1、International export regulations and controls Navigating the global framework beyond WTO rulesDisclaimerThe opinions expressed in these chapters are those of the authors.They do not represent the positions or opinions of the WTO or its members and are without prejudice to members rights and obligati

2、ons under the WTO.Any errors are attributable to the authors.The designations employed in this publication and the presentation of material therein do not imply the expression of any opinion whatsoever on the part of the WTO concerning the legal status of any country,area or territory or of its auth

3、orities,or concerning the delimitation of its frontiers.About the WTOThe World Trade Organization(WTO)is the international body dealing with the global rules of trade between nations.Its main function is to ensure that trade flows as smoothly,predictably and freely as possible,with a level playing f

4、ield for all its members.International export regulations and controls Navigating the global framework beyond WTO rulesAcknowledgmentsThis publication was coordinated by Roy Santana and Adeet Dobhal of the WTO Market Access Division.The coordinators are grateful to the Office of the Director-General

5、 for their cooperation,former Deputy Director-General Anabel Gonzlez and Suja Rishikesh Mavroidis,Director of the Market Access Division,for their encouragement,constant support and guidance.The publication was made possible with contributions prepared by:Sofie H.Flensborg(Chief of Unit,CITES Secret

6、ariat);Malika Amlie Taoufiq-Cailliau(Legal Officer,Secretariat of the Basel,Rotterdam and Stockholm Conventions),who contributed in a personal capacity;Frithjof Laubinger,Shunta Yamaguchi,Peter Brkey and Katarina Svatikova(Organisation for Economic Co-operation and Development);the International Nar

7、cotics Control Board;Evita Ricafort and Sara Hitchman(Secretariat of the WHO Framework Convention on Tobacco Control);Johan Rautenbach and Vanya Kumar(Organisation for the Prohibition of Chemical Weapons);the Arms Trade Treaty Secretariat;the Australia Group Secretariat;and the Wassenaar Arrangement

8、 Secretariat.The WTO Secretariat is thankful to Gilbert M.Bankobeza(former Chief of Legal Affairs and Compliance,Ozone Secretariat,United Nations Environment Programme)and the Security Council Affairs Division(Department of Political and Peacebuilding Affairs,United Nations)for reviewing the respect

9、ive contributions.Contributions and comments were also received from staff members of the WTO Secretariat,in particular Roberta Lascari and Simon Neumueller(Market Access Division).ContentsForeword3Introduction4Export restrictions and regulations under WTO agreements WTO Secretariat6Part 1Environmen

10、tal protection25Convention on International Trade in Endangered Species of Wild Fauna and Flora CITES Secretariat26Basel,Rotterdam and Stockholm Conventions36OECD Decision of the Council on the Control of Transboundary Movements of Wastes Destined for RecoveryOrganisation for Economic Co-operation a

11、nd Development48Vienna Convention for the Protection of the Ozone Layer and Montreal Protocol on Substances that Deplete the Ozone Layer56Part 2Drugs control65International Drug Control Conventions (1961,1971 and 1988 Conventions)International Narcotics Control Board66WHO Framework Convention on Tob

12、acco Control and Protocol to Eliminate Illicit Trade in Tobacco ProductsSecretariat of the WHO Framework Convention on Tobacco Control78Contents2Part 3Weapons and disarmament87United Nations Security Council resolutions and export controls88Convention on the Prohibition of the Development,Production

13、,Stockpiling and Use of Chemical Weapons and their DestructionOrganisation for the Prohibition of Chemical Weapons94Arms Trade TreatyArms Trade Treaty Secretariat104Australia GroupAustralia Group Secretariat114Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Tech

14、nologiesWassenaar Arrangement Secretariat122AnnexWTO members and their current status with the selected international agreements and conventions130Abbreviations144Bibliography1463International export regulations and controlsForewordThe world has been confronted by multiple challenges in recent years

15、.From the devastating health and economic consequences caused by the COVID-19 pandemic to the growing impact of climate change,these crises have risen alongside longstanding global concerns,such as alleviating poverty and fostering sustainable development.International trade has a pivotal role to pl

16、ay in addressing these pressing issues.However,the trading of certain products can entail risks,necessitating the need for measures such as export licences and restrictions in certain circumstances to manage these risks.Global cooperation has led to international agreements and conventions in a vari

17、ety of areas,ranging from protecting the environment to safeguarding public health,and promoting peace and security.Many WTO members are party to conventions and agreements with these objectives,leading to a wide range of export regulations and controls for the trading of controlled and sensitive go

18、ods.The publication examines how these international agreements co-exist with WTO rules such as the General Agreement on Tariffs and Trade(GATT)1994 and the transparency requirements regarding the procedures for the notification of quantitative restrictions.While these international agreements have

19、traditionally focused on regulations governing the importation of controlled and sensitive goods,an increasing number include rules governing exports.Examples of such agreements include the Convention on International Trade in Endangered Species of Wild Fauna and Flora,more commonly known as CITES,t

20、he Basel,Rotterdam and Stockholm Conventions on hazardous chemicals and wastes,and the United Nations International Drugs Control Conventions.This publication provides insights into some of the international agreements covering export regulations aimed at environmental protection,hazardous waste man

21、agement,weapons control and combating the spread of illicit drugs,and would not have been possible without valuable contributions from the secretariats and implementing bodies of the international agreements and conventions included in this book.The book is intended to serve as a guide for policymak

22、ers,government officials,academia and members of the public with an interest in the areas covered.By fostering a better understanding of the existing international agreements regulating exports and how they link to the multilateral trading system,the WTO can help to strengthen global cooperation,pro

23、mote transparency and perhaps even inspire future agreements seeking to strike a balance between advancing international trade and protecting the global community against potential risks.Suja Rishikesh MavroidisDirectorWTO Market Access DivisionWTO members utilize a wide range of measures,such as pr

24、ohibitions,export licences,regulations and other controls,to assist in risk management and regulating trade in controlled and sensitive goods.Examples include measures for fulfilling specific environmental objectives,the management of hazardous wastes and chemicals,combating illicit drugs and harmfu

25、l substances,contributing to international peace and weapons controls,and regulating trade in cultural property.Many of these export licences and controls are established pursuant to international agreements and conventions focused on these specific areas and are the result of many years of internat

26、ional cooperation in the respective fields.While some of these measures might be considered to be quantitative restrictions(QRs),which are generally prohibited within WTO rules,members are permitted to apply them in a limited number of situations.These can include exemptions from,and exceptions to,t

27、he rules pursuant to Articles XI:2 and XII(Balance of Payments)of the General Agreement on Tariffs and Trade(GATT)1994,respectively,as well as the general exceptions in Article XX and the national security exceptions in Article XXI of the GATT 1994.In addition,QRs may also be applied in accordance w

28、ith certain specific exceptions provided under other WTO agreements,such as the Agreement on Agriculture.To ensure transparency,WTO members are required to notify every two years all QRs in force pursuant to the WTO Decision on Notification Procedures for Quantitative Restrictions1,which is administ

29、ered by the Committee on Market Access.For example,several WTO members have notified that they maintain export restrictions in one form or the other,including export controls such as prohibitions,restrictions or licences for trade in nuclear materials,narcotic drugs and weapons,and several measures

30、to protect the environment.Members also have the possibility to indicate whether these prohibitions or restrictions stem from international obligations undertaken outside the WTO framework.In practice,several members have notified measures introduced pursuant to these agreements,including inter alia

31、 the Montreal Protocol on Substances that Deplete the Ozone Layer or the Convention on International Trade in Endangered Species of Wild Fauna and Flora to protect certain plants and animals against over-exploitation through international trade.This publication is unique in exploring how this partic

32、ular set of international agreements and conventions operate in practice and how it is linked to the multilateral trading system.Moreover,it is often difficult to find information on export-related measures.To bridge this gap,this publication presents some of the international rules for export-relat

33、ed controls in selected international agreements and explores the main ways such restrictions co-exist with WTO rules.The aim of the publication is also to assist WTO members and the general public in gaining a better understanding of the different mechanisms through which the export of high-risk or

34、 controlled products is regulated pursuant to the international agreements IntroductionEnvironmental Protection4Introduction4Endnotes1 Decision on Notification Procedures for Quantitative Restrictions,WTO document G/L/59/Rev.1,3 July 2012.2 The chapters“Vienna Convention for the Protection of the Oz

35、one Layer and Montreal Protocol on Substances that Deplete the Ozone Layer”and“United Nations Security Council resolutions and export controls”were prepared by the WTO Secretariat and reviewed by the respective organizations.and conventions beyond WTO rules.It will also aid delegates and capital-bas

36、ed officials in preparing their notifications and will help them understand more clearly the type of information that should be considered,thus increasing transparency.The agreements and conventions included in the publication were selected based on the presence of concrete provisions that seek to r

37、egulate exports,the extent to which WTO members are party to them,and how often members refer to them in their QR notifications.The publication begins with an overview of export restrictions and regulations under WTO agreements,describing the relevant legal disciplines and notification requirements.

