PART II (C): Biological diversity

MULTILATERAL
diversite Conclue
i franvais, Enregistrie dicembre 1760. 30619
No. 30619
MULTILATERAL
Convention on biological diversity (with annexes). Concluded
at Rio de Janeiro on 5 June 1992
Authentic texts: Arabic, Chinese, English, French, Russian and Spanish.
Registered ex officio on 29 December 1993.
MULTILAT~RAL
Convention sur la diversit~ biologique (avec annexes). Conclue
a Rio de Janeiro le 5 juin 1992
Textes authentiques : arabe, chinois, anglais, fran~ais, russe et espagnol.
Enregistr~e d'office le 29 d~cembre 1993.
Vol 1760, 1-30619
- * - Recuell Tralt6s
CONVENTION' DIVERSITY
Preamble
of the intrinsic value of biological diversity of the
ecological, genetic, social. economic, scientific, educational, cultural.
recreational aesthetic values of biological diversity and its
components.
of the importance of biological diversity for
evolution and for maintaining life sustaining systems of the biosphere.
that the conservation of biological diversity is a common
concern of humankind,
that States have sovereign rights over their own
biological resources.
I ratification, accession, ....................................................................................................
Arm enia ..........................................................................................................................
.........................................................................................................................
Bahamas ..........................................................................................................................
............................................................................................................................
..................................................................................................................
Canada ..................................................................................................................
.....................................................................................................................
..................................................................................................................
....................................................................................................................
Fiji ....................................................................................................................................
G uinea ...................................................................................................................
Japan ......................................................................................................................
M aldives ....................................................................................................................
M arshall ............................................................................................................
M auritius ....................................................................................................................
M exico ...................................................................................................................
M onao ...........................................................................................................................
M ongolia .........................................................................................................................
N ew ..................................................................................................................
N orway ...........................................................................................................................
Guinea* ......................................................................................................
Peru .................................................................................................................................
K itts ....................................................................................................
.....................................................................................................................
Seychelles .......................................................................................................................
Tunisia ...................................................................................................................
...................................................................................................................
Vanuatu .....................................................................................................................
Zam bia ..................................................................................................................
the accession (a)
A)
9 14 May 1993 A
18 June 1993
5 January 23 February 1993
February 1993
7 May 1993
1993 A
II 1993
1993
7 June 1993
7 January 1993
28 July 1993 a
15 July 1993
25 1993
28 May 1993
Vol. 1760. 1-30619
1993 United Nations -- Treaty Series • Nations Unies -- Recueil des Trait~s
CONVENTION1 ON BIOLOGICAL DIVERSITY
143
The Contracting Parties.
Conscious of the Intrinsic value of biological diversity and of the
ecological, genetic, social. economic, scientific. educational. cultural.
recreational and aesthetic values of biological diversity and ts
components.
Conscious also of the Importance of biological diversity for
evolution and for maintaining lfe sustaining systems of the biosphere.
Affirming that the conservation of biological diversity s a common
concern of humankind,
Reaffirming that States have
oologcal resources,
sovereign rights over their own
1 Came into force on 29 December 1993, i.e., the ninetieth day after the date of deposit with the Secretary-General
of the United Nations of the thirtieth instrument of ratification. acceptance, approval or accession. in accordance with
article 36 (1):
Participant
Antigua and Barbuda .
Armenia .
Australia. .
Bahamas .
Belarus .
Burkina Faso .
Canada .
China .
Cook Islands .
Ecuador .
Fiji.. .
Guinea .
Japan .
Maldives .
Marshall Islands .
Mauritius .
Mexico .
Monaco .
Mongolia .
New Zealand .
Norway .
Papua New Guinea• .
Peru .
Saint Kitts and Nevis .
Saint Lucia . 􁁑􁁑f􁁑!lles ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: Uganda .
Vanuatu .
Zambia .
Date of deposit
of instrument
of ratification,
(a)
or acceptance (March 1993
14 May 1993A
18 June 1993
2 September 1993
8 September 1993
2 September 1993
4 December 1992
5January 1993
20 April 1993
23 February 1993
25 February 1993
7 May 1993
28 May 1993A
9 November 1992
8 October 1992
4 September 1992
11 March 1993
20 November 1992
30 September 1993
16 September 1993
9 July 1993
16 March 1993
7 June 1993
7 January 1993
28 July 1993 a
22 September 1992
15 July 1993
8 September 1993
March 1993
28 May 1993
(Continued on page 144)
1760, 30619
- * - Recuell Traitis Reaffirming also that States are responsible for conserving their
biological diversity and for using their biological resources in a
sustainable manner.
Concerned that biological diversity is being significantly reduced
by certain human activities.
Aware of the general lack of information and knowledge regarding
biological diversity and of the urgent need to develop scientific,
technical institutional capacities to provide the basic understanding
upon which to plan and implement appropriate measures,
that it is vital to anticipate. prevent and attack the causes
of significant reduction or loss of biological diversity at source.
that where there is a threat of significant reduction or
loss of biological diversity, lack of full scientific certainty should
not be used as a reason for postponing measures to avoid or minimize such
a threat.
that the fundamental requirement for the
conservation of biological diversity is the situ conservation of
ecosystems natural habitats the maintenance and recovery of
viable populations of species in their natural surroundings.
I conoinued Contracting of
Philippines .................................................................................................................... 80
Uruguay ........................................................................................................................ N
(With effect from 3 February Nauru ........................................................................................................................... Il N
Jordan ............................................................................................................................ N
(With effect from 10 February Nepal ............................................................................................................................. 23 N
(With effect from February Republic ............................................................................................................ D(
(With effect from March Barbados ....................................................................................................................... 1O D
10 Sweden .......................................................................................................................... D(
(With effect from 16 March 1994.)
....................................................................................................................... 21D
Com munity* .............................................................................................. Di
(With effect from 21 March 1994.)
....................................................................................................................... D
(With effect from March ......................................................................................................................... D
(With effect from 21 March 1994.)
Spain .............................................................................................................................. D
* See p. 306 for the texts of the declarations made upon ratification or approval.
Vol 1760. 1-30619
late of of (AA)
ctober ovember ovember ovember ovember ecember ecember ecember ecember :cember cember cember cember 144 United Nations Treaty Series • Nations Unies -- Recueil des Trait~s 1993
Reaffirming also
Uologcal diversity
sustainable manner.
that States are responsible for conserving their
and for using ther biological resources in a
Concerned that biological diversity is being significantly reduced
by certain human activities.
Aware of the general lack of information and knowledge regarding
biological diversity and of the urgent need to develop scientific,
technical and institutional capacities to provide the basic understanding
upon which to plan and implement appropriate measures,
Noting that it is vital to anticipate. prevent and attack the causes
of signficant reduction or loss of biological diversity at source.
Noting also that where there is a threat of signf cant reduction or
loss of biological diversity, iack of full scientific certainty should
not be used as a reason for postponing measures to avoid or minimize such
a threat.
Noting further that the fundamental requirement for the
conservation of biological diversity s the in-situ conservation of
ecosystems and natural habitats and the maintenance and recovery of
viable populations of species n their natural surroundings.
(Footnote l continued from page 143)
Subsequently, the Convention came into force for the following Contractg Parties on the ninetieth day after the
date of deposit with the Secretary-General of the United Nations of their instrument of ratification, acceptance, approval
or accession, in accordance with article 36 (3):
Participant
.
(With effect from 6 January 1994.)
Uruguay........................................................................................................................ 5 November 1993
1994.)
Nauru........................................................................................................................... 11 November 1993
(With effect from 9 February 1994.)
Jordan............................................................................................................................ 12 November 1993
IO 1994.)
Nepal............................................................................................................................. November 1993
21 1994.)
Czech Republic............................................................................................................ 3 December 1993 AA
3 1994.)
Barbados....................................................................................................................... 10 December 1993
(With effect from I0 March 1994.)
Sweden.......................................................................................................................... 16 December 1993
Denmark 21 December 1993
(With effect from 21 March 1994.)
European Community* 21 December 1993 AA
Germany 21 December 1993
21 1994.)
Portugal 21 December 1993
21 December 1993
(With effect from 21 March 1994.)
30619
Date deposit
the instrument
of ratification
or
approval 8 October 1993
United Nations - Treaty Series * Nations Unies - Recueil des Trait~s
Noting further that ex-situ measures, preferably in the country of
origin, also have an important role to play,
Recognizing the close and traditional dependence of many indigenous
and local communities embodying traditional lifestyles on biological
resources, and the desirability of sharing equitably benefits arising
from the use of traditional knowledge, innovations and practices relevant
to the conservation of biological diversity and the sustainable use of
its components.
Recognizing also the vital role that women play in the conservation
and sustainable use of biological diversity and affirming the neea for
the full participation of women at all levels of policy-making and
implementation for biological diversity conservation,
Stressing the importance of. and the need to promote. international.
regional and global cooperation among States and intergovernmental
organizations and the non-governmental sector for the conservation of
biological diversity and the sustainable use of its components,
Acknowledging that the provision of new and additional financial
resources and appropriate access to relevant technologies can be expected
to make a substantial difference in the world's ability to address the
loss of biological diversity,
Acknowledging further that special provision is required to meet.
the needs of developing countries. including the provision of new and
additiona financial resources and appropriate access to relevant
technologies.
Noting in this regard the special conditions of the least deveioped
countries and small island States.
Acknowledging that substantial investments are required to conserve
biological diversity and that there is the expectation of a broad range
of environmental, economic and social benefits from those investments,
Recognizing that economic and social development and poverty
eradication are the first and overriding priorities of developing
countries,
Aware that conservation and sustainable use of biological diversity
is of critical importance for meeting the food. health and other neeas of
the growing world population, for which purpose access to and sharing of
both genetic resources and technologies are essential.
Noting that. ultimately, the conservation and sustainable use of
biological diversity will strengthen friendly relations among States and
contribute to peace for humankind,
Desiring to enhance and complement existing international
arrangements for the conservation of biological diversity and sustainable
use of its components, and
Determined to conserve and sustainably use biological diversity for
the benefit of present and future generations.
Vol. 1760, 1-30619
1993 United Nations - Treaty Series • Nations Unies -Recueil des Trait~s 11445S
Noting further that ex-situ measures, preferably in the country of
or1gin, also have an Important role to play,
Recognizing the ciose and traditional dependence of many indigenous
and local communities embodying traditional lifestyles on biological
resources, and the desirablty of sharing equitably benefits arising
from the use of traditional knowledge, Innovations and practices relevant
to the conservation of biological diversity and the sustainable use of
ts components.
Recognizing also the vital role that women play in the conservation
and sustainable use of biological diversity and affirming the neea for
the full participation of women at all levels of policy-making and
Implementation for biological diversity conservation,
Stress1ng the importance of. and the need to promote. international.
regional and global cooperation among States and Intergovernmental
organizations and the non-governmental sector for the conservation of
boologcal diversity and the sustainable use of its components,
Acknowledging that the prov1son of new and additional financial
resources and appropriate access to relevant technologies can be expected
to make a substantial difference n the world's ability to address t.he
loss of biological diversity,
Acknowledging further that special provision is required to meet
the needs of developing countries, including the provision of new and
additional financial resources and appropriate access to relevant
technologies.
Noting in this regard the special conditions of the least deveioped
countries and small island States.
Acknowledging that substantial Investments are required to conserve
biological diversity and that there s the expectation of a broad range
of environmental, economic and social benefits from those investments,
Recognizing that
eradication are the
countries,
economic and social
first and overriding
development and poverty
priorities of developing
Aware that conservation and sustainable use of biological divers1ty
is of critical Importance for meeting the food. health and other neeas of
the growing world population, for which purpose access to and sharing of
both genetic resources and technologies are essential.
Noting that. ultimately, the conservation and sustainable use of
biological diversity wll strengthen friendly relations among States and
contribute to peace for humankind,
Desiring to enhance and complement existing international
arrangements for the conservation of biological diversity and sustainable
use of its components, and
Determined to conserve and sustainably use biological diversity for
the benefit of present and future generations.
Vol. 1760, 1-30619
146 United Nations - Treaty Series * Nations Unies - Recueil des Traitis 1993
Have agreed as follows:
Article 1. Objectives
The objectives of this Convention, to be pursued in accordance with
its relevant provisions, are the conservation of biological diversity.
the sustainable use of its components and the fair and equitable sharing
of the benefits arising out of the utilization of genetic resources.
including by appropriate access to genetic resources and by appropriate
transfer of relevant technologies, taking into account all rights over
those resources and to technologies, and by appropriate funding.
Article 2. Use of Terms
For the purposes of this Convention:
"Biological diversity" means the variability among living organisms from
all sources including, inter alia. terrestrial. marine and other aquatic
ecosystems and the ecological complexes of which they are part: this
includes diversity within species. between species and of ecosystems.
"Biological resources" includes genetic resources, organisms or parts
thereof, populations, or any other biotic component of ecosystems with
actual or potential use or value for humanity.
"'Biotechnology" means any technological application that uses biological
systems, living organisms, or derivatives thereof, to make or modify
products or processes for specific use.
'Country of origin of genetic resources" means the country which
possesses those genetic resources in in-situ conditions.
"Country providing genetic resources" means the country supplying genetic
resources collected from in-situ sources. including populations of both
wild and domesticated species, or taken from ex-situ sources. which may
or may not have originated in that country.
'Domesticated or cultivated species" means species in which the
evolutionary process has been influenced by humans to meet their needs.
"Ecosystem" means a dynamic complex of plant, animal and micro-organism
communities and their non-living environment interacting as a functional
unit.
"Ex-situ conservation" means the conservation of components of biological
diversity outside their natural habitats.
"Genetic material" means any material of plant. animal. microbial or
other origin containing functional units of heredity.
"Genetic resources" means genetic material of actual or potential vulue.
"'Habitat" means the place or type of site where an organism or population
naturally occurs.
Vol. 1760. 1-30619
146 United Nations -Treaty Series • Nations Unies --- Recueil des Trait~s 1993
Have agreed as follows:
Article 1. Objectives
The objectives of this Convention, to be pursued in accordance wIth
its relevant provisions. are the conservation of biological diversity.
the sustainable use of its components and the fair and equitable sharing
of the benefits arising out of the utilization of genetic resources.
including by appropriate access to genetic resources and by appropriate
transfer of relevant technologies. taking into account all rights over
those resources and to technologies, and by appropriate funding.
Article 2. Use or Terms
For the purposes of this Convention:
"Biological diversity" means the variability among living organisms from
all sources including, Inter alia. terrestrial. marine and other aquatic
ecosystems and the ecological complexes of which they are part: ts
includes diversity within species. between species and of ecosystems.
Biological resources" includes genetic resources. organisms or parts
thereof, populations, or any other biotic component of ecosystems wIth
actual or potential use or value for humanity.
"Biotechnology" means any technologcal application that uses biological
systems, living organisms, or derivatives thereof, to make or modify
products or processes for specific use.
"Country of orign of genetic resources" means the country which
possesses those genetic resources n 1n-situ conditions.
"Country providing genetic resources" means the country supplying genetic
resources collected from in-situ sources. including populations of both
wild and domesticated species, or taken from ex-stu sources. which may
or may not have originated n that country.
"Domesticated or cultivated species" means species In which the
evolutionary process has been Influenced by humans to meet their needs.
"Ecosystem" means a dynamic complex of plant, animal and micro-organism
communities and their non-living environment interacting as a functional
unit.
"Er-situ conservation means the conservation of components of b1olog1cal
diversity outside their natural habitats.
"Genetic material" means any material of plant. ammal. microbial or
other origin containng functional units of heredity.
"Genetic resources" means genetic material of actual or potential value.
Habitat" means the place or type of site where an organism or poputat 1on
naturally occurs.
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United Nations - Treaty Series * Nations Unies - Recueil des Traitks
.rn-situ conditions' means r;onditions where genetic resources Pxist
within ecosystems and natural habitats, and. in the case of domesticated
or cultivated species. in the surroundings where they have developeo
their distinctive properties.
"In-situ conservation* means the conservation of ecosystems and natural
habitats and the maintenance and recovery of viable populations of
species in their natural surrounoings and. in the case of domesticated or
cultivated species, in the surroundings where they have developed their
distinctive properties.
"Protected area" means a geographically defined area which is designated
or regulated and managed to achieve specific conservation objectives.
'Regional economic integration organization" means an organization
constituted by sovereign States of a given region, to which its member
States nave transferred competence in respect of matters governed by this
Convention and which has been duly authorized. in accordance with its
internal procedures, to sign, ratify, accept, approve or accede to it.
"Sustainable use" means the use of components of biological diversity in
a way and at a rate that does not lead to the long-term decline of
biological diversity, thereby maintaining its potential to meet the needs
and aspirations of present and future generations.
"Technology" includes biotechnology.
Article 3. Principle
States have, in accordance with the Charter of the United Nations
and the principles of international law, the sovereign right to exploit.
their own resources pursuant to their own environmental policies, and the
responsibility to ensure that activities within their jurisdiction or
control do not cause damae to the environment of other States or of
areas beyond the limits of national jurisdiction.
Article 4. Jurisdictional Scope
Subject to the rights of other States, and except as otherwise
expressly provided in this Convention. the provisions of this Convention
apply, in relation to each Contracting Party:
(a) In the case of components of biological diversity, in areas
within the limits of its national jurisdiction; and
(b) In the case of processes and activities, regardless of where
their effects occur, carried out under its jurisdiction or control,
within the area of its national jurisdiction or beyond the limits of
national jurisdiction.
Article 5. Cooperation
Each Contracting Party shall, as far as possible and as appropriate.
cooperate with other Contracting Parties. directly or. where appropriate.
through competent international organizations, in respect of areas beyond
Vol. 1760. 1-30619
1993 United Nations - Treaty Series • Nations Unies Recueil des Trait~s 147
In-situ conditions' means conditions where genetic resources exist
wthin ecosystems and natural habitats, and. in the case of domesticated
or cultivated species, n the surroundings where they have developea
their distinctive properties.
" In-situ conservation' means the conservation of ecosystems and natural
habitats and the maintenance and recovery of viable populations of
species In their natural surrounangs and. in the case of domesticated or
cultivated species, in the surroundings where they have developed their
distinctive properties.
"Protectcd area" means a geographically defined area which is designated
or regulated and managed to achieve specific conservation objectives.
Regional economic integration organization" means an organization
constituted by sovereign States of a given regon, to which its member
States nave transferred competence n respect of matters governed by th1s
Convent 1on and which has been duly authorized. n accordance wth ts
Internal procedures. to sign, ratify, accept, approve or accede to It.
"Sustainable use" means the use of components of biological diversity In
a way and at a rate that does not lead to the long-term decline of
biological diversity, thereby maintaining ts potential to meet the needs
and asprations of present and future generations.
" Technology" includes biotechnology.
Article 3. Principle
States have, n accordance with the Charter of the United Nations
and the principles of international law, the sovereign right to exploit
their own resources pursuant to their own environmental policies. and the
responsibility to ensure that activities within their jursdicton or
controi do not cause damage to the environment of other States or of
areas beyond the limits of national jurisdiction.
Article 4. Jurisdictional Scope
Subject to the rights of other States, and except as otherwise
expressly provided in this Convention. the provisions of this Convention
apply, In relation to each Contracting Party:
(a) In the case of components of biological diversity, n areas
wthin the lmits of its national jurisdiction; and
(b) In the case of processes and activities. regardless of where
their effects occur. carried out under its Jurisdiction or control,
within the area of ts natonal jurisdiction or beyond the limits of
national ursdctIon.
Article 5. Cooperation
Each Contracting Party shall, as far as possible and as appropriate.
cooperate with other Contracting Parties. directly or. where appropriate.
through competent International organizations, in respect of areas beyond
Vol. 1760. 1-30619
- Treaty * Traitis 199'
national jurisdiction and on other matters of mutual interest. for the
conservation and sustainable use of biological diversity.
Article General Measures for Conservation and Sustainable Us&
Each Contracting Party shall, in accordance with its particular
conditions and capabilities:
(a) Develop national strategies. plans or programmes for the
conservation and sustainable use of biological diversity or adapt for
this purpose existing strategies. plans or programmes which shall
reflect, inter alia, the measures set out in this Convention relevant to
the Contracting Party concerned: and
(b) Integrate. as far as possible and as appropriate, the
conservation and sustainable use of biological diversity into relevant
sectoral or cross-sectoral plans, programmes and policies.
.rticle 7. Each Contracting Party shall. as far as possible and as appropriate.
in particular for the purposes of Articles 8 to tO:
(a) Identify components of biological diversity important for its
conservation and sustainable use having regard to the indicative list of
categories set down in Annex I:
(b) Monitor, through sampling and other techniques. the components
of biological diversity identified pursuant to subparagraph (a) above.
paying particular attention to those requiring urgent conservation
measures and those which offer the greatest potential for sustainable
use;
(c) Identify processes and categories of activities which have or
are likely to have significant adverse impacts on the conservation and
sustainable use of biological diversity, and monitor their effects
through sampling and other techniques: (d) Maintain organize, by mechanism data. derived from
identification and monitoring activities pursuant to subparagraphs (a).
(b) and (c) above.
Each Contracting Party shall. as far as possible and as appropriate:
(a) Establish a system of protected areas or areas where special
measures need to taken to conserve biological diversity:
(b) Develop, where necessary, guidelines for the selection.
establishment and management of protected areas or areas where special
measures need to taken to conserve biological diversity:
(c) Regulate or manage biological resources important for the
conservation of biological diversity whether within or outside protected
areas, with a view to ensuring their conservation sustainable use:
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148 United Nations Treaty Series • Nations Unies - Recueil des Trait~s 1993
national Jurisdiction and on other matters of mutual Interest. for the
conservation and sustainable use of biologcal diversity.
Article 6. General Measures for Conservation and Sustainable Use
Each Contracting Party shall, in accordance wth ts particular
conditions and capabilities:
(a) Develop national strategies. plans or programmes for the
conservation and sustainable use of biological diversity or adapt for
ths purpose existing strategies. plans or programmes which shall
reflect, inter ala, the measures set out in this Convention relevant to
the Contracting Party concerned; and
(b) Integrate. as far as possible and as appropriate, the
conservation and sustainable use of biological diversity into relevant
sectoral or cross-sectoral plans, programmes and policies.
Art1cle 7. Identification and Monitoring
Each Contracting Party shall. as far as possible and as appropriate.
in particular for the purposes of Articles 8 to 10:
(a) Identify components of biological diversity important for 1ts
conservation and sustainable use having regard to the indicative list of
categories set down In Annex I;
(b) Monitor, through sampling and other techniques. the components
of biological diversity identified pursuant to subparagraph (a) above.
paying particular attention to those requiring urgent conservation
measures and those which offer the greatest potential for sustainable
use;
(o) Identify processes and categories of activities which have or
are likely to have significant adverse impacts on the conservation and
sustainable use of biological diversity, and monitor their effects
through sampling and other techniques; and
(d) Maintain and organize. by any mechanism data. derived from
identification and monitoring activities pursuant to subparagraphs (a),
(b) and (c) above.
Article 8. In-situ Conservation
Each Contracting Party shall. as far as possible and as appropriate:
(a) Establish a system of protected areas or areas where special
measures need to be taken to conserve biological diversity:
(b) Develop, where necessary, guidelines for the selection.
establishment and management of protected areas or areas where special
measures need to be taken to conserve biological diversity:
(c) Regulate or manage biological resources important for the
conservation of biological diversity whether within or outside protected
areas. wIth a view to ensuring their conservation and sustainable us~;
United Nations - Treaty Series * Nations Unies - Recueil des Trait~s
(d) Promote the protection of ecosystems, natural habitats and the
maintenance of viable populations of species in natural surroundings:
(e) Promote environmentally sound and sustainable development in
areas adjacent to protected areas with a view to furthering protection of
these areas:
(f) Rehabilitate and restore degraded ecosystems and promote the
recovery of threatened species. inter alia, through the development and
implementation of plans or other management strategies:
(g) Establish or maintain means to regulate. manage or control the
risks associated with the use and release of living modified organisms
resulting from biotechnology which are likely to have adverse
environmental impacts that could affect the conservation and sustainable
use of biological diversity, taking also into account the risks to human
health:
(h) Prevent the introduction of. control or eradicate those alien
species which threaten ecosystems, habitats or species:
(i) Endeavour to provide the conditions needed for compatibility
between present uses and the conservation of biological diversity and the
sustainable use of its components:
(j) Subject to its national legislation. respect. preserve and
maintain knowledge, innovations and practices of indigenous and local
communities embodying traditional lifestyles relevant for the
conservation and sustainable use of biological diversity and promote
their wider application with the approval and involvement of the holders
of such knowledge, innovations and practices and encourage the equitable
sharing of the benefits arising from the utilization of such knowledge.
innovations and practices:
(k) Develop or maintain necessary legislation and/or other
regulatory provisions for the protection of threatened species and
populations:
(1) Where a significant adverse effect on biological diversity has
been determined pursuant to Article 7, regulate or manage the relevant
processes and categories of activities: and
(m) Cooperate in providing financial and other support for in-situ
conservation outlined in subparagraphs (a) to (I) above, particularly to
developing countries.
Article 9. Ex-situ Conservation
Each Contracting Party shall, as far as possible and as appropriate.
and predominantly for the purpose of complementing in-situ measures:
(a) Adopt measures for the ex-situ conservation of components of
biologicai diversity, preferably in tne country of origin of such
components:
Vol. 1760, 1-30619
1993 United Nations - Treaty Series • Nations Unies - Recueil des Trait~s 149
(d) Promote the protection of ecosystems, natural habitats and the
maintenance of viable populations of species n natural surroundings;
(e) Promote environmentally sound and
areas adjacent to protected areas wth a view
these areas;
sustainable development 1n
to furthering protection of
(f) Rehabilitate and restore degraded ecosystems and promote the
recovery of threatened species. inter alia, through the development and
implementation of plans or other management strategies:
(g) Establish or maintain means to regulate. manage or control the
risks associated with the use and release of living modified organisms
resulting fro biotechnology which are likely to have adverse
environmental impacts that could affect the conservation and sustainable
use of biological diversity, taking also into account the risks to human
health;
(h) Prevent the introduction of, control or eradicate those alen
species which threaten ecosystems. habitats or species:
(i) Endeavour to provide the conditions needed for compatiblity
between present uses and the conservation of biological diversity and the
sustainable use of its components:
(j) Subject to its national legislation. respect. preserve and
maintain knowledge, innovations and practices of Indigenous and local
communties embodying traditional lifestyles relevant for the
conservation and sustainable use of biological diversity and promote
their wder application with the approval and Involvement of the holders
of such knowledge, innovations and practices and encourage the equitable
sharing of the benefits arising from the utlization of such knowledge.
nnovat ions and practices;
(k) Develop or
regulatory provisions
populat ons:
maintain necessary legislation and/or other
for the protection of threatened species and
(1) Where a significant adverse effect on biological diversity has
been determined pursuant to Article 7, regulate or manage the relevant
processes and categories of activities: and
(m) Cooperate in providing financial and other support for in-situ
conservation out Ined n subparagraphs (a) to (I) above, particularly to
developing countries.
Article 9. Ex-situ Conservation
Each Contracting Party shall, as far as possible and as appropriate.
and predominantly for the purpose of complementing in-s1tu measures:
(a) Adopt measures for the
bologcai diversity, preferably
components:
ex-stu conservation
in tne country of
of components of
origin of such
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150 - * - Traitks 1993
(b) Establish and maintain facilities for ex-situ conservation of
and research on plants. animals and micro-organisms, preferably in the
country of origin of genetic resources:
(c) Adopt measures for the recovery and rehabilitation of
threatened species and for their reintroduction into their natural
habitats under appropriate conditions:
(d) Regulate and manage collection of biological resources from
natural habitats for conservation purposes so as not to threaten
ecosystems and in-situ populations of species, except where special
temporary measures are required under subparagraph (c) above: and
(e) Cooperate in providing financial other support conservation outlined in subparagraphs (a) to (d) above and in the
establishment and maintenance of ex-situ conservation facilities in
developing countries.
Each Contracting Party shall, as far as possible and as appropriate:
(a) Integrate consideration of the conservation and sustainable use
of biological resources into national decision-making;
(b) Adopt measures relating to the use of biological resources to
avoid or minimize adverse impacts on biological diversity;
(c) Protect and encourage customary use of biological resources in
accordance with traditional cultural practices that are compatible with
conservation or sustainable use requirements:
(d) Support local populations to develop implement remedial
action in degraded areas where biological diversity has been reduced:
and
(e) Encourage cooperation between its governmental authorities and
)ts private sector in developing methods sustainable use of
biological resources.
Article 11. Incentive Measures
Each Contracting Party shall, as far as possible as appropriate,
adopt economically and socially sound measures that act as incentives the conservation sustainable use components biological
diversity.
12. Research and Training
The Contracting Parties, taking into account the special needs developing countries, shall:
(a) Establish and maintain programmes for scientific and technical
education and training in measures for the identification, conservation
and sustainable use of biological diversity and its components and
Vol. 1760. 1-30619
ISO United Nations - Treaty Series • Nations Unies - Recueil des Trait~s Cb) Establish and maintain facilities for ex-situ conservation of
and research on piants. animals and microo rganisms, preferably in the
country of orgn of genetic resources:
(c) Adopt measures for the recovery and
threatened species and for their reintroduction
habitats under appropriate conditions:
rehabilitation of
into their natural
(d) Regulate and manage collection of biological resources from
natural habitats for ex-situ conservation purposes so as not to threaten
ecosystems and in-situ populations of spocies, except where special
temporary ex-situ measures are required under subparagraph (c) above: and
(e) Cooperate in providing financial and other support for ex-situ
conservation outlined in subparagraphs (a) to (d) above and in the
establishment and maintenance of ex-situ conservation facilities In
developing countries.
Article 10. Sustainable Use of Components of Biological Diversity
Each Contracting Party shall, as far as possible and as appropriate:
(a) Integrate consideration of the ccnservation and sustainable use
of biological resources nto national decision -making;
(b) Adopt measures relating to the use of biological resources to
avoid or minimize adverse impacts on biological diversity;
(c) Protect and encourage customary use of biological resources n
accordance wth traditional cultural practices that are compatible with
conservation or sustainable use requirements;
d) Support local populations to develop and
action In degraded areas where biological diversity
and
implement
has been
remedial
reduced:
(e) Encourage cooperation between ts governmental authorities and
ts private sector in developing methods for sustainable use of
biological resources.
1I. Each Contracting Party shali. as far as possible and as appropriate,
adopt economically and socially sound measures that act as Incentives for
the conservation and sustainable use of components of bolog1cal
diversity.
Article Tran1ng
The Contracting Parties, taking into account the special needs of
developing countries, shall:
Ca) Establish and
education and training
and sustainable use
maintain programmes for scientific and technical
in measures for the identification, conservation
of biological diversity and its components and
1760, 30619
United Nations - Series e Nations Unies - Recueil Traitis provide support for such education and training for the specific needs of
developing countries:
(b) Promote and encourage research which contributes to the
conservation and sustainable use of biological diversity, particularly in
developing countries, inter alia, in accordance with decisions of the
Conference of the Parties taken in consequence of recommendations of the
Subsidiary Body on Scientific. Technical and Technological Advice: and
(c) In keeping with the provisions of Articles 16. 18 20.
promote and cooperate in the use of scientific advances in biological
diversity research in developing methods for conservation and sustainable
use of biological resources.
13. Public Education The Contracting Parties shall:
(a) Promote encourage understanding of the importance of. the measures required for, the conservation of biological diversity, as
well as its propagation through media, and the inclusion of these topics
in educational programmes; (b) Cooperate. as appropriate, with other States and international
organizations in developing educational and puolic awareness programmes.
with respect to conservation sustainable use of biological diversity.
1. Each Contracting Party, as far as possible as appropriate.
shall:
(a) Introauce appropriate procedures requiring environmental impact
assessment of its proposed projects that are likely to have significant
adverse effects on biological diversity with a view to avoiding or
minimizing sucn effects and. where appropriate, allow for public
participation in such procedures:
(b) Introcuce appropriate arrangements to ensure that the
environmental consequences of its programmes policies that are likely
to nave significant adverse impacts on biological diversity are nuly
taken into account:
(c) Promote. on the basis of reciprocity. notification. exchange nf
information consultation on activities under their jurisdiction or
control wnich are likely to significantly affect adversely the biological
diversity of other States or areas beyond the limits of national
jurisdiction, by encouraging the conclusion of bilateral, regional or
multilateral arrangements, as appropriate:
(d) In the case of imminent or grave danger or damage, originating
under its jurisdiction or control, to biological diversity within the
area under jurisdiction of other States or in areas beyond the limits of
national jurisdiction, notify immediately the potentially affected States
of such danger or damage, as well as initiate action to prevent or
minimize such danger or damage; and
Vol. 1-30619
1993 Treaty • - des Trait~s 151
provide support for such education and training for the specific needs of
developing countries:
(b) Promote and encourage research which contributes to the
conservation and sustainable use of biological diversity, particularly in
developing countries, inter alia, in accordance with decisions of the
Conference of the Parties taken In consequence of recommendations of the
Subsidiary Body on Scientific, Technical and Technological Advice: and
(c) In keeping with the provisions of Articles 1.
promote and cooperate in the use of scientific advances 1n
diversity research n developing methods for conservation and
use of biological resources.
Article and Awareness
The Contracting Parties shall:
8 and 20.
biological
sustainable
(a) Promote and encourage understanding of the importance of. and
the measures required for, the conservation of biological diversity, as
well as its propagation through media, and the Inclusion of these top1cs
in educational programmes; and
(b) Cooperate. as appropriate. with other States and international
organizations In developing educational and puolic awareness programmes.
wIth respect to conservation and sustainable use of biological diversity.
Article 14. Impact Assessment and Minimizing Adverse Impacts
I. Each Contracting Party, as far as possble and as appropriate.
snal 1:
(a) Introauce appropriate procedures requiring environmental impact
assessment of ts proposed projects that are likely to have significant
adverse effects on bologcal diversity wth a view to avoiding or
mnmzing sucn effects and, where appropriate. allow for public
part icpat on n such procedures:
(b) Introauce appropriate arrangements to ensure that the
environmental consequences of its programmes and polices that are likely
to nave significant adverse mpacts on biological diversity are culy
taken into account:
(c) Promote, on the basis of reciprocity, notification. exchange of
nformat ion and consultation on activities under their jurisdiction or
control wnch are likely to sgnIfcantly affect adversely the biological
diversity of other States or areas beyond the lmits of national
Jurisdiction. by encouraging the conclusion of bilateral. regional or
multilateral arrangements, as appropriate;
(d) In the case of imminent or grave danger or damage, originating
under 1ts jurisdiction or control, to biological diversity within the
area under jurisdiction of other States or n areas beyond the lmts of
national ur1sdct1on. notIfy Immediately the potentially affected States
of such danger or damage, as well as initiate action to prevent or
minimize such anger or damage; and
1760.
152 - Series * Nations Unies - Recueil des Traitks 1993
(e) Promote national arrangements for emergency responses to
activities or events, whether caused naturally or otherwise, which
present a grave and imminent danger to biological diversity and encourage
international cooperation to supplement such national efforts arid, where
appropriate and agreed by the States or regional economic nteqration
organizations concerned, to establish joint contingency plans.
2. The Conference of the Parties shall examine, on the basis of studies
to be carried out, the issue of liability and redress, including
restoration and compensation. for damage to biological diversity, except
where such liability is a purely internal matter.
1. Recognizing the sovereign rights of States over their natural
resources, the authority to determine access to genetic resources rests
with the national governments and is subject to national legislation.
2. Each Contracting Party shall endeavour to create ronditions to
faciiitate access to genetic resources for environmentally sound uses other Contracting Parties and not to impose restrictions that run counter
to the objectives of this Convention.
3. For the purpose of this Convention. the genetic resources being
provided by a Contracting Party, as referred to in this Article and
rticles 16 aria 19. are only those that are provided by Contracting
Parties that are countries of origin of such resources or by the Parties
that have acquired the genetic resources in accordance with this
Convention.
4. Access. where granted. shall be on mutually agreed terms and subject
to the provisions of this Article.
5. Access to genetic resources shall be subject to prior informed
consent of the Contracting Party providing such resources, unless
otherwise determined by that Party.
6. Each Contracting Party shall endeavour to develop and r-arry out
scientific research basea on genetic resources provided by other
Contracting Parties with the full participation of. and where possible
in. such Contracting Parties.
7. Each Contracting Party shall take legislative, administrative or
policy measures, as appropriate, in accordance with Articles 16 and
19 and. where necessary, through the financial mechanism established by
.Articles 20 and 21 with the aim of sharing in a fair and equitable way
the results of research and development and the benefits arising from the
commercial and other utilization of genetic resources with the
Contracting Party providing such resources. Such sharing shall be upon
mutually agreed terms.
16. of i. Each Contracting Party. recognizing that technology ;ncludes
biotechnoioqy, and that both access to and transfer of technology among
Contracting Parties are essential elements for the attainment of the
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152 United Nations -- Treaty Series • Nations Unies Recueil des Trait~s 1993
(e) Promote natonal arrangements for emergency responses to
activities or events, whether caused naturally or otherwise, whch
present a grave and imminent danger to biological diversity and encourage
nternational cooperation to supplement such national efforts and, where
appropriate and agreed by the States or regional economic integration
organzat ions concerned. to establish joint contingency plans.
2. The Conference of the iarties shall examine. on the basis of studies
to be carried out, the ssue of liablity and redress. including
restoration and compensation. for damage to biological diversity, except
where such labiity s a purely internal matter.
Article 15. Access to Genetic Resources
I. Recognizing the sovereign rights of States over their natural
resources. the authority to determne access to genetic resources rests
wth the national governments and 1s subject to natonal legislation.
2. Eacn Contracting Party shall endeavour to create conditions to
faciitate access to genetic resources for environmentally sound uses by
other Contracting Parties and not to impose restrictions that run counter
to the objectives of this Convention.
3. For the purpose of ths Convent1on. the genetc resources being
provided by a Contracting arty, as referred to in this Article and
Articies 16 ana 19, are only those that are provided by Contract in
Parties that are countries of origin of such resources or by the Parties
that have acquired the genetic resources in accordance with th1
Convent 1on.
4. Access. where granted. shall be on mutually agreed terms and subject
to the provisions of this Artiole.
5. Access to genetic resources shall be subject to prior informed
consent of the Contracting Party provding such resources. unless
otherwise determined by that arty.
