Decision III/2
REVIEW OF
COMPLIANCE
The Meeting,
Recalling Article 11, paragraph 2, of the
Convention, and decision II/4 on the review of compliance,
Determined to promote and improve compliance
with the Convention,
Having reviewed the structure and functions
of the Implementation Committee, bearing in mind
the possible involvement of the public,
Recognizing the importance of rigorous
reporting by Parties of their compliance with the
Convention, and noting the first review of the implementation
of the Convention as referred to in its decision
III/1,
Recalling that Parties may make submissions
to the Committee regarding their own compliance,
in accordance with paragraph 4 (b) of the appendix
to decision II/4,
1. Encourages Parties to bring issues concerning
their own compliance before the Committee;
2. Decides that the structure and functions
of the Committee and the procedures for review of
compliance shall be those set out in the appendix
to this decision, amending and replacing the appendix
to decision II/4;
3. Resolves that the procedure for the review
of compliance shall apply to the Convention and
any amendments to it;
4. Encourages the application of the procedure
for the review of compliance to the Protocol on
Strategic Environmental Assessment and to any future
protocols to the Convention, in accordance with
their relevant provisions;
5. Decides to keep under review and develop
if necessary the structure and functions of the
Committee at the fourth meeting of the Parties in
the light of experience gained by the Committee
in the interim, including with public involvement,
and in this context requests the Committee to prepare
any necessary proposals for the fourth meeting of
the Parties;
6. Recommends that further measures should
be taken to strengthen reporting, and in this respect
welcomes decision III/9 on the work plan; and
7. Welcomes the reports of the first five
meetings of the Implementation Committee and requests
the Committee to consider developing criteria for
dealing with information other than submissions
from Parties and proposals on membership of the
Committee when considering matters under the Protocol
on Strategic Environmental Assessment.
Appendix
STRUCTURE AND FUNCTIONS OF THE
IMPLEMENTATION COMMITTEE
AND PROCEDURES FOR REVIEW OF COMPLIANCE
Structure
1. (a) The Committee shall consist of eight Parties
to the Convention. Each of the eight Parties shall
appoint a member of the Committee. At their second
meeting, the Parties elected four Parties to the
Committee for two terms and four Parties for one
term. At each session thereafter, the Meeting of
the Parties shall elect four new Parties for two
terms. Outgoing Parties may be re-elected once,
unless in a given case the Meeting of the Parties
decides otherwise. The Committee shall elect its
own Chair and Vice-Chair;
(b) For the purposes of this paragraph "term(s)"
means the period that begins at the end of one meeting
of the Parties and ends at the end of the next meeting
of the Parties.
Meetings
2. The Committee shall, unless it decides otherwise,
meet at least once a year. The secretariat shall
arrange for and service its meetings. The agenda
for each meeting shall be made publicly available
before the meeting.
3. Its meetings shall be open to other Parties
and the public, unless the Committee decides otherwise.
Parts of meetings dealing with specific submissions
relating to compliance shall not be open to other
Parties or to the public, unless the Committee and
the Party whose compliance is in question agree
otherwise.
Objective and functions of the
Committee
4. The objective of the Committee shall be to assist
Parties to comply fully with their obligations under
the Convention, and to this end it shall:
(a) Consider any submission made in accordance
with paragraph 5 below or any other possible non-compliance
by a Party with its obligations that the Committee
decides to consider in accordance with paragraph
6, with a view to securing a constructive solution;
(b) Review periodically, in accordance with guidelines
or criteria formulated by the Meeting of the Parties,
compliance by the Parties with their obligations
under the Convention on the basis of the information
provided in their reports;
(c) Prepare the reports referred to in paragraph
11 with a view to providing any appropriate assistance
to the Party or Parties concerned, for example by
clarifying and assisting in the resolution of questions;
providing advice and recommendations relating to
procedural, technical or administrative matters;
and providing advice on the compilation and communication
of information; and
(d) Prepare, at the request of the Meeting of
the Parties, and based on relevant experience acquired
in the performance of its functions under subparagraphs
(a), (b) and (c) above, a report on compliance with
or implementation of specified obligations in the
provisions of the Convention.