38、The chapters on the selected international agreements and conventions focus on how the export regulations and controls under those instruments operate in practice in the following areas:environmental protection;drugs control;and weapons and disarmament.The chapters contained in Parts 1-3 were prepar

39、ed or reviewed by the secretariats and implementing bodies of the respective arrangements,agreements and conventions and are attributable to them.2 They reflect the language and terminology used in the respective agreements,which may be different from that used in context of the WTO agreements.Accor

40、dingly,the use of such terms in those chapters does not reflect an endorsement by the WTO Secretariat,and is without prejudice to WTO members status,or their rights and obligations.International export regulations and controls5Export restrictions and regulations under WTO agreements6Export restricti

41、ons and regulations under WTO agreementsThe first section of this chapter explores the relevant provisions in WTO agreements regulating export restrictions on goods.It begins by setting out the rules that address the application or maintenance of such export restrictions by members,followed by an ex

42、amination of the flexibilities available to members under specific circumstances.The second section discusses the procedures and practices for the notification of export restrictions at the WTO,in particular under the Decision on Notification Procedures that was adopted by the Council for Trade in G

43、oods in 2012.Prepared by the WTO Secretariat.International export regulations and controls7Legal disciplines regulating export restrictions under WTO agreementsWTO rules governing export restrictions on goods are not set out in a dedicated treaty or agreement.1 Rather,the relevant legal disciplines

44、are contained in several multilateral treaties on trade in goods negotiated by WTO members and annexed to the Agreement Establishing the World Trade Organization(WTO Agreement).2 The present chapter discusses these disciplines with reference to the specific terms used in WTO agreements,which may not

45、 be identical to terms used in other non-WTO legal instruments and frameworks discussed in this publication.Where useful,the chapter also refers to the interpretation of the relevant terms in WTO dispute settlement.Obligation to Eliminate Export Prohibitions and Restrictions under the General Agreem

46、ent on Tariffs and Trade(GATT 1994)Through General Agreement on Tariffs and Trade(GATT)1994 Article XI(General Elimination of Quantitative Restrictions),WTO members have agreed to pursue the elimination of export restrictions.Paragraph 1 of Article XI provides(emphasis added):“1.No prohibitions or r

47、estrictions other than duties,taxes or other charges,whether made effective through quotas,import or export licences or other measures,shall be instituted or maintained by any contracting party on the importation of any product of the territory of any other contracting party or on the exportation or

48、 sale for export of any product destined for the territory of any other contracting party.”In WTO dispute settlement,the scope of GATT 1994 Article XI:1 has been understood to be“broad”in that it envisages the elimination of all export prohibitions or restrictions,which may be made operative through

49、 quotas,licences or any“other measures”.3 The requirement in Article XI:1 to eliminate both“prohibitions”and“restrictions”has been interpreted to constrain not only bans on the exportation of a good but also measures that have a“limiting”effect on exportation.4 According to WTO panels and the Appell

50、ate Body,such a limiting effect may result from measures that create uncertainties around exportation,create undue delays or make exportation prohibitively costly,therefore modifying the competitive situation of the exporter.5 They have further observed that the limiting effect of these measures nee

51、d not be quantified,and the potential to limit trade may be sufficient for a measure to constitute a restriction on the exportation of a product within the meaning of Article XI:1.6While export quotas are one possible example of measures with such limiting effect,the scope of GATT 1994 ArticleXI:1 a

52、lso extends to other measures.For instance,GATT and WTO dispute settlement panels have found discretionary export licensing regimes and minimum export price requirements to be inconsistent with Article XI:1.7 These panels have further Export restrictions and regulations under WTO agreements8stated t

53、hat although export licensing regimes may not be per se in violation of Article XI:1,they can amount to a restriction inconsistent with Article XI:1,where licensing agencies have unfettered or undefined discretion to reject a licence application,or when export licensing practices lead to excessive d

54、elays.8 The Ad note to GATT 1994 Article XI clarifies that the term“export restrictions”includes“restrictions made effective through state-trading operations”.9 According to the interpretation of this Ad note in WTO dispute settlement,operations of a state-trading entity that result in restrictions

55、on exports may be inconsistent with the obligation under GATT 1994 Article XI:1.10 Export prohibitions and restrictions under other WTO agreementsOne specific application of the rule in GATT 1994 Article XI:1 can be found in the WTOs Agreement on Trade-Related Investment Measures(TRIMs Agreement),wh

56、ich recognizes that certain investment measures can have trade-restrictive and distorting effects.It prohibits members from applying such measures insofar as they are inconsistent with GATT 1994 Article XI.11 To this end,the Agreement contains an illustrative list of trade-related investment measure

57、s(TRIMs)that are considered inconsistent with GATT 1994 Article XI:1.12 With respect to export restrictions,this illustrative list in the annex to the TRIMs Agreement states:“2.TRIMs that are inconsistent with the obligation of general elimination of quantitative restrictions provided for in paragra

58、ph 1 of Article XI of GATT 1994 include those which are mandatory or enforceable under domestic law or under administrative rulings,or compliance with which is necessary to obtain an advantage,and which restrict:.(c)the exportation or sale for export by an enterprise of products,whether specified in

59、 terms of particular products,in terms of volume or value of products,or in terms of a proportion of volume or value of its local production.”The WTOs Agreement on Safeguards also disciplines a specific category of export restrictions.Article11.1(b)prohibits members from seeking,taking or maintainin

60、g any“voluntary export restraints,orderly marketing arrangements or any other similar measures”on the export side.13 Examples of other measures which afford protection in a manner similar to voluntary export restraints and orderly market arrangements include export moderation,export-price monitoring

61、 systems,export surveillance and discretionary export licensing schemes.14 Article 11.1(b)further clarifies that export measures prohibited under this provision include both“actions taken by a single Member”and“actions under agreements,arrangements and understandings entered into by two or more Memb

62、ers”.Under Article 4(and footnote 1)of the WTOs Agreement on Agriculture,WTO members are also precluded from resorting to or maintaining voluntary export restraints and similar border measures other than ordinary customs duties in respect of agricultural products.International export regulations and

63、 controls9Export restrictions under terms of accession Any state or separate customs territory possessing full autonomy in the conduct of its external commercial relations may accede to the WTO as a member.15 The terms of such accession are contained in the accession protocol agreed upon by the appl

64、icant and WTO members,as well as the report of the accession working party.Terms of accession often include obligations of acceding members with respect to export regulation,such as general and specific commitments in respect of export licensing.For example,Tajikistan and Ukraine have committed to a

65、pply export licensing requirements in conformity with WTO rules,including GATT 1994 Article XI.16 Chinas Accession Protocol provides for the publication and notification of export licensing requirements17,as well as non-discrimination of foreign individuals and enterprises in the distribution of exp

66、ort licences.18 The Russian Federation has committed itself to eliminating such export authorization and licensing requirements which cannot be justified under WTO provisions,as well as measures having an“equivalent effect”.In addition,the Russian Federation specifically undertook to ensure the WTO-

67、consistency of its export licensing regime for precious stones and metals,semi-precious stones,objects made thereof,certain alloys,semi-fabricates,ores,concentrates and wastes.19Exceptions and other provisions relating to the obligation to eliminate export prohibitions and restrictions The requireme

68、nt under GATT 1994 Article XI:1 to eliminate export prohibitions and restrictions co-exists with various provisions in the GATT 1994 and other WTO agreements that members have relied upon to justify introducing or maintaining export restrictions.20 Below,some of these provisions are explored.As will

69、 be further elaborated in the next section,the Decision on Notification Procedures for Quantitative Restrictions(QR Decision)adopted by the Council for Trade in Goods in 2012 requires members to notify all export restrictions in force and the justification under the WTO rules for maintaining them.21

70、 The text of GATT 1994 Article XI:1 indicates that the obligation to eliminate export restrictions does not prevent members from levying export duties,export taxes or other export charges.22 These duties,taxes or charges may nevertheless be subject to other rules in the WTO covered agreements,such a

71、s GATT 1994 Article X:3(a)requiring uniform,impartial and reasonable administration of laws and regulations.23 GATT 1994 Article XI:2 also sets out limitations on the scope of Article XI:1 by excluding specified export prohibitions or restrictions from the general rule on the elimination of quantita

72、tive restrictions.It provides in relevant parts:“2.The provisions of Article XI:1 shall not extend to the following:(a)export prohibitions or restrictions temporarily applied to prevent or relieve critical shortages of foodstuffs or other products essential to the exporting contracting party;(b)impo

73、rt and export prohibitions or restrictions necessary to the application of standards or regulations for the classification,grading or marketing of commodities in international trade;.”Export restrictions and regulations under WTO agreements10According to the interpretation of GATT 1994 Article XI:2(