• Each Contracting Party
scentfc research base
Contracting Parties with the
n. such Contracting Parties.
shall endeavour to develop and carry out
on genetic resources provided by other
full participation of and where poss1b!e
7. Each Contracting Party shall take legislative, admimstratve or
polcy measures. as appropriate, and in accordance with Articles 16 and
19 and, where necessary, through the financial mechanism establsned by
Articles 20 and 21 wIth the aim of sharing in a fair and equitable way
the results of research and development and the benefits arising from the
commercial and other utilization of genetic resouroes with the
Contracting Party provd1ng such resources. Such sharing shall be upon
mutually agreed terms.
Article 1o. Access to and Transfer or Technology
i. Each Contracting Party. recognizing that technology ;ncudes
biotechnology, and that both access to and transfer of technology among
Contracting Parties are essential elements for the attainment of the
Vol. 1760. 1-30619
* Traitis
objectives of this Convention. undertakes subject to the provisions of
this Article to provide and/or facilitate access for and transfer to
other Contracting Parties of technologies that are relevant to the
conservation sustainable use of biological diversity or make use of
genetic resources and do not cause significant damage to the environment.
2. Access to and transfer of technology referred to in paragraph I
above to developing countries shall be provided and/or facilitated under
fair and most favourabie terms, including on concessional and
preferential terms where mutually agreed, and, where necessary, in
accordance with the financial mechanism established Articles 20 and
21. In the case of technology subject to patents and other intellectual
property rights, such access and transfer shall be provided on terms
which recognize and are consistent with the adequate and effective
protection of intellectual property rights. The application of this
paragraph shall be consistent with paragraphs 3. 4 and 5 below.
3. Each Contracting Party shall take legislative, administrative or
policy measures, as appropriate, with the aim that Contracting Parties.
in particular those that are developing countries, which provide genetic
resources are provided access to transfer of technology which makes
use of those resources, on mutually agreed terms, including technology
protected patents and other intellectual property rights, where
necessary, through the provisions of Articles 20 21 in accordance
with international law and consistent with paragraphs 4 5 below.
4. Each Contracting Party shall take legislative, administrative or
policy measures, as appropriate, with the aim that the private sector
facilitates access to, joint development and transfer of technology
referred to in paragraph I above for the benefit of both governmental
institutions the private sector of developing countries and in this
regard shall abide by the obligations included in paragraphs 1. 2 and 3
above.
5. The Contracting Parties. recognizing that patents and other
intellectual property rights may have an influence on the implementation
of this Convention. shall cooperate in this regard subject to national
legislation and international law in order to ensure that such rights are
supportive of and do not run counter to its objectives.
17. rnformation
I. The Contracting Parties shall facilitate the exchange of
information, from all publicly available sources, relevant to the
conservation sustainable use of biological diversity, taking into
account the special needs of developing countries.
2. Such exchange of information shall include exchange of results of
technical, scientific and socio-economic research, as well as information
on training and surveying programies. specialized knowledge, indigenous
traditional knowledge as such and in combination with the
technologies referred to in Article paragraph It shall also.
where feasible, include repatriation of information.
1760, 1993 United Nations - Treaty Series • Nations Unies - Recueil des Trait~s 153
objectives of this Convention. undertakes subject to the provisions of
this Article to prove and/or facilitate access for and transfer to
other Contracting Parties of technologies that are relevant to the
conservation and sustainable use of biological diversity or make use of
genetic resources and do not cause significant damage to the environment.
2. Access to and transfer of technology referred to In paragraph I
above to developing countries shall be provided and/or facilitated under
fair and most favourabie terms, including on concessional and
preferential terms where mutuaily agreed, and. where necessary, n
accordance with the financial mechanism established by Articles 20 and
21. In the case of technology subject to patents and other Intellectual
property rights. such access and transfer shall be provided on terms
which recognize and are consistent with the adequate and effective
protect 1on of Intellectual property rights. The application of this
paragraph shall be consistent with paragraphs 3, 4 and 5 below.
3. Each Contracting Party shall take legislative, administrative or
policy measures. as appropriate. with the aim that Contracting Parties,
n particular those that are developing countries, which provide genetc
resources are provided access to and transfer of technology which makes
use of those resources. on mutually agreed terms, including technology
protected by patents and other Intellectual property rights, where
necessary, through the provisions cf Articles 20 and 21 and in accordance
wth nternatonal law and consistent with paragraphs 4 and 5 below.
4. Each Contracting Party shall take legislative, administrative or
poicy measures, as appropriate. with the aim that the private sector
facltates access to, Joint development and transfer of technology
referred to 1n paragraph 1 above for the benefit of both governmental
Institutions and the private sector of developing countries and in this
regard shat l abide by the obligations Included in paragraphs I. 2 and 3
above.
5. The Contracting Parties. recognizing that patents and other
Intellectual property rights may have an influence on the Implementation
of this Convention. shall cooperate in this regard subject to national
legislation and international law in order to ensure that such rights are
supportive of and do not run counter to its objectives.
Article Exchange of Information
I. The Contracting Parties shall facilitate the exchange of
nformation, from all publicly available sources, relevant to the
conservation and sustainable use of biological diversity, taking into
account the special needs of developing countries.
2. Such exchange of information shall include exchange of results of
technical. scientific and socio-economic research. as well as information
on training and surveying programmes. specialized knowledge, indigenous
and traditional knowledge as such and In combination with the
technologies referred to In Article 16, paragraph I. It shall also.
where feasible, include repatriaticn of information.
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154 United Nations - Treaty Series o Nations Unies - Recueil des Traitks 19S
Article 18. Technical and Scientific Cooperation
i. The Contracting Parties shall promote international technical and
scientific cooperation in the field of conservation and sustainable use
of biological diversity, where necessary, through the appropriate
international and national institutions.
2. Each Contracting Party shall promote technical and scientific
cooperation with other Contracting Parties, in particular developing
countries, in implementing this Convention, inter alia. through the
development and implementation of national policies. In promoting such
cooperation, special attention should be given to the development and
strengthening of national capabiiities. by means of human resources
development and institution building.
3. The Conference of the Parties, at its first meeting, snall determine
how to establish a clearing-house mecnanism to promote and facilitate
technical and scientific cooperation.
4. The Contracting Parties shall, in accordance with national
legislation and policies, encourage and develop methods of coopeiration
for the development and use of technologies, including indigenous and
traditional technologies, in pursuance of the objectives of this
Convention. For this purpose, the Contracting Parties shall also promote
cooperation in the training of personnel and excnange of experts.
5. The Contracting Parties shall. suoject to mutuai agreement. promote
the establishment of joint researcn programnmes aria joint ventures for the
deveiopment of technologies relevant to the objectives of this
Convent ion.
Article 19. Handling of Biotechnology and Distribution of its Benefits
1. Each Contracting Party shall take legislatLive, administrative or
policy measures, as appropriate, to provide for the p,'fective
participation in biotechnoiogical research activities by those
Contracting Parties. especially developing countries, which provide the
genetic resources for such research, and where feasiole in such
Contracting Parties.
2. Each Contracting Party shall take all practicable measures zo
promote aria advance priority access on a fair and equitabie oasis ny
Contracting Parties. especially developing cnuntries, to 7!,.er psuits ano
benefits arising from biotechnologies basea upon genetic resources
provided by those Contracting Parties. Such access shall be on mutually
agreed terms.
3. The Parties shall consider the need for and modalities of a protocol
setting out appropriate procedures, including, in particular. advance
informed agreement, in the field of the safe transfer, handling and use
of any living modified organism resulting from biotechnology that may
have adverse effect on the conservation and sustainable use of bioiogical
diversity.
4. Each Contracting Party shall, directly or by requiring any natural
or legal person under its jurisdiction providing the organisms referred
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154 United Nations Treaty Series • Nations Unies -Recueil des Trait~s 1993
Article 18. Technical and Scientific Cooperatcn
I. The Contracting Parties shall promote international technical and
scientific cooperation In the field of conservation and sustainable use
of biological diversity. where necessary, through the appropriate
international and national institutions.
2. Each Contracting Party shall promote technical and scientific
cooperation with other Contracting Parties, n particular developing
countries, in Implementing this Convention, inter ala. through the
development and Implementation of nationai polices. In promoting such
cooperation, special attention should be given to the development and
strengthening of national capabities. by means of human resources
development and institution building.
3, The Conference of the Parties. at ts first meeting, snail determine
how to establisn a clearing-house mecnanism to promote and facltate
technical and scientific cooperation.
4, The Contracting Parties shall, in accordance wth natonal
legslat1on and poiices, encourage and develop methods of coop~ration
for the development and use of technologies, including indigenous and
traditional technologies, in pursuance of the objectives of this
Convention. For this purpose. the Contracting Parties shall also promote
cooperation in the training or personnei and excnange of experts.
5. The Contracting Parties shall. subject to mutuai agreement. promote
the establishment of joint researcn programmes and Joint ventures for the
deveiopment of technologies relevant to the objectives of this
Convent ion.
Article 19. Handling or Biotechnology and Distribution or its Benefits
I. Each Contracting Party shall take legislative. administrative or
policy measures. as appropriate. to provde for the effective
partcpat1on in biotechnoiogcai research activities by those
Contracting Parties. especially developing countries. which provide the
genetic resources for such research, an where feasole n such
Contracting Parties.
2. Each Contracting Party shall take all practicable measures :o
promote ana avance priority access on a fair and equitabie pass Dy
Contracting Parties. especially developing countries. to :'e resuits ano
benefits arising from biotechnologies hasea upon genetic resources
provided by those contracting Parties. Such access shall be on mutuaily
agreed terms.
3. The Parties shall consider the need for and modalities of a protocol
setting out appropriate procedures, Including, in particular. advance
Informed agreement, in the field of the safe transfer, handling and use
of any living modified organism resulting from biotechnology that may
have adverse effect on the conservation and sustainable use of bioiogcal
diversity.
4. Each Contracting
or legal person under
Vol. 1760, 1-30619
Party shall, directly or by requiring any natural
its jursdcton providing the organisms referred
- Recueil Traitks
to in paragraph 3 above, provide any available information about the use
and safety regulations required by that Contracting Party in handling
such organisms, as well as any available information on the potential
adverse impact of the specific organisms concerned to the Contracting
Party into which those organisms are to be introduced.
Article 20. Financial Resources
i. Each Contracting Party undertakes to provide, in accordance with its
capabilities, financial support and incentives in respect of those
national activities which are intended to achieve the objectives of this
Convention. in accordance with its national plans. priorities and
programmes.
2. The developed country Parties shall provide new and additional
financial resources to enable developing country Parties to meet the
agreed full incremental costs to them of implementing measures which
fulfil the obligations of this Convention and to benefit from its
provisions and which costs are agreed between a developing country Party
and the institutional structure referred to in Article 21. in accordance
with policy, strategy, programme priorities and eligibility criteria and
an indicative list of incremental costs established by the Conference nf
the Parties. Other Parties. including countries undergoing the process
of transition to a market economy, may voluntarily assume the oblig ations
of the developed country Parties. For the purpose of this Article. the
Conference of the Parties, shall at its first meeting establish a list of
developed country Parties and other Parties which voluntarily assume The
obligations of the developed country Parties. The Conference of the
Parties shall periodically review and if necessary amend the list.
Contributions from other countries and sources on a voluntary basis would
also be encouraged. The implementation of these commitments shall take
into account the need for adequacy, predictability and timely flow of
funds and the importance of burden-sharing among the contributing Parties
included in the list.
3. The developed country Parties may also provide, and developing
country Parties avail themselves of. financial resources related to the
implementation of this Convention through bilateral. regional and other
multilateral channels.
4. The extent to which developing country Parties will effectively
implement their commitments under this Convention will depend on the
effective implementation by developed country Parties of their
commitments under this Convention related to financial resources and
transfer of technology and will take fully into account the fact that
economic and social development and eradication of poverty are the first
and overriding priorities of the developing country Parties.
5. The Parties shall take full account of the specific needs and
special situation of least developed countries in their actions with
regard to funding and transfer of technology.
-. The Contracting Parties shall also take into consideration the
special conditions resulting from the dependence on, distribution and
location of. biological diversity within developing country Parties. in
particular small island States.
1993 United Nations - Treaty Series • Nations Unies - Recueil des Trait~s 155
to n paragraph 3 above, provide any available information about the use
and safety regulations required by that Contracting arty In handling
such organisms, as well as any available nformation on the potential
adverse Impact of the specific organisms concerned to the Contracting
Party into which those organisms are to be introduced.
Article 20. Financial Resources
I. Each Contracting Party undertakes to provide,
capablites. financial support and incentives
national activities which are Intended to achieve
Convention. in accordance with Its national
programmes.
In accordance with ts
n respect of those
the objectives of th1s
plans. priorities and
2. The developed country Parties shall provide new and additional
financal resources to enable developing country Parties to meet the
agreed full incremental costs to them of implementing measures whch
fulfil the obligations of this Convention and to benefit from ts
provisions and which costs are agreed between a developing country Party
and the Institutional structure rererred to in Article 21. In accordance
with policy. strategy, programme priorities and eligibility criteria and
an ndicatIve list or incremental costs established by the Conference of
the Parties. Other Parties. including countries undergoing the process
of transition to a market economy, may voluntarily assume the obligations
of the developed country Parties. For the purpose of ths Article. the
Conference of the Parties, shall at its first meeting establish a list of
developed country Parties and other Parties which voluntarly assume the
obligations of the developed country Parties. The Conference of the
Parties shall periodically review and if necessary amend the list.
Contributions from other countries and sources on a voluntary basis would
also be encouraged, The implementation of these commitments shall take
nto account the need for adequacy, predictability and timely flow of
funds and the importance of burden-sharing among the contributing Parties
included n the list.
3. The developed country Parties may also provide. and developing
country Parties avail themselves of. financial resources related to the
Implementation of this Convention through bilateral. regional and other
multilateral channels.
4. The extent to which developing country Parties wl effectively
Implement their commitments under this Convention will depend on the
effective Implementation by developed country Parties of their
commitments under this Convention related to financial resources and
transfer of technology and will take fully into account the fact that
economic and social development and eradication of poverty are the first
and overriding priorities of the developing country Parties.
5. The Parties shall take full account of the specific needs and
special situation of least developed countries in their actions wIth
regard to funding and transfer of technology.
• The Contracting Parties shall also take Into consideration the
special conditions resulting from the dependence on, distribution and
location of. bioiog1cal diversity wthin developing country Parties. n
particular smaiI sland States.
Vol. 1760, 1-30619
- Series 9 - Trait&7. Consideration shall also be given to the special situation of
developing countries. including those that are most environmentally
vulnerable. such as those with arid semi-arid zones. coastal and
mountainous areas.
21. 4echanism
1. There shall be a mechanism for the provision of financial resources
to developing country Parties for purposes of this Convention on a grant
or concessional basis the essential elements of which are described in
this Article. The mechanism shall function under the authority and
guidance of. and be accountable to. the Conference of the Parties for
purposes of this Convention. The operations of the mechanism shall be
rarried out by sucn institutional structure as may be decided upon by the
Conference of the Part:es at its first meeting. For purposes of this
Convention. the Conference of the Parties shall determine the policy.
strategy, programme priorities and eligibil!ity criteria relating to the
access to and utilization of such resources. The contributions shall be
such as to take into account the need for predictability, adequacy and
timely flow of funds referred to in Article 20 in accordance with the
amount of resources needed to be decided periodically by the Conference
of the Parties and the importance of burden-sharing among the
contributing Parties included in the list referred to in Article 20.
paragraph 2. Voluntary contributions may also be made by the developed
country Parties by other countries sources. The mechanism shall
operate within a democratic transparent system of governance.
2. Pursuant to the objectives of this Convention, the Conference of the
Parties shall at its first meeting determine the policy, strategy and
programme priorities, as well as detailed criteria and guidelines for
eligibility for access to and utilization of the financial resources
including monitoring and evaluation on a regular basis of such
utilization. The Conference of the Parties shall decide on the
arrangements to give effect to paragraph I above after consultation with
the institutionai structure entrusted with the operation of the financial
mechanism.
3. The Conference of the Parties shall review the effectiveness of the
mechanism established under this Article., including the criteria and
guidelines referred to in paragraph 2 above, not less than two years
after the entry into force of this Convention and thereafter on a regular
basis. Based on such review, it shall take appropriate action to improve
if 1. rhe Contracting consiaer %trengthening -xistin
financial institutions to provide resources for the
conservation sustainable use of biological diversity.
with international Conventions
1. The provisions of this Convention shall not affect the rights
and obligations of Contracting Party deriving from existing
international agreement, except where the exercise of those rights ana
obligations would cause a serious damage or threat to biologicai
diversity.
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156 United Nations Treaty Series • Nations Unies Recueil des Trait~s 1993
7. Consideration shall also be given to the special situation of
ieveloping countries. Including those that are most environmentally
vulnerable. such as those wth arid and semi-arid zones. coastal and
mountainous areas.
Article 2I. Financial Mechanism
. There shall be a mechanism for the provision of financial resources
to developing country Parties for purposes of this Convention on a grant
or concessional basis the essential elements of which are described in
this Article. The mechanism shall function under the authority and
gdance of. and be accountable to. the Conference of the Parties for
purposes of this Convention. The operations of the mechanism shall be
carried out by sucn institutional structure as may be decided upon by the
Conference of the Part:es at its first meeting. For purposes of this
Convent 1on. the Conference of the Parties shall determine the policy.
strategy, programme priorities and eligibity criteria relating to the
access to and utilization of such resources. The contributions shall be
such as to take 1nto account the need for predictablity, adequacy and
timeiy flow of funds referred to n Article 20 in accordance with the
amount of resources needed to be decided periodically by the Conference
of the Parties and the importance of burden-sharing among the
contributing Parties Included in the list referred to in Article 20,
paragraph 2. Voluntary contributions may also be made by the developed
country Parties and by other countries and sources. The mechanism shall
operate wthin a democratic and transparent system of governance.
2. Pursuant to the objectives of this Convention, the Conference of the
Parties shall at its first meeting determine the policy, strategy and
programme prores. as well as detailed criteria and guidelines for
eligblty for access to and utilization of the financial resources
Including monitoring and evaluation on a regular basis of such
utilization. The Conference of the Parties shall decide on the
arrangements to give effect to paragraph I above after consultation wIth
the institutionai structure entrusted with the operation of the financial
mechanism.
3. The Conference of the Parties shall review the effectiveness of the
mechansm established under this Article, including the criteria and
gudel Ines referred to n paragraph 2 above, not less than two years
after the entry Into force of this Convention and thereafter on a regular
bass. Based on such review, t.shall take appropriate action to improve
the effectiveness of the mechanism f necessary.
I. The contracting Parties shall consaer strengthen1n
financial institutions to provide financial resources
conservation and sustainable use of biological diversity.
xIstIrg
for the
Article 22. Relationship wth Other International Convent ons
I. The provisions of this Convention shail not affect the rights
and obligations of any Contracting arty deriving from any existing
International agreement. except where the exercise of those rights an
oblgatons wouid cause a serious damage or threat to biological
dversty.
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1993 United Nations - Treaty Series * Nations Unies - Recueil des Trait6s 157
2. Contracting Parties shall implement this Convention with
respect to the marine environment consistently with the right§ and
obligations of States under the law of the sea.
.Article 23. Conference of the Parties
1. A Conference of the Parties is hereny established. The first
meeting of the Lonference of the Parties shall be convenea by the
Executive Director of the Lnited Nations Environment Programne not later
tnan one year after the entry into force of this Convention. Thereafter.
oroinary meetings of the Conference of the Parties shall he held at
regular intervals to be determined uy the Conference at its first
meeting.
2. Extraordinary meetings of the Conference of the Parties shall be
held at such other times as may be deemed necessary by the Conference. or
at the written request of any Party, provided that. within six months of
the request being communicated to them by the Secretariat. it is
supported by at least one third of the Parties.
3. [he Conference of the arties shall by consensus agree upon and
adopt ruies of proceaure for itself ano for any suosidiary body it may
estabiisn. as wpji as financial rules governing the funding of 7ne
Secretariat. t eacn ordinary meeting. :t shall adopt a budget for -he
financiai period until the next ordinary meeting.
1. [he Conference of the Parties shall keep under review the
impiementation of this Convention. and. for -this purpose. shall:
(a) Establish the form and the intervals for transmitting 'he
information to be submitted in ;ccordance with Article 26 and consider
sucn information as well as reports submitted by any subsidiary body:
(b) Review scientific, technical and technological advice on
biological diversity provided in accordance with Article 25:
c) Consider ano adopt, as required. protocols in accordance with
Articie 28:
(d) Consider and adopt. as required. in accordance with Articles 29
and 30. amendments to this Convention and its annexes:
(e) Consider amendments to any protocol, as well as to any annexes
thereto. and. if so decided. recommend their adoption to the parties to
the protocol concerned:
(f) Consider and adopt. as required. in accordance with Article 30.
additional annexes to this Convention:
g) Establish such subsidiary bodies, particularly to provide
scientific and technical advice, as are deemed necessary for the
implementation of this Convention:
(h) Contact. through the Secretariat. the executive bodies of
conventions dealing with matters covered by this Convention with a view
to establishing appropriate forms of cooperation with them: and
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2. Contracting Parties shall Implement
respect to the marine environment consistently
obligations of States under the law of the sea.
this
wIth
Convention wth
the rghts and
Article 23. Conference or the Parties
t. A Conference of the Parties s hereby established. The first
meeting of the conference of the Parties shali be convenea by the
Executive Director of the United Nations Environment Programme not later
:nan one year after the entry nto force of this Convention. Thereafter.
ora1nary meetings of the Conference of the Parties shall be held at
regular ntervars to be determined Dy the conference at ts first
meet 1ng.
2. Extraordinary meetings of the Conference of the Parties shall be
held at such other tImes as may be deemed necessary by the Conference. or
at the wrtten request of any Party, provided that. within six months of
the request being communicated to them by the Secretariat. it 1s
supported by at least one third of the iarties.
• The conference or the Parties shall by consensus agree upon and
adopt rures of proceaure for tself ana for any subsidiary body t may
estabimsn. as eii as financial rules governing the funding of :ne
Secretariat. t eacn ordinary meeting. :r shall adopt a budget ·r ·he
financai period untIi the next ordinary meetn.
• The conference of the Parties shall keep under review the
Impiementat ion of th1s Convention, and. for this purpose. shall;:
(a) Establish the form and the Intervals for transmitting 'he
nformation to be submitted In accordance with Article 26 and consider
sucn Information as well as reports submitted by any subsidiary body:
(b) Review scientific, technical and technological advice on
biological chversty provided 1n accordance wth Article 25:
(c) Conser ana adopt, as required. protocols In accordance wth
Art1cie 28:
(d) Consider and adopt. as required. In accordance with Articles 23
and 30. amendments to this Convention and its annexes:
(e) Consider amendments to any protocol. as well as to any annexes
thereto. and. f so decided. recommend their adoption to the parties to
the protocol concerned:
(f) Consider and adopt. as required. In accordance with Article 30.
ad tonal annexes to this Convent1on:
(g) Establish such subsidiary bodies. particularly to provide
scientific and technical advice. as are deemed necessary for the
Implementation of this Convent1on:
(h) Contact. through the Secretariat. the executive bodies of
convent ions dealing wth matters covered by this Convention wIth a view
to establishing appropriate forms of cooperation wIth them: and
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158 United Nations - Treaty Series * Nations Unies - Recueil des Traitis 1993
(i) Consider and undertake any additional action that may be
required for the achievement of the purposes of this Convention in the
light of experience gained in its operation.
i. The United Nations. its specialized agencies and the International
Atomic Energy Agency, as well as any State not Party to this Convention.
may .)e represented as observers at meetings of the Conference of the
Parties. Any other body or agency, whether governmental or nongovernmental,
qualified in fields relating to conservation and
sustainable use of biological diversity, which has informed the
Secretariat of its wish to be represented as an observer at a meeting of
the Conference of the Parties. may be admitted unless at least one third
of the Parties present object. The admission and participation of
observers shall be subject to the rules of procedure adopted by the
Conference of the Parties.
Article 24. Secretariat
1. A secretariat is hereby established. Its functions shall be:
(a) To arrange for and service meetings of the Conference of the
Parties provided for in Article 2b:
(b) To perform the functions assigned to it by any protocol:
(c) To prepare reports on the execution of its functions under this
Convention and present them to the Conference of the Parties:
(d) To coordinate with other relevant international bodies and. in
particular to enter into such administrative and contractual arrangements
as may be required for the effective discharge of its functions: and
(e) To perform such other functions as may be determined by !he
Conference of the Parties.
2. At its first ordinary meeting, the Conference of the Parties shall
designate the secretariat from amongst those existing competent
internationai organizations wnich have signified their willingness to
carry out the secretariat functions under this Convention.
.rticle 25. Subsidiary Lody on Scientific. Technical
and Technoiogical Advice
I. A subsidiary body for the provision of scientific, technical and
technological advice is hereby established to provide the Conference of
the Parties and. as appropriate. its other subsidiary bodies with timely
advice relating to the implementation of this Convention. This body
shall be open to participation by all Parties and shall be
multidiscipiinary. It shall comprise government representatives
competent in the relevant field of Pxpertise. It shall report regularly
to the Conference of the Parties on ail aspects of its work.
2. nder the authority of and in accordance with guidelines laid doun
by the Conference of the Parties. and upon its request. this body shall:
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158 United Nations - Treaty Series • Nations Unies Recueii des Trait~s 1993
() Consider and undertake any additional acton that ray be
required for the achievement of the purposes of this Convention In the
tight of experience gained in its operation.
5. The United Nations. ts specialized agencies and the International
Atomic Energy Agency, as well as any State not Party to this Convention.
may De represented as observers at meetings of the Conference of the
Parties. Any other body or agency, wnether governmental or nongovernmental.
qualified in fields relating to conservation and
sustainable use of biological diversity. which has informed the
Secretariat of ts wsn to be represented as an observer at a meeting of
the Conference of the Parties. may be admitted unless at least one third
of the Parties present object. The admission and participation of
observers shall be subject to the rules of procedure adopted by the
Conference of the Parties.
Article 24. Secretariat
t. A secretariat s hereby established. Its functions snall be:
(a) To arrange for and service meetings of the Conference of the
Parties provided for n Article 23:
(b) To perform the functions assigned to it by any protocol:
(c) To prepare reports on the execution of its functions under this
Convention and present them to the Conference of the Parties:
(d) To coordinate with other relevant international bodies and. 1n
particular to enter unto such administrative and contractual arrangements
as may be required for the effective discharge of its functions; and
(e) To perform such other functions as may be determined by :he
Conference of the Parties.
2. At ts first ordinary meeting, the Conference of the Parties shall
designate the secretariat from amongst those existing competent
internationai organizations wnch have signified their willingness to
carry out the secretariat functions under this Convention.
Article 25. Subsidiary Dody on Scientific. Technical
and Technoiogcal Advice
1. A subsidiary body for the provision of scent'ic. technical and
technoiogcal advice is hereby established to provide the Conference of
the Parties and, as appropriate. ts other subsidiary bodies with timely
advice relating to the implementation of this Convention. This body
shall be open to participation by all Parties and shall be
multidiscipinary. It shall comprise government representatives
competent n the relevant field of expertise. It shall report regular1y
to the Conference of the Parties on ail aspects of ts work.
2. .nder the authority or and In accordance wIth guidelines laid down
by the Conference of the Parties. and upon ts request, this body shall:
Vol. 1760, 1-30619
- * - Traitis
(a) Provide scientific and technical assessments of the status of
biological diversity:
(b) Prepare scientific and technical assessments of the effects of
types of measures taken in accordance with the provisions of this
Convention:
(c) Identify innovative. efficient and state-of-the-art
technologies know-how relating t.o the conservation sustainable
use of hioiogical diversity and advise on the ways and means of oromotmng
aevetopment and/or transferring such technologies:
(d) Provide advice on scientific programmes and international
,-ooperation in research and development related to conservation sustainaole use of biological dliversity; and
(e) Respond to scientific. technical, technological and
methodological questions that the Conference of the Parties and its
subsidiary bodies may put to the body.
3. The functions. terms of reference, organization and operation of
this body may be further elaborated by the Conference of the Parties.
Each Contracting Party shall, at intervals to be determined by the
Conference of the Parties. present to the Conference of the Parties.
reports on measures which it has taken for the implementation of the
provisions of this Convention their effectiveness in meeting the
objectives of this Convention.
In the event of a dispute between Contracting Parties concerning the
interpretation or application of this Convention. the parties concerned
shall seek solution by negotiation.
If the parties concerned cannot reach agreement by negotiation. they
may jointly seek the good offices of, or request mediation by, a third
party.
When ratifying, accepting, approving or acceding to this Convention.
or at time thereafter. a State or regional economic integration
organization may declare in writing to the Depositary that for a dispute
not resoived in accordance with paragraph or paragraph above, it
accepts one or both of the following means of dispute settlement as
compulsory:
(a) Arbitration in accordance with the procedure laid down in Part
I of Annex II:
(b) Subission of the dispute to the International Court of
Justice.
Vol. 1993 United Nations -- Treaty Series • Nations Unies Recuell des Trait~s 159
(a) Provide scientific and technical assessments of the status of
biological diversity;
(b) Prepare
types of measures
Convent 1on:
scientific and technical assessments of the effects of
taken In accordance with the provisions of this
(c) Identify Innovatve. efficient and state-of-the-art
technologes and know-how relating to the conservation and sustainable
nse of boiogcal diversity and advise on the ways and means of promoting
eeopment and/or transferring such technologes:
GD) Provide advice on scientific programmes and internationai
vooperat1on n research and development related to conservation and
sustainaple use of biological hversty: and
e) Respond to scientific. technical, technological and
methodological questions that the Conference of the Parties and its
subsidiary bodies may put to the body.
3. The functions. terms of reference. organization and operation of
this body may be further elaborated by the Conference of the Parties.
Article 26. Reports
Each Contracting Party shall. at intervals to be determined by the
Conference of the Parties. present to the Conference of the Parties.
reports on measures which it has taken for the implementation of the
provisions of this Convention and ther effectiveness n meeting the
objectives of this Convention.
Article 27. Settlement of Disputes
In the event of a dispute between Contracting Parties concerning the
Interpretation or application of this Convention. the parties concerned
shall seek solution by negotiation.
2. If the parties concerned cannot reach agreement by negotiation. they
may Jointly seek the good offices of, or request mediation by, a third
party.
3. When ratifying, accepting. approving or acceding to this Convention.
or at any tme thereafter. a State or regional economic integration
organization may declare n writing to the Depositary that for a dispute
not resoived in accordance wth paragraph I or paragraph 2 above. it
accepts one or both of the following means of dispute settlement as
compulsory:
a) Arbitration In accordance with the procedure laid down In Part
1 of Annex II:
(b) Submission of the dispute
Justice.
to the International Court of
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160 United - * - Recueil Trait6s 1993
4. If the parties to the dispute have not. in accordance with paragraph
3 aoove. acceptea the same or any procedure. the dispute shall be
submitted to conciliation in accordance with Part 2 of Annex II unless
the parties otnerwise agree.
5. The provisions of this Article shall apply with respect to any
protocol except as otherwise provided in the protocol concerned.
Article 28. Adoption of Protocols
I. The Contracting Parties shall cooperate in the formulation and
adoption of protocols to this Convention.
2. Protocols shall be adopted at a meeting of the Conference of the
Parties.
3. The text of any proposed protocol shall he communicated to the
Contracting Parties by the Secretariat at least six months before such a
meeting.
Article 29. of Convention i. Amendments to this Convention may be proposed by any Contracting
Party. Amendments to any protocol may be proposed by any Party to that
protocol.
2. Amendments to this Convention shall be adopted at a meeting of the
Conference of the Parties. Amendments to any protocol shall be adopted
at a meeting of the Parties to the Protocol in question. The text of any
proposed amendment to this Convention or to any protocol. except as may
otherwise be provided in such protocol. shall he communicated to the
Parties to the instrument in question by the secretariat at least six
months before the meeting at which it is proposFd for adoption. The
secretariat shali also communicate proposed amendments to the signatories
to this Convention for information.
3. The Parties anali make tverv Pffort to reach agreement nn any
proposed amendment to this Convention or to any protocol :)y consensus.
If all efforts at consensus have been exhausted. and no agreement
reached, the amenament shall as a last resort be adopted by a two-third
majority vote of the Parties to the instrument in question present and
voting at the meeting, and shall he submitted hy the Depositary !.O all
Parties for ratification. acceptance or approval.
I. Ratification. acceptance or approval of amendments shall be notified
to the Depositary in writing, Amendments adopted in accordance with
paragrapn 3 above shall enter into force among Parties having accepted
them on the ninetieth day after the deposit of instruments of
ratification. accE.ptance or approval by at least two thirds of the
,Contrarting Parties to this Convention or of the Parties to the protocol
concerned. ,-xcept as may otherwise be provided in such protocol.
fhereafter the ai.endments snail enter into force for any other Party on
the ninetieth lay after that Party deposits its instrument elf
ratification. acceptance or approval of the amendments.
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United Nations -- Treaty Series • Nations Unies Recueil des Trait~s 1993
4. If the nartes to the dispute have not. in accordance with paragraph
3 above. acceptea the same or any procedure. the dispute shall be
submitted to conclat1on In accordance with Fart 2 of Annex II unless
the parties otnerwise agree.
. The provisions o this Article shall apply with respect to any
protocoi except as otherwise provided In the protocol concerned.
Article 28. Adoption of Protocols
I. The Contracting Parties shall cooperate 1n the formulation and
adoption of protocols to this Convention.
2. Protocols shall be adopted at a meeting of the Conference of the
Parties.
3. The text of any proposed protocol shall
Contracting Parties by the Secretariat at least
meeting.
be communicated to the
sx months before such a
Article 29. Amendment or the Convent ion or Protocols
I. Amendments to
Party. Amendments
protocol.
this Convent1on may be proposed by any Contracting
to any protocol may be proposed by any Party to that
2. Amendments to this Convention shall be adopted at a meeting of the
Conference of the Parties. Amendments to any protocol shall be adopted
at a meeting or the Parties to the Protocol in question. The text of any
proposed amendment to this Convention or to any protocol, except as may
otherwise be provided in such protocol. shall be communicated to the
Parties to the instrument n question by the secretariat at least six
months before the meetin; at which It 1s proposed for adoption. The
secretariat shari also communicate proposed amendments to the signatories
to this Convention for nformat1on.
3. The Parties nali make every erfort to reach agreement n any
proposed amendment to this Convention or to any protocol y consensus.
If all efforts at consensus have been exhausted. and no agreement
reached. the amenament shall as a last resort be adopted by a two-thrd
majority vote of the Parties to the instrument in question present and
voting at the meeting. and shall be submitted by the Depositary o all
Parties for ratification. acceptance or approval.
Instrument
shaII be notified
accordance with
having accepted
instruments of
thirds of the
to the protocol
such protocol.
other Party on
. Ratification. acceptance or approval of amendments
to the Depositary In writing. Amendments adopted in
paragrapn 3 above shall enter mnto force among Part1cs
them on the ninetieth day after the depost of
ratfcaton. acceptance or approval by at least two
ontracting Parties to this Convention or af the art1es
concerned. ·xcept as may otherwise be provided In
Thereafter the amendments snall enter Into force for any
the ninetieth ·day after that Party deposits ts
ratfcat on. acceptance or approval of the amendments.
Vol. 1760, 1-30619
- e - Traitis 5. For the purposes of this Article. -Parties present and voting" means
Parties present and casting an affirmative or negative vote.
Adoption The annexes to this Convention or to any protocol shall form an
integral part of the Convention or of such protocol, as the case may he.
and, unless expressly provided otherwise, a reference to this Convention
or its protocols constitutes at the same time a reference to any annexes
thereto. Such annexes shall be restricted to procedural. scientific.
technical and administrative matters.
2. Except as may be otherwise provided in any protocol with respect to
its annexes, the following procedure shall apply to the proposal.
adoption and entry into force of additional annexes to this Convention or
of annexes to protocol:
(a) Annexes to this Convention or to any protocol shall be proposed
and adopted according to the procedure laid down in Article 29:
(b) Any Party that is unable to approve an additional annex to this
Convention or an annex to any protocol to which it is Party shall so
notify the Depositary, in writing, within one year from the date of the
communication of the adoption by the Depositary. The Depositary shall
without delay notify all Parties of any such notification received. A
Party may at any time withdraw a previous declaration of objection and
the annexes shall thereupon enter into force for that Party subject to
subparagraph (c) below;
(c) the expiry of one year from the date of the communication of
the adoption by the Depositary. the annex shall enter into force for all
Parties to this Convention or to any protocol concerned wnich have not
submitted a notification in accordance with the provisions of
subparagraph (b) above.
3. The proposal. adoption and entry into force of amendments to annexes
to this Convention or to any protocol shall be subject to the same
procedure as for the proposal. adoption and entry into force of annexes
to the Convention or annexes to any protocol.
4. If an additional annex or an amendment to an annex is related to an
amendment to this Convention or to any protocol. the additional annex or
amenament shall not enter into force until such time as the amendment to
the Convention or to the protocol concerned enters into force.
31. 1. Except as provided for in paragraph 2 below. each Contracting Party
to this Convention or to any protocol shall have one vote.
2. Regional economic integration organizations. in matters within their
competence. shall exercise their right to vote with a number of votes
.quai to the number of their member States whicn are Contracting Parties
to this Convenion or the relevant protocol. Such organizations shall
not exercise their right to vote if their member States exercise theirs.
and vice versa.
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1993 United Nations Treaty Series • Nations Unies Recueil des Trait~s 161
5. For the purposes of this Article. "Parties present and voting" means
Parties present and casting an affirmatve or negative vote.
Article 30. Adopt ion and Amendment of Annexes
'. The annexes to this Convention or to any protocol shall form an
Integral part of the Convention or of such protocol. as the case may he.
and. unless expressly provided otherwise, a reference to this Convention
or ts protocols constitutes at the same time a reference to any annexes
thereto. Such annexes shall be restricted to procedural. scientific.
technical and administrative matters.