Submission by Parties
5. A submission may be brought before the Committee
by:
(a) One or more Parties to the Convention that
have concerns about another Party´s compliance with
its obligations under that instrument. Such a submission
shall relate specifically to those concerns and
shall be addressed in writing by the focal point
of the Party in question to the secretariat and
supported by corroborating information. The secretariat
shall, within two weeks of receiving a submission,
send a copy of it to the focal point of the Party
whose compliance is at issue. Any reply and information
in support thereof shall be submitted to the secretariat
and to the focal points of the Parties involved
within three months or such longer period as the
Parties involved agree. The secretariat shall transmit
the submission and the reply, as well as all corroborating
and supporting information, to the Committee, which
shall consider the matter as soon as possible; or
(b) A Party that concludes that, despite its best
endeavours, it is or will be unable to comply fully
with its obligations under the Convention. Such
a submission shall be addressed in writing to the
secretariat and explain, in particular, the specific
circumstances that the Party considers to be the
cause of its non-compliance. The secretariat shall
transmit the submission to the Committee, which
shall consider it as soon as possible.
Committee initiative
6. Where the Committee becomes aware of possible
non-compliance by a Party with its obligations,
it may request the Party concerned to furnish necessary
information about the matter. Any reply and information
in support shall be provided to the Committee within
three months or such longer period as the circumstances
of a particular case may require. The Committee
shall consider the matter as soon as possible in
the light of any reply that the Party may provide.
Information gathering
7. To assist the performance of its functions under
paragraph 4 above, the Committee may:
(a) Request further information on matters under
its consideration, through the secretariat;
(b) Undertake, at the invitation of the Party
of origin and/or the affected Party, information
gathering in the territory of that Party;
(c) Consider any information forwarded by the
secretariat concerning compliance with the Convention;
and
(d) As appropriate, seek the services of scientific
experts and other technical advice or consult other
relevant sources.
8. The Committee shall ensure the confidentiality
of information that has been provided to it in confidence,
inter alia, with regard to the reports of its meetings.
Entitlement to participate
9. A Party in respect of which a submission is
made or which makes a submission shall be entitled
to participate in, or be present during, the consideration
by the Committee of that submission, but shall not
take part in the preparation and adoption of any
report or recommendations of the Committee. The
Committee shall decide on the content of any report
or recommendations by consensus, send a copy of
the draft report or recommendations to the Parties
concerned, and shall take into account any representations
from such Parties in the finalization of the report.
10. A member of the Committee that represents a
Party in respect of which a submission is made or
which makes a submission shall be entitled to participate
in the consideration by the Committee of that submission
but shall not participate in, or be present during,
the preparation and adoption of any part of a report
or recommendation of the Committee that relates
to that submission.
Committee reports to the Meeting
of the Parties
11. The Committee shall report on its activities
at each meeting of the Parties through the secretariat
and make such recommendations as it considers appropriate,
taking into account the circumstances of the matter,
regarding compliance with the Convention. Each report
shall be finalized by the Committee not later than
ten weeks in advance of the session of the Meeting
of the Parties at which it is to be considered.
Every effort shall be made to adopt the report by
consensus. Where this is not possible the report
shall reflect the views of all the Committee members.
Committee reports shall be available to the public.
Competence of Committee members
12. If as a result of the operation of paragraph
10 the size of the Committee is reduced to five
members or less, the Committee shall forthwith refer
the matter in question to the Meeting of the Parties.
Consideration by the Meeting of
the Parties
13. The Meeting of the Parties may, upon consideration
of a report and any recommendations of the Committee,
decide upon appropriate general measures to bring
about compliance with the Convention and measures
to assist an individual Party´s compliance. The
Parties shall make every effort to reach a decision
by consensus. If all efforts at consensus have been
exhausted, and no agreement reached, the decision
shall, as a last resort, be adopted by a three-fourths
majority vote of the Parties present and voting
at the meeting.
Relationship to settlement of disputes
and the inquiry procedure
14. The present compliance procedure, as a non-adversarial
and assistance-oriented procedure, shall be without
prejudice to the settlement of disputes provisions
in Article 15 of the Convention.
15. Where a matter is being considered under an
inquiry procedure under Article 3, paragraph 7,
of the Convention, that matter may not be the subject
of a submission under this decision.