74、a)in WTO dispute settlement,members may restrict or prohibit exports temporarily,that is for“a limited time”or on an“interim”basis,to address critical shortages of foodstuffs or other essential products.Specific WTO panels and the Appellate Body have considered an“essential”product within the meanin

75、g of GATT 1994 Article XI:2(a)as one that is necessary or absolutely indispensable to a particular member,taking into account the circumstances faced by that member at the time it imposes the export restrictions.A“critical shortage”has been understood as referring to deficiencies in quantity that ar

76、e crucial or that reach a vitally important or decisive stage.The phrase“prevent or relieve”in Article XI:2(a)has been interpreted to mean that members may apply export restrictions to alleviate an existing critical shortage as well as in anticipation of a critical shortage.24 With respect to agricu

77、ltural products,the WTOs Agreement on Agriculture further elaborates the exemption in GATT 1994 Article XI:2(a).In particular,Article 12(1)of the Agreement on Agriculture recognizes that members may restrict exports of foodstuffs in accordance with GATT 1994 Article XI:2(a)25,and sets out procedural

78、 requirements to be observed by a member instituting such a restriction.26 First,the acting member“shall give due consideration”to the effects of such restriction on the food security of importing members.Second,the acting member should notify the Committee on Agriculture in writing as far in advanc

79、e as practicable,with information as to the nature and duration of the restriction envisaged.27 Upon request,the acting member shall also consult with any other member having a substantial interest as an importer and provide necessary information to such member.Additionally,GATT 1994 Article XI:2(b)

80、permits WTO members to restrict or prohibit exports to the extent“necessary”to apply standards or regulations for the classification,grading or marketing of commodities.Whether an export restriction is“necessary”within the meaning of Article XI:2(b)is a case-specific determination.For instance,the G

81、ATT panel in Canada Herring and Salmon noted that Canada applied quality standards to fish and prohibited the export of fish not meeting these standards.The panel further noted,however,that Canada prohibited exports of unprocessed salmon and herring even if they could meet the standards generally ap

82、plied to fish exports.The panel therefore found that these export prohibitions could not be considered as“necessary”to the application of standards within the meaning of Article XI:2(b).28WTO members have also agreed that they may,on an exceptional basis and subject to certain conditions,take measur

83、es that would otherwise be inconsistent with their obligations.For instance,members may rely on the“General Exceptions”in GATT 1994 Article XX to justify export restrictions that violate Article XI:1.GATT 1994 Article XX provides a closed list of general exceptions,under which members may adopt or e

84、nforce export restrictions that are inter alia:“(a)necessary to protect public morals;(b)necessary to protect human,animal or plant life or health;.(d)necessary to secure compliance with laws or regulations which are not inconsistent with the provisions of this Agreement,including those relating to

85、International export regulations and controls11customs enforcement,the enforcement of monopolies operated under paragraph 4 of Article II and Article XVII,the protection of patents,trade marks and copyrights,and the prevention of deceptive practices;.(f)imposed for the protection of national treasur

86、es of artistic,historic or archaeological value;(g)relating to the conservation of exhaustible natural resources if such measures are made effective in conjunction with restrictions on domestic production or consumption;”To be justified under GATT 1994 Article XX,an export restriction inconsistent w

87、ith Article XI:1 should pursue the objective(s)set out in the subparagraphs of Article XX.The export restriction should also have the requisite nexus to the objective that it pursues(described in the various subparagraphs of Article XX with terms such as“necessary to”,“relating to”,“imposed for”and“

88、essential to”).Some subparagraphs of Article XX contain additional requirements.For instance,under GATT 1994 Article XX(g),members may adopt or enforce an export restriction relating to the conservation of exhaustible natural resources“if such measures are made effective in conjunction with restrict

89、ions on domestic production or consumption”.29 Finally,the availability of the general exceptions in GATT 1994 Article XX is,according to the opening clause of that provision:“subject to the requirement that such measures are not applied in a manner which would constitute a means of arbitrary or unj

90、ustifiable discrimination between countries where the same conditions prevail,or a disguised restriction on international trade”.In addition to these“General Exceptions”under Article XX,members may also seek to justify export restrictions under the“Security Exceptions”in the GATT 1994.In particular,

91、GATT 1994 Article XXI provides:“Nothing in this Agreement shall be construed.(b)to prevent any contracting party from taking any action which it considers necessary for the protection of its essential security interests(i)relating to fissionable materials or the materials from which they are derived

92、;(ii)relating to the traffic in arms,ammunition and implements of war and to such traffic in other goods and materials as is carried on directly or indirectly for the purpose of supplying a military establishment;(iii)taken in time of war or other emergency in international relations;or(c)to prevent

93、 any contracting party from taking any action in pursuance of its obligations under the United Nations Charter for the maintenance of international peace and security.”Finally,the WTO Agreement envisages that in exceptional circumstances,the WTO Ministerial Conference may waive an obligation imposed

94、 on a member by that agreement.30 In granting such a waiver,the Ministerial Conference must state the circumstances justifying its decision,the terms and conditions governing the application of the waiver,and the date Export restrictions and regulations under WTO agreements12on which the waiver shal

95、l terminate.A waiver granted for a period of more than one year must be reviewed annually until it expires,including for whether the exceptional circumstances justifying the waiver continue to exist,and whether the terms and conditions attached to the waiver have been met.31 These procedures have pr

96、eviously been utilized for providing a waiver from the obligation in GATT 1994 Article XI:1 to eliminate export restrictions,such as in respect of domestic measures to regulate the international trade in rough diamonds consistent with the Kimberley Process Certification Scheme.32Export prohibitions

97、and restrictions under the WTO:practice and notification proceduresTo increase transparency on export restrictive measures,WTO members have agreed to regularly notify all their prohibitions and restrictions on trade in goods under the QR Decision,as adopted by the Council for Trade in Goods on 22 Ju

98、ne 2012.33 Information contained in members notifications is included in the WTOs Quantitative Restrictions(QR)Database(QR Database).34This section discusses the treatment of QRs under GATT and the WTO Agreement and their notification requirements,in particular under the 2012 QR Decision.It also pro

99、vides an overview of the contents of QR notifications based on the Secretariats factual analysis,focusing on:(i)an overview of the QRs in force by notifying member;(ii)the trade flows (i.e.imports or exports)affected and types of measure used;(iii)the categories of products most affected;and(iv)the

100、legal justifications provided by members.The discussion below is based on measures that members have raised before official bodies of the WTO and have considered relevant to WTO legal provisions on export restrictions.Procedures for the notification of quantitative restrictionsWith the establishment

101、 of the WTO in 1995,the Committee on Market Access was established with the mandate to conduct,inter alia,“the updating and analysis of the documentation on QRs and other non-tariff measures”35.On 1 December 1995,the Council for Trade in Goods adopted a Decision on Notification Procedures for Quanti

102、tative Restrictions36,which had been approved by the Committee on Market Access on 31 October 1995,and in 1997 a format for the notification of QRs37 was also adopted by this Committee.A series of consultations that were held in 2009 on the timeliness and completeness of notifications under the 1995

103、 QR Decision revealed a number of aspects,including questions concerning the type of measures that should be notified pursuant to the QR Decision,whether such notifications should be circulated to all members,and how to deal with the duplication of notifications between the Committee on Market Acces

104、s and other bodies.On 22 June 2012,the Council for Trade in Goods adopted a revised QR Decision38,including a new format for notifications,to address the questions mentioned above,which fully replaced the previous notification procedures.International export regulations and controls13The QR Decision

105、 provides that members shall make“complete”notifications of all QRs in force beginning on 30 September 2012 and in two yearly intervals thereafter.Changes that take place between the complete notifications shall be notified“as soon as possible,but not later than six months from their entry into forc

106、e”.Although members have also the right to notify that another member is imposing a QR,no such“reverse”notification has been submitted so far.39 QR notifications are circulated under document symbol G/MA/QR/N and are automatically included in the agenda of the Committee for review.Scope of the 2012

107、QR DecisionThe QR Decision requires members to notify all QRs in force,including import and export related measures,as well as seasonal ones.According to the definition in GATT 1994 Article XI:1,QRs refer to all“prohibitions or restrictions other than duties,taxes or other charges”applied by members

108、 on imports or exports of goods,which can be“made effective through quotas,import or export licences or other measures”.However,as previously explained,the provision does not provide a more detailed definition of what constitutes a“quantitative restriction”.Annex 2 of the QR Decision provides an ind

109、icative list of ten measures that are covered by the notification requirements40,including the symbols to be used to identify them.These are:prohibitions;prohibitions except under defined conditions;global quotas;global quotas allocated by member;bilateral quotas(i.e.anything less than a global quot

110、a);non-automatic licensing procedures;QRs made effective through state-trading operations;mixing regulations;minimum prices triggering a QR;“voluntary”export restraints.The following measures are explicitly excluded from the QR Decision:(i)measures covered by the Agreement on Sanitary and Phytosanit