2. Except as may be otherwise provided n any protocol wth respect to
tts annexes, the following procedure shall apply to the proposal.
adoption and entry nto force of additional annexes to ths Convention or
of annexes to any protocol:
(a) Annexes to this Convention or to any protocol shall be proposed
and adopted according to the procedure laid down n Article 29:
(b) Any Party that 1s unable to approve an add1tonal annex to th1s
Convention or an annex to any protocoi to which t s Party shall so
notify the Depositary, In writing, wthin one year from the date of the
communication of the adoption by the Depositary. The Depositary shall
wthout delay not1fy all Parties of any such notf cation received. A
Party may at any time wIthdraw a previous declaration of objection and
the annexes shall thereupon enter Into force for that Party subject to
subparagraph (c) below:
(c) On the expiry of one year from the date of the communication of
the adoption by the Depositary. the annex shall enter mnto force for all
Parties to this Convention or to any protocol concerned wnch have not
submitted a notIfcat1on tn accordance wIth the provisions of
subparagraph (b) above.
3. The proposal. adoption and entry Into force of amendments to annexes
to this Conventuon or to any protocol shall be subject to the same
procedure as for the proposal. adopt on and entry Into force of annexes
to the Convention or annexes to any protocol.
4. If an additional annex or an amendment to an annex s related to an
amendment to this Convention or to any protocol. the additional annex or
amenament shalt not enter Into force until such time as the amendment t.o
the Convention or to the protocol concerned enters Into force.
Article 3I. Right to Vote
I. Except as provided for In paragraph 2 below. each Contracting Party
to this Convention or to any protocol shall have one vote.
2. Regional economic integration organizations. n matters wthin their
competence. shall exercise their rght to vote with a number of votes
equai to the number of their member States when are Contracting Parties
to this Convent1on or the relevant protocol. Such organizations shall
not exercise their right to vote f their member States exercise the1rs.
ana vice versa.
Vol 1760. 1-30619
162 Nations * Unies s 1993
Article 32. Relationship between this Convention and Its I. A State or a regional economic integration organization may not
become a Party to a protocol unless it is, or becomes at the same time. a
Contracting Party to this Convention.
2. Decisions under any protocol shall be taken only by the Parties to
the protocol concerned. Any Contracting Party that has not ratified.
accepted or approved a protocol may participate as an observer in any
meeting of the parties to that protocol.
Article 33. Signature
This Convention shall be open for signature at Rio de Janeiro by ail
States and any regional economic integration organization from 5 .Tune
1992 until 14 June 1992. and at the United Nations Headquarters in New
York from 15 June 1992 to 4 June 1993.
Article 34. Ratification, Acceptance or Approval
1. This Convention and any protocol shall be subject to ratification.
acceptance or approval by States and by regionai economic integration
organizations. Instruments of ratification. acceptance or approval shall
be neposited with the Depositary.
2. Any organization referred to in paragraph I above which becomes a
Contracting Party to this Convention or any protocol without any of itq
member States being a Contracting Party shall bound by all the
obl igations under the Convention or the protocoi, as the case may be.. In
the case of such organizations. one or more of whose member States is a
Contracting Party to this Convention or relevant protocol. the
organization ana its member States shall decide on their respective
responsibilities for the performance of their obligations inder the
Convention or protocol. as the case may be. In such cases. the
organization and the member States shall not be entitled to exercise
rights unaer the Convention or relevant protocol concurrently.
3. In their instruments of ratification, acceptance or approval, the
organizations referred to in paragraph I above shall declare the extpnt
of their competence with respect to the matters governed by the
Convention or the rcievant protocol. lhese organizations shail also
inform the Depositary of any relevant modification in the extent of their
competence.
Article 35. Accession
1. This Convention and protocol shall open for accession by
States by regional economic integration organizations from the date
on which the Convention or the protocol concerned is closed for
signature. The instruments accession shall be deposited with the
Depositary.
2. In their instruments of accession, the organizations referred to in
paragraph I above shall declare the extent of their competence with
respect to the matters governed by the Convention or the relevant
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United Nations - Treaty Series • Nations Unies - Recueil des Trait~s 1993
Article 32. Relationship between this Convention and Its Protocols
I. A State or a regional economic integration organization may not
become a Party to a protocol unless t 1s, or becomes at the same time, a
Contracting Party to this Convention.
2. Decsons under any protocol shall be taken only by the Parties to
the protocoi concerned. Any Contracting arty that has not ratified.
accepted or approved a protocol may participate as an observer n any
meeting of the parties to that protocol.
Article 33. Sgnature
This Convention shall be cpen for sgnature at Rio de Janeiro hy ail
States and any regional economic integration organzatton from 5 .Tune
1992 untl 14 June 1992. and at the Unted Nations Headquarters In New
York from 15 June 1992 to 4 June 1993.
Article 334. Ratification, Acceptance or Approval
. This Convention and any protocol shall be subject to ratification.
acceptance or approval by States and by regonai economic integration
organizations. Instruments of ratification. acceptance or approval shall
be aeposted with the Depositary.
2. Any organization referred to n paragrapn I above whch becomes a
Contracting Party to this Convention or any protocol without any of 1ts
member States being a Contracting Party shall be bound by all the
oblgations under the Convent on or the protocol, as the case may be. In
the case of such organizations. one or more of whose member States is a
Contracting Party to this Convention or relevant protocol. the
organization an ts member States shall decide on their respective
responsblities for the performance of ther obligations under the
Convent1on or protocol. as the case may be. In such cases. the
organization and the member States shall not be entitled to exercise
rights unaer the Convention or relevant protocol concurrently.
3. In their Instruments of
organizations referred to n
of ther competence wth
Convention or the reievant
Inform the Depositary of any
competence.
ratification. acceptance or approval. the
paragraph I above shall declare the extent
respect to the matters governed hy the
protocol. These organzatons shaii also
relevant modf1cation n the extent of their
I. Tis
States and
on which
signature.
Depositary.
Article 35. Access1on
Convent on and any protocol shall be open for accession by
by regional economic integration organizations from the date
the Convention or the protocol concerned is closed for
The instruments of accession shall be deposited wIth the
2. In ther instruments
paragraph I above shall
respect to the matters
Vol. 1760. 1-30619
of accession. the organzat ions referred to n
declare the extent of their competence with
governed by the Convention or the relevant
1993 United Nations - Treaty Series * Nations Unies - Recuell des Traitis 163
protocol. These organizations shall also inform the Depositary of any
relevant modification in the extent of their competence.
3. The provisions of Article 34. paragraph 2, shall apply to regional
economic integration organizations which accede to this Convention or any
protocol.
Article 36. Entry Into Force
I. This Convention shall enter into force on the ninetieth day after
the date of deposit of the thirtieth instrument of ratification.
acceptance. approval or accession.
2. Any protocol shall enter into force on the ninetieth day after the
date of deposit of the number of instruments of ratification. acceptance.
approval or accession, specified in that protocol.
3. For each Contracting Party which ratifies, accepts or approves this
Convention or accedes thereto after the deposit of the thirtieth
instrument of ratification, acceptance, approval or accession, it shall
enter into force on the ninetieth day after the date of deposit by such
Contracting Party of its instrument of ratification, acceptance. approval
or accession.
4. Any protocol, except as otherwise provided in such protocol. shall
enter into force for a Contracting Party that ratifies, accepts or
approves that protocol or accedes thereto after its entry into force
pursuant to paragraph 2 above, on the ninetieth day after the date on
which that Contracting Party deposits its instrument of ratification.
acceptance, approval or accession, or on the date on which this
Convention enters into force for that Contracting Party, whichever shall
be the later.
5. For the purposes of paragraphs I and 2 above, any instrument
deposited by a regional economic integration organization shall not be
counted as additional to those deposited by member States of such
organization.
Article 37. Reservations
No reservations may be made to this Convention.
Article 38. Withdrawals
I. At any time after two years from the date on which this Convention
has entered into force for a Contracting Party, that Contracting Party
may withdraw from the Convention by giving written notification to the
Depositary.
2. Any such withdrawal shall take place upon expiry of one year after
the date of its receipt by the Depositary, or on such later date as may
be specified in the notification of the withdrawal.
3. Any Contracting Party which withdraws from this Convention shall he
considered as also having withdrawn from any protocol to which it is
party.
Vol. 1760, 1-30619
1993 United Nations - Treaty Series • Nations Unies -- Recueii des Trait~s 163
protocol. These organizations shall also inform the Depositary of any
relevant modification In the extent of their competence.
3. The provisions of Article 34. paragraph 2, shall apply to regional
economic Integration organizations which accede to this Convention or any
protocol.
Article 36.
I. This Convention shall enter
the date of deposit of the
acceptance. approval or access1on.
Entry Into Force
into force on the ninetieth day after
thirtieth Instrument of ratification.
2. Any protocol shall enter Into force on the ninetieth day after the
date of deposit of the number of instruments of ratification, acceptance.
approval or accession. specified n that protocol.
3. For each Contracting Party which ratifies. accepts or approves th1s
Convent ion or accedes thereto after the deposit of the thirtieth
Instrument of ratification, acceptance. approval or accession. it shall
enter mnto force on the ninetieth day after the date of deposit by such
Contracting Party of ts Instrument of ratification. acceptance. approval
or accession.
4. Any protocol, except as otherwise provided n such protocol. shall
enter Into force for a Contracting Party that ratifies, accepts or
approves that protocol or accedes thereto after its entry Into force
pursuant to paragraph 2 above. on the ninetieth day after the date on
which that Contracting Party deposits ts instrument of ratification.
acceptance, approval or accession, or on the date on which this
Convention enters Into force for that Contracting Party, whichever shall
be the later.
5. For the purposes
deposted by a regional
counted as additional
organzat on.
of paragraphs I and
economic Integration
to those deposited
2 above, any instrument
organization shall not be
by member States of such
Article 37. Reservations
No reservations may be made to this Convention.
Article 38. Withdrawals
I. At any time after
has entered nto force
may withdraw from the
Depositary.
two years from the date on which this Convention
for a Contracting Party, that Contracting Party
Convent ion by giving written notification to the
2. Any such withdrawal shall take place upon expiry of one year after
the date of its receipt by the Depositary, or on such later date as may
be specified in the notification of the withdrawal.
3, Any Contracting Party which withdraws from this Convention shail be
considered as also having withdrawn from any protocol to which 1t 1s
party.
Vol. 1760, 1-30619
* - Traitis 39. Provided that it has been fully restructured in accordance with the
requirements of Article the Global Environment Facility of the United
Nations Development Programme, the United Nations Environment Programme
and the International Bank for Reconstruction Development shall the institutional structure referred to in Article 21 on an interim
basis, for the period between the entry into force of this Convention and
the first meeting of the Conference of the Parties or until the
Conference of the Parties decides which. institutional structure will be
designated in accordance with Article 21.
Article 40. Secretariat Interim Arrangements
The secretariat to be provided by the Executive Director of the
United Nations Environment Progranme shall be the secretariat referred to
in Article 24, paragraph 2. on an interim basis for the period between
the entry into force of this Convention and the first meeting of the
Conference of the Parties.
The Secretary-General of the United Nations shall assume the
functions of Depositary of this Convention and any protocols.
The original of this Convention. of which the Arabic. Chinese.
English. French, Russian and Spanish texts are equally authentic. shall
be deposited with the Secretary-General of the United Nations.
IN WITNTSS WHEREOF the undersigned. duly authorized to that effect.
have signed this Convention.
Done at Rio de Janeiro on this fifth day of June. one thousand nine
hundrea and ninety-two.
Vol. 1760, 1-30619
164 United Nations - Treaty Series • Nations Unies Recueil des Trait~s 1993
Article Financial Interim Arrangements
Provded that it has been fully restructured in accordance wth the
requirements of Article 21. the Global Environment Facility of the United
Nat ions Development Programme, the United Nations Environment Programme
and the International Bank for Reconstruction and Development shall be
the institutional structure referred to in Article 21 on an interim
bas1s, for the period between the entry into force of this Convention and
the first meeting of the Conference of the Parties or until the
Conference of the Parties decides which. institutional structure will be
designated in accordance with Article 21.
Article 40. Secretariat Interim Arrangements
The secretariat to be provided by the Executve Director of the
~mted Nations Environment Programme shall be the secretariat referred to
n Article 24, paragraph 2. on an unterm bass for the per1od between
the entry mnto force of this Convention and the first meeting of the
Conference of the Parties.
Article 41. Depositary
The Secretary-General of the United Nations shall assume the
functions of Depositary of this Convention and any protocols.
Article 42. Authentic Texts
The or1gInal of this Convention. of which the Arabie. Chinese.
Englsh. French, Russian and Spanish texts are equally authentic. shall
be deposited wth the Secretary-General of the United Nations.
IN WITNESS VHEREOF the undersigned. being duly authorized to that effect.
have signed this Convention.
Done at Rio de Janeiro on this fifth day of June. one thousand nine
hundrea and ninety-two.
[For the signatures, seep. 254 of this volume.]
30619
Treaty * - Traitks
I
IDENTIFICATION AND MONITORING
1. Ecosystems and habitats: containing high diversity, large numbers
of endemic or threatened species, or wilderness; required by migratory
species; of social. economic. cultural or scientific importance: or.
which are representative, unique or associated with key evolutionary or
other biological processes:
2. Species and communities which are: threatened: wild relatives of
domesticated or cultivated species; of medicinal, agricultural or other
economic value: or social. scientific or cultural importance: or
importance for research into the conservation and sustainable use of
biological diversity, such as indicator species: and
3. Described genomes and genes of social, scientific or economic
importance.
Vol. 1760, 1-30619
1993 United Nations - Treaty Series • Nations Unies Recueil des Trait~s 165
Annex I
IDENTIFICATION AND MONITORING
t. Ecosystems and habitats: containing high diversity. large numbers
of endemic or threatened species, or wilderness; requred by migratory
species; of social. economic. cultural or scientific importance: or.
which are representative, unique or associated with key evolutionary or
other biological processes;
2. Species and communities which are: threatened: wild relatives of
domesticated or cultivated species; of medicinai. agricultural or other
economic value; or social. scientific or cultural Importance: or
importance for research into the conservation and sustainable use of
biological diversity, such as indicator species: and
3. Described genomes and genes of social. scientific or economic
Importance.
30619
- * Traitks Annex rI
Part I
The claimant party shall notify the secretariat that the parties are
referring a dispute to arbitration pursuant to Article 27. The
notification shall state the subject-matter of arbitration and include.
in particular, the articles of the Convention or the protocol, the
interpretation or application of which are at issue. If the parties do
not agree on the subject matter of the dispute before the President of
the tribunal is designated, the arbitral tribunal shall determine the
subject matter. The secretariat shall forward the information thus
received to all Contracting Parties to this Convention or to the protocol
concerned.
i. In disputes between two parties, the arbitral tribunal shall consist
of three members. Each of the parties to the dispute shall appoint an
arbitrator and the two arbitrators so appointed shall designate common
agreement the third arbitrator who shall be the President of the
tribunal. The latter shall not be a national of one of the parties to
the dispute, nor have his or her usual place of residence in the
territory of one of these parties. nor be employed any nf them. nor
have dealt with the case in other capacity.
2. In disputes between more than two parties, parties in the same
interest shall appoint one arbitrator jointly agreement.
3. Ax vacancy shall be filled in the manner prescribed for the initial
appointment.
i. If the President of the arbitral tribunal has not been designated
within two months the appointment the second arbitrator. the
Secretary-General of the United Nations shall. at the request designate the President within a further two-month period.
2. If one of the parties to the dispute does not appoint an arbitrator
within two months of receipt the request, the other party may inform
the Secretary-General who shall make the designation within a further
two-month period.
The arbitral tribunal shall render its decisions in accordance with
the provisions of this Convention, protocols concerned. and
international law.
1760. 166 United Nations -- Treaty Series • Nations Unies - Recueil des Trait~s 1993
.Annex II
Part 1
ARBITRATION
Article 1
The claimant party shall notify the secretariat that the parties are
referring a dispute to arbitration pursuant to Article 27. The
notification shall state the subject-matter of arbitration and Include.
in particular. the articles of the Convention or the protocol, the
interpretation or application of which are at issue. If the parties do
not agree on the subject matter of the dispute before the President of
the tribunal is designated, the arbitral tribunal shall determine the
subject matter. The secretariat shall forward the Information thus
received to all Contracting Parties to this Convention or to the protocol
concerned.
Article 2
I. In disputes between two parties, the arbitral tribunal shall consist
of three members. Each of the parties to the dispute shall appoint an
arbitrator and the two arbitrators so appointed shall designate by common
agreement the third arbitrator who shall be the President of the
tribunal. The latter shall not be a national of one of the parties to
the dispute, nor have hs or her usual place of residence in the
territory of one of these parties, nor be employed by any of them. nor
have dealt wIth the case in any other capacity.
2. In disputes between more than two parties, parties in the same
interest shall appoint one arbitrator jointly by agreement.
3. Any vacancy shall be filled in the manner prescribed for the nit al
appointment.
Article 3
I. If the President of the arbitral tribunal has not been designated
within two months of the appointment of the second arbitrator. the
Secretary-General of the United Nations shall. at the request of a party.
designate the President within a further twmoont h period.
2. If one of the parties to the dispute does not appoint an arbitrator
within two months of receipt of the request. the other party may Inform
the Secretary-General who shall make the designation within a further
twmoo- nth period.
Article 4
The arbitral tribunal shall render
the provisions of this Convention,
International law.
Vol. 1760, 1-30619
its decisions in accordance wIth
any protocos concerned. and
United Nations - Treaty Series * Nations Unies - Recueil des Trait~s
Article 5
Unless the parties to the dispute otherwise agree.
tribunal shall determine its own rules of procedure.
zhe arbitral
Article 6
The arbitral tribunal may, at the request of one of the parties.
recommend essential interim measures of protection.
Article 7
The parties to the dispute shall facilitate the work of the arbitral
tribunal and. in particular. using all means at their disposal. snail:
(a) Provide it with all relevant aocuments, information and
facilities; and
(b) Enable it, when necessary, to call witnesses or experts and
receive their evidence.
Article 8
The parties and the arbitrators are under an obligation to protect
the confidentiality of any information they receive in confidence during
the proceedings of the arbitral tribunal.
Article 9
Unless the arbitral tribunal determines otherwise because of the
particular circumstances of the case, the costs of the tribunal shall be
borne oy the parties to the dispute in equal shares. The tribunal shall
keep a record of all its costs, and shall furnish a final statement
thereof to the parties.
Article 10
Any Contracting Party that has an interest of a legal nature in the
subject-matter of the dispute which may be affectcd by the decision in
the case, may intervene in the proceedings with the consent of the
tribunal.
.-rticle Ii
The tribunal may hear and determine counterclaims arising directly
out of the subject-matter of the dispute.
.4rticle 12
Decisions both on procedure and substance of the arbitral tribunal
shali be taken by a majority vote of its members.
Artzcle 13
If one of the parties to the dispute does not appear before the
arbitral tribunal or fails to defend its case. the other .narty may
Vol. 1760. 1-30619
1993 United Nations Treaty Series • Nations Unies --- Recueil des Trait~s 167
Article 5
Unless the parties to the dispute otherwise agree. :he arbitral
tribunal shall determine its own rules of procedure.
Article 6
The arbitral tribunal may, at the request of one of the p~rties,
recommend essential interim measures of protection.
Article 7
The parties to the ispute shall facltate the work of the arbtral
tribunal and, in particular. using all means at their disposat. snall:
(a) Provide t wIth all
facilities; and
relevant aocuments. nformat1on and
(b) Enable t, when necessary, to call witnesses or experts and
receive their evidence.
Article 8
The parties and the arbitrators are under an obligation to protect
the conf dentalty of any information they receive 1n confidence during
the proceedings of the arbitral tribunal.
Article 9
Unless the arbitral tribunai determines otherwise because of the
particuiar circumstances of the case, the costs of the tribunai shall be
borne oy the parties to the dispute in equal shares. The tribunai shall
keep a record of all its costs, and shall furmsh a final statement
thereof to the parties.
Article 10
Any Contracting arty that has an interest or a legal nature in the
subject-matter of the dispute which may be affectcd by the decision in
the case, may intervene in the proceedings with the consent of the
tribunal.
Article 1I
The tribunal may hear and determine counterclaims arising directly
out of the subject-matter of the dispute.
Article 12
Decisions both on procedure and substance of the arbitral trbunal
shail be taken by a majority vote of its members.
Article 13
If one of the parties to the dispute does not appear before the
arbitral tribunal or fails to defend ts case, the other arty may
Vol. 1760. 1-30619
168 United Nations - Treaty Series * Nations Unies - Recueil des Traitks 1993
request the tribunal to continue the proceedings and to make its award.
Absence of a party or a failure of a party to defend its case shall not
constitute a bar to the proceedings. Before rendering its final
decision. the arbitral tribunal must satisfy itself that the claim is
well founded in fact and law.
Article 14
The tribunal shall render its final decision within five months of
the date on which it is fully constituted unless it finds it necessary to
extend the time-iimit for a period which should not exceed five more
months.
.4rticle 15
The final decision of the arbitral tribunal shall be confined to the
subject-matter of the dispute and shall state the reasons on wnich it is
basea. It shall contain the names of the members who have participated
and the ,iate of the final decision. Xny member of the tribunal may
attach a separate or dissenting opinion to the final decision.
Article 16
The award shall be binding on the parties to the dispute. It shall
be without appeal unless the parties to the dispute have agreed in
advance to an appellate procedure.
Article 17
Any controversy which may arise between the parties to the dispute
as regards the interpretation or manner of implementation of the final
decision may be submitted by either party for decision to the arbitral
tribunal which rendered it.
Part 2
CONCILIATION
Article 1
A conciliation commission shall be created upon the request of one
of the parties to the dispute. The commission shall. unless the parties
otherwise agree, be composed of five members, two appointed by each Party
concerned and a President chosen jointly by those members.
Article 2
In disputes between more than two parties. parties in the sage
interest shall appoint their members of the commission jointly by
agreement. Where two or more parties have separate interests or there is
a disagreement as to whether they are of the same interest, they shall
appoint their members separately.
Vol. 1760, 1-30619
168 United Nations - Treaty Series • Nations Unies - Recueil des Trait~s 1993
request the tribunal to continue the proceedings and to make Its award.
Absence of a party or a failure of a party to defend ts case shall not
constitute a bar to the proceedings. Before rendering Its final
iecsion. the arbtral trbunat must satisfy itself that the claim is
well founded in fact and law.
Article 14
The tribunal shall
the date on which t is
extend the time-iimt
months.
render :ts final decision within five months of
fully constituted unless It finds It necessary to
for a period which should not exceed five more
Article 15
The fnal decision of the arbtral tribunal shall be confined to the
subject-matter of the dispute and shall state the reasons on wnich t is
basea. It shall contain the names of the members who have participated
and the utate of the final decs1on. Any member of the tribunal may
attach a separate or dissenting opnon to the final decision.
Article 16
The award shall be binding on the parties to the dispute. It shat l
be without appeal unless the parties to the dispute have agreed n
advance to an appellate procedure.
Article 17
Any controversy which may arise between the parties to the dispute
as regards the interpretation or manner of implementation oft the final
decision may be submitted by either party for decision to the arbitral
tribunal which rendered it.
Part 2
CONCILIATION
Article I
A concliaton commission shall be created upon the request of one
of the parties to the dispute. The commission shall. unless the partes
otherwise agree, be composed of five members, two appointed by each Party
concerned and a Pres1dent chosen ontly by those members.
Article 2
In disputes between more than two parties. parties
Interest shall appoint their members of the commission
agreement. Where two or more parties have separate interests
a disagreement as to whether they are of the same nterest.
appoint their members separately.
Vol, 1760, 1-30619
in the saue
jointly by
or there 1s
they shall
1993 United Nations - Treaty Series * Nations Unies -Recueil des Traitks 169
Article 3
If any appointments by the parties are not made within two months of
the date of the request to create a conciliation commission, the
Secretary-General of the United Nations shall, if asked to do so by the
party that made the request, make those appointments within a further
two-month period.
Article 4
If a President of the conciliation commission has not been chosen
within two months of the last of the members of the commission being
appointed, the Secretary-General of the United Nations shall, if asked to
do so by a party. designate a President within a further two-month
period.
Article 5
The conciliation commission shall take its decisions by majority
vote of its members. It shall, unless the parties to the dispute
otherwise agree, determine its own procedure. It shall render a proposal
for resoiution of the dispute. which the parties shall consider in good
faith.
Article 6
A disagreement as to whether the conciliation commission has
competence shall be decided by the commission.
1993 United Natlons - Treaty Series • Nations Unies Recueil des Trait~s 169
Article 3
If any appointments by the parties are not made within two months of
the date of the request to create a conciliation commission, the
Secretary-General of the United Nations shall, if asked to do so by the
party that made the request. make those appointments within a further
two-month period.
Article 4
If a President of the concliation commission has not been chosen
within two months of the last of the members of the commission being
appointed. the Secretary-General of the United Nations shall, if asked to
do so by a party, designate a President wthin a further two-month
per od.
Article 5
The conciliation commission shall take its decisions by majority
vote of Its members. It shall. unless the parties to the dispute
otherwise agree, determine ts own procedure. It shall render a proposal
for resoiuton of the dispute. which the parties shall consider In good
faith.
Article 6
A disagreement as to whether the conciliation commission has
competence shall be decided by the commission.
Vol 1760, 1-30619
Volume 2226, A-30619
No. 30619. Multilateral
CONVENTION ON BIOLOGICAL DIVERSITY.
RIO DE JANEIRO, 5 JUNE
19921
CARTAGENA PROTOCOL ON BIOSAFETY TO
THE CONVENTION ON BIOLOGICAL DIVERSITY.
MONTREAL, 29 JANUARY 2000
Entry into force : 11 September 2003, in
accordance with article 37 (2) (see
following page)
Authentic texts : Arabic, Chinese,
English, French, Russian and Spanish
Registration with the Secretariat of the
United Nations : ex officio, 11
September 2003
No. 30619. Multilateral
CONVENTION SUR LA DIVERSITt BIOLOGIQUE.
RIO DE JANEIRO, 5
JUIN 1992'
PROTOCOLE DE CARTAGENA SUR LA
PREVENTION DES RISQUES BIOTECHNOLOGIQUES
RELATIF A LA CONVENTION
SUR LA DIVERSITE BIOLOGIQUE. MONTREAL,
29 JANVIER 2000
Entree en vigueur : 11 septembre 2003,
conform~ment au paragraphe 2 de
l'article 37 (voir la page suivante)
Textes authentiques : arabe, chinois,
anglais, frangais, russe et espagnol
Enregistrement aupr~s du Secretariat
des Nations Unies : d'office, 11
septembre 2003
1. United Nations, Treaty Series, Vol. 1760, 1-30619 - Nations Unies, Recueil des Trait~s, Vol.
1760, 1-30619
Volume 2226, A-30619
No. 30619. Multilateral
CONVENTION ON BIOLOGICAL DIVERSITY.
RIO DE JANEIRO, 5 JUNE
1992'
CARTAGENA PROTOCOL ON BIOSAFETY TO
THE CONVENTION ON BIOLOGICAL DIVERSITY.
MONTREAL, 29 JANUARY 2000
Entry into force: 11 September 2003, in
accordance with article 37 (2) (see
following page)
Authentic texts : Arabic, Chinese,
English, French, Russian and Spanish
Registration with the Secretariat of the
United Nations : ex officio, 11
September 2003
No. 30619. Multilat~ral
CONVENTION SUR LA DIVERSIT~ BIOLOGIQUE.
RIO DE JANEIRO, 5
JUIN 1992!
PROTOCOLE DE CARTAGENA SUR LA
PR~VENTION DES RISQUES BIOTECHNOLOGIQUES
RELATIF ~ LA CONVENTION
SUR LA DIVERSIT~ BIOLOGIQUE. MONTR~
AL, 29 JANVIER 2000
Entr~e en vigueur: 11 septembre 2003,
conform~ment au paragraphe 2 de
!'article 37 (voir la page suivante)
Textes authentiques : arabe, chinois,
anglais, fran~ais, russe et espagnol
Enregistrement aupr~s du Secr~tariat
des Nations Unies : d'office, 11
septembre 2003
I. United Nations, Treaty Series, Vol. 1760, 1-30619 Nations Unies, Recueil des Trait~s, Vol.
1760, 1-30619
208
ENGLISH - ANGLAIS]
CARTAGENA CONVENTION ON BIOLOGICAL
DIVERSITY
19, have adverse effect agreement,
Declaration
concem
over its potential countries, to cope with the nature achieving rights and obligations agreements,
other
Article 1. Objective
In accordance with the precautionary approach contained in Principle 15 Declaration on Environment and Development, the objective of this Protocol is contribute
to ensuring an adequate level of protection in the field of the safe transfer, handling use of living modified organisms resulting from modem biotechnology may Volume 2226, A-30619
[ ENGLISH TEXT TEXTE ANGLAIS ]
CART AGENA PROTOCOL ON BIOSAFETY TO THE CONVENTION ON BIOLOGICAL
DIVERSITY
The Parties to this Protocol,
Being Parties to the Convention on Biological Diversity, hereinafter referred to as "the
Convention",
Recalling Article I9, paragraphs 3 and 4, and Articles 8 (g) and 17 of the Convention,
Recalling also decision 11/5 of 17 November 1995 of the Conference of the Parties to
the Convention to develop a Protocol on biosafety, specifically focusing on transboundary
movement of any living modified organism resulting from modem biotechnology that may
on the conservation and sustainable use of biological diversity, setting
out for consideration, in particular, appropriate procedures for advance informed agreement,
Reaffirming the precautionary approach contained in Principle 15 of the Rio Declaration
on Environment and Development,
Aware of the rapid expansion of modem biotechnology and the growing public concern
adverse effects on biological diversity, taking also into account risks
to human health,
Recognizing that modem biotechnology has great potential for human well-being if
developed and used with adequate safety measures for the environment and human health,
Recognizing also the crucial importance to humankind of centres of origin and centres
of genetic diversity,
Taking into account the limited capabilities of many countries, particularly developing
and scale of known and potential risks associated with
living modified organisms,
Recognizing that trade and environment agreements should be mutually supportive
with a view to sustainable development,
Emphasizing that this Protocol shall not be interpreted as implying a change in the
of a Party under any existing international Understanding that the above recital is not intended to subordinate this Protocol to other
international agreements,
Have agreed as follows:
ln of the Rio
to contribute
and
that have ad-
257
transboundary 1. Each appropriate measures
reduces
jurisdiction reflected
of a of biological objective
obligations
Article 3. Use of terms
purposes physical (c) "Export" means intentional transboundary "Exporter" Import" (f) Volume 2226, A-30619
verse effects on the conservation and sustainable use of biological diversity, taking also into
account risks to human health, and specifically focusing on trans boundary movements.
Article 2. General provisions
Party shall take necessary and legal, administrative and other measures
to implement its obligations under this Protocol.
2. The Parties shall ensure that the development, handling, transport, use, transfer and
release of any living modified organisms are undertaken in a manner that prevents or reduces
the risks to biological diversity, taking also into account risks to human health.
3. Nothing in this Protocol shall affect in any way the sovereignty of States over their
territorial sea established in accordance with international law, and the sovereign rights and
the which States have in their exclusive economic zones and their continental
shelves in accordance with international law, and the exercise by ships and aircraft of all
States of navigational rights and freedoms as provided for in international law and as reflected
in relevant international instruments.
4. Nothing in this Protocol shall be interpreted as restricting the right ofa Party to take
action that is more protective of the conservation and sustainable use ofbiological diversity
than that called for in this Protocol, provided that such action is consistent with the objective
and the provisions of this Protocol and is in accordance with that Party's other obligations
under international law.
5. The Parties are encouraged to take into account, as appropriate, available expertise,
instruments and work undertaken in international forums with competence in the area of
risks to human health.
For the of this Protocol:
(a) "Conference of the Parties" means the Conference of the Parties to the Convention;
(b) "Contained use" means any operation, undertaken within a facility, installation or
other structure, which involves living modified organisms that are controlled by
specific measures that effectively limit their contact with, and their impact on, the external
environment;
movement from one Party to another
Party;
( d) means any legal or natural person, under the jurisdiction of the Party of
export, who arranges for a living modified organism to be exported;
(e) "Import" means intentional transboundary movement into one Party from another
Party;
"Importer" means any legal or natural person, under the jurisdiction of the Party of
import, who arranges for a living modified organism to be imported;
(g) "Living modified organism" means any living organism that possesses a novel
combination of genetic material obtained through the use of modem biotechnology;
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(h) organism" means any biological entity capable of transferring or replicating
genetic material, including sterile organisms, viruses and viroids;
(i) means the of:
direct injection of nucleic acid into cells or organelles, or
natural physiological reproductive or recombination barriers and that
are not techniques used in traditional breeding and selection;
"Regional economic integration organization" means an organization constituted by
a given region, to which its member States have transferred competence
accordance
internal procedures, to sign, ratify, accept, approve or accede to it;
transboundary
to movement between Parties and non-Parties.
Article 4. Scope
sustainable
this Protocol shall not to the transboundary movement of living modified organisms
1. of living provisions
standards
movement
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(h) "Living organism" means any biological entity capable of transferring or replicating
genetic material, including sterile organisms, viruses and viroids;
() "Modern biotechnology" means the application of:
a. In vitro nucleic acid techniques, including recombinant deoxyribonucleic acid
(DNA) and direct injection of nucleic acid into cells or organelles, or
b. Fusion of cells beyond the taxonomic family,
that overcome natural physiological reproductive or recombination barriers and that
are not techniques used in traditional breeding and selection;
(j) "Regional economic integration organization" means an organization constituted by
sovereign States of a given region, to which its member States have transferred competence
in respect of matters governed by this Protocol and which has been duly authorized, in accordance
with its internal procedures, to sign, ratify, accept, approve or accede to it;
(k) "Transboundary movement" means the movement of a living modified organism
from one Party to another Party, save that for the purposes of Articles 17 and 24 transboundary
movement extends to movement between Parties and non-Parties.
Article 4. Scope
This Protocol shall apply to the transboundary movement, transit, handling and use of
all living modified organisms that may have adverse effects on the conservation and sustainable
use of biological diversity, taking also into account risks to human health.
Article 5. Pharmaceuticals
Notwithstanding Article 4 and without prejudice to any right of a Party to subject all
living modified organisms to risk assessment prior to the making of decisions on import,
this Protocol shall not apply to the trans boundary movement of living modified organisms
which are pharmaceuticals for humans that are addressed by other relevant international
agreements or organisations.
Article 6. Transit and contained use
l. Notwithstanding Article 4 and without prejudice to any right of a Party of transit to
regulate the transport ofliving modified organisms through its territory and make available
to the Biosafety Clearing-House, any decision of that Party, subject to Article 2, paragraph
3, regarding the transit through its territory of a specific living modified organism, the provisions
of this Protocol with respect to the advance informed agreement procedure shall not
apply to living modified organisms in transit.
2. Notwithstanding Article 4 and without prejudice to any right of a Party to subject all
living modified organisms to risk assessment prior to decisions on import and to set standards
for contained use within its jurisdiction, the provisions of this Protocol with respect
to the advance informed agreement procedure shall not apply to the transboundary movement
of living modified organisms destined for contained use undertaken in accordance
with the standards of the Party of import.
259
to Articles 5 and 6, the advance informed procedure in Articles
the environment of the Party of import.
11 or feed, or for processing.
transboundary
in a decision of the Conference
taking
transboundary Article
of notification
of receipt Article
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Article 7. Application of the advance informed agreement procedure
1. Subject to Articles 5 and 6, the advance informed agreement procedure in Articles
8 to 10 and 12 shall apply prior to the first intentional transboundary movement of living
modified organisms for intentional introduction into the environment of the Party of import.
2. "Intentional introduction into the environment" in paragraph 1 above, does not refer
to living modified organisms intended for direct use as food or feed, or for processing.
3. Article 1 I shall apply prior to the first transboundary movement of living modified
organisms intended for direct use as food or feed, or for processing.
4. The advance informed agreement procedure shall not apply to the intentional transboundary
movement of living modified organisms identified in a decision of the Conference
of the Parties serving as the meeting of the Parties to this Protocol as being not likely
to have adverse effects on the conservation and sustainable use of biological diversity, taking
also into account risks to human health.
Article 8. Notification
1. The Party of export shall notify, or require the exporter to ensure notification to, in
writing, the competent national authority of the Party of import prior to the intentional
trans boundary movement of a living modified organism that falls within the scope of Article
7, paragraph 1.
The notification shall contain, at a minimum, the information specified in Annex I.
2. The Party of export shall ensure that there is a legal requirement for the accuracy of
information provided by the exporter.
Article 9. Acknowledgement of receipt of notification
1. The Party of import shall acknowledge receipt of the notification, in writing, to the
notifier within ninety days of its receipt.
2. The acknowledgement shall state:
(a) The date ofreceipt of the notification;
(b) Whether the notification, prima facie, contains the information referred to in Article
8;
( c) Whether to proceed according to the domestic regulatory framework of the Party
of import or according to the procedure specified in Article 10.
3. The domestic regulatory framework referred to in paragraph 2 (c) above, shall be
consistent with this Protocol.
4. A failure by the Party of import to acknowledge receipt of a notification shall not
imply its consent to an intentional transboundary movement.
260
A-Article 10. Decision procedure
1. Decisions taken by the Party of import shall be in accordance with Article 15.
2. The Party of import shall, within the period of time referred to in Article 9, inform
the notifier, in writing, whether the intentional transboundary movement may proceed:
(a) Only after the Party of import has given its written consent; or
(b) After no less than ninety days without a subsequent written consent.
3. Within two hundred and seventy days of the date of receipt of notification, the Party
of import shall communicate, in writing, to the notifier and to the Biosafety Clearing-House
the decision referred to in paragraph 2 (a) above:
(a) Approving the import, with or without conditions, including how the decision will
apply to subsequent imports of the same living (b) Prohibiting the import;
(c) Requesting additional relevant information in accordance with its domestic regulatory
framework or Annex I; in calculating the time within which the Party of is respond, the number of days it has to wait for additional relevant information shall not be
taken into account; or
(d) Informing the notifier that the period specified in this paragraph is extended by a
defined period of time.
4. Except in a case in which consent is unconditional, a decision under above, shall set out the reasons on which it is based.
5. A failure by the Party of import to communicate its decision within seventy days of the date of receipt of the notification shall not imply its consent to an intentional
transboundary movement.
