IHMRE▯ NSYVREPMWX▯ ▯▯▯▯▯

w8LI JSVQYPE [I JSYRH EJXIV GEVIJYP WXYHMIW [EW XS GSRWMHIV XLI LERHMRK SZI V XS &SPMZME SJ E WXVMT SJ

PERH ▯▯ OMPSQIXIVW [MHI XS XLI RSVXL SJ%VMGE▯ GSRXMKYSYW XS XLI 4IVYZMER FS VHIV▯ [LMGL [SYPH VYR JVSQ XLI

GSEWXPMRI XS XLI TVIWIRX FSVHIV▯ IREFPMRK &SPMZME XS GSQQYRMGEXI [MXL XLI4EGMJMG 3GIER XLVSYKL MXW S[R XIV▯
VMXSV]▯ERH▯FYMPH▯MXW▯S[R▯TSVXx▯▯

+EFVMIP +SR^EPI^ :MHIPE▯ *SVQIV 4VIWMHIRX SJ XLI 6ITYFPMG▯ ▯▯▯▯▯

w'LMPI▯ MR E KIWXYVI SJ STIRRIWW▯ QYWX SZIVGSQI TVSXSGSP ERH XLI WXIVISX]TMGEP HMTPSQEXMG TLVEWIW ERH

KMZI E FIEYXMJYP I\EQTPI XS%QIVMGE ERH XLI [SVPH▯ 'LMPI QYWX XEOI XLI MRMXM EXMZI ERH WXVIXGL SYX E JVEXIVREP

LERH XS XLI &SPMZMER TISTPI▯%LERH SJ IUYMX]▯%KIRIVSYW LERH SJ STIRRIWW▯%RH FILMRH XLEX LERH▯ XLI LIEVX
SJ XLI 'LMPIER TISTPI▯ IEKIV XS JMRH E NYWX WSPYXMSR JSV XLIMV &SPMZMER FVSX LIVW▯ IUYMXEFPI▯ HMKRMJMIH ERH LSR▯

SVEFPI▯XS▯XLIMV▯TVSFPIQ▯SJ▯FIMRK▯PERH▯PSGOIH▯x

.EMQI 'IPIH×R▯ [VMXIV ERH NSYVREPMWX▯ ▯▯▯▯▯

898 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

w8LI MWWYI SJ EGGIWW XS XLI WIE▯ LS[IZIV▯ MW YPXVE WIRWMXMZI▯ ER EWTMVEXMSR [LMGL GER RIZIV FI KMZIR YT

F] &SPMZME ERH HIZMPMWLP] GSQTPMGEXIH JSV YW▯ WMRGI MX LEW EPWS XS HS [MXL SY V VIPEXMSRW ERH IZIR SYV XVIEXMIW

[MXL 4IVY▯ =IX WLSYPH [I GSRXMRYI XS FI XVETTIH F] XLI GSRWIUYIRGIW SJ E ▯▯XL GIRXYV] [EV▯ ER EREGLVS▯
RMWQ#x

.SVKI )H[EVHW▯ HMTPSQEX▯ RSZIPMWX ERH NSYVREPMWX▯ ▯▯▯▯▯

w▯▯▯%RH HS [I LEZI ER]XLMRK QSVI YVKIRX XLER SYV VIGSRGMPMEXMSR [MXL &SPMZ ME# 8LMW MW EFSYX VIGSR▯

GMPMEXMSR FIX[IIR X[S FVSXLIVW▯ ;LEX QEXXIVW MW RSX WS QYGL XS WII [LS MW XS F PEQI ▯KIRIVEPP] FSXL TEVXMIW
FYX XS EGLMIZI VIGSRGMPMEXMSR▯▯▯ 8LMW MW [L] - EQ ER EVHIRX WYTTSVXIV SJ VIE GLMRK ER EKVIIQIRX [MXL &SPMZME▯

FIGEYWI▯MX▯MW▯EPWS▯MR▯'LMPIvW▯MRXIVIWX▯▯-J▯XLMW▯[IVI▯RSX▯WS▯▯[L ]▯EVI▯[I▯QEMRXEMRMRK▯'SRWYPEV▯VIPEXMSRW#x

6▯4 *MHIP %VERIHE &VEZS▯ PMXIVEV] GVMXMG ERH [VMXIV▯ ▯▯▯▯▯

w'LMPI▯WLSYPH▯RSX▯FIKMR▯F]▯EWWIVXMRK▯XLEX▯wMX▯LEW▯RS▯SFPMKEXMSR ▯XS▯ER]XLMRKx▯▯[LMGL▯PIKEPP]▯MW▯GSVVIGX▯
FYX UYIWXMSREFPI MJ SRI XEOIW E LMWXSVMGEP ZMI[▯ &SPMZMER [VMXIVW ERH QIR S J KSZIVRQIRX▯ JSV XLIMV TEVX▯

WLSYPH▯VIJVEMR▯JVSQ▯EGGITXMRK▯XLI▯GSVVMHSV▯uJSV▯RS[v▯▯MRWMWXMRK ▯XLEX▯u[IvPP▯WII▯EFSYX▯XLI▯VIXYVR▯SJ▯XLI▯WIM^IH

GSEWXPMRI▯PEXIVv▯▯ERH▯4IVY▯WLSYPH▯TYX▯EPP▯MXW▯GEVHW▯SR▯XLI▯XEFP I▯▯LSRIWXP]▯WIIOMRK▯ER▯EKVIIQIRX▯WYMXEFPI▯XS▯EPP▯
-X MW XLI SFPMKEXMSR SJ 'LMPIERW▯ &SPMZMERW ERH 4IVYZMERW XS GSSTIVEXI MR X LI WIEVGL JSV E KVERHIV JYXYVI▯

JSYRHIH SR E TVIWIRX MR [LMGL XVM▯REXMSREP MRXIVIWXW EVI TEVEQSYRX▯ MRWTM VIHF]EGIRXYV]SJIJJSVXW▯[LMGL▯
-▯EQ▯GSRZMRGIH▯▯LEZI▯RSX▯FIIR▯MR▯ZEMR▯x▯

3WGEV 4MRSGLIX HI PE &EVVE▯ HMTPSQEX ERH [VMXIV▯ ▯▯▯▯▯

w0IXvW▯RSX▯XLVS[▯HYWX▯SZIV▯SYV▯I]IW▯▯PIXvW▯RSX▯JEPP▯JSV▯XLI▯WMQ TPMGMX]▯▯XLI▯MPPYWMSR▯▯SJ▯WYTTSWMRK▯XLEX

&SPMZME▯ SZIV XMQI▯ [MPP JSVKIX XLI PSWX GSEWXPMRI▯ ERH FIGSQI GSRZMRGIH M X RS PSRKIV RIIHW MX▯ ;LEXIZIV

'LMPI▯▯ERH▯4IVY▯▯JSV▯WYVI
▯[ERXW▯SV▯HSIWRvX▯[ERX▯▯HSIW▯SV▯HSIWRvX▯HS▯▯XLI▯GSYRXV]▯SJ▯XLI▯%PXMTPERS▯[MPP▯GSR▯
XMRYI▯XS▯GV]▯SYX▯JSV▯XLI▯WIE▯▯-XvW▯RSX▯E▯TEWWMRK▯JERG]▯▯MXvW▯E▯ UYIWXMSR▯SJ▯TEXVMSXMG▯MHIRXMX]▯▯YRJSVKIXXEFPI▯

YREZSMHEFPI▯ERH▯YRGLERKIEFPIx▯▯
+SR^EPS :MEP▯ LMWXSVMER▯ ▯▯▯▯▯

w▯▯▯ 6IPEXMSRW FIX[IIR 'LMPI ERH &SPMZME▯ JVSQ XLI WXEVX ERH VMKLX YT YRXMP XSHE]▯ [MXL SRP] ZIV] JI[
I\GITXMSRW▯ LEZI FIIR HSQMREXIH F] XLI PEGO SJ E GSQQYRMX] SJ MRXIVIWXW ERH QMWXVYWX▯ 8LIVI MW EPQSWX RS

899Annex 61

8LI&PYI&SSO

TIVMSH MR [LMGL XLIWI X[S TISTPIW▯ FVSXLIVW MR %QIVMGE▯ LEZI FIIR EFPI XS [S VO HIGMHIHP] XSKIXLIV JSV E

GSQQSR▯TVSKVIWW▯▯QEOMRK▯TSWWMFPI▯XLI▯LMWXSVMGEP▯MQTIVEXMZI▯SJ▯W SPMHEVMX]▯MR▯MRXIVREXMSREP▯VIPEXMSRW▯x

7IVKMS 'EVVEWGS▯ LMWXSVMER▯ ▯▯▯▯▯

w▯▯▯'LMPI RIZIV LEH E PIKMXMQEXI VMKLX XS XLI HMWTYXIH XIVVMXSVMIW▯ XLI QS XMZI JSV XLVII XVIEXMIW XS IWXEF▯
PMWL PMQMXW [MXL &SPMZME▯▯▯ XLI [SYRHW PIJX F] XLI ;EV SJ XLI 4EGMJMG▯ E XIVVMFPI [EV▯ EW EVI [EVW FIX[IIR FVSXL▯

IVW▯▯▯ [MPP SRP] LIEP [LIR &SPMZME KEMRW WSZIVIMKR EGGIWW XS XLI 4EGMJMG 3G IER▯ ;I JSSP SYVWIPZIW MR ZEMR

[MXL XLI IVVSRISYW MHIE XLEX [I S[I RSXLMRK XS &SPMZME▯ ;I S[I LIV E TSVX▯▯▯ & SPMZME [EW FSVR [MXL E PIKMX▯
MQEXI ERH WSZIVIMKR GSEWXPMRI▯ 7LI LEH LIV S[R WIE▯ WIM^IH F] 'LMPI MR ER EGX SJ VSFFIV]▯ 8LEX MW [L]

&SPMZME [MPP RIZIV EFERHSR MXW EMQ XS VIGSZIV IZIR SRP] E WXVMT SV GSVVMHSV K MZMRK MX WSZIVIMKR EGGIWW XS XLI

WIE▯▯*SV▯&SPMZME▯XLMW▯MW▯E▯UYIWXMSR▯SJ▯REXMSREP▯HMKRMX]▯▯SJ▯TEX VMSXMG▯LSRSV▯x▯
'ÅWXYPS 1EVXMRI^ ,▯▯ LMWXSVMER▯ ▯▯▯▯▯

w▯▯▯-R XLI REQI SJ ')()', ERH SJ XLI 1EVMWGEP 7YGVI 9RMZIVWMX]▯ Q] GSYRXV]▯ ERH QSVI WTIGMJMGEPP]▯
XLI HMTPSQEG] SJ XLI 1ETSGLS WM\ ]IEVW JVSQ XLI ▯▯WX GIRXYV] ERH SR XLI IHKI S J XLI XLMVH QMPPIRRMYQ▯ -

GERRSX MKRSVI XLI EFIVVERX ZMSPEXMSR SJ ,YQER 6MKLXW VITVIWIRXIH F] XLI GS RJMRIQIRX SJ XLMW *EXLIVPERH

[LMGL▯-▯JIIP▯EW▯Q]▯S[R▯x
4IHVS +SHS]▯ TVSJIWWSV ERH LMWXSVMER▯ (MVIGXSV SJ XLI 'IRXIV JSV 'LMPIER 7XYHMIW▯ ▯▯▯▯▯

w-vPP▯XIPP▯]SY▯VMKLX▯RS[▯WS▯EW▯XS▯WEZI▯XMQI▯▯ERH▯IWTIGMEPP]▯XS▯ XLSWI▯[LS▯RIZIV▯EHQMX▯XLI▯VIEWSRW▯[LMGL

GSRXVEHMGX XLIMV TVINYHMGI▯ WSQI HE] [I [MPP LEZI XS KMZI▯ PIRH▯ PIX▯ SV LS[ IZIV ]SY [MWL XS GEPP MX▯ EGGIWW XS

XLI WIE XS &SPMZME▯%RH [I WLSYPH FIKMR XS XLMRO EFSYX XLMW VEXLIV XLER XEOI V IJYKI EYXSQEXMGEPP] MR XLI PIXXIV
SJ▯XLI▯XVIEXMIW▯ERH▯TEXVMSXMG▯VLIXSVMG▯x▯

*IVRERHS :MPPIKEW▯ WSGMSPSKMWX ERH [VMXIV▯ ▯▯▯▯▯

w&SPMZME▯ MR Q] ZMI[▯ MW IQIVKMRK JVSQ E TSWMXMSR SJ GSRJMRIQIRX XS SRI SJ EV XMGYPEXMSR▯ 8LEX MW [LEX

- TIVGIMZI ERH YRHIVWXERH JVSQ SYV HMWGYWWMSRW ERH GSRZIVWEXMSRW [MXL &SP MZME▯ E VSPI EW EVXMGYPEXSV SJ XLI

GIRXIV SJ 7SYXL%QIVMGE▯ [MXL 4IVY▯ XLI RSVXL SJ 'LMPI▯ ERH 4EVEKYE]▯%GSYRXV] RS PSRKIV MWSPEXIH EW FIJSVI
FYX▯[MXL▯KVIEX▯TSXIRXMEP▯JSV▯JYXYVI▯GSSVHMREXMSR▯ERH▯TVSNIGXMSR ▯x

7IVKMS &MXEV▯ 4VIWMHIRX SJ XLI 4EVX] JSV (IQSGVEG]▯ 7IREXSV JSV 8EVETEGE▯ ▯▯▯▯▯

900 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

w-J▯-▯[EW▯4VIWMHIRX▯SJ▯'LMPI▯▯-▯[SYPH▯LERH▯SZIV▯E▯TSVX▯XS▯XLI▯& SPMZMERW▯▯FYX▯XLI▯TVSFPIQ▯MW▯XLEX▯-▯HSRvX

LEZI▯XLI▯GSQTIXIRGMIW▯XS▯QEOI▯XLEX▯LETTIR▯▯▯▯-vQ▯NYWX▯SRI▯SJ▯XL SWI▯'LMPIERW▯[LSvH▯PMOI▯XS▯WII▯XLI▯&SPMZMERW

[MXL▯E▯TSVX▯MR▯XLI▯WIEx▯▯
.SVKI 7SVME▯ 1E]SV SJ -UYMUYI▯ ▯▯▯▯▯

w- VIGSKRM^I XLEX XLIVI MW E TVSFPIQ MR XLI WIRWI XLEX XLIVI MW E LMWXSVMG &SP MZMER GPEMQ▯ ERH SRI GER

QSVISZIV YRHIVWXERH XLI VIEWSRW JSV WIIOMRK E WSZIVIMKR EGGIWW XS XLI 4EGM JMG▯ -R IJJIGX XLMW QEXXIV LEW

EP[E]W FIIR TVIWIRX MR SYV FMPEXIVEP VIPEXMSRW▯▯▯ 'LMPI MW RSX YRE[EVI XLE X XLIVI EVI SYXWXERHMRK MWWYIW▯ ,S[
XS▯VIWSPZI▯XLIQ▯MW▯[LEX▯[I▯LEZI▯XS▯PSSO▯EX▯▯-▯ORS[▯MXvW▯E▯GSQTPI\▯TVSGIWW▯FSXL▯MR▯'LMPI▯ERH▯MR▯&SPMZME▯▯FYX

- XLMRO XLI GPEMQ MW VIPIZERX JSV XLI JYXYVI ERH JSV LMWXSV]▯ 8LEX MW [L]▯ VEX LIV XLER MRXIVREXMSREPM^I E GSRJPMGX

XLEX MW RSX MRXIVREXMSREP▯ [I RIIH XS GVIEXI XLI GSRHMXMSRW JSV HMEPSKYI▯ X VYWX▯ ERH XLI QYPXMTPMGEXMSR SJ SYV
GSQQSR▯TSXIRXMEP▯MRXIVIWXW▯▯▯x

.EMQI +E^QYVM▯ 7IREXSV▯ 1IQFIV SJ XLI 4EVPMEQIRXEV] 'SQQMWWMSR JSV *SVIMKR %JJEMVW▯ ▯▯▯▯▯

w-X MW HMJJMGYPX XS YRHIVWXERH XLEX ER YRJSVXYREXI [EV▯ [LMGL IRHIH EX XLI I RH SJ XLI ▯▯XL GIRXYV]▯ GSR▯

XMRYIW▯XS▯KIX▯MR▯XLI▯[E]▯SJ▯VIPEXMSRW▯FIX[IIR▯'LMPI▯ERH▯&SPMZME ▯EX▯XLI▯FIKMRRMRK▯SJ▯XLI▯▯▯WX▯GIRXYV]x▯▯
3WGEV 4MRSGLIX HI PE &EVVE▯ ▯▯▯▯▯

w8LI▯TVSFPIQW▯EVI▯TSPMXMGEP▯QSVI▯XLER▯GSQQIVGMEP▯▯&SPMZME▯JIIPW ▯VIWIRXJYP▯▯ERH▯]SY▯GERvX▯VIWSPZI▯XLI

MWWYI▯[MXL▯▯▯▯▯▯▯▯XSRW▯SJ▯WYKEV▯RSV▯[MXL▯QSVI▯QSRI]▯▯SV▯PIWW▯▯- XvW▯NYWX▯XLI▯WEQI▯[MXL▯TISTPI▯▯=SY▯GERvX▯FY]

TISTPI▯[MXL▯QSRI]▯▯'SYRXVMIW▯EVI▯PMOI▯TISTPI▯▯8LI]▯LEZI▯XIQTIVE QIRXW▯▯JIIPMRKW▯▯HMKRMX]▯▯4IVLETW▯-vQ
[VSRK▯▯FYX▯MJ▯-vQ▯JMKLXMRK▯[MXL▯WSQISRI▯▯KMZMRK▯XLIQ▯QSRI]▯XS▯Q EOI▯XLIQ▯PIWW▯ERKV]▯[SRvX▯[SVO▯▯=SY

GERvX▯GSRJYWI▯XLI▯[SVPH▯SJ▯GSQQIVGI▯[MXL▯XLI▯[SVPH▯SJ▯TSPMXMGW▯ ▯▯x

w-W XLEX XLI VIEWSR [L] XLI GSRZIVWEXMSRW WLSYPH FI XVMPEXIVEP#
w=IW▯ XVMPEXIVEP▯

w%RH ]SY▯ HS ]SY EGGITX XLI MHIE SJ E GSVVMHSV JSV &SPMZME#
w=IW▯▯SJ▯GSYVWI▯▯-▯EQ▯TEVX]▯XS▯XLI▯MHIE▯▯FYX▯-vQ▯EPWS▯UYMXI▯TIW WMQMWXMG▯▯FIGEYWI▯-▯ORS[▯XLEX▯JSV▯4IVY▯MXvW

ZIV]▯HMJJMGYPX▯XS▯EGGITX▯WSQIXLMRK▯PMOI▯XLEX▯x▯

+EFVMIP :EPHI^▯ *SVQIV *SVIMKR 1MRMWXIV ERH TVIWIRX▯HE] 7IREXSV▯ ▯▯▯▯▯

901Annex 61

8LI&PYI&SSO

w8LIVI MW ER IRXMVI GSYRXV]▯ E RIMKLFSV SJ SYVW▯ SR SYV FSVHIVW▯ GV]MRK SYX▯ TVSXIWXMRK XLEX MX HSIW RSX
LEZI RSVQEP HMTPSQEXMG VIPEXMSRW [MXL 'LMPI▯ E LMKLP] EFRSVQEP WXEXI SJ EJ JEMVW JSV WYVI▯ -W XLIVI VIEPP] RS

GSRXVSZIVW]# %TTEVIRXP] XLIVI MW RS PIKEP SV HMTPSQEXMG GSRXVSZIVW] EGGS VHMRK XS XLI PIXXIV SJ XLI XVIEXMIW▯

FYX▯MR▯XLI▯JEGXW▯XLIVI▯MW▯E▯GSRXVSZIVW]▯▯E▯WIVMSYW▯ERH▯TVSJSYR▯HSRIx▯▯
.SVKI )H[EVHW▯ ▯▯▯▯▯

w1ER]▯SJ▯YW▯'LMPIERW▯zEX▯PIEWX▯▯▯ ▯▯XLEX▯MW▯E▯QMPPMSR▯ERH▯E▯LEP J▯▯[SYPH▯KPEHP]▯FEXLI▯SR▯E▯&SPMZMER

FIEGL▯▯EW▯'LEZI^▯WEMH▯x

1ERYIP 'EFMIWIW (SRSWS▯ NSYVREPMWX▯ HMVIGXSV SJ XLI 4YRXS *MREP QEKE^MRI▯ ▯▯▯▯▯

w8S▯RIKSXMEXI▯&SPMZMEvW▯EGGIWW▯XS▯XLI▯WIE▯HSIW▯RSX▯QIER▯VIRSYRG MRK▯VMKLXW▯ERH▯PIKMXMQEXIP]▯[SR▯MR▯E

[EV▯▯MX▯MW▯ER▯EGX▯SJ▯KSZIVRQIRXEP▯KSSH▯WIRWIx▯
4EFPS 7MQSRIXXM▯ NSYVREPMWX▯ ▯▯▯▯▯

u- EQ GSRZMRGIH XLEX XLI SRP] [E] XS VIWSPZI XLI &SPMZMER HIQERH MW XLI GSVVM HSV XS XLI RSVXL SJ%VMGE▯
SR▯XLI▯PMRI▯RIKSXMEXIH▯MR▯XLI▯▯▯▯▯Wx▯▯

)HQYRHS 4IVI^ =SQE▯ *SVQIV 1MRMWXIV SJ (IJIRWI ERH *SVQIV 'SRWYP +IRIVEP MR &SPMZME▯ ▯▯▯▯▯

902 Annex 61

1ET▯SJ▯XLI▯XIVVMXSVMEP▯TSWWIWWMSRW▯SJ▯XLI▯9TTIV▯ERH▯XLI▯0S[IV▯4 IVY▯z▯&]▯)HYEVHS▯=HMEUYI^▯▯▯▯▯▯▯

' 'SWXW SJ FIMRK PERH▯PSGOIH ▯ GSWXW SJ
GSRJMRIQIRX

7LMIPH SJ XLI 4VIJIGXYVI SJ XLI 0MXXSVEP (ITEVXQIRX▯

903Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

JVII▯ 8LI HMWTSWMXMSRW WIX SYX MR XLI 8VIEX] SJ ▯▯▯▯
) '3231-' (%1%+)7 ;,-', ,%:)
8,)-6 36-+-2 -2 8,) ▯▯▯▯ 8 6)%8= ▯ ERH MR SXLIV GSQTPIQIRXEV] EKVIIQIRXW EVI
GSRWXERXP] JPSYXIH JSV EHQMRMWXVEXMZI▯ WERMXEV]▯
&] ZMVXYI SJ XLI ▯▯▯▯ 8VIEX]▯ &SPMZME [EW SFPMKIH
WIGYVMX] ERH SXLIV VIEWSRW▯ PIEHMRK XS E WXIEH]
XS GIHI MXW GSEWXPMRI MR TIVTIXYMX] XS 'LMPI MR
I\GLERKI JSV GSQTIRWEXMSRW [MXL [LMGL 'LMPI LEH WXVIEQ SJ GSQTPEMRXW SR XLI TEVX SJ &SPMZMER YWIVW
SJ XLI TSVXW▯
XS GSQTP]▯ 8LI 'LMPIER KSZIVRQIRX LEW RSX
GSQTPMIH [MXL XLIWI GSQTIRWEXMSRW▯ TVMRGMTEPP] MR
'LMPIER MRWXMXYXMSRW ERH EYXLSVMXMIW GLEVKI
XLI JSPPS[MRK EWTIGXW▯
&SPMZMER XVERWTSVX [SVOIVW I\GIWWMZIP] ERH
YRNYWXMJMEFP]▯%VFMXVEV] JIIW EVI GLEVKIH▯ JSV
E
8LI 'LMPIER VIGSKRMXMSR MR JEZSV SJ &SPMZME
I\EQTPI▯ JSV XLI WIVZMGI SJ XVERWJIVVMRK GSRXEMRIVW
uERH MR TIVTIXYMX]▯ SJ MXW TPIRXMJYP ERH JVII
VMKLX XS GSQQIVGMEP TEWWEKI XLVSYKL MXW MR XVERWMX ▯+%8) -2▯+%8) 398▯8%'/
EW [IPP EW
JSV XEOMRK IQTX] GSRXEMRIVW JVSQ XLI TSVX XS REZEP
XIVVMXSV]▯ERH▯TSVXW▯MR▯XLI▯4EGMJMGv▯▯
[EVILSYWIW▯ 7MRGI XLI GSRGIWWMSR SJ XLI 4SVX SJ
%RXSJEKEWXE XS XLI -RXIVREXMSREP%RXSJEKEWXE
8LI +SZIVRQIRX SJ 'LMPI QEOIW QIRXMSR MR
MRRYQIVEFPI JSVE▯ SJ XLI FIRIJMXW SJ XLI JVII 8IVQMREP 'SQTER] ▯%8-
SR 1EVGL ▯▯ ▯▯▯▯▯
&SPMZMER QMRIVEPW JSV I\TSVX LEZI WIIR ER MRGVIEWI
TEWWEKI VIKMQI JEZSYVMRK &SPMZME▯ 8LI WEQI
MR TSVX XEVMJJW SJ ▯▯ TIV XSR▯ 8S XLMW LEW XS FI
KSZIVRQIRX JSVKIXW XS QIRXMSR▯ LS[IZIV▯ XLEX
EPXLSYKL 4IVY IRNS]W E PSRK WXVIXGL SJ GSEWXPMRI▯ EHHIH XLI HSYFPI LERHPMRK SJ XLI GEVKS JVSQ XLI
WXSGOMRK GIRXIV MR 4SVXI^YIPS▯ RIEV XLI GMX] SJ
'LMPI LEW GSRGIHIH XS 4IVY E WIVMIW SJ EGGIWW
JEGMPMXMIW MR%VMGE▯ [LMGL &SPMZME▯ E PERH▯PSGOIH %RXSJEKEWXE▯ XS XLI TSVX▯ [LMGL VITVIWIRXW ER
EHHMXMSREP GSWX XS &SPMZMER IRXVITVIRIYVW SJ ▯ ▯
GSYRXV]▯ HSIW RSX TSWWIWW▯ -R IJJIGX▯ F] ZMVXYI F]
XLI )\IGYXSV%GX SJ ▯▯▯▯▯ 'LMPI SJJIVIH 4IVY▯ XLI (SPPEVW TIV XSR▯ TPYW XLI WXSVEKI GSWX SJ XLI -13
GEVKS▯ 8LMW WMKRMJMGERX GSWX MRGVIEWI LEW QIERX XLEX
SXLIV GSYRXV] MRZSPZIH MR XLI ;EV SJ XLI 4EGMJMG▯
ZEVMSYW &SPMZMER GSQTERMIW LEZI LEH XS WXST
XLVII JEGMPMXMIW [LMGL &SPMZME HSIW RSX IRNS]▯ E
GYWXSQW SJJMGI▯ E HSGOMRK TIIV ERH VEMP[E] WXEXMSR▯ I\TSVXMRK QMRIVEPW▯

-X QYWX FI IQTLEWM^IH▯ QSVISZIV▯ XLEX &SPMZMER
I\TSVXW QYWX TE] XS GVSWW XLI FSVHIV▯ 8LI -R EHHMXMSR▯ XLI QSZIQIRX SJ QIVGLERHMWI JVSQ
ERH XS &SPMZME XLVSYKL 'LMPIER XIVVMXSV] LEW RSX
QSZIQIRX SJ KSSHW XLVSYKL 'LMPIER TSVXW MW RSX
EP[E]W▯FIIR▯uEQTPI▯ERH▯JVIIv▯▯8S▯XLI▯GSRXVEV]▯

904 Annex 61

8LI&PYI&SSO

XLIVI LEZI FIIR RYQIVSYW GEWIW MR [LMGL XLI 1SVISZIV▯ MR XLI GEWI SJ XLI TVMZEXM^EXMSR SJ XLI

'LMPIER EYXLSVMXMIW LEZI VIWXVMGXIH SV MQTIHIH XLMW TSVX SJ%RXSJEKEWXE▯ XLIVI LEW FIIR E QEVOIH
VMKLX▯ 8LI GEWI [LMGL QSWX EJJIGXIH XLI MRXIVIWXW SJ MRGVIEWI MR XLI GSWXW VIPEXIH XS XLI I\TSVX SJ

&SPMZME SGGYVIH MR XLI 'LEGS ;EV▯ [LIR XLI QMRIVEPW▯ ERH XLMW LEW EJJIGXIH XLI GSQTIXMXMZIRIWW
'LMPIER EYXLSVMXMIW MQTIHIH XLI QSZIQIRX SJ SJ XLI WIGXSV▯ 8LI GSQMRK FMH JSV XLI TSVX SJ%VMGE

JVIMKLX FSYRH JSV &SPMZME▯ E FVIEGL SJ XLI 8VIEX] SJ MW IZIR QSVI SJ E GSRGIVR▯ FIGEYWI

▯▯▯▯ERHSJXLI'SRZIRXMSRSR'SQQIVGMEP QSRSTSPM^EXMSR MW PMOIP] XS VIWYPX JVSQ TYXXMRK SYX
8VEJJMG SJ%YKYWX ▯▯ ▯▯▯▯▯ -R E WMQMPEV [E]▯ XLI XS XIRHIV EPP XLI HSGOMRK JEGMPMXMIW▯ ERH XLI GSWX SJ

'LMPIER EYXLSVMXMIW EGXIH YRMPEXIVEPP] XS WXST XLI XLI WIVZMGIW SJJIVIH F] XLMW TSVX▯ MR [LMGL &SPMZMER
IQFEVOEXMSR SJ QMRIVEPW FSYRH JSV [SVPH QEVOIXW JVIMKLX EGGSYRXW JSV ▯▯ SJ XLI XSXEP [MPP WYVIP]

EW E GSRWIUYIRGI SJ XLI REXMSREPM^EXMSR SJ XLI VMWI▯

QMRIW HIGVIIH F] &SPMZME SR 3GXSFIV ▯▯▯ ▯▯▯▯▯
1SVISZIV▯ SR SGGEWMSR▯ XLI QSZIQIRX SJ &SPMZMER F
8LI 8VIEX] SJ ▯▯▯▯ IWXEFPMWLIW XLEX▯ w8LI