111、ary Measures;(ii)measures covered by the Agreement on Technical Barriers to Trade;(iii)automatic import licensing procedures;and(iv)tariff rate quotas.Notification formatNotifications pursuant to the QR Decision shall be made in accordance with the format in annex 1 and submitted to the WTO Secretar

112、iat in electronic form.This annex requires members to provide the following information for each QR:(i)a general description of the QR;(ii)the type of restriction(based on the symbols in annex 2);(iii)the tariff line codes of the products covered,including the Harmonized System(HS)version used;(iv)t

113、he detailed product description for the corresponding tariff line(s);(v)the legal justification for Export restrictions and regulations under WTO agreements14maintaining the measure;(vi)the national legal basis for the QR,including its entry into force and the date it ceased to be in force,if known;

114、and(vii)members comments,administration of the restriction or modification of a previously notified measure.41The QR Decision also acknowledges that some of the relevant measures may have already been notified to other WTO bodies.To minimize duplication,the notification format allows for a cross-ref

115、erence to notifications made pursuant to other WTO provisions,such as the Agreement on Agriculture,the Understanding on the Balance-of-Payments Provisions of the General Agreement on Tariffs and Trade 1994,the Agreement on Safeguards and the Agreement on Import Licensing Procedures.Since the other n

116、otifications require different types of information than that required by the QR Decision,the cross-references should also provide the missing information.Overview of quantitative restrictions notified by WTO membersAs mentioned earlier,the Committee on Market Access has the mandate to update and re

117、view the documentation on QRs and other non-tariff measures.Information on these discussions can be found in documents of this Committee,including in minutes of the meetings,yearly reports on the status of notifications,and factual reports analysing the content and information provided in the notifi

118、cations received.42 The information contained in the QR notifications is also compiled and analysed in the QR Database.Based on the WTO Secretariats latest report43,as of 14 April 2023,85 members(counting the European Union as 27)had submitted notifications of QRs in force for some or all the bienni

119、al periods.A total of 42 members submitted notifications for all biennial periods,whereas 12 members had submitted information for one biennial period only.Thus far,41 members have notified information for the current(2022-2024)biennial period.The QR Decision also allows members to notify changes to

120、 their measures,which are usually circulated as addenda to the initial notification.Changes may include modifications to existing QRs,as well as introduction of new measures.To date,56 members have notified changes to their measures,that is almost 50percent of those that have at least notified once.

121、It should be noted that many of these notifications of changes relate to measures adopted by members in response to the COVID-19 pandemic,especially in the biennial period 2020-2022.44 As noted,no“reverse”notification has been received to date.45According to the QR Database,the 85 members that have

122、submitted QR notifications maintain a total of 1,926 QRs that account for 2,406 measures.The terms“QR”and“measure”are used in the relevant documentation and QR Database to identify two different concepts,because each notified QR may be enforced through more than one measure.For example,one QR could

123、involve a conditional prohibition that is administered through a non-automatic licencing procedure.For purposes of the QR database and this publication,this QR is counted as two different measures.International export regulations and controls15Type of restriction used and affected trade flowsFigure

124、1 shows that of the 1,702 measures currently in force,59percent consist of import measures,while the remaining 41percent are export-related measures.In terms of the specific types of measure that have been notified overall,most of them are:non-automatic licensing procedures(NAL),of which 300 measure

125、s apply to exports and 400 to imports;prohibitions(e.g.bans of certain products)(P),of which 203 apply to exports and 363 to imports;prohibitions except under defined conditions(i.e.conditional prohibitions)(CP),of which 169 apply to exports and 219 apply to imports.Quotas46,either global(GQ),alloca

126、ted by country(GQC)or bilateral quotas(BQ),as well as QRs made effective through state-trading operations(STR)represent a small percentage of the total number of notified measures.Figure 1.Number of measures notified,by type of restriction and affected trade flowSource:WTO Secretariat based on the Q

127、R Database(https:/qr.wto.org).Note:BQ bilateral quota;CP conditional prohibition;GQ global quota;GQC global quota allocated by country;MPR minimum price triggering a quantitative restriction;NAL non-automatic licensing;P prohibition;STR quantitative restrictions made effective through state-trading.

128、400300200300400MPRBQSTRGQCGQCPNALPNumber of measuresExportsImportsExport restrictions and regulations under WTO agreements16Types of product affectedThe rest of this section discusses solely export measures,which is the focus of this publication.In terms of the products affected by export

129、-related measures,Figure 2 shows that chemical products are the most frequently affected,followed by optical and measuring instruments,different types of machinery and pharmaceuticals.47 In terms of the specific HS Chapters,with 114 QRs,Chapter 29(Organic chemicals)is the most frequently affected,fo

130、llowed by Chapter 28(Inorganic chemicals)and Chapter 38(Miscellaneous chemical products).To put the chart into perspective,53 export measures reference Chapter 03.44.Wood articles03.Fish84.Machinery71.Diamonds,pearls,preciousstones and precious metal85.Electrical machinery30.Pharmaceuticals90.Optica

131、l,medical andmeasuring equipment38.Misc.chemical products28.Inorganic chemicals 29.Organic chemicals020406080100120Source:WTO Secretariat based on the QR Database(https:/qr.wto.org).Figure 2.Top 10 HS chapters affected by export-related measures in the QR notificationsInternational export regulation

132、s and controls17WTO-related justificationsParagraph 2(v)of the QR Decision requires members to provide“an indication of the grounds and WTO justification for the measures maintained and the precise WTO provisions”,which is indicative in nature and provided by members for transparency purposes only.4

133、8 Although members have most frequently cited at least one provision from GATT 1994 with regard to export measures(95 per cent of the justifications in the QR dataset),they have also mentioned other legal instruments such as waivers,provisions in WTO accession protocols and the TRIPS Agreement.On th

134、e other hand,there are 25 export-related QRs where no specific WTO provision has been cited.Figure 3 shows that GATT 1994 was the most frequently cited WTO agreement in the dataset.Under GATT 1994,the“General Exceptions”of ArticleXX were the most frequently cited:266 export-related QRs(73 per cent o

135、f the total).Particularly relevant is the reference to paragraph(b)of ArticleXX,which refers to measures“necessary to protect human,animal or plant life or health”,which was cited in 38 per cent of the export measures in the dataset.The“Security Exceptions”of ArticleXXI was referred to as justificat

136、ion for 108(15 per cent)of the notified export measures.Besides GATT 1994,members have also referred to a lesser extent to other legal justifications,such as the Kimberley Process Waiver49(eight export measures).In several cases,reference has been made to an article in a WTO agreement in general wit

137、hout providing further details(e.g.there have been 58 cases where the member simply stated“Article XX”),or where the justification closely resembles the language of one of the general exceptions in the GATT,but no specific provision was cited(e.g.“protection of animal life and the environment”).Othe

138、r grounds for restrictionsParagraph(v)of the QR Decision acknowledges that some of these measures are the result of international cooperation beyond the WTO,and requires members to provide an indication of the grounds for the measures maintained,including“any relevant international commitment where

139、appropriate”.Several notifications have expressly noted that the measures were introduced pursuant to other arrangements,agreements or conventions outside of the WTO framework.It is worth noting that while some members have included very detailed information on other grounds for introducing restrict

140、ions,others have either avoided entirely the references or provided limited information in this regard despite being parties to the international agreements and conventions in question.Table 1 shows the number of export-related QRs that have referred to international agreements.The most frequently c

141、ited international conventions in the notifications include CITES,the Montreal Protocol,the Rotterdam Convention,the Basel Convention,the Stockholm Convention,as well as the main three UN conventions on narcotics and psychotropic substances,among others.Export restrictions and regulations under WTO

142、agreements18Figure 3.Number of export-related QRs notified,by WTO provision cited as justificationSource:WTO Secretariat based on the QR Database(https:/qr.wto.org).Article XX(General Exceptions)Article XXI(National Security)00500600Not indicatedArt.XIArt.XXArt.XXIOther GATTOtherGATT 1994

143、2538510108911Art.XX(b)Art.XX(a)Art XX(in general)Art.XX otherArt.XX(g)Art.XX(f)Art.XX(d)2665834024Art.XXI(c)Art.XXI(in general)Art.XXI(b)International export regulations and controls19Non-WTO agreements or conventionsNo.of QRs(export only)Convention on International Trade in Endangered Sp

144、ecies of Wild Fauna and Flora(CITES),197344Montreal Protocol on Substances that Deplete the Ozone Layer,198732Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade,199823Stockholm Convention on Persistent Organic Pollutants

145、,200118Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal,1989 18Single Convention on Narcotic Drugs,196117Convention on Psychotropic Substances,197117United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic Substances,198816

146、Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies,199613Minamata Convention on Mercury,201311Convention on the Prohibition of the Development,Production,Stockpiling and Use of Chemical Weapons and on their Destruction,19938Vienna Convention for the Pr