6. Lack of scientific certainty due to insufficient relevant scientific information and
knowledge regarding the extent of the adverse effects of a organism
taking also into account risks to human health, shall not prevent decision, as appropriate, question
as referred to in paragraph 3 above, in order to avoid or minimize such adverse
effects.
meeting, decide upon appropriate and mechanisms making
Article 11. Proceduref or modified intendedfor asf ood orf eed,
or for processing
direct use as food or feed, decision,
Volume 2226, 4A-30619
Article 10. Decision procedure
1. Decisions taken by the Party of import shall be in accordance with Article 15.
2. The Party of import shall, within the period of time referred to in Article 9, inform
the notifier, in writing, whether the intentional transboundary movement may proceed:
(a) Only after the Party of import has given its written consent; or
(b) After no less than ninety days without a subsequent written consent.
3. Within two hundred and seventy days of the date ofreceipt ofnotification, the Party
ofimport shall communicate, in writing, to the notifier and to the Biosafety Clearing-House
the decision referred to in paragraph 2 (a) above:
(a) Approving the import, with or without conditions, including how the decision will
apply to subsequent imports of the same living modified organism;
(b) Prohibiting the import;
(c) Requesting additional relevant information in accordance with its domestic regulatory
framework or Annex I; in calculating the time within which the Party of import is to
respond, the number of days it has to wait for additional relevant information shall not be
taken into account; or
(d) Informing the notifier that the period specified in this paragraph is extended by a
defined period of time.
4. Except in a case in which consent is unconditional, a decision under paragraph 3
above, shall set out the reasons on which it is based.
5. A failure by the Party of import to communicate its decision within two hundred and
seventy days of the date of receipt of the notification shall not imply its consent to an intentional
transboundary movement.
6. Lack of scientific certainty due to insufficient relevant scientific information and
knowledge regarding the extent of the potential adverse effects of a living modified organism
on the conservation and sustainable use of biological diversity in the Party of import,
taking also into account risks to human health, shall not prevent that Party from taking a
decision, as appropriate, with regard to the import of the living modified organism in question
as referred to in paragraph 3 above, in order to avoid or minimize such potential adverse
effects.
7. The Conference of the Parties serving as the meeting of the Parties shall, at its first
meeting, decide upon appropriate procedures and mechanisms to facilitate decision-making
by Parties of import.
Article 11. Procedure for living modified organisms intended for direct use as food or feed,
or for processing
1. A Party that makes a final decision regarding domestic use, including placing on the
market, of a living modified organism that may be subject to transboundary movement for
direct use as food or feed, or for processing shall, within fifteen days of making that decision,
inform the Parties through the Biosafety Clearing-House. This information shall con-
261
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tain, at a minimum, the information specified in Annex II. The Party shall provide a copy
of the information, in writing, to the national focal point of each Party that informs the Secretariat
in advance that it does not have access to the Biosafety Clearing-House. This provision
shall not apply to decisions regarding field trials.
2. The Party making a decision under paragraph 1 above, shall ensure that there is a
legal requirement for the accuracy of information provided by the applicant.
3. Any Party may request additional information from the authority identified in paragraph
(b) of Annex 1I.
4. A Party may take a decision on the import of living modified organisms intended for
direct use as food or feed, or for processing, under its domestic regulatory framework that
is consistent with the objective of this Protocol.
5. Each Party shall make available to the Biosafety Clearing-House copies of any national
laws, regulations and guidelines applicable to the import of living modified organisms
intended for direct use as food or feed, or for processing, if available.
6. A developing country Party or a Party with an economy in transition may, in the absence
of the domestic regulatory framework referred to in paragraph 4 above, and in exercise
of its domestic jurisdiction, declare through the Biosafety Clearing-House that its
decision prior to the first import of a living modified organism intended for direct use as
food or feed, or for processing, on which information has been provided under paragraph 1
above, will be taken according to the following:
(a) A risk assessment undertaken in accordance with Annex IlI; and
(b) A decision made within a predictable timeframe, not exceeding two hundred and
seventy days.
7. Failure by a Party to communicate its decision according to paragraph 6 above, shall
not imply its consent or refusal to the import of a living modified organism intended for
direct use as food or feed, or for processing, unless otherwise specified by the Party.
8. Lack of scientific certainty due to insufficient relevant scientific information and
knowledge regarding the extent of the potential adverse effects of a living modified organism
on the conservation and sustainable use of biological diversity in the Party of import,
taking also into account risks to human health, shall not prevent that Party from taking a
decision, as appropriate, with regard to the import of that living modified organism intended
for direct use as food or feed, or for processing, in order to avoid or minimize such potential
adverse effects.
9. A Party may indicate its needs for financial and technical assistance and capacitybuilding
with respect to living modified organisms intended for direct use as food or feed,
or for processing.
Parties shall cooperate to meet these needs in accordance with Articles 22 and 28.
Article 12. Review of decisions
1. A Party of import may, at any time, in light of new scientific information on potential
adverse effects on the conservation and sustainable use of biological diversity, taking
also into account the risks to human health, review and change a decision regarding an in-
Volume 2226, A-30619
tain, at a minimum, the information specified in Annex II. The Party shall provide a copy
of the information, in writing, to the national focal point of each Party that informs the Secretariat
in advance that it does not have access to the Biosafety Clearing-House. This provision
shall not apply to decisions regarding field trials.
2. The Party making a decision under paragraph I above, shall ensure that there is a
legal requirement for the accuracy of information provided by the applicant.
3. Any Party may request additional information from the authority identified in paragraph
(b) of Annex II.
4. A Party may take a decision on the import ofliving modified organisms intended for
direct use as food or feed, or for processing, under its domestic regulatory framework that
is consistent with the objective of this Protocol.
5. Each Party shall make available to the Biosafety Clearing-House copies of any national
laws, regulations and guidelines applicable to the import of living modified organisms
intended for direct use as food or feed, or for processing, if available.
6. A developing country Party or a Party with an economy in transition may, in the absence
of the domestic regulatory framework referred to in paragraph 4 above, and in exercise
of its domestic jurisdiction, declare through the Biosafety Clearing-House that its
decision prior to the first import of a living modified organism intended for direct use as
food or feed, or for processing, on which information has been provided under paragraph 1
above, will be taken according to the following:
(a) A risk assessment undertaken in accordance with Annex Ill; and
(b) A decision made within a predictable timeframe, not exceeding two hundred and
seventy days.
7. Failure by a Party to communicate its decision according to paragraph 6 above, shall
not imply its consent or refusal to the import of a living modified organism intended for
direct use as food or feed, or for processing, unless otherwise specified by the Party.
8. Lack of scientific certainty due to insufficient relevant scientific information and
knowledge regarding the extent of the potential adverse effects of a living modified organism
on the conservation and sustainable use of biological diversity in the Party of import,
taking also into account risks to human health, shall not prevent that Party from taking a
decision, as appropriate, with regard to the import of that living modified organism intended
for direct use as food or feed, or for processing, in order to avoid or minimize such potential
adverse effects.
9. A Party may indicate its needs for financial and technical assistance and capacitybuilding
with respect to living modified organisms intended for direct use as food or feed,
or for processing.
Parties shall cooperate to meet these needs in accordance with Articles 22 and 28.
Article 12. Review of decisions
1. A Party of import may, at any time, in light of new scientific information on potential
adverse effects on the conservation and sustainable use of biological diversity, taking
also into account the risks to human health, review and change a decision regarding an in-
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movement. such case, the Party shall, within thirty days, inform
any notifier that has previously notified movements of the living modified organism referred
to in such decision, as well as the and shall set out the reasons
10 considers
that:
(a) A change in circumstances has occurred that may influence the outcome of the risk
Additional relevant scientific or technical information has become available.
The of shall respond in writing to such a request within ninety days and
out the reasons for its decision.
Party of may, at its discretion, a risk assessment for subsequent
13. 1. transboundary movement of living modified organisms in accordance with
in which intentional transboundary movement to it may take place at the
movement is notified to the Party of and
from the advance informed
procedure.
movements
provided
specified
I.
14. 1. arrangements
consistent
Protocol.
entered
movements
Volume 2226, A-30619
tentional transboundary movement. In such case, the Party shall, within thirty days, inform
any notifier that has previously notified movements of the living modified organism referred
to in such decision, as well as the Biosafety Clearing-House, and shall set out the reasons
for its decision.
2. A Party of export or a notifier may request the Party of import to review a decision
it has made in respect of it under Article IO where the Party of export or the notifier considers
that:
(a) A change in circumstances has occurred that may influence the outcome of the risk
assessment upon which the decision was based; or
(b) Additional relevant scientific or technical information has become available.
3. The Party of import shall respond in writing to such a request within ninety days and
set out the reasons for its decision.
4. The Party of import may, at its discretion, require a risk assessment for subsequent
imports.
Article I 3. Simplified procedure
I. A Party of import may, provided that adequate measures are applied to ensure the
safe intentional transboundary movement ofliving modified organisms in accordance with
the objective of this Protocol, specify in advance to the Biosafety Clearing-House:
(a) Cases in which intentional transboundary movement to it may take place at the
same time as the movement is notified to the Party of import; and
(b) Imports of living modified organisms to it to be exempted from the advance informed
agreement procedure.
Notifications under subparagraph (a) above, may apply to subsequent similar movements
to the same Party.
2. The information relating to an intentional transboundary movement that is to be provided
in the notifications referred to in paragraph 1 (a) above, shall be the information specified
in Annex I.
Article I 4. Bilateral, regional and multilateral agreements and arrangements
I. Parties may enter into bilateral, regional and multilateral agreements and arrangements
regarding intentional transboundary movements of living modified organisms, consistent
with the objective of this Protocol and provided that such agreements and
arrangements do not result in a lower level of protection than that provided for by the Protocol.
2. The Parties shall inform each other, through the Biosafety Clearing-House, of any
such bilateral, regional and multilateral agreements and arrangements that they have entered
into before or after the date of entry into force of this Protocol.
3. The provisions of this Protocol shall not affect intentional transboundary movements
that take place pursuant to such agreements and arrangements as between the parties
to those agreements or arrangements.
263
specific imports to and shall notify the Biosafety Clearing-House of its decision.
scientifically
III assessment Such risk assessments shall be based, at a minimum, on information
order
to and evaluate the adverse effects of living modified organisms on
to human health.
It transboundary prevent
territory
assessment
of observation that is commensurate with its life-cycle or generation
is put to its intended use.
living organisms
organisms
Volume 2226, A-30619
4. Any Party may determine that its domestic regulations shall apply with respect to
specific imports to it and shall notify the Biosafety Clearing-House of its decision.
Article 15. Risk assessment
1. Risk assessments undertaken pursuant to this Protocol shall be carried out in a scientifically
sound manner, in accordance with Annex 111 and taking into account recognized
risk assessment techniques. Such risk assessments shall be based, at a minimum, on information
provided in accordance with Article 8 and other available scientific evidence in order
to identify and evaluate the possible adverse effects of living modified organisms on
the conservation and sustainable use of biological diversity, taking also into account risks
to human health.
2. The Party of import shall ensure that risk assessments are carried out for decisions
taken under Article 10. It may require the exporter to carry out the risk assessment.
3. The cost of risk assessment shall be borne by the notifier if the Party of import so
requires.
Article 16. Risk management
1. The Parties shall, taking into account Article 8 (g) of the Convention, establish and
maintain appropriate mechanisms, measures and strategies to regulate, manage and control
risks identified in the risk assessment provisions of this Protocol associated with the use,
handling and trans boundary movement of living modified organisms.
2. Measures based on risk assessment shall be imposed to the extent necessary to prevent
adverse effects of the living modified organism on the conservation and sustainable
use of biological diversity, taking also into account risks to human health, within the territory
of the Party of import.
3. Each Party shall take appropriate measures to prevent unintentional transboundary
movements of living modified organisms, including such measures as requiring a risk assessment
to be carried out prior to the first release of a living modified organism.
4. Without prejudice to paragraph 2 above, each Party shall endeavour to ensure that
any living modified organism, whether imported or locally developed, has undergone an
appropriate period of observation that is commensurate with its life-cycle or generation
time before it is put to its intended use.
5. Parties shall cooperate with a view to:
(a) Identifying living modified organisms or specific traits of Jiving modified organisms
that may have adverse effects on the conservation and sustainable use of biological
diversity, taking also into account risks to human health; and
(b) Taking appropriate measures regarding the treatment of such living modified organisms
or specific traits.
264
1. organizations,
organism
2. Each characteristics
4. In order to minimize any sustainable
use of biological diversity, under paragraph
1 above, occurs, shall immediately consult the affected or potentially to enable them to determine appropriate necessary transport, packaging 1. In order to avoid adverse effects on biological
diversity, taking also into account risks to human health, each Party shall take necessary
measures to require that living modified organisms that are subject to intentional
transboundary movement within packaged transported under conditions of safety, taking into consideration relevant 2. Each Party shall take measures to require that documentation accompanying:
(a) Living modified organisms that are intended for processing, clearly identifies that they "may contain" living modified organisms and are intended for intentional introduction into the environment, as well as a contact point for further
Volume 2226, A-30619
Article 17. Unintentional transboundary movements and emergency measures
Each Party shall take appropriate measures to notify affected or potentially affected
States, the Biosafety Clearing-House and, where appropriate, relevant international organizations,
when it knows of an occurrence under its jurisdiction resulting in a release that
leads, or may lead, to an unintentional transboundary movement of a living modified organism
that is likely to have significant adverse effects on the conservation and sustainable
use of biological diversity, taking also into account risks to human health in such States.
The notification shall be provided as soon as the Party knows of the above situation.
Party shall, no later than the date of entry into force of this Protocol for it, make
available to the Biosafety Clearing-House the relevant details setting out its point of contact
for the purposes of receiving notifications under this Article.
3. Any notification arising from paragraph 1 above, should include:
(a) Available relevant information on the estimated quantities and relevant characteristics
and/or traits of the living modified organism;
(b) Information on the circumstances and estimated date of the release, and on the use
of the living modified organism in the originating Party;
(c) Any available information about the possible adverse effects on the conservation
and sustainable use of biological diversity, taking also into account risks to human health,
as well as available information about possible risk management measures;
(d) Any other relevant information; and
( e) A point of contact for further information.
ln significant adverse effects on the conservation and sustainable
taking also into account risks to human health, each Party,
whose jurisdiction the release of the living modified organism referred to in paragraph
affected States
responses and initiate action, including
emergency measures.
Article 18. Handling, and identification
ln the conservation and sustainable use of biological
necessary
the scope of this Protocol are handled, and
international rules
and standards.
direct use as food or feed, or for
may not
further
information.
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The Conference of the Parties serving as the meeting of the Parties to this Protocol
shall take a decision on the detailed requirements for this purpose, including specification
of their identity and any unique identification, no later than two years after the date of entry
into force of this Protocol;
(b) Living modified organisms that are destined for contained use clearly identifies
them as living modified organisms; and specifies any requirements for the safe handling,
storage, transport and use, the contact point for further information, including the name and
address of the individual and institution to whom the living modified organisms are consigned;
and
(c) Living modified organisms that are intended for intentional introduction into the
environment of the Party of import and any other living modified organisms within the
scope of the Protocol, clearly identifies them as living modified organisms; specifies the
identity and relevant traits and/or characteristics, any requirements for the safe handling,
storage, transport and use, the contact point for further information and, as appropriate, the
name and address of the importer and exporter; and contains a declaration that the movement
is in conformity with the requirements of this Protocol applicable to the exporter.
3. The Conference of the Parties serving as the meeting of the Parties to this Protocol
shall consider the need for and modalities of developing standards with regard to identification,
handling, packaging and transport practices, in consultation with other relevant international
bodies.
Article 19. Competent national authorities and national focal points
1. Each Party shall designate one national focal point to be responsible on its behalf for
liaison with the Secretariat. Each Party shall also designate one or more competent national
authorities, which shall be responsible for performing the administrative functions required
by this Protocol and which shall be authorized to act on its behalf with respect to those functions.
A Party may designate a single entity to fulfil the functions of both focal point and
competent national authority.
2. Each Party shall, no later than the date of entry into force of this Protocol for it, notify
the Secretariat of the names and addresses of its focal point and its competent national
authority or authorities. Where a Party designates more than one competent national authority,
it shall convey to the Secretariat, with its notification thereof, relevant information
on the respective responsibilities of those authorities. Where applicable, such information
shall, at a minimum, specify which competent authority is responsible for which type of living
modified organism.
Each Party shall forthwith notify the Secretariat of any changes in the designation of
its national focal point or in the name and address or responsibilities of its competent national
authority or authorities.
3. The Secretariat shall forthwith inform the Parties of the notifications it receives under
paragraph 2 above, and shall also make such information available through the Biosafety
Clearing-House.
Volume 2226, A-30619
The Conference of the Parties serving as the meeting of the Parties to this Protocol
shall take a decision on the detailed requirements for this purpose, including specification
of their identity and any unique identification, no later than two years after the date of entry
into force of this Protocol;
(b) Living modified organisms that are destined for contained use clearly identifies
them as living modified organisms; and specifies any requirements for the safe handling,
storage, transport and use, the contact point for further infonnation, including the name and
address of the individual and institution to whom the living modified organisms are consigned;
and
(c) Living modified organisms that are intended for intentional introduction into the
environment of the Party of import and any other living modified organisms within the
scope of the Protocol, clearly identifies them as living modified organisms; specifies the
identity and relevant traits and/or characteristics, any requirements for the safe handling,
storage, transport and use, the contact point for further infonnation and, as appropriate, the
name and address of the importer and exporter; and contains a declaration that the movement
is in confonnity with the requirements of this Protocol applicable to the exporter.
3. The Conference of the Parties serving as the meeting of the Parties to this Protocol
shall consider the need for and modalities of developing standards with regard to identification,
handling, packaging and transport practices, in consultation with other relevant international
bodies.
Article I 9. Competent national authorities and national focal points
I. Each Party shall designate one national focal point to be responsible on its behalf for
liaison with the Secretariat. Each Party shall also designate one or more competent national
authorities, which shall be responsible for performing the administrative functions required
by this Protocol and which shall be authorized to act on its behalf with respect to those functions.
A Party may designate a single entity to fulfil the functions of both focal point and
competent national authority.
2. Each Party shall, no later than the date of entry into force of this Protocol for it, notify
the Secretariat of the names and addresses of its focal point and its competent national
authority or authorities. Where a Party designates more than one competent national authority,
it shall convey to the Secretariat, with its notification thereof, relevant information
on the respective responsibilities of those authorities. Where applicable, such information
shall, at a minimum, specify which competent authority is responsible for which type of living
modified organism.
Each Party shall forthwith notify the Secretariat of any changes in the designation of
its national focal point or in the name and address or responsibilities of its competent national
authority or authorities.
3. The Secretariat shall forthwith inform the Parties of the notifications it receives under
paragraph 2 above, and shall also make such information available through the Biosafety
Clearing-House.
266
A -Article 20. Information sharing and the biosafety clearing-house
to:
information
of
States them, and countries with economies in transition as well as countries that are
information
available
Biosafety Clearing-House under this Protocol, and:
procedure;
and multilateral and reviews of living modified organisms
of living novel
of replicable biotechnology;
organisms;
the Conference of the Parties serving
thereafter.
informed
Justification
Volume 2226, A-30619
Article 20. Information sharing and the biosafety clearing-house
1. A Biosafety Clearing-House is hereby established as part of the clearing-house
mechanism under Article 18, paragraph 3, of the Convention, in order to:
(a) Facilitate the exchange of scientific, technical, environmental and legal information
on, and experience with, living modified organisms; and
(b) Assist Parties to implement the Protocol, taking into account the special needs of
developing country Parties, in particular the least developed and small island developing
States among them, and countries with economies in transition as well as countries that are
centres of origin and centres of genetic diversity.
2. The Biosafety Clearing-House shall serve as a means through which information is
made available for the purposes of paragraph 1 above. It shall provide access to information
made available by the Parties relevant to the implementation of the Protocol. It shall
also provide access, where possible, to other international biosafety information exchange
mechanisms.
3. Without prejudice to the protection of confidential information, each Party shall
make available to the Biosafety Clearing-House any information required to be made available
to the Biosafety Clearing-House under this Protocol, and:
(a) Any existing laws, regulations and guidelines for implementation of the Protocol,
as well as information required by the Parties for the advance informed agreement procedure;
(b) Any bilateral, regional and multilateral agreements and arrangements;
( c) Summaries of its risk assessments or environmental reviews of living modified organisms
generated by its regulatory process, and carried out in accordance with Article 15,
including, where appropriate, relevant information regarding products thereof, namely,
processed materials that are ofliving modified organism origin, containing detectable novel
combinations ofreplicable genetic material obtained through the use of modem biotechnology;
(d) Its final decisions regarding the importation or release of living modified organisms;
and
(e) Reports submitted by it pursuant to Article 33, including those on implementation
of the advance informed agreement procedure.
4. The modalities of the operation of the Biosafety Clearing-House, including reports
on its activities, shall be considered and decided upon by the Conference of the Parties serving
as the meeting of the Parties to this Protocol at its first meeting, and kept under review
thereafter.
Article 21. Confidential information
1. The Party of import shall permit the notifier to identify information submitted under
the procedures of this Protocol or required by the Party of import as part of the advance informed
agreement procedure of the Protocol that is to be treated as confidential. Justification
shall be given in such cases upon request.
267
A-disclosure,
opportunity
including
any confidential information agreement
domestically
respect
development disagree
building
1. The Parties shall cooperate development strengthening resources
it is required for biosafety, purpose implementation global, regional, subregional and national institutions and organizations and, as appropriate,
through facilitating private 2. For the purposes implementing paragraph cooperation, needs of developing country Parties, in particular the least developed and small island developing
States among them, for financial resources and access to technology
and know-how in accordance with the relevant provisions of taken fully into account for capacity-building in biosafety. Cooperation capacity-building
shall, subject to the different Party, include
biosafety, of technological and institutional capacities in biosafety. The needs of Parties econo-
Volume 2226, 4A-30619
2. The Party of import shall consult the notifier if it decides that information identified
by the notifier as confidential does not qualify for such treatment and shall, prior to any disclosure,
inform the notifier of its decision, providing reasons on request, as well as an opportunity
for consultation and for an internal review of the decision prior to disclosure.
3. Each Party shall protect confidential information received under this Protocol, including
received in the context of the advance informed agreement
procedure of the Protocol. Each Party shall ensure that it has procedures to protect
such information and shall protect the confidentiality of such information in a manner no
less favourable than its treatment of confidential information in connection with domestically
produced living modified organisms.
4. The Party of import shall not use such information for a commercial purpose, except
with the written consent of the notifier.
5. If a notifier withdraws or has withdrawn a notification, the Party of import shall respect
the confidentiality of commercial and industrial information, including research and
information as well as information on which the Party and the notifier disagree
as to its confidentiality.
6. Without prejudice to paragraph 5 above, the following information shall not be considered
confidential:
(a) The name and address of the notifier;
(b) A general description of the living modified organism or organisms;
(c) A summary of the risk assessment of the effects on the conservation and sustainable
use of biological diversity, taking also into account risks to human health; and
(d) Any methods and plans for emergency response.
Article 22. Capacity-building
I. in the and/or of human resources
and institutional capacities in biosafety, including biotechnology to the extent that
for the of the effective of this Protocol,
in developing country Parties, in particular the least developed and small island developing
States among them, and in Parties with economies in transition, including through existing
appropriate,
sector involvement.
of 1 above, in relation to eooperation, the
developing
and transfer of technology
the Convention, shall be
in building
situation, capabilities and requirements of each include
scientific and technical training in the proper and safe management of biotechnology,
and in the use of risk assessment and risk management for and the enhancement
with econo268
A-30619
biosafety.
1. conservation
health. In doing so, the Parties shall cooperate, appropriate, international
information
on living the public in the decision-making process regarding information
3. 24. parties
1. non-
Parties shall be consistent with bilateral, regional and multilateral regarding
transboundary appropriate information to the Biosafety Clearing-House released
in, or moved into or out of, jurisdictions.
Article Illegal 1. appropriate, penalizing transboundary movements of living in contravention of its domestic measures to implement shall illegal transboundary 2. In the case of an illegal transboundary movement, the affected Party may request the
Party of origin to dispose, at its own expense, of the living organism question
3. Each Party shall make available to the Biosafety Clearing-House concerning
cases of illegal transboundary Volume 2226, 4-30619
mies in transition shall also be taken fully into account for such capacity-building in biosafety.
Article 23. Public awareness and participation
I. The Parties shall:
(a) Promote and facilitate public awareness, education and participation concerning
the safe transfer, handling and use of living modified organisms in relation to the conservation
and sustainable use of biological diversity, taking also into account risks to human
as with other States and international
bodies;
(b) Endeavour to ensure that public awareness and education encompass access to information
modified organisms identified in accordance with this Protocol that
may be imported.
2. The Parties shall, in accordance with their respective laws and regulations, consult
living modified organisms and shall
make the results of such decisions available to the public, while respecting confidential information
in accordance with Article 21.
Each Party shall endeavour to inform its public about the means of public access to
the Biosafety Clearing-House.
Article Non-parties
I. Transboundary movements of living modified organisms between Parties and nonParties
the objective of this Protocol. The Parties may enter into
agreements and arrangements with non-Parties regarding
such movements.
2. The Parties shall encourage non-Parties to adhere to this Protocol and to contribute
on living modified organisms released
areas within their national 25. transboundary movements
I. Each Party shall adopt appropriate domestic measures aimed at preventing and, if
ofliving modified organisms carried out
this Protocol. Such movements
be deemed movements.
ofan modified in by repatriation or destruction, as appropriate.
information concerning
trans boundary movements pertaining to it.
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Article 26. Socio-economic considerations
1. The Parties, in reaching a decision on import under this Protocol or under its domestic
measures implementing the Protocol, may take into account, consistent with their international
obligations, socio-economic considerations arising from the impact of living
modified organisms on the conservation and sustainable use of biological diversity, especially
with regard to the value of biological diversity to indigenous and local communities.
2. The Parties are encouraged to cooperate on research and information exchange on
any socio-economic impacts of living modified organisms, especially on indigenous and
local communities.
Article 27. Liability and redress
The Conference of the Parties serving as the meeting of the Parties to this Protocol
shall, at its first meeting, adopt a process with respect to the appropriate elaboration of international
rules and procedures in the field of liability and redress for damage resulting
from transboundary movements of living modified organisms, analysing and taking due account
of the ongoing processes in international law on these matters, and shall endeavour
to complete this process within four years.
Article 28. Financial mechanism and resources
1. In considering financial resources for the implementation of this Protocol, the Parties
shall take into account the provisions of Article 20 of the Convention.
2. The financial mechanism established in Article 21 of the Convention shall, through
the institutional structure entrusted with its operation, be the financial mechanism for this
Protocol.
3. Regarding the capacity-building referred to in Article 22 of this Protocol, the Conference
of the Parties serving as the meeting of the Parties to this Protocol, in providing
guidance with respect to the financial mechanism referred to in paragraph 2 above, for consideration
by the Conference of the Parties, shall take into account the need for financial
resources by developing country Parties, in particular the least developed and the small island
developing States among them.
4. In the context of paragraph 1 above, the Parties shall also take into account the needs
of the developing country Parties, in particular the least developed and the small island developing
States among them, and of the Parties with economies in transition, in their efforts
to identify and implement their capacity-building requirements for the purposes of the implementation
of this Protocol.
5. The guidance to the financial mechanism of the Convention in relevant decisions of
the Conference of the Parties, including those agreed before the adoption of this Protocol,
shall apply, mutatis mutandis, to the provisions of this Article.
6. The developed country Parties may also provide, and the developing country Parties
and the Parties with economies in transition avail themselves of, financial and technologi-
Volume 2226, A-30619
Article 26. Socio-economic considerations
1. The Parties, in reaching a decision on import under this Protocol or under its domestic
measures implementing the Protocol, may take into account, consistent with their international
obligations, socio-economic considerations arising from the impact of living
modified organisms on the conservation and sustainable use of biological diversity, especially
with regard to the value of biological diversity to indigenous and local communities.
2. The Parties are encouraged to cooperate on research and information exchange on
any socio-economic impacts of living modified organisms, especially on indigenous and
local communities.
Article 27. Liability and redress
The Conference of the Parties serving as the meeting of the Parties to this Protocol
shall, at its first meeting, adopt a process with respect to the appropriate elaboration of international
rules and procedures in the field of liability and redress for damage resulting
from transboundary movements ofliving modified organisms, analysing and taking due account
of the ongoing processes in international law on these matters, and shall endeavour
to complete this process within four years.
Article 28. Financial mechanism and resources
1. In considering financial resources for the implementation of this Protocol, the Parties
shall take into account the provisions of Article 20 of the Convention.
2. The financial mechanism established in Article 21 of the Convention shall, through
the institutional structure entrusted with its operation, be the financial mechanism for this
Protocol.
3. Regarding the capacity-building referred to in Article 22 of this Protocol, the Conference
of the Parties serving as the meeting of the Parties to this Protocol, in providing
guidance with respect to the financial mechanism referred to in paragraph 2 above, for consideration
by the Conference of the Parties, shall take into account the need for financial
resources by developing country Parties, in particular the least developed and the small island
developing States among them.
4. In the context of paragraph I above, the Parties shall also take into account the needs
of the developing country Parties, in particular the least developed and the small island developing
States among them, and of the Parties with economies in transition, in their efforts
to identify and implement their capacity-building requirements for the purposes of the implementation
of this Protocol.
5. The guidance to the financial mechanism of the Convention in relevant decisions of
the Conference of the Parties, including those agreed before the adoption of this Protocol,
shall apply, mutatis mutandis, to the provisions of this Article.
6. The developed country Parties may also provide, and the developing country Parties
and the Parties with economies in transition avail themselves of, financial and technologi270
cal resources for the implementation of the provisions regional
1. Protocol.
observers
Protocol,
Convention of the shall keep under regular review the implementation its mandate, the decisions necessary to promote its effective implementation. It shall perform
appropriate, information
nongovernmental
( d) Establish the form and the intervals reports
(e) Consider and adopt, as required, amendments well implementation
(f) Protocol.
5. otherwise
6. The Parties
to this Protocol shall be convened by the Secretariat in conjunction with the first meeting
of the Conference of the Parties that is scheduled after the date of the entry into force
Volume 2226, A-30619
of this Protocol through bilateral, regional
and multilateral channels.
Article 29. Conference of the parties serving as the meeting of the parties to this protocol
l. The Conference of the Parties shall serve as the meeting of the Parties to this Protocol.
2. Parties to the Convention that are not Parties to this Protocol may participate as observers
in the proceedings of any meeting of the Conference of the Parties serving as the
meeting of the Parties to this Protocol. When the Conference of the Parties serves as the
meeting of the Parties to this Protocol, decisions under this Protocol shall be taken only by
those that are Parties to it.
3. When the Conference of the Parties serves as the meeting of the Parties to this Protocol,
any member of the bureau of the Conference of the Parties representing a Party to the
but, at that time, not a Party to this Protocol, shall be substituted by a member
to be elected by and from among the Parties to this Protocol.
4. The Conference of the Parties serving as the meeting ofthe Parties to this Protocol
of this Protocol and shall make, within
lt perform
the functions assigned to it by this Protocol and shall:
(a) Make recommendations on any matters necessary for the implementation of this
Protocol;
(b) Establish such subsidiary bodies as are deemed necessary for the implementation
of this Protocol;
(c) Seek and utilize, where the services and cooperation of, and mformation
provided by, competent international organizations and intergovernmental and nongovernmental
bodies;
for transmitting the information to be submitted
in accordance with Article 33 of this Protocol and consider such information as well as reports
submitted by any subsidiary body;
to this Protocol and its annexes, as
as any additional annexes to this Protocol, that are deemed necessary for the implementation
of this Protocol; and
Exercise such other functions as may be required for the implementation of this Protocol.
The rules of procedure of the Conference of the Parties and financial rules of the
Convention shall be applied, mutatis mutandis, under this Protocol, except as may be otherwise
decided by consensus by the Conference of the Parties serving as the meeting of the
Parties to this Protocol.
first meeting of the Conference of the Parties serving as the meeting of the Parties
meeting
of this Protocol.
271
serving
communicated
Convention,
international,
observer,
1. Any subsidiary may, observers
Under representing
substituted
Article 31. Secretariat
1. The Secretariat established by Article 24 of the Convention shall serve as the secretariat
paragraph 1, 3. To the extent that they are distinct, the costs of the secretariat services for this Protocol
Volume 2226, A-30619
Subsequent ordinary meetings of the Conference of the Parties serving as the meeting
of the Parties to this Protocol shall be held in conjunction with ordinary meetings of the
Conference of the Parties, unless otherwise decided by the Conference of the Parties serving
as the meeting of the Parties to this Protocol.
7. Extraordinary meetings of the Conference of the Parties serving as the meeting of
the Parties to this Protocol shall be held at such other times as may be deemed necessary by
the Conference of the Parties serving as the meeting of the Parties to this Protocol, or at the
written request of any Party, provided that, within six months of the request being communicated
to the Parties by the Secretariat, it is supported by at least one third of the Parties.
8. The United Nations, its specialized agencies and the International Atomic Energy
Agency, as well as any State member thereof or observers thereto not party to the Convention,
may be represented as observers at meetings of the Conference of the Parties serving
as the meeting of the Parties to this Protocol. Any body or agency, whether national or international,
governmental or non-governmental, that is qualified in matters covered by this
Protocol and that has informed the Secretariat of its wish to be represented at a meeting of
the Conference of the Parties serving as a meeting of the Parties to this Protocol as an observer,
may be so admitted, unless at least one third of the Parties present object. Except
as otherwise provided in this Article, the admission and participation of observers shall be
subject to the rules of procedure, as referred to in paragraph 5 above.
Article 30. Subsidiary bodies
I. body established by or under the Convention upon a decision
by the Conference of the Parties serving as the meeting of the Parties to this Protocol, serve
the Protocol, in which case the meeting of the Parties shall specify which functions that
body shall exercise.
2. Parties to the Convention that are not Parties to this Protocol may participate as observers
in the proceedings of any meeting of any such subsidiary bodies. When a subsidiary
body of the Convention serves as a subsidiary body to this Protocol, decisions tinder the
Protocol shall be taken only by the Parties to the Protocol.
3. When a subsidiary body of the Convention exercises its functions with regard to
matters concerning this Protocol, any member of the bureau of that subsidiary body representing
a Party to the Convention but, at that time, not a Party to the Protocol, shall be substituted
by a member to be elected by and from among the Parties to the Protocol.
I. secretariat
to this Protocol.
2. Article 24, I, of the Convention on the functions of the Secretariat shall
apply, mutatis mutandis, to this Protocol.
Protocol
shall be met by the Parties hereto. The Conference of the Parties serving as the meet-
272
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relating
Each implementation shall, of Article 34. Compliance
mechanisms to promote compliance provisions cases
These procedures and mechanisms assistance,
appropriate. settlement procedures and The Conference of the Parties serving as the meeting shall undertake, five years after 37. 1. the fiftieth instrument of ratification, acceptance, approval or accession by States or regional
economic integration organizations 2. This Protocol shall enter into organization
that ratifies, accepts or approves this Volume 2226, A-30619
ing of the Parties to this Protocol shall, at its first meeting, decide on the necessary
budgetary arrangements to this end.
Article 32. Relationship with the convention
Except as otherwise provided in this Protocol, the provisions of the Convention relating
to its protocols shall apply to this Protocol.
Article 33. Monitoring and reporting
Party shall monitor the of its obligations under this Protocol, and
at intervals to be determined by the Conference of the Parties serving as the meeting
the Parties to this Protocol, report to the Conference of the Parties serving as the meeting
of the Parties to this Protocol on measures that it has taken to implement the Protocol.
The Conference of the Parties serving as the meeting of the Parties to this Protocol
shall, at its first meeting, consider and approve cooperative procedures and institutional
with the of this Protocol and to address cases
of non-compliance.
shall include provisions to offer advice or assistance,
where They shall be separate from, and without prejudice to, the dispute
mechanisms established by Article 27 of the Convention.
Article 35. Assessment and review
of the Parties to this Protocol
the entry into force of this Protocol and at least every five
years thereafter, an evaluation of the effectiveness of the Protocol, including an assessment
of its procedures and annexes.
Article 36. Signature
This Protocol shall be open for signature at the United Nations Office at Nairobi by
States and regional economic integration organizations from 15 to 26 May 2000, and at
United Nations Headquarters in New York from 5 June 2000 to 4 June 2001.
Article 3 7. Entry into force
I. This Protocol shall enter into force on the ninetieth day after the date of deposit of
ofratification, regional
that are Parties to the Convention.
force for a State or regional economic integration organization
Protocol or accedes thereto after its entry
273
2226. 1 1 regional
Article 38. Reservations
Article 39. Withdrawal
original English, authentic, Volume 2226, A-30619
into force pursuant to paragraph I above, on the ninetieth day after the date on which that
State or regional economic integration organization deposits its instrument of ratification,
acceptance, approval or accession, or on the date on which the Convention enters into force
for that State or regional economic integration organization, whichever shall be the later.
3. For the purposes of paragraphs I and 2 above, any instrument deposited by a regional
economic integration organization shall not be counted as additional to those deposited
by member States of such organization.
No reservations may be made to this Protocol.
1. At any time after two years from the date on which this Protocol has entered into
force for a Party, that Party may withdraw from the Protocol by giving written notification
to the Depositary.
2. Any such withdrawal shall take place upon expiry of one year after the date of its
receipt by the Depositary, or on such later date as may be specified in the notification of the
withdrawal.
Article 40. Authentic texts
The of this Protocol, of which the Arabic, Chinese, French, Russian
and Spanish texts are equally authentie, shall be deposited with the Secretary-General of
the United Nations.
In witness whereof the undersigned, being duly authorized to that effect, have signed
this Protocol.
Done at Montreal on this twenty-ninth day of January, two thousand.
274
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ANNEX I
INFORMATION REQUIRED IN NOTIFICATIONS UNDER ARTICLES 8, 10 AND 13
(a) Name, address and contact details of the exporter.
(b) Name, address and contact details of the importer.
(c) Name and identity of the living modified organism, as well as the domestic classification,
if any, of the biosafety level of the living modified organism in the State of export.
(d) Intended date or dates of the transboundary movement, if known.
(e) Taxonomic status, common name, point of collection or acquisition, and characteristics
of recipient organism or parental organisms related to biosafety.
(f) Centres of origin and centres of genetic diversity, if known, of the recipient organism
and/or the parental organisms a description of habitats where the organisms
may persist or proliferate.
status, common point of collection or and characteristics
of the donor organism related to biosafety.