JVIMKLX LEW FIIR HMWVYTXIH F] PEFSV HMWXYVFERGIW MR 6ITYFPMG SJ &SPMZME [MPP LEZI XLI VMKLX XS
'LMPI WYGL EW WXVMOIW▯ SV TVSXIWXW F] XLI TSVX FYMPH GYWXSQW SJJMGIW MR XLI TSVXW MX LEW

[SVOIVW YRMSR MR%VMGE SV%RXSJEKEWXE▯ 'LMPI MW MR MHIRXMJMIH JSV MXW GSQQIVGI▯ *SV RS[▯ XLI

XLI TVSGIWW SJ TVMZEXM^MRK MXW TSVXW▯ ERH XLMW MW EPWS TSVXW EYXLSVM^IH JSV &SPMZMER GSQQIVGI EVI
EJJIGXMRK XLI JVII XVERWMX VIKMQI SJ &SPMZMER KSSHW▯ %RXSJEKEWXE▯ERH▯%VMGEx

8LI TVMZEXM^EXMSR TVSGIWW KSIW EKEMRWX XLI ZIV]
WTMVMX SJ XLI JVII XVERWMX VIKMQI IRWLVMRIH MR XLI -R ETTPMGEXMSR SJ XLIWI HMWTSWMXMSRW ERH MR XLI

8VIEX] SJ ▯▯▯▯ ERH XLI 'SRZIRXMSRW SJ ▯▯▯▯ ERH JVEQI[SVO SJ XLI -RXIKVEXIH 8VERWMX 7]WXIQ▯ XLIVI

▯▯▯▯▯ &SPMZMER VMKLXW XS JVII XVERWMX EVI EPWS MW E &SPMZMER GYWXSQW EKIRG]▯ XLI 4SVX 7IVZMGIW
MRXIVREXMSREP SFPMKEXMSRW [LMGL QYWX FI GSQTPMIH %HQMRMWXVEXMSR▯z▯&SPMZME▯▯%74▯&
▯▯MR▯STIVEXMSR▯MR

F] XLI 'LMPIER 7XEXI▯ SJ XLI MRXYMXS TIVWSREI X]TI▯ XLI TSVXW SJ%RXSJEKEWXE ERH%VMGE▯%74▯&

QIERMRK XLEX WYGL SFPMKEXMSRW GERRSX FI WYTIVZMWIW XLI QSZIQIRX ERH WXSVEKI SJ &SPMZMER
XVERWJIVVIH XS E TVMZEXI EKIRX▯ 8LIWI EVI MRXVMRWMG XVERWMX KSSHW▯ EW [IPP EW GSRXVSPPMRK QIVGLERHMWI

VIWTSRWMFMPMXMIW SJ XLI 'LMPIER 7XEXI▯ *VSQ XLI JVSQ SZIVWIEW FSYRH JSV &SPMZME▯ 8LI TVMZEXM^EXMSR
TIVWTIGXMZI SJ MRXIVREXMSREP PE[▯ PMGIRWIH TVMZEXI SJ▯XLI▯TSVXW▯PMQMXW▯%74▯&vW▯GSRXVSP▯SZIV▯&SPMZMER

JMVQW GERRSX EWWYQI XLI SFPMKEXMSRW SJ XLI JVIMKLX EW WIX SYX MR XLI TVIZEMPMRK PIKMWPEXMSR▯

6ITYFPMG SJ 'LMPI MR VIPEXMSR XS XLI &SPMZMER 7XEXI▯

905Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

+IRIVEP 'LEVXIV SJ 7SYXLIVR %QIVMGE ERH XLI MWPIW XLEX EVI TEVX XLIVISJ▯ 4E VMW▯ ▯▯▯▯▯

0MOI[MWI▯ MX WLSYPH FI IQTLEWM^IH XLEX▯ EPXLSYKL
8 ,) +)3+6%4,-'%0 %2( )'3231-'
XLI 8VIEX] SJ ▯▯▯▯ IWXEFPMWLIW MR JEZSV SJ &SPMZME
XLI VMKLX XS EQTPI ERH JVII XVERWMX XLVSYKL 'LMPIER '3787 3* 8,) ; %6 3* 8,) 4 %'-*-' ▯
&SPMZME PSWX E XIVVMXSV] SJ ▯▯▯▯▯▯▯ OQ▯ XS 'LMPI▯ -R
TSVXW ERH XIVVMXSV]▯ XLI EYXLSVMXMIW SJ XLMW GSYRXV]
LEZI RSX FIIR JSVXLGSQMRK MR EXXIRHMRK &SPMZMER XLMW XIVVMXSV] [IVI HMWGSZIVIH XLI 'LYUYMGEQEXE
GSTTIV JMIPHW▯ XLI QSWX MQTSVXERX SJ 'LMPI ERH XLI
VIUYIWXW XS JMX SYX RI[ TSVXW JSV MXW JSVIMKR XVEHI
[SVPH▯ (IGEHIW PEXIV▯ EW XLI *SVQIV 4VIWMHIRX SJ
EWMHI JVSQ%RXSJEKEWXE ERH%VMGE▯ 'LMPI 7EPZEHSV%PPIRHI▯ HIGPEVIH▯ GSTTIV FIGEQI

uXLI▯WEPEV]▯SJ▯'LMPIv▯▯&SPMZME▯EPWS▯PSWX▯GSRWMHIVEFPI
G
&SXL GSYRXVMIW [MPP VIGSKRM^I ERH TVSXIGX XLI VIWIVZIW SJ KYERS▯ RMXVEXI ERH WYPTLYV▯ [LMGL LEZI
VMKLXW SJ uREXMSREP ERH JSVIMKR GMXM^IRW [LS
GSRXVMFYXIH▯XS▯'LMPIvW▯HIZIPSTQIRX▯
LEZI PIKEPP] EGUYMVIH TVSTIVX] MR XLI
XIVVMXSVMIW [LMGL▯ EGGSVHMRK XS XLMW 8VIEX]▯
8LI LMKL XVERWTSVX ERH WIVZMGI GSWXW MRGYVVIH F]
EVI YRHIV XLI WSZIVIMKRX] SJ SRI SV SXLIV &SPMZME PMQMX MXW EGGIWW XS MRXIVREXMSREP QEVOIXW MR
GSYRXV]v▯
XLI WEQI GSRHMXMSRW EW SXLIV GSYRXVMIW [MXL E
GSEWXPMRI▯ QEOMRK XLI GSYRXV] PIWW GSQTIXMXMZI▯
%VXMGPI ▯ SJ XLI ▯▯▯▯ 8VIEX] SJJIVIH TVSXIGXMSR XS
2EXMSREP I\TSVXW QYWX QSVISZIV EFWSVF MRXIKVEXIH
XLSWI &SPMZMER GMXM^IRW [LS LEH TVSTIVX] MR XLI XVERWTSVX GSWXW XS EGGIWW XLI TSVXW▯
XIVVMXSVMIW [LMGL JIPP YRHIV XLI NYVMWHMGXMSR SJ

'LMPI▯ F] ZMVXYI SJ XLI WEQI 8VIEX]▯ -R FVIEGL SJ 0MOI[MWI▯ &SPMZME LEW RSX FIIR EFPI XS HIZIPST▯
XLMW%VXMGPI ▯▯ XLI 'LMPIER EYXLSVMXMIW TEWWIH E PE[
EQSRK SXLIV EGXMZMXMIW▯ QEVMRI TVSHYGI MRHYWXVMIW
SFPMKMRK &SPMZMER GMXM^IRW uXS TVIWIRX XLIQWIPZIW XLEX EVI H]REQMG SR XLI [SVPH QEVOIX ERH IRNS]
XS XLI EYXLSVMXMIW MR HIJIRWI SJ XLIMV VMKLXW [MXLMR
LMKL TVMGIW▯ 2IMXLIV LEW &SPMZME FIIR EFPI XS
JSYV▯QSRXLW▯SJ▯XLMW▯PE[vW▯TVSQYPKEXMSRv▯▯8LI HIZIPST WLMTTMRK WIVZMGIW ERH MRHYWXVMIW▯ WYGL EW
7YTVIQI 'SYVX SJ 'LMPI MXWIPJ▯ ZMSPEXMRK XLI
WLMTFYMPHMRK▯ REZEP TVSHYGXW▯ TSVX WIVZMGIW▯
TVSTIVX] VMKLXW SJ &SPMZMERW SZIV XLI )P 8SGS TMPSXMRK ERH WXSVEKI ▯WMPSW▯ [EVILSYWIW▯ IXG▯
▯
RMXVEXI JMIPHW▯ VYPIH EKEMRWX [LEX MW WXMTYPEXIH MR XLI

8VIEX] SJ ▯▯▯▯▯ %RSXLIV GSRWIUYIRGI SJ PSWMRK XLI WIE▯FSEVH MW

XLEX &SPMZME GERRSX EGGIWW XLI REXYVEP VIWSYVGI

906 Annex 61

8LI&PYI&SSO

[IEPXL SJ XLI SGIER JPSSV WYGL EW QEVMRI PMJI▯ 2IZIVXLIPIWW▯ HIWTMXI XLI XVERWMXMSR XS HIQSGVEG]
QMRIVEP SV SMP▯ MR▯'LMPI▯QSVI▯XLER▯E▯HIGEHI▯EKS▯▯&SPMZMEvW

QEVMXMQI GPEMQ GSRXMRYIW YRVIWSPZIH▯
8LI GSYRXV] MW QSVISZIV EX E ZIV] WMKRMJMGERX

HMWEHZERXEKI MR XIVQW SJ MXW EFMPMX] XS TEVXMGMTEXI MR 3 8,)6 '3787 6)0%8)( 83
WIVZMGI XVEHI ERH QEVMXMQI XVERWTSVX [MXL E JPIIX SJ '32*-2)1)28

MXW S[R YRHIV XLI &SPMZMER JPEK▯ c ,MKL XVERWTSVX ERH TSVX JEGMPMX] GSWXW

RIKEXMZIP] EJJIGX XLI GSQTIXMXMZIRIWW SJ
-X WLSYPH EPWS FI TSMRXIH SYX XLEX TEVX SJ XLI &SPMZMER TVSHYGXW MR MRXIVREXMSREP QEVOIXW

TVSKVIWW ERH TVSWTIVMX] SJ RSVXLIVR 'LMPI GER FI ERH QEOI JSVIMKR XVEHI▯ GSRGIRXVEXIH
EXXVMFYXIH XS XVEHI [MXL &SPMZME▯ ▯▯ SJ XLI JVIMKLX TVMRGMTEPP] MR XVEHI [MXL MXW RIMKLFSVMRK

XLEX TEWWIW XLVSYKL%VMGE MW &SPMZMER▯ &SPMZMER GSYRXVMIW▯ HMJJMGYPX XS I\TERH▯
QMRIVEP TVSHYGIVW YWI XLI TSVX SJ%RXSJEKEWXE▯ ERH

QSWX SJ XLI GSRXVEFERH EJJIGXMRK &SPMZME GSQIW c -X MW HMJJMGYPX JSV &SPMZME XS TVSNIGX MXWIPJ XS
JVSQ XLI -UYMUYI (YX] *VII >SRI▯
XLI▯4EGMJMG▯6MQ▯▯SRI▯SJ▯XLI▯[SVPHvW▯TVMRGMTEP
TSPIW JSV IGSRSQMG ERH GSQQIVGMEP
3R XLI TSPMXMGEP JVSRX▯ &SPMZMER GPEMQW JSV EGGIWW
HIZIPSTQIRX MR XLI PEWX HIGEHIW▯
XS XLI WIE EVI JVIUYIRXP] YWIH F] 'LMPIER
KSZIVRQIRXW JSV MRXIVREP VIEWSRW▯ XS GVIEXI
c &IMRK PERH▯PSGOIH PMQMXW XLI
GSRWIRWYW ERH KEMR HSQIWXMG WYTTSVX▯
GSQTIXMXMZIRIWW SJ XLI &SPMZMER IGSRSQ]▯
QEOMRK MX HMJJMGYPX XS EXXVEGX JSVIMKR
*MREPP]▯MXMWMVSRMGXSVIGEPPXLEXMX[EWE'LMPIER
MRZIWXQIRX ERH XIGLRSPSK] XVERWJIV▯
QMPMXEV] KSZIVRQIRX▯ RSX E HIQSGVEXMG SRI XLEX
LEH XLI GSYVEKI XS VIGSKRM^I XLI QEVMXMQI
c -R▯&SPMZME▯▯XLI▯uQEVMXMQI▯XVEHI▯E[EVIRIWWv
UYIWXMSR▯ WIIOMRK E HIJMRMXMZI WSPYXMSR XS XLI
TVSFPIQ▯ 8LI WEMH RIKSXMEXMSR JEMPIH▯ EQSRK SXLIV LEW [IEOIRIH SV FIIR PSWX▯ E WMXYEXMSR [LMGL
HSIW RSX EPPS[ JSV TPERRMRK IGSRSQMG
VIEWSRW FIGEYWI KSZIVRQIRX STTSWMXMSR MR XLI
RIMKLFSVMRK GSYRXV] GSRWMHIVIH XLEX WYGL ER MWWYI HIZIPSTQIRX ERH GSQQIVGMEP EKVIIQIRXW
FEWIH SR EGGIWW XS XLI WIE▯
WLSYPH FI VIWSPZIH F] E QSVI PIKMXMQEXI ERH FIXXIV
WYTTSVXIH HIQSGVEXMG KSZIVRQIRX▯

907Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

c 8LI PEGO SJ E WSZIVIMKR WIE▯FSEVH LEW QIERX c -RXIVREXMSREP EREP]WXW WYGL EW .IJJVI] 7EGLW

XLEX &SPMZME [EW YREFPI XS GSQI MRXS GSRXEGX IWXMQEXI XLEX PERH▯PSGOIH GSYRXVMIW PSWI ▯▯▯
[MXL XLI TVMRGMTEP MQQMKVEXMSR JPS[W LIEHIH TIVGIRXEKI TSMRXW MR XLIMV KVS[XL VEXIW▯

JSV XLI GSEWXW SJ 7SYXL%QIVMGE MR XLI ▯▯XL TVIGMWIP] FIGEYWI SJ XLIMV PERH▯PSGOIH

ERH IEVP] ▯▯XL GIRXYVMIW▯ GSRHMXMSR▯ 8LMW [SYPH QIER XLEX XLI GSWXW SJ
&SPMZMER GSRJMRIQIRX MR XLI PEWX XIR ]IEVW

c 8LI GSYRXV] LEW PSWX TVSHYGXMZI ERH WIVZMGI GSQI XS QSVI XLER JSYV XLSYWERH QMPPMSR
EGXMZMX] F] RSX LEZMRK EGGIWW XS XLI WIE▯ 7YGL HSPPEVW▯ 3RI GER MQEKMRI XLI IJJIGX SR

EGXMZMXMIW LEZI XEOIR TPEGI MR 'LMPIER SZIVEPP +(4 KVS[XL SJ XLI PEWX ▯▯▯ ]IEVW SJ
XIVVMXSV]▯ERH▯FIRIJMXIH▯'LMPIvW▯IGSRSQ]▯▯-X▯MW QEVMXMQI PSWW▯

[SVXL QIRXMSRMRK VSEH XVERWTSVX▯ VEMP

XVERWTSVX▯ XLI YWI SJ TSVXW▯ XSYVMWQ▯ IXG▯ ) '3231-' 0377)7 6)7908-2+ *631
8,) ; %6 3* 8,) 4 %'-*-' ▯

c 8LI XVERWTSVX ERH TSVX JEGMPMX] GSWXW MQTSWIH 8LI IGSRSQMG PSWWIW GEYWIH F] XLI 4IEGI 8VIEX]
F] 'LMPI QYWX FI TEMH MR LEVH GYVVIRG]▯ SJ ▯▯▯▯ EVI IRSVQSYW▯ -R XLI JMVWX TPEGI▯ MX QIERX

VITVIWIRXMRK E RSX MRWMKRMJMGERX GYVVIRG] XLI WPMGMRK SJJ SJ ▯▯▯▯▯▯▯ OQ▯ SJ MXW GSEWXPMRI
HVEMREKI MR JEZSV SJ 'LMPI▯ XIVVMXSV]▯ ER EVIE PEVKIV XLER 'YFE▯ .EQEMGE▯

8VMRMHEH▯8SFEKS ERH )P 7EPZEHSV GSQFMRIH▯ 7YGL

c :EVMSYW MRXIVREXMSREP SVKERM^EXMSRW LEZI E WMQTPI GSQTEVMWSR WTIEOW SJ XLI QEKRMXYHI SJ
YRHIVXEOIR WXYHMIW XLEX WLS[ XLI RIKEXMZI XLI PSWW▯ &YX XLI HEQEKI [EW IZIR KVIEXIV MR

MQTEGX SJ XLI LMKL GSWXW MRGYVVIH F] PERH▯ IGSRSQMG XIVQW▯ -R XLI XIVVMXSV] PSWX F] &SPMZME EW
PSGOIH GSYRXVMIW▯ 3J XLIWI▯ MX MW [SVXL E VIWYPX SJ XLI [EV [IVI HMWGSZIVIH▯ EX XLI IRH SJ

QIRXMSRMRK WSQI -1* ERH 92'8%( XLI PEWX GIRXYV]▯ XLI JEFYPSYW GSTTIV JMIPHW SJ
WXYHMIW▯ GEVVMIH SYX MR ▯▯▯▯ ERH ▯▯▯▯▯ [LMGL 'LYUYMGEQEXE▯ GSRWMHIVIH XLI PEVKIWX MR XLI [SVPH▯

HIQSRWXVEXI XLEX E PEVKI TVSTSVXMSR SJ I\TSVX 8LEROW XS XLIQ▯ 'LMPI FIGEQI XLI JMVWX [SVPH

IEVRMRKW F] PERH▯PSGOIH GSYRXVMIW EVI I\TSVXIV ERH WIGSRH [SVPH TVSHYGIV▯▯EJXIV XLI
HIWXMRIH XS TE] JSV XVERWTSVX ERH MRWYVERGI 9RMXIH 7XEXIW▯▯SJ GSTTIV▯

WIVZMGIW▯
9RXMP RS[▯ 'LMPI LEW I\TSVXIH QSVI XLER ▯▯

QMPPMSR XSRW SJ GSTTIV▯ E HMJJMGYPX WXEXMWXMG XS

908 Annex 61

8LI&PYI&SSO

IZEPYEXI [MXL TVIGMWMSR▯ FYX SRI XLEX GSRXVEWXW [MXL SJ MXW XIVVMXSV]▯ 8LMW MW EPWS E REXYVEP TVSHYGX XEOIR

XLI VIWIVZIW SJ XLI IRXMVI%WMER GSRXMRIRX▯ JVSQ &SPMZME▯
IUYMZEPIRX XS WSQI ▯▯▯ QMPPMSR XSRW▯ XS [LMGL

[SYPHLEZIXSFIEHHIHXLIVIWIVZIWSJXLI[LSPI 8S KYERS LEZI XS FI EHHIH XLI WSHMYQ RMXVEXI
SJ ;IWXIVR )YVSTI▯ SJ WSQI ▯▯▯ QMPPMSR XSRW▯ ERH HITSWMXW TVIWIRX MR XLI SPH 4IVYZMER TVSZMRGI SJ

SJ XLI 7SZMIX 9RMSR▯ [LMGL GSQIW XS WSQI ▯▯ 8EVETEGEERHXLISPH&SPMZMERTVSZMRGISJ

QMPPMSR XSRW▯ -R SXLIV [SVHW▯ WSPIP] MR XLMW GIRXYV]▯ %XEGEQE▯
'LMPI LEW I\TSVXIH EW QYGL GSTTIV EW XLIWI

ZEVMSYW GSRXMRIRXW XSKIXLIV LEZI EGGYQYPEXIH MR &IKMRRMRK MR ▯▯▯▯▯ [MXL XLI QMPMXEV] SGGYTEXMSR SJ
VIWIVZIW▯%PP SJ XLMW RSX XEOMRK MRXS EGGSYRX XLI XLI WEMH &SPMZMER TVSZMRGI▯ 'LMPI I\TSVXIH

RI[ VIWIVZIW XLEX EVI FIMRK HMWGSZIVIH SV LEZI ]IX ERRYEPP] WSQI ▯▯▯▯▯▯ XSRW SJ RMXVEXIW▯ XLI ZEPYI SJ

XS FI▯ -X MW IWXMQEXIH XLEX EX XLI GYVVIRX VEXI SJ [LMGL [EW IUYMZEPIRX XS WSQI ▯▯ SJ XSXEP I\TSVX
I\XVEGXMSR▯ XLI QMRIW SJ 'LYUYMGEQEXE [MPP IEVRMRKW▯ 8LSYKL MX MW XVYI XLEX XLI MRZIRXMSR SJ

GSRXMRYI XS TVSHYGI YRXMP XLI IRH SJ XLI RI\X W]RXLIXMG RMXVEXI▯ EX XLI FIKMRRMRK SJ XLMW GIRXYV]▯
GIRXYV]▯ ;MXL QYGL NYWXMJMGEXMSR▯ 7EPZEHSV%PPIRHI LEW VIHYGIH MRXIVREXMSREP GSRWYQTXMSR SJ REXYVEP

UYEPMJMIH▯'LYUYMGEQEXE▯EW▯XLI▯uWEPEV]▯SJ▯'LMPIv▯▯% RMXVEXI XS E QMRMQYQ▯ YT YRXMP XLIR 'LMPIER

WEPEV] XLEX &SPMZME LEW FIIR TE]MRK JSV E GIRXYV] I\TSVXW SJ RMXVEXI ERH MXW HIVMZEXMZI MSHMRI JMRERGIH
[MXL XLI VIWSYVGIW TVSZMHIH F] QMRIW WMXYEXIH MR EPQSWX ▯▯ SJ XLI JMWGEP MRGSQI SJ XLI GSYRXV]▯

XLI XIVVMXSV] XLEX [EW SRGI LIVW▯ 9RXMP E PMXXPI FIJSVI XLI JMVWX )YVSTIER [EV▯ 'LMPI
LEH E [SVPH QSRSTSP] SR RMXVEXI TVSHYGXMSR▯

8LI PSSX KEMRIH F] 'LMPI MR XLI ;EV SJ XLI 4EGMJMG

[EW RSX PMQMXIH XS XIVVMXSVMEP I\TERWMSR ERH XLI 8S XLMW HE]▯ MR XLMW SPH &SPMZMER QEVMXMQI TVSZMRGI▯
I\TPSMXEXMSR SJ GSTTIV▯ 3RI SJ XLI IGSRSQMG GER FI JSYRH E JI[ RMXVEXI GSQTERMIW SJ QIHMYQ

GEYWIW SJ XLI [EV SJ ▯▯▯▯ [EW XLI EMQ SJ WIM^MRK MQTSVXERGI▯

HITSWMXW SJ KYERS▯ E REXYVEP JIVXMPM^IV PIJX F] WIE
FMVHW SZIV GIRXYVMIW▯ -X LEW FIIR GEPGYPEXIH XLEX MR -X WLSYPH EPWS FI QIRXMSRIH XLEX TVIWIRX▯HE] 'LMPI

XLI PEWX ▯▯ ]IEVW▯ 'LMPI LEW I\XVEGXIH JVSQ XLIWI TVSHYGIW EPQSWX XIR XLSYWERH XSRW SJ WYPTLYV
HITSWMXW SZIV E QMPPMSR XSRW SJ JIVXMPM^IV JSV XLI ERRYEPP]▯ 7SQI SJ XLI TVMRGMTEP HITSWMXW EVI XS FI

EKVMGYPXYVEP EVIEW SJ XLI GIRXVEP ERH WSYXLIVR ^SRIW JSYRH MR XLI HMWXVMGX SJ 3PPEKàI▯ WMXYEXIH MR XLI I\▯

&SPMZMER TVSZMRGI SJ%XEGEQE▯

909Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

-R EHHMXMSR XS WYPTLYV XLIVI EVI HITSWMXW SJ -▯ -R TSMRX ▯ E WIVMIW SJ JEGXSVW [LMGL EJJIGX XLI

QSP]FHIRYQ▯ QERKERIWI▯ PMXLMYQ▯ MVSR ERH WMPZIV▯ IGSRSQMG ERH WSGMEP HIZIPSTQIRX SJ XLI
TVIWIRX MR ZEV]MRK UYERXMXMIW MR XLI WEMH XIVVMXSV]▯ GSYRXV] VIWYPXMRK JVSQ GSRJMRIQIRX EVI

MHIRXMJMIH▯%PXLSYKL QSWX SJ XLI MQTEGXW EVI

8LI GMX] SJ%RXSJEKEWXE MW SRI SJ XLI SFPMKEXSV] HMJJMGYPX XS UYERXMJ]▯ XLIVI MW ZMWMFPI LEVQ
TSVXW▯ MR 'LMPIER XIVVMXSV]▯ JSV &SPMZMER I\TSVXW ERH XLEX GER FI SFWIVZIH SFNIGXMZIP]▯ IZIR QSVI

MQTSVXW▯ -X S[IW MXW TVSKVIWW ERH TVSWTIVMX]▯ WS MJ GSQTEVMWSRW EVI QEHI [MXL XLI QEXIVMEP
IWTIGMEPP]▯▯XS▯GSQQIVGI▯[MXL▯&SPMZME▯▯8LI▯GMX]vW GSRHMXMSRW SJ MXW QEVMXMQI RIMKLFSVW▯

VEMP JEVIW OIIT VMWMRK YRMPEXIVEPP] ERH EVFMXVEVMP]▯ -R
EPP XLI 'LMPIER TSVXW &SPMZMER QIVGLERHMWI MW 8LYW▯ MR XLMW [SVO ER EREP]XMGEP ETTVSEGL MW

WYFNIGX XS HIHYGXMSRW ERH SXLIV HIPIXIVMSYW YWIH MR [LMGL JMVWX XLI SFWXEGPIW XS MRWIVXMSR

GSRHMXMSRW▯ MR XLI MRXIVREXMSREP IGSRSQ]▯ MR XLMW IVE SJ
KPSFEPM^EXMSR ERH STIR VIKMSREPMWQ▯ EVI

*MREPP]▯ MX MW [SVXL QIRXMSRMRK▯ ERH [MXL IUYEP HMWGYWWIH▯ 8LI SFWXEGPIW QIER XLEX XLI
IQTLEWMW▯ XLEX XLI IGSRSQMG HEQEKI MRGYVVIH F] REXMSREP IGSRSQ] XIRHW XS PSSO MR[EVH▯

&SPMZME MW NYWX EW WIVMSYW MR VIPEXMSR XS MXW PSWX PSWMRK XLI TSWWMFMPMX] SJ HIZIPSTMRK JYPP] MXW
QEVMRI VIWSYVGIW▯ MRGPYHMRK QEVMRI PMJI ERH SGIER TSXIRXMEP GSQTIXMXMZI EHZERXEKIW▯ [LMPI

JPSSV REXYVEP VIWSYVGIW▯ JSQIRXMRK EX XLI WEQI XMQI E REXMSREP

▯;EPXIV 1SRXIRIKVS▯ QIRXEPMX] XLEX MW GSRWIVZEXMZI ERH PIWW STIR
0SWX 3TTSVXYRMXMIW▯ XS XLI [SVPH▯ 'SRJMRIQIRX LEW QIERX XLEX MX

0SW%QMKSW HIP 0MFVS▯ 0E 4E^▯ ▯▯▯▯▯ LEW FIIR MQTSWWMFPI XS FIRIJMX JVSQ QEVMRI
VIWSYVGIW XLEX WLSYPH FI E YRMZIVWEP LIVMXEKI

8 ,) '378 3* & 30-:-% t7 '32*-2)1)28 VEXLIV XLER XLI TVMZMPIKI SJ QEVMXMQI
8LI PERH▯PSGOIH REXYVI SJ XLI REXMSREP XIVVMXSV] GSYRXVMIW▯ -X LEW EPWS QIERX PSWMRK SYX SR

[MXLSYX HSYFX LEW ER MQTEGX SR IGSRSQMG KVS[XL LYQER GETMXEP JPS[W JVSQ MQQMKVEXMSR▯ ERH

ERH SR XLI WSGMEP GSRHMXMSRW SJ XLI GSYRXV]▯ 8LMW JSVIMKR MRZIWXQIRX▯ 'SRJMRIQIRX LEW PIH XS
FSSO WIXW SYX XS MHIRXMJ] XLI MQTEGXW SJ WIVMSYW PMQMXEXMSRW MR JSVIMKR XVEHI ERH XLI

