Establishment of procedures and
mechanisms on compliance under the Cartagena Protocol on
Biosafety
The Conference of the Parties serving as the meeting of the
Parties to the Cartagena Protocol on Biosafety,
Recalling Article 34 of the Cartagena Protocol on
Biosafety,
Recognizing the importance of establishing procedures
and mechanisms to promote compliance with the provisions of the
Protocol and to address cases of
non-compliance,
1. Decides to adopt procedures and mechanisms on
compliance under the Cartagena Protocol on Biosafety as set out in
the annex to this decision and to establish the Compliance
Committee referred to therein;
2. Requests the Executive Secretary, in consultation
with the Bureau of the Conference of the Parties serving as the
meeting of the Parties to the Protocol, to arrange for a meeting of
the Compliance Committee, to be held before the second meeting of
the Conference of the Parties serving as the meeting of the Parties
to the Protocol for the purpose of developing rules of procedure
referred to in paragraph 7 of section II of the procedures and
mechanisms on compliance under the Cartagena Protocol on
Biosafety.
Annex
PROCEDURES AND MECHANISMS ON
COMPLIANCE UNDER THE CARTAGENA PROTOCOL ON
BIOSAFETY
The following procedures and mechanisms are developed in
accordance with Article 34 of the Cartagena Protocol on Biosafety
and are separate from, and
withoutprejudice to, the dispute
settlement procedures and mechanisms established by Article 27 of
the Convention on Biological Diversity.
I. Objective, nature and underlying
principles
1. The objective of the compliance procedures and mechanisms
shall be to promote compliance with the provisions of the Protocol,
to address cases of non-compliance by Parties, and to provide
advice or assistance, where appropriate.
2. The compliance procedures and mechanisms shall be simple,
facilitative, non-adversarial and cooperative in nature.
3. The operation of the compliance procedures and mechanisms
shall be guided by the principles of transparency, fairness,
expedition and predictability. It shall pay particular attention to
the special needs of developing country Parties, in particular the
least developed and small island developing States among them, and
Parties with economies in transition, and take into full
consideration the difficulties they face in the implementation of
the Protocol.
II. Institutional mechanisms
1. A Compliance Committee, hereinafter referred to as "the
Committee", is hereby established pursuant to Article 34 of the
Cartagena Protocol on Biosafety to carry out the functions
specified herein.
2. The Committee shall consist of 15 members nominated by
Parties and elected by the Conference of the Parties serving as the
meeting of the Parties to the Cartagena Protocol on Biosafety on
the basis of three members from each of the five regional groups of
the United Nations.
3. Members of the Committee shall have recognized competence
in the field of biosafety or other relevant fields, including legal
or technical expertise, and serve objectively and in a personal
capacity.
4. Members shall be elected by the Conference of the Parties
serving as the meeting of the Parties to the Cartagena Protocol on
Biosafety for a period of four years, this being a full term. At
its first meeting, the Conference of the Parties serving as the
meeting of the Parties to the Cartagena Protocol on Biosafety shall
elect five members, one from each region, for half a term, and ten
members for a full term. Each time thereafter, the Conference of
the Parties to the serving as the meeting of the Parties to the
Cartagena Protocol on Biosafety shall elect for a full term, new
members to replace those whose term has expired. Members shall not
serve for more than two consecutive terms.
5. The Committee shall meet twice a year, unless it decides
otherwise. The Secretariat shall service the meetings of the
Committee.
6. The Committee shall submit its reports including
recommendations with regard to the discharge of its functions to
the next meeting of the Conference of the Parties serving as the
meeting of the Parties to the Protocol for consideration and
appropriate action.
7. The Committee shall develop and submit its rules of
procedure to the Conference of the Parties serving as the meeting
of the Parties for its consideration and approval.
III. Functions of the Committee
1. The Committee shall, with a view to promoting compliance
and addressing cases of non-compliance, and under the overall
guidance of the Conference of the Parties serving as the meeting of
the Parties to the Protocol, have the following functions:
(a) Identify the specific circumstances and possible causes of
individual cases of non-compliance referred to it;
(b) Consider information submitted to it regarding matters
relating to compliance and cases of non-compliance;
(c) Provide advice and/or assistance, as appropriate, to the
concerned Party, on matters relating to compliance with a view to
assisting it to comply with its obligations under the Protocol;
(d) Review general issues of compliance by Parties with their
obligations under the Protocol, taking into account the information
provided in the national reports communicated in accordance with
Article 33 of the Protocol and also through the Biosafety
Clearing-House;
(e) Take measures, as appropriate, or make recommendations, to
the Conference of the Parties serving as the meeting of the Parties
to the Protocol;
(f) Carry out any other functions as may be assigned to it by
the Conference of the Parties serving as the meeting of the Parties
to the Protocol.