(h) Description of the nucleic acid or the modification introduced, the used,
and the resulting characteristics of the living modified organism.
Intended the living modified organism products thereof, processed
materials that are of living modified detectable combinations of replicable genetic material obtained use of modem biotechnology.
(j) Quantity or volume of the living modified to be transferred.
and risk III.
1) methods transport including packaging,
labelling, documentation, disposal and contingency (in) export (example, whether it is prohibited in or whether it has been approved for banned in the State of export, the reason or reasons for modified (o) A declaration that the above-mentioned Volume 2226, A-30619
ANNEX I
INFORMATION REQUIRED IN NOTIFICATIONS UNDER ARTICLES 8, 10 AND 13
(a) Name, address and contact details of the exporter.
(b) Name, address and contact details of the importer.
(c) Name and identity of the living modified organism, as well as the domestic classification,
if any, of the biosafety level of the living modified organism in the State of export.
(d) Intended date or dates of the transboundary movement, if known.
( e) Taxonomic status, common name, point of collection or acquisition, and characteristics
of recipient organism or parental organisms related to biosafety.
(f) Centres oforigin and centres of genetic diversity, if known, of the recipient organism
and/or the parental organisms and a description of the habitats where the organisms
may persist or proliferate.
(g) Taxonomic status, common name, point of collection or acquisition, and characteristics
of the donor organism or organisms related to biosafety.
(h) Description of the nucleic acid or the modification introduced, the technique used,
and the resulting characteristics of the living modified organism.
(i) Intended use of the living modified organism or products thereof, namely, processed
materials that are of living modified organism origin, containing detectable novel
combinations ofreplicable genetic material obtained through the use of modern biotechnology.
(j) Quantity or volume of the living modified organism to be transferred.
(k) A previous and existing risk assessment report consistent with Annex III.
(I) Suggested methods for the safe handling, storage, transport and use, including packaging,
labelling, documentation, disposal and contingency procedures, where appropriate.
(m) Regulatory status of the living modified organism within the State of export (for
example, whether it is prohibited in the State of export, whether there are other restrictions,
or whether it has been approved for general release) and, if the living modified organism is
banned in the State of export, the reason or reasons for the ban.
(n) Result and purpose of any notification by the exporter to other States regarding the
living modified organism to be transferred.
(0) A declaration that the above-mentioned information is factually correct.
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ANNEX II
INFORMATION REQUIRED CONCERNING LIVING MODIFIED ORGANISMS INTENDED FOR DIRECT
USE AS FOOD OR FEED, OR FOR PROCESSING UNDER ARTICLE 11
(a) The name and contact details of the applicant for a decision for domestic use.
(b) The name and contact details of the authority responsible for the decision.
(c) Name and identity of the living modified organism.
(d) Description of the gene modification, the technique used, and the resulting characteristics
of the living modified organism.
(e) Any unique identification of the living modified organism.
(f) Taxonomic status, common name, point of collection or acquisition, and characteristics
of recipient organism or parental organisms related to biosafety.
(g) Centres of origin and centres of genetic diversity, if known, of the recipient organism
and/or the parental organisms and a description of the habitats where the organisms
may persist or proliferate.
(h) Taxonomic status, common name, point of collection or acquisition, and characteristics
of the donor organism or organisms related to biosafety.
(i) Approved uses of the living modified organism.
(0) A risk assessment report consistent with Annex III.
(k) Suggested methods for the safe handling, storage, transport and use, including
packaging, labelling, documentation, disposal and contingency procedures, where appropriate.
Volume 2226, A-30619
ANNEX II
INFORMATION REQUIRED CONCERNING LIVING MODIFIED ORGANISMS INTENDED FOR DIRECT
USE AS FOOD OR FEED, OR FOR PROCESSING UNDER ARTICLE JI
(a) The name and contact details of the applicant for a decision for domestic use.
(b) The name and contact details of the authority responsible for the decision.
(c) Name and identity of the living modified organism.
(d) Description of the gene modification, the technique used, and the resulting characteristics
of the living modified organism.
(e) Any unique identification of the living modified organism.
(f) Taxonomic status, common name, point of collection or acquisition, and characteristics
of recipient organism or parental organisms related to biosafety.
(g) Centres of origin and centres of genetic diversity, if known, of the recipient organism
and/or the parental organisms and a description of the habitats where the organisms
may persist or proliferate.
(h) Taxonomic status, common name, point of collection or acquisition, and characteristics
of the donor organism or organisms related to biosafety.
(i) Approved uses of the living modified organism.
() A risk assessment report consistent with Annex III.
(k) Suggested methods for the safe handling, storage, transport and use, including
packaging, labelling, documentation, disposal and contingency procedures, where appropriate.
276
Volume 2226, A-ANNEX RISK Objective
1. of living use of account
decisions
General manner,
international
interpreted
processed
origin, modem biotechnology,
information
environment.
requested during the assessment
relevant
genotypic phenotypic biological receiving taking also into account risks to human health;
Volume 2226, 4-30619
ANNEX III
RISK ASSESSMENT
Objective
I. The objective of risk assessment, under this Protocol, is to identify and evaluate the
potential adverse effects ofliving modified organisms on the conservation and sustainable
use of biological diversity in the likely potential receiving environment, taking also into account
risks to human health.
Use of risk assessment
2. Risk assessment is, inter alia, used by competent authorities to make informed decisions
regarding living modified organisms.
General principles
3. Risk assessment should be carried out in a scientifically sound and transparent manner,
and can take into account expert advice of, and guidelines developed by, relevant international
organizations.
4. Lack of scientific knowledge or scientific consensus should not necessarily be interpreted
as indicating a particular level of risk, an absence of risk, or an acceptable risk.
5. Risks associated with living modified organisms or products thereof, namely, proeessed
materials that are of living modified organism containing detectable novel
combinations ofreplicable genetic material obtained through the use of modern biotechnology,
should be considered in the context of the risks posed by the non-modified recipients
or parental organisms in the likely potential receiving environment.
6. Risk assessment should be carried out on a case-by-case basis. The required information
may vary in nature and level of detail from case to case, depending on the living
modified organism concerned, its intended use and the likely potential receiving environment.
Methodology
7. The process of risk assessment may on the one hand give rise to a need for further
information about specific subjects, which may be identified and assessment
process, while on the other hand information on other subjects may not be relevant
in some instances.
8. To fulfil its objective, risk assessment entails, as appropriate, the following steps:
(a) An identification of any novel and characteristics associated
with the living modified organism that may have adverse effects on diversity in
the likely potential environment, 277
Volume 2226, A-30619
(b) An evaluation of the likelihood of these adverse effects being realized, taking into
account the level and kind of exposure of the likely potential receiving environment to the
living modified organism;
(c) An evaluation of the consequences should these adverse effects be realized;
(d) An estimation of the overall risk posed by the living modified organism based on
the evaluation of the likelihood and consequences of the identified adverse effects being
realized;
(e) A recommendation as to whether or not the risks are acceptable or manageable, including,
where necessary, identification of strategies to manage these risks; and
(f) Where there is uncertainty regarding the level of risk, it may be addressed by requesting
further information on the specific issues of concern or by implementing appropriate
risk management strategies and/or monitoring the living modified organism in the
receiving environment.
Points to consider
9. Depending on the case, risk assessment takes into account the relevant technical and
scientific details regarding the characteristics of the following subjects:
(a) Recipient organism or parental organisms. The biological characteristics of the recipient
organism or parental organisms, including information on taxonomic status, common
name, origin, centres of origin and centres of genetic diversity, if known, and a
description of the habitat where the organisms may persist or proliferate;
(b) Donor organism or organisms. Taxonomic status and common name, source, and
the relevant biological characteristics of the donor organisms;
(c) Vector. Characteristics of the vector, including its identity, if any, and its source or
origin, and its host range;
(d) Insert or inserts and/or characteristics of modification. Genetic characteristics of
the inserted nucleic acid and the function it specifies, and/or characteristics of the modification
introduced;
(e) Living modified organism. Identity of the living modified organism, and the differences
between the biological characteristics of the living modified organism and those
of the recipient organism or parental organisms;
(f) Detection and identification of the living modified organism. Suggested detection
and identification methods and their specificity, sensitivity and reliability;
(g) Information relating to the intended use. Information relating to the intended use
of the living modified organism, including new or changed use compared to the recipient
organism or parental organisms; and
(h) Receiving environment. Information on the location, geographical, climatic and
ecological characteristics, including relevant information on biological diversity and centres
of origin of the likely potential receiving environment.
Volume 2226, A-30619
(b) An evaluation of the likelihood of these adverse effects being realized, taking into
account the level and kind of exposure of the I ikely potential receiving environment to the
living modified organism;
(c) An evaluation of the consequences should these adverse effects be realized;
(d) An estimation of the overall risk posed by the living modified organism based on
the evaluation of the likelihood and consequences of the identified adverse effects being
realized;
(e) A recommendation as to whether or not the risks are acceptable or manageable, including,
where necessary, identification of strategies to manage these risks; and
(f) Where there is uncertainty regarding the level of risk, it may be addressed by requesting
further information on the specific issues of concern or by implementing appropriate
risk management strategies and/or monitoring the living modified organism in the
receiving environment.
Points to consider
9. Depending on the case, risk assessment takes into account the relevant technical and
scientific details regarding the characteristics of the following subjects:
(a) Recipient organism or parental organisms. The biological characteristics of the recipient
organism or parental organisms, including information on taxonomic status, common
name, origin, centres of origin and centres of genetic diversity, if known, and a
description of the habitat where the organisms may persist or proliferate;
(b) Donor organism or organisms. Taxonomic status and common name, source, and
the relevant biological characteristics of the donor organisms;
(c) Vector. Characteristics of the vector, including its identity, if any, and its source or
origin, and its host range;
( d) Insert or inserts and/or characteristics of modification. Genetic characteristics of
the inserted nucleic acid and the function it specifies, and/or characteristics of the modification
introduced;
( e) Living modified organism. Identity of the living modified organism, and the differences
between the biological characteristics of the living modified organism and those
of the recipient organism or parental organisms;
(f) Detection and identification of the living modified organism. Suggested detection
and identification methods and their specificity, sensitivity and reliability;
(g) Information relating to the intended use. Information relating to the intended use
of the living modified organism, including new or changed use compared to the recipient
organism or parental organisms; and
(h) Receiving environment. Information on the location, geographical, climatic and
ecological characteristics, including relevant information on biological diversity and centres
of origin of the likely potential receiving environment.
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3
No. 30619. Multilateral No 30619. Multilatéral
CONVENTION ON BIOLOGICAL
DIVERSITY. RIO DE JANEIRO, 5 JUNE
1992 [United Nations, Treaty Series, vol. 1760,
I-30619.]
CONVENTION SUR LA DIVERSITÉ
BIOLOGIQUE. RIO DE JANEIRO, 5 JUIN
1992 [Nations Unies, Recueil des Traités, vol.
1760, I-30619.]
NAGOYA PROTOCOL ON ACCESS TO GENETIC
RESOURCES AND THE FAIR AND EQUITABLE
SHARING OF BENEFITS ARISING FROM
THEIR UTILIZATION TO THE CONVENTION
ON BIOLOGICAL DIVERSITY. NAGOYA,
29 OCTOBER 2010
PROTOCOLE DE NAGOYA SUR L’ACCÈS AUX
RESSOURCES GÉNÉTIQUES ET LE PARTAGE
JUSTE ET ÉQUITABLE DES AVANTAGES
DÉCOULANT DE LEUR UTILISATION RELATIF
À LA CONVENTION SUR LA DIVERSITÉ
BIOLOGIQUE. NAGOYA, 29 OCTOBRE 2010
Entry into force: 12 October 2014, in
accordance with article 33
Entrée en vigueur : 12 octobre 2014,
conformément à l'article 33
Authentic texts: Arabic, Chinese, English,
French, Russian and Spanish
Textes authentiques : arabe, chinois, anglais,
français, russe et espagnol
Registration with the Secretariat of the
United Nations: ex officio, 12 October 2014
Enregistrement auprès du Secrétariat de
l'Organisation des Nations Unies : d'office,
12 octobre 2014
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[ ENGLISH TEXT – TEXTE ANGLAIS ]
PROTOCOL AMENDING THE AGREEMENT ON GOVERNMENT PROCUREMENT
The Parties to the Agreement on Government Procurement, done at Marrakesh on
15 April 1994, (hereinafter referred to as "the 1994 Agreement"),
Having undertaken further negotiations pursuant to Article XXIV:7(b) and (c) of the
1994 Agreement;
Hereby agree as follows:
1. The Preamble, Articles I through XXIV, and Appendices to the 1994 Agreement shall be
deleted and replaced by the provisions as set forth in the Annex hereto.
2. This Protocol shall be open for acceptance by the Parties to the 1994 Agreement.
3. This Protocol shall enter into force for those Parties to the 1994 Agreement that have
deposited their respective instruments of acceptance of this Protocol, on the 30" day following such
deposit by two thirds of the Parties to the 1994 Agreement. Thereafter this Protocol shall enter into
force for each Party to the 1994 Agreement which has deposited its instrument of acceptance of this
Protocol, on the 30" day following the date of such deposit.
4. This Protocol shall be deposited with the Director-General of the WTO, who shall promptly
furnish to each Party to the 1994 Agreement a certified true copy of this Protocol, and a notification of
each acceptance thereof.
5. This Protocol shall be registered in accordance with the provisions of Article 102 of the
Charter of the United Nations.
Done at Geneva this 30th day of March two thousand and twelve in a single copy, in the
English, French and Spanish languages, each text being authentic, except as otherwise specified with
respect to the Appendices hereto.
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ANNEX TO THE PROTOCOL AMENDING THE
AGREEMENT ON GOVERNMENT PROCUREMENT
Preamble
The Parties to this Agreement (hereinafter referred to as "the Parties"),
Recognizing the need for an effective multilateral framework for government procurement,
with a view to achieving greater liberalization and expansion of, and improving the framework for,
the conduct of international trade;
Recognizing that measures regarding government procurement should not be prepared,
adopted or applied so as to afford protection to domestic suppliers, goods or services, or to
discriminate among foreign suppliers, goods or services;
Recognizing that the integrity and predictability of government procurement systems are
integral to the efficient and effective management of public resources, the performance of the Parties'
economies and the functioning of the multilateral trading system;
Recognizing that the procedural commitments under this Agreement should be sufficiently
flexible to accommodate the specific circumstances of each Party;
Recognizing the need to take into account the development, financial and trade needs of
developing countries, in particular the least developed countries;
Recognizing the importance of transparent measures regarding government procurement, of
carrying out procurements in a transparent and impartial manner and of avoiding conflicts of interest
and corrupt practices, in accordance with applicable international instruments, such as the United
Nations Convention Against Corruption;
Recognizing the importance of using, and encouraging the use of, electronic means for
procurement covered by this Agreement;
Desiring to encourage acceptance of and accession to this Agreement by WTO Members not
party to it;
Hereby agree as follows:
Article I Definitions
For purposes of this Agreement:
(a) commercial goods or services means goods or services of a type generally sold or
offered for sale in the commercial marketplace to, and customarily purchased by,
non-governmental buyers for non-governmental purposes;
(b) Committee means the Committee on Government Procurement established by
Article XXI:l;
(c) construction service means a service that has as its objective the realization by
whatever means of civil or building works, based on Division 51 of the United
Nations Provisional Central Product Classification (CPC);
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(d) country includes any separate customs territory that is a Party to this Agreement. In
the case of a separate customs territory that is a Party to this Agreement, where an
expression in this Agreement is qualified by the term "national", such expression shall
be read as pertaining to that customs territory, unless otherwise specified;
(e) days means calendar days;
(f) electronic auction means an iterative process that involves the use of electronic
means for the presentation by suppliers of either new prices, or new values for
quantifiable non-price elements of the tender related to the evaluation criteria, or both,
resulting in a ranking or re-ranking of tenders;
(g) in writing or written means any worded or numbered expression that can be read,
reproduced and later communicated. It may include electronically transmitted and
stored information;
(h) limited tendering means a procurement method whereby the procuring entity
contacts a supplier or suppliers of its choice;
(i) measure means any law, regulation, procedure, administrative guidance or practice,
or any action of a procuring entity relating to a covered procurement;
(j) multi-use list means a list of suppliers that a procuring entity has determined satisfy
the conditions for participation in that list, and that the procuring entity intends to use
more than once;
(k) notice of intended procurement means a notice published by a procuring entity
inviting interested suppliers to submit a request for participation, a tender, or both;
(l) offset means any condition or undertaking that encourages local development or
improves a Party's balance-of-payments accounts, such as the use of domestic
content, the licensing of technology, investment, counter-trade and similar action or
requirement;
(m) open tendering means a procurement method whereby all interested suppliers may
submit a tender;
(n) person means a natural person or a juridical person;
(o) procuring entity means an entity covered under a Party's Annex l, 2 or 3 to
Appendix I;
(p) qualified supplier means a supplier that a procuring entity recognizes as having
satisfied the conditions for participation;
(q) selective tendering means a procurement method whereby only qualified suppliers
are invited by the procuring entity to submit a tender;
(r) services includes construction services, unless otherwise specified;
(s) standard means a document approved by a recognized body that provides for
common and repeated use, rules, guidelines or characteristics for goods or services, or
related processes and production methods, with which compliance is not mandatory.
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It may also include or deal exclusively with terminology, symbols, packaging,
marking or labelling requirements as they apply to a good, service, process or
production method;
(t) supplier means a person or group of persons that provides or could provide goods or
services; and
(u) technical specification means a tendering requirement that:
(i) lays down the characteristics of goods or services to be procured, including
quality, performance, safety and dimensions, or the processes and methods for
their production or provision; or
Article II
(ii) addresses terminology, symbols, packaging, marking or labelling
requirements, as they apply to a good or service.
Scope and Coverage
Application of Agreement
1. This Agreement applies to any measure regarding covered procurement, whether or not it is
conducted exclusively or partially by electronic means.
2. For the purposes of this Agreement, covered procurement means procurement for
governmental purposes:
(a) of goods, services, or any combination thereof:
(i) as specified in each Party's annexes to Appendix I; and
(ii) not procured with a view to commercial sale or resale, or for use in the
production or supply of goods or services for commercial sale or resale;
(b) by any contractual means, including: purchase; lease; and rental or hire purchase,
with or without an option to buy;
(c) for which the value, as estimated in accordance with paragraphs 6 through 8, equals
or exceeds the relevant threshold specified in a Party's annexes to Appendix I, at the
time of publication of a notice in accordance with Article VII;
(d) by a procuring entity; and
(e) that is not otherwise excluded from coverage in paragraph 3 or a Party's annexes to
Appendix I.
3. Except where provided otherwise in a Party's annexes to Appendix I, this Agreement does not
apply to:
(a) the acquisition or rental of land, existing buildings or other immovable property or the
rights thereon;
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(b) non-contractual agreements or any form of assistance that a Party provides, including
cooperative agreements, grants, loans, equity infusions, guarantees and fiscal
incentives;
(c) the procurement or acquisition of fiscal agency or depository services, liquidation and
management services for regulated financial institutions or services related to the
sale, redemption and distribution of public debt, including loans and government
bonds, notes and other securities;
(d) public employment contracts;
(e) procurement conducted:
(i) for the specific purpose of providing international assistance, including
development aid;
(ii) under the particular procedure or condition of an international agreement
relating to the stationing of troops or relating to the joint implementation by
the signatory countries of a project; or
(iii) under the particular procedure or condition of an international organization,
or funded by international grants, loans or other assistance where the
applicable procedure or condition would be inconsistent with this Agreement.
4. Each Party shall specify the following information in its annexes to Appendix I:
(a) in Annex 1, the central government entities whose procurement is covered by this
Agreement;
(b) in Annex 2, the sub-central government entities whose procurement is covered by this
Agreement;
(c) in Annex 3, all other entities whose procurement is covered by this Agreement;
(d) in Annex 4, the goods covered by this Agreement;
(e) in Annex 5, the services, other than construction services, covered by this Agreement;
(f) in Annex 6, the construction services covered by this Agreement; and
(g) in Annex 7, any General Notes.
5. Where a procuring entity, in the context of covered procurement, requires persons not covered
under a Party's annexes to Appendix I to procure in accordance with particular requirements,
Article IV shall apply mutatis mutandis to such requirements.
Valuation
6. In estimating the value of a procurement for the purpose of ascertaining whether it is a
covered procurement, a procuring entity shall:
(a) neither divide a procurement into separate procurements nor select or use a particular
valuation method for estimating the value of a procurement with the intention of
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totally or partially excluding it from the application of this Agreement; and
(b) include the estimated maximum total value of the procurement over its entire
duration, whether awarded to one or more suppliers, taking into account all forms of
remuneration, including:
(i) premiums, fees, commissions and interest; and
(ii) where the procurement provides for the possibility of options, the total value
of such options.
7. Where an individual requirement for a procurement results in the award of more than one
contract, or in the award of contracts in separate parts (hereinafter referred to as "recurring
contracts"), the calculation of the estimated maximum total value shall be based on:
(a) the value of recurring contracts of the same type of good or service awarded during
the preceding 12 months or the procuring entity's preceding fiscal year, adjusted,
where possible, to take into account anticipated changes in the quantity or value of
the good or service being procured over the following 12 months; or
(b) the estimated value of recurring contracts of the same type of good or service to be
awarded during the 12 months following the initial contract award or the procuring
entity's fiscal year.
8. In the case of procurement by lease, rental or hire purchase of goods or services, or
procurement for which a total price is not specified, the basis for valuation shall be:
(a) in the case of a fixed-term contract:
(i) where the term of the contract is 12 months or less, the total estimated
maximum value for its duration; or
(b)
(c)
Article III
(ii) where the term of the contract exceeds 12 months, the total estimated
maximum value, including any estimated residual value;
where the contract is for an indefinite period, the estimated monthly instalment
multiplied by 48; and
where it is not certain whether the contract 1s to be a fixed-term contract,
subparagraph (b) shall be used.
Security and General Exceptions
1. Nothing in this Agreement shall be construed to prevent any Party from taking any action or
not disclosing any information that it considers necessary for the protection of its essential security
interests relating to the procurement of arms, ammunition or war materials, or to procurement
indispensable for national security or for national defence purposes.
2. Subject to the requirement that such measures are not applied in a manner that would
constitute a means of arbitrary or unjustifiable discrimination between Parties where the same
conditions prevail or a disguised restriction on international trade, nothing in this Agreement shall be
construed to prevent any Party from imposing or enforcing measures:
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(a)
(b)
(c)
(d)
Article IV
necessary to protect public morals, order or safety;
necessary to protect human, animal or plant life or health;
necessary to protect intellectual property; or
relating to goods or services of persons with disabilities, philanthropic institutions or
prison labour.
General Principles
Non-Discrimination
1. With respect to any measure regarding covered procurement, each Party, including its
procuring entities, shall accord immediately and unconditionally to the goods and services of any
other Party and to the suppliers of any other Party offering the goods or services of any Party,
treatment no less favourable than the treatment the Party, including its procuring entities, accords to:
(a) domestic goods, services and suppliers; and
(b) goods, services and suppliers of any other Party.
2. With respect to any measure regarding covered procurement, a Party, including its procuring
entities, shall not:
(a) treat a locally established supplier less favourably than another locally established
supplier on the basis of the degree of foreign affiliation or ownership; or
(b) discriminate against a locally established supplier on the basis that the goods or
services offered by that supplier for a particular procurement are goods or services of
any other Party.
Use of Electronic Means
3. When conducting covered procurement by electronic means, a procuring entity shall:
(a) ensure that the procurement is conducted using information technology systems and
software, including those related to authentication and encryption of information, that
are generally available and interoperable with other generally available information
technology systems and software; and
(b) maintain mechanisms that ensure the integrity of requests for participation and
tenders, including establishment of the time of receipt and the prevention of
inappropriate access.
Conduct of Procurement
4. A procuring entity shall conduct covered procurement in a transparent and impartial manner
that:
(a) is consistent with this Agreement, using methods such as open tendering, selective
tendering and limited tendering;
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(b) avoids conflicts of interest; and
( c) prevents corrupt practices.
Rules of Origin
5. For purposes of covered procurement, a Party shall not apply rules of origin to goods or
services imported from or supplied from another Party that are different from the rules of origin the
Party applies at the same time in the normal course of trade to imports or supplies of the same goods
or services from the same Party.
Offsets
6. With regard to covered procurement, a Party, including its procuring entities, shall not seek,
take account of, impose or enforce any offset.
Measures Not Specific to Procurement
7. Paragraphs 1 and 2 shall not apply to: customs duties and charges of any kind imposed on, or
in connection with, importation; the method of levying such duties and charges; other import
regulations or formalities and measures affecting trade in services other than measures governing
covered procurement.
Article V Developing Countries
1. In negotiations on accession to, and in the implementation and administration of, this
Agreement, the Parties shall give special consideration to the development, financial and trade needs
and circumstances of developing countries and least developed countries (collectively referred to
hereinafter as "developing countries", unless specifically identified otherwise), recognizing that these
may differ significantly from country to country. As provided for in this Article and on request, the
Parties shall accord special and differential treatment to:
(a) least developed countries; and
(b) any other developing country, where and to the extent that this special and differential
treatment meets its development needs.
2. Upon accession by a developing country to this Agreement, each Party shall provide
immediately to the goods, services and suppliers of that country the most favourable coverage that the
Party provides under its annexes to Appendix I to any other Party to this Agreement, subject to any
terms negotiated between the Party and the developing country in order to maintain an appropriate
balance of opportunities under this Agreement.
3. Based on its development needs, and with the agreement of the Parties, a developing country
may adopt or maintain one or more of the following transitional measures, during a transition period
and in accordance with a schedule, set out in its relevant annexes to Appendix I, and applied in a
manner that does not discriminate among the other Parties:
(a) a price preference programme, provided that the programme:
(i) provides a preference only for the part of the tender incorporating goods or
services originating in the developing country applying the preference or
goods or services originating in other developing countries in respect of
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which the developing country applying the preference has an obligation to
provide national treatment under a preferential agreement, provided that
where the other developing country is a Party to this Agreement, such
treatment would be subject to any conditions set by the Committee; and
(ii) is transparent, and the preference and its application in the procurement are
clearly described in the notice of intended procurement;
(b) an offset, provided that any requirement for, or consideration of, the imposition of the
offset is clearly stated in the notice of intended procurement;
( c) the phased-in addition of specific entities or sectors; and
(d) a threshold that is higher than its permanent threshold.
4. In negotiations on accession to this Agreement, the Parties may agree to the delayed
application of any specific obligation in this Agreement, other than Article IV: 1 (b), by the acceding
developing country while that country implements the obligation. The implementation period shall
be:
(a) for a least developed country, five years after its accession to this Agreement; and
(b) for any other developing country, only the period necessary to implement the specific
obligation and not to exceed three years.
5. Any developing country that has negotiated an implementation period for an obligation under
paragraph 4 shall list in its Annex 7 to Appendix I the agreed implementation period, the specific
obligation subject to the implementation period and any interim obligation with which it has agreed to
comply during the implementation period.
6. After this Agreement has entered into force for a developing country, the Committee,
on request of the developing country, may:
(a) extend the transition period for a measure adopted or maintained under paragraph 3 or
any implementation period negotiated under paragraph 4; or
(b) approve the adoption of a new transitional measure under paragraph 3, in special
circumstances that were unforeseen during the accession process.
7. A developing country that has negotiated a transitional measure under paragraph 3 or 6, an
implementation period under paragraph 4 or any extension under paragraph 6 shall take such steps
during the transition period or implementation period as may be necessary to ensure that it is in
compliance with this Agreement at the end of any such period. The developing country shall
promptly notify the Committee of each step.
8. The Parties shall give due consideration to any request by a developing country for technical
cooperation and capacity building in relation to that country's accession to, or implementation of, this
Agreement.
9. The Committee may develop procedures for the implementation of this Article. Such
procedures may include provisions for voting on decisions relating to requests under paragraph 6.
10. The Committee shall review the operation and effectiveness of this Article every five years.
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Article VI Information on the Procurement System
1. Each Party shall:
(a) promptly publish any law, regulation, judicial decision, administrative ruling of
general application, standard contract clause mandated by law or regulation and
incorporated by reference in notices or tender documentation and procedure regarding
covered procurement, and any modifications thereof, in an officially designated
electronic or paper medium that is widely disseminated and remains readily accessible
to the public; and
(b) provide an explanation thereof to any Party, on request.
2. Each Party shall list:
(a) in Appendix II, the electronic or paper media in which the Party publishes the
information described in paragraph 1;
(b) in Appendix III, the electronic or paper media in which the Party publishes the
notices required by Articles VII, IX:7 and XVI:2; and
(c) in Appendix IV, the website address or addresses where the Party publishes:
(i) its procurement statistics pursuant to Article XVI:5; or
(ii) its notices concerning awarded contracts pursuant to Article XVI:6.
3. Each Party shall promptly notify the Committee of any modification to the Party's
information listed in Appendix II, III or IV.
Article VII Notices
Notice of Intended Procurement
1. For each covered procurement, a procuring entity shall publish a notice of intended
procurement in the appropriate paper or electronic medium listed in Appendix III, except in the
circumstances described in Article XIII. Such medium shall be widely disseminated and such notices
shall remain readily accessible to the public, at least until expiration of the time-period indicated in
the notice. The notices shall:
(a) for procuring entities covered under Annex 1, be accessible by electronic means free
of charge through a single point of access, for at least any minimum period of time
specified in Appendix III; and
(b) for procuring entities covered under Annex 2 or 3, where accessible by electronic
means, be provided, at least, through links in a gateway electronic site that is
accessible free of charge.
Parties, including their procuring entities covered under Annex 2 or 3, are encouraged to publish their
notices by electronic means free of charge through a single point of access.
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2. Except as otherwise provided in this Agreement, each notice of intended procurement shall
include:
(a) the name and address of the procuring entity and other information necessary to
contact the procuring entity and obtain all relevant documents relating to the
procurement, and their cost and terms of payment, if any;
(b) a description of the procurement, including the nature and the quantity of the goods or
services to be procured or, where the quantity is not known, the estimated quantity;
(c) for recurring contracts, an estimate, if possible, of the timing of subsequent notices of
intended procurement;
(d) a description of any options;
( e) the time-frame for delivery of goods or services or the duration of the contract;
(f) the procurement method that will be used and whether it will involve negotiation or
electronic auction;
(g) where applicable, the address and any final date for the submission of requests for
participation in the procurement;
(h) the address and the final date for the submission of tenders;
(i) the language or languages in which tenders or requests for participation may be
submitted, if they may be submitted in a language other than an official language of
the Party of the procuring entity;
() a list and brief description of any conditions for participation of suppliers, including
any requirements for specific documents or certifications to be provided by suppliers
in connection therewith, unless such requirements are included in tender
documentation that is made available to all interested suppliers at the same time as the
notice of intended procurement;
(k) where, pursuant to Article IX, a procuring entity intends to select a limited number of
qualified suppliers to be invited to tender, the criteria that will be used to select them
and, where applicable, any limitation on the number of suppliers that will be
permitted to tender; and
(1) an indication that the procurement is covered by this Agreement.
Summary Notice
3. For each case of intended procurement, a procuring entity shall publish a summary notice that
is readily accessible, at the same time as the publication of the notice of intended procurement, in one
of the WTO languages. The summary notice shall contain at least the following information:
(a) the subject-matter of the procurement;
(b) the final date for the submission of tenders or, where applicable, any final date for the
submission of requests for participation in the procurement or for inclusion on a
multi-use list; and
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(c) the address from which documents relating to the procurement may be requested.
Notice of Planned Procurement
4. Procuring entities are encouraged to publish in the appropriate paper or electronic medium
listed in Appendix III as early as possible in each fiscal year a notice regarding their future
procurement plans (hereinafter referred to as "notice of planned procurement"). The notice of planned
procurement should include the subject-matter of the procurement and the planned date of the
publication of the notice of intended procurement.
5. A procuring entity covered under Annex 2 or 3 may use a notice of planned procurement as a
notice of intended procurement provided that the notice of planned procurement includes as much of
the information referred to in paragraph 2 as is available to the entity and a statement that interested
suppliers should express their interest in the procurement to the procuring entity.
Article VIII Conditions for Participation
1. A procuring entity shall limit any conditions for participation in a procurement to those that
are essential to ensure that a supplier has the legal and financial capacities and the commercial and
technical abilities to undertake the relevant procurement.
2. In establishing the conditions for participation, a procuring entity:
(a) shall not impose the condition that, in order for a supplier to participate in a
procurement, the supplier has previously been awarded one or more contracts by a
procuring entity of a given Party; and
(b) may require relevant prior experience where essential to meet the requirements of the
procurement.
3. In assessing whether a supplier satisfies the conditions for participation, a procuring entity:
(a) shall evaluate the financial capacity and the commercial and technical abilities of a
supplier on the basis of that supplier's business activities both inside and outside the
territory of the Party of the procuring entity; and
(b) shall base its evaluation on the conditions that the procuring entity has specified in
advance in notices or tender documentation.
4. Where there is supporting evidence, a Party, including its procuring entities, may exclude a
supplier on grounds such as:
(a) bankruptcy;
(b) false declarations;
( c) significant or persistent deficiencies in performance of any substantive requirement or
obligation under a prior contract or contracts;
( d) final judgments in respect of serious crimes or other serious offences;
(e) professional misconduct or acts or omissions that adversely reflect on the commercial
integrity of the supplier; or
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(f)
Article IX
failure to pay taxes.
Qualification of Suppliers
Registration Systems and Qualification Procedures
1. A Party, including its procuring entities, may maintain a supplier registration system under
which interested suppliers are required to register and provide certain information.
2. Each Party shall ensure that:
(a) its procuring entities make efforts to minimize differences in their qualification
procedures; and
(b) where its procuring entities maintain registration systems, the entities make efforts to
minimize differences in their registration systems.
3. A Party, including its procuring entities, shall not adopt or apply any registration system or
qualification procedure with the purpose or the effect of creating unnecessary obstacles to the
participation of suppliers of another Party in its procurement.
Selective Tendering
4. Where a procuring entity intends to use selective tendering, the entity shall:
(a) include in the notice of intended procurement at least the information specified in
Article VII:2(a), (b), (0), (g). (j), (k) and (l) and invite suppliers to submit a request for
participation; and
(b) provide, by the commencement of the time-period for tendering, at least the
information in Article VII:2 (c), (d), (e), (h) and (i) to the qualified suppliers that it
notifies as specified in Article XI3(b).
5. A procuring entity shall allow all qualified suppliers to participate in a particular
procurement, unless the procuring entity states in the notice of intended procurement any limitation on
the number of suppliers that will be permitted to tender and the criteria for selecting the limited
number of suppliers.
6. Where the tender documentation is not made publicly available from the date of publication
of the notice referred to in paragraph 4, a procuring entity shall ensure that those documents are made
available at the same time to all the qualified suppliers selected in accordance with paragraph 5.
Multi-Use Lists
7. A procuring entity may maintain a multi-use list of suppliers, provided that a notice inviting
interested suppliers to apply for inclusion on the list is:
(a) published annually; and
(b) where published by electronic means, made available continuously,
in the appropriate medium listed in Appendix III.
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8. The notice provided for in paragraph 7 shall include:
(a) a description of the goods or services, or categories thereof, for which the list may be
used;
(b) the conditions for participation to be satisfied by suppliers for inclusion on the list
and the methods that the procuring entity will use to verify that a supplier satisfies the
conditions;
(c) the name and address of the procuring entity and other information necessary to
contact the entity and obtain all relevant documents relating to the list;
( d) the period of validity of the list and the means for its renewal or termination, or where
the period of validity is not provided, an indication of the method by which notice
will be given of the termination of use of the list; and
(e) an indication that the list may be used for procurement covered by this Agreement.
9. Notwithstanding paragraph 7, where a multi-use list will be valid for three years or less, a
procuring entity may publish the notice referred to in paragraph 7 only once, at the beginning of the
period of validity of the list, provided that the notice:
(a) states the period of validity and that further notices will not be published; and
(b) is published by electronic means and is made available continuously during the
period of its validity.
10. A procuring entity shall allow suppliers to apply at any time for inclusion on a multi-use list
and shall include on the list all qualified suppliers within a reasonably short time.
11. Where a supplier that is not included on a multi-use list submits a request for participation in
a procurement based on a multi-use list and all required documents, within the time-period provided
for in Article XI:2, a procuring entity shall examine the request. The procuring entity shall not
exclude the supplier from consideration in respect of the procurement on the grounds that the entity
has insufficient time to examine the request, unless, in exceptional cases, due to the complexity of the
procurement, the entity is not able to complete the examination of the request within the time-period
allowed for the submission of tenders.
Annex 2 and Annex 3 Entities
12. A procuring entity covered under Annex 2 or 3 may use a notice inviting suppliers to apply
for inclusion on a multi-use list as a notice of intended procurement, provided that:
(a) the notice is published in accordance with paragraph 7 and includes the information
required under paragraph 8, as much of the information required under Article VII:2
as is available and a statement that it constitutes a notice of intended procurement or
that only the suppliers on the multi-use list will receive further notices of procurement
covered by the multi-use list; and
(b) the entity promptly provides to suppliers that have expressed an interest in a given
procurement to the entity, sufficient information to permit them to assess their interest
in the procurement, including all remaining information required in Article VII:2, to
the extent such information is available.
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13. A procuring entity covered under Annex 2 or 3 may allow a supplier that has applied for
inclusion on a multi-use list in accordance with paragraph 10 to tender in a given procurement, where
there is sufficient time for the procuring entity to examine whether the supplier satisfies the conditions
for participation.
Information on Procuring Entity Decisions
14. A procuring entity shall promptly inform any supplier that submits a request for participation
in a procurement or application for inclusion on a multi-use list of the procuring entity's decision with
respect to the request or application.
15. Where a procuring entity rejects a supplier's request for participation in a procurement or
application for inclusion on a multi-use list, ceases to recognize a supplier as qualified, or removes a
supplier from a multi-use list, the entity shall promptly inform the supplier and, on request of the
supplier, promptly provide the supplier with a written explanation of the reasons for its decision.
Article X Technical Specifications and Tender Documentation
Technical Specifications
1. A procuring entity shall not prepare, adopt or apply any technical specification or prescribe
any conformity assessment procedure with the purpose or the effect of creating unnecessary obstacles
to international trade.