147、otection of the Ozone Layer,19857United Nations Educational,Scientific and Cultural Organization(UNESCO)Convention on the Means of Prohibiting and Preventing the Illicit Import,Export and Transfer of Ownership of Cultural Property,1970 5International Atomic Energy Agency(IAEA)Code of Conduct on the

148、Safety and Security of Radioactive Sources,20044International Commission for the Conservation of Atlantic Tunas (ICCAT),19663Table 1.Top-15 non-WTO agreements or conventions cited as grounds for restrictions in the QR notificationsSource:WTO Secretariat based on the QR Database(https:/qr.wto.org).Ex

149、port restrictions and regulations under WTO agreements20Other elements in the notificationsParagraph 2(vii)of the QR Decision allows members to provide information on,inter alia,the manner in which the restriction is administered,and whether it is applied on a most-favoured-nation basis or to the tr

150、ade with one or more trading partners.For example,about two-thirds of the measures in the dataset include information on how the measure is administered,or about which are the responsible entities,and what is the expected duration of the measures,among other things.It is worth mentioning that since

151、2020 there has been an improvement in the quality of the information provided,with more members indicating,for example,the effective duration of certain measures as well as how certain restrictions are administered or providing weblinks to the national legal basis.Several notifications provided info

152、rmation on QR measures that impose prohibitions or restrictions on specific partners,which are often related to resolutions by the United Nations Security Council50,or more recently to COVID-19.International export regulations and controls21Endnotes 1 The WTO agreements do,by contrast,include a dedi

153、cated Agreement on Import Licensing Procedures,which recognizes that“the flow of international trade could be impeded by the inappropriate use of import licensing procedures”and provides rules for the operation of import licensing regimes.2 See Annex 1A to the WTO Agreement.Unlike conventions discus

154、sed in other chapters of this publication,Annex 1A agreements are not limited to specific goods sectors but are generally applicable to trade in all goods.An exception to this is the WTOs Agreement on Agriculture,whose product coverage is limited to“agricultural products”as defined in that agreement

155、.3 Panel Report,India Quantitative Restrictions,para.5.129.See also Panel Report,Argentina Hides and Leather,para.11.17(referring to“other measures”in GATT 1994 Article XI:1 as a “broad residual category”).4 Panel Report,India Quantitative Restrictions,para.5.128;Appellate Body Report,China Raw Mate

156、rials,paras 319 and 320.5 Panel Reports,Columbia Ports of Entry,para.7.240;China Raw Materials,para.7.1081.6 Appellate Body Report,Argentina Import Measures,para.5.217;Panel Report,China Raw Materials,para.7.1081.7 Panel Report,China Raw Materials,paras 7.957,7.958,7.1081 and 7.1082;GATT Panel Repor

157、t,Japan Semi-conductors,paras 117 and 118.8 Panel Report,China Raw Materials,paras 7.957 and 7.958(finding that the discretion that arises from an undefined and generalized requirement to submit an unqualified number of“other documents”for approval of licences amounts to a restriction inconsistent w

158、ith Article XI:1).See also GATT Panel Report,Japan Semi-conductors,para.118.9 GATT 1994 Ad Articles XI,XII,XIII,XIV and XVIII.GATT 1994 Article XVII contains detailed rules on State Trading Enterprises and provides that“if a member establishes or maintains a State enterprise,wherever located,or gran

159、ts to any enterprise,formally or in effect,exclusive or special privileges,such enterprise shall,in its purchases or sales involving either imports or exports,act in a manner consistent with the general principles of non-discriminatory treatment prescribed in the GATT 1994 for governmental measures

160、affecting imports or exports by private traders”(emphasis added).10 See Panel Report,India Quantitative Restrictions,paras 5.134 and 5.135 in the context of imports effected through state trading enterprises.11 Article 2 of the TRIMs Agreement.12 See Panel Report,Colombia Ports of Entry,para.7.248(n

161、oting that this illustrative list does not limit the scope of GATT 1994 Article XI:1 to a finite category of measures).13 See Goode(2007),who defines a“voluntary export restraint”or an“orderly marketing arrangement”as a bilateral arrangement whereby an exporting country agrees to reduce or restrict

162、exports so as to shield the importing country from having to make use of quotas,tariffs or other import controls.14 Agreement on Safeguards,Article 11.1(b),footnote 4.15 Article XII of the WTO Agreement.16 Tajikistan Working Party Report,para.181;Ukraine Working Party Report,para.255.17 Chinas Acces

163、sion Protocol,para.8.1(committing to publish inter alia the names of the organizations responsible for export authorization and licensing,procedures and criteria for obtaining export licences or approvals,and the list of products subject to tendering requirements,export restrictions or export prohib

164、itions).See also Saudi Arabia Working Party Report,para.179(committing that,prior to accession,the list of products subject to export licensing would be published in its official gazette).18 Chinas Accession Protocol,para.8.2.19 Russian Federation Working Party Report,paras 668 and 669.Export restri

165、ctions and regulations under WTO agreements2220 For an overview,see https:/www.wto.org/english/res_e/publications_e/ai17_e/gatt1994_art11_oth.pdf,referring to GATT 1994 Articles XI:2,XII(Restrictions to Safeguard the Balance of Payments),XVIII(Governmental Assistance to Economic Development),XIX(Eme

166、rgency Actions on Imports),XX(General Exceptions)and XXI(Security Exceptions),as well as the Agreement on Agriculture,the Understanding on Balance of Payments,and the Agreement on Safeguards.21 Decision on Notification Procedures for Quantitative Restrictions,WTO document G/L/59/Rev.1,3 July 2012.22

167、 See Panel Report,Argentina Financial Services,para.7.1067(excluding a measure used for the calculation of tax base from the scope of GATT 1994 Article XI:1 due to its“fiscal nature”).23 See Panel Report,Argentina Hides and Leather,paras 11.91-11.101(finding that the involvement of private parties w

168、ith conflicting commercial interests in the administration of export duties was unreasonable and partial administration,inconsistent with GATT 1994 Article X:3(a).24 See Appellate Body Report,China Raw Materials,paras 323-328.See also Panel Report,China Raw Materials,paras 7.273-7.282.25 See,however

169、,Ministerial Decision on World Food Programme Food Purchases Exemption from Export Prohibitions or Restrictions,WTO document WT/MIN(22)/29,22 June 2022,adopted pursuant to GATT 1994 Article XI and Article 12 of the Agreement on Agriculture.WTO members decided not to impose any export prohibitions or

170、 restrictions on foodstuffs purchased for non-commercial humanitarian purposes by the World Food Programme(WFP).This decision was taken in view of the critical humanitarian support provided by the WFP,made more urgent in light of sharply rising levels of global hunger.The decision also provides that

171、 it“shall not be construed to prevent the adoption by any Member of measures to ensure its domestic food security in accordance with the relevant provisions of the WTO agreements.”26 Under Article 12(2)of the Agreement on Agriculture,developing country members are exempt from the requirements of Art

172、icle 12(1),unless they are net-food exporters of the specific foodstuff concerned.27 The acting member,in line with the Decision on Notification Procedures for Quantitative Restrictions,must also notify all QRs,including those taken pursuant to Article 12(1)of the Agreement on Agriculture,to the Com

173、mittee on Market Access.This decision is discussed in more detail in the subsequent sections.28 GATT Panel Report,Canada Herring and Salmon,para.4.2.29 See Panel Report,China Rare Earths,paras 7.568-7.599(finding that the differences between the timing and levels of production quotas and export quot

174、as imposed on rare earths,as well as the different product scopes of the two quotas,indicated that the export quota was not“made effective in conjunction with restrictions on domestic production or consumption”within the meaning of GATT 1994 Article XX(g).30 WTO Agreement,Article IX:3.31 WTO Agreeme

175、nt,Article IX:4.32 See Extension of Waiver Concerning Kimberley Process Certification Scheme for Rough Diamonds,WTO document WT/L/1039,30 July 2018.33 WTO document G/L/59/Rev.1.34 See https:/qr.wto.org.35 WTO Committee on Market Access,WTO document WT/L/47,17 February 1995,para.(d).36 Decision on No

176、tification Procedures for Quantitative Restrictions,WTO document G/L/59,10 January 1996.37 Format for Notification of Quantitative Restrictions(Pursuant to the Decision Adopted by the Council for Trade in Goods on 1 December 1995,G/L/59),WTO document G/MA/NTM/QR/2,10 July 1997.38 WTO document G/L/59

177、/Rev.1.39 More information on the notifications procedures are provided in the note by the Secretariat Notification of Quantitative Restrictions(QRs):A Practical Guide,WTO document JOB/MA/101/Rev.2,28 September 2018.International export regulations and controls2340 The QR Decision specifies that mea

178、sures and symbols in annex 2 are without prejudice to members rights and obligations under the WTO Agreement,and that they are“not intended to define or harmonize the concept of quantitative restrictions under the WTO”.41 WTO document G/L/59/Rev.1.42 As required by paragraph 7 of the QR Decision,the