GSRJMRIQIRX▯ FEWMGEPP] JVSQ ER IGSRSQMG PSWW SJ EYXSRSQ] MR XVEHI EHQMRMWXVEXMSR▯
TIVWTIGXMZI▯

910 Annex 61

8LI&PYI&SSO

--▯ 8LI MQTEGXW SJ GSRJMRIQIRX SR WSGMEP MRHI\ XEOIW MRXS EGGSYRX XLVII KVSYTW SJ

GSRHMXMSRW GER FI UYERXMJMIH F] GSQTEVMRK ZEVMEFPIW XLEX GSZIV LIEPXL GSRHMXMSRW▯

XLI▯92(4vW▯,YQER▯(IZIPSTQIRX▯-RHI\ IHYGEXMSR ERH MRGSQI XS WEXMWJ] FEWMG RIIHW▯

▯,(-
JSV QEVMXMQI GSYRXVMIW [MXL XLSWI XLEX

LEZI RS EGGIWW XS XLI WIE▯ 7YGL E GSQTEVMWSR ;LMPI XLI ,(- JSV &SPMZME MR ▯▯▯▯ [EW

EPPS[W YW XS EWWIVX XLEX XLI PMZMRK WXERHEVHW ▯▯▯▯▯▯ XLI EZIVEKI ,(- JSV MXW RIMKLFSVMRK

SJ XLI TSTYPEXMSRW SJ PERH▯PSGOIH GSYRXVMIW QEVMXMQI GSYRXVMIW ▯&VE^MP▯%VKIRXMRE▯ 'LMPI

EVI [IPP FIPS[ XLSWI SJ XLIMV GSEWXEP ERH 4IVY
GEQI XS ▯▯▯▯▯▯ ▯▯ LMKLIV▯

RIMKLFSVW▯ 8LMW MW RSX JSVXYMXSYW▯ EW XLI -RHMZMHYEP ,(- GSQTEVMWSRW [MXL PERH▯

GSYRXVMIW YRHIV GSQTEVMWSR LEZI VIPEXMZIP] PSGOIH RIMKLFSVMRK GSYRXVMIW TEMRX ER

WMQMPEV LMWXSVMIW▯ GYPXYVIW▯ ERH QEXIVMEP EPXSKIXLIV HMJJIVIRX TMGXYVI▯ EW MR XLI GEWI SJ

VIWSYVGIW▯ 4EVEKYE]▯ ERH MRHIIH SJ EPP SXLIV PERH▯

PSGOIH GSYRXVMIW MR XLI [SVPH▯ [MXL XLI

,(- MW ER MRHI\ XLEX GPEMQW XS GETXYVI MR ER I\GITXMSR SJ 7[MX^IVPERH▯▯E HIZIPSTIH

MRXIKVEP [E] XLI HMQIRWMSRW SJ HIZIPSTQIRX GSYRXV]▯▯ERH 1SRKSPME [LMGL SRP] FSVHIVW

SJ TISTPIW MR IZIV] GSYRXV] MR XLI [SVPH▯ 8LI 'LMRE▯WIIGLEVX
▯

,YQER (IZIPSTQIRX -RHI\ ▯,(-
MR 'SRJMRIH 'SYRXVMIW ▯▯▯▯▯
▯'SQTEVMWSR [MXL XLI MRHIGIW SJ RIMKLFSYVMRK RSR▯PERH▯PSGOIH GSYRXVMIW

,(- ,(-%ZK▯
+%4 2IMKLFSYVMRK▯▯
2IMKLFSYVMRK 'SYRXVMIW ▯,(-

&SPMZME ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ %VKIRXMRE▯▯▯▯▯▯
▯&VE^MP▯▯▯▯▯▯
▯'LMPI▯▯▯▯▯▯
▯4IVY▯▯▯▯▯▯
▯9VYKYE]▯▯▯▯▯▯
4EVEKYE] ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ 2EQMFME▯▯▯▯▯▯
▯ 7SYXLEJVMGER 6ITYFPMG ▯▯▯▯▯▯
&SXW[ERE ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ 'EQIVSSR▯▯▯▯▯▯
▯7YHER▯▯▯▯▯▯
▯▯▯0MF]E▯▯▯▯▯▯

'LEH ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ 1S^EQFMUYI▯▯▯▯▯▯
▯ 8ER^ERME▯▯▯▯▯▯
1EPE[M ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ +YMRIE▯▯▯▯▯▯
▯ 7IRIKEP▯▯▯▯▯▯
▯ 1EYVMXERME▯▯▯▯▯▯
▯%VKIPME▯▯▯▯▯▯
1EPM ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ 2MKIVME▯▯▯▯▯▯
▯ ▯▯0MF]E▯▯▯▯▯▯
2MKIV ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ 7YHER▯▯▯▯▯▯
▯ 'SRKS▯▯▯▯▯▯
▯ 'EQIVSSR▯▯▯▯▯▯

'IRXVSEJVMGER 6IT▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ /IR]E▯▯▯▯▯▯
▯ 8ER^ERME▯▯▯▯▯▯
▯ 7YHER▯▯▯▯▯▯
9KERHE ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ 'LMRE▯▯▯▯▯▯
▯ -XEP]▯▯▯▯▯▯
1SRKSPME ▯▯▯▯▯ ▯▯▯▯▯ ▯▯ +IVQER]▯▯▯▯▯▯
▯ *VERGI▯▯▯▯▯▯
%YWXVME ▯▯▯▯▯ ▯▯▯▯▯ ▯▯

7[MX^IVPERH ▯▯▯▯▯ ▯▯▯▯▯ ▯▯
▯▯
8LMW MW E [IMKLXIH EZIVEKI SR XLI FEWMW SJ XLI [IMKLX SJ XLI TSTYPEXMSR MR IEGL GSYRXV] JSV XLI IRXMVIX] SJ XLI RIMKLFSYVMRK GSYRXVMIW
▯▯▯
,(- HEXE JSV 0MF]E GSVVIWTSRH XS XLI ]IEV ▯▯▯▯▯
7SYVGIW6ITSVX SR ,YQER (IZIPSTQIRX ▯▯▯▯ ▯92(4
ERH 6ITSVX SR ,YQER (IZIPSTQIRX ▯▯▯▯ ▯92(4
▯

911Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

&SPMZME▯ (MJJIVIRGI FIX[IIR XLI 4SXIRXMEP +(4ERH XLI +(4SFWIVZIH ▯MR 1 PMMPR 9▯7▯ (SPPEVW

4SXIRXMEP 3FWIVZIH (MJJIVIRGI (YI XS XLI +(44SXIRXMEP +(43FWIVZIH
=IEVW +(4 +(4 0ERH▯PSGOIH 'SRHMXMSR +VS[XL 6EXI +VS[XL 6EXI

▯▯▯▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯▯ ▯▯▯▯ ▯▯▯▯
▯▯▯▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯▯ ▯▯▯▯ ▯▯▯▯
▯▯▯▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯▯ ▯▯▯▯ ▯▯▯▯

▯▯▯▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯▯ ▯▯▯▯ ▯▯▯▯
▯▯▯▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯▯ ▯▯▯▯ ▯▯▯▯
▯▯▯▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯▯ ▯▯▯▯ ▯▯▯▯
▯▯▯▯ ▯▯▯▯▯ ▯▯▯▯▯ ▯▯▯ ▯▯▯▯ ▯▯▯▯

838%0 ▯▯▯▯▯
7SYVGI▯ )PEFSVEXIH F] 9(%4) [MXL -RJSVQEXMSR 4VSZMHIH F] -2) ▯ (ITEVXQIRX 2EXMSREP %GGSYRXW

---▯ *MREPP]▯ XLI FSSO TVIWIRXW WSQI WTIGMJMG 8LI GSRJMRIQIRX SJ &SPMZME▯ [LMGL LEW MXW SVMKMR

UYERXMJMGEXMSRW SJ XLI GSWX▯ JSV &SPMZMER MR XLI [EV [MXL 'LMPI MR XLI PEWX GIRXYV]▯ LEW LEH

JSVIMKR XVEHI STIVEXMSRW▯ SJ XVERWTSVX ERH XLI ERH GSRXMRYIW XS LEZI WIVMSYW MQTPMGEXMSRW JSV XLI

YWI SJ TSVX JEGMPMXMIW ERH WIVZMGIW MR 'LMPIER IGSRSQMG ERH WSGMEP HIZIPSTQIRX SJ XLI GSYRXV]▯

XIVVMXSV]▯ 7YGL GSWXW EVI FEWMGEPP] GSZIVIH F] 8LI PSWW SJ XLI &SPMZMER GSEWX LEW IRXEMPIH QYGL

I\TSVXIVW EW E OMRH SJ XE\ XLEX QEOIW XLIMV QSVI XLER WMQTPI HMWQIQFIVQIRX ERH XLI PSWW SJ

KSSHW QSVI I\TIRWMZI ERH LIRGI PIWW HMVIGX GSRXEGX [MXL XLI [SVPH▯ 8LI VIWYPX LEW FIIR E

GSQTIXMXMZI MR XLI MRXIVREXMSREP QEVOIX▯ -R UYERXMXEXMZI VIHYGXMSR MR MXW SVMKMREP REXYVEP

XLI GEWI SJ MQTSVXW▯ MX MW PSGEP GSRWYQIVW▯ VIWSYVGI IRHS[QIRX MR XLI XIVVMXSV] PSWX▯ WYGL EW

[LS LEZI RS STXMSR FYX XS EGUYMVI GSRWYQIV KYERS▯ RMXVEXI ERH GSTTIV TVMRGMTEPP]▯ EPP SJ [LMGL

KSSHW ERH QEGLMRIV] EX LMKLIV TVMGIW▯ [LS LEZI FIIR IJJMGMIRXP] I\TPSMXIH F] 'LMPI YT XS XLMW

WLSYPHIV XLI GSWX▯ 8LI GSQFMREXMSR SJ GSWXW HE]▯ 'STTIV▯ [LMGL VITVIWIRXW EX TVIWIRX ▯▯ SJ

z▯VSEH▯ERH▯VEMP▯XVERWTSVX▯▯YWI▯SJ▯TSVX 'LMPIER I\TSVXW▯ MW I\TPSMXIH MR QMRIW PSGEXIH MR

JEGMPMXMIW▯▯ERH▯SXLIVW▯z▯GSQI▯XS▯▯▯▯QMPPMSR XIVVMXSV] XLEX SRGI FIPSRKIH XS &SPMZME▯ WYGL EW

HSPPEVW E ]IEV▯ 'LYUYMGEQEXE▯ [LMGL MW XSHE] XLI PEVKIWX GSTTIV

HITSWMX MR 'LMPI▯

▯▯▯-QTPMGEXMSRW▯SJ▯&SPMZMEvW▯GSRJMRIQIRX

3XLIV▯MQTPMGEXMSRW▯SJ▯&SPMZMEvW▯GSRJMRIQIRX▯MRGPYHI▯

912 Annex 61

8LI&PYI&SSO

▯ 8LI MQTSWWMFMPMX] XS YWI ERH I\TPSMX ZEWX E QSVI IJJMGMIRX IRXVITVIRIYVMEP ERH [SVO
QEVMRI VIWSYVGIW MR XLI ▯▯▯ QMPI [MHI QIRXEPMX]▯ MRZIWXQIRX GETMXEP ERH

XIVVMXSVMEP [EXIV ^SRI▯ MRXIVREXMSREP GSRXEGXW▯ EQSRK SXLIVW▯
▯ %REXMSREP▯EXXMXYHI▯XLEX▯MW▯uPIWW▯STIRvXS▯XLI ▯ 8LI MR[EVH▯PSSOMRK XIRHIRG] SJ XLI

[SVPH▯ [MXL VITIVGYWWMSRW MR VIHYGIH IGSRSQ]▯ VIWYPXMRK MR HMWXSVXMSRW MR

TVSHYGXMSR▯ PIWW MRJSVQEXMSR▯ ERH JI[IV TVSHYGXMZI HIZIPSTQIRX ERH MRWYJJMGMIRX
MRZIWXQIRXW▯ GSQTIXMXMZI EHZERXEKIW▯

▯ 8VEHI HMWXSVXMSRW WYJJIVIH F] PERH▯PSGOIH ▯ 8LI IGSRSQMG MQTEGX SJ I\XIVREPMXMIW PSWX F]
GSYRXVMIW▯ 1SWX JSVIMKR GSQQIVGI F] PERH▯ RSX LEZMRK HMVIGX EGGIWW XS XLI WIE▯ WYGL EW

PSGOIH GSYRXVMIW XEOIW TPEGI [MXL MXW TVSHYGXMSR ERH WIVZMGI EGXMZMXMIW▯

MQQIHMEXI RIMKLFSVW▯ FYX XLIWI HS RSX ▯ 3FWXEGPIW XS QEVOIXMRK HYI XS XLI
EP[E]W SJJIV GSRHMXMSRW EW JEZSVEFPI EW SXLIV MQTPIQIRXEXMSR SJ RSR▯ XEVMJJ FEVVMIVW▯ WYGL

QEVOIXW▯ EW XLI TVSLMFMXMSR SR XLI XIQTSVEV] WXSVEKI
▯ 1SVI SFWXEGPIW XS QEOMRK XLI QSWX SJ XLI SJ GIVXEMR QMRIVEPW JSV I\TSVX▯ WYGL EW PIEH

EHZERXEKIW SJ KPSFEPM^EXMSR ERH IGSRSQMG ERH ^MRG MR%RXSJEKEWXE EX XLI TVIWIRX XMQI▯
MRXIKVEXMSR▯ -R TEVXMGYPEV▯ XLI HMJJMGYPX] SJ

IGSRSQMG TVSNIGXMSR MR XLI 4EGMJMG 6MQ▯ SRI ▯▯ -QTEGX SJ GSRJMRIQIRX SR WSGMEP

SJ▯XSHE]vW▯QSWX▯H]REQMG▯VIKMSRW▯▯ GSRHMXMSRW
▯ 0SWW SJ JSVIMKR MRZIWXQIRX▯ [LMGL XIRHW XS 8LI WXERHEVH SJ PMZMRK ERH WSGMEP GSRHMXMSRW SJ XLI

JPS[ XS GSYRXVMIW [MXL KVIEXIV EGGIWW XS XLI [SVPHTSTYPEXMSRLEZIFIIREREP]^IHF]XLI
VIWX SJ XLI [SVPH▯ *SVIMKR MRZIWXQIRX WIIW 9RMXIH 2EXMSRW YWMRK E GSQTEVEXMZI MRHI\▯ XLI

GSRJMRIQIRX EW E PMQMXMRK JEGXSV▯ KMZIR XLI ,YQER (IZIPSTQIRX -RHI\ ▯,(-
▯ ETTPMGEFPI XS

MRGVIEWI MR XVERWTSVX GSWXW▯ IZIV]GSYRXV]MRXLI[SVPH▯
▯ 0EGO SJ GSRXEGX [MXL XLI MQQMKVEXMSR JPS[W

SJ XLI ▯▯XL ERH IEVP] ▯▯XL GIRXYVMIW▯ [MXL 8LI ,(- MW ER MRHI\ [LMGL EMQW XS GETXYVI MR ER
VIWYPXMRK PMQMXEXMSRW MR LYQER GETMXEP MRXIKVEP [E] XLI ZEVMSYW HMQIRWMSRW SJ TSZIVX]

HIZIPSTQIRX▯ 8LI JPS[ SJ MQQMKVERXW XS EJJIGXMRK XLI [SVPH TSTYPEXMSR F] GSYRXV]▯ 8LI

RIMKLFSVMRK GSYRXVMIW RSX SRP] PIH XS E MRHI\ XEOIW MRXS EGGSYRX XLVII KVSYTW SJ ZEVMEFPIW
GSRWMHIVEFPI I\TERWMSR SJ XLIMV MRXIVREP XLEX GSZIV LIEPXL GSRHMXMSRW▯ IHYGEXMSR ERH MRGSQI

QEVOIXW▯ FYX EPWS FVSYKLX [MXL MX XIGLRSPSK]▯ XS WEXMWJ] FEWMG RIIHW▯ 8LI VITVIWIRXEXMZI ZEVMEFPIW

913Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

EVI▯VIWTIGXMZIP]▯▯uPMJI▯I\TIGXERG]vJSV▯LIEPXL▯ VEXIW SJ TVSHYGXMSR ERH KVS[XL XLER XLSWI WS JEV

uEHYPX▯PMXIVEG]vERH▯uWGLSSP▯IRVSPQIRX▯VEXIvJSV EGLMIZIH▯
IHYGEXMSR▯▯ERH▯uVIEP▯+(4 TIV▯MRLEFMXERXvJSV

MRGSQI▯ 8LI GLEVX WLS[W XLI TSXIRXMEP +(4 EX ▯▯▯▯ TVMGIW

XLEX [SYPH LEZI FIIR EGLMIZIH [MXLSYX XLI
*SV XLI ,(- TYFPMWLIH F] 429( MR ▯▯▯▯ ERH TIVGIRXEKI PSWWIW IWXMQEXIH F] 7EGLW▯ 8LI

IWXMQEXIH JSV ▯▯▯▯▯ MX GER FI SFWIVZIH XLEX XLI HMJJIVIRGI FIX[IIR VIEP ERH TSXIRXMEP +(4▯ ERH XLI
PMZMRK GSRHMXMSRW ERH PIZIP SJ LYQER HIZIPSTQIRX GSVVIWTSRHMRK PSWW MR QMPPMSRW SJ HSPPEVW FIX[IIR

SJ PERH▯PSGOIH HIZIPSTMRK GSYRXVMIW EVI [IPP ▯▯▯▯ ERH ▯▯▯▯▯ MW WLS[R▯
FIPS[ XLSWI SJ RIMKLFSVMRK QEVMXMQI GSYRXVMIW▯

VIJPIGXMRK XLI RIKEXMZI MQTEGXW SJ GSRJMRIQIRX SR -R ▯▯▯▯▯ JSV I\EQTPI▯ MX MW IWXMQEXIH XLEX XLI

WSGMEP [IPP▯FIMRK▯ &SPMZMER +(4 PSWX ▯▯▯ QMPPMSR HSPPEVW▯ KMZIR XLEX
XLI VIEP VEXI SJ +(4 KVS[XL▯ SJ ▯▯▯▯ ▯ [SYPH LEZI

8LI HMJJIVIRGI MR WXERHEVH SJ PMZMRK FIX[IIR PERH▯ VIEGLIH ▯▯▯▯ ▯ -R XLI PEWX XIR ]IEVW QSVI XLER JSYV
PSGOIH%JVMGER GSYRXVMIW ERH XLIMV GSVVIWTSRHMRK XLSYWERH QMPPMSR HSPPEVW EVI IWXMQEXIH XS LEZI

RIMKLFSVW▯ [MXL PS[IV ,(-W MR XLI GEWI SJ XLI FIIR PSWX EW E GSRWIUYIRGI SJ GSRJMRIQIRX▯ 9WMRK
JSVQIV▯ MW EPWS ZIV] GPIEV ▯WII XLI GLEVX
▯ XLMW▯QIXLSHSPSK]▯▯SRI▯GER▯MRJIV▯&SPMZMEvW▯+(4

PSWW MR XLI EPQSWX ▯▯▯ ]IEVW WMRGI XLI PSWW SJ XLI

▯▯ -QTEGX SJ GSRJMRIQIRX SR IGSRSQMG WIE MR ▯▯▯▯▯
KVS[XL

8LI QEGVSIGSRSQMG MQTEGX SJ GSRJMRIQIRX SR ▯▯ 7SQI UYERXMJMEFPI GSWXW VIWYPXMRK JVSQ
IGSRSQMG KVS[XL [EW EREP]^IH ERH UYERXMJMIH F] GSRJMRIQIRX

XLI TVIWXMKMSYW IGSRSQMWX▯ .IJJVI] 7EGLW▯ [LS 8LI UYERXMJMEFPI GSWXW VIWYPXMRK JVSQ GSRJMRIQIRX
IWXMQEXIH XLEX GSYRXVMIW [MXL RS EGGIWW XS XLI WIE MRGPYHI I\TSVX ERH MQTSVX GSWXW XS ERH JVSQ XLI

PSWI ▯▯▯ TIVGIRXEKI TSMRXW MR XLIMV KVS[XL VEXIW▯ TSVXW PSGEXIH MR XLI RSVXL SJ 'LMPI▯ XLI GSWXW SJ

TVIGMWIP] FIGEYWI SJ XLIMV PERH▯PSGOIH WXEXYW▯ XVERWTSVXMRK QIVGLERHMWI ERH YWMRK TSVX JEGMPMXMIW▯

%TTP]MRK▯7EGLWvGVMXIVMSR▯XS▯+(4 KVS[XL▯MR 1SWX XVERWTSVX SJ KSSHW XS ERH JVSQ XLI TSVXW MR
&SPMZME▯ MX GER FI SFWIVZIH XLEX MJ XLI GSYRXV] LEH RSVXLIVR▯'LMPI▯YWIW▯XLI▯X[S▯VSEHW▯▯0E▯4E^▯z▯%VMGE

RSX PSWX MXW GSEWXPMRI▯ MX [SYPH LEZI VIEGLIH LMKLIV ERH▯3VYVS▯z▯4MWMKYE▯▯ERH▯XLI▯VEMP[E]▯PMRIW▯0E▯4E^

914 Annex 61

8LI&PYI&SSO

z▯%VMGE▯ERH▯3VYVS▯z▯%RXSJEKEWXE▯▯8LI▯VEMP[E]▯PMRI c *YIP EGUYMVIH MR 'LMPI ▯▯▯▯ PMXIVW TIV XVMT
▯
VYRRMRK JVSQ 3VYVS XS%RXSJEKEWXE▯ MR XLI ▯▯▯▯▯▯▯ PMXIVW

&SPMZMER▯TEVX▯▯XSKIXLIV▯[MXL▯XLI▯PMRI▯0E▯4E^▯z c 'SWX SJ FY]MRK JYIP MR 'LMPI▯ ▯▯▯▯▯▯▯▯▯
'LEVEÕE▯ [EW WSPH XS XLI 'LMPIER JMVQ 'VY^ &PERGE HSPPEVW

7▯%XLVSYKL XLI GETMXEPM^EXMSR SJ XLI 2EXMSREP c :ILMGPI QEMRXIRERGI GSWXW▯ ▯▯▯▯▯▯▯ HSPPEVW

6EMP[E] 'SQTER] ▯)QTVIWE 2EGMSREP HI c 0SHKMRK ERH SXLIV GSWXW▯ ▯▯▯▯▯▯▯▯▯ HSPPEVW
*IVVSGEVVMPIW
▯

8LYW XLI XSXEP JSV XLIWI GSWXW GSQIW XS ER
▯▯▯ 6SEH XVERWTSVX GSWXW IWXMQEXIH ▯▯▯ QMPPMSR HSPPEVW▯

8LI EHHIH ZEPYI SJ VSEH XVERWTSVX▯ KMZIR XLI
QSRSTSP] EWWYQIH F] XLI &SPMZMER 'LEQFIV SJ ▯▯▯ 6EMP XVERWTSVX GSWXW

8VERWTSVX▯ GERRSX FI GSRWMHIVIH E GSWX SJ *SVIMKR XVEHI VEMP XVERWTSVX GSWXW WTIRX MR 'LMPIER

GSRJMRIQIRX▯ MX MW TEMH JSV F] &SPMZMER XVEHIVW XS XIVVMXSV] EVI EPWS GSWXW EXXVMFYXIH XS GSRJMRIQIRX▯
&SPMZMER XVERWTSVX STIVEXSVW▯ ERH XLIVIJSVI SRP] 8LI JSPPS[MRK TVIQMWIW LIPT XS UYERXMJ] XLIQ▯

MRGPYHIW XVERWEGXMSRW FIX[IIR &SPMZMERW▯ c 8SXEP ZSPYQI XVERWTSVXIH MR ▯▯▯▯ EW MQTSVXW
ERH I\TSVXW▯ ▯▯▯▯▯▯▯ XSRW

=IX XLIVI EVI GSWXW FSVRI F] &SPMZMER XVERWTSVX c 0IRKXL SJ XLI VIPIZERX VEMP RIX[SVO MR

STIVEXSVW MR 'LMPIER XIVVMXSV]▯ WYGL EW ZILMGPI &SPMZME▯ ▯▯▯▯ OQ
QEMRXIRERGI▯ XSPP FSSXLW▯ JYIP▯ PSHKMRK ERH SXLIVW▯ c 0IRKXL SJ XLI VIPIZERX VEMP RIX[SVO MR 'LMPI▯

▯▯▯ OQ
%VSYKL GEPGYPEXMSR SJ XLIWI GSWXW MW FEWIH SR XLI c 8SXEP PIRKXL SJ XLI VIPIZERX VEMP RIX[SVO▯

JSPPS[MRK TVIQMWIW▯ ▯▯▯▯▯ OQ

c 8SXEP ZSPYQI SJ XVEHI MR ▯▯▯▯▯ ▯▯▯▯▯▯▯▯▯ c 'SWX SJ XVERWTSVX MR 'LMPI ▯▯▯▯▯▯▯▯ \ ▯▯ \
XSRW ▯▯▯▯▯
▯ ▯▯▯▯▯▯▯▯▯ HSPPEVW

c :SPYQI XVERWTSVXIH F] VEMP▯ ▯▯▯▯▯▯▯ XSRW
c :SPYQI XVERWTSVXIH F] VSEH▯ ▯▯▯▯▯▯▯ XSRW &SPMZMER XVEHIVW [LS YWI VEMP XVERWTSVX TE]

c 2YQFIV SJ NSYVRI]W MR E ]IEV ▯▯▯ XSRW TIV ERRYEPP] XS XLI 'LMPIER VEMP GSQTER] WSQI ▯▯▯

XVMT
▯ ▯▯▯▯▯▯ QMPPMSR HSPPEVW▯
c 2YQFIV SJ VIXYVR NSYVRI]W▯ ▯▯▯▯▯▯

915Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

▯▯▯ 8LI GSWXW SJ GSRJMRIQIRX MR VIPEXMSR XS ▯▯▯ QMPPMSR QIXVMG XSRW▯ LERHPIH MR XLI TSVXW SJ
%RXSJEKEWXE▯%VMGE ERH -UYMUYI▯ 8LI GSQQIVGMEP
TSVX JEGMPMXMIW
%RSXLIV GSWX MRGYVVIH F] GSQQIVGMEP STIVEXSVW MW ZEPYI SJ XLI XVEHI GEQI XS ▯▯▯▯▯▯▯ QMPPMSR (SPPEVW▯
E▯PMXXPI▯SZIV▯▯▯ ▯SJ▯XLI▯XSXEP▯ZEPYI▯SJ▯&SPMZMEvW
XLI YWI SJ TSVX JEGMPMXMIW▯ WYGL EW GEVKS LERHPMRK▯
WXSVEKI▯ PSEHMRK ERH YRPSEHMRK▯ EQSRK SXLIVW▯ SJ JSVIMKR XVEHI JSV XLEX ]IEV▯

MQTSVX ERH I\TSVX KSSHW▯
8LI EZIVEKI GSWX SJ XLI TSVX JEGMPMXMIW▯ JSV XLI

8LI YWI SJ TSVX JEGMPMXMIW VITVIWIRXW E GSWX JSV LERHPMRK▯ WXSVEKI▯ PSEHMRK ERH YRPSEHMRK SJ MQTSVX
&SPMZMER JSVIMKR XVEHI [LMGL FIRIJMXW XLI 'LMPIER ERH I\TSVX KSSHW GSQIW XSHE] XS WSQI ▯▯ (SPPEVW

IGSRSQ]▯ TIV XSR▯ [MXL WSQI ▯▯ KSMRK XS[EVHW PSEHMRK ERH
YRPSEHMRK▯ ERH XLI VIWX XS SXLIV STIVEXMSRW▯

-R ▯▯▯▯▯ XLI ZSPYQI SJ I\TSVXW ERH MQTSVXW
TEWWMRK XLVSYKL 'LMPIER TSVXW GEQI XS ▯▯▯▯▯ ERH

▯▯▯▯▯ XLSYWERH QIXVMG XSRW VIWTIGXMZIP]▯ E XSXEP SJ

916 Annex 61

:MI[ SJ 'SFMNE▯ &SPMZME▯ %RHVÍ &VIWWSR▯ ▯▯▯▯▯
' 'LVSRSPSK] SJ XLI [EV SJ XLI 4EGMJMG

*IFVYEV] ▯▯▯ ▯▯▯▯ 'LMPI SGGYTMIW XLI TSVX SJ (IGIQFIV ▯▯▯ ▯▯▯▯ %RI[ KSZIVRQIRX NYRXE MR 0E

%RXSJEKEWXE ERH &SPMZME MW HVEKKIH MRXS XLI ;EV 4E^ VIPMIZIW ,MPEVMSR (E^E SJ LMW GSQQERH ERH
XLI 4EGMJMG▯ KMZIW RI[ SVHIVW XS +IRIVEP 2EVGMWS 'EQTIVS▯

'SPSRIP )PMSHSVS 'EQEGLS MW QEHI 'LMIJ SJ 7XEJJ▯
1EVGL ▯▯▯ ▯▯▯▯ XLI (IJIRWI SJ 'EPEQE▯ 8LI
&SPMZMER LIVS )HYEVHS%FEVSE HIJIRHW 8STEXIV 1E] ▯▯▯ ▯▯▯▯ &EXXPI SJ%PXS%PMER^E▯

&VMHKI SR XLI 0SE 6MZIV▯
.YRI ▯▯ ▯▯▯▯ 8LI 'LMPIER%VQ] WIM^IW XLI GMX] SJ

%TVMP ▯▯ ▯▯▯▯ 'LMPI HIGPEVIW [EV SR &SPMZME ERH %VMGE▯
4IVY▯

1E] ▯▯▯ ▯▯▯▯ 8LI 4IVYZMER MVSR▯GPEH▯

GSQQERHIH F]%HQMVEP 1MKYIP +VEY▯ WMROW XLI
'LMPIER▯GSVZIXXI▯w)WQIVEPHEx▯MR▯-UYMUYI▯▯4IVY▯▯

3GXSFIV ▯▯ ▯▯▯▯ %HQMVEP 1MKYIP +VEY ERH LMW
WLMT▯▯w,YEWGEVx▯▯EVI▯HIJIEXIH▯SR▯%RKEQSW▯4SMRX▯

JEGMRK 1INMPPSRIW▯ &SPMZME▯

2SZIQFIV ▯▯ ▯▯▯▯ &EXXPI SJ 4MWEKYE▯

2SZIQFIV ▯▯ ▯▯▯▯ 4VIWMHIRX (E^E PIEZIW JSV
8EGRE XS QIIX XLI 'LMPIER%VQ]▯

2SZIQFIV ▯▯▯ ▯▯▯▯ ,MPEVMSR (E^E SVHIVW XLI

VIXVIEX SJ XLI &SPMZMER%VQ] JVSQ 'EQEVSRIW▯

2SZIQFIV ▯▯▯ ▯▯▯▯ &EXXPI SJ 8EVETEGE▯

2SZIQFIV ▯▯▯ ▯▯▯▯ &EXXPI SJ 7ER *VERGMWGS▯ 0EHMWPES▯'EFVIVE▯MR▯GLEVKI▯SJ▯'EPEQEvW▯HIJIRWI▯

917Annex 61

:--

8LI&PYI&SSO

3GXSFIV ▯▯▯ ▯▯▯▯ 4IVY ERH 'LMPI WMKR XLI%RGSR

4IEGI 8VIEX]▯

%TVMP ▯▯ ▯▯▯▯ &SPMZME ERH 'LMPI WMKR XLI 4EGX SJ
8VIKYE▯
' 'LVSRSPSK] SJ XLI FSPMZMER▯GLMPIER
QEVMXMQI MWWYI

% GSRHSV KSFFPMRK YT XLI VIQEMRW SJ E QYPI MR XLI %XEGEQE HIWIVX▯ &SPMZME▯ %R HVÍ &VIWWSR▯ ▯▯▯▯▯

918 Annex 61

8LI 1EVMXMQI 'PEMQ SJ &SPMZME

▯▯▯▯ 'VIEXMSR SJ XLI (ITEVXQIRX SJ XLI 'SEWX▯ ▯▯▯▯ &SPMZME ERH 'LMPI WMKR ▯ MRXIV▯VIPEXIH

TSPMXMGEPP] HMZMHIH MRXS XLI TVSZMRGIW SJ 0E 1EV▯ EKVIIQIRXW▯
[LSWI GETMXEP [EW 'SFMNE▯ ERH %XEGEQE▯ [LSWI

GETMXEP [EW 7ER 4IHVS HI %XEGEQE▯ ▯▯▯▯ %FVELEQ /ÚRMK WIRHW ER YPXMQEXYQ XS XLI
+SZIVRQIRX SJ &SPMZME▯

▯▯▯▯ 8LI JMVWX &SVHIV 8VIEX] FIX[IIR XLI

6ITYFPMGW SJ 'LMPI ERH &SPMZME MW WMKRIH▯ ▯▯▯▯ &SPMZME EGGITXW XLI XIVQW SJ E HVEJX XVIEX]
MQTSWIH F] 'LMPI▯

▯▯▯▯ 8LI 4VIJIGX SJ XLI &SPMZMER 'SEWX

(ITEVXQIRX JSYRHW %RXSJEKEWXE▯ ▯▯▯▯ 8LI HIJMRMXMZI XI\X SJ XLI 4IEGI 8VIEX] ERH
*VMIRHWLMT MW EKVIIH▯

▯▯▯▯ 8LI WIGSRH &SVHIV 8VIEX] FIX[IIR &SPMZME
▯▯▯▯ 8LI &SPMZMER *SVIMKR 1MRMWXIV▯ (ERMIP
ERH 'LMPI MW WMKRIH▯
7ERGLI^ &YWXEQERXI▯ WIRHW E 1IQSVERHYQ XS XLI