2. In prescribing the technical specifications for the goods or services being procured, a
procuring entity shall, where appropriate:
(a) set out the technical specification in terms of performance and functional
requirements, rather than design or descriptive characteristics; and
(b) base the technical specification on international standards, where such exist;
otherwise, on national technical regulations, recognized national standards or building
codes.
3. Where design or descriptive characteristics are used in the technical specifications, a
procuring entity should indicate, where appropriate, that it will consider tenders of equivalent goods
or services that demonstrably fulfil the requirements of the procurement by including words such as
"or equivalent" in the tender documentation.
4. A procuring entity shall not prescribe technical specifications that require or refer to a
particular trademark or trade name, patent, copyright, design, type, specific origin, producer or
supplier, unless there is no other sufficiently precise or intelligible way of describing the procurement
requirements and provided that, in such cases, the entity includes words such as "or equivalent" in the
tender documentation.
5. A procuring entity shall not seek or accept, in a manner that would have the effect of
precluding competition, advice that may be used in the preparation or adoption of any technical
specification for a specific procurement from a person that may have a commercial interest in the
procurement.
6. For greater certainty, a Party, including its procuring entities, may, in accordance with this
Article, prepare, adopt or apply technical specifications to promote the conservation of natural
resources or protect the environment.
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Tender Documentation
7. A procuring entity shall make available to suppliers tender documentation that includes all
information necessary to permit suppliers to prepare and submit responsive tenders. Unless already
provided in the notice of intended procurement, such documentation shall include a complete
description of:
(a) the procurement, including the nature and the quantity of the goods or services to be
procured or, where the quantity is not known, the estimated quantity and any
requirements to be fulfilled, including any technical specifications, conformity
assessment certification, plans, drawings or instructional materials;
(b) any conditions for participation of suppliers, including a list of information and
documents that suppliers are required to submit in connection with the conditions for
participation;
(c) all evaluation criteria the entity will apply in the awarding of the contract, and, except
where price is the sole criterion, the relative importance of such criteria;
(d) where the procuring entity will conduct the procurement by electronic means, any
authentication and encryption requirements or other requirements related to the
submission of information by electronic means;
( e) where the procuring entity will hold an electronic auction, the rules, including
identification of the elements of the tender related to the evaluation criteria, on which
the auction will be conducted;
(f) where there will be a public opening of tenders, the date, time and place for the
opening and, where appropriate, the persons authorized to be present;
(g) any other terms or conditions, including terms of payment and any limitation on the
means by which tenders may be submitted, such as whether on paper or by electronic
means; and
(h) any dates for the delivery of goods or the supply of services.
8. In establishing any date for the delivery of goods or the supply of services being procured, a
procuring entity shall take into account such factors as the complexity of the procurement, the extent
of subcontracting anticipated and the realistic time required for production, de-stocking and transport
of goods from the point of supply or for supply of services.
9. The evaluation criteria set out in the notice of intended procurement or tender documentation
may include, among others, price and other cost factors, quality, technical merit, environmental
characteristics and terms of delivery.
10. A procuring entity shall promptly:
(a) make available tender documentation to ensure that interested suppliers have
sufficient time to submit responsive tenders;
(b) provide, on request, the tender documentation to any interested supplier; and
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(c) reply to any reasonable request for relevant information by any interested or
participating supplier, provided that such information does not give that supplier an
advantage over other suppliers.
Modifications
11. Where, prior to the award of a contract, a procuring entity modifies the criteria or
requirements set out in the notice of intended procurement or tender documentation provided to
participating suppliers, or amends or reissues a notice or tender documentation, it shall transmit in
writing all such modifications or amended or re-issued notice or tender documentation:
(a)
(b)
Article XI
General
to all suppliers that are participating at the time of the modification, amendment or
re-issuance, where such suppliers are known to the entity, and in all other cases, in the
same manner as the original information was made available; and
in adequate time to allow such suppliers to modify and re-submit amended tenders, as
appropriate.
Time-Periods
1. A procuring entity shall, consistent with its own reasonable needs, provide sufficient time for
suppliers to prepare and submit requests for participation and responsive tenders, taking into account
such factors as:
(a) the nature and complexity of the procurement;
(b) the extent of subcontracting anticipated; and
(c) the time necessary for transmitting tenders by non-electronic means from foreign as
well as domestic points where electronic means are not used.
Such time-periods, including any extension of the time-periods, shall be the same for all interested or
participating suppliers.
Deadlines
2. A procuring entity that uses selective tendering shall establish that the final date for the
submission of requests for participation shall not, in principle, be less than 25 days from the date of
publication of the notice of intended procurement. Where a state of urgency duly substantiated by the
procuring entity renders this time-period impracticable, the time-period may be reduced to not less
than 10 days.
3. Except as provided for in paragraphs 4, 5, 7 and 8 a procuring entity shall establish that the
final date for the submission of tenders shall not be less than 40 days from the date on which:
(a) in the case of open tendering, the notice of intended procurement is published; or
(b) in the case of selective tendering, the entity notifies suppliers that they will be invited
to submit tenders, whether or not it uses a multi-use list.
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4. A procuring entity may reduce the time-period for tendering established in accordance with
paragraph 3 to not less than I0 days where:
(a) the procuring entity has published a notice of planned procurement as described in
Article VII:4 at least 40 days and not more than 12 months in advance of the
publication of the notice of intended procurement, and the notice of planned
procurement contains:
(i) a description of the procurement;
(ii) the approximate final dates for the submission of tenders or requests for
participation;
(iii) a statement that interested suppliers should express their interest in the
procurement to the procuring entity;
(iv) the address from which documents relating to the procurement may be
obtained; and
(v) as much of the information that is required for the notice of intended
procurement under Article VII:2, as is available;
(b) the procuring entity, for recurring contracts, indicates in an initial notice of intended
procurement that subsequent notices will provide time-periods for tendering based on
this paragraph; or
(c) a state of urgency duly substantiated by the procuring entity renders the time-period
for tendering established in accordance with paragraph 3 impracticable.
5. A procuring entity may reduce the time-period for tendering established in accordance with
paragraph 3 by five days for each one of the following circumstances:
(a) the notice of intended procurement is published by electronic means;
(b) all the tender documentation is made available by electronic means from the date of
the publication of the notice of intended procurement; and
(c) the entity accepts tenders by electronic means.
6. The use of paragraph 5, in conjunction with paragraph 4, shall in no case result in the
reduction of the time-period for tendering established in accordance with paragraph 3 to less than
10 days from the date on which the notice of intended procurement is published.
7. Notwithstanding any other provision in this Article, where a procuring entity purchases
commercial goods or services, or any combination thereof, it may reduce the time-period for
tendering established in accordance with paragraph 3 to not less than 13 days, provided that it
publishes by electronic means, at the same time, both the notice of intended procurement and the
tender documentation. In addition, where the entity accepts tenders for commercial goods or services
by electronic means, it may reduce the time-period established in accordance with paragraph 3 to not
less than 10 days.
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8. Where a procuring entity covered under Annex 2 or 3 has selected all or a limited number of
qualified suppliers, the time-period for tendering may be fixed by mutual agreement between the
procuring entity and the selected suppliers. In the absence of agreement, the period shall not be less
than 10 days.
Article XII Negotiation
1. A Party may provide for its procuring entities to conduct negotiations:
(a) where the entity has indicated its intent to conduct negotiations in the notice of
intended procurement required under Article VII:2; or
(b) where it appears from the evaluation that no tender is obviously the most
advantageous in terms of the specific evaluation criteria set out in the notice of
intended procurement or tender documentation.
2. A procuring entity shall:
(a) ensure that any elimination of suppliers participating in negotiations is carried out in
accordance with the evaluation criteria set out in the notice of intended procurement
or tender documentation; and
(b) where negotiations are concluded, provide a common deadline for the remammg
participating suppliers to submit any new or revised tenders.
Article XIII Limited Tendering
1. Provided that it does not use this provision for the purpose of avoiding competition among
suppliers or in a manner that discriminates against suppliers of any other Party or protects domestic
suppliers, a procuring entity may use limited tendering and may choose not to apply Articles VII
through IX, X (paragraphs 7 through 1D), XI, XII, XIV and XV only under any of the following
circumstances:
(a) where:
(i) no tenders were submitted or no suppliers requested participation;
(ii) no tenders that conform to the essential requirements of the tender
documentation were submitted;
(iii) no suppliers satisfied the conditions for participation; or
(iv) the tenders submitted have been collusive,
provided that the requirements of the tender documentation are not substantially
modified;
(b) where the goods or services can be supplied only by a particular supplier and no
reasonable alternative or substitute goods or services exist for any of the following
reasons:
(i) the requirement is for a work of art;
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(ii) the protection of patents, copyrights or other exclusive rights; or
(iii) due to an absence of competition for technical reasons;
(c) for additional deliveries by the original supplier of goods or services that were not
included in the initial procurement where a change of supplier for such additional
goods or services:
(i) cannot be made for economic or technical reasons such as requirements of
interchangeability or interoperability with existing equipment, software,
services or installations procured under the initial procurement; and
(ii) would cause significant inconvenience or substantial duplication of costs for
the procuring entity;
(d) insofar as is strictly necessary where, for reasons of extreme urgency brought about
by events unforeseeable by the procuring entity, the goods or services could not be
obtained in time using open tendering or selective tendering;
(e) for goods purchased on a commodity market;
(f) where a procuring entity procures a prototype or a first good or service that is
developed at its request in the course of, and for, a particular contract for research,
experiment, study or original development. Original development of a first good or
service may include limited production or supply in order to incorporate the results of
field testing and to demonstrate that the good or service is suitable for production or
supply in quantity to acceptable quality standards, but does not include quantity
production or supply to establish commercial viability or to recover research and
development costs;
(g) for purchases made under exceptionally advantageous conditions that only arise in the
very short term in the case of unusual disposals such as those arising from liquidation,
receivership or bankruptcy, but not for routine purchases from regular suppliers; or
(h) where a contract is awarded to a winner of a design contest provided that:
(i) the contest has been organized in a manner that is consistent with the
principles of this Agreement, in particular relating to the publication of a
notice of intended procurement; and
(ii) the participants are judged by an independent jury with a view to a design
contract being awarded to a winner.
2. A procuring entity shall prepare a report in writing on each contract awarded under
paragraph 1. The report shall include the name of the procuring entity, the value and kind of goods or
services procured and a statement indicating the circumstances and conditions described in
paragraph 1 that justified the use of limited tendering.
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Article XIV Electronic Auctions
Where a procuring entity intends to conduct a covered procurement using an electronic
auction, the entity shall provide each participant, before commencing the electronic auction, with:
(a) the automatic evaluation method, including the mathematical formula, that is based on
the evaluation criteria set out in the tender documentation and that will be used in the
automatic ranking or re-ranking during the auction;
(b)
(c)
Article XV
the results of any initial evaluation of the elements of its tender where the contract is
to be awarded on the basis of the most advantageous tender; and
any other relevant information relating to the conduct of the auction.
Treatment of Tenders and Awarding of Contracts
Treatment of Tenders
1. A procuring entity shall receive, open and treat all tenders under procedures that guarantee the
fairness and impartiality of the procurement process, and the confidentiality of tenders.
2. A procuring entity shall not penalize any supplier whose tender is received after the time
specified for receiving tenders if the delay is due solely to mishandling on the part of the procuring
entity.
3. Where a procuring entity provides a supplier with an opportunity to correct unintentional
errors of fonn between the opening of tenders and the awarding of the contract, the procuring entity
shall provide the same opportunity to all participating suppliers.
Awarding of Contracts
4. To be considered for an award, a tender shall be submitted in writing and shall, at the time of
opening, comply with the essential requirements set out in the notices and tender documentation and
be from a supplier that satisfies the conditions for participation.
5. Unless a procuring entity determines that it is not in the public interest to award a contract,
the entity shall award the contract to the supplier that the entity has determined to be capable of
fulfilling the terms of the contract and that, based solely on the evaluation criteria specified in the
notices and tender documentation, has submitted:
(a) the most advantageous tender; or
(b) where price is the sole criterion, the lowest price.
6. Where a procuring entity receives a tender with a price that is abnormally lower than the
prices in other tenders submitted, it may verify with the supplier that it satisfies the conditions for
participation and is capable of fulfilling the terms of the contract.
7. A procuring entity shall not use options, cancel a procurement or modify awarded contracts in
a manner that circumvents the obligations under this Agreement.
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Article XVI Transparency of Procurement Information
Information Provided to Suppliers
1. A procuring entity shall promptly inform participating suppliers of the entity's contract award
decisions and, on the request of a supplier, shall do so in writing. Subject to paragraphs 2 and 3 of
Article XVII, a procuring entity shall, on request, provide an unsuccessful supplier with an
explanation of the reasons why the entity did not select its tender and the relative advantages of the
successful supplier's tender.
Publication of Award Information
2. Not later than 72 days after the award of each contract covered by this Agreement, a
procuring entity shall publish a notice in the appropriate paper or electronic medium listed in
Appendix III. Where the entity publishes the notice only in an electronic medium, the information
shall remain readily accessible for a reasonable period of time. The notice shall include at least the
following information:
(a) a description of the goods or services procured;
(b) the name and address of the procuring entity;
( c) the name and address of the successful supplier;
(d) the value of the successful tender or the highest and lowest offers taken into account
in the award of the contract;
( e) the date of award; and
(f) the type of procurement method used, and in cases where limited tendering was used
in accordance with Article XIII, a description of the circumstances justifying the use
of limited tendering.
Maintenance of Documentation, Reports and Electronic Traceability
3. Each procuring entity shall, for a period of at least three years from the date it awards a
contract, maintain:
(a) the documentation and reports of tendering procedures and contract awards relating to
covered procurement, including the reports required under Article XIII; and
(b) data that ensure the appropriate traceability of the conduct of covered procurement by
electronic means.
Collection and Reporting of Statistics
4. Each Party shall collect and report to the Committee statistics on its contracts covered by this
Agreement. Each report shall cover one year and be submitted within two years of the end of the
reporting period, and shall contain:
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(a) for Annex 1 procuring entities:
(i) the number and total value, for all such entities, of all contracts covered by
this Agreement;
(ii) the number and total value of all contracts covered by this Agreement
awarded by each such entity, broken down by categories of goods and
services according to an internationally recognized uniform classification
system; and
(iii) the number and total value of all contracts covered by this Agreement
awarded by each such entity under limited tendering;
(b) for Annex 2 and 3 procuring entities, the number and total value of contracts covered
by this Agreement awarded by all such entities, broken down by Annex; and
(c) estimates for the data required under subparagraphs (a) and (b), with an explanation
of the methodology used to develop the estimates, where it is not feasible to provide
the data.
5. Where a Party publishes its statistics on an official website, in a manner that is consistent with
the requirements of paragraph 4, the Party may substitute a notification to the Committee of the
website address for the submission of the data under paragraph 4, with any instructions necessary to
access and use such statistics.
6. Where a Party requires notices concerning awarded contracts, pursuant to paragraph 2, to be
published electronically and where such notices are accessible to the public through a single database
in a form permitting analysis of the covered contracts, the Party may substitute a notification to the
Committee of the website address for the submission of the data under paragraph 4, with any
instructions necessary to access and use such data.
Article XVII Disclosure of Information
Provision of Information to Parties
1. On request of any other Party, a Party shall provide promptly any information necessary to
determine whether a procurement was conducted fairly, impartially and in accordance with this
Agreement, including information on the characteristics and relative advantages of the successful
tender. In cases where release of the information would prejudice competition in future tenders, the
Party that receives the information shall not disclose it to any supplier, except after consulting with,
and obtaining the agreement of, the Party that provided the information.
Non-Disclosure of Information
2. Notwithstanding any other provision of this Agreement, a Party, including its procuring
entities, shall not provide to any particular supplier information that might prejudice fair competition
between suppliers.
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3. Nothing in this Agreement shall be construed to require a Party, including its procuring
entities, authorities and review bodies, to disclose confidential information where disclosure:
(a) would impede law enforcement;
(b) might prejudice fair competition between suppliers;
(c) would prejudice the legitimate commercial interests of particular persons, including
the protection of intellectual property; or
(d) would otherwise be contrary to the public interest.
Article XVIII Domestic Review Procedures
1. Each Party shall provide a timely, effective, transparent and non-discriminatory
administrative or judicial review procedure through which a supplier may challenge:
(a) a breach of the Agreement; or
(b) where the supplier does not have a right to challenge directly a breach of the
Agreement under the domestic law of a Party, a failure to comply with a Party's
measures implementing this Agreement,
arising in the context of a covered procurement, in which the supplier has, or has had, an interest. The
procedural rules for all challenges shall be in writing and made generally available.
2. In the event of a complaint by a supplier, arising in the context of covered procurement in
which the supplier has, or has had, an interest, that there has been a breach or a failure as referred to in
paragraph 1, the Party of the procuring entity conducting the procurement shall encourage the entity
and the supplier to seek resolution of the complaint through consultations. The entity shall accord
impartial and timely consideration to any such complaint in a manner that is not prejudicial to the
supplier's participation in ongoing or future procurement or its right to seek corrective measures under
the administrative or judicial review procedure.
3. Each supplier shall be allowed a sufficient period of time to prepare and submit a challenge,
which in no case shall be less than IO days from the time when the basis of the challenge became
known or reasonably should have become known to the supplier.
4. Each Party shall establish or designate at least one impartial administrative or judicial
authority that is independent of its procuring entities to receive and review a challenge by a supplier
arising in the context of a covered procurement.
5. Where a body other than an authority referred to in paragraph 4 initially reviews a challenge,
the Party shall ensure that the supplier may appeal the initial decision to an impartial administrative or
judicial authority that is independent of the procuring entity whose procurement is the subject of the
challenge.
6. Each Party shall ensure that a review body that is not a court shall have its decision subject to
judicial review or have procedures that provide that:
(a) the procuring entity shall respond in writing to the challenge and disclose all relevant
documents to the review body;
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(b) the participants to the proceedings (hereinafter referred to as "participants") shall
have the right to be heard prior to a decision of the review body being made on the
challenge;
(c) the participants shall have the right to be represented and accompanied;
(d) the participants shall have access to all proceedings;
(e) the participants shall have the right to request that the proceedings take place in
public and that witnesses may be presented; and
(f) the review body shall make its decisions or recommendations in a timely fashion, in
writing, and shall include an explanation of the basis for each decision or
recommendation.
7. Each Party shall adopt or maintain procedures that provide for:
(a) rapid interim measures to preserve the supplier's opportunity to participate in the
procurement. Such interim measures may result in suspension of the procurement
process. The procedures may provide that overriding adverse consequences for the
interests concerned, including the public interest, may be taken into account when
deciding whether such measures should be applied. Just cause for not acting shall be
provided in writing; and
(b) where a review body has determined that there has been a breach or a failure as
referred to in paragraph 1, corrective action or compensation for the loss or damages
suffered, which may be limited to either the costs for the preparation of the tender or
the costs relating to the challenge, or both.
Article XIX Modifications and Rectifications to Coverage
Notification of Proposed Modification
1. A Party shall notify the Committee of any proposed rectification, transfer of an entity from
one annex to another, withdrawal of an entity or other modification of its annexes to Appendix I (any
of which is hereinafter referred to as "modification"). The Party proposing the modification
(hereinafter referred to as "modifying Party") shall include in the notification:
(a) for any proposed withdrawal of an entity from its annexes to Appendix I in exercise
of its rights on the grounds that government control or influence over the entity's
covered procurement has been effectively eliminated, evidence of such elimination;
or
(b) for any other proposed modification, information as to the likely consequences of the
change for the mutually agreed coverage provided for in this Agreement.
Objection to Notification
2. Any Party whose rights under this Agreement may be affected by a proposed modification
notified under paragraph 1 may notify the Committee of any objection to the proposed modification.
Such objections shall be made within 45 days from the date of the circulation to the Parties of the
notification, and shall set out reasons for the objection.
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Consultations
3. The modifying Party and any Party making an objection (hereinafter referred to as "objecting
Party") shall make every attempt to resolve the objection through consultations. In such
consultations, the modifying and objecting Parties shall consider the proposed modification:
(a) in the case of a notification under paragraph l(a), in accordance with any indicative
criteria adopted pursuant to paragraph 8(b), indicating the effective elimination of
government control or influence over an entity's covered procurement; and
(b) in the case of a notification under paragraph 1 (b), in accordance with any criteria
adopted pursuant to paragraph 8( c), relating to the level of compensatory adjustments
to be offered for modifications, with a view to maintaining a balance of rights and
obligations and a comparable level of mutually agreed coverage provided in this
Agreement.
Revised Modification
4. Where the modifying Party and any objecting Party resolve the objection through
consultations, and the modifying Party revises its proposed modification as a result of those
consultations, the modifying Party shall notify the Committee in accordance with paragraph 1, and
any such revised modification shall only be effective after fulfilling the requirements of this Article.
Implementation of Modifications
5. A proposed modification shall become effective only where:
(a) no Party submits to the Committee a written objection to the proposed modification
within 45 days from the date of circulation of the notification of the proposed
modification under paragraph 1;
(b) all objecting Parties have notified the Committee that they withdraw their objections
to the proposed modification; or
(c) 150 days from the date of circulation of the notification of the proposed modification
under paragraph 1 have elapsed, and the modifying Party has informed the
Committee in writing of its intention to implement the modification.
Withdrawal of Substantially Equivalent Coverage
6. Where a modification becomes effective pursuant to paragraph 5(c), any objecting Party may
withdraw substantially equivalent coverage. Notwithstanding Article IV:I(b), a withdrawal pursuant
to this paragraph may be implemented solely with respect to the modifying Party. Any objecting
Party shall inform the Committee in writing of any such withdrawal at least 30 days before the
withdrawal becomes effective. A withdrawal pursuant to this paragraph shall be consistent with any
criteria relating to the level of compensatory adjustment adopted by the Committee pursuant to
paragraph 8(c).
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Arbitration Procedures to Facilitate Resolution of Objections
7. Where the Committee has adopted arbitration procedures to facilitate the resolution of
objections pursuant to paragraph 8, a modifying or any objecting Party may invoke the arbitration
procedures within 120 days of circulation of the notification of the proposed modification:
(a) Where no Party has invoked the arbitration procedures within the time-period:
(i) notwithstanding paragraph 5(c), the proposed modification shall become
effective where 130 days from the date of circulation of the notification of the
proposed modification under paragraph 1 have elapsed, and the modifying
Party has informed the Committee in writing of its intention to implement the
modification; and
(ii) no objecting Party may withdraw coverage pursuant to paragraph 6.
(b) Where a modifying Party or objecting Party has invoked the arbitration procedures:
(i) notwithstanding paragraph 5(c), the proposed modification shall not become
effective before the completion of the arbitration procedures;
(ii) any objecting Party that intends to enforce a right to compensation, or to
withdraw substantially equivalent coverage pursuant to paragraph 6, shall
participate in the arbitration proceedings;
(iii) a modifying Party should comply with the results of the arbitration
procedures in making any modification effective pursuant to paragraph 5(c);
and
(iv) where a modifying Party does not comply with the results of the arbitration
procedures in making any modification effective pursuant to paragraph 5(c),
any objecting Party may withdraw substantially equivalent coverage pursuant
to paragraph 6, provided that any such withdrawal is consistent with the
result of the arbitration procedures.
Committee Responsibilities
8. The Committee shall adopt:
(a)
(b)
(c)
Article XX
arbitration procedures to facilitate resolution of objections under paragraph 2;
indicative criteria that demonstrate the effective elimination of government control or
influence over an entity's covered procurement; and
criteria for determining the level of compensatory adjustment to be offered for
modifications made pursuant to paragraph l(b) and of substantially equivalent
coverage under paragraph 6.
Consultations and Dispute Settlement
1. Each Party shall accord sympathetic consideration to and shall afford adequate opportunity
for consultation regarding any representation made by another Party with respect to any matter
affecting the operation of this Agreement.
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2. Where any Party considers that any benefit accruing to it, directly or indirectly, under this
Agreement is being nullified or impaired, or that the attainment of any objective of this Agreement is
being impeded as the result of:
(a) the failure of another Party or Parties to carry out its obligations under this
Agreement; or
(b) the application by another Party or Parties of any measure, whether or not it conflicts
with the provisions of this Agreement,
it may, with a view to reaching a mutually satisfactory solution to the matter, have recourse to the
provisions of the Understanding on Rules and Procedures Governing the Settlement of Disputes
(hereinafter referred to as "the Dispute Settlement Understanding").
3. The Dispute Settlement Understanding shall apply to consultations and the settlement of
disputes under this Agreement, with the exception that, notwithstanding paragraph 3 of Article 22 of
the Dispute Settlement Understanding, any dispute arising under any Agreement listed in Appendix l
to the Dispute Settlement Understanding other than this Agreement shall not result in the suspension
of concessions or other obligations under this Agreement, and any dispute arising under this
Agreement shall not result in the suspension of concessions or other obligations under any other
Agreement listed in Appendix 1 of the Dispute Settlement Understanding.
Article XXI Institutions
Committee on Government Procurement
1. There shall be a Committee on Government Procurement composed of representatives from
each of the Parties. This Committee shall elect its own Chairman and shall meet as necessary, but not
less than once a year, for the purpose of affording Parties the opportunity to consult on any matters
relating to the operation of this Agreement or the furtherance of its objectives, and to carry out such
other responsibilities as may be assigned to it by the Parties.
2. The Committee may establish working parties or other subsidiary bodies that shall carry out
such functions as may be given to them by the Committee.
3. The Committee shall annually:
(a) review the implementation and operation of this Agreement; and
(b) inform the General Council of its activities, pursuant to Article IV:8 of the Marrakesh
Agreement Establishing the World Trade Organization (hereinafter referred to as
"WTO Agreement"), and of developments relating to the implementation and
operation of this Agreement.
Observers
4. Any WTO Member that is not a Party to this Agreement shall be entitled to participate in the
Committee as an observer by submitting a written notice to the Committee. Any WTO observer may
submit a written request to the Committee to participate in the Committee as an observer, and may be
accorded observer status by the Committee.
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Article XXII Final Provisions
Acceptance and Entry into Force
1. This Agreement shall enter into force on 1 January 1996 for those governments' whose
agreed coverage is contained in the Annexes of Appendix I of this Agreement, and which have, by
signature, accepted the Agreement on 15 April 1994, or have, by that date, signed the Agreement
subject to ratification and have subsequently ratified the Agreement before 1 January 1996.
Accession
2. Any Member of the WTO may accede to this Agreement on terms to be agreed between that
Member and the Parties, with such terms stated in a decision of the Committee. Accession shall take
place by deposit with the Director-General of the WTO of an instrument of accession that states the
terms so agreed. This Agreement shall enter into force for a Member acceding to it on the 30" day
following the deposit of its instrument of accession.
Reservations
3. No Party may enter a reservation in respect of any provision of this Agreement.
Domestic Legislation
4. Each Party shall ensure, not later than the date of entry into force of this Agreement for it, the
conformity of its laws, regulations and administrative procedures, and the rules, procedures and
practices applied by its procuring entities, with the provisions of this Agreement.
5. Each Party shall inform the Committee of any changes to its laws and regulations relevant to
this Agreement and in the administration of such laws and regulations.
Future Negotiations and Future Work Programmes
6. Each Party shall seek to avoid introducing or continuing discriminatory measures that distort
open procurement.
7. Not later than the end of three years from the date of entry into force of the Protocol
Amending the Agreement on Government Procurement, adopted on 30 March 2012, and periodically
thereafter, the Parties shall undertake further negotiations, with a view to improving this Agreement,
progressively reducing and eliminating discriminatory measures, and achieving the greatest possible
extension of its coverage among all Parties on the basis of mutual reciprocity, taking into
consideration the needs of developing countries.
8. (a) The Committee shall undertake further work to facilitate the implementation of this
Agreement and the negotiations provided for in paragraph 7, through the adoption of work
programmes for the following items:
(i) the treatment of small and medium-sized enterprises;
(ii) the collection and dissemination of statistical data;
1 For the purpose of this Agreement, the term "government" is deemed to include the competent
authorities of the European Union.
Volume 3008, A-31874
8 0
(iii) the treatment of sustainable procurement;
(iv) exclusions and restrictions in Parties' Annexes; and
(v) safety standards in international procurement.
(b) The Committee:
(i) may adopt a decision that contains a list of work programmes on
additional items, which may be reviewed and updated periodically; and
(ii) shall adopt a decision setting out the work to be undertaken on each
particular work programme under subparagraph (a) and any work
programme adopted under subparagraph (b)(i).
9. Following the conclusion of the work programme to harmonize rules of origin for goods
being undertaken under the Agreement on Rules of Origin in Annex IA to the WTO Agreement and
negotiations regarding trade in services, the Parties shall take the results of that work programme and
those negotiations into account in amending Article IV:5, as appropriate.
10. Not later than the end of the fifth year from the date of entry into force of the Protocol
Amending the Agreement on Government Procurement, the Committee shall examine the
applicability of Article XX:2(b).
Amendments
11. The Parties may amend this Agreement. A decision to adopt an amendment and to submit it
for acceptance by the Parties shall be taken by consensus. An amendment shall enter into force:
(a) except as provided for in subparagraph (b), in respect of those Parties that accept it,
upon acceptance by two thirds of the Parties and thereafter for each other Party upon
acceptance by it;
(b) for all Parties upon acceptance by two thirds of the Parties if it is an amendment that
the Committee, by consensus, has determined to be of a nature that would not alter
the rights and obligations of the Parties.
Withdrawal
12. Any Party may withdraw from this Agreement. The withdrawal shall take effect upon the
expiration of 60 days from the date the Director-General of the WTO receives written notice of the
withdrawal. Any Party may, upon such notification, request an immediate meeting of the Committee.
13. Where a Party to this Agreement ceases to be a Member of the WTO, it shall cease to be a
Party to this Agreement with effect on the date on which it ceases to be a Member of the WTO.
Non-application of this Agreement between Particular Parties
14. This Agreement shall not apply as between any two Parties where either Party, at the time
either Party accepts or accedes to this Agreement, does not consent to such application.
Volume 3008, A-31874
8 1
Appendices
15. The Appendices to this Agreement constitute an integral part thereof.
Secretariat
16. This Agreement shall be serviced by the WTO Secretariat.
Deposit
17. This Agreement shall be deposited with the Director-General of the WTO, who shall
promptly furnish to each Party a certified true copy of this Agreement, of each rectification or
modification thereto pursuant to Article XIX and of each amendment pursuant to paragraph 11, and a
notification of each accession thereto pursuant to paragraph 2 and of each withdrawal pursuant to
paragraphs 12 or 13.
Registration
18. This Agreement shall be registered in accordance with the provisions of Article 102 of the
Charter of the United Nations.
(XXVII.8.b)
Attention: Treaty Services of Ministries of Foreign Affairs and of international organizations concerned.
Depositary notifications are issued in electronic format only. Depositary notifications are made available to
the Permanent Missions to the United Nations in the United Nations Treaty Collection on the Internet at
http://treaties.un.org, under "Depositary Notifications (CNs)". In addition, the Permanent Missions, as well
as other interested individuals, can subscribe to receive depositary notifications by e-mail through the Treaty
Section's "Automated Subscription Services", which is also available at http://treaties.un.org.
Reference: C.N.115.2011.TREATIES-7 (Depositary Notification)
NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE
FAIR AND EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR
UTILIZATION TO THE CONVENTION ON BIOLOGICAL DIVERSITY
NAGOYA, 29 OCTOBER 2010
PROPOSAL OF CORRECTIONS TO THE ORIGINAL TEXT OF THE PROTOCOL
(FRENCH VERSION) AND TO THE CERTIFIED TRUE COPIES
The Secretary-General of the United Nations, acting in his capacity as depositary,
communicates the following:
The attention of the Secretary-General has been drawn to apparent errors in various articles of
the original of the Protocol (authentic French text) and in the certified true copies circulated by
depositary notification C.N.783.2010.TREATIES-2 of 14 December 2010.
….. The Annex to this notification contains the proposed corrections to the authentic French text.
In accordance with the established depositary practice, unless there is an objection to effecting
a particular correction from a Signatory State or a Contracting State, the Secretary-General proposes to
effect in the said articles of the original of the Protocol, the proposed corrections to the French text.
Such corrections would also apply to the certified true copies.
Any objection should be communicated to the Secretary-General within 90 days from the date
of this notification, i.e., no later than 16 June 2011.
18 March 2011
UNITED NATIONS NATIONS UNIES
POSTAL ADDRESS ADRESSE POSTALE UNITED NATIONS, N.Y. 10OTT
CABLE ADDRESS-ADRESSE TELEGRAPHIQUE UNATIONS NEWYORK
(XXVII.8.b)
Attention: Treaty Services of Ministries of Foreign Affairs and of international organizations concerned.
Depositary notifications are issued in electronic format only. Depositary notifications are made available to
the Permanent Missions to the United Nations in the United Nations Treaty Collection on the Internet at
http://treaties.un.org, under "Depositary Notifications (CNs)". In addition, the Permanent Missions, as well
as other interested individuals, can subscribe to receive depositary notifications by e-mail through the Treaty
Section's "Automated Subscription Services", which is also available at http://treaties.un.org.
Reference: C.N.356.2011.TREATIES-26 (Depositary Notification)
NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE
FAIR AND EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR
UTILIZATION TO THE CONVENTION ON BIOLOGICAL DIVERSITY
NAGOYA, 29 OCTOBER 2010
CORRECTIONS TO THE ORIGINAL TEXT OF THE PROTOCOL (FRENCH VERSION) AND
TO THE CERTIFIED TRUE COPIES1
The Secretary-General of the United Nations, acting in his capacity as depositary,
communicates the following:
By 16 June 2011, the date on which the period specified for the notification of objection
to the proposed corrections expired, no objection had been notified to the Secretary-General.
Consequently, the Secretary-General has effected the required corrections to the original text of the
Protocol (French version) and to the certified true copies that were circulated by depositary notification
C.N.783.2010.TREATIES-2 of 14 December 2010 (reissued on 30 March 2011).
….. The Procès-verbal of rectification is transmitted herewith.
17 June 2011
1 Refer to depositary notification C.N.115.2011.TREATIES-7 of 18 March 2011
(Proposal of corrections to the original text of the Protocol (French version) and to the certified
true copies).
UNITED NATIONS NATIONS UNIES
POSTAL ADDRESS ADRESSE POSTALE UNITED NATIONS, N.Y. 10OTT
CABLE ADDRESS-ADRESSE TELEGRAPHIQUE UNATIONS NEWYORK
UNITED NATIONS NATIONS UNIES
NAGOYA PROTOCOL ON ACCESS TO GENETIC
RESOURCES AND THE FAIR AND EQUITABLE
SHARING OF BENEFITS ARISING FROM THEIR
UTILIZATION TO THE CONVENTION ON
BIOLOGICAL DIVERSITY,
ADOPTED AT NAGOYA ON 29 OCTOBER 2010
PROC~S-VERBAL OF RECTIFICATION
OF THE ORIGINAL OF THE PROTOCOL
THE SECRETARY-GENERAL OF THE UNITED
NATIONS, acting in his capacity as
depositary of the Nagoya Protocol on
Access to Genetic Resources and the Fair
and Equitable Sharing of Benefits Arising
from their Utilization to the Convention
on Biological Diversity, adopted at
Nagoya on 29 October 2010 (Protocol),
WHEREAS it appears that various
articles of the original text of the
Protocol (French version) contain errors,
WHEREAS the corresponding proposed
corrections have been communicated to all
interested States by depositary
notification C.N.115.2011.TREATIES-7
of 18 March 2011,
WHEREAS by 16 June 2011 , the date on
which the period specified for the
notification of objection to the proposed
corrections expired, no objection had
been notified,
HAS CAUSED the corrections as indicated
in the annex to this Proc~s-verbal to be
effected in the original text of the said
Protocol, which corrections also apply to
the certified true copies of the
Protocol, established on 14 December 2010
(reissued on 30 March 2011).
IN WITNESS WHEREOF, I,
Patricia O'Brien, Under-SecretaryGeneral,
the Legal Counsel, have signed
this Proc~s-verbal.
PROTOCOLE DE NAGOYA SUR L'ACC~S AUX
RES SOURCES G~N~TIQUES ET LE PARTAGE
JUSTE ET ~QUITABLE DES AVANTAGES
D~COULANT DE LEUR UTILISATION RELATIF ~ LA CONVENTION SUR LA
DIVERSIT~ BIOLOGIQUE,
ADOPT~ ~ NAGOYA LE 29 OCTOBRE 2010
PROC~S-VERBAL DE RECTIFICATION
DE L'ORIGINAL DU PROTOCOLE
LE SECR~TAIRE G~N~RAL DE L'ORGANISATION
DES NATIONS UNIES, agissant en sa qualit~
de d~positaire du Protocole de Nagoya sur
l'acc~s aux ressources g~n~tiques et le
partage juste et ~quitable des avantages
d~coulant de leur utilisation relatif ~
la Convention sur la diversit~
biologique, adopt~ ~ Nagoya le 29 octobre
2010 (Protocole),
CONSID~RANT que plusieurs articles du
texte original du Protocole (version
fran~aise) contiennent des erreurs,
CONSID~RANT que les propositions de
corrections correspondantes ont ~t~
communiqu~es ~ tous les Etats int~ress~s
par la notification d~positaire
C.N.115.2011.TREATIES-7 en date du
18 mars 2011,
CONSID~RANT qu' au 16 juin 2011, date ~
laquelle le d~lai sp~cifi~ pour la
notification d'objection aux corrections
propos~es a expir~, aucune objection n'a
~t~ notifi~e,
A FAIT PROC~DER dans le texte original
dudit Protocole aux corrections indiqu~es
en annexe au pr~sent proc~s-verbal,
lesquelles corrections s' appliquent
~galement aux exemplaires certifi~s
conformes du Protocole, ~tablis le
14 d~cembre 2010 (rediffus~s le 30 mars
2011).
EN FOI DE QUOI, Nous,
Patricia O'Brien, Secr~taire g~n~ral
adjoint, Conseiller juridique, avons
sign~ le pr~sent proc~s-verbal.
Done at the Headquarters of the United
Nations, New York, on 17 June 2011.
Fait au Si~ge
Nations Unies,
17 juin 2011.
de l'Organisation des ~ New York, le
Patricia O'Brien
C.N.356.2011.TREATIES-26 (Annex/Annexe)
\
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Pr~ambule, Reconnaissant que la sensibilisation Reconnaissant que la sensibilisation
g°"° consid~rant ( ... ) et au partage juste et equitable ( ... ) (...) et le partage juste et ~quitable
est une importante mesure d'incitation (...) sontd'importantesmesures
disponible ... d'incitation disponibles ...