IV. Procedures
1. The Committee shall receive, through the Secretariat, any
submissions relating to compliance from:
(a) Any Party with respect to itself;
(b) Any Party, which is affected or likely to be
affected, with respect to another Party.
The Committee may reject to consider any submission
made pursuant to paragraph 1(b) of this section that is de
minimis or ill-founded, bearing in mind the objectives of the
Protocol.
2. The Secretariat shall, within fifteen days of receipt of
submissions under paragraph 1 (b) above, make the submissions
available to the Party concerned, and once it has received a
response and information from the concerned Party, it shall
transmit the submission, the response and information to the
Committee.
3. A Party that has received a submission regarding its
compliance with the provisions of the Protocol should respond and,
with recourse to the Committee for assistance if required, provide
the necessary information preferably within three months and in any
event not later than six months. This period of time shall commence
on the date of the receipt of the submission as certified by the
Secretariat. In the case where the Secretariat has not received any
response or information from the concerned Party within the six
months as referred to above, it shall transmit the submission to
the Committee.
4. A Party, in respect of which a submission is made or which
makes a submission, is entitled to participate in the deliberations
of the Committee. This Party shall not participate in the
elaboration and adoption of a recommendation of the Committee.
V. Information and consultation
1. The Committee shall consider relevant information
from:
(a) The Party concerned;
(b) The Party that has made a submission with respect to another
Party in accordance with paragraph 1(b) of section IV.
2. The Committee may seek or receive and consider relevant
information from sources, such as:
(a) The Biosafety Clearing-House, the Conference of the Parties
to the Convention, the Conference of the Parties serving as the
meeting of the Parties to the Protocol, and subsidiary bodies of
the Convention on Biological Diversity and the Protocol;
(b) Relevant international organizations.
3. The Committee may seek expert advice from the biosafety
roster of experts.
4. The Committee, in undertaking all of its functions and
activities, shall maintain the confidentiality of any information
that is confidential under Article 21 of the Protocol.
VI. Measures to promote compliance and address cases
of non-compliance
1. The Committee may take one or more of the following measures
with a view to promoting compliance and addressing cases of
non-compliance, taking into account
the capacity of the Party concerned, especially
developing country Parties, in particular the least developed and
small island developing States amongst them, and Parties with
economies in transition, to comply, and such factors
asthe cause, type, degree and frequency
of non-compliance:
(a) Provide advice or assistance to the Party concerned, as
appropriate;
(b) Make recommendations to the Conference of the Parties to the
Convention serving as the meeting of the Parties to the Protocol
regarding the provision of financial and technical assistance,
technology transfer, training and other capacity-building
measures;
(c) Request or assist, as appropriate, the Party concerned to
develop a compliance action plan regarding the achievement of
compliance with the Protocol within a timeframe to be agreed upon
between the Committee and the Party concerned; and
(d) Invite the Party concerned to submit progress reports to the
Committee on the efforts it is making to comply with its
obligations under the Protocol;
(e) Pursuant to paragraph 1(c) and (d) above, report to the
Conference of the Parties serving as the meeting of the Parties on
efforts made by Parties in non-compliance to return to compliance
and maintain this as an agenda item of the Committee until
adequately resolved.
2. The Conference of the Parties serving as the meeting of
the Parties may, upon the recommendations of the Committee, taking
into accountthe capacity of the Party
concerned, especially developing country Parties, in particular the
least developed and small island developing States amongst them,
and Parties with economies in transition, to comply, and such
factors as the cause, type, degree and frequency of non-compliance,
also decide upon one or more of the following measures:
(a) Provide financial and technical assistance, technology
transfer, training and other capacity-building measures;
(b) Issue a caution to the concerned Party;
(c) Request the Executive Secretary to publish cases of
non-compliance in the Biosafety
Clearing-House;
(d) In cases of repeated non-compliance, take such measures as
may be decided by the Conference of the Parties serving as the
meeting of the Parties to the Protocol at its third meeting, and
thereafter in accordance with Article 35 of the Protocol, within
the framework of the review process provided for in Section VII
below.
VII. Review of the
procedures and mechanisms
The Conference of the Parties serving as the meeting of the
Parties to the Protocol shall, at its third meeting and thereafter,
in line with Article 35 of the Protocol, review the effectiveness
of these procedures and mechanisms, address repeated cases of
non-compliance and take appropriate action.