▯▯▯▯ 8LI &SPMZMER 'SRKVIWW MQTSWIW E XE\ SJ ▯▯ 4IVYZMER ERH 'LMPIER KSZIVRQIRXW▯

GIRXW▯SJ▯E▯FSPMZMERS▯JSV▯IEGL▯wUYMRXEPx▯▯QIEWYVI▯SJ
[IMKLX IUYMZEPIRX XS ▯▯ OK
SJ I\TSVXIH RMXVEXI▯ ▯▯▯▯▯▯▯▯▯ %X XLI 4EVMW 'SRJIVIRGI ERH EX XLI
0IEKYI SJ 2EXMSRW XLI &SPMZMER HIPIKEXMSR

TVSTSWIW XLI VIZMWMSR SJ XLI ▯▯▯▯ 8VIEX]▯
▯▯▯▯ 'LMPI SGGYTMIW XLI TSVX SJ %RXSJEKEWXE▯

▯▯▯▯ 8LI +SZIVRQIRX SJ XLI 9RMXIH 7XEXIW▯
▯▯▯▯ 'LMPI HIGPEVIW [EV XS FSXL &SPMZME ERH 4IVY▯
XLVSYKL XLI KSSH SJJMGIW SJ XLI 7IGVIXEV] SJ 7XEXI
*VERO /IPPSKK▯ WIRHW E TVSTSWEP XS XLI
▯▯▯▯ 8VIEX] SJ %RGSR MW WMKRIH▯ IWXEFPMWLMRK TIEGI
+SZIVRQIRXW SJ 'LMPI ERH 4IVY▯
FIX[IIR 4IVY ERH 'LMPI▯

▯▯▯▯ 8VIEX]SJ0MQE 'LMPIERH4IVYWMKRE4IEGI
▯▯▯▯ &SPMZME WMKRW XLI 4EGX SJ 8VIKYE▯
8VIEX] TEVXMXMSRMRK %VMGE JSV 'LMPI ERH 8EGRE JSV
4IVY▯ % GSQTPIQIRXEV] GPEYWI MR XLI XI\X SJ XLI
8LI&PYI&SSO
▯▯▯▯ 8LI 'LMPIER 7IREXI HIFEXIW ERH ETTVSZIW E 8VIEX] FMRHW IMXLIV REXMSR XS GSQI JMVWX XS ER
QSXMSR XS ERRI\ XS 'LMPI XLI %RXSJEKEWXE EKVIIQIRX MR XLI IZIRX SJ GIHMRK XIVVMXSV] XS [LEX

&SPMZMERvW▯%RXSJEKEWXE▯4VSZMRGI▯ XLI▯XI\X▯GEPPW▯uE▯XLMVH▯TS[IVv▯▯

▯▯▯▯ 8LI &SPMZMER ERH 'LMPIER +SZIVRQIRXW ▯▯▯▯ 8LI 'LEVEÕE RIKSXMEXMSRW JEMP▯ (MTPSQEXMG

I\GLERKI RSXIW XS VIWSPZI XLI QEVMXMQI UYIWXMSR▯ VIPEXMSRW EVI FVSOIR JSV XLI WIGSRH XMQI▯

▯▯▯▯ 8LI 9RMXIH 7XEXIW +SZIVRQIRX TVIWMHIH F] ▯▯▯▯ 8LI ▯▯XL +IRIVEP %WWIQFP] SJ XLI 3%7 MW

,EVV] 8VYQER MRZMXIW 'LMPI ERH &SPMZME XS GSRWMHIV LSWXIH MR &SPMZME▯ &SPMZME KIXW ETTVSZEP SJ
JSVQEPP]▯XLI▯UYIWXMSR▯SJ▯&SPMZMEvW▯EGGIWW▯XS▯XLI▯WIE▯▯ 6IWSPYXMSR▯▯▯▯▯▯[LMGL▯HIJMRIW▯&SPMZMEvW▯QEVMXMQI

GSRJMRIQIRX EW E LIQMWTLIVMG TVSFPIQ▯

▯▯▯▯ 8LI +SZIVRQIRX SJ 'LMPI▯ [MXLSYX XLI
GSRWIRX SJ &SPMZME▯ GLERKIW XLI GSYVWI SJ XLI ▯▯▯▯ 8LI +SZIVRQIRX SJ 9VYKYE] SJJIVW MXW

0EYGE▯ ER MRXIVREXMSREP VMZIV VYRRMRK EPSRK XLI GSSTIVEXMSR WS XLEX XLI QEVMXMQI UYIWXMSR GER FI
FSVHIV▯ (MTPSQEXMG VIPEXMSRW EVI FVSOIR JSV XLI RIKSXMEXIH MR 1SRXIZMHIS▯ &SPMZME VIXYVRW XS XLI

JMVWX XMQI▯ MHIE SJ XLI GSVVMHSV ERH TVSTSWIW XLI XVERWJIV SJ

XLVII IRGPEZIW EW [IPP▯ 'LMPI VINIGXW XLI &SPMZMER
▯▯▯▯ 8LI (IGPEVEXMSR SJ %]EGYGLS VIGSKRM^IW XLI TVSTSWEP EJXIV GSRWMHIVMRK MX SZIV E TIVMSH SJ

PMQMXEXMSRW JSV &SPMZME SJ MXW GSRJMRIQIRX▯ RMRIX] HE]W▯

▯▯▯▯ 8LI 3VKERM^EXMSR SJ %QIVMGER 7XEXIW ▯▯▯▯ &SPMZME WIGYVIW E VIWSPYXMSR JVSQ XLI 3%7 MR

GSQQIQSVEXIW ▯▯▯ ]IEVW SJ &SPMZMER [LMGL MX MW EKVIIH XLEX FSXL GSYRXVMIW FI

MRHITIRHIRGI ERH ZS[W XS VIWSPZI XLI IRGSYVEKIH XS HMEPSKYI▯ ERH XLEX XLI QEXXIV WLSYPH
GSRJMRIQIRX MWWYI▯ FI XEOIR YT MR ER] JYXYVI 3VHMREV] 7IWWMSRW SJ XLI

+IRIVEP %WWIQFP] SJ XLI 3%7▯

▯▯▯▯ 8LIVI FIKMRW E TVSGIWW SJ RIKSXMEXMSR▯ ORS[R
EW▯XLI▯w)QFVEGI▯SJ▯'LEVEÕEx▯▯FIX[IIR▯'LMPI▯ERH ▯▯▯▯ 8LI *SVIMKR 1MRMWXIVW SJ &SPMZME ERH 'LMPI

&SPMZME▯ &SPMZME VIUYIWXW E WSZIVIMKR ERH QIIX MR XLI %PKEVZI ▯4SVXYKEP
ERH IWXEFPMWL E RI[

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919Annex 61

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920 Annex 61

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921Annex 61

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922 Annex 61

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923Annex 61

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924 Annex 62

Political Constitution of the Plurinational State of Bolivia,
7 February 2009 (extracts)

(Original in Spanish, English translation)

<http://www.presidencia.gob.bo/documentos/publicaciones/constitucion.pdf…;

925Annex 62

Boliv
olvaiiaiiiiivliiiiiiiiiiv
ConsPolístPlurinacionall
II. Es deber del Estado ejecutar políticas de preservación y control de
los recursos naturales en las áreas fronterizas.
III. La regulación del régimen de fronteras será establecida por la ley.
CAPÍTULO :INTEGRACIÓN
Artículo265.I.El Estado promoverá, sobre los principios de una relación justa,
de integración social, política, cultural y económica con los demás
estados, naciones y pueblos del mundo y, en particular, promoverá
la integración latinoamericana.
IIgena originario campesinos con los pueblos indígenas del mundo.s indí-
Artículo 266. Las representantes y los representantes de Bolivia ante organismos
parlamentarios supraestatales emergentes de los procesos de inte-
gración se elegirán mediante sufragio universal.
CAPÍTULO :REIVINDICACIÓN MARÍTIMA
Artículo 267. I.El Estado boliviano declara su derecho irrenunciable e imprescrip-
espacio marítimo.rritorio que le dé acceso al océano Pacífico y su
II. La solución efectiva al diferendo marítimo a través de medios pa-
constituyen objetivos permanentes e irrenunciables del Estado bo-io
liviano.
Artículo 268. El desarrollo de los intereses marítimos, fluviales y lacustres, y de
y protección será ejercida por la Armada Boliviana, de acuerdo con
la ley.
95

CHAPTER FOUR: MARITIME CLAIM

over the territory giving access to the Pacific Ocean and its maritime space.ight

926 Annex 62
Booliviaololvaiallliiiiiiiv
ConstiPuolítEstPdlurinacional BolivaBolviiia

te se autorregulará a todos los efectos, debiendo aprobar el texto
constitucional por dos tercios del total de sus miembros presentes.
batorio.cia de la reforma necesitará referendo constitucional apro-
II. La reforma parcial de la Constitución podrá iniciarse por inicia-
electorado; o por la Asamblea Legislativa Plurinacional, mediante
ley de reforma constitucional aprobada por dos tercios del total
nal. Cualquier reforma parcial necesitará referendo constitucional
aprobatorio.
DISPOSICIONETRANSITORIAS
Primera. I. El Congreso de la República en el plazo de 60 días desde la pro-
mulgación de la presente Constitución, sancionará un nuevo ré-
nacional, Presidente y Vicepresidente de la República; la elección
tendrá lugar el día 6 de diciembre de 2009.
IItomados en cuenta a los efectos del cómputo de los nuevos perio-án
dos de funciones.
III.Las elecciones de autoridades departamentales y municipales se
realizarán el 4 de abril de 2010.
IV.Municipales y Prefectos de Departamento hasta la posesión de las
nuevas autoridades electas de conformidad con el párrafo anterior.
Segunda. La Asamblea Legislativa Plurinacional sancionará, en el plazo
del Órgano Electoral Plurinacional, la Ley del Régimen Electoral,
rinacional y la Ley Marco de Autonomías y Descentralización.al Plu-

Tercera. I.tales en el referendo del 2 de julio de 2006, accederán directamen-
Constitución. de autonomías departamentales, de acuerdo con la

154

TRANSITIONAL PROVISIONS
927Annex 62

Bolliv
Boviaiialivialliiiiiiiiiiiv
Bolviaialiiiiiiv ConstiPuolítEstaPlurinacionall

II. Los departamentos que optaron por la autonomía departamental
tutos a esta Constitución y sujetarlos a control de constitucionali-
dad.

Cuarta. La elección de las autoridades de los órganos comprendidos en la
disposición segunda, se realizarán de conformidad al calendario
electoral establecido por el Órgano Electoral Plurinacional.

Quinta. cional se aprobarán las leyes necesarias para el desarrollo de las
disposiciones constitucionales.

Sexta. En el plazo máximo de un año después de que entre en vigencia la
Ley del Órgano Judicial, y de acuerdo con ésta, se procederá a la
revisión del escalafón judicial.

Séptima. A efectos de la aplicación del parágrafo I del artículo 293 de esta
limitación a las Tierras Comunitarias de Origen. En el plazo de
un año desde¬ la elección del Órgano Ejecutivo y Legislativo, la
categoría de Tierra Comunitaria de Origen se sujetará a un trámi-
te administrativo de conversión a Territorio Indígena Originario
Campesino, en el marco establecido en esta Constitución.

Octava. I. En el plazo de un año desde la elección del Órgano Ejecutivo y del
Órgano Legislativo, las concesiones sobre recursos naturales, elec-
tricidad, telecomunicaciones y servicios básicos deberán adecuarse
al nuevo ordenamiento jurídico. La migración de las concesiones
a un nuevo régimen jurídico en ningún caso supondrá desconoci-
miento de derechos adquiridos.
II. En el mismo plazo, se dejarán sin efecto las concesiones mineras de
minerales metálicos y no metálicos, evaporíticos, salares, azufreras
y otros, concedidas en las reservas fiscales del territorio boliviano.

III. Las concesiones mineras otorgadas a las empresas nacionales y ex-
tranjeras con anterioridad a la promulgación de la presente Cons-
titución, en el plazo de un año, deberán adecuarse a ésta, a través
de los contratos mineros.
IV. El Estado reconoce y respeta los derechos pre-constituidos de las
sociedades cooperativas mineras, por su carácter productivo social.

155

928 Annex 62
livia
Bo BoliaBolviiiaalllliiiiiiiv
ConstiPolítiEstPdlurinacional
V. Las concesiones de minerales radioactivos otorgadas con anterio-
revierten a favor del Estado. Constitución quedan resueltas, y se
Novena. Los tratados internacionales anteriores a la Constitución y que no
la contradigan se mantendrán en el ordenamiento jurídico interno,
nuevo Órgano Ejecutivo, éste denunciará y, en su caso, renegociará
los tratados internacionales que sean contrarios a la Constitución.
Décima. El requisito de hablar al menos dos idiomas oficiales para el desem-
de aplicación progresiva de acuerdo a Ley.el Artículo 234. 7 será
DISPOSICIÓABROGATORIA
Disposición abrogatoria. Queda abrogada la Constitución Política del Estado de
1967 y sus reformas posteriores.

DISPOSICIÓFINAL
Esta Constitcia el día de su publicación en la Gaceta Oficial.no entrará en vigen-

156

NINTH. International treaties preceding the Constitution, the provisions of
which are not inconsistent with the Constitution, will remain in the
appointment, the new Executive Branch will denounce and, if its
necessary, renegotiate those international treaties that are contrary to
the Constitution.
929930 Annex 63

Letter from Luis Toro Utillano, Principal Legal Officer of the

Department of International Law of the Organization of
American States, to States signatory to the American Treaty on
Pacific Settlement, OEA/2.2/36/11, 9 June 2011, enclosing

Bolivia’s Instrument of Ratification

(Original in Spanish, English translation)

Archives of the General Secretariat of the Organization of American States,
Washington DC

931Annex 63

932 Annex 63

PERMANENT MISSION OF THE PLURINATIONAL STATE OF BOLIVIA

TO THE ORGANIZATION OF AMERICAN STATES
WASHINGTON D.C.

OAS-GS-111-11

The Permanent Mission of the Plurinational State of Bolivia to the Organization
of American States presents its compliments to the Honorable General Secretariat of
the Organization of American States and attach es hereto its Instrument of Ratification
of the American Treaty on Pacific Se ttlement “Pact of Bogotá,” signed on
30 April 1948, in the city of Bogotá, Colombia, within the framework of the IX th
International Conference of American States, issued by the Constitutional President of

the Plurinational State of Bolivia, Evo Morales Ayma.

The Permanent Mission of the Plurinational State of Bolivia to the Organization
of American States, while thanking you for your prompt attention to this matter, takes
this opportunity to assure you of its highest consideration.

Washington D.C., 9 June 2011

Mission of Bolivia to the OAS. Washington, D.C.

To
Honorable General Secretariat

Organization of American States
Washington D.C.

933Annex 63

934 Annex 63

PLURINATIONAL STATE OF B OLIVIA
M INISTRY OFFOREIGN AFFAIRS

GM-DGAJ-UDR- 1111 - 11
La Paz, 20 May 2011

Dear Secretary-General,

Please find attached hereto the Instrument of Ratification of the American Treaty

on Pacific Settlement, “Pact of Bogotá,” sthned on 30 April 1948, in the city of Bogotá,
Colombia, within the framework of the IX International Conference of American
States, issued by the Constitutional President of the Plurinational State of Bolivia.

The Instrument of Ratification also confirms the reservation made by the

Bolivian Delegation when signing the American Treaty on Pacific Settlement “Pact of
Bogotá” with regard to Article VI, which provides that “pacific procedures may also be
applied to controversies arising from matters settled by arrangement between the
Parties, when the said arrangement affects the vital interests of a State.”

In that regard, we would appreciate it if the General Secretariat of the
Organization of American States, successor of the Pan-American Union, registers the
deposit of the Instrument of Ratification and gives notices thereof to the Member States
of the “Pact of Bogotá.”

I take this opportunity to assure you of my highest consideration.

[Signature]
David Choquehuanca Céspedes

Minister of Foreign Affairs

To
Mr. José Miguel Insulza

Secretary-General
ORGANIZATION OF AMERICAN STATES
Washington – United States of America

Enclosure: As specified above.

935Annex 63

936Annex 63

937938 Annex 64

Objection by Chile to the reservation made by Bolivia at the

time it ratified the American Treaty on Pacific Settlement,
10 June 2011

(Original in Spanish, English translation)

Archives of the Chilean Ministry of Foreign Affairs

939Annex 64

940 Annex 64

REPUBLIC OF CHILE
MINISTRY OF FOREIGN AFFAIRS

SEBASTIAN PIÑERA ECHENIQUE
PRESIDENT OF THE REPUBLIC OF CHILE

Objection by the Republic of Chile to the reservation made by the Government of the

Plurinational State of Bolivia at the time it ratified the American Treaty on Pacific
Settlement, “Pact of Bogotá.”

CONSIDERING,

That the Government of the Plurinational Stat e of Bolivia, in addition to ratifying the 1948
American Treaty on Pacific Settlement (Pactof Bogotá), on 9 June 2011 confirmed the
reservation it had filed at the time it signed the aforementioned instrument, with the following
statement:

“Furthermore, the Government confirms the reservation made by the Bolivian delegation at
the time it signed the American Treaty on Pacific Settlement “Pact of Bogotá”, in relation to

Article VI, inasmuch as “it considers that the pacific procedures may also be applied to
controversies arising from matters settled by arrangement between the Parties, when the said
arrangement affects the vital interests of a state.””

HEREBY DECIDES:

To file an objection to the reservation made by the Plurinational State of Bolivia with regard
to Article VI of said American Treaty on Pacific Settlement, “Pact of Bogotá” and declares
that, in accordance with the principles of international law, this objection prevents the entry
into force of the Treaty between the Republic of Chile and the Plurinational State of Bolivia.

DONE

at La Moneda Palace, in the city of Santiago, Republic of Chile, this tenth day of June, two
thousand and eleven.

[signed]
SEBASTIAN PIÑERA ECHENIQUE
PRESIDENT OF THE REPUBLIC OF CHILE

941942 Annex 65

Letter from David Choquehuanca, Minister of Foreign Affairs of
Bolivia, to Philippe Couvreur, Registrar of the International

Court of Justice, 8 July 2011

(Original in English)

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955956 Annex 66

Letter from David Choquehuanca, Minister of Foreign Affairs of

Bolivia, to the General Secretariat of the Organization of
American States, 21 October 2011

(Original in Spanish, English translation)

Archives of the Bolivian Ministry of Foreign Affairs

957Annex 66

958 Annex 66

Office of the
Minister

Plurinational State of Bolivia
Ministry of Foreign Affairs

TO THE

SECRETARY GENERAL
ORGANISATION OF AMERICAN STATES (OAS)
WASHINGTON D.C.

CLARIFICATION

On the occasion of the deposit, on 9 June 2011, of the instrument of ratification for
the American Treaty on Pacific Settlement (Pact of Bogotá) by the Plurinational State
of Bolivia, the Government confirmed the reservation made by the Bolivian
delegation at the time it signed the Pact in relation to its Article VI; considering that
“the pacific procedures may also be app lied to controversies arising from matters
settled by arrangement between the Parties, when the said arrangement affects the
vital interests of a state”.

With uncustomary swiftness, on 10 June 2011, in a document signed by the President
of the Republic of Chile, Don Sebastián Pi ñera Echenique, and by the Minister of
Foreign Affairs D. Alfredo Moreno, the Government of Chile decided to formulate an
objection to the reservation aforementioned; they declared that “in accordance with
the principles of international law, this objection prevents the entry into force of this
Treaty between the Republic of Chile and the Plurinational State of Bolivia”.

By means of the present note, the Government of the Plurinational State of Bolivia
intends to clarify that the objection made by the Republic of Chile, referred to in the
previous paragraph, is inherently incapable of creating the effects mentioned therein,
in light of, in particular, the nature of the Bolivian reservation which, far from
restricting or deleting obligations from the Pact, only aims at extending them; for this
reason, it does not imply any commitment for the Parties to the Pact, who do not
expressly accept it.

..//

959Annex 66

Office of the
Minister

Plurinational State of Bolivia
Ministry of Foreign Affairs

Hence, the Bolivian Government reiterates that the American Treaty on Pacific

Settlement (Pact of Bogotá) is in force in the relations between the Plurinational State
of Bolivia and the Republic of Chile to the same extent as the other States Parties to
the Pact. The principles of international law, which are so lightly and vaguely invoked
in the document signed by the President of the Republic of Chile and its Minister of
Foreign Affairs, support this conclusion.

La Paz, 21 October 2011

[Signed - the Minister of Foreign Affairs]

960 Annex 67

Service Manual for the Port of Arica, 1 December 2011
(extracts)

(Original in Spanish, English translation)

<http://www.tpa.cl/v1/appl/upload/subidos/201112293911.pdf>

961Annex 67

Manual de Servicios
Terminal Puerto Arica S.A.

Versión actualizada a Noviembre de 2011

El servicio Incluye:

Trasladar el material por un medio de transporte desde las bodegas del Terminal hasta al lugar destinado para
la faena donde se utilizaran los materiales en las cargas y/o embalajes que lo requieran o bien hasta el área
destinada para atender la emergencia IMO. También cons idera el personal necesario para poder ejecutar las

faenas de recepción y entrega de los materiales.

Capítulo VIII: TSA-300 Servicio de Almacenamiento

Articulo 70º El Servicio de ALMACENAMIENTO o ACOPIO consiste en la permanencia y custodia al interior
TPA S.A., de carga de importación, exportación u otra sujeta a destinación aduanera, incluyendo todos los recursos

y actividades necesarios para la prestación de tales servicios.

El Servicio de DEPOSITO COMERCIAL consiste en la permanencia y custodia dentro de TPA S.A., de carga no
sujeta a destinación aduanera, incluyendo todos los recursos y actividades necesarios para la prestación de dichos
servicios.

Las tarifas de almacenaje se cobran de acuerdo al tonelaje de las mercaderías y a los días de permanecía de estas
en puerto, para lo cual se han definido valores en US$ por tonelada para día de permanencia.
Ver Titulo VI,Capítulo II: Listado de tarifas de almacenaje

Articulo 71º El Terminal será responsable de la custodia de la carga, conforme a la legislación vigente, desde
el momento en que ésta sea recibida física y documentalmente y hasta su entrega en la misma forma al
consignatario o su representante.

Articulo 72º Como consecuencia de lo anterior, la carga será recibida por TPA S.A., y entregada por el
transportador sus agentes o representantes, en condiciones tales que a simple vista no demuestre daño o deterioro en
sus envases o embalajes, o que evidencie alteración o perjuicio en su contenido.

TPA S.A. reparará los bultos en mal estado, de acuerdo a disposiciones aduaneras, por cuenta del Armador o su
representante o del consignatario, y realizará, si es preciso, el reembalaje en bolsas u otros receptáculos debidamente
sellados cuidando que las marcas y demás señas que identifican el bulto sean visibles a simple vista. Además procederá
al pesaje de la carga al momento de ser entregada.

Por disposición aduanera, la carga deberá ser recepcionada dentro del plazo de 24 horas contado a partir de la fecha de
zarpe de la nave, cuando se trate de desembarque. En los embarques la carga deberá ser entregada al Terminal al
momento de su depósito en puerto.

TPA S.A., emitirá un documento formal numerado denominado documento portuario único, cada vez que se reciba
carga en el terminal, dicho documento tendrá la información necesaria para identificar la carga su peso, marcas números
fecha de ingreso y salida, consignatario, medio de transporte, puerto de origen, de descarga y destino final entre otros.

Articulo 73º El almacenaje se clasifica para carga en contenedores, carga general, carga a granel y carga

peligrosa de retiro o embarque directo o indirecto.

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Chapter VIII: TSA-300 Storage Service

…

963Annex 67

Constituye carga de retiro o embarque directo aquellas consideradas como peligrosas de depósito prohibido por las
Autoridades competentes (EPA y AAMM), además de las normas establecidas en el programa de prevención de riesgos

del Terminal.

Articulo 74º TPA S.A., determinará el lugar en que deba depositarse la carga y no podrá atribuírsele
responsabilidad cuando por falta o insuficiencia de información, ésta se vea afectada por su decisión. No obstante, sus

dueños o representantes podrán solicitar que, por razones de seguridad, ella sea depositada en bodegas, almacenes o
galpones.

Artículo 75º Las cargas de importación nacional serán recepcionadas al momento de ser descargadas, cuando la
vía sea indirecta, para cumplir con la normativa aduanera de plazo de depósito máximo, 90 días. El tiempo de

permanencia de la carga en almacenaje, comenzará a computarse a contar del momento que es descargada de la nave,
y para la exportación, desde el momento que ésta es depositada en los lugares de depósito de TPA S.A.

Por disposición aduanera, el plazo máximo de permanencia de la carga en la zona primaria aduanera es de 90 días,

pudiendo el Terminal restringirlo cuando las características y condiciones de embalaje de la carga así lo amerite.

Articulo 76º Vencido el plazo de permanencia permitido, la carga se considerará en presunción de abandono, y
será entregada por TPA S.A. al Servicio Nacional de Aduanas. Sin perjuicio de esta disposición, el Terminal podrá

proponer al Servicio Nacional de Aduanas, la venta, remate o destrucción de aquellas mercancías que sean
manifiestamente perjudiciales a los lugares de almacenamiento portuario o cuando su almacenaje le produzca a TPA
S.A. gastos desproporcionados o, por último, cuando haya fundado temor a que en razón de su naturaleza, estado o
embalaje, se desmejoren, destruyan o perezcan.

Articulo 77º Cuando se requiera el retiro de la carga y esta no pueda entregarse por razones de la exclusiva
responsabilidad de TPA S.A., no se considerará para el cálculo de la tarifa de almacenamiento el tiempo que dure este
impedimento.

Articulo 78º Las operaciones correspondientes a la entrega de las mercancías al Consignatario, serán ejecutadas
por personal y equipos de TPA S.A.

Articulo 79º Para el retiro de la carga, el Agente de Aduanas o su representante, deberán presentar a TPA
S.A. el documento aduanero respectivo autorizado por el Servicio Nacional de Aduanas .El Terminal entregará la
carga, emitiendo el documento respectivo (DPU), el cual debe ser refrendado por ambas partes.

Articulo 80° Son Cargas de Retiro o Embarque Forzoso aquellas consideradas como peligrosas, de depósito

prohibido o condicionado por las Autoridades competent es; y aquellas respecto de las cuales la autoridad
competente determine que por su naturaleza no pueden quedar depositadas en los recintos portuarios. Las cargas
clasificadas como peligrosas o de depósito prohibido en el Terminal se contienen en el “Reglamento de Seguridad
para la Manipulación de Explosivos y otras Mercaderías Peligrosas en los Recintos Portuarios”, aprobado por el D.S.

(M) N° 618 del 23 de Julio de 1970 y el “Reglamento de Manipulación y Almacenamiento de Cargas Peligrosas en
Recinto Portuario”, aprobado por la Resolución N° 96 (EMPORCHI-MTT) de fecha 11 de diciembre de 1996,
publicado en el Diario Oficial N° 35.670 del 20 de enero de 1997. Por lo tanto, TPA S.A. no realizará el
desembarque de tales cargas mientras no se certifique dicha autorización, con la presentación de la documentación

correspondiente.

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964 Annex 67

…

Article 75 Cargo for national import, when transpor ted through an indirect route, shall

be received upon the unloading thereof, to comply with the customs regulations that
provide for a maximum storage period of 90 days. The term of storage of the cargo shall
start running from the moment the cargo is unloaded from the vessel, and in the case of

exports, from the moment the cargo is deposited at TPA S.A.’s warehouses.

According to customs regulations, the maximum period for storage of the cargo in the
primary customs zone is 90 days. The Terminal may restrict such period when the
characteristics and packing conditions of the cargo so require.