179、 WTO Secretariat annually circulates a report on status of notifications under document series G/MA/QR.In addition,the Secretariat regularly produces a report with factual information on the types of measure that have been notified,which is circulated under document series G/MA/W/114.43 Quantitative

180、 Restrictions:Factual Information on Notifications Received,WTO document G/MA/W/114/Rev.5,18 April 2023.44 See the G/MA/W/157 and G/MA/W/168 document series.45 Paragraph 5 of the QR Decision states that members shall be free to make reverse notifications of measures maintained by other members.They

181、shall use the format in annex 1 and complete all the information required.These notifications will be included in the agenda of the Committee on Market Access and the member subject to reverse notification will have two months to comment in writing.In the absence of such a comment within the two mon

182、ths,the WTO Secretariat shall include the reverse information in the database.46 A quota is a restriction(i.e.an absolute volume)on the amount of a good that may be imported by,or exported from,a country.It should not be confused with a“tariff quota”or“tariff rate quota”(TRQ),which consist in the ap

183、plication of a reduced tariff rate(i.e.in-quota duty)for a specified quantity of imported goods;imports above this specified quantity face a higher tariff rate(i.e.out-of-quota duty).TRQs are commonly used for agricultural products.Footnote 1 of the QR Decision explicitly excludes TRQs from its scop

184、e.47 The calculation was based on the tariff codes provided in the notifications,including cases with partial information.For 192 export measures,no precise HS codes are provided in the notification(“Various”category).48 Footnote 3 of WTO document G/L/59/Rev.1 provides,inter alia,that the“justificat

185、ion is provided for transparency purposes only and is therefore indicative.It shall not prejudice any legal position a Member may take on the particular measure that the justification is intended to cover.”49 See WTO document WT/L/1039.50 For example,see Notification Pursuant to the Decision on Noti

186、fication Procedures for Quantitative Restrictions(G/L/59/Rev.1),WTO document G/MA/QR/N/SGP/6,14 April 2023.Environmental protection1Convention on International Trade in Endangered Species of Wild Fauna and Flora CITES Secretariat26Basel,Rotterdam and Stockholm Conventions36OECD Decision of the Counc

187、il on the Control of Transboundary Movements of Wastes Destined for RecoveryOrganisation for Economic Co-operation and Development48Vienna Convention for the Protection of the Ozone Layer and Montreal Protocol on Substances that Deplete the Ozone Layer5626Convention on International Trade in Endange

188、red Species of Wild Fauna and FloraThe Convention on International Trade in Endangered Species of Wild Fauna and Flora(CITES)regulates trade in specimens of over 38,000 species.It contains strict conditions under which international trade can be authorized through the issuance of export permits or l

189、icences.The Convention was adopted in 1973 and entered into force on 1 July 1975.At the time of writing,CITES has 184 parties and regulates all major markets of the world.Convention on International Trade in Endangered Species of Wild Fauna and FloraPrepared by Sofie H.Flensborg(Chief of Unit,CITES

190、Secretariat).International export regulations and controls27ENVIRONMENTAL PROTECTIONBackgroundThe Convention on International Trade in Endangered Species of Wild Fauna and Flora(CITES)is an international agreement that aims to ensure that international trade in specimens of wild animals and plants d

191、oes not threaten the survival of the species.Annually,international wildlife trade is estimated to be worth billions of dollars and to include hundreds of millions of plant and animal specimens.1 This trade is diverse,ranging from live animals,such as pets,and live ornamental plants to a vast array

192、of wildlife products derived from them,including food products,exotic leather goods,wooden musical instruments,timber,tourist curios and medicines.Levels of exploitation of some animal and plant species are high,and the trade in them,together with other factors such as habitat loss,is capable of hea

193、vily depleting their populations and even bringing some species close to extinction.Most wildlife species traded are not endangered,and an agreement to ensure the sustainability of the trade is important to safeguard these resources for the future.Today,CITES accords varying degrees of protection to

194、 more than 38,000 species of animals and plants,some of them subject to significant commercial trade as live specimens,parts and derived products.As an international agreement,CITES is legally binding on the states parties and provides a set of common minimum standards for international trade in the

195、 specimens of species regulated by it.These need to be complemented by national legislation to ensure that the provisions can be applied and enforced at the national level by the designated CITES management authorities and mandated enforcement agencies,such as the police and customs authorities.The

196、ultimate decision-making body of the Convention is the Conference of the Parties(CoP),established by ArticleXI.The CoP meets every three years to review the implementation of the Convention and to consider any proposals put forward by parties to amend the Convention appendices containing the species

197、 of animals and plants covered.In the years between the CoP,the CITES Standing Committee provides guidance to the CITES Secretariat,oversees implementation and manages compliance matters.It also prepares the meetings of the CoP.The Animals Committee and the Plants Committee comprise experts serving

198、in their individual capacity who provide scientific advice and guidance to parties,the CoP and the Standing Committee.The CITES Secretariat,based in Geneva and hosted by the United Nations,provides support to the parties,governing bodies and their working groups.CITES and the WTO have been connected

199、 since the General Agreement on Tariffs and Trade(GATT)2.The exceptions contained in ArticleXX of GATT on measures necessary to protect human,animal or plant life or health(para.(b)and on measures relating to the conservation of exhaustible resources(para.(g)are particularly relevant.The importance

200、of CITES is evident in the landmark USShrimp dispute,which involved measures to protect the endangered species of marine turtles.328Trade measuresThe species covered by the Convention are included in three different appendices:(1)Appendix I includes species that are considered to be in danger of ext

201、inction and for which international trade is generally prohibited to not further endanger the species.In accordance with ArticleIII,trade may be authorized in exceptional circumstances for non-commercial purposes(e.g.for scientific purposes)and under strict conditions.Approximately 3percent of the s

202、pecies covered by the Convention are included in AppendixI(ca.700 fauna species and 400 flora species).(2)Appendix II includes species that are not necessarily at this point endangered but could become so unless international trade is strictly regulated and controlled.Trade in specimens of these spe

203、cies may be authorized by nationally designated CITES management authorities under certain conditions,set out in ArticleIV.About 97percent of the species covered by the Convention are included in AppendixII(ca.5,000 fauna species and 33,000 flora species).(3)Appendix III includes species that are no

204、t endangered or threatened at the global level but for which a party seeks the support of other countries in the control and monitoring of trade by including the species in the Convention unilaterally.Such species must be protected under national law in order to qualify for inclusion in AppendixIII(

205、ArticleV).Less than 1 per cent of the species covered by the Convention are included in AppendixIII.Substantive provisionsArticles IIIV regulate international trade in specimens of species included in Appendices IIII of the Convention.Trade is defined as export,import,re-export and introduction from

206、 the sea.4 Introduction from the sea means that the specimen has been taken in an area not under the jurisdiction of any state(i.e.outside the territory and outside the exclusive economic zone of any country).5 The specimens may have been taken in the air,water or seabed.Specimens include live,dead,

207、parts,derivatives and final products,as well as specimens produced through biotechnology.6 However,for certain speciesin particular for plant speciesthe specimens included or excluded by the Convention are further defined in annotations or footnotes.As mentioned above,most species are included in Ap

208、pendixII and only those may be subject to trade for commercial purposes.A nationally designated CITES management authority may authorize the export of such specimens under the following conditions,set out in ArticleIV:The specimens must have been legally acquired(not poached or illegally logged).It

209、is responsibility of the trader to prove the legal origin of the goods presented for trade.Convention on International Trade in Endangered Species of Wild Fauna and FloraInternational export regulations and controls29ENVIRONMENTAL PROTECTION The trade must not have a detrimental impact on the surviv

210、al of the species in the wild.The nationally designated scientific authority must make a non-detriment finding to confirm that the taking of the wild animals or plants is sustainable.The finding is provided to the nationally designated CITES management authority before the trade can be authorized.Li

211、ve specimens to be traded must be prepared and shipped in a manner that minimizes risks of injury,damage to health or cruel treatment.In practice,parties have agreed that live animals and plants must comply with the relevant regulations agreed by the International Air Transport Association.7When the

212、se conditions are met,the nationally designated CITES management authority may issue a CITES export permit.8 The parties have agreed on the information that must be included on the permit(e.g.species name,quantity,type of specimen,source,purpose of the trade).They have also agreed on a standard form

213、 for this permit that most parties use,with small variations(see Figure1).9An export permit is valid for a maximum of six months from the date of issuance.A shipment must reach the country of import before the export permit expires in order to be compliant with the Convention.The importing party can

214、 only clear a shipment if it is accompanied by a valid export permit.The Convention does not require importing parties to issue import permits for trade in specimens of species included in AppendixII of the Convention.Some parties have,however,adopted stricter domestic measures requiring an import p