Pr~ambule,
g°""° consid~rant ... d'assurer la certitude juridique ... ... d'assurer la scurit~ juridique ...
Pr~ambule, Reconnaissant ~galement le role yital Reconnaissant ~galement le role
44°"° consid~rant des femmes en mati~re d'acc~s et de capital que jouentles femmes en
partage des avantages et affirmant la mati~re d'acc~s et de partage des
n~cessit~ d'une participation pleine et avantages et affirmant la n~cessit~
enti~re des femmes ~ tous les niveaux d'assurer leur pleine participation ~
du d~veloppement et de l'application tous les niveaux aux d~cisions
des politiques pour la conservation de politiques concernant la
la diversit~ biologique, conservation de la diversit~
biologique et ~ leur application,
Pr~ambule, ... dans des situations o~ il n'est pas ... dans des situations
13° consid~rant possible d'accorder •.. transfrontali~res ou
pour lesquelles il n'est pas possible
d'accorder ...
Pr~ambule, ... n~cessitant des solutions ... n~cessitant des solutions
15 consid~rant distinctives, particuli~res,
Pr~ambule, ... pour assurer la s~curit des ... pour assurer la_s~curit~
46° consid~rant aliments ... alimentaire ...
Pr~ambule, Conscientes du R~glement sanitaire Tenant compte du R~glement
47°" consid~rant
international (2005) et de l'importance sanitaire international (2005) de
d'assurer ... Organisation mondiale de la_sant~
et de l'importance d'assurer ...
Pr~ambule, Reconnaissant les travaux en cours sur Reconnaissant les travaux en cours
1g°° consid~rant l'acc~s et le partage des avantages sur l'acc~s et le partage des
dans diff~rentes instances, avantages dans d'autres instances
internationales,
R~f~rence Version fran~aise Corrections
Pr~ambule, Rappelant le programme multilateral Rappelant le Syst~me multilat~ral 49 consid~rant sur l'acc~s gt le partage des d'acc~s et de partage des
avantages avantages
Pr~ambule, Notant_le lien d'interd~pendance
22~me consid~rant Prenant note du lien entre les ressources g~n~tiques et les.
d'interd~pendance entre les ressources connaissances traditionnelles,le fait
g~n~tiques et les connaissances gue ces ressources et ces
traditionnelles et le caract~re connaissances sont indissociables
ins~parable de ces ressources pour pour les communaut~s autochtones
les communaut~s autochtones et et locales, et l'importance des
locales, de l'importance des connaissances traditionnelles ( ... )
connaissances traditionnelles ( ... ) et ainsi que pour la p~rennit~ des
pour la p~rennit~ des moyens de moyens de subsistance des
subsistance de ces communaut~s, communaut~s concern~es,
Pr~ambule, Reconnaissant la diversit~ des Reconnaissant la diversit~ des
23~me consid~rant circonstances dans lesquelles les contextes dans lesquels les
connaissances traditionnelles sont connaissances traditionnelles
d~tenues ... associ~es aux ressources
g~n~tiques sont d~tenues ...
Pr~ambule, Reconnaissant en outre les Reconnaissant ~qalementles
25~me consid~rant circonstances unigues dans formes particuli~ressous
lesquelles certains pays poss~dent des lesquelles certains pays poss~dent
connaissances traditionnelles associ~es des connaissances traditionnelles
aux ressources g~n~tiques, prales ou associ~es aux ressources
document~es ou sous d'autres g~n~tiques, gue ces formes soient
formes,refl~tant un riche patrimoine orales, documentaires pu_autres, et
culturel pr~sentant un int~r~t pour la qui_refl~tent un riche patrimoine
conservation et !'utilisation durable de la culturel pr~sentant un int~r~t pour la
diversit~ biologique, conservation et l'utilisation durable de
la diversit~ biologique,
Pr~ambule, Affirmant gue rien dans le pr~sent Affirmant gu'aucune disposition du
27~me consid~rant Protocole ne doit ~tre interpr~t~ de pr~sent Protocole ne peut ~tre
fa~on ~ diminuer ou_~ supprimer les interpr~t~g comme entrainantla
droits que poss~dentles diminution ou l'extinction de droits
communaut~s autochtones et gue les communaut~s autochtones
locales, gt locales pnt d~j~,
ART 1 Article 1 Article premier
ART 2 e) derni~re ... fonctionnelles d'h~r~dit~ ... fonctionnelles de l'h~r~dit~
ligne
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';
ART3 ... aux ressources g~n~tiques qui ... aux ressources g~n~tiques qui
rel~vent de la comp~tence de l'article entrent dans le champ
15 de la Convention ( ... ) aux d'application de l'article 15 de la
ressources g~n~tiques relevant de la Convention ( ... ) aux ressources
comp~tence de la Convention g~n~tiques qui entrent dans le
champ d'application de la
Convention ...
ART 4 le titre Relation avec les autres accords Relation avec les accords
et instruments internationaux et instruments internationaux
ART 4 .1 ... d~coulant pour une Partie ... d~coulant pour une Partie d'un
contractante d'un accord ( ... ) causait accord (...) devait_causer des
des~rieuxdommages~la diversit~ dommaqes qraves ~_la diversit~
biologigue ou constituait biologigue ou constituer pour elle
pour elle une menace .... une menace grave ....
ART 4.2 Rien dans le pr~sent Protocole Rien dans le pr~sent Protocole
n'emp@che l'~laboration et n'emp@chg les Parties d'~laborer et
l'application d'autres accords d'appliquer d'autres accords
internationaux pertinents, y compris pertinents, y compris d'autres accords
d'autres accords sp~cialis~s d'acc~s sp~ciaux en mati~red'acc~s et de
et de partage des avantages, a partage des avantages, a condition
condition gu'ls soutiennent et gu'ils favorisent les objectifs de la
n'aillent pas a l'encontre des Convention et du pr~sent
pbiectifs de la Convention et du Protocole et n'aillent pas a leur
pr~sent Protocole. encontre.
ART4.3 Le pr~sent Protocole est appliqu~_de Le pr~sent Protocole s'applique
mani~re compl~mentaire auxautres dans un esprit de compl~mentarit~
instruments internationaux qui s'y r~ciproque avec les autres
rapportent. ( ... ) a condition qu'ils instruments internationaux
soutiennent et_n'aillent pas a pertinents. ( ... ) a condition gu'ils
lencontre de obiectifs de la favorisentles obiectifs de la
Convention et du pr~sent Protocole Convention etdu pr~sent
Protocoleetn'aillentpas ~_leur
encontre.
ART 4.4 Le pr~sent Protocole est ['instrument Le pr~sent Protocole est l'instrument
de l'application des dispositions de la d'application des dispositions de la
Convention relatives ~ l'acc~s et au Convention relatives ~ l'acc~s et au
partage des avantages. Lorsgue un partage des avantages. Lorsqu'un
instrument international sp~cialis~ en instrument international sp~cialsur
mati~re d'acc~s et de partaqe des lacc~s et le partaqe des avantages
avantages s'applique ( ... ) et ne va pas s'applique ( ... ) et ne va pas a ~ l'encontre de ceux-ci, le pr~sent l'encontre de ces obiectifs, le
Protocole ne s'applique pas pour la ou pr~sent Protocole ne s'applique pas
- 3 -
R~f~rence Version fran~aise Corrections
les partie(s) contractante(s) ~ pour la ou les Parties a cet
instrument sp~cialis~ en ce qui instrument sp~cial en ce qui
concerne la ressource g~n~tique concerne la ressource g~n~tique
sp~cifique couverte par l'instrument sp~cifique couverte par [edit
Sp~cialis~ et pour les besoins de celuiinstrument
et pour les besoins de
ci. celui-ci.
ART 5.1 ligne 2 ... d~coulant de ]'_utilisation des ... d~coulant de l'utilisation des
ressources ... ressources ...
ART 5.1 ligne 3 ... de la commercialisations ... . .. de la commercialisation ...
ART 5.2 Chaque Partie prend les mesures Chaque Partie prend des mesures
l~gislatives, administratives ou de l~gislatives, administratives ou de
politique n~cessaires afin de politique g~n~rale, selon qu'il
s'assurer que les avantages d~coulant convient, dansle but d'assurer que
de l'utilisation des ressources les avantages d~coulant de
g~n~tiques qui sont d~tenues par les l'utilisation des ressources g~n~tiques
communaut~s autochtones et locales, qui sont d~tenues par les
conform~ment au droit interne relatif communautes autochtones et locales
aux droits ~tablis de ces conform~ment au droit interne relatif
communaut~s autochtones et aux droits desdites communaut~s
locales sur ces ressources surcesressources, sont partag~s
g~n~tiques, sont partag~s de mani~re de mani~re juste et ~quitable avec
juste et ~quitable avec les ces communaut~s selon des
communaut~s concern~es conditions convenues d'un commun
conform~ment ~ des conditions accord.
convenues d'un commun accord.
ART 5.3 ... les mesures l~gislatives, ... les mesures l~gislatives,
administratives ou de politigue administratives ou de politigue
n~cessaires ... g~n~rale n~cessaires ...
ART 5.5 Chaque partie prend les mesures Chaque partie prend les mesures
l~gislatives, administratives ou de legislatives, administratives ou de
politique n~cessaires pour assurer le politique q~n~rale,selon qu'il
partaqe juste et ~quitable des convient, afin que les avantages
avantages d~coulant de l'utilisation des d~coulant de l'utilisation des
connaissances traditionnelles associ~es connaissances traditionnelles
aux ressources g~n~tiques avec les associ~es aux ressources
communaut~s autochtones et locales g~n~tiques soient partaq~s de
d~tentrices de ces connaissances. Ce mani~re juste et ~quitable avec les
partage est soumis ~_des conditions communaut~s autochtones et locales
convenues d'un commun accord. d~tentrices de ces connaissances. Ce
partage s'effectue selon des
conditions convenues d'un commun
accord.
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ART 6.1 Dans l'exercice de ses droits Dans l'exercice de ses droits
souverains sur ses ressources V souverains sur ses ressources
naturelles et conform~ment ~ sa naturelles et conform~ment aux
l~gislation ou ~ ses exigences dispositions l~qislatives ou
r~qlementaires nationales en mati~re r~qlementaires internes en mati~re
d'acc~s et de partage des avantages, d'acc~s et de partage des avantages,
l'acc~s aux ressources g~n~tiques pour l'acc~s aux ressources g~n~tiques en
leur utilisation est subordonn~ au vue de leur utilisation est soumis au
consentement pr~alable donn~ en consentement pr~alable donn~ en
connaissance de cause par la Partie connaissance de cause de la Partie
qui fournit lesdites ressources, qui est le qui fournit lesdites ressources, qui est
pays d'origine desdites ressources ou le pays d'origine desdites ressources
une Partie qui a acguis les ressources ou une Partie qui les a acguises
g~n~tiques conform~ment ~ la conform~ment ~ la Convention, sauf
Convention, sauf mention contraire par d~cision contraire de cette Partie.
la Partie en guestion.
ART 6.2 Conform~ment ~ la l~gislation interne, Conform~ment ~ sa l~gislation
chaque Partie prend les mesures interne, chaque Partie prend,selon
n~cessaires pours'assurer que le gu'il convient, les mesures
consentement pr~alable donn~ en appropri~es pour obtenir le
connaissance de cause ou l'accord et la consentement pr~alable donn~ en
participation des communaut~s connaissance de cause ou l'accord et
autochtones et locales est obtenue la participation des communaut~s
pour l'acc~s aux ressources g~n~tiques autochtones et locales pour l'acc~s
lorsqu'elles ont le droit~tabli aux ressources g~n~tiques, d~s lors
d'accorder lacc~s ~ ces ressources. gue leur droitd'accorder lacc~s ~
ces ressources est ~tabli.
ART 6.3 ... chaque Partie qui exige le ... chaque Partie qui exige le
consentement (...) prend les mesures consentement ( ... ) prend,selon gu'il
l~gislatives, administratives gt de convient, les mesures l~gislatives,
politique n~cessaires en vue de: administratives ou de politique
g~n~rale appropri~es pour:
ART 6.3 a) Assurer la certitude juridique, la clart~ Assurer la s~curit~ juridique, la
et la transparence de ses exigences clart~ et la transparence de ses
internes ... dispositions l~qislatives ou
r~glementairesinternes ...
ART 6.3 b) Pr~voir des r~gles et proc~dures justes Pr~voir des r~gles et proc~dures
et non arbitraires ... ~quitables et non arbitraires ...
ART 6.3 d) Pr~voir une d~cision ~crite claire et Pr~voir une d~cision ~crite d'une
transparente d'une autorit~ nationale, autorit~ nationale, qui soitrendue de
de_mani~re ~conomique et dans un fa~on claire et transparente, sans
d~lai raisonnable; engendrer de co~ts excessifs, et
dans un d~lai raisonnable;
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ART 6.3 e) Pr~voir la d~livrance au moment de Pr~voir la d~livrance, au moment de
l'acc~s d'un permis ou son l'acc~s auxressources q~n~tiques,
~quivalent comme preuve de la d'un permis ou_d'un document
d~cision d'accorder le consentement ~quivalent attestant de l'adoption
pr~alable ... de la d~cision d'accorder le
consentement pr~alable ...
ART 6.3 g) Etablir des r~gles et des proc~dures ~tablir des r~gles et des proc~dures
claires sur la demande et la d~finition claires relatives ~ la demande et ~
de conditions convenues d'un commun l~tablissement de conditions
accord .... convenues d'un commun accord ....
ART7 Chaque Partie prend_les mesures Conform~ment ~ sa l~qislation,
n~cessaires pours'assurer chaque Partie prend, selon qu'il
gue l'acc~s aux connaissances (...) convient, les mesures appropri~es
autochtones et locales conform~ment pour faire en sorte que l'acc~s aux
~_sa l~qislation interneet queles connaissances ( ... ) autochtones et
conditions convenues ... locales, et que des conditions
convenues ...
ART8 En ~laborant et en mettant en cuvre sa En ~laborant et en mettant en cuvre
l~qislation ou ses exigences ses dispositions l~islatives ou
r~qlementaires ... r~qlementaires ...
ART 8 a) ligne 2 ... biologique et a en assurer l'utilisation ... biologique et a son utilisation
durable ... durable ...
ART 8 a) ligne 5 ... commerciales, compte tenu de la ... commerciales, compte tenu de la
n~cessit~ d'aborder le changement n~cessit~ de prendre en
d'intention de cetterecherche; consid~ration le changement
d'intention quant aux objectifs de
cette recherche;
ART 8 b) ligne 4 ... la n~cessit~ de mesures ... la n~cessit~ d'acc~l~rer l'acc~s
exp~ditiyes d'acc~s rapide aux aux ressources g~n~tiques et le
ressources g~n~tiques et de partage partage juste et ~quitable des
juste et ~quitable des avantages avantages d~coulant de leur
d~coulant de leur utilisation, y compris utilisation, y compris l'acc~s ~ des
lacc~s de ceux qui sont dans le traitements abordables pour ceux
besoin, en particulier les pays en qui sont dans le besoin, en particulier
d~veloppement, ~ des traitements dans les pays en d~veloppement;
abordables;
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ART9 Les Parties encouragent les utilisateurs Les Parties encouragent les
et les fourn.isseurs a orienter les utilisateurs et les fournisseurs ~
avantages d~coulant de l'utilisation des affecter les avantages d~coulant de
ressources g~n~tiques yers la l'utilisation des ressources g~n~tiques
conservation de la diversit~ biologique ~ la conservation de la diversit~
et l'utilisation durable de ses ~l~ments biologique et ~ l'utilisation durable de
constitutifs ses ~l~ments constitutifs.
ART. 10 Les Parties consid~rent la n~cessit~ et Les Parties examinent la n~cessit~ et
les modalit~s ( ... ) dans des situations les mod a lites ( ... ) dans des situations
transfronti~res (...). Les avantages transfronti~res (...). Les avantages
partag~s par les utilisateurs (...) par partag~s au_moven de ce
l'interm~diaire de cem~canisme(...) m~canisme par les utilisateurs (...)
pour soutenir la conservation de la pour favoriser la conservation .de la
diversit~ biologique et l'utilisation diversit~ biologique et l'utilisation
durable de ses ~l~ments constitutifs. durable de ses ~l~ments
constitutifs ~ l'~chelle mondiale.
ART, 11.1 Lorsque les m~mes ressources Lorsque les m~mes ressources
g~n~tiques sont situ~es in situ sur le g~n~tiques sont situ~es in situ sur le
territoire de plus d'une Partie ... les territoire de plus d'une Partie, les
Parties concern~es s'efforcent de Parties concern~es s'efforcent de
coop~rer, selon qu'il convient, avec la coop~rer, selon qu'il convient, gn vue
participation des communaut~s d'appliquer le pr~sent Protocole,
autochtones et locales concern~es, s'il avec la participation des
y a lieu, afin d'appliquer le pr~sent communaut~s autochtones et locales
Protocole. concern~es s'il y a lieu.
ART, 11.2 ... en vue d'appliquer l'objectif du ... en vue de r~aliser l'objectif du
Protocole. Protocole.
ART 12.1 En s'acguittant de leurs obligations En mettant en oouvre les
aux termes du_pr~sent Protocole,les obligations gui leur incombent en
Parties tiennent d~ment compte, vertu du pr~sent Protocole, les
conform~mentau droit interne,s'ily Parties,en conformit~ avec leur
a_lieu des lois, des protocoles gt droit interne, tiennent compte,s'ily
proc~dures communautaires, des a_lieu, du droit coutumier des
communaut~s autochtones et locales communaut~s autochtones et locales
relatives aux connaissances ainsi_que de leurs protocoles et
traditionnelles associ~es aux proc~dures, pour tout ce qui
ressources g~n~tiques. concerne les connaissances
traditionnelles associ~es aux
ressources g~n~tiques.
ART 12.2 ... les Parties_mettent sur pied des . . . les Parties ~tablissent des
m~canismes ... m~canismes ...
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ART 12.3 c) Clauses contractuelles mod~les pour Clauses contractuelles type pour le
le partage des avantages ... partage des avantages ...
ART 13.1 a) ligne 3 ... et la conclusion de conditions ... et sur l'obligation d'~tablir des
convenues d'un commun accord, ... conditions convenues d'un commun
accord, ...
ART 13.1 b) ligne 5 ... et la conclusion de conditions ... et sur l'obligation d'~tablir des
convenues d'un commun accord, ... conditions convenues d'un commun
accord,
ART 13.1 c) ... est responsable d'assurer la ... est responsable de la liaison ...
liaison ...
ART 13.2 ligne 2 ... Les autorit~s nationales ... Les autorit~s nationales
comp~tentes sont_charges, comp~tentes, en conformitavec
conform~ment aux mesures lesmesures l~gislatives gt
l~qislatives, administratives gt de administratives ainsi gue Jes
politique nationales en viqueur, ... politiques nationales applicables,
sont charges, ...
ART 13.3 ligne 2 ... de correspondant et d'autorit~ ... de correspondant national et
nationale comp~tente. d'autorit~ nationale comp~tente.
ART 13.4 Chaque Partie communique au Chaque Partie communique au
Secr~tariat (...) ~ la date d'entr~e en Secr~tariat (...) ~ la date d'entr~e en
vigueur du pr~sent Protocole, les vigueur du pr~sent Protocole pour
coordonn~es de son correspondant elle, les coordonn~es de son
national et de l'autorite ou des correspondant national et de son
autorit~s nationales comp~tentes (...) autorit~ ou sesautorit~s nationales
de la d~signation de son correspondant comp~tentes (...) de la d~signation de
national, de ses coordonn~es,ou ... son correspondant national ou des
coordonn~es ou ...
ART 14 Titre Centre d'~change sur l'acc~s et le Centre d'~change sur l'acc~s et le
partage des avantages et ~change partage des avantages et ~change
d'information d'informations
ART 14.1 derni~re ... il permet d'acc~der aux informations ... il permet d'acc~der aux
ligne pertinentes pour l'application du informations pertinentes gue fournit
Protocole gue fournit chague Partie. chague Partie pour l'application du
Protocole.
ART 14.2 c} Des permis ou ~quivalents d~livr~s au Les permis ou documents
moment de l'acc~s comme preuve de ~quivalents d~livr~s au moment de
la d~cision d'accorder le consentement l'acc~s pour attester de la d~cision
pr~alable donn~e en connaissance de d'accorder le consentement pr~alable
cause ou la conclusion de conditions ... en connaissance de cause et de la
conclusion de conditions ...
ART 14.3 ... pourraient inclure : ... peuvent inclure :
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ART 14.3 a) ... ainsi qu'il en est d~cid~; ... selon qu'il en est d~cid~;
ART 14.3 b) Les clauses contractuelles mod~les; Les clauses contractuelles type;
ART 15 Titre Respect de la_l~gislation ou des Respect des dispositions
exigences internes relatives~l'acc~s l~gislatives our~qlementaires
et au partage des avantages internes surl'acc~s et le partage
des avantages
ART 15.1 Chaque Partie prend des mesures Chaque Partie prend des mesures
l~gislatives, administratives ou de l~gislatives, administratives ou de
politique appropri~es, efficaces et politique q~n~rale appropri~es,
proportionn~es afin de garantir que les efficaces et proportionn~es afin de
ressources g~n~tiques exploit~es garantir que les ressources
dans sa juridiction ont ~t~ soumises au g~n~tiques ytilis~es sous sa
consentement pr~alable (...) ~ la juridiction ont ~t~ soumises au
l~gislation et aux exigences consentement pr~alable (...) aux
internes ... dispositions l~qislatives ou
r~qlementairesinternes ...
ART 15.3 ligne 2 ... en cas de violation pr~sum~e de la ... en cas de violation des
l~gislation ou des exigences internes dispositions l~qislatives ou
en mati~red'acc~set departaqe ... r~glementaires internes relatives~
l'acc~s et au partage ...
ART 16 Titre Respect de la l~gislation ou des Respect des dispositions
exigences_internes en mati~re l~qislatives our~qlementaires
d'acc~s et de partage des avantages internes relatives ~ l'acc~s et au
relatifs aux connaissances partage des avantages portant sur
traditionnelles associ~es aux les connaissances traditionnelles
ressources g~n~tiques associ~es aux ressources
g~n~tiques.
ART 16.1 Chaque Partie prend les mesures Chaque Partie prend des mesures
l~gislatives, administratives ou de l~gislatives, administratives ou de
politique n~cessaires pour assurer politique q~n~rale appropri~es,
que (...) ressources g~n~tiques efficaces et proportionn~es,selon
exploit~es dans leur juridiction (...) gu'il convient, afin de qarantir que
conform~ment ~_la_l~gislation ou aux (...) ressources g~n~tiques utilis~gs
exigences internes.... sous sa juridiction (...)
conform~ment aux dispositions
l~gislatiyes our~qlementaires
internes ...
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ART 16.3 derni~re ... de la l~gislation ou des exigences ... des dispositions l~qislatives ou
ligne internes ... r~glementairesinternes ...
ART.17.1 Afin de soutenir la_conformit~, chaque Afin de favoriser le respect des
Partie prend les mesures n~cessaires, r~qles applicables, chaque Partie
selon qu'il convient, pour surveiller prend des mesures appropri~es
l'utilisation et augmenter la pour surveiller l'utilisation des
transparence concernant l'utilisation ressources q~n~tiques et
des ressources q~n~tiques. ... augmenter la transparence
concernant cette utilisation ....
ART. 17.1 a) i) ligne 1 ... les points de contr~le d~sign~s ... les points de contr~le d~sign~s
recueilleraient et recevraient ... recueillentetre~oivent ...
ART 17.1 a) i) ligne 2 . . . les informations concernant . . . les informations pertinentes
l'obtention ... concernant l'obtention ...
ART 17.1 a) i) ligne 4 ... l'~tablissement de conditions ... l'existence de conditions
convenues d'un commun accord convenues d'un commun accord
ART 17.1 a) iii) ligne 6...
sans pr~judice de l'information ... sans pr~judice des informations
7 confidentielle; confidentielles;
ART 17.1 a) iv) ligne 1 Les points de controle doivent ~tre Les points de contr~le doivent ~tre
efficaces et leurs fonctions se pp~rationnels et leurs fonctions
rapporter ~ l'application de cet alin~a doivent correspondre ~ l'application
a) .... des dispositions du pr~sent alin~a
a) ....
ART 17.1 a) iv) ligne 2 ... lls s'inscrivent dans le cadre des ... lls doivent ~tre en lien avec
ressources g~n~tiques ou de la collecte l'utilisation des ressources
d'informations pertinentes a tout stade g~n~tiques ou ~_la collecte
de la recherche, ... d'informations pertinentes, entre
autres, ~ tout stade de la
recherche, ...
ART 17.1 b) Encourager les utilisateurs et les L'encouragement des utilisateurs et
fournisseurs de ressources g~n~tiques des fournisseurs de ressources a inclure, dans les conditions g~n~tiques ~ inclure, dans les
convenues d'un commun accord, de conditions convenues d'un commun
!'information sur l'application de ces accord, des clauses relatives au
dispositions, notamment par partage de l'information
l'obligation de faire rapport; concernant la mise en oouvre de
ces conditions, y compris en
pr~voyant l'obligation de pr~senter
un rapport;
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ART 17.1 c) Encourager l'utilisation d'outils et de L'encouragement de l'utilisation
syst~mes de communication efficaces d'outils et de syst~mes de
par rapport au co~t, communication efficaces et
~conomiques.
ART 17.2 Un permis ou son ~quivalent ... Un permis ou un document
~quivalent ...
ART 17.3 Un certificat de conformit~ reconnu ~ Un certificat de conformit~ reconnu ~
l'~chelle internationale sert de preuve l'~chelle internationale prouve que
que l'acc~s de la ressource g~n~tique l'acc~s ~ la ressource g~n~tique dont
auguel ii se rapporte a fait l'objet d'un ii traite a fait l'objet d'un
consentement pr~alable donn~ en consentement pr~alable donn~ en
connaissance de cause et de la connaissance de cause et gue des
' conclusion de conditions convenues conditions convenues d'un commun
d'un commun accord, ainsi gu'il est accord pnt_~t~ ~tablies,
pr~cis~ dans la l~qislation ou la conform~ment aux dispositions
r~qlementation interne relative~ l~gislatiyes our~qlementaires
l'acc~s et au partage des avantages de internes relatives ~ l'acc~s et au
la Partie gui donne le consentement partage des avantages de la Partie
pr~alable en connaissance de cause. accordant le consentement
pr~alable donn~ en connaissance de
cause.
ART 17.4 d) L'identificateur du certificat; L'identifiant unigue du certificat;
ART 18 Titre Conformit~ aux conditions ... Respect des conditions ...
ART 18.1 b) La loi applicable; ... Le droit applicable; ...
ART 18.1 c) L_es possibilit~s de r~qlement La possibilit~ de recourir ~d'autres
extrajudiciaire des diff~rends, telles modes de r~qlement des diff~rends,
gue la m~diation et l'arbitrage. tels que la m~diation et l'arbitrage.
ART 18.2 Chaque Partie veille a garantir la Chaque Partie veille a garantir la
possibilit~ de recours dans leurs possibilit~ de recours dans son
syst~mes juridiques, conform~ment syst~me juridique, conform~ment
aux conditions juridictionnelles aux r~qles juridictionnelles
applicables, en cas de diff~rend applicables, en cas de diff~rend
concernant les conditions convenues concernant les conditions convenues
d'un commun accord. d'un commun accord.
ART 19 Titre Clauses contractuelles mod~les Clauses contractuelles type
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ART 19.1 ligne 2 ... I' utilisation de clauses ... l'utilisation de clauses
contractuelles mod~les sectorielles contractuelles type sectorielles et
et intersectorielles ... intersectorielles ...
ART 19.2 ligne 3 ... I 'utilisation des clauses .. .I 'utilisation des clauses
contractuelles mod~les sectorielles contractuelles type sectorielles et
et intersectorielles. intersectorielles.
ART 20 Titre Codes de conduite, lignes directrices Codes de conduite, lignes directrices
et/ou_normes de meilleures pratiques et bonnes pratiques et/ou_normes
ART 20.1 ligne 2 ... de codes de conduite, lignes ... de codes de conduite volontaires,
directrices et de meilleures pratiques de lignes directrices et bonnes
et/ou normes ... pratiques et/ou normes ...
ART 20.2 ligne 2 et 3 ... de codes de conduite, lignes ... de codes de conduite volontaires,
directrices, meilleures pratiques et/ou de lignes directrices, et bonnes
normes ... pratiques et/ou normes...
ART 21 e) ligne 1 et 2 ... codes de conduite, de lignes ... codes de conduite yolontaires,
directrices, de meilleures pratiques de lignes directrices, et bonnes
et/ou normes ... pratiaues et/ou normes...
ART 22.1 ligne 4 et 5 ... et dans les petits Etats insulaires en . .. et dans les petits Etats insulaires
d~veloppement, ... en d~veloppement parmi eu, ...
ART 22.3 Les pays en d~veloppement Parties, Pour servir de base~l'adoption de
en particulier les pays les mains mesures appropri~es pour
avanc~s et les petits Etats insulaires en l'application du pr~sent Protocole,
d~veloppement parmi eux, ainsi que les les pays en d~veloppement Parties,
Parties ~ ~conomie en transition en particulier les pays les mains
identifient leurs besoins et leurs avanc~s et les petits Etats insulaires
priorit~s en mati~re de capacit~s en d~veloppement parmi eux, ainsi
nationales au moyen d'auto~valuations que les Parties ~ ~conomie en
des capacit~s nationales comme transition, identifient leurs besoins et
assise pour la prise de mesures leurs priorit~s en mati~re de capacit~s
appropri~es aux fins d'application du nationales au moyen
pr~sent Protocole. ... d'auto~valuations des capacit~s
nationales ....
ART 22.4 En soutien de l'application du Pour favoriser la mise en cuvre du
Protocole ... Protocole ...
ART 22.4 a) . . . aux obligations aux termes de ... aux obligations gui en r~sultent;
celui-ci;
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ART 22.4 c) . . . et de faire respecter des mesures . . . et de faire respecter des
l~gislatives, administratives ou de mesures l~gislatives,
politique int~rieures en mati~re administratives ou de politigue
d'acc~s ... g~n~rale internes en mati~re
dacc~s ...
ART 22.5 b) La promotion de l'~quit~ et de la La promotion de l'~quit~ et de la
justice, com me la formation ... justice, par exemple par la
formation ...
ART 22.5 c) La surveillance et l'imposition de la La surveillance du respect des
conformit~; r~qles et la_mise en conformit~
avec celles-ci;
e
ART 22.5 g) Le transfert de technologie, ainsi que Le transfert de technologie, ainsi que
l'infrastructure et la capacit~ les infrastructures et la capacit~
technique d'en assurer la p~rennit~; technique permettant d'en assurer
la p~rennit~;
ART23 Les Parties entreprennent, appuient Les Parties s'enqagent ~ appuyer et
gt encouraqent l'acc~s des pays en ~_encourager l'acc~s des pays en
d~veloppement Parties ( ... ), en d~veloppement Parties (...), en
particulier les pays les moins avanc~s particulier les pays les moins avanc~s
et les petits ~tats insulaires en et les petits Etats insulaires en
d~veloppement (...) Dans la mesure du d~veloppement parmi eux (...) Dans
possible et selon qu'il convient, ces la mesure du possible et selon qu'il
activit~s de collaboration ont lieu dans convient, ces activit~s de
et avec une OU plusieurs Parties collaboration ant lieu sur le territoire
fournissant les ressources g~n~tiques et avec la participation de la Partie
qui est (sont) le(s) pays d'origine de ou des Parties fournissant les
ces ressources, OU une OU plusieurs ressources g~n~tiques guisontles
Parties qui ont acquis les ressources pays d'origine de ces ressources, ou
g~n~tiques conform~ment ~ la d'une ou plusieurs Parties qui ant
Convention. acquis lesdites ressources
conform~ment ~ la Convention.
ART 25.4 ... et des petits Etats insulaires en ... et des petits Etats insulaires en
d~veloppement, ... d~veloppement parmi eux, ...
ART 25.6 ... dans le cadre d'arrangements ... par des voies bilat~rales, ...
bilat~raux, ...
ART 26.4 ... suit l'application du Protocole ... ... suit r~quli~rement l'application du
Protocole ...
R~f~rence Version fran~aise Corrections
ART 26.4 d) ... les rapports sou mis par ses organes ... les rapports sou mis par tout
subsidiaires; organe subsidiaire;
ART 26.4 e) ... ainsi gu'~ toute annexe ... ainsi gue toutes annexes
additionnelle au Protocole, ... additionnelles au Protocole, ...
ART 27.3 ... exerce ses fonctions en tant ... exerce ses fonctions sur des
gu'orqane subsidiaire du Protocole, questions concernant le pr~sent
... Protocole, ...
ART29 ... ~ des intervalles r~guliers gt sous la ... ~des intervalles r~guliers d~cid~s
forme d~cid~s par la Conf~rence des par la Conf~rence des Parties (...) les
Parties ( ... ) les mesures qu'elle a prises mesures qu'elle a prises pour en
pour appliquer les dispositions du appliquer les dispositions.
pr~sent Protocole.
ART36 EN FOI DE QUOI les soussign~s, ~ ce EN FOI DE QUOI les soussign~s, ~
document habilit~s, ont sign~ le ce d~ment habilit~s, ont sign~ le
pr~sent Protocole aux dates indiqu~es. pr~sent Protocole aux dates
indiqu~es.
Annexe 2 f) ... ~ des conditions justes et les plus ... ~ des conditions ~quitables et
favorables, y compris ~ des gui soient les plus favorables, y
conditions de fayeur et pr~f~rentielles compris ~_des conditions
s'il en est ainsi convenu d'un commun privil~gi~es et pr~f~rentielles s'il en
accord, et en particulier transfert des est ainsi convenu, en particulier des
connaissances et de la technologie ... connaissances et de la technologie ...
Annexe 2n) ... qui peuvent d~couler d'un accord ... qui peuvent d~couler d'un accord
d'acc~s et de partage des avantages et d'acc~s et de partage des avantages
activit~s de collaboration ... et des activit~s de collaboration ...
- 14 -
(XXVII.8.b)
Attention: Treaty Services of Ministries of Foreign Affairs and of international organizations concerned.
Depositary notifications are issued in electronic format only. Depositary notifications are made available to
the Permanent Missions to the United Nations in the United Nations Treaty Collection on the Internet at
http://treaties.un.org, under "Depositary Notifications (CNs)". In addition, the Permanent Missions, as well
as other interested individuals, can subscribe to receive depositary notifications by e-mail through the Treaty
Section's "Automated Subscription Services", which is also available at http://treaties.un.org.
Reference: C.N.711.2011.TREATIES-70 (Depositary Notification)
NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE
FAIR AND EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR
UTILIZATION TO THE CONVENTION ON BIOLOGICAL DIVERSITY
NAGOYA, 29 OCTOBER 2010
PROPOSAL OF CORRECTIONS TO THE ORIGINAL TEXT OF THE PROTOCOL
(FRENCH VERSION) AND TO THE CERTIFIED TRUE COPIES1
The Secretary-General of the United Nations, acting in his capacity as depositary,
communicates the following:
The attention of the Secretary-General has been drawn to apparent errors in various articles of
the original of the Protocol (authentic French text) as reproduced in the certified true copies circulated
by depositary notification C.N.783.2010.TREATIES-2 (Reissued) of 30 March 2011 and corrected by
Procès-verbal1 of 17 June 2011.
….. The Annex to this notification contains the proposed corrections to the authentic French text.
In accordance with the established depositary practice, unless there is an objection to effecting
a particular correction from a Signatory State or a Contracting State, the Secretary-General proposes to
effect in the said articles of the original of the Protocol, the proposed corrections to the French text.
Such corrections would also apply to the certified true copies.
Any objection should be communicated to the Secretary-General within 90 days from the date
of this notification, i.e., no later than 30 January 2012.
1 November 2011
___________________
1 Refer to depositary notification C.N.356.2011.TREATIES-26 of 17 June 2011
(Corrections to the original text of the Protocol (French version) and to the certified true copies).
UNITED NATIONS NATIONS UNIES
POSTAL ADDRESS ADRESSE POSTALE UNITED NATIONS, N.Y. 10OTT
CABLE ADDRESS-ADRESSE TELEGRAPHIQUE UNATIONS NEWYORK
(XXVII.8.b)
Attention: Treaty Services of Ministries of Foreign Affairs and of international organizations concerned.
Depositary notifications are issued in electronic format only. Depositary notifications are made available to
the Permanent Missions to the United Nations in the United Nations Treaty Collection on the Internet at
http://treaties.un.org, under "Depositary Notifications (CNs)". In addition, the Permanent Missions, as well
as other interested individuals, can subscribe to receive depositary notifications by e-mail through the Treaty
Section's "Automated Subscription Services", which is also available at http://treaties.un.org.
Reference: C.N.53.2012.TREATIES-88 (Depositary Notification)
NAGOYA PROTOCOL ON ACCESS TO GENETIC RESOURCES AND THE
FAIR AND EQUITABLE SHARING OF BENEFITS ARISING FROM THEIR
UTILIZATION TO THE CONVENTION ON BIOLOGICAL DIVERSITY
NAGOYA, 29 OCTOBER 2010
CORRECTIONS TO THE ORIGINAL TEXT OF THE PROTOCOL (FRENCH VERSION) AND TO
THE CERTIFIED TRUE COPIES1
The Secretary-General of the United Nations, acting in his capacity as depositary,
communicates the following:
By 30 January 2012, the date on which the period specified for the notification of objection
to the proposed corrections expired, no objection had been notified to the Secretary-General.
Consequently, the Secretary-General has effected the required corrections to the original text of the
Protocol (French version) and to the certified true copies that were circulated by depositary notification
C.N.783.2010.TREATIES-2 of 14 December 2010 (reissued on 30 March 2011) and corrected by
Procès-verbal of 17 June 2011.
….. The Procès-verbal of rectification is transmitted herewith.
31 January 2012
1 Refer to depositary notification C.N.711.2011.TREATIES-70 of 1 November 2011
(Proposal of corrections to the original text of the Protocol (French version) and to the certified
true copies).