…

965Annex 67

TÍTULO V: CARGAS BOLIVIANAS EN TRANSITO

Artículo 88º En atención a los deberes que para el Estado de Chile, y particularmente para el Puerto de Arica,

emanan del Tratado y acuerdos vigentes, suscritos con la República de Bolivia, TPA S.A. actuará de la siguiente
manera:

a) Adoptará todas las medidas necesarias para no afectar el derecho de libre tránsito comercial que asiste a la carga
boliviana que se transfiera a través de TPA S.A.

b) Permitirá el normal desarrollo y desempeño de la Adua na Nacional de Bolivia y del Agente Aduanero designado
por el Gobierno de Bolivia, en funciones de fiscalización sobre la carga boliviana en libre tránsito.

c) Realizará los procedimientos administrativos y operacionales actualmente aplicables respecto de las mercaderías
en tránsito bolivianas, sea que éstos se encuentren cont enidos en el Manual Operativo del Sistema Integrado de
Tránsito del Puerto de Arica o que hayan sido incorporados a las operaciones portuarias en relación a los usos
comerciales y operativos vigentes (Ventanilla Única).

d) En todo lo relacionado con los servicios, tarifas y, en general, en todas las materias relacionadas con el tránsito
de la carga boliviana, no comprendidas en el Manual Operativo o en acuerdos comerciales y operativos vigentes, les
será aplicable el régimen general tarifario y reglamentario, establecido en este Manual de Servicios de TPA S.A.

Articulo 89º Servicios y tarifas máximas del Concesionario a la Carga Boliviana.

a) Servicio de uso de muelle a la carga.

La tarifa máxima por el servicio de uso de muelle a la carga será de 0,85 dólares por tonelada.

Esta tarifa se aplicará a todas las mercancías cuyos fletes hayan sido pactados en condiciones F.I.O., o bien, a las

mercancías en que el pago del servicio de cargue y/o descargue sea de cargo del consignatario.

b) Servicio de Almacenamiento de Carga General y Carga Granel.

El servicio de almacenamiento es el que se presta a las mercancías o cosas de embarque o desembarque
manifestadas en libre tránsito, que se depositen en los recintos habilitados para este efecto. TPA S.A. será
responsable de las pérdidas y daños que sufran las mercancías o cosas almacenadas en dichos recintos, de
conformidad con la legislación aduanera vigente, desde el momento en que se reciba física y documentalmente de
ellas, hasta su entrega, en la misma forma, al consignatario, su representante legal o transportista.

El servicio de almacenamiento que se presta a las mercancí as o cosas que se depositan en los recintos portuarios,
comenzará a computarse a partir de la fecha de recepción, registrada en la respectiva boleta de recepción.

Las mercancías en tránsito hacia Bolivia (cargas de importación), estarán liberadas del pago del servicio de
almacenamiento hasta por 365 días, cumplido este plazo, las mercancías pagarán las tarifas generales de este
servicio, contempladas en este Manual de los Servicios de TPA S.A.

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966 Annex 67

TITLE V: BOLIVIAN CARGO IN TRANSIT

…

Article 89 Concessionaire’s services and maximum fees for Bolivian Cargo

a) Service for use of pier forloading and unloading of cargo

The maximum fee for the use of a pier for the loading and unloading of cargo shall be
0.85 dollars per ton.

This fee shall apply to all goods with freighbooked F.I.O., or to goods in respect of
which the loading and/or unloading services are payable by the consignee.

b) Service for storage of General Cargo and Bulk Cargo

The storage service is provided in respect ofgoods or things to be shipped or landed
which have been declared as goods of free transit and which are deposited in the

warehouses authorized for such purposes. TP A S.A. shall be liable for any losses and
damage sustained by the goods or things st ored at such warehouses, in accordance with
the customs laws in force, from the moment of physical and documented receipt thereof,

until delivery in the same manner to the consignee, its legal representative or carrier.

The storage service provided in respect of goods or things stored in port warehouses

shall start running as from the date of receipt recorded in the respective receipt slip.

Goods in transit to Bolivia (import cargo) sh all be exempt from the payment of storage

service fees for up to 365 days. Upon expiration of such period, the goods shall be
subject to payment of the general fees for this service, as provided in this TPA S.A.

Service Manual.

967Annex 67

Las mercancías en tránsito desde Bolivia (cargas de exportación), estarán liberadas del pago del servicio de
almacenamiento hasta por 60 días. Cumplido este plazo, las mer cancías devengarán las tarifas generales de este

servicio, contempladas en este Manual de los Servicios de TPA S.A.

Las mercancías o cosas catalogadas como carga de retiro o embarque inmediato, en los términos señalados en la
letra siguiente de este numeral, no se encuentran afectas a la liberación de pago de almacenaje mencionada en este

capitulo

c) Servicio de almacenamiento de cargas de retiro o de embarque inmediato.

Constituyen cargas de retiro o embarque inmediato, aquellas consideradas como peligrosas (IMO), de depósito
condicionado o prohibido, que por su naturaleza no pueden quedar depositadas en el Puerto. En forma excepcional
podrán almacenarse, en recintos especiales y condiciones especiales.

d) Permanencia.

Las mercancías en tránsito no podrán permanecer en el Puerto por un período mayor de un año, contado desde la
fecha de presentación del manifiesto de la nave, a cuyo vencimiento el Gerente General de Aduana Nacional de

Bolivia ordenará su envío a dicho país o su entrega a la Aduana de Chile, para que proceda a su remate como carga
rezagada.

TPA S.A. mantendrá la carga rezagada en su custodia mientras se encuentre bajo la potestad de la Aduana de Chile

y hasta que se proceda a su remate.

En caso que se verificara el remate, la Aduana pagará al Concesionario por el servicio de almacenamiento un
porcentaje del producto rematado, de acuerdo a las normas aduaneras respecto a esta materia. Sin perjuicio de lo

anterior el Concesionario estará facultado para cobrar directamente a quien se haya adjudicado dichas mercaderías,
los costos de almacenamiento y custodia, una vez vencido el plazo de retiro otorgado por la Aduana.

Articulo 90º Retiro de cargas.

Cuando se requiera el retiro de mercancías o cosas y ésta s no puedan entregarse por razones de la exclusiva
responsabilidad de TPA S.A., no se considerará para el cómputo de los períodos de almacenamiento, el tiempo que
dure este impedimento.

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968 Annex 67

Goods in transit from Bolivia (export cao) shall be exempt from the payment of

storage service fees for up to 60 days. Upon expiration of such period, the goods shall
be subject to payment of the general fees for this service, as provided in this TPA S.A.
Service Manual.

The goods or things categorized as immedi ate collection or immediate shipping cargo,
pursuant to the terms of item c) below, are not subject to the exemption from the

payment of storage fees referred to in this chapter.

…

969Annex 67

Anexo I: Listado de Tarifas

1.- Listado de tarifas de servicios

En este capítulo se muestran las tarifas asociadas a cada servicio en forma somera ya que se encuentran definidas y
debidamente acotadas en el manual de tarifas y descripción de los servicios.

TSM–100. Tarifa servicios uso de muelle

TSM-101 Uso de Muelle a la Nave Usd/Metro-loa-hora 2.79
TSM-102 Uso de Muelle a la carga Usd/Ton 1.95

TSM-103 Uso de Muelle para Embarcaciones Menores Usd/Metro-loa-hora 1.95
TSM-104 Uso de Muelle a la carga de cabotaje Usd/Ton 1.95
TSM-105 Uso de Muelle a la carga granel Usd/Ton 1.95

TSM-106 Uso de Muelle a la Carga FIO Boliviana Usd/Ton 0.85

TST-110. Tarifa servicios de transferencia de carga

TST-111 Desembarque/Embarque de Contenedores llenos 20 pies Usd/Cont. 102.00

TST-112 Desembarque/Embarque de Contenedores llenos 40 pies Usd/Cont 153.00
TST-113 Desembarque/Embarque de Contenedores vacíos 20 pies Usd/Cont 102.00
TST-114 Desembarque/Embarque de Contenedores vacíos 40 pies Usd/Cont 153.00

TST-115 Desembarque/Embarque de Carga General Fraccionada Usd/Ton 13.31
TST-116 Desembarque/Embarque de Vehículos y Automotores Usd/Ton 13.31
TST-117 Desembarque/Embarque de Graneles Limpios Usd/Ton 6.60

TST-118 Desembarque/Embarque de Graneles Sucios Usd/Ton 6.60

TSE – 120. Tarifa servicios especiales

TSE-121 Reestibas vía nave de contenedores de 20 pies full/mty Usd/Cont 111.00
TSE-122 Reestibas vía nave de contenedores de 40 pies full/mty Usd/Cont 210.00

TSE-123 Reestibas vía muelle de contenedores de 20 pies full/mty Usd/Cont 215.00

TSE-124 Reestibas vía muelle de contenedores de 40 pies full/mty Usd/Cont 320.00
115.00
TSE-125 Trabajadores para servicios especiales Usd/Hom/Turno
TSE-126 Manejo de cargas extradimensionadas (Cargas de Proyecto o Pesadas) Usd/Ton o M3 38.00
245.00
TSE-127 Tiempo Muerto, tiempo en espera y no provisión de trabajo en la naveUsd/Hora/Cuadrilla
TSE-128 Fumigación cubiertas de las naves a convenir

TSE-129 Ciclo completo o full cycle Usd/Cont. 285.00
TSE-130 Reestibas vía nave de carga general fraccionada Usd/Ton 13.00

TSE-131 Reestibas vía muelle de carga general fraccionada Usd/Ton 26.00

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970 Annex 67

Annex I: List of Fees

1. List of service fees

This chapter provides a summary list of the fees for each service, as they are defined

and properly described in the manual of fees and descriptions of services.

TSM-100. Service fees for use of pier
TSM-101 Use of Pier for mooring of Vessel USD/Meter-per-hour 2.79
TSM-102 Use of Pier for loading and unloading of cargo USD/Ton 1.95

TSM-103 Use of Pier for Minor Vessels USD/Meter-per-hour 1.95
TSM-104 Use of Pier for loading and unloading of cabotageUSD/Ton 1.95
TSM-105 Use of Pier for loading and unloading of bulk carUSD/Ton 1.95

TSM-106 Use of Pier for Bolivian FIO Cargo USD/Ton 0.85

…

971Annex 67

3.- Listado de tarifas de almacenamiento de carga peligrosa boliviana

Constituyen cargas de retiro o embarque inmediato, aqu ellas consideradas como peligrosas (IMO), de depósito
condicionado o prohibido, que por su naturaleza no pueden quedar depositadas en el Puerto y que en forma
excepcional podrán almacenarse, en recintos especiales y condiciones especiales.

Cargas de importación de retiro o embarque inmediato

Por el período del 1º al 5º día: 1,04 USD/TON
Por el período del 6º al 10º día: 2,10 USD/TON

Por el período del 11º al 15º día: 2,57 USD/TON
Por el período del 16º al 20º día: 3,27 USD/TON
Por el período del 21º al 25º día: 3,97 USD/TON
Por el período del 26º al 30º día: 5,60 USD/TON

Por cada período de 5 días que exceda entre los treinta días y hasta los sesenta días: 7,70 USD/TON
Por cada período de 5 días que exceda entre los sesenta días y hasta los noventa días: 10,96 USD/TON
Por cada período de 5 días que exceda de los noventa días: *19,59 USD/TON

Cargas de exportación de retiro o embarque inmediato

Por el período del 1º al 5º día: 0,68 USD/TON
Por el período del 6º al 10º día: 1,37 USD/TON
Por el período del 11º al 15º día: 1,67 USD/TON

Por el período del 16º al 20º día: 2,13 USD/TON
Por el período del 21º al 25º día: 2,58 USD/TON
Por el período del 26º al 30º día: 3,64 USD/TON
Por cada período de 5 días que exceda entre los treinta días y hasta los sesenta días: 5,01 USD/TON

Por cada período de 5 días que exceda entre los sesenta días y hasta los noventa días: 7,12 USD/TON
Por cada período de 5 días que exceda de los noventa días: *12,13 USD/TON

La tarifa de almacenaje de las cargas de retiro o embarque inmediato es acumulativa, de manera que cuando

concurran varios períodos, la suma de todos ellos será la cantidad que corresponderá pagar.

**Las tarifas para el servicio de almacenamiento de cargas de retiro o embarque de inmediato, cuando las
mercancías o cosas hayan sido depositadas en patios o explanadas descubiertas cancelaran el 50% de las tarifas

arriba mencionadas.

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972 Annex 67

3. List of storage fees for dangerous Bolivian cargo

Immediate collection or immediate shipping cargo is cargo that is considered dangerous

(IMO), or the storage of which is restrict ed or prohibited, and wh ich due to its nature
may not be kept in storage at the Port and may exceptionally be stored in special

warehouses and under special conditions.

Immediate collection or immediate shipping import cargo
For the period from the 1 stto the 5 day: 1.04 USD/TON

For the period from the 6 thto the 10 day: 2.10 USD/TON
th th
For the period from the 11 to the 15 day: 2.57 USD/TON
For the period from the 16 thto the 20 day: 3.27 USD/TON
st th
For the period from the 21 to the 25 day: 3.97 USD/TON
For the period from the 26 thto the 30 day: 5.60 USD/TON
th th
For each 5-day period in excess between the 30 day and until the 60 day: 7.70
USD/TON
th th
For each 5-day period in excess between the 60 day and until the 90 day: 10.96
USD/TON
th
For each 5-day period in excess after the 90 day: *19.59 USD/TON

Immediate collection or immediate shipping export cargo

For the period from the 1 stto the 5 day: 0.68 USD/TON
th th
For the period from the 6 to the 10 day: 1.37 USD/TON
For the period from the 11 thto the 15 day: 1.67 USD/TON
th th
For the period from the 16 to the 20 day: 2.13 USD/TON
For the period from the 21 stto the 25 day: 2.58 USD/TON
th th
For the period from the 26 to the 30 day: 3.64 USD/TON
For each 5-day period in excess between the 30 thday and until the 60 th day: 5.01

USD/TON
For each 5-day period in excess between the 60 thday and until the 90 th day: 7.12

USD/TON
th
For each 5-day period in excess after the 90 day: *12.13 USD/TON

…

** Storage fees for immediate collection or immediate shipping cargo are cumulative,
such that if several periods apply, the sum of all of them shall be the amount payable.

973974 Annex 68

Letter from the Chilean Ministry of Foreign Affairs to the

General Secretariat of the Organization of American States,
No 389, 12 December 2011

(Original in Spanish, English translation)

Archives of the Ministry of Foreign Affairs of Chile

975Annex 68

976 Annex 68

REPUBLIC OF CHILE

MINISTRY OF FOREIGN AFFAIRS
PERMANENT MISSION OF CHILE TO THE
ORGANIZATION OF AMERICAN STATES

No. 389

The Government of the Republic of Ch ile, through the Permanent Mission of
Chile to the Organization of American States, presents its compliments to the
Secretary-General of the Organization of American States in order to refer to the
“Clarification” sent by the Mi nister of Foreign Affairs of the Plurinational State of
Bolivia, dated 21 October 2011, in relation to the entry into force of the American
Treaty on Pacific Settlement (Pact of Bogotá) between Chile and Bolivia.

In this respect, the Government of the Republic of Chile re iterates what it
expressed in its Note of 10 June 2011, th at the reservation made by Bolivia to

Article VI of the Pact of Bogotá and the objection made by Chile, in the terms set out
in its Note, prevent the entry into force of this Treaty between the two States.

The Government of the Republic of Chile, [through the] Permanent Mission of
Chile to the Organization of American States, takes this opportunity to reiterate to the
Secretary-General of the Organization of American States (OAS) the assurances of its
highest and most distinguished consideration.

Washington DC, 12 December 2011

[Signed]

SECRETARY-GENERAL
OF THE OAS
WASHINGTON, DC

977978 Annex 69

Empresa Portuaria Arica, Port of Arica, 2012 Annual Report
(extracts)

(Original in Spanish, English translation)

<http://www.puertoarica.cl/Web/archivos/memoria2012.pdf>

979Annex 69

7. G ESTIÓN
O PERATIVA

Cargas Internacionales Continuaron en Aumento

El 2012 Puerto Arica continuó consolidándose como uno de los líderes en movimiento de
carga internacional, especialmente de Bolivia, lo que ratiﬁca su vocación de puerta de acceso
al Asia Pacíﬁco.

Prueba de ello es que se alcanzó un crecimiento del 51 y 6 por ciento más de carga transferida

en relación al mismo periodo del año anterior, en el caso de Perú y Bolivia, respectivamente
Asimismo, el análisis de las cifras anuales es altamente positivo para el terminal ariqueño,

puesto movilizó 2.590.830 toneladas, volumen similar al registrado en igual periodo del 2011.

Este volumen de carga corresponde en un 75% a carga boliviana, un 15% a carga chilena, un
4 % a carga peruana y el resto a cargas de transbordo y/u otros países.

La carga regional presenta una disminución del 31 por ciento en relación al año anterior, la
que tiene su origen en el “efecto Collahuasi”. Cabe recordar que el primer semestre de 2011
el puerto de Patache -que tiene la Minera Doña Inés de Collahuasi en Iquique- sufrió un
accidente, paralizando sus faenas por un periodo bastante extenso, lo que implicó que una

parte importante de sus exportaciones se realizaran por Arica.

Aislando ese hecho puntual, podemos decir que las transferencias en Puerto Arica se
mantienen a niveles superiores a los del año 2011, con un 3,1% más, lo que signiﬁca que se
continúa consolidando como una alternativa competitiva entre los puertos del norte del país.

Uno de los antecedentes importantes es que, en comparación a los puertos de la competencia,
Arica sobrepasó en transferencia de carga a los puertos de Iquique y Antofagasta, movilizando
el 34,1% del total transferido por estos tres puertos. Antofagasta alcanzó un 33,7% e Iquique

el 32,2%.
En cuanto al comercio exterior de Bolivia, Puerto Arica sigue siendo el primer puerto para

las empresas, transﬁriendo el 82% de las cargas que se movilizan por estos tres puertos del
Paciﬁco, alcanzando una cifra récord de 1.931.349 toneladas.

En segundo lugar está Antofagasta con el 12 por ciento e Iquique con el 6 por ciento de las
cargas bolivianas movilizadas por el Pacíﬁco.

980 Annex 69

…

Additionally, the analysis of the annual figures is highly positive for the terminal in
Arica, since 2,590,830 tons passed through ita similar volume to that for the same
period in 2011.

This volume of cargo is made up of 75% Bolivian cargo, 15% Chilean cargo,
4% Peruvian cargo and the rest represents transshipment cargo and/or other countries.

…

With regard to Bolivian foreign trade, the Port of Arica remains the first option for
companies, transferring 82% of the cargo that passes through these three ports on the

Pacific Ocean, reaching a record volume of 1,931,349 tons.

In second place is Antofagasta, with 12% of Bolivian cargo transported by the Pacific,

and Iquique with 6%.

Puerto Arica registró durante el año 2012 un
√ movimiento cercano a 2,6 millones de toneladas

981Annex 69

Las exportaciones bolivianas crecieron un 15%,
√ alcanzando un volumen histórico de 900.728 toneladas

Las cargas asociadas al comercio exterior
√ boliviano registraron un crecimiento del 6%

982 Annex 69

El tonelaje promedio por nave aumentó un 15% respecto al 2011,
√ lo que indica que las naves están operando a una capacidad mayor.

TRANSFER BY MARKET TYPE

Market 2011 2012 Var% 2012 Share

Bolivian Cargo 1,826,820 1,931,349 5.7% 74.5%

Regional 555,156 381,746 -31.2% 14.8%
Cargo

Other 211,739 178,740 -15.6% 6.9%

Peruvian Cargo 65,345 98,995 51.5% 3.8%

Total 2,659,060 2,590,830 -2.6% 100%

983Annex 69

MOVIMIENTO DE CONTENEDORES

Las Cargas peruanas transferidas observaron
√ un crecimiento del 68%.

La velocidad de transferencia promedio fue
√ un 7 % superior a la registrada el año 2011. DECLARACIÓN DE RESPONSABILIDAD

R.U.T. 61.945.700 - 5
Razón Social EMPRESA PORTUARIA ARICA

En sesión de Directorio de fech6320 de marzo del 2013, las personas indicadas tomaron conocimiento y
se declaran responsables respecto de la veracidad de la información incorporada en el presente Informe
Anual, referido al 31 de Diciembre del 2012.

Nombre Cargo Firma

FRANCISCO JAVIER
GONZÁLEZ SILVA PRESIDENTE ................................

SEBASTIÁN FERNANDO
MONTERO LIRA VICEPRESIDENTE ................................

VÍCTOR HUGO
SELMAN BIESTER DIRECTOR ................................

RODOLFO GUILLERMO
BARBOSA BARRIOS GERENTE GENERAL ................................

Fecha: 20 de Marzo de 2013

147

EMPRESA PORTUARIA ARICA
Máximo Lira #389, Arica
(56) - (58) 2202080/ (56) - (58) 2202092
E-mail: [email protected]

www.puertoarica.cl

148

984 Annex 70

Empresa Portuaria Iquique, Port of Iquique, 2012 Annual Report
(extracts)

(Original in Spanish, English translation)

<http://www.epi.cl/docs/memoria2012.pdf>

985Annex 70

Empprreessaa PPoorrttuuaarriiaa IIqquuiiqquuee

Memoria Anual 2012
Empresa Portuaria Iquique

TOC Américas – Aumento de la Finalización ruta

Panamá carga boliviana Huara – Colchane

Del martes 4 al jueves 6 de di- Durante el pasado año, las expor- Luego de un año de trabajos, duran-
ciembre, Empresa Portuaria Iqui- taciones bolivianas en el puerto te el 2012 se ﬁnalizaron las obras

que participó en la edición 2012 aumentaron un 141% respecto al en la ruta Huara–Colchane, proyec-
del TOC Américas, la principal 2011, alcanzando las 51.163 tonela- to vial que forma parte del corredor

convención marítimo portuaria das. Las importaciones, por su par- bioceánico Iquique-Santos, lo que
del continente, y que este año se te, llegaron a las 84.529 toneladas, potenciará la conectividad entre los

celebró en Panamá. expresando un crecimiento de un países de la macroregión andina, y
52,2% sin considerar la carga des- brindará una salida al mar a las prin-

El objetivo fue dar a conocer a pachada vía Zona Franca. cipales zonas productivas del conti-
nivel mundial el proceso de li- nente.

citación del Terminal 1 “Molo” y Esto se debe en gran medida a las

sus áreas de respaldo, proceso acciones de acercamiento realizadas
que busca aumentar la e ﬁciencia durante el 2012, y la ﬁnalización de

y capacidad del puerto para reci- la carretera Iquique-Oruro, lo que
bir a las nuevas generaciones de permite una mejor conexión entre

naves. el puerto y el denominado “corazón
productivo” del cono central del con-

Además de exhibir el modelo tinente.
portuario chileno, los ejecutivos

aprovecharon la oportunidad
para conversar con los principales

operadores portuarios internacio-
nales.

Empresa Portuaria Iquique participó en la edición 2012 del TOC Américas, la principal

convención marítimo portuaria del continente, que se celebró en Panamá.

986 Annex 70

…

Increase in Bolivian cargo

During the past year, Bolivian
exports in the port increased by
141% as compared to 2011,

reaching a volume of 51,163
tons. Imports reached 84,529
tons, representing a 52.2%

increase, without considering
cargo shipped through the
Customs-Free Zone.

This is largely due to the steps
taken to improve relations

during 2012 and the completion
of the Iquique-Oruro road,
which facilitates a better

connection between the port
and the so-called “productive
center” of the continent’s

central cone.

…

987Annex 70

Empresa Portuaria Iquique

Mercados externos

Mercados Internos
La nueva conectividad que se ha desarrollado a partir de la

decisión de Brasil, Bolivia y Chile de concretar el corredor El 2012 mostró una disminución del 9,54% en el total de
bioceánico central que conectará a los puerto de Santos e carga transferida por el puerto con respecto al año 2011,

Iquique y Arica es una realidad que entró en su etapaﬁnal en un contexto de disminución de la producción regional

durante el año 2012. evidenciado en la variación anual negativa del INACER,
que alcanzó a -6,9%, y de disminución en los niveles de

Hasta ahora, Bolivia es y sigue siendo el principal mercado transferencia de los puertos vecinos de Arica y Antofagas-

externo en el área de in ﬂuencia del Puerto de Iquique, el ta, de -3 y -17% respectivamente.
que se ha desarrollado en forma sostenida en los últimos

diez años pasando de 32.968 toneladas de tránsito directo En ese contexto, es importante mencionar las variacio-

en el año 2003, a 135.692 en el año 2012, acumulando un nes relativas por tipo de carga, aumentando ligeramen-
crecimiento de un 312%. te aquella transferida en contenedor de 70,2% en 2011

a 71,8% en 2012 y reduciéndose los graneles sólidos de

Este tráﬁco, aunque parece un total poco relevante res- 9,6% a 3,8%. Esto último, particularmente, se explica
pecto al total de carga que moviliza el puerto, no considera fundamentalmente por la falla, durante 2011, del muelle

las cargas que indirectamente son importadas a Bolivia a mecanizado para embarque de concentrado de cobre en

través de la Zona Franca de Iquique, que si bien es cierto Patache, lo cual obligó a desviar dichos embarques a otros
es carga que ingresa por el puerto, es despachada a través puertos, entre ellos Iquique, durante ese año, operación

del sistema franco. que ﬁnalizó una vez reparado el muelle en cuestión.

Solo el año 2012 la carga aumentó un 77% respecto al Por su parte, la carga automotriz aumentó de 211.812 to-

año anterior y las importaciones pasaron de 21.220 tone- neladas en 2011 a 223.557 en 2012, lo que corresponde
ladas a 51.163 toneladas. Las exportaciones, por su parte, a un crecimiento de 5,5%, similar a la variación del PIB

aumentaron de 55.525 a 84.529 toneladas en el periodo boliviano (5%) y chileno (5,5%).

2011-2012 respectivamente.
El TRG total de las 518 naves atendidas en el puerto au-

Este es sin duda un hito importante, puesto que marca mentó a 25.906.494, lo que representó un crecimiento del

el inicio de un mayor tráﬁco, desde las zonas productivas 9,2%. Considerando que al mismo tiempo recalaron 41
de Bolivia hacia los mercados de ultramar, utilizando el naves menos, lo anterior evidencia la tendencia observada

corredor bioceánico que fue construido con ese ﬁn, y que en los últimos años respecto del aumento del tamaño de

le da acceso expedito a los exportadores e importadores las naves. Es así como el TRG promedio por nave aumen-
de la macro región, a un puerto que tiene por caracterís- tó un 17,8%, pasando de 42.443 en 2011, a 50.013 en

tica principal su alta frecuencia a los mercados del Asia 2012.

Paciﬁco.
Por último, cabe mencionar que el downtime (por condi-

Esperamos, en un futuro cercano y con esta nueva conec- ciones climáticas) del puerto se redujo de 13,6% en 2011

tividad seguir ampliando el área de inﬂuencia, para llegar a 7,64% en 2012.
y cubrir las necesidades de otras regiones, como el centro

oeste brasileño y el noroeste argentino.

988 Annex 70

…

Until now, Bolivia has been, and continues to
be, the main foreign market in the area of

influence of the Port of Iquique, which has
developed at a steady pace during the past ten
years, from 32,968 tons in direct transit in

2003 to 135,692 in 2012, representing an
increase of 312%.

This traffic, although it seems of little

relevance as compared to the total cargo
passing through the port, does not include
cargo imported indirectly into Bolivia through

the Customs-Free Zone of Iquique; this cargo,
although it enters through the port, is cleared
through the customs-free system.

In 2012 alone, the cargo increased 77% as
compared to the previous year and imports
increased from 21,220 tons to 51,163 tons.

Exports, in turn, increased from 55,525 to
84,529 tons in the 2011-2012 period.

…

989990 Annex 71

Bolivian Law on Normative Application – Statement of

Reasons, 6 February 2013 (extracts)

(Original in Spanish, English translation)

Bolivia, Senate, Act Implementing Regulations: Explanatory Memorandum,
6 February 2013

991Annex 71

992 Annex 71

LAW ON NORMATIVE APPLICATION

STATEMENT OF REASONS

The application of a norm is not an issue that ends with the mechanical restatement of
the Law. Its scope of action is broader than that. This assertion arises as a theoretical
response to the old principle of completeness of a rule, i.e., the norm on its own finds its

support and meaning, without the need for mechanisms to clarify it or render it fully
effective, based on its application.

Despite the above, the intern al normative system of any constitution, by definition, or,
for that matter, as a general rule, has been conceived as a complete and perfect positive
rule. This means that its normative action poses no conflicting issues. However,
constitutional experience and legal reality have demonstrated that the wording of the

Constitution, given its importance and internal complexity, contains rules apparently
contrary to the core of its structure, for which reason constitutional literature and
tradition have given rise to rules of normative application . This is an instrument
developed by the lawmaker that entails or involves no constitu tional interpretation
whatsoever, such interpretation being the exclusive province of the Constitutional Court
within a fully-fledged constitutional control system such as the one prevailing in

Bolivia.

A law of normative application comes about [as a consequence of] the existence of
constitutional norms that, although clear enou gh, must be developed by the lawmaker
by applying the principal legal principles and values, such as the application of a special
rule over a general rule, the application of values and principles of a representative
democracy, principles and values relating to international law, etc. This exercise

ascribes no meaning whatsoever to the Constitution, but it limits itself to organizing the
constitutional structure as regards its normative determinability, thus ensuring both a
consistent constitutional control system and the direct effect and enforceability of the
rule. That is where its character as a norm of application lies. In other words, a law of
normative application is an operative concre te fact that gives a real and objective
meaning to the text of the Constitution as regards its application and observance.

993Annex 71

994 Annex 71

The draft Law on Normative Application consists of six Articles, set forth in the
following order: Article 1 aims to establish the object of a norm; Article 2 aims at

establishing the specific field of normative application of Articles 158.I.5 and 159.13 of
the Political Constitution of the State; likewise, Article 3 aims to establish the specific
field of normative application of Article 214 of the Political Constitution of the State;
Article 4 aims to determine the correct field of normative application of Article 168 and
Transitional Provision No. 1, Paragraph II of the Political Constitution of the State;
Article 5 aims to de termine the specific field of a pplication of Articles 158.I.11 and

321.III of the Political Constitution of the State; finally, Article 6 aims to determine the
field of normative application of Trans itional Provision No. 9 of the Political
Constitution of the State.
…

995Annex 71

996Annex 71

997Annex 71

998 Annex 71

Finally, the draft Law on Normative Application accomplishes an essential, necessary
work of clarification, in connection with th e adaptation of interna tional treaties to the
new Political Constitution of the State, allowing, in effective application of the
Constitution, that both the denunciation and the challenge of treaties before international

jurisdiction render effective Transitional Provision No. 9 of the Constitution. This
decision rests with the Executive Branch, [in or der] to avoid that the denunciation of a
treaty causes considerably greater damage in light of the major principles and rules
relating to public international law.