215、ermit to be issued prior to the shipment of the goods from the exporting country.To authorize re-export,the CITES management authority must ensure that the specimens were legally imported before issuing a re-export certificate.In the case of introduction of specimens of species from the sea,the CITE

216、S management authority of the state of introduction(where the specimens will be first landed)must ensure that the taking of the species is sustainable and in accordance with any international or regional agreements applicable in the geographical location to the species concerned(e.g.regional fisheri

217、es management agreements).The parties have agreed that in the case the vessel registered in one state is landing the specimens taken in the high seas in another state,it is not to be considered as introduction from the sea under the Convention,but regulated as trade.10 In this situation,the state in

218、 which the vessel is registered is considered to be the state of export;and the state into which the specimens are transported is considered to be the state of import.Parties have also made certain provisions to be applied in the case of chartering operations.11 The implementation of introduction fr

219、om the sea requires coordination between the national fisheries authorities and the CITES management authorities.The CITES Secretariat is collaborating with the Food and Agriculture Organization of the United Nations to facilitate this.The Secretariat has also compiled a list of questions and answer

220、s on CITES and fisheries.12 30Figure1:Standard form for a CITES export permitConvention on International Trade in Endangered Species of Wild Fauna and FloraInternational export regulations and controls31ENVIRONMENTAL PROTECTIONExemptions and special provisionsArticle VII contains several important e

221、xemptions and special provisions that allows international trade to occur under different conditions and are described below.Transit and transshipmentIf a shipment is in transit through a territory and remains in customs control,no export permit is needed for the transit country.However,an export pe

222、rmit is required for the final destination(import country).If the shipment is transiting over land,it is unlikely that it remains in customs control and therefore it must be considered as import into the country of transit and re-export from this country and documents must be issued accordingly.13 P

223、re-Convention specimensAs noted above,new species are added to the Convention at every meeting of the CoP.If the CITES management authority has proof that a specimen was legally acquired before the provisions of the Convention applied to the species concerned,the authority may issue a pre-Convention

224、 certificate to allow trade to occur in that specimen without verifying that trade will not be detrimental to the survival of the species.14 Personal and household effectsThe Convention allows for individuals to travel or undertake an international household move with personal or household effects o

225、f species included in the appendices without an export permit;this could include live pets,such as parrots.A special“certificate of ownership”exists to allow frequent cross-border movement of personally owned live animals(used particularly for falcons).However,in order to avoid any misuse of this ex

226、emption,parties have agreed on a number of limitations and conditions for its application.15 In addition,some parties have adopted stricter domestic measures and do not allow any trade cross-border movement of personal and household effects without a CITES document.Captive-bred animals and artificia

227、lly propagated plantsThe Convention contains special provisions for specimens that originate from artificial propagation(plantations)or from captive breeding(wildlife farms).If the nationally designated CITES management authority has proof that the specimen has been produced under certain specified

228、conditions and in a controlled environment,this may be sufficient to authorize trade in that specimen.If the species concerned is included in AppendixI and the production is commercial(i.e.the artificial propagation of species listed in AppendixI or the rearing of falcons for falconry),the trade mus

229、t be authorized under ArticleIV.This means that the trade for commercial purposes may be authorized under conditions applicable to trade in species listed in AppendixII.In addition,the facility must be registered in the CITES Registers16 by the nationally designated CITES management authority.32Scie

230、ntific exchanges and non-commercial loans between scientific institutionsScientific institutions,including herbaria,laboratories and museums,can exchange herbarium specimens or other dried or embedded museum specimens or live plant material without CITES permits for non-commercial scientific purpose

231、s if they are included in the CITES Registers by the CITES management authority.There are about 900 scientific institutions currently registered.Travelling exhibitionsIt is possible for the nationally designated CITES management authority to give multi-year and multi-entry permits to travelling exhi

232、bitions(e.g.plant exhibition,travelling zoo)under certain conditions.Stricter domestic measuresParties to the Convention may adopt stricter domestic measures in accordance with ArticleXIV.Many parties have done so(e.g.to require import permits as a condition for accepting imports of species listed i

233、n Appendix II).This includes,inter alia,China,the European Union and the United States.Other parties have adopted measures to limit the use of some of the exemptions and special provisions mentioned above(e.g.with regard to personal and household effects or with regard to specimens produced under co

234、ntrolled conditions).Information on stricter domestic measures that has been communicated to the CITES Secretariat is available in the country profiles on the CITES website.17National implementation National laws for implementing CITES is critical to ensure that trade in protected species is legal,s

235、ustainable and traceable.Although the Convention is legally binding on states,it is essential that CITES parties have adequate legislation,which is permanently up to date and efficiently enforced.Adequate national legislation is key to effective wildlife trade controls by the state agencies charged

236、with implementing and enforcing the Convention.It is also a vital prerequisite for ensuring that a party complies with the provisions of the Convention.Parties national legislation for the implementation of the Convention should provide them with the authority to:designate at least one CITES managem

237、ent authority and one scientific authority;prohibit trade in specimens in violation of the Convention;penalize such trade;confiscate specimens illegally traded or possessed.Convention on International Trade in Endangered Species of Wild Fauna and FloraInternational export regulations and controls33E

238、NVIRONMENTAL PROTECTIONThe CITES National Legislation Project provides the Secretariat with a mandate to analyse parties legislation and place it in one of three categories,depending on whether these four criteria are met.Some parties have incorporated CITES into broader biodiversity laws and supple

239、mented with regulations on international trade,whereas others have adopted specific laws on trade in endangered species.In some jurisdictions,the Convention has direct applicability which influences the nature of the national implementing legislation.The status of the national legislation can be fou

240、nd on the CITES website.18 To date,over 100 of the 184 parties have adopted adequate legislation and submitted this for analysis by the Secretariat.Legislation of a few parties is available on the CITES website in their original language.Additional legislation can be found in the ECOLEX database.19

241、A significant portion of the parties that do not yet have adequate legislation in place are least-developed countries.Compliance measuresThe Convention takes a supportive and non-adversarial approach to compliance matters with the aim of ensuring long-term compliance.20 Compliance matters may relate

242、 to a lack of submission of annual reports,a lack of progress in adopting national implementing legislation,a lack of implementation of the requirement to produce non-detriment findings under ArticleIV as well as a lack of sufficient efforts to combat illegal trade of elephant ivory or specimens of

243、other species.In most cases of non-compliance,the CITES Standing Committee adopts recommendations to assist the party concerned in addressing the identified shortcomings.Sometimes,such recommendations may be accompanied by a recommendation to other parties not to accept any exports from the party co

244、ncerned until such time as the party has complied with the recommendations.Such recommendations to suspend trade are only put in place or withdrawn by the CITES Standing Committee and are always notified to the parties.21 Currently,about 30 parties are subject to such recommendations.22Trade data an

245、d species identificationEach year,parties must submit an annual report to the Secretariat comprising data on all authorized trade(import,export,re-export and introduction from the sea)in accordance with ArticleVIII(7)(a).Since 1975,the data have been compiled in the CITES Trade Database,managed on b

246、ehalf of the CITES Secretariat by the United Nations Environment Programme World Conservation Monitoring Centre.23 The Trade Database contains almost 25million entries and is the only complete record of international trade in specimens of wild species of animals and plants.To understand whether the

247、Convention applies to a certain product,it is important to understand what species was used in the product and whether the species is included in one of the three appendices.Species identification tools and materials are rapidly evolving with the development of mobile apps and other tools.2434Recent

248、 developments and future prospectsElectronic licensing and customs controlAt the time of its conception,there was no need to consider electronic and paperless permit systems,and so the Convention envisaged that each shipment of specimens listed in CITES is accompanied by a paper permit and that each

249、 shipment is inspected at the point of export to ensure that the shipment corresponds to the permit in terms of species and quantities.However,modern trade practices make it very complicated for some parties to ensure inspection of each shipment of CITES species and to wet stamp a paper permit.This

250、was further exacerbated during the COVID-19 pandemic.Many parties have initiated processes to move to electronic permitting systems,sometimes based on the Automated System for Customs Data(ASYCUDA).More recently,parties have agreed on work on risk assessment and analysis for border control of specie

251、s listed in CITES.The Secretariat is mandated to develop guidance for a risk-based analysis related to the process of inspection under the CITES permit systembasically helping parties develop a system to prioritize the inspection efforts.Illegal trade and wildlife crimeWhile legal,sustainable and tr

252、aceable trade can have great benefits,illegal trade in wildlife undermines conservation efforts and has devastating economic,social and environmental impacts.The serious nature of wildlife crime is recognized and reflected in resolutions and decision adopted at the highest levels by CITES parties an

253、d in other forums.The Sustainable Development Goals specifically address illegal trade in wildlife through targets under Goal 15,and the United Nations General Assembly adopted the first resolution in 2015 on tackling illicit trafficking in wildlife.25 A number of species listed in CITES are high va