UNITED NATIONS NATIONS UNIES
POSTAL ADDRESS ADRESSE POSTALE UNITED NATIONS, N.Y. 10OTT
CABLE ADDRESS-ADRESSE TELEGRAPHIQUE UNATIONS NEWYORK
UNITED NATIONS NATIONS UNIES
NAGOYA PROTOCOL ON ACCESS TO GENETIC
RESOURCES AND THE FAIR AND EQUITABLE
SHARING OF BENEFITS ARISING FROM THEIR
UTILIZATION TO THE CONVENTION ON
BIOLOGICAL DIVERSITY,
ADOPTED AT NAGOYA ON 29 OCTOBER 2010
PROC~S-VERBAL OF RECTIFICATION
OF THE ORIGINAL OF THE PROTOCOL
THE SECRETARY-GENERAL OF THE UNITED
NATIONS, acting in his capacity as
depositary of the Nagoya Protocol on
Access to Genetic Resources and the Fair
and Equitable Sharing of Benefits Arising
from their Utilization to the Convention
on Biological Diversity, adopted at
Nagoya on 29 October 2010 {Protocol),
WHEREAS it appears that various
articles of the original text of the
Protocol (French version) contain errors,
WHEREAS the corresponding proposed
corrections have been communicated to all
interested States by depositary
notification C.N.711.2011.TREATIES-70
of 1 November 2011,
WHEREAS by 30 January 2012, the date on
which the period specified for the
notification of objections to the
proposed corrections expired, no
objection had been notified,
HAS CAUSED the corrections as indicated
in the annex to this Proc~s-verbal to be
effected in the original text of the said
Protocol, which corrections also apply to
the certified true copies of the
Protocol, established on 14 December 2010
(reissued on 30 March 2011) and corrected
by Proc~s-verbal of 17 June 2011.
IN WITNESS WHEREOF, I,
Patricia O'Brien, Under-SecretaryGeneral,
the Legal Counsel, have signed
this Proc~s-verbal.
PROTOCOLE DE NAGOYA SUR L' ACCS AUX
RESOURCES G~N~TIQUES ET LE PARTAGE
JUSTE ET ~QUITABLE DES AVANTAGES
D~COULANT DE LEUR UTILISATION RELATIF ~ LA CONVENTION SUR LA
DIVERSIT~ BIOLOGIQUE,
ADOPT~ ~ NAGOYA LE 29 OCTOBRE 2010
PROC~S-VERBAL DE RECTIFICATION
DE L'ORIGINAL DU PROTOCOLE
LE SECR~TAIRE G~N~RAL DE L'ORGANISATION
DES NATIONS UNIES, agissant en sa qualit~
de d~positaire du Protocole de Nagoya sur
l'acc~s aux ressources g~n~tiques et le
partage juste et ~quitable des avantages
d~coulant de leur utilisation relatif ~
la Convention sur la diversit~
biologique, adopt~ ~ Nagoya le 29 octobre
2010 (Protocole),
CONSID~RANT que plusieurs articles du
texte original du Protocole (version
fran~aise) contiennent des erreurs,
CONSID~RANT que les propositions de
corrections correspondantes ont ~t~
communiqu~es ~ tous les Etats int~ress~s
par la notification d~positaire
.N.711.2011.TREATIES-70 en date du
1 er novembre 2011,
CONSID~RANT qu' au 30 janvier 2012, date ~ laquelle le d~lai sp~cifi~ pour la
notification des objections aux
corrections propos~es a expire, aucune
objection n'a ~t~ notifi~e,
A FAIT PROC~DER dans le texte original
dudit Protocole aux corrections indiqu~es
en annexe au pr~sent proc~s-verbal,
lesquelles s' appliquent ~galement aux
exemplaires certifi~s conformes du
Protocole, ~tablis le 14 d~cembre
2010 (rediffus~s le 30 mars 2011) et
corrig~s par proc~s-verbal du 17 juin
2011.
EN FOI DE QUOI, Nous,
Patricia O'Brien, Secr~taire g~n~ral
adjoint, Conseiller juridique, avons
sign~ le pr~sent proc~s-verbal.
Done at the Headquarters of the United
Nations, New York, on 31 January 2012.
Fait au Si~ge
Nations Unies,
31 janvier 2012.
de l'Organisation ~ New York,
des
le
C.N.53.2012.TREATIES-88 (Annex/Annexe)
Référence Version française Corrections
Préambule,
2ème considérant
[…] reconnaissant que le Protocole
poursuit la réalisation de cet
objectif […]
[…] reconnaissant que le présent
Protocole poursuit la réalisation de cet
objectif […]
Préambule,
22ème considérant
[…] la conservation de la diversité
biologique et de l’utilisation
durable de ses éléments constitutifs
[…]
[…] la conservation de la diversité
biologique et l’utilisation durable de ses
éléments constitutifs […]
ART 3, ligne 3 […] Le Protocole s’applique
également aux connaissances
traditionnelles […]
[…] Le présent Protocole s’applique
également aux connaissances
traditionnelles […]
ART 4.1 […] et d’autres accords
internationaux.
[…] et d’autres instruments
internationaux.
ART 4.3 […] sont dûment pris en compte
[…]
[…] devraient être dûment pris en
compte […]
ART 5.2 […] conformément au droit interne
relatif […] aux droits desdites
communautés sur ces ressources,
sont partagés […]
[…] conformément à la législation
interne relative […] aux droits établis
desdites communautés sur ces
ressources sont partagés […]
ART 5.3 […] les mesures législatives,
administratives ou de politique
générale nécessaires pour appliquer
le paragraphe 1.
[…] les mesures législatives,
administratives ou de politique
générale, selon qu’il convient, pour
appliquer le paragraphe 1.
ART 6.2 Conformément à sa législation
interne […] l’accord et la
participation des communautés
autochtones et locales est obtenue
pour l’accès aux ressources
génétiques […]
Conformément à son droit interne […]
l’accord et la participation des
communautés autochtones et locales
sont obtenus pour l’accès aux
ressources génétiques […]
ART 6.3 d)
Prévoir une décision écrite d’une
autorité nationale, qui soit rendue
[…]
Prévoir une décision écrite d’une
autorité nationale compétente, qui soit
rendue […]
- 2 -
Référence Version française Corrections
ART 7 Conformément à sa législation,
chaque Partie prend, selon qu’il
convient, les mesures appropriées
pour faire en sorte que l’accès aux
connaissances […] autochtones et
locales, et que des conditions
convenues […] ont été établies.
Conformément à son droit interne,
chaque Partie prend, selon qu’il
convient, les mesures appropriées pour
faire en sorte que l’accès aux
connaissances soit […] autochtones et
locales, et que des conditions convenues
[…] soient établies.
ART 11.2 […] l’objectif du Protocole. […] l’objectif du présent Protocole.
ART 12.3 c) Clauses contractuelles type pour le
partage des avantages […]
Clauses contractuelles types pour le
partage des avantages […]
ART 13.1 a) […] et sur l’obligation d’établir
des conditions convenues d’un
commun accord […]
[…] et sur l’établissement de
conditions convenues d’un commun
accord […]
ART 13.1 b) […] l'approbation et la
participation […] des communautés
autochtones […] et sur l’obligation
d’établir des conditions convenues
d’un commun accord […]
[…] l'accord et la participation […] des
communautés autochtones […] et sur
l’établissement de conditions
convenues d’un commun accord […]
ART 14.1 […] l’application du Protocole […] […] l’application du présent Protocole
[…]
ART 14.2, ligne 5 […] Parties au Protocole. […] Parties au présent Protocole.
ART 14.2 a) Les mesures législatives,
administratives et de politique […]
Les mesures législatives,
administratives et de politique générale
[…]
ART 14.3 b) Les clauses contractuelles type; Les clauses contractuelles types;
ART 14.4 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 15.1 Chaque Partie prend des mesures
législatives, administratives ou de
politique générale appropriées,
efficaces et proportionnées afin de
garantir que les ressources
génétiques utilisées sous sa
juridiction ont été soumises au
consentement préalable […]
Chaque Partie prend des mesures
législatives, administratives ou de
politique générale appropriées, efficaces
et proportionnées afin de garantir que
l’accès aux ressources génétiques
utilisées sous sa juridiction a fait
l’objet d’un consentement préalable
[…]
- 3 -
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ART 15.3 […] en cas de violation des
dispositions législatives ou
réglementaires internes relatives à
l’accès et au partage […]
[…] en cas de violation présumée des
dispositions législatives ou
réglementaires internes relatives à
l’accès et au partage […]
ART 17.1 a) ii) Chaque Partie prend des mesures
appropriées, efficaces et
proportionnées nécessaires pour
traiter les cas de non-respect;
Chaque Partie prend des mesures
appropriées, efficaces et proportionnées
pour traiter les situations de nonrespect;
ART 17.1 a) iii) […] centre d’échange sur l’accès et
le partage des avantages […]
[…] Centre d’échange sur l’accès et le
partage des avantages […]
ART 17.1 a) iv) Les points de contrôle doivent être
opérationnels et leurs fonctions
doivent correspondre à
l’application des dispositions du
présent alinéa a). Ils doivent être en
lien avec l’utilisation des ressources
génétiques ou à la collecte
d’informations pertinentes […]
Les points de contrôle doivent être
opérationnels et leurs fonctions
devraient correspondre à l’application
des dispositions du présent alinéa a). Ils
devraient être en lien avec l’utilisation
des ressources génétiques ou avec la
collecte d’informations pertinentes […]
ART 17.4 e) […] le consentement préalable a été
donné;
[…] le consentement préalable en
connaissance de cause a été donné;
ART 17.4 f) Le sujet ou les ressources
génétiques couverts par le
certificat;
Le sujet ou les ressources génétiques
auxquels se rapporte le certificat;
ART 18.1 a) La juridiction à laquelle elles
soumettront les procédures de
règlement des différends;
La juridiction à laquelle ils soumettront
les procédures de règlement des
différends;
ART 18.4 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 19 (titre) Clauses contractuelles type Clauses contractuelles types
ART 19.1 […] l’utilisation de clauses
contractuelles type sectorielles et
intersectorielles […]
[…] l’utilisation de clauses
contractuelles types sectorielles et
intersectorielles […]
ART 19.2 […] réunion des Parties au
Protocole examine périodiquement
l’utilisation des clauses
contractuelles type sectorielles et
intersectorielles.
[…] réunion des Parties au présent
Protocole examine périodiquement
l’utilisation des clauses contractuelles
types sectorielles et intersectorielles.
- 4 -
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ART 20.2 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 21 a) La promotion du Protocole […] La promotion du présent Protocole […]
ART 22.1 […] la mise en oeuvre effective du
Protocole […]
[…] l’application effective du présent
Protocole […]
ART 22.3 […] identifient leurs besoins […]
soutiennent les besoins […]
[…] devraient identifier leurs besoins
[…] devraient soutenir les besoins
[…]
ART 22.4 Pour favoriser la mise en oeuvre du
Protocole, la création et le
renforcement des capacités pourrait
viser notamment les domaines
essentiels suivants […]
Pour favoriser l’application du présent
Protocole, la création et le renforcement
des capacités pourraient viser
notamment les domaines essentiels
suivants […]
ART 22.4 a) […] le Protocole […] […] le présent Protocole […]
ART 22.5 b) La promotion de l’équité et de la
justice, par exemple par la
formation […]
La promotion de l’équité et de la justice
dans les négociations, par exemple par
la formation […]
ART 22.5 f) La bioprospection, recherche
associée et études taxonomiques;
La bioprospection, la recherche
associée et les études taxonomiques;
ART 22.6 […] doivent être communiquées
[…]
[…] devraient être communiquées […]
ART 23 […] sur le territoire et avec la
participation de la Partie ou des
Parties fournissant les ressources
génétiques qui sont les pays
d’origine de ces ressources, ou
d’une ou plusieurs Parties qui ont
acquis lesdites ressources
conformément à la Convention.
[…] sur le territoire et avec la
participation de la Partie ou des Parties
fournissant les ressources génétiques,
qui sont les pays d’origine de ces
ressources ou des Parties qui les ont
acquises conformément à la
Convention.
ART 24 […] le Protocole […] […] le présent Protocole […]
ART 25.1 […] l'application du Protocole […] […] l'application du présent Protocole
[…]
ART 25.2 […] le mécanisme de financement
du Protocole.
[…] le mécanisme de financement du
présent Protocole.
ART 25.3 […] Parties au Protocole […] […] Parties au présent Protocole […]
- 5 -
Référence Version française Corrections
ART 25.4 […] l'application du Protocole. […] l'application du présent Protocole.
ART 25.5 […] celles qui ont été approuvées
avant l'adoption du Protocole,
s'appliquent, mutatis mutandis
[…]
[…] celles qui ont été approuvées avant
l'adoption du présent Protocole,
s'appliquent, mutatis mutandis […]
ART 25.6 […] l'application des dispositions
du Protocole, par des voies
bilatérales, régionaux et
multilatéraux […]
[…] l'application des dispositions du
présent Protocole, par des voies
bilatérales, régionales et multilatérales
[…]
ART 26, titre […] PARTIES AU PROTOCOLE […] PARTIES AU PRÉSENT
PROTOCOLE
ART 26.1 […] Parties au Protocole. […] Parties au présent Protocole.
ART 26.2 Les Parties à la Convention qui ne
sont pas Parties au Protocole
peuvent participer en qualité
d'observateur aux travaux de toute
réunion de la Conférence des
Parties siégeant en tant que Réunion
des Parties au Protocole. Lorsque la
Conférence des Parties siège en tant
que réunion des Parties au
Protocole, les décisions qui sont
prises en vertu du Protocole le sont
seulement par les Parties au
Protocole.
Les Parties à la Convention qui ne sont
pas Parties au présent Protocole
peuvent participer en qualité
d'observateur aux travaux de toute
réunion de la Conférence des Parties
siégeant en tant que Réunion des Parties
au présent Protocole. Lorsque la
Conférence des Parties siège en tant que
réunion des Parties au présent
Protocole, les décisions qui sont prises
en vertu du présent Protocole le sont
seulement par les Parties au présent
Protocole.
ART 26.3 Lorsque la Conférence des Parties
siège en tant que réunion des Parties
au Protocole, tout membre du
Bureau de la Conférence des Parties
représentant une Partie à la
Convention qui n'est pas encore
Partie au Protocole est remplacé par
un nouveau membre qui est élu par
les Parties au Protocole parmi elles.
Lorsque la Conférence des Parties siège
en tant que réunion des Parties au
présent Protocole, tout membre du
Bureau de la Conférence des Parties
représentant une Partie à la Convention
qui n'est pas Partie au présent Protocole
à ce moment-là est remplacé par un
nouveau membre qui est élu par les
Parties au présent Protocole parmi
elles.
ART 26.4 La Conférence des Parties siégeant
en tant que réunion des Parties au
Protocole suit régulièrement
l'application du Protocole […]. Elle
s'acquitte des fonctions qui lui sont
assignées par le Protocole […]
La Conférence des Parties siégeant en
tant que réunion des Parties au présent
Protocole suit régulièrement
l'application du présent Protocole […].
Elle s'acquitte des fonctions qui lui sont
assignées par le présent Protocole […]
- 6 -
Référence Version française Corrections
ART 26.4 a) […] l'application du Protocole; […] l'application du présent Protocole;
ART 26.4 b) […] le Protocole; […] le présent Protocole;
ART 26.4 f) […] l'application du Protocole. […] l'application du présent Protocole.
ART 26.5 […] les règles de gestion financière
de la Convention s'appliquent
mutatis mutandis au Protocole, à
moins que la Conférence des Parties
siégeant en tant que réunion des
Parties au Protocole n’en décide
autrement par consensus.
[…] les règles de gestion financière de
la Convention s'appliquent mutatis
mutandis au présent Protocole, à moins
que la Conférence des Parties siégeant
en tant que réunion des Parties au
présent Protocole n’en décide
autrement par consensus.
ART 26.6, ligne 2 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 26.6, ligne 4 […] la date d'entrée en vigueur du
Protocole. […]
[…] la date d'entrée en vigueur du
présent Protocole. […]
ART 26.6, ligne 6 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 26.6, ligne 8 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 26.7, ligne 2 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 26.7, ligne 3 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 26.8, ligne 6 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 26.8, ligne 10 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 27.1 […] fonctions au titre du Protocole
[…]
[…] fonctions au titre du présent
Protocole […]
ART 27.2 […] peuvent participer, en qualité
d’observateur, aux travaux de toute
réunion d’un organe subsidiaire du
Protocole. Lorsqu'un organe
subsidiaire de la Convention agit en
tant qu'organe subsidiaire du
Protocole, les décisions relevant du
présent Protocole sont prises
uniquement par les Parties au
Protocole.
[…] peuvent participer, en qualité
d’observateur, aux travaux de toute
réunion d’un tel organe subsidiaire.
Lorsqu'un organe subsidiaire de la
Convention agit en tant qu'organe
subsidiaire du présent Protocole, les
décisions relevant du présent Protocole
sont prises uniquement par les Parties
au présent Protocole.
- 7 -
Référence Version française Corrections
ART 27.3 […] une Partie à la Convention qui
n'est pas encore Partie au Protocole
est remplacé par un nouveau
membre qui est élu par les Parties
au Protocole parmi elles.
[…] une Partie à la Convention qui n'est
pas Partie au présent Protocole à ce
moment-là est remplacé par un
nouveau membre qui est élu par les
Parties au présent Protocole parmi
elles.
ART 28.3 Pour autant qu’ils sont distincts, les
coûts des services de secrétariat
afférents au présent Protocole sont
pris en charge par les Parties au
Protocole. La Conférence des
Parties siégeant en tant que réunion
des Parties au Protocole prend, à sa
première réunion, les dispositions
financières nécessaires à cet effet.
Pour autant qu’ils sont distincts, les
coûts des services de secrétariat
afférents au présent Protocole sont pris
en charge par les Parties au présent
Protocole. La Conférence des Parties
siégeant en tant que réunion des Parties
au présent Protocole prend, à sa
première réunion, les dispositions
financières nécessaires à cet effet.
ART 29 […] à des intervalles réguliers
décidés par la Conférence des
Parties siégeant en tant que réunion
des Parties au Protocole, fait rapport
à la Conférence des Parties siégeant
en tant que réunion des Parties au
Protocole sur les mesures qu’elle a
prises pour en appliquer les
dispositions.
[…] à des intervalles réguliers et sous
la forme décidés par la Conférence des
Parties siégeant en tant que réunion des
Parties au présent Protocole, fait
rapport à la Conférence des Parties
siégeant en tant que réunion des Parties
au présent Protocole sur les mesures
qu’elle a prises pour en appliquer les
dispositions.
ART 30, ligne 1 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 30, ligne 4 […] dispositions du Protocole […] […] dispositions du présent Protocole
[…]
ART 31, ligne 1 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 31, ligne 2 […] l'entrée en vigueur du
Protocole […]
[…] l'entrée en vigueur du présent
Protocole […]
ART 31, ligne 4 […] Parties au Protocole […] […] Parties au présent Protocole […]
ART 33.2 […] après le dépôt du cinquantième
instrument de ratification ainsi
qu’il est mentionné au paragraphe 1
ci-dessus […] par cet État ou cette
organisation d’intégration
économique […]
[…] après le dépôt du cinquantième
instrument ainsi qu’il est mentionné au
paragraphe 1 ci-dessus […] par cet État
ou cette organisation régionale
d’intégration économique […]
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Référence Version française Corrections
Paragraphe 1 de
l’Annexe
Les avantages monétaires
pourraient comprendre […]
Les avantages monétaires peuvent
comprendre […]
L’alinéa e) du
paragraphe 2 de
l’Annexe
ex situ ex situ
(XXVII.8.c)
Attention: Treaty Services of Ministries of Foreign Affairs and of international organizations concerned.
Depositary notifications are issued in electronic format only. Depositary notifications are made available to
the Permanent Missions to the United Nations in the United Nations Treaty Collection on the Internet at
http://treaties.un.org, under "Depositary Notifications (CNs)". In addition, the Permanent Missions, as well
as other interested individuals, can subscribe to receive depositary notifications by e-mail through the Treaty
Section's "Automated Subscription Services", which is also available at http://treaties.un.org.
Reference: C.N.69.2011.TREATIES-2 (Depositary Notification)
NAGOYA - KUALA LUMPUR SUPPLEMENTARY PROTOCOL ON LIABILITY
AND REDRESS TO THE CARTAGENA PROTOCOL ON BIOSAFETY
NAGOYA, 15 OCTOBER 2010
ISSUANCE OF CERTIFIED TRUE COPIES
The Secretary-General of the United Nations, acting in his capacity as depositary and with
reference to depositary notification C.N.68.2011.TREATIES-1 of 14 February 2011, announcing the
….. opening for signature of the above Supplementary Protocol, has the honour to transmit herewith two
certified true copies of the Protocol.
The Secretary-General takes this opportunity to call the attention of the competent authorities
to the fact that certified true copies are established specifically for the purpose of enabling the
Governments concerned to complete the internal legislative procedures required for ratification,
acceptance, approval or accession on the international level. For budgetary reasons, certified true
copies are printed in limited numbers, and it is expected that any additional copies that may be required
could be reproduced by the authorities concerned themselves on the basis of the two copies
accompanying the present notification. Electronic copies are also available on the United Nations
Treaty collection website at the following address: http://treaties.un.org.
14 February 2011
UNITED NATIONS NATIONS UNIES
POSTAL ADDRESS ADRESSE POSTALE UNITED NATIONS, N.Y. 10OTT
CABLE ADDRESS-ADRESSE TELEGRAPHIQUE UNATIONS NEWYORK
- NAGOYA KUALA LUMPUR SUPPLEMENTARY PROTOCOL
ON LIABILITY AND REDRESS TO THE CARTAGENA
PROTOCOL ON BIOSAFETY
s # t 1» % /w <7Sy
UNITED NATIONS
2010
--KUALA 13 .3 NAGOYA KUALA LUMPUR SUPPLEMENTARY PROTOCOL
ON LIABILITY AND REDRESS TO THE CARTAGENA
PROTOCOL ON BIOSAFETY
The Parties to this Supplementary Protocol,
Being Parties to the Cartagena Protocol on Biosafety to the Convention
on Biological Diversity, hereinafter referred to as "the Protocol",
Taking into account Principle 1.3 of the Rio Declaration on Environment
and Development,
Reaffirming the precautionary approach contained in Principle 15 of the
Rio Declaration on Environment and Development,
Recognizing the need to provide for appropriate response measures
where there is damage or sufficient likelihood of damage, consistent with the
Protocol,
Recalling Article 27 of the Protocol,
Have agreed as follows:
Article
1
OBJECTIVE
The objective of this Supplementary Protocol is to contribute to the
conservation and sustainable use of biological diversity, taking also into
account risks to human health, by providing international rules and procedures
in the field of liability and redress relating to living modified organisms.
Article
2
USE OF TERMS
1. The terms used in Article 2 of the Convention on Biological Diversity,
hereinafter referred to as "the Convention", and Article 3 of the Protocol shall
apply to this Supplementary Protocol.
(i) -2-
2. In addition, for the purposes of this Supplementary Protocol:
(a) "Conference of the Parties serving as the meeting of the Parties to
the Protocol" means the Conference of the Parties to the Convention serving as
the meeting of the Parties to the Protocol;
(b) "Damage" means an adverse effect on the conservation and
sustainable use of biological diversity, taking also into account risks to human
health, that:
() Is measurable or otherwise observable taking into account,
wherever available, scientifically-established baselines
recognized by a competent authority that takes into account
any other human induced variation and natural variation;
and
(ii) Is significant as set out in paragraph 3 below;
( c) "Operator" means any person in direct or indirect control of the
living modified organism which could, as appropriate and as determined by
domestic law, include, inter alia, the permit holder, person who placed the
living modified organism on the market, developer, producer, notifier,
exporter, importer, carrier or supplier;
( d) "Response measures" means reasonable actions to:
(i) Prevent, minimize, contain, mitigate, or otherwise avoid
damage, as appropriate;
(ii) Restore biological diversity through actions to be
undertaken in the following order of preference:
a. Restoration of biological diversity to the condition
that existed before the damage occurred, or its nearest
equivalent; and where the competent authority determines
this is not possible;
b. Restoration by, inter alia, replacing the loss of
biological diversity with other components of biological
diversity for the same, or for another type of use either at
the same or, as appropriate, at an alternative location.
Ca) -3-
3. A "significant" adverse effect is to be determined on the basis of factors,
such as:
(a) The long-term or permanent change, to be understood as change
that will not be redressed through natural recovery within a reasonable period
of time;
(b) The extent of the qualitative or quantitative changes that
adversely affect the components of biological diversity;
( c) The reduction of the ability of components of biological diversity
to provide goods and services;
( d) The extent of any adverse effects on human health in the context
of the Protocol.
Article
3
SCOPE
1. This Supplementary Protocol applies to damage resulting from living
modified organisms which find their origin in a transboundary movement. The
living modified organisms referred to are those:
(a) Intended for direct use as food or feed, or for processing;
(b) Destined for contained use;
(c) Intended for intentional introduction into the environment.
2. With respect to intentional transboundary movements, this
Supplementary Protocol applies to damage resulting from any authorized use
of the living modified organisms referred to in paragraph 1 above.
3. This Supplementary Protocol also applies to damage resulting from
unintentional transboundary movements as referred to in Article 17 of the
Protocol as well as damage resulting from illegal transboundary movements as
referred to in Article 25 of the Protocol.
4. This Supplementary Protocol applies to damage resulting from a
transboundary movement of living modified organisms that started after the
entry into force of this Supplementary Protocol for the Party into whose
jurisdiction the transboundary movement was made.
34-
5. This Supplementary Protocol applies to damage that occurred in areas
within the limits of the national jurisdiction of Parties.
6. Parties may use criteria set out in their domestic law to address damage
that occurs within the limits of their national jurisdiction.
7. Domestic law implementing this Supplementary Protocol shall also
apply to damage resulting from transboundary movements of living modified
organisms from non-Parties.
Article
4
CAUSATION
A causal link shall be established between the damage and the living
modified organism in question in accordance with domestic law.
Article
5
RESPONSE MEASURES
1. Parties shall require the appropriate operator or operators, in the event of
damage, subject to any requirements of the competent authority, to:
(a) Immediately inform the competent authority;
(b) Evaluate the damage; and
( c) Take appropriate response measures.
2. The competent authority shall:
(a) Identify the operator which has caused the damage;
(b) Evaluate the damage; and
( c) Determine which response measures should be taken by the
operator.
3. Where relevant information, including available scientific information
or information available in the Biosafety Clearing-House, indicates that there
is a sufficient likelihood that damage will result if timely response measures
are not taken, the operator shall be required to take appropriate response
measures so as to avoid such damage.
-44.
The competent authority may implement appropriate response including, in particular, when the has failed to do so.
5. The competent authority has the right to recover from the the
costs and expenses of, and incidental to, the evaluation of the and the
implementation of any such appropriate response measures. Parties provide, in their domestic law, for other situations in which the not be required to bear the costs and 6. Decisions of the competent authority requiring the to take
response measures should be reasoned. Such decisions should be notified to
the operator. Domestic law shall provide for remedies, the
opportunity for administrative or judicial review of such decisions. The
competent authority shall, in accordance with domestic law, also inform the
operator of the available remedies. Recourse to such remedies shall not the competent authority from taking response measures in circumstances, unless otherwise provided by domestic law.
In implementing this Article and with a view to defining the response measures to be required or taken by the competent authority, Parties
may, as appropriate, assess whether response measures are already addressed
by their domestic law on civil liability.
8. Response measures shall be implemented in accordance with domestic
law.
Article
1. Parties may provide, in their domestic law, for the following
exemptions:
(a) Act of God or and
(b) Act of war or civil unrest.
2. Parties in their domestic law, for any other exemptions or
mitigations as they may deem fit.
-5-
4. The competent authority may implement appropriate response measures,
including, in particular, when the operator has failed to do so.
5. The competent authority has the right to recover from the operator the
costs and expenses of, and incidental to, the evaluation of the damage and the
implementation of any such appropriate response measures. Parties may
provide, in their domestic law, for other situations in which the operator may
not be required to bear the costs and expenses.
6. Decisions of the competent authority requiring the operator to take
response measures should be reasoned. Such decisions should be notified to
the operator. Domestic law shall provide for remedies, including the
opportunity for administrative or judicial review of such decisions. The
competent authority shall, in accordance with domestic law, also inform the
operator of the available remedies. Recourse to such remedies shall not impede
the competent authority from taking response measures in appropriate
circumstances, unless otherwise provided by domestic law.
7. In implementing this Article and with a view to defining the specific
response measures to be required or taken by the competent authority, Parties
may, as appropriate, assess whether response measures are already addressed
by their domestic law on civil liability.
8. Response measures shall be implemented in accordance with domestic
law.
Article
6
EXEMPTIONS
I. Parties may provide, in their domestic law, for the following
exemptions:
(a) Act of God or force majeure; and
(b) Act of war or civil unrest.
2. Parties may provide, in their domestic law, for any other exemptions or
mitigations as they may deem fit.
-6-
Article
7
TIME LIMITS
Parties may provide, in their domestic law, for:
(a) Relative and/or absolute time limits including for actions related
to response measures; and
(b) The commencement of the period to which a time limit applies.
Article
8
FINANCIAL LIMITS
Parties may provide, in their domestic law, for financial limits for the
recovery of costs and expenses related to response measures.
Article
9
RIGHT OF RECOURSE
This Supplementary Protocol shall not limit or restrict any right of
recourse or indemnity that an operator may have against any other person.
Article
10
FINANCIAL SECURITY
1. Parties retain the right to provide, in their domestic law, for financial
security.
2. Parties shall exercise the right referred to in paragraph 1 above in a
manner consistent with their rights and obligations under international law,
taking into account the final three preambular paragraphs of the Protocol.
3. The first meeting of the Conference of the Parties serving as the meeting
of the Parties to the Protocol after the entry into force of the Supplementary
Protocol shall request the Secretariat to undertake a comprehensive study
which shall address, inter alia:
(a) The modalities of financial security mechanisms;
Cb) Cc) n
Ca) civi1liability;
Cb) C Cb):
Ca) Cb) C 7-
(b) An assessment of the environmental, economic and social impacts
of such mechanisms, in particular on developing countries; and
( c) An identification of the appropriate entities to provide financial
security.
Article
11
RESPONSIBILITY OF STATES FOR INTERNATIONALLY
WRONGFUL ACTS
This Supplementary Protocol shall not affect the rights and obligations
of States under the rules of general international law with respect to the
responsibility of States for internationally wrongful acts.
Article
12
IMPLEMENTATION AND RELATION TO CIVIL LIABILITY
1. Parties shall provide, in their domestic law, for rules and procedures that
address damage. To implement this obligation, Parties shall provide for
response measures in accordance with this Supplementary Protocol and may,
as appropriate:
(a) Apply their existing domestic law, including, where applicable,
general rules and procedures on civil liability;
(b) Apply or develop civil liability rules and procedures specifically
for this purpose; or
( c) Apply or develop a combination of both.
2. Parties shall, with the aim of providing adequate rules and procedures in
their domestic law on civil liability for material or personal damage associated
with the damage as defined in Article 2, paragraph 2 (b):
(a) Continue to apply their existing general law on civil liability;
(b) Develop and apply or continue to apply civil liability law
specifically for that purpose; or
(c) Develop and apply or continue to apply a combination of both.
-7
1 k.eep -8-
3. When developing civil liability law as referred to in subparagraphs (b)
or ( c) of paragraphs I or 2 above, Parties shall, as appropriate, address, inter
alia, the following elements:
(a) Damage;
(b) Standard of liability, including strict or fault-based liability;
( c) Channelling of liability, where appropriate;
( d) Right to bring claims.
Article
13
ASSESSMENT AND REVIEW
The Conference of the Parties serving as the meeting of the Parties to
the Protocol shall undertake a review of the effectiveness of this
Supplementary Protocol five years after its entry into force and every five
years thereafter, provided information requiring such a review has been made
available by Parties. The review shall be undertaken in the context of the
assessment and review of the Protocol as specified in Article 35 of the
Protocol, unless otherwise decided by the Parties to this Supplementary
Protocol. The first review shall include a review of the effectiveness of
Articles 10 and 12.
Article
14
CONFERENCE OF THE PARTIES SERVING AS THE MEETING OF
THE PARTIES TO THE PROTOCOL
1. Subject to paragraph 2 of Article 32 of the Convention, the Conference
of the Parties serving as the meeting of the Parties to the Protocol shall serve
as the meeting of the Parties to this Supplementary Protocol.
2. The Conference of the Parties serving as the meeting of the Parties to
the Protocol shall keep under regular review the implementation of this
Supplementary Protocol and shall make, within its mandate, the decisions
necessary to promote its effective implementation. It shall perform the
functions assigned to it by this Supplementary Protocol and, mutatis mutandis,
the functions assigned to it by paragraphs 4 (a) and (f) of Article 29 of the
Protocol.
8?
-9-
Article
15
SECRETARIAT
The Secretariat established by Article 24 of the Convention shall serve
as the secretariat to this Supplementary Protocol.
Article
16
RELATIONSHIP WITH THE CONVENTION AND THE PROTOCOL
1. This Supplementary Protocol shall supplement the Protocol and shall
neither modify nor amend the Protocol.
2. This Supplementary Protocol shall not affect the rights and obligations
of the Parties to this Supplementary Protocol under the Convention and the
Protocol.
3. Except as otherwise provided in this Supplementary Protocol, the
provisions of the Convention and the Protocol shall apply, mutatis mutandis, to
this Supplementary Protocol.
4. Without prejudice to paragraph 3 above, this Supplementary Protocol
shall not affect the rights and obligations of a Party under international law.
Article
17
SIGNATURE
This Supplementary Protocol shall be open for signature by Parties to
the Protocol at the United Nations Headquarters in New York from 7 March
2011 to 6 March 2012.
Article
18
ENTRY INTO FORCE
1. This Supplementary Protocol shall enter into force on the ninetieth day
after the date of deposit of the fortieth instrument of ratification, acceptance,
approval or accession by States or regional economic integration organizations
that are Parties to the Protocol.
2. This Supplementary Protocol shall enter into force for a State or
regional economic integration organization that ratifies, accepts or approves it
or accedes thereto after the deposit of the fortieth instrument as referred to in
--910
-
paragraph 1 above, on the ninetieth day after the date on which that State or
regional economic integration organization deposits its instrument of
ratification, acceptance, approval, or accession, or on the date on which the
Protocol enters into force for that State or regional economic integration
organization, whichever shall be the later.
3. For the purposes of paragraphs 1 and 2 above, any instrument deposited
by a regional economic integration organization shall not be counted as
additional to those deposited by member States of such organization.
Article
19
RESERVATIONS
No reservations may be made to this Supplementary Protocol.
Article
20
WITHDRAWAL
1. At any time after two years from the date on which this Supplementary
Protocol has entered into force for a Party, that Party may withdraw from this
Supplementary Protocol by giving written notification to the Depositary.
2. Any such withdrawal shall take place upon expiry of one year after the
date of its receipt by the Depositary, or on such later date as may be specified
in the notification of the withdrawal.
3. Any Party which withdraws from the Protocol in accordance with
Article 39 of the Protocol shall be considered as also having withdrawn from
this Supplementary Protocol.
Article
21
AUTHENTIC TEXTS
The original of this Supplementary Protocol, of which the Arabic,
Chinese, English, French, Russian and Spanish texts are equally authentic,
shall be deposited with the Secretary-General of the United Nations.
IN WITNESS WHEREOF the undersigned, being duly authorized to that
effect, have signed this Supplementary Protocol.
DONE at Nagoya on this fifteenth day of October two thousand and ten.
-10-
Kuala .
precede responsabilite reparation
prevention N agoya I' original depose aupres Secretaire general Secretaire general,
charge 17 fevrier I hereby certify that the foregoing
text is a true copy of the Nagoya Kuala
Lumpur Supplementary
Protocol on Liability and Redress to
the Cartagena Protocol on Biosafety,
done at Nagoya on 15 October 2010,
the original of which is deposited with
the Secretary-General of the United
Nations.
For the Assistant Secretary-General,
in charge of the Office of
Legal Affairs
Je certifie que le texte qui pr~c~de est
une copie conforme du Protocole
additionnel de Nagoya - Kuala Lumpur
sur la responsabilit~ et la r~paration
relatif au Protocole de Cartagena sur la
pr~vention des risques biotechnologiques,
fait a Nagoya le 15 octobre 2010, dont
Toriginal se trouve d~pos~ aupr~s du
Secr~taire g~n~ral des Nations Unies.
Pour le Sous-Secr~taire g~n~ral,
charg~ du Bureau des
affaires juridiques
United Nations
New York, 17 February 2011
Organisation des Nations Unies
New York, le 1 7 f~vrier 2011
Attention: Treaty Services of Ministries of Foreign Affairs and of international organizations
concerned. Depositary notifications are issued in electronic format only. Depositary notifications are
made available to the Permanent Missions to the United Nations in the United Nations Treaty
Collection at <https://treaties.un.org>, under "Depositary Notifications (CNs)". In addition, the
Permanent Missions, as well as other interested individuals, can subscribe to receive depositary
notifications by e-mail through the Treaty Section's "Automated Subscription Services", which is also
available at <https://treaties.un.org/Pages/Login.aspx?lang=_en>.
Reference: C.N.751.2017.TREATIES-XXVII.8.c (Depositary Notification)
NAGOYA - KUALA LUMPUR SUPPLEMENTARY PROTOCOL ON LIABILITY
AND REDRESS TO THE CARTAGENA PROTOCOL ON BIOSAFETY
NAGOYA, 15 OCTOBER 2010
ENTRY INTO FORCE
The Secretary-General of the United Nations, acting in his capacity as depositary,
communicates the following:
On 5 December 2017, the conditions for the entry into force of the above-mentioned
Supplementary Protocol were met. Accordingly, the Supplementary Protocol will enter into force on
5 March 2018 in accordance with its article 18 (1) which reads as follows:
“This Supplementary Protocol shall enter into force on the ninetieth day after the date of
deposit of the fortieth instrument of ratification, acceptance, approval or accession by States or regional
economic integration organizations that are Parties to the Protocol.”
5 December 2017
UNITED NATIONS NATIONS UNIES
POSTAL ADDRESS ADRESSE POSTALE UNITED NATIONS, N.Y. 10OT7
CABLE ADDRESS-ADRESSE TELEGRAPHIQUE UNATIONS NEWYORK