999Annex 71

1000 Annex 71

It is appropriate to clarify that the Constitution’s status as the supreme norm also applies
to the norms that make up the international legal system and do not belong to the body
of rules enjoying constitutional rank. Included in this body of rules are the international
treaties or community law norms that do not fall under the scope of Article 410.II of the
Constitution. Therefore, in order to ensure its primacy, the Constitution provides for the
renegotiation, challenge or denunciation of intern ational treaties, which must be

understood as having the same effect in law, in order to ensure its full normative
application.
Consequently, all five proposed structural norms allow for consolidation of a legislative
mechanism that, without interfering with any exclusive competence, renders the
Constitution applicable and provides the necessary certainty and guarantees legal
security to the State, for all Bolivian citizens and residents.

…

1001Annex 71

1002 Annex 71

ARTICLE 6. INTERNATIONAL TREATIES PRE-DATING THE
CONSTITUTION

The obligation to denounce international treaties that are contrary to the Constitution, as
provided for under Transitional Provision No. 9 of the Political Constitution of the
State, entails the possibility of denunciation or, alternatively, challenge of such treaties
before international tribunals, in order to safeguard the supreme interests of the state.

10031004 Annex 72

Bolivian Supreme Resolution 09385, 3 April 2013, attached to
the Letter from David Choquehuanca, Minister of Foreign

Affairs of Bolivia, to Philippe Couvreur, Registrar of the
International Court of Justice, 24 April 2013

(Original in English)

Submitted by Bolivia with its Application to the Court

1005Annex 72

1006Annex 72

1007Annex 72

1008 Annex 73

Constitutional Tribunal of Bolivia, Plurinational Constitutional
Declaration No 0003/2013, made in Sucre on 25 April 2013

(Original in Spanish, English translation)

<http://www.tcpbolivia.bo/>

1009Annex 73

Resolución 0003/2013 - Tribunal Constitucional de Bolivia Page 1

DECLARACIÓN CONSTITUCIONAL PLURINACIONAL 0003/2013
Sucre, 25 abril de 2013

SALA PLENA
Magistrado Relator: Dr. Zenón Hugo Bacarreza Morales
Consulta sobre la constitucionalidad de proyecto de ley

Expediente:02856-2013-06-CCP
Departamento:La Paz

En la consulta sobre la constitucionalidad del proyecto "Ley de Aplicación Normativa"
formulada por Álvaro Marcelo García Linera, en su calidad de Vicepresidente del Estado

Plurinacional de Bolivia y Presidente de la Asamblea Legislativa Plurinacional.

I. ANTECEDENTES CON RELEVANCIA JURÍDICA

I.1. Contenido de la consulta

Por memorial presentado el 22 de febrero de 2013, cursante a fs. 5 y vta., se señala que el 15
del mismo mes y año, la Cámara de Senadores de la Asamblea Legislativa Plurinacional, a
través de Resolución Camaral 010/2013-2014, resuelve por voto favorable de más de dos
tercios de sus miembros presentes: "remitir en Consulta al Tribunal Constitucional
Plurinacional, el Proyecto de Ley C.S. Nº 082/2013-2014 `Ley de Aplicación Normativa´, a
objeto de confrontar el texto de ese Proyecto de Ley con la Constitución Política del Estado",

razón por la cual, en cumplimiento a lo establecido en el art. 112.2 del Código Procesal
Constitucional (CPCo), se remite dicho proyecto adjuntándose además la correspondiente
exposición de motivos, documento legislativo en el que se encuentran los fundamentos que
sustentan la constitucionalidad del proyecto de ley de referencia, más la correspondiente
Resolución Camaral antes citada.

I.2. Trámite Procesal en el Tribunal Constitucional Plurinacional

Ante la excusa presentada por el Magistrado Gualberto Cusi Mamani el 1 de marzo de 2013,
(fs. 22 y 24), la Sala Plena del Tribunal Constitucional Plurinacional, mediante AC
0007/2013, de 5 de marzo, declaró legal la excusa del Magistrado Cusi, disponiendo su
separación definitiva del conocimiento de la causa, convocándose a efecto de conocer el

trámite de la consulta al Magistrado Macario Lahor Cortez Chávez (fs. 26 a 29).

El 5 de marzo de 2013, la Magistrada Soraida Rosario Chánez Chire formuló excusa dentro
de la presente causa, misma que fue declarada legal mediante AC 0008/2013, de 7 de marzo
emitido por la Sala Plena (fs. 32 a 34), disponiendo además la separación definitiva del
conocimiento de la causa, convocándose a efecto de conocer el trámite de la consulta a los

PLURINATIONAL CONSTITUTIONAL DECLARATION 0003/2013
Sucre, 25 April 2013

…
1010 Annex 73

Resolución 0003/2013 - Tribunal Constitucional de Bolivia Page 2

Magistrados Macario Lahor Cortez Chávez y Zenón Hugo Bacarreza Morales.
Por AC 0076/2013-CA de 8 de marzo (fs. 36 a 37), la Comisión de Admisión del Tribunal
Constitucional Plurinacional, admitió la consulta sobre la constitucionalidad del proyecto de

"Ley de Aplicación Normativa", ordenándose se proceda al correspondiente sorteo de
acuerdo a lo establecido por el art. 114 del CPCo.

II. CONCLUSIONES

II.1.Cursa Resolución Camaral 010/2013-2014, mediante la cual, se resuelve en el punto
Primero, remitir en consulta al Tribunal Constitucional Plurinacional, el Proyecto de Ley
C.S. 008/2013-2014, "Ley de Aplicación Normativa", a objeto de confrontar el texto de este

proyecto de ley con la Constitución Política del Estado, determinando además a través de su
punto Segundo, la suspensión del procedimiento de aprobación del citado proyecto (fs. 7).

II.2.Cursa también en antecedentes la exposición de motivos referente al proyecto de Ley de
Aplicación Normativa (fs. 8 a 14).

II.3.Cursa de fs. 15 a 16, en antecedentes Anteproyecto de Ley de Aplicación Normativa,
con el siguiente tenor literal:

"LEY DE APLICACIÓN NORMATIVA

ARTÍCULO 1. OBJETO

La presente ley tiene por objeto determinar la aplicación normativa de cinco preceptos
establecidos en la Constitución Política del Estado vigente, a fin de establecer su correcto

ámbito de validez, respetando el tenor literal así como el espíritu de la norma fundamental.

ARTÍCULO 2. CONSEJO DE LA MAGISTRATURA

El Control Administrativo de Justicia, establecido en el artículo 159 inciso 13) de la
Constitución Política del Estado, lo ejerce el Consejo de la Magistratura, cuyos miembros
son preseleccionados de conformidad a lo establecido en el Artículo 158.I inciso 5) de la Ley
Fundamental.

ARTÍCULO 3. ELECCIÓN DEL CONTRALOR GENERAL DEL ESTADO

El Contralor General del Estado será elegido por dos tercios de votos de los miembros
presentes de la Asamblea Legislativa Plurinacional, previa convocatoria pública, y
calificación de capacidad profesional y méritos a través de concurso público, de conformidad
al Artículo 214 de la Constitución Política del Estado.

ARTÍCULO 4. REELECCIÓN DEL PRESIDENTE Y VICEPRESIDENTE DEL ESTADO

I.De conformidad a lo establecido en el Artículo 168 de la Constitución Política del Estado,
el Presidente y Vicepresidente elegidos por primera vez a partir de la vigencia de la
Constitución, están habilitados para una reelección por una sola vez de manera continua.

1011Annex 73

Resolución 0003/2013 - Tribunal Constitucional de Bolivia Page 3

II.La prescripción contenida en la Disposición Transitoria Primera, parágrafo II de la
Constitución Política del Estado es aplicable a las autoridades que después del 22 de enero
de 2010, continuaron ejerciendo cargos públicos, sin nueva elección, designación o
nombramiento.

ARTÍCULO 5. PRESUPUESTO GENERAL DEL ESTADO

De conformidad a lo establecido en el artículo 158.I numeral 11 y 321.III de la Constitución
Política del Estado, el Pleno de la Asamblea Legislativa Plurinacional podrá considerar, en el
término de sesenta días el Presupuesto General del Estado presentado por el Órgano
Ejecutivo, quien lo remitirá al menos dos meses antes de la finalización de cada año fiscal.

ARTÍCULO 6. TRATADOS INTERNACIONALES ANTERIORES A LA
CONSTITUCIÓN

La obligación de denunciar los Tratados Internacionales contrarios a la Constitución,
establecida en la Disposición Transitoria Novena de la Constitución Política del Estado,
implica la posibilidad de denunciarlos o, alternativamente, demandarlos ante Tribunales

Internacionales, a fin de precautelar los altos intereses del Estado".

III. FUNDAMENTOS JURÍDICOS DEL FALLO

El Vicepresidente del Estado Plurinacional de Bolivia, consulta la constitucionalidad del
proyecto de ley denominado: "Ley de Aplicación Normativa". En consecuencia, corresponde
someter a control previo de constitucionalidad el proyecto de ley consultado, a objeto de

determinar su compatibilidad o incompatibilidad con la Constitución Política del Estado,
para que en su mérito, la Asamblea Legislativa Plurinacional, pueda continuar con el proceso
de aprobación.

III.1.Naturaleza jurídica del control previo de constitucionalidad

Conforme a la norma prevista por el art. 196.I de la Constitución Política del Estado (CPE),

el Tribunal Constitucional Plurinacional vela por la supremacía de la Constitución, ejerce el
control de constitucionalidad y precautela el respeto y vigencia de los derechos y garantías
constitucionales; conforme a ello, el ejercicio de la justicia constitucional por el Tribunal
Constitucional Plurinacional, abarca tres ámbitos de acción: a) El control normativo de
constitucionalidad; b) El control competencial de constitucionalidad; y c) El control tutelar
de constitucionalidad; es decir, la protección de los derechos y garantías fundamentales.

En ese orden, del contenido de las atribuciones del Tribunal Constitucional Plurinacional,
establecidas por la Norma Suprema en su art. 202, se constata que en el ámbito del control
normativo de constitucionalidad; éste puede ser previo, preventivo o a priori y correctivo,
posterior o a posteriori. El primero se realiza antes de la aprobación de la ley, a instancia de
las autoridades que tienen legitimación, con el objeto de que el órgano que ejerce el control
de constitucionalidad, contraste el texto del proyecto de ley con la Constitución Política del
Estado, a objeto de establecer que sus preceptos no sean contrarios al sistema de normas,

principios y valores contenidos en la Norma Suprema. El control correctivo, posterior o a
posteriori es el que se realiza con el mismo objeto, una vez que la norma legal ha sido

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aprobada y se encuentra en vigencia.

Respecto al control previo, la norma prevista por el art. 202.7 de la CPE, establece como
atribución del Tribunal Constitucional Plurinacional, absolver las consultas del Presidente o

Presidenta del Estado, de la Asamblea Legislativa Plurinacional, del Tribunal Supremo de
Justicia o del Tribunal Agroambiental sobre la constitucionalidad de los proyectos de ley.
Asimismo, el precepto constitucional determina que la decisión del Tribunal Constitucional
Plurinacional es de cumplimiento obligatorio.

En concordancia con aquello, el art. 112 del CPCo, precisa quiénes ostentan legitimación
para formular consultas sobre la constitucionalidad de proyectos de ley, señalando: "1. La

Presidenta o Presidente del Estado Plurinacional, cuando se trate de proyectos cuya iniciativa
tienen su origen en el Órgano Ejecutivo; 2. La Presidenta o Presidente de la Asamblea
Legislativa Plurinacional, tratándose de Proyectos de Ley, cuando fuere aprobada por
Resolución del Pleno de la Asamblea Legislativa Plurinacional o una de sus Cámaras, por
dos tercios de los miembros presentes; 3. Para Proyectos de Ley de Materia Judicial, la
Presidenta o Presidente del Tribunal Supremo de Justicia o del Tribunal Agroambiental,
previa aprobación por la Sala Plena respectiva."

Al respecto, conviene aclarar y precisar que la atribución conferida al Tribunal
Constitucional Plurinacional para efectuar control previo de constitucionalidad, conlleva una
labor objetiva del proyecto de ley en consulta, efectuando los juicios de constitucionalidad
requeridos para determinar la compatibilidad o incompatibilidad de los preceptos sometidos
a consulta, con el sistema de valores, principios y normas de la Constitución, limitando su
actuación a dicha tarea, pues el ir más allá proponiendo formas de redacción o contenidos,

constituiría desnaturalizar el control previo y asumir facultades y atribuciones propias del
legislador.

III.2.Alcances de la parte dogmática y orgánica de la Constitución Política del Estado
vigente en Bolivia

La SCP 1227/2012 de 7 de septiembre, en forma precisa desarrolló la existencia y contenido

de las dos partes esenciales que componen la Norma Suprema, estableciendo que: "En el
marco de lo señalado, de acuerdo a postulados propios de teoría constitucional, es menester
señalar que esta Constitución axiomática, como Norma Suprema del Estado, tiene dos partes
esenciales: 1) La parte dogmática; y, 2) La parte orgánica de la Constitución.

La parte dogmática de la Constitución, plasma los valores supremos; principios rectores;
derechos fundamentales y garantías normativas, jurisdiccionales y de defensa. Asimismo, la

parte orgánica de la Constitución, estructura como ya se dijo precedentemente la ingeniería
institucional que en el Estado Plurinacional de Bolivia, deberá responder al pluralismo, la
interculturalidad y a los postulados propios del Estado Constitucional de Derecho.

En el contexto antes señalado, debe precisarse que en todo Estado Constitucional de
Derecho, que es un elemento que caracteriza al Estado Plurinacional de Bolivia, la parte
dogmática de la Constitución, se caracteriza por su directa aplicación, es decir, que su

materialización y por ende el fenómeno de constitucionalización en el ordenamiento jurídico
no necesita ley de desarrollo previa; por el contrario, a la luz del principio de legalidad, que

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constituye uno de los pilares para el ejercicio de la función pública y merced al principio de
seguridad y certeza jurídica, como ejes esenciales del Estado Constitucional de Derecho, la
parte orgánica de la Constitución, para su aplicación necesita leyes orgánicas de desarrollo,
las cuales, para asegurar la garantía de `reserva de ley´, deben ser emanadas de la Asamblea

Legislativa Plurinacional, por cuanto, la parte orgánica -a diferencia de la dogmatica-, una
vez en vigencia de la normativa orgánica de desarrollo, podrá ser aplicada.

Este criterio fue utilizado y desarrollado por el Tribunal Constitucional, que en el periodo de
transición inter-orgánico, (…) a través de la SC 0044/2010-R de 20 de abril, entre otras, de
manera uniforme consolidó el principio de aplicación directa de la Constitución en cuanto a
su parte dogmática".

Conforme el entendimiento jurisprudencial glosado precedentemente, la Constitución estaría
conformada por los valores supremos, principios rectores, derechos fundamentales y
garantías normativas, jurisdiccionales y de defensa, aspectos que desde una óptica de técnica
legislativa, se encuentran insertos en el Preámbulo de la Constitución y la primera parte de
ésta que abarca hasta su art. 144.

Ahora bien, siguiendo los ejes rectores establecidos en la parte dogmática de la Constitución,
a su vez, su parte orgánica plasma la organización del ejercicio del poder destinada
esencialmente a cumplir con los fines esenciales del Estado Plurinacional de Bolivia.

En el orden de ideas señalado y con la finalidad de realizar el pertinente test de
compatibilidad constitucionalidad en el caso concreto, debe establecerse taxativamente que
de acuerdo a la teoría constitucional, existe una diferencia sustancial entre la parte dogmática

de la Constitución y su parte orgánica, en se orden, debe precisarse que la parte dogmática de
la Constitución, se caracteriza por su directa aplicación; es decir, que su materialización no
necesita ley de desarrollo previa; por el contrario, merced al principio de legalidad, que
constituye uno de los pilares esenciales para el ejercicio de la función pública, la parte
orgánica de la Constitución, para su aplicación, necesita leyes expresas de desarrollo, las
cuales deben emanar de la Asamblea Legislativa Plurinacional.

III.3.Los alcances del bloque de constitucionalidad y el orden jurídico infra-constitucional

El órgano contralor de constitucionalidad, en cuanto a la temática referente al bloque de
constitucionalidad, a través de la SC 0110/2010-R de 10 de mayo, en mérito a una labor
hermenéutica armónica con los roles del Sistema Interamericano de Protección de Derechos
Humanos, estableció que forman parte del bloque de constitucionalidad, la Constitución, los
Tratados internacionales referentes a derechos humanos y los Acuerdos de Integración, pero

además, estableció que deben también ser incorporados a éste, todas las sentencias,
opiniones consultivas y demás decisiones emergentes del referido sistema protectivo
supranacional de Derechos Humanos.

En coherencia con el entendimiento jurisprudencial antes señalado, debe precisarse que el
bloque de constitucionalidad, se encuentra expresamente establecido en el art. 410.II de la
Constitución, disposición que en su tenor literal establece lo siguiente: "La Constitución es la

norma suprema del ordenamiento jurídico boliviano y goza de primacía frente a cualquier
otra disposición normativa. El bloque de constitucionalidad está integrado por los Tratados y

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Convenios Internacionales en materia de Derechos Humanos y las normas de Derecho
Comunitario, ratificados por el país…".

Ahora bien, en armonía a la pauta exegética o gramatical de interpretación constitucional, se

tiene que el bloque de constitucionalidad imperante en el Estado Plurinacional de Bolivia,
está compuesto por los siguientes compartimentos: 1) La Constitución como norma positiva;
2) Los tratados internacionales referentes a Derechos Humanos; y 3) Las Normas
Comunitarias; sin embargo, en el marco de una interpretación progresiva, acorde al principio
de unidad constitucional y enmarcada en las directrices principistas del Estado Plurinacional
de Bolivia, debe establecerse además que los valores plurales supremos del Estado
Plurinacional de Bolivia, como ser el vivir bien, la solidaridad, la justicia, la igualdad

material, entre otros, forman parte del bloque de constitucionalidad en un componente
adicional, el cual se encuentra amparado también por el principio de supremacía
constitucional. Así también, en el marco de la nueva visión del constitucionalismo del Estado
Plurinacional de Bolivia, formarán parte de este compartimento del bloque de
constitucionalidad todos los principios generales del derecho.

Por lo expuesto, se colige que la interpretación del bloque de constitucionalidad, en una

concepción extensiva y en armonía con los mandatos constitucionales establecidos en el art.
13.IV y 256 de la CPE, en tópicos vinculados a Derechos Humanos, comprende además la
pauta de interpretación "desde y conforme al bloque de convencionalidad", razón por la cual,
en mérito a una interpretaci ón progresiva, los derechos amparados por el principio de
supremacía constitucional, están integrados por los expresamente disciplinados en el texto
constitucional y todos aquellos reconocidos por el bloque de convencionalidad, en el ámbito
de una aplicación siempre guiada a la luz del principio de favorabilidad.

De acuerdo a lo señalado, es pertinente precisar que a partir de la concepción del bloque de
constitucionalidad, se genera en el Estado Plurinacional de Bolivia, un orden jurídico
infraconstitucional, en relación al cual, debe operar lo que en teoría constitucional se
denomina "fenómeno de constitucionalización del ordenamiento jurídico", en mérito del
cual, el bloque de constitucionalidad, se materializará en la vida social a través de la
irradiación de su contenido (En ese mismos sentido Ricardo Guastini en "La

Constitucionalización del ordenamiento jurídico: El caso italiano").

III.4.La aplicación normativa como herramienta legislativa

Al respecto, partiremos recogiendo algunas consideraciones efectuadas por Konrad Hesse:
"La Fuerza normativa de la Constitución", respecto a la norma constitucional, que -a su
criterio- "carece de existencia propia, independiente de la realidad. Su naturaleza estriba en

que pretende tener vigencia, es decir, realizar en la realidad el estado por ella normado. Esta
pretensión de vigencia no puede desvincularse de las condiciones históricas de su realización
que, manteniéndose en una interdependencia múltiple crean los condicionamientos
específicos de los que no puede hacer abstracción. Entre ellos se cuentan las condiciones
naturales, técnicas, económicas y sociales de cada situación, frente a las cuales la pretensión
de vigencia de la norma jurídica sólo tiene éxito cuando toma en cuenta estas condiciones".

Concordante con el referido criterio y precisándolo, Francisco Fernández Segado (en su obra
"Aproximación a la Ciencia del Derecho Constitucional"), sostiene que sólo desde la

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comprensión de los condicionamientos sociales y de todo orden que inciden sobre la
vigencia de una norma constitucional, podrá entenderse su eficiencia y efectos.

El texto constitucional se constituye en la Norma Suprema que -por voluntad del
constituyente- recoge además los valores sociales, políticos y en el caso de Bolivia con
particular incidencia los principios y valores ético morales en los que se sustenta el Estado y
que buscan la armonía y el "vivir bien" de la sociedad plural, por lo que por regla general su
contenido es uniforme, concordante, coherente, integrado y funcional; sin embargo, pueden
presentarse situaciones excepcionales que sin resultar necesariamente antinomias dentro del
texto constitucional, se evidencie normas que al momento de su aplicación puedan parecer

contrarias al contenido de otros preceptos constitucionales o más que contrarias, su
materialización no parecería estar contextualizada con todo el contenido y el espíritu de la
Constitución Política del Estado.

Surge en consecuencia la necesidad de establecer la aplicación normativa como una
herramienta legislativa que posibilite la eficaz y correcta materialización de preceptos
constitucionales, dado que en un Estado Constitucional de Derecho, todas las normas tienen

que ser acordes a la Norma Suprema, teniendo como finalidad esencial el posibilitar que las
normas constitucionales sean eficaces, en términos de ser materialmente verificables.

En ese orden, la Asamblea Legislativa Plurinacional, que expresa y ejecuta legislativamente
la voluntad del soberano, tiene la obligación de hacer efectivas las normas constitucionales y
materializar el contenido de la Constitución Polític a del Estado, no otra cosa significa la
labor legislativa de leyes de desarrollo, que en esencia son normas que cristalizan y encarnan

los preceptos orgánicos en el marco de los valores y principios instituidos por la Constitución
Política del Estado.

En este punto de análisis, cabe referirse a la autolimitación de la soberanía, que el
constitucionalista Ignacio De Otto "Derecho Constitucional, Sistema de Fuentes" desarrolla
de la siguiente forma: "En términos de teoría jurídica la doctrina del poder constituyente del
pueblo no es sino la formulación de una norma básica del ordenamiento, esto es, de una

norma de la que deriva la validez de todas las demás (…) Según la teoría del poder
constituyente del pueblo, éste, en cuanto es soberano, tiene un poder absoluto para
determinar lo que es derecho, y lo ejerce dando una Constitución en la que determina los
procedimientos y los límites de la creación de normas. Establecida la Constitución el propio
poder del pueblo queda sujeto a ella, pues la voluntad popular de reformarla sólo podrá
expresarse válidamente siguiendo los procesos de reforma que la propia Constitución
establece. Con la Constitución el pueblo no sólo constituye poderes del Estado, que deben su

existencia a la voluntad popular, sino que, además, se autolimita en el sentido de que, en el
futuro, su propio poder acerca de la Constitución sólo podrá ejercerse en los términos que la
propia Constitución establece".

Del razonamiento expresado deriva entonces la evidencia de que el constituyente originario
recogiendo la voluntad del soberano, instituye una Norma Suprema que -como se expresó en
fundamentos precedentes- contiene una parte dogmática y otra orgánica que son la expresión
de la autoidentificación del pueblo, la visión y concepción del tipo de Estado imperante, todo

ello en el marco de los valores y principios supremos que rigen a esa sociedad. Luego está
que el constituyente derivado, que de igual forma representa la voluntad del soberano, debe

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no sólo enmarcar las normas que emite al contenido de la Constitución Política del Estado,
sino que su función implica también el materializar dicho contenido y el espíritu de la Norma
Suprema a través de leyes, y en los casos excepcionales de presentarse una aparente

antinomia o fricción de normas constitucionales, el legislativo puede -en ejercicio de la
facultad conferida por el soberano- dilucidar dicha antinomia o roce de preceptos
constitucionales a través de una ley, a efectos de una aplicación contextualizada y sistémica
de la Constitución Política del Estado, sin que dicha tarea, de ninguna manera, importe una
presunta ley de interpretación de la Constitución, sino únicamente cumplir y materializar la
soberanía popular que no puede ser limitada ni restringida por ninguna norma, ni autoridad.

En ese sentido, cuando el art. 4.III de la Ley del Tribunal Constitucional Plurinacional
(LTCP) establece que: "El Tribunal Constitucional Plurinacional en su labor de guardián de
la Constitución Política del Estado es el intérprete supremo de la Ley Fundamental sin
perjuicio de la facultad interpretativa que tiene la Asamblea Legislativa Plurinacional como
órgano depositario de la soberanía popular", debe entenderse que simplemente reconoce una
competencia implícita en la Constitución, para el ejercicio de sus competencias; es decir,
para elaborar leyes concretas, pero no para sustituir al legislador constituyente y menos aún

menoscabar la competencia del Tribunal Constitucional Plurinacional constituido conforme
al art. 196.I de la CPE, en último y máximo intérprete de la Norma Suprema, cuyas
decisiones además son vinculantes y obligatorias también al propio legislador ordinario por
mandato popular.

III.5La refundación del Estado Plurinacional de Bolivia y su génesis en la función

constituyente que aprobó la Constitución de 2009

En el caso de nuestro país, el proceso constituyente que se desarrolló desde el 2006,
concluyendo el 2009, tuvo inequívocamente un carácter originario, con una génesis directa
en la voluntad democrática popular, característica a partir de la cual, se entiende su
autonomía, en mérito de la cual, el nuevo orden trazado, es diferente al pre-existente, ya que
la función constituyente, por su naturaleza jurídica, generó una nueva era jurídico-política

basada en la refundación del Estado, en el marco de los criterios del pluralismo, la
interculturalidad y la descolonización, como ejes esenciales del nuevo modelo de Estado.

En ese marco, es imperante establecer también, que el ámbito y límite de la función
constituyente originaria y del nuevo orden generado por ella misma, son los derechos
humanos reconocidos por acuerdos y tratados internacionales, los cuales a su vez, formarán
parte del bloque de constitucionalidad.

El órgano contralor de constitucionalidad, definió a través de su uniforme línea
jurisprudencial las características de la refundación del Estado, en ese orden, el primer hito
fundamental a ser resaltado, constituye la SC 0168/2010-R de 17 de mayo, la cual, en su
Fundamento Jurídico III.3, desarrolló la naturaleza jurídica de la función constituyente y la
Asamblea Constituyente, señalando que el elemento esencial para establecer la naturaleza
jurídica de la función constituyente, es su carácter soberano; en ese orden, dicho
entendimiento ya estableció que la teoría del "Poder Constituyente", consagró el carácter

soberano de la función constituyente, la cual no está vinculada a ninguna norma jurídica
previa, toda vez que por su naturaleza es un poder pre-jurídico.

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La Sentencia Constitucional referida, estableció de manera expresa la denominada "Tesis de
la función constituyente", precisando que la voluntad democrática popular, constituye la
génesis democrática legítima para modificar un orden anteriormente establecido,
sustituyéndolo por uno nuevo en casos de profundas crisis estructurales.

El referido entendimiento jurisprudencial, señala además que en los Estados

contemporáneos, la función constituyente es pre-existe en relación al nuevo Estado a ser
creado, caracterizándose por esta razón su naturaleza extraordinaria, extra-jurídica y
autónoma. Así, estableció el entendimiento ahora invocado, reconociendo que la función
constituyente, en mérito a su rasgo autónomo, es una fuente y esencia del nuevo orden
jurídico, diferente y completamente independiente del orden pre-constituido. Además, es
necesario señalar que el Tribunal Constitucional Plurinacional, en entendimientos anteriores,
desarrolló también el tema referente a la refundación del Estado, tal como lo hizo en la SCP

1227/2012 de 7 de septiembre, entre otras.

III.6.Test de compatibilización del art. 1 de la Ley de Aplicación Normativa

La norma contenida en el art. 1 del proyecto de ley en consulta, establece que ésta tiene por
objeto determinar la aplicación normativa de cinco preceptos establecidos en la Constitución
Política del Estado vigente, a fin de establecer su correcto ámbito de validez, respetando el

tenor literal así como el espíritu de la norma fundamental.

Al respecto, los cinco preceptos objeto de la aplicación normativa responden al control
administrativo de justicia encomendado al Consejo de la Magistratura; la elección del
Contralor General del Estado; la re-elección del Presidente y Vicepresidente del Estado y la
continuidad de gestión para autoridades electas, designadas o nombradas que después del 22
de enero de 2010, hubieren continuado en el ejercicio de sus cargos; el Presupuesto General

del Estado; y la denuncia o demanda ante Tribunales Internacionales de Tratados
internacionales.

En ese orden y en el marco de los razonamientos desarrollados en los Fundamentos Jurídicos
III.2, III.3 y III.4 de la presente Declaración Constitucional, existe una diferencia sustancial
entre la parte dogmática de la Constitución y su parte orgánica, lo que a su vez implica que la
parte dogmática se caracteriza por su directa aplicación; es decir, que su materialización no

necesita ley de desarrollo previa, por el contrario, en razón al principio de legalidad, que
constituye uno de los pilares para el ejercicio de la función pública, se estableció también
que la parte orgánica de la Norma Suprema, para su aplicación, necesita leyes expresas de
desarrollo, las cuales, deberán emanar de la Asamblea Legislativa Plurinacional, en
cumplimiento de la atribución conferida por el art. 158.I.3 de la CPE, que establece dictar
leyes, interpretarlas, derogarlas, abrogarlas y modificarlas.