254、lue items targeted by organized crime groups and includes rosewood,elephant ivory,rhino horn,various reptiles and pangolin scales(UNODC,2020).It is estimated that illegal trade in wildlife is worth up to US$20 billion per year(Nellemann et al.,2016),and wildlife is trafficked by some of the same org

255、anized crime groups that are also trafficking drugs,humans and weapons.Convention on International Trade in Endangered Species of Wild Fauna and FloraInternational export regulations and controls35ENVIRONMENTAL PROTECTIONEndnotes1 CITES Secretariat(2022):“In this analysis we estimate the financial v

256、alue of direct global exports of CITES-listed species over the period 2016-2020 was approximately USD 1.8 billion for animal exports and USD 9.3 billion for plant exports.”2 See WTO/CITES(2015).3 United States Import Prohibition of Certain Shrimp and Shrimp Products:AB-1998-4,WTO document WT/DS58/AB

257、/R,12 October 1998,paras 132 and 135.4 Article I(c).5 Article I(e).6 See Trade in Readily Recognizable Parts and Derivatives,Resolution Conf.9.6(Rev.CoP19),para.2(b).7 See Transport of Live Specimens,Resolution Conf.10.21(Rev.CoP19),para.2.8 See https:/cites.org/eng/parties/country-profiles/national

258、-authorities for contact information.9 See Permits and Certificates,Resolution Conf.12.3(Rev.CoP19),Annexes 1 and 2.10 See Introduction from the Sea,Resolution Conf.14.6(Rev.CoP16).11 More information on Introduction from the sea is available here:https:/cites.org/eng/prog/ifs.php.12 See https:/cite

259、s.org/sites/default/files/eng/com/sc/74/E-SC74-51.pdf.13 Transit and Transhipment,Res.Conf.9.7(Rev.CoP15).14 Implementation of ArticleVII,Paragraph2,Concerning Pre-Convention Specimens,Resolution Conf.13.6(Rev.CoP18).15 Control of Trade in Personal and Household Effects,Resolution Conf.13.7(Rev.CoP1

260、7).16 See https:/cites.org/eng/resources/registers.php.17 See https:/cites.org/eng/parties/country-profiles.18 See https:/cites.org/eng/legislation.19 See https:/www.ecolex.org/result/?type=legislation.20 CITES Compliance Procedures,Resolution Conf.14.3(Rev.CoP19).21 It is possible to subscribe to C

261、ITES Notifications to the parties at https:/cites.org/eng/newsletter/subscriptions.22 See https:/cites.org/eng/resources/ref/suspend.php.23 See https:/trade.cites.org.24 The CITES community is gathering this information at https:/cites.org/eng/imp/identification_materials/index.php.25 Tackling Illic

262、it Trafficking in Wildlife,resolution 69/314,UN document A/RES/69/314,19August 2015.36Basel,Rotterdam and Stockholm ConventionsThe Basel,Rotterdam and Stockholm(BRS)Conventions,also known as the“Chemicals and Wastes Conventions”,aim at addressing the harmful effects of hazardous chemicals and wastes

263、,essentially through regulating their production,use,international trade and disposal.Although being in essence multilateral environmental agreements(MEAs),this chapter shows how they are interlinked to the multilateral trading system,through international trade-related aspects explicitly embodied i

264、n their respective provisions in particular on export control systems.1 Basel,Rotterdam and Stockholm ConventionsPrepared by Malika Amlie Taoufiq-Cailliau(Legal Officer,Secretariat of the Basel,Rotterdam and Stockholm Conventions),who contributed in a personal capacity.International export regulatio

265、ns and controls37ENVIRONMENTAL PROTECTIONBackgroundThe BRS Conventions2 comprise the following three international legal instruments:The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal(Basel Convention);The Rotterdam Convention on the Prior Informed

266、Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade(Rotterdam Convention);The Stockholm Convention on Persistent Organic Pollutants(Stockholm Convention).Nearly all members of the United Nations are parties to the Basel and Stockholm Conventions;and most parties t

267、o the BRS Conventions are also WTO members.The former has 190 parties,the latter 186;and there are 165 parties to the Rotterdam Convention.Although the BRS Conventions were adopted in different years,they share the common objectives of protecting human health and the environment from the harmful eff

268、ects of hazardous chemicals and wastes:(i)Concerning wastes:the Basel Convention was adopted on 22 March 1989,and entered into force on 5May 1992.(ii)Concerning chemicals:the Rotterdam Convention was adopted on 10September 1998 and entered into force on 24February 2004;the Stockholm Convention was a

269、dopted on 22May 2001 and entered into force on 17May 2004.Both conventions explicitly recognize that trade and environmental measures should be“mutually supportive”with a view to achieving sustainable development.Primary purposes of the BRS ConventionsThe overall rationale and primary purposes of th

270、e BRS Conventions were to set a level playing field between developing and developed countries by establishing a common understanding through an internationally applicable framework on the management of hazardous chemicals and wastes.At the same time,the BRS Conventions did not prevent countries tha

271、t wished to do so from going further in the protection of human health and the environment.Basel Convention on hazardous and other wastesMore specifically,the Basel Convention was designed to address serious concerns on and prevent dumping of hazardous wastes and other wastes(e.g.household waste)fro

272、m developed countries to developing countries,based on three pillars:ensuring their environmentally sound management(ESM);regulating their transboundary movements(TBM);realizing the minimization of their generation,whether quantitatively or qualitatively(degree of hazards),and thus favouring their d

273、isposal closer to their source of generation.38Rotterdam and Stockholm Conventions on hazardous chemicalsFor the hazardous chemicals and pesticides listed under the Rotterdam Convention,the provisions were originally crafted in order to promote shared responsibility and cooperative efforts between c

274、ountries and to allow better informed decisions as to their imports and exports,through establishing an information exchange platform with respect to the substances banned or restricted within the jurisdictions of parties.3 For persistent organic pollutants(POPs),which are chemicals that are long la

275、sting,long range,bio-accumulating and highly toxic to humans and wildlife,the Stockholm Convention responds to the need by prohibiting,restricting or phasing out their production,use,trade,release and storage.Only a small percentage of chemicals that could be considered harmful to the environment an

276、d human health actually fall under the respective scopes of the Rotterdam and Stockholm Conventions.In their decisions,the respective Conferences of the Parties(CoPs)to the BRS Conventions the conventions governing bodiesmay however consider and decide e.g.to list additional hazardous chemicals and

277、wastes to their annexes.Thus,the BRS Conventions can evolve to adapt,modifying their scope as needed,notably to enhance their effectiveness and to meet new challenges that may arise.Trade-related measures and export control systems under the BRS ConventionsTrade-related measures4in particular those

278、on export controlsmay play a key role for the ESM of hazardous chemicals and wastes.With regard to export controls and licensing,some very specific procedures are pivotal under the Basel and the Rotterdam Conventions,as they lie at the heart of their respective regulatory import and export control s

279、ystems:the prior informed consent(PIC)procedures,which are the core export control systems under these two MEAs.Under the Stockholm Convention,there are other types of measures enshrined in its provisions that may affect trade to a certain extent,and participate in export control.However,there is ne

280、ither an established PIC procedure nor any similar export control mechanism.The Ban Amendment,under the Basel Convention,which entered into force in December 2019,can be considered a unique export control instrument in itself.Adopted in 1995,some parties considered that the Basel Convention was too

281、limited in terms of its scope and therefore believed that a total ban on the shipment of all hazardous wastes to developing countries was needed.Basel,Rotterdam and Stockholm ConventionsInternational export regulations and controls39ENVIRONMENTAL PROTECTIONThe prior informed consent procedure under

282、the Basel ConventionThe PIC procedure is set out in detail in Article6 of the Basel Convention,to control the transboundary movements of hazardous wastes and other wastes,by means of:notifying,by an exporting party to an importing party,that the former intends to export to the latter a shipment of h

283、azardous wastes or other wastesexporters must provide accurate information about hazards relating to the wastes;consenting,by an importing party,in writing,after being properly informed,to a proposed shipment of those hazardous wastes and other wastes.For the purpose of the PIC procedure,the Basel C

284、onvention provisions require the shipments of hazardous wastes and other wastes to be properly packaged,labelled and transported,with adequate international shipment or notification/movement documents5 from their point of origin to their point of disposal or recycling.Parties,within the jurisdiction

285、s of which the wastes are merely in transit,may also refuse the transit,as the PIC procedure may also apply to themeven if they are not parties to the Basel Convention(see Article7 of the Basel Convention).There is a“duty to re-import”(i.e.to take back)on the exporter if the wastes in question canno

286、t be disposed of in an environmentally sound manner(see Article8 of the Basel Convention).As a consequence,according to Article 9(1)of the Basel Convention,any transboundary movement of hazardous wastes or other wastes is deemed to be“illegal traffic”in the following cases:“(a)without notification p

287、ursuant to the provisions of this Convention to all States concerned;or(b)without the consent pursuant to the provisions of this Convention of a State concerned;