Dentro de ese marco, al evidenciarse que los cinco preceptos de aplicación normativa
desarrollados en el proyecto de ley, constituyen elementos que hacen a la parte orgánica de la
Constitución, sus contenidos no sólo que pueden, sino que deben ser desarrollados mediante
ley que emane del órgano de legitimidad popular, como es la Asamblea Legislativa
Plurinacional; es decir, el constituyente derivado, aspecto absolutamente armónico con el
orden constitucional, no sólo porque responde a la naturaleza jurídica de las disposiciones

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III. 5 The re-founding of the Plurinational State of Bolivia and its genesis in the
constitutional function that approved the Constitution of 2009

In our nation’s case, the constitutional pro cess that took place from 2006, concluding

in 2009, had an unequivocally original charac ter, arising from the democratic will of
the people, a characteristic that explains its autonomous character, and therefore, the
new order is different from the pre-exis ting one, because the constitutional function,
by its juridical nature, created a new politi cal and legal era, based on re-founding the
State on criteria of pluralism, diversity of cultures and decolonization as essential axes
of the new state model.

Within that framework, it is important to establish that the scope and limit of the
constitutional function of original character and its new resulting order, are the human
rights recognized by agreements and international treaties, which will in turn form
part of the body of constitutional law.

The body in charge of constitutional judicial review, in uniform jurisprudence, has
defined the characteristics of the process of re-founding the State. The first milestone
in this regard is SC 0168/2010-R of 17 May, which, in legal argument III.3, explained

the legal nature of the constitutional function and the Constitutional Assembly,
underlining that its essential element is its sovereign character; in that respect, that
authority has already established that the theory of “Constitutional Power” enshrines
the sovereign character of the constituti onal function, which is not tied to any
previous legal norm, because it predates the legal order.

The aforementioned constitutional judgment expressly set out the so-called
“constitutional function theory”, pointing out that the democratic will of the people is
the basis of the power to modify a previously established legal order and to substitute
it for a new one in cases of a deep structural crisis.

The jurisprudence referred to above furthe r explains that, in modern states, the

constitutional function predates the to-be-formed state; that is why it is of
extraordinary, extra-legal and autonomous nature. Hence, as established in the
aforementioned understanding, the constitu tional function, due to its autonomous
character, is the source and essence of the new legal order; it is different and
completely independent from the pre-existin g order. In addition, it is important to
highlight that the Plurinational Constitutional Tribunal, in previous decisions, has also
elaborated on this matter, in decision SCP 1227/2012 of 7 September, among others.

…

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insertas en la parte orgánica de la Norma Suprema, sino porque materializa sus contenidos

cumpliendo con la voluntad del constituyente originario.

En el orden de ideas señalado, la aplicación normativa de disposiciones expresas insertas en
la parte orgánica de la Constitución, destinadas a establecer un correcto ámbito de validez, se
encuentra enmarcada dentro de los roles propios de la Asamblea Legislativa Plurinacional,
para la disciplina de aspectos propios de la parte orgánica de la Constitución. En
consecuencia, el objeto del proyecto de ley en consulta, no implica un exceso, ni menos aún

una contradicción con el orden constitucional imperante, sino por el contrario, el objeto del
proyecto de ley, responde a la atribución conferida por la Norma Suprema a la Asamblea
Legislativa Plurinacional, de desarrollar disposiciones orgánicas de la Constitución,
cumpliendo a su vez la obligación del constituyente derivado de encarnar los valores y
principios constitucionales, materializando el contenido de la Norma Suprema en leyes que
efectivicen su contenido y que respondan a la voluntad del soberano.

Conforme lo expuesto, no se evidencia incompatibilidad alguna del contenido del art. 1 del
proyecto de ley en consulta y por ende del objeto de la ley, con el texto constitucional, en
tanto se trate de una norma de desarrollo de la parte orgánica de la Constitución.

III.7.Sobre el art. 2 del proyecto de la Ley de Aplicación Normativa

El denominado control administrativo de la justicia es una potestad constitucionalmente

asignada al Consejo de la Magistratura del Estado Plurinacional de Bolivia, según el art.
193.I de la CPE, al establecer que "El Consejo de la Magistratura es la instancia responsable
del régimen disciplinario de la jurisdicción ordinaria, agroambiental y de las jurisdicciones
especializadas; del control y fiscalización de su manejo administrativo y financiero; y de la
formulación de políticas de su gestión. El Consejo de la Magistratura se regirá por el
principio de participación ciudadana".

Nótese que la norma glosada refiere un principio sustancial para la convivencia democrática,
cual es la de división de órganos de poder, la primera involucra la autonomía a la que hace
referencia el art. 7 de la Ley del Órgano Judicial (LOJ), e implica que este Órgano administra
y controla su gestión administrativa de manera autónoma, en relación a los otros Órganos del
Estado (Legislativo, Ejecutivo y Electoral), y la segunda dimensión, una intra-orgánica en el
Órgano Judicial, pues han discriminado la función de gestión administrativa a cargo de la
Dirección Administrativa Financiera (DAF) del aludido Órgano, de la función de control de

la gestión administrativa financiera, la misma que reside en el Consejo de la Magistratura.

En ese sentido, el proyecto de norma legal se limita a desarrollar cuál es el Órgano al que se
refiere el art. 159.13 de la Norma Suprema -referido a la preselección de los postulantes al
Control Administrativo de Justicia y remisión al Órgano Electoral Plurinacional de la nómina
de los precalificados, para la organización única y exclusiva del proceso electoral- por ende
la preselección de sus miembros se acomoda al art. 158.I.5) de la misma CPE, que establece

que son atribuciones de la Asamblea Legislativa Plurinacional, además de las que determina
la Norma Suprema y la ley, entre otras la de preseleccionar a las candidatas y a los
candidatos para la conformación del Tribunal Constitucional Plurinacional, Tribunal
Supremo de Justicia, Tribunal Agroambiental y Consejo de la Magistratura.

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Ello implica que el art. 2 del proyecto de ley en consulta, no sólo que se constituye en una
norma de desarrollo, sino que es necesaria su existencia y vigencia, por cuanto su contenido
se ajusta al principio de separación de funciones, respetando la voluntad del constituyente, en

sentido de quién debe ejercer el control administrativo de la justicia, impulsando y
coadyuvando al mismo tiempo a la vigencia del principio de separación de funciones de los
Órganos del Estado Plurinacional, la misma que se halla establecida en el art. 12 de la CPE,
que señala:

"I.El Estado se organiza y estructura su poder público a través de los órganos Legislativo,
Ejecutivo, Judicial y Electoral. La organización del Estado está fundamentada en la

independencia, separación, coordinación y cooperación de estos órganos.
II.Son funciones estatales la de Control, la de Defensa de la Sociedad y la de Defensa del
Estado.
III.Las funciones de los órganos públicos no pueden ser reunidas en un solo órgano ni son
delegables entre si".

En el marco de los razonamientos expuestos, el art. 2 del Proyecto de ley en control previo

de constitucionalidad, resulta compatible con el texto de la Norma Suprema, dado que se
acomoda al espíritu del constituyente y al principio de separación de órganos, manteniendo
el equilibrio inter-orgánico e intra-orgánico.

III.8.Respecto al art. 3 del proyecto de la Ley de Aplicación Normativa

El proyecto de ley sometido a control de constitucionalidad previo en su art. 3 prevé: "El

Contralor General del Estado será elegido por dos tercios de votos de los miembros presentes
de la Asamblea Legislativa Plurinacional, previa convocatoria pública, y calificación de
capacidad profesional y méritos a través de concurso público, de conformidad al Artículo
214 de la Constitución Política del Estado".

El artículo propuesto por en el proyecto de ley reitera lo establecido por el texto
constitucional en el art. 214 de la CPE, que determina que la Contralora o Contralor General

del Estado se designará por dos tercios de votos de los presentes de la Asamblea Legislativa
Plurinacional y que dicha elección requiere de convocatoria pública previa, y calificación de
capacidad profesional y méritos a través de concurso público.

Por otra parte debe considerarse que la norma constitucional también ha previsto en el art.
172.15 que es atribución del Presidente del Estado nombrar, de entre las ternas propuestas
por la Asamblea Legislativa Plurinacional, a la Contralora o al Contralor General del Estado.

Conforme a lo desarrollado a lo largo de la presente Declaración Constitucional, respecto a
la existencia de antinomia que pueda presentarse al interior del texto constitucional, es
posible que el órgano legislativo, en esta su labor de materializar la constitución, pueda
dictar leyes que hagan posible la materialización de la constitución, con la finalidad de evitar
que las normas antinómicas se tornen ineficaces.

El desarrollo e interpretación que realice el legislativo en este caso, está condicionada a que

la misma responda a la parte orgánica de la Constitución; corresponde en el caso analizar si
la labor efectuada por la Asamblea Legislativa Plurinacional sobre la elección de la

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Contralora o Contralor General del Estado por parte del Órgano Legislativo y no por la
Presidenta o Presidente del Estado responde a la parte orgánica de la constitución.

Así, el texto constitucional en el art. 1 de la CPE, a tiempo de definir el modelo de Estado,

reconoce el carácter eminentemente democrático de éste, garantizando una forma de
convivencia social que necesariamente implica la concurrencia de libertades e igualdades,
donde las relaciones sociales se establecen de acuerdo a mecanismos de participación
ciudadana sin distinciones ni discriminación, este carácter democrático del Estado determina
que la titularidad del poder político descansa en el pueblo y no en el gobernante, quien ejerce
el poder por delegación conferida por el pueblo a través del voto directo y de la participación
directa en las decisiones políticas. Es así que conforme al principio democrático aludido, el

gobierno encuentra en el voto un factor de legitimación, en coherencia con lo manifestado
por el art. 7 de la CPE, donde refiriéndose a la soberanía, indica que la misma reside en el
pueblo, además que es inalienable e imprescriptible, lo que determina que el pueblo es el
origen de todo poder concluyéndose que el poder del Estado emana del Pueblo, este potestad
democrática en su ejercicio puede por un lado ser ejercida a través de la delegación a los
mandatarios y representantes mediante elecciones libres, plurales, igualitarias y ampliamente
informadas; y, por otro, interviniendo en la toma de decisiones expresando su voluntad

política ante las consultas efectuada por el gobierno, a través de los mecanismos de
participación que establece la Constitución Política del Estado.

La Asamblea Legislativa Plurinacional es el órgano que por su concepción, naturaleza
democrática y plural representa de mejor manera la voluntad del pueblo, por ello la
aplicación normativa planteada en el proyecto de ley, referida a que la Contralora o
Contralor del Estado sea elegida por esa instancia, es una interpretación que responde al

texto constitucional, pues la decisión del órgano político colegiado involucra un mayor grado
de discusión, garantiza la participación plural de sus miembros en el proceso decisorio,
respondiendo de mejor manera al carácter democrático del Estado, razones por las cuales la
norma en consulta y objeto de análisis resulta ser constitucional.

III.9.Con relación a la Ley de Aplicación Normativa, referente al art. 4

El art. 4 del proyecto de ley establece: "I. De conformidad a lo establecido en el Artículo 168
de la Constitución Política del Estado, el Presidente y Vicepresidente elegidos por primera
vez a partir de la vigencia de la Constitución, están habilitados para una reelección por una
sola vez de manera continua. II. La prescripción contenida en la Disposición Transitoria
Primera, parágrafo II de la Constitución Política del Estado es aplicable a las autoridades que
después del 22 de enero de 2010, continuaron ejerciendo cargos públicos, sin nueva elección,
designación o nombramiento".

Al respecto, la norma objeto de análisis determina dos aspectos que deben ser analizados a
fin de realizar el contraste de constitucionalidad, el primero determina que el Presidente y el
Vicepresidente se encuentran habilitados para la reelección por una sola vez de forma
continua desde el momento de haber sido elegidos por primera vez, a partir de la vigencia de
la Constitución; y el segundo, establece que el parágrafo de la Disposición Transitoria
Primera de la Constitución Política del Estado, es aplicable a las autoridades que después del

22 de enero de 2010, continuaron ejerciendo cargos públicos, sin nueva elección,
designación o nombramiento.

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Sobre este particular y en lo referente al ámbito personal de aplicación regulado por el citado
proyecto, debe señalarse que tanto el Presidente como el Vicepresidente, en el marco del

Estado Unitario Social de Derecho, Plurinacional Comunitario, libre, independiente,
soberano, democrático, intercultural, descentralizado y con autonomías, tal cual reza el art. 1
de la CPE, son autoridades cuya fuente de poder tiene su origen en una forma democrática de
gobierno mediante el voto universal, obligatorio, directo, libre y secreto, tal como lo señala
el art. 166.1 de la CPE; en este sentido, por la naturaleza jurídica de su mandato, que tal
como se dijo, emerge del voto popular, en el contexto del sistema de gobierno adoptado por
el Estado Plurinacional de Bolivia, que se plasma en el art. 11 de la CPE y al estar regulado

su mandato en la parte orgánica de la constitución, se colige que no existe incompatibilidad
alguna del desarrollo normativo mediante ley expresa de este elemento fáctico-normativo de
la disposición objeto de análisis con el orden constitucional.

En ese sentido, se advierte que la norma en análisis destaca la figura de la reelección,
refiriéndose únicamente al caso del Presidente y Vicepresidente, sosteniendo además que si
éstos fueron elegidos en vigencia del nuevo régimen constitucional se encuentran habilitados

para la reelección, dado que de una interpretación literal de la Disposición Transitoria
Primera, se extrae que los mandatos anteriores a la vigencia de la Constitución, seguirán
computándose hasta la posesión de las nuevas autoridades, desprendiendo el mismo
resultado si se considera la interpretación sis temática de la referida Disposición Transitoria,
así su parágrafo I acorta los mandatos de autoridades nacionales hasta "…la elección de la
Asamblea Legislativa Plurinacional, Presidente y Vicepresidente de la republica…",
posteriormente el parágrafo IV prorroga el mandato de las autoridades municipales y en ese

contexto el parágrafo II, refiriéndose a todos los mandatos sean de nivel nacional,
departamental o municipal en ese momento vigentes, prorroga el computo de sus funciones
hasta el nuevo periodo de las nuevas autoridades, de forma que no hace mención expresa,
sobre si el periodo constitucional que desarrollaba constituía o no su primer periodo
constitucional.

Asimismo, para este Tribunal la Disposición Transitoria Primera de la CPE, debe

interpretarse conforme a las normas definitivas contenidas en la misma Constitución y
específicamente por la parte dogmática constitucional.

Por otra parte, conforme al Fundamento Jurídico III.5 de la presente Declaración
Constitucional, es necesario rememorar que la Asamblea Constituyente en Bolivia, cuyo
proceso fue iniciado el 2006, concluyendo el 2009, tuvo inequívocamente un carácter
originario, con origen en la voluntad democrática popular, característica a partir de la cual, se

entiende su autonomía, en mérito de la cual, el nuevo orden es diferente al pre-existente, el
nuevo orden implica una nueva era jurídico- política basada en la refundación del Estado,
por ello se concluye que es absolutamente razonable y acorde con la Constitución, realizar el
computo del plazo para el ejercicio de funciones tanto del Presidente como del
Vicepresidente del Estado Plurinacional de Bolivia, desde el momento en el cual la función
constituyente refundo el Estado y por ende creo un nuevo orden jurídico - político.

El art. 168 de la CPE, prevé que el Presidente y Vicepresidente elegidos por primera vez a

partir de la vigencia de la Constitución, están habilitados para una reelección por una sola
vez de manera continua. Al respecto, la precisión normativa realizada por el art. 4.I. del

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proyecto de ley objeto del presente test de constitucionalidad, en cuanto al momento para el
cómputo del plazo para la reelección de autoridades a través del voto popular, no desborda el
contenido normativo del citado artículo constitucional menos lo contradice, ya que el
desarrollo se encuentra inserto en la parte orgánica de la constitución.

Efectuada la compatibilización de la primera parte del art. 4 del proyecto de ley en consulta,
corresponde ahora realizar dicha labor en cuanto al ámbito personal de aplicación de la
misma, contenido en el segundo presupuesto del citado art. 4 en estudio que refiere: "La
prescripción contenida en la Disposición Transitoria Primera, parágrafo II de la Constitución
Política del Estado es aplicable a las autoridades que después del 22 de enero de 2010,
continuaron ejerciendo cargos públicos sin nueva elección, designación o nombramiento".

En este orden, el ámbito de aplicación temporal inserto en el art. 4.II del proyecto de ley
objeto del presente contraste de constitucionalidad, contempla a las autoridades que después
del 22 de enero de 2010, continuaron ejerciendo cargos públicos, autoridades distintas al
Presidente y Vicepresidente del Estado Plurinacional de Bolivia, es así que la regulación
diferenciada del ámbito personal de aplicación, en cuanto a autoridades públicas diferentes al
Presidente y Vicepresidente del Estado, no implica una contradicción con el orden

constitucional vigente.

En efecto, conforme se precisó antes, el carácter soberano de la función constituyente no está
vinculado a ninguna norma jurídica previa, toda vez que por su naturaleza es un poder pre-
jurídico; así la función constituyente, en mérito a su rasgo autónomo, es una fuente y esencia
del nuevo orden jurídico, diferente del orden pre-constituido, en mérito de la cual, como se
dijo, el nuevo orden diseñado, es diferente al pre-existente.

En ese contexto, si bien es cierto que la función constituyente refundó el Estado (2009) y
creó un nuevo orden jurídico-político, no es menos evidente que el cumplimiento de los fines
esenciales del Estado, implica el reconocimiento de mecanismos idóneos, para asegurar una
eficaz gestión pública en el periodo inter-orgánico de transición hacia la implementación
plena de la nueva estructura estatal.

En consecuencia, de acuerdo a una interpretación teleológica se tiene que la función pública
ejercida por servidores públicos, que después del 22 de enero de 2010, hubieren continuado
en el ejercicio de sus cargos sin nueva elección, designación o nombramiento, asegura la
continuidad y consiguiente eficacia de la gestión pública destinada al cumplimiento de los
fines esenciales del Estado, por tanto, en este marco, el contenido del art. 4.II del proyecto de
Ley de Aplicación Normativa, no sólo que es razonable y coherente, sino también
compatible con el orden constitucional vigente.

III.10.Compatibilización del art. 5 del proyecto de ley en consulta

El proyecto de ley sometido a control de constitucionalidad prevé que de conformidad a lo
establecido en el art. 158.I.11 y 321.III de la CPE, el pleno de la Asamblea Legislativa

Plurinacional podrá considerar, en el término de sesenta días el Presupuesto General del
Estado presentado por el Órgano Ejecutivo, quien lo remitirá al menos dos meses antes de la

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finalización de cada año fiscal.

Con la finalidad de realizar el test de constitucionalidad del art. 5 propuesto debe precisarse
que el tenor literal del art. 158.I.11 de la CPE, establece como atribución de la Asamblea

Legislativa Plurinacional, además de las que determina esta Constitución y la ley: "Aprobar
el Presupuesto General del Estado presentado por el Órgano Ejecutivo. Recibido el proyecto
de ley, éste deberá ser considerado en la Asamblea Legislativa Plurinacional dentro del
término de sesenta días. En caso de no ser aprobado en este plazo, el proyecto se dará por
aprobado".

Por su parte el tener literal del art. 32.1.III de la CPE, dispone que "El Órgano Ejecutivo

presentará a la Asamblea Legislativa Plurinacional, al menos dos meses antes de la
finalización de cada año fiscal, el proyecto de ley del Presupuesto General para la siguiente
gestión anual, que incluirá a todas las entidades del sector público".

En el caso analizado salta a la vista que el legislador ordinario en el art. 5 del proyecto de ley
en consulta determina como una obligación facultativa de la Asamblea Legislativa
Plurinacional el aprobar el Presupuesto General del Estado, así el referido artículo señala "…

el Pleno de la Asamblea Legislativa Plurinacional podrá considerar,…", cuando el texto
constitucional manda de manera imperativa a la Asamblea aprobar el presupuesto general del
Estado, este cambio del verbo -deberá por podrá- implica un reforma constitucional, que no
es posible de ser realizada a través de una ley, en ese sentido, al no ser viable cambiar un
deber constitucional por una facultad legal, la norma planteada en el proyecto resulta ser
inconstitucional.

III.11.Respecto al art. 6 sometido a consulta

El art. 6 del proyecto de ley establece: "La obligación de denunciar los Tratados
Internacionales contrarios a la Constitución, establecida en la Disposición Transitoria
Novena de la Constitución Política del Estado, implica la posibilidad de denunciarlos o,
alternativamente, demandarlos ante Tribunales Internacionales, a fin de precautelar los altos
intereses del Estado".

La norma propuesta tiene su origen constitucional en la Disposición Transitoria Novena de la
Constitución Política del Estado que determina: "Los tratados internacionales anteriores a la
Constitución y que no la contradigan se mantendrán en el ordenamiento jurídico interno, con
rango de ley. En el plazo de cuatro años desde la elección del nuevo Órgano Ejecutivo, éste
denunciará y, en su caso, renegociará los tratados internacionales que sean contrarios a la
Constitución".

De las normas glosadas se tienen dos elementos relevantes, el primero referido a la
disquisición de Tratados internacionales que contradicen la constitucional y aquello que no
lo hacen, facultando al Órgano Ejecutivo a denunciar los Tratados internacionales o
alternativamente demandarlos ante Tribunales Internacionales, por lo que en esa labor
corresponderá diferenciar los Tratados internacionales que contradicen la Constitución de los
que no lo hacen y fundamentalmente los que forman parte de ella.

Respecto del primer supuesto referido a los Tratados internacionales que contradicen la

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constitucional, debe aclararse que no es potestativo del Órgano Ejecutivo denunciar o

alternativamente demandarlos ante Tribunales Internacionales, así el art. 108 de la CPE,
establece como deber fundamental el "conocer, cumplir y hacer cumplir la Constitución y las
leyes" (el resaltado no corresponde), luego es posible la denuncia o demanda de Tratados
internacionales que se contrapongan al interés estatal.

Sin embargo, es preciso aclarar que la denuncia o demanda de Tratados internacionales de
Derechos Humanos que integran la Constitución, por su rango normativo y su especial
consideración por parte del legislador constituyente, debe enmarcarse al cumplimiento de

requisitos y en los presupuestos establecidos por la misma Norma Suprema, lo que implica
no sólo efectuar la denuncia en el marco del art. 260 de la CPE, sino también el determinar
con precisión el objeto y alcance de la denuncia, en atención a la protección de derechos
humanos y en consideración a que uno de los fines esenciales del Estado Plurinacional es su
protección y la materialización de su ejercicio pleno.

En merito a lo señalado, debe establecerse que el contenido del art. 6 del proyecto de ley
objeto de la presente test de constitucionalidad, se encuentra conforme al bloque de

constitucionalidad en tanto y en cuanto asuma la interpretación plasmada en el presente
fundamento.

POR TANTO

El Tribunal Constitucional Plurinacional, en su Sala Plena; en virtud de la autoridad que le
confiere la Constitución Política del Estado Plurinacional de Bolivia y el art. 12.8 de la Ley
del Tribunal Constitucional Plurinacional; resuelve declarar:

1ºLa CONSTITUCIONALIDAD de los arts. 1, 2, 3 y 4 del proyecto de "Ley de Aplicación
Normativa", por hallarse conforme al contenido de la Constitución Política del Estado.

2ºLa INCONSTITUCIONALIDAD del art. 5 del proyecto de "Ley de Aplicación
Normativa".

3ºLa CONSTITUCIONALIDAD condicionada del art. 6 del proyecto de "Ley de Aplicación

Normativa", a los razonamientos expuestos en el Fundamento Jurídico III.11.

Fdo. Dr. Ruddy José Flores Monterrey
PRESIDENTE

Fdo. Dr. Zenón Hugo Bacarreza Morales
MAGISTRADO

Fdo. Dr. Efren Choque Capuma
MAGISTRADO

1026 Annex 73

III. 11 Regarding Art. 6 submitted to consultation

Article 6 of the draft bill states: “The obligation to denounce international treaties that
are contrary to the Constitution, establishe d in Transitional Provision Nine of the
Political Constitution of the State, involve s the possibility of denouncing them, or in
the alternative, challenging them before international tribunals with the purpose of

protecting the high interests of the State.”

The proposed provision has its constitutional roots in Transitional Provision Nine of
the Political Constitution of the State, which provides that: “International treaties
preceding the Constitution, the provisions of which are not inconsistent with the
Constitution, will remain in the domestic legal system, with force of law. Within four

years of its appointment, the new executive branch will denounce and, if necessary,
renegotiate those international treaties that are contrary to the Constitution.”

The aforementioned provisions reveal two important points; the first in relation to
those international treaties that are inconsistent with the Constitution and those that
are not, it enables the executive branch to denounce or challenge international treaties

before international tr ibunals. In that regard, it isimportant to draw a distinction
between those treaties that are inconsistent with the Constitution from those that are
not, and also from those that are part of it.
With respect to those international treatie s that are contrary to the Constitution, it
must be pointed out that it is not with in the executive branch’s power to denounce or,

alternatively, to challenge them before international tribunals . Article 108 of the
Constitution states that it is a fundamental duty to “know, abide by and enforce the
Constitution and all laws”… , thus it is po ssible to denounce or challenge those
international treaties that are contrary to the interests of the state.

However, it is important to clarify that, due to their legal status and the special
character that the constitutional power has recognized in them, in order to denounce
or challenge those international treaties on Human Rights that are part of the
Constitution, the requirements set out by the Constitution must be met, that is, the
denunciation must be made under Article 260 of the Constitution, and the object and

scope of the denunciation must be expressly stated, in order to protect Human Rights
and in consideration that one of the main purposes of the Plurinational State is to
protect and enforce them.

In light of the aforementioned, the provisions of Article 6 of the draft bill are
consistent with the body of constitutional law, provided the interpretation set out in

the preceding paragraphs is followed.

THEREFORE

The Plurinational Constitutional Tribunal, in plenary; by virtue of the authority vested
in it by the Political Constitution of the Plurinational State of Bolivia and Article 12.8
of the law of the Plurinational Constitutional Tribunal; declares:

…
rd
3 The conditional CONSTITUTIONALITY of A rticle 6 of the draft “Law on
Normative Application”, as per the reasoning set out on Legal Basis III.11.

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Fdo. Dra. Mirtha Camacho Quiroga
MAGISTRADA

Fdo. Dr. Macario Lahor Cortez Chávez
MAGISTRADO

Fdo. Dra. Neldy Virginia Andrade Martínez
MAGISTRADA

Fdo. Dra. Ligia Mónica Velásquez Castaños
MAGISTRADA

1028 Annex 74

Empresa Portuaria Arica, Arica Port, Strategic Plan 2011-2015,
updated July 2013 (extracts)

(Original in Spanish, English translation)

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1029Annex 74

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1030 Annex 74

…

4.2 TARGET MARKET – ACTIONS TOWARDS THE TARGET MARKET

The Arica Port, given the composition of its business portfolio and the high concentration in

clients from the Bolivian market, should continue to be “the Natural Port of Bolivia” as long as
it continues to strengthen its comparative advantage of geographical proximity and its
competitiveness regarding the benefits granted to it under international treaties in force, and the

tariffs and the quality of the service rendered by its personnel, which make it a friendly company
offering personalized service.

The possibility of increasing the traffic of Bolivian cargo is a reality, considering the results of the
past years and the strategy Bolivia is using to manage its international trade.

If we analyze the behavior of Bolivia’s foreign trade, using data available as of 2012, we have:

I. Increase in Bolivia’s foreign trade, in tons:

Exports

Products 2009 2010 2011(p) 2012(p)
NON-TRADITIONAL 2,579,900 2,497,962 2,025,624 2,609,878
Soya and its derivatives 1,403,112 1,401,647 1,334,904 1,774,960

Sunflowers and derivatives 309,716 217,240 100,182 136,329
Woods and wood products 128,391 183,698 144,781 95,852

Jewelry 19 15 8 9
Sugar, alcohol and their 303,090 193,590 48,783 89,960

derivatives
Leather and leather products 7,781 14,393 14,742 13,928

Textile products 2,393 2,782 2,341 1,972
Other products 425,398 484,597 379,883 496,868

TRADITIONAL 14,528,700 16,922,301 18,322,891 20,963,208
Oil/Gas and their derivatives 13,357,850 15,736,172 16,982,676 19,718,065

Minerals 1,170,850 1,186,129 1,340,215 1,245,143
TOTAL Tons 17,108,600 19,420,263 20,348,515 23,573,086

1031Annex 74

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1032 Annex 74

Bolivia experienced a significant growth of 38% between 2009 and 2012 with respect to its total
exports; if we exclude traditional exports, especially those relating to Oil/Gas and their

derivatives, that is, if we consider only non-traditional exports plus minerals, which are the
products exported by the Ports, the increase was only 3%. Additionally, the 29% increase in
non-traditional exports between 2011 and 2012 is worth noting.

Imports

Products 2009 2010 2011(p) 2012(p)
Foods and drinks 617,321 518,200 667,284 630,261
Industrial supplies 1,458,242 1,692,113 2,151,293 2,120,670

Fuels and lubricants 689,076 775,839 982,267 1,064,306
Capital equipment, plus 142,626 164,240 206,340 213,330

parts and accessories
Transportation equipment, 193,199 171,089 272,236 270,404

plus parts and accessories
Consumer goods not 207,837 230,684 287,739 298,630
specified as another item

Goods not specified as 1,895 266 410 2,658
another item

TOTAL 3,310,196 3,552,431 4,567,569 4,600,259

Additionally, imports grew by 39% between 2009 and 2012, with fuels and lubricants

experiencing the largest growth, increasing by 54%.

The table below shows a summary of Bolivian foreign trade, which for exports considers only
non-traditional exports plus minerals. The table illustrates the 20% increase in foreign trade
between 2009 and 2012.

Products 2009 2010 2011(p) 2012(p)

Exports * 3,750,750 3,684,091 3,365,839 3,855,021
Imports 3,310,196 3,552,431 4,567,569 4,600,259

Total Foreign 7,060,946 7,236,522 7,933,408 8,455,280
Trade
* Non-traditional plus minerals

II. Bolivia’s foreign trade through Chilean ports

The table below shows the volume in tons of Bolivia’s foreign trade transferred through Chilean
ports. It can be noted that, on average, 28% of this cargo is transferred through the Chilean

ports of Arica, Antofagasta and Iquique, with the remainder being transferred through ports on
the Atlantic through Brazil, by the Waterway through the ports of Argentina and Uruguay, and

one part through ports of Southern Peru, on the Pacific.

1033Annex 74

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1.306.746 1.560.424 1.826.820 1.931.349 6.625.339 79%
Iquique 73.705 98.705 76.765 135.692 384.867 5%
Antofagasta
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Total 1.950.140 1.931.478 2.207.649 2.335.358 8.424.625 100%

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1034 Annex 74

Products 2009 2010 2011(p) 2012(p) Total
Total Bolivia’s foreign 7,060,946 7,236,522 7,933,408 8,455,280 30,686,156

trade
Total Chilean Ports 1,950,140 1,931,478 2,207,649 2,335,358 8,424,625

Total 28% 27% 28% 28% 27%

Of the total transferred though the Chilean Ports between 2009 and 2012, 79% has been
transferred through the Port of Arica, followed by the Port of Antofagasta, with 17%.

Port 2009 2010 2011 2012 Total %

Arica 1,306,746 1,560,424 1,826,820 1,931,349 6,625,339 79%
Iquique 73,705 98,705 76,765 135,692 384,867 5%

Antofagasta 569,689 272,349 304,064 268,317 1,414,419 17%
Total 1,950,140 1,931,478 2,207,649 2,335,358 8,424,625 100%

4.3 EPA [Empresa Portuaria Arica] RESULTS FOR THE PERIOD 2008 – SEPTEMBER 2013

I. CARGO TRANSFERS 2008-2013 (Tons)

Parameter 2008 2009 2010 2011 2012 2013*

No. of 283 279 295 352 297 198
Commercial
Vessels

Port Total 1,771,635 1,778,623 2,131,367 2,539,060 2,590,830 1,372,512
Concession Total 1,743,364 1,766,383 2,116,195 2,645,121 2,578,582 1,365,647

Site 7 Total 28,271 12,240 15,172 13,939 12,248 6,865
Regional Cargo 384,760 292,397 369,551 555,156 381,746 193,919
Bolivian Cargo 1,215,185 1,306,746 1,560,424 1,826,820 1,931,349 1,051,050

Peruvian Cargo 67,523 50,158 64,257 66,502 98,995 37,131
Other 104,167 129,322 137,135 210,582 178,740 90,412

* Preliminary data as of June 2013

The internal data on mobilized cargo shows that in the period between 2008 and 2012, the Port
of Arica has seen an increase in the volume of cargo mobilized at an annual average rate of
12%, and if we consider only the past three years, the increase amounts to 14%. In 2009,

despite the impact that the international crisis had at the global level, the Port of Arica managed
to maintain the same level of tons transferred as in the previous year.

This impact was seen primarily in the fall in non-Bolivian imports, the coastal cargo and cargo

from site 7; however, the increase in Bolivian cargo of 91,561 tons, equivalent to 8%,
compensated for this decrease, which allowed end-of-year results at similar levels to those of

2008.

The main cargo in the Port is cargo from the Bolivian market, which represented on average,
during the past 5 years, 72% of the total volume transferred through this terminal. As of

June 2013, this amounts to 77% of the total volume.

The results obtained by EPA in this period reflect a sustained growth and a clear trend that this

situation will continue in the current conditions, of a return to normality after the crisis, the
international economy on its way to recovery, and, in particular, the strong growth of Chile.

1035Annex 74

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1036 Annex 74

II. TRANSFER BY CARGO TYPE, 2008 – 2013 (Tons)

The growing trend of operations with containers corresponds to the global trend, and has
become the engine that is constantly driving logistical innovation in this industry. Cargo in

containers represented, in 2012, 71% of the total transferred, followed by bulk cargo at 25% of
the total transferred. The table below shows the volumes in tons:

Parameter 2008 2009 2010 2011 2012 2013
Break Bulk 98,275 58,751 121,007 155,540 81,544 50,047

Cargo
Container 1,256,674 1,306,487 1,584,220 1,863,262 1,850,628 970,664

Cargo
Bulk Cargo 416,686 413,385 426,140 640,258 658,658 351,801
Total Tons 1,771,635 1,778,623 2,131,367 2,659,060 2,590,830 1,372,512

III. TRANSFER OF BOLIVIAN CARGO 2008-2013 (Tons)

The transfer of Bolivian cargo has grown over the past five years at an average rate of 14%. As
of June 2013, Bolivian cargo had increased by 22% compared to the same period in 2012.
During the 2009 crisis, there was an 8% increase in Bolivian cargo in comparison with the

previous year. According to statistics, Bolivian cargo accounted for 75% of the total volume of
cargo transferred through this terminal.

Another characteristic of the cargo transferred from 2008 to date is the tendency towards an
imbalance between cargo loaded and cargo unloaded.

Parameter 2008 2009 2010 2011 2012 2013*
Bolivia Total 1,215,185 1,306,746 1,560,424 1,826,820 1,931,349 1,051,050

Bolivia share 69% 73% 73% 69% 75% 77%
Bolivia Loaded 608,380 737,057 731,865 780,700 900,728 500,380

Bolivia Unloaded 606,805 569,689 828,559 1,046,120 1,030,621 550,670

IV. OPERATING RESULTS, 2008 – 2012 (in thousands of Pesos)

The results obtained between 2008 and 2012 have increased regularly, especially considering
that in 2009, Empresa Portuaria de Arica registered the highest growth among the group of

companies of the Public Companies System.

1037Annex 74

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1038 Annex 74

(GAAP) IFRS

Item 2008 2009 2010 2011 2012
M$ M$ M$ M$ M$

Operating Revenue 1,966,230 2,854,978 2,519,508 3,166,861 3,323,187
Operating Costs (945,413) (1,052,364) - - -
Management and
(924,459) (1,137,566) - - -
Sales Expenses
Employee Benefit
- - (538,917) (642,881) (767,216)
Expenses
Depreciation and
Amortization - - (540,967) (530,266) (535,178)

Other expenses, by
nature - - (1,168,507) (1,589,342) (1,623,445)

Operating Income 96,358 665,048 271,117 404,372 397,348

Non-Operating (566,966) 302,924 76,841 83,406 145,718
Income
Income before
(470,608) 967,972 347,958 487,778 543,066
Income Tax
Income Tax 396,176 312,635 510,163 1,084,774 648,149

Net income for the (74,432) 1,280,607 858,121 1,572,552 1,191,215
year

The situation to date shows the good performance of the company, which present a growing
trend in revenue from 2008. The average annual growth rate is 15% for the past 5 years, and

operating results have grown at a rate of 131%, which demonstrates the existing efficiency. The
results to date enable us to predict that this trend will continue in the future.

10391040 Annex 75

Ministry of Foreign Affairs of Bolivia, The Book of the Sea

(La Paz, 2014) (extract)

(Original in Spanish and English)

Distributed by Bolivia to delegates at the G77 Summit held in Santa Cruz
from 14-15 June 2014

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1094 Annex 76

Official Bolivian Press Release, “Morales calls on Obama to

show Chile how treaties may be revised and territories
returned”, Bolivian Information Agency, 30 June 2014

(Original in Spanish, English translation)

<http://www3.abi.bo/nucleo/noticias.php?i=2&j=20140630112624>

1095Annex 76

ABI - Agencia Boliviana de Información Page 1 of 14

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15 días▯ morales pide Buscar

ABI 302956 2014-06-30 11:26:24

1-J ABI: BOLIVIA-CHILE-EEUU

Morales pide a Obama que enseñe a Chile cómo se revisan los tratados y se devuelven territorios

(Amplía)

Cochabamba, 30 jun (ABI).- El presidente de Bolivia. Evo Morales, pidió el lunes a su homólogo de Estados Unidos, Barack O mbaa,
enseñe a Chile el camino que la primera potencia mundial recorrió en 1999 para devolver el Canal de Panamá a los panameños pes aeun

tratado de un siglo que le facultó su tenencia.

"Le pido al Presidente de Estados Unidos enseñar a la presidente de Chile, Michel Bachelet cómo, cuando en justicia correpde, se
revisan los tratados y se devuelven territorios", dijo el mandatario boliviano en declaraciones a la ABI en la ciudad de Cobba, sede

de una reunión internacional de matrices sindicales de 80 países de 4 continentes.

El pedido de Morales a Obama se registra en momentos en que la presidente Bachelet cumple una visita de Estado a Estados iU dos,
donde prevé reunirse con Obama en el Salón Oval y exponer las razones de su país que se niega en rotundo devolver a Bolivia un salida

soberana al mar que por vía de una invasión adicionó a su territorio en 1879.

Según el canciller chileno Heraldo Muñoz, Bachelet informará a Obama los presupuestos de la postura de Chile sobre la dem ndaa que
Bolivia ha interpuesto ante la Corte Internacional de Justicia (CIJ), en La Haya, para que su contraparte se avenga a dialar buena fe

una salida soberana al mar Pacífico.

"Los tratados sí se pueden revisar, lo ha demostrado Estados Unidos que en 1999 devolvió a la soberanía de Panamá el Cand al
Panamá", sostuvo el mandatario boliviano que al inaugurar el Encuentro Sindical Internacional Antiimperialista escuchó, en Cocbamba,

un coro que se desprendió del auditorio que congrega a casi un millar de dirigentes sindicales de Asia, Africa, América y Eup que
pidió "mar para Bolivia con soberanía".

Morales dijo que guiados por la jurisprudencia que sentó Estados Unidos al devolver el Canal a Panamá, sobre el Estrecho Dearién,
correspondería que Chile restituya a Bolivia "todo el litoral", 400 km lineales de costas, y "hasta los territorios", 120.000mk2 de preñados

de mineral en la puna del Atacama, hoy mismo puntal del erario público chileno, cercenados de la geografía boliviana.

Morales viene de entregar personalmente en la CIJ la memoria del reclamo marítimo boliviano a Chile, fundada en las promessqaue 8
presidentes chilenos formularon el siglo XX para restaurar la calidad marítima de Bolivia.

Luego que el ex presidente Carlos Mesa (2003-5), designado portavoz de su país para explicar a la comunidad internacionaal cl ausa
marítima boliviana, cuyo pico más alto se ha registrado con el pleito judicial impetrado en la CIJ, presentara el Libro Azear de
Bolivia, Chile esgrimió, a manera de réplica y con la finalidad de incidir en la opinión pública mundial, un documento de 18 c arillas,

designado Mito y Realidad de la Demanda Marítima boliviana, en que sostiene que los límites binacionales se fijaron indefectmlente en
el Tratado de Paz y Límites que ambos países rubricaron en 1904, 25 años después de la invasión chilena a su entonces puerto de
Antofagasta.

Bolivia ha explicado que su demanda marítima en La Haya supera el tratado de 1904 que, por lo demás, tilda de injusto, imepsuto e
imcumplido.

El Canal de Panamá, que vincula por el Estrecho de Darién los oceànos Atlántico y Pacífico y que se ha convertido en elunmento de
la boyante economía de Panamá, comenzó a ser construido por Francia, cuya posta tomó Estados Unidos que lo terminó y que empezaó

operarlo, por conducto de un tratado, en 1903.

La familia de Omar Torrijos, de linaje presidencial en Panamá, desarrolló una estrategia política de décadas, fundada en el
convenciomiento de la comunidad internacional, y logró, por medio del hijo homónimo de aquél, reinsertar el Canal a la soberaní

panameña desde el año 2000.
Cc/ ABI

http://www3.abi.bo/

1096 Annex 76

Morales calls on Obama to show Chile how treaties may be revised and territories returned
(Amplía)

Cochabamba, 30 June (ABI).- This Monday Bolivian President Evo Morales reached out to his US
counterpart, Barack Obama, to show Chile the way in which the world’s single most powerful country went
on to hand the Panama Canal back to Panamanians in 1999 despite a century-old treaty which gave the US

control over the canal.

“I ask the President of the United States to teach the President of Chile, Michelle Bachelet, how treaties
may be revised and territories returned, when justice so demands,” the Bolivian President said, speaking to
the Bolivian Information Agency, ABI, in the city of Cochabamba, where an international meeting was being
held with trade unions from 80 countries from four continents.

Morales’ appeal to Obama came at a time when President Bachelet is paying an official visit to the

United States, where she plans to meet Obama at his Oval Office to explain the reasons why her country
adamantly refuses to give back to Bolivia a sovereign outlet to the sea which was annexed to Chilean
territory by way of invasion in 1879.

According to the Chilean Minister of Foreign Affairs, Heraldo Muñoz, Bachelet will let Obama know
the reasons for Chile’s stance on the claim that Bolivia filed with the International Court of Justice (ICJ), at

The Hague, that Chile accept to engage in good faith negotiations on sovereign access to the Pacific Ocean.
“Treaties can certainly be revised. The United States demonstrated so in 1999, when it returned

sovereignty over the Panama Canal to Panama,” said the Bolivian President at the inauguration ceremony of
the International Anti-Imperialist Trade Unions Summit, in Cochabamba, where he listened to a chorus of
voices that rose from the auditorium, in which nearly a thousand union leaders were brought together from

Asia, Africa, America, and Europe, chanting “sea for Bolivia with sovereignty.”

Morales said that, in light of the precedent set by the United States in handing the Canal at the Darien
Gap back to Panama, Chile should return to Bolivia “the whole littoral,” which runs along 400 linear km of
coastline, and “even the territories,” covering 120,000 square kilometers of mineral-rich land in the Atacama
Plateau, which are today the pillar of Chilean public revenue, and which were forcefully taken from Bolivia.

Morales has only recently personally delivered Bolivia’s maritime claim against Chile to the ICJ. The

claim is grounded on the promises that eight Chilean presidents made during the course of the 20th century
in an attempt to rebuild Bolivia’s maritime wealth.

Following the presentation of Bolivia’s dossier, Bolivia’s Blue Book of the Sea [ Libro Azul del Mar de
Bolivia], by former president Carlos Mesa (2003-5), who was designated to speak for his country and explain
the Bolivian maritime cause—the apex of which was the action filed with the ICJ—to the international

community, Chile tried to influence global public opinion by submitting an 18-page document as a purported
reply, called Myth and Truth of the Bolivian Maritime Claim [ Mito y Realidad de la Demanda Marítima
Boliviana], stating that the binational boundaries were definitively drawn under the Treaty of Peace and

Amity signed by both countries in 1904, 25 years after the Chilean invasion of the then-Bolivian port of
Antofagasta.

Bolivia has explained that its maritime claim pending at The Hague prevails over the 1904 Treaty
which, in any event, it condemned as unfair, forced, and broken.

Construction works at the Panama Canal, which links the Atlantic and Pacific Oceans through the
Darien Gap and has become the mainstay of the booming Panamanian economy, were commenced by
France, which was later succeeded by the United States, which completed the works and started operating

the Canal by virtue of a treaty, in 1903.

The family of Omar Torrijos, a family of presidential lineage in Panama, carried out a political strategy
over decades which was focused on bringing the international community on board and which succeeded,
thanks to his namesake son, in returning the Canal to Panamanian sovereignty in 2000.

10971098 Annex 77

Organization of American States, Signatories and Ratifications,
A-42: American Treaty on Pacific Settlement

(Original in English)

<http://www.oas.org/juridico/english/sigs/a-42.html>

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[http://www.oas.org/dil/header_en.htm]

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Bigger text (+) | Smaller text (-) TEXTOF THE TREATY | ESP

SIGNATORIES AND RATIFICATIONS

A-42: AMERICANTREATYONPACIFIC SETTLEMENT

"PACT OF BOGOTÁ"

ADOPTEDAT: BOGOTA, COLOMBIA

DATE:04/30/48

CONF/ASSEM/MEETING:NINTH INTERNATIONAL CONFERENCE OF AMERICAN STATES

ENTRY INTO FORCE0 :5/06/49, IN ACCORDANCE WITH ARTICLE LIII OF THE TREATY

DEPOSITORY:GENERAL SECRETARIAT, OAS (ORIGINAL INSTRUMENT AND RATIFICATIONS)

TEXT:OAS, TREATY SERIES, NOS. 17 AND 61

UNREGISTRATION:05/13/49 No. 449 Vol. 30

OBSERVATIONS:As this Treaty enters into force through the successive ratifications of the Parties,

the treaties, conventions and protocols mentioned in Article LVIII cease to be in force with respect to

such Parties.

GENERAL INFORMATION OF THE TREATY: A-42

COUNTRY SIGNATURE RATIFICATION/ACCESSION DEPOSIT INFORMATIO*N

Antigua & Barbuda - - - -

Argentina 04/30/48 - - Yes

Bahamas - - - -

Barbados - - - -

Belize - - - -

Bolivia 04/30/48 04/14/11 06/09/11 Yes

Brazil 04/30/48 11/09/65 11/16/65 RA -

Canada - - - -

Chile 04/30/48 08/21/67 04/15/74 RA Yes

Colombia 04/30/48 10/14/68 11/06/68 RA Denunciation

Costa Rica 04/30/48 04/27/49 05/06/49 RA -

Cuba 04/30/48 - - -

Dominica - - - -

Dominican Republic 04/30/48 08/04/50 09/12/50 RA -

Ecuador 04/30/48 03/03/08 03/07/08 RA Yes

El Salvador 04/30/48 08/15/50 09/11/50 RA Denunciation

Grenada - - - -

Guatemala 04/30/48 - - -

Guyana - - - -

Haiti 04/30/48 08/21/50 03/28/51 RA -

Honduras 04/30/48 01/13/50 02/07/50 RA -

Jamaica - - - -

Mexico 04/30/48 11/23/48 11/23/48 RA -

Nicaragua 04/30/48 06/21/50 07/26/50 RA Yes

Panama 04/30/48 04/17/51 04/25/51 RA -

Paraguay 04/30/48 05/23/67 07/27/67 RA Yes

Peru 04/30/48 02/28/67 05/26/67 RA Yes

St. Kitts & Nevis - - - -

St. Lucia - - - -

St. Vincent & Grenadines - - - -

Suriname - - - -

Trinidad & Tobago - - - -

United States 04/30/48 - - Yes

Uruguay 04/30/48 08/17/55 09/01/55 RA -

Venezuela 04/30/48 - - -

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REF = REFERENCE INST = TYPE OF INSTRUMENT
D = DECLARATION RA = RATIFICATION
R = RESERVATION AC = ACCEPTANCE
INFORMA = INFORMATION REQUIRED BY THE TREATY AD = ACCESSION

*DECLARATIONS/RESERVATIONS/DENUNCIATIONS/WITHDRAWALS

A-42. AMERICANTREATY ONPACIFICSETTLEMENT
"PACT OF BOGOTA"

1. Argentina :

(Reservation made at the time of signature)

The Delegation of the Argentine Republic, on signing the American Treaty on Pacific Settlement (Pact

of Bogotá), makes reservations in regard to the following articles, to which it does not adhere:

1) Article VII, concerning the protection of aliens:
2) Chapter Four (Articles XXXI to XXXVII), Judicial

Procedure:
3) Chapter Five (Articles XXXVIII to XLIX),

Procedure of Arbitration;
4) Chapter Six (Article L), Fulfillment of Decisions.

Arbitration and judicial procedure have, as institutions, the firm adherence of the Argentine Republic,
but the Delegation cannot accept the form in which the procedures for their application have been

regulated, since, in its opinion, they should have been established only for controversies arising in the
future and not originating in or having any relation to causes, situations or facts

existing before the signing of this instrument. The compulsory execution of arbitral or judicial
decisions and the limitation which prevents the states from judging for themselves in regard to

matters that pertain to their domestic jurisdiction in accordance with Article V are contrary to
Argentine tradition. The protection of aliens, who in the Argentine Republic are protected by its

Supreme Law to the same extent as the nationals, is also contrary to that tradition.

2. Bolivia:

(Reservation made at the time of signature)

The Delegation of Bolivia makes a reservation with regard to Article VI, in as much as it considers
that pacific procedures may also be applied to controversies arising from matters settled by

arrangement between the Parties, when the said arrangement affects the vital interests of a state.

(Declaration made at the time of ratification)

“Likewise, the reservation made by the Bolivian Delegation at the time of signature to the American
Treaty on Pacific Settlement “Pact of Bogota,” with regard to Article VI, by which it “considers that

pacific procedures may also be applied to controversies arising from matters settled by arrangement
between the Parties, when the said arrangement affects the vital interests of a state.””.

*On June 15, 2011, Chile submitted an objection to this Declaration (see Chile at number 8)

On October 31, 2011 , he General Secretariat received verbal note OEA-MP-225-11 from the

Permanent Mission of Bolivia to the OAS, attached hereto, witch contains a titled Clarificatioto the
objection by the Republic of Chile to the reservation made by the Government of the Plurinational State

of Bolivia at the time it ratified the American Treaty on Pacific Settlement, “Pact of Bogota.”

On April 10, 2013, the General Secretariat received from thP eermanent Mission of Bolivia to the
OAS the attached note verbale OEA MPB-OEA-ND-039-13 , which contains the instrument withdrawing

the reservation to article VI of the said Convention.

3. Ecuador:

(Reservation made at the time of signature)

The Delegation of Ecuador, upon signing this Pact, makes an express reservation with regard to
Article VI and also every provision that contradicts or is not in harmony with the principles proclaimed

by or the stipulations contained in the Charter of the United Nations, the Charter of the Organization
of American States, or the Constitution of the Republic of Ecuador.

4. United States :

(Reservations made at the time of signature)

1. The United States does not undertake as the complainant State to submit to the International

Court of Justice any controversy which is not considered to be properly within the jurisdiction of the
Court.

2. The submission on the part of the United States of any controversy to arbitration, as distinguished

from judicial settlement, shall be dependent upon the conclusion of a special agreement between the

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parties to the case.

3. The acceptance by the United States of the jurisdiction of the International Court of Justice as

compulsory ipso facto and without special agreement, as provided in this Treaty, is limited by any
jurisdictional or other limitations contained in any Declaration deposited by the United States under
Article 36, paragraph 4, of the Statute of the Court, and in force at the time of the submission of any

case.

4. The Government of the United States cannot accept Article VII relating to diplomatic protection and
the exhaustion of remedies. For its part, the Government of the United States maintains the rules

of diplomatic protection, including the rule of exhaustion of local remedies by aliens, as provided by
international law.

5. Nicaragu:a

(Reservation made at the time of signature)

The Nicaraguan Delegation, on giving its approval to the American Treaty on Pacific Settlement (Pact
of Bogotá) wishes to record expressly that no provisions contained in the said Treaty may prejudice
any position assumed by the Government of Nicaragua with respect to arbitral decisions the validity

of which it has contested on the basis of the principles of international law, which clearly permit
arbitral decisions to be attacked when they are adjudged to

be null or invalidated. Consequently, the signature of the Nicaraguan Delegation to the Treaty in
question cannot be alleged as an acceptance of any arbitral decisions that Nicaragua has contested

and the validity of which is not certain.
Hence the Nicaraguan Delegation reiterates the statement made on the 28th of the current month on

approving the text of the above mentioned Treaty in Committee III.

(Reservation made at the time of ratification)

With the reservation made at the time of signature.

6. Paraguay:
(Reservation made at the time of signature)

Paraguay stipulates the prior agreement of the parties as a prerequisite to the arbitration procedure

established in this Treaty for every question of a non-juridical nature affecting national sovereignty
and not specifically agreed upon in treaties now in force.

7. Peru:

(Reservation made at the time of signature)

1. Reservation with regard to the second part of Article V, because it considers that domestic
jurisdiction should be defined by the state itself.

2. Reservation with regard to Article XXXIII and the pertinent part of Article XXXIV, inasmuch as it

considers that the exceptions of res judicata, resolved by settlement between the parties or governed
by agreements and treaties in force, determine, in virtue of their objective and peremptory nature,
the exclusion of these cases from the application of every procedure.

3. Reservation with regard to Article XXXV, in the sense that, before arbitration is resorted to, there

may be, at the request of one of the parties, a meeting of the Organ of Consultation, as established
in the Charter of the Organization of American States.

4. Reservation with regard to Article XLV, because it believes that arbitration set up without the
participation of one of the parties is in contradiction with its constitutional provisions.

Peru confirmed the reservations at the time of the ratification.

On February 27th, 2006, Peru notified the General Secretariat of the OAS of the withdrawal of the

reservations made to articles V, XXXIII, XXXIV, XXXV and XLV of the American Treaty on Pacific
Settlement, “Pact of Bogota”.

8. Chile:

(Reservation made at the time of ratification)

Chile considers that Article LV of the Pact, in the part that refers to the possibility that some of the
Contracting States would make reservations, must be interpreted in the light of paragraph No. 2 of

Resolution XXIX adopted at the Eighth International Conference of American States.
Permanent Panel of American Conciliators

(Information provided in accordance with Article XVIII)

On August 19, 1987, the Government of Chile notified the General Secretariat the appointment of

Messrs. Julio Phillipi Izquierdo and Helmut Brunner Noerr to be members of the Permanent Panel of
American Conciliators for a three year period. Such period started on October 21, 1987, the date on

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which the General Secretariat received from Messrs. Phillipi and Brunner the acceptance of their
appointments.

On June 15, 2011, Chile presented a note entitled “Objection by the Republic of Chile to the
reservation made by the Government of the Plurinational State of Bolivia at the time it ratified the

American Treaty on Pacific Settlement, “Pact of Bogota.”. (document E inNG | ESP)

On December 13, 2011, the General Secretariat received verbal note No. 389 from the Permanent
Mission of Chile to the OAS, attached hereto, related to the “Clarification sent by the Minister of
External Relations of the Government of the Plurinational State of Bolivia of October 21 2011.”

9. El Salvador

DENUNCIATION

Pursuant to article LVI the American Treaty on Pacific Settlement, “The present Treaty shall remain
in force indefinitely, but may be denounced upon one year's notice, at the end of which period it shall

cease to be in force with respect to the state denouncing it, but shall continue in force for the
remaining signatories.

The denunciation shall be addressed to the Pan American Union, which shall transmit it to the other

Contracting Parties”.

Similarly, that article states that such “denunciation shall have no effect
with respect to pending procedures initiated prior to the transmission”

¬
1. El Salvador notified denunciation November 24, 1973

Text of the denunciation:

San Salvador, November 24, 1973

His Excellency Galo Plaza
Secretary General of the

Organization of American States
Washington, D.C.

Excellency,

I hereby wish to notify the General Secretariat which you head, the successor to the Pan American

Union, that the Republic of El Salvador is denouncing the American Treaty on Pacific Settlement, or
“Pact of Bogotá,” adopted at the Ninth International Conference of American States, held in Bogotá,

Colombia, from March 30 to May 2, 1948. I would ask you to kindly transmit a copy of this note
to the other High Contracting Parties.

The reasons that have prompted the Government of El Salvador to withdraw
from this collective agreement, thus freeing it from the obligations

it thereby assumed with respect to the other contracting parties,
are essentially the following:

On numerous occasions, El Salvador has expressed its absolute willingness and its firmest intent to
work to develop an effective instrument for the peaceful settlement of disputes among the countries

that make up the inter-American regional system.

It would take a long time indeed to cite the numerous proofs which would justify that assertion–
which demonstrate the undeniable desire for peace that has characterized El Salvador in the past

and distinguishes it in the present, and that it will doubtless preserve in the future, as one of the best
traits of a people with a strong yearning to achieve the goals of individual and collective progress.

El Salvador participated with great interest and enthusiasm in the deliberations of the Ninth
International Conference of American States, and the Salvadorian delegates to that important

regional meeting signed the instrument that is now being denounced, which was ratified soon
thereafter by the corresponding authorities of the Government of the Republic.

The signing and ratification by El Salvador of that multilateral agreement

entailed an obligation, based on reciprocity, with all the other countries of the Americas, through the
structure and mechanisms of an appropriate instrument consistent with the purposes for which it
was designed.

Despite the spirit of complete solidarity that reigned when the Pact of Bogotá

was signed by the delegates of the 21 participating states, only a few of them have ratified it to date,
in other words, 25 years after its adoption.

The realities that have become apparent over time as a result of the failure

of a large number of signatory states to ratify it show that the system developed in the Pact of
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Bogotá has not proven effective for the purposes that inspired it, and that it is not acceptable to many

states of the Americas, since several of them signed or ratified it with reservations and not all new
members

of the Organization have acceded to it.

This has led El Salvador to reconsider its position within a multilateral treaty that, because of
circumstances, has found itself immersed in the aforementioned realities–a reconsideration that has
led it to adopt a new attitude vis-à-vis the views of the states that make up the inter-American

system.

2. On the other hand, the application of some provisions of the Pact of Bogotá
could put the Republic of El Salvador in situations that are contrary to the spirit and the letter of

constitutional principles currently in force that enshrine its sovereignty and integrity and that did not
exist when the Pact
was ratified by our Republic. The foregoing has also been a powerful reason

for the current Government of El Salvador, inspired at all times by the purpose
to solve its international disputes directly and peacefully, to watch at the same time over the

preservation and effective implementation of the constitutional principles that govern the life of the
Republic and
that reflect the feelings and the desires of the Salvadorian people.

3. Although El Salvador has decided to denounce the Pact of Bogotá, this does not mean that it is

rejecting all forms of peaceful settlement of international disputes, as it is aware of the need for
these forms and recognizes that there are other pertinent provisions within the inter-American

system, in particular in the Charter of the Organization of American States and in the Inter-American
Treaty of Reciprocal Assistance, as well as in the Charter of the United Nations, that prohibit the use
of force except in cases of legitimate defense, guard against aggression, and make resources

available to states to settle disputes through specific peaceful procedures.

The situation mentioned above is precisely that of the states of the Americas
that signed but did not ratify the Pact of Bogotá, that signed and ratified

it with reservations, or that did not even accede to it.
Lastly, my government wishes to place on record that if El Salvador is now denouncing the Pact of

Bogotá for the reasons expressed–a denunciation that will begin to take effect as of today, it
reaffirms at the same time its firm resolve to continue participating in the collective efforts currently

under way to restructure some aspects of the system in order to accommodate it to
the fundamental changes that have occurred in relations among the states of the Americas.

I would ask you once again to arrange to have this denunciation circulated
to the other High Contracting Parties.

Accept, Excellency, the renewed assurances of my highest consideration.

Mauricio A. Borgonovo Pohl

Minister of Foreign Affairs of El Salvador

10.- Colombia

DENUNCIATION

Date: November 27, 2012

[Text of the Treaty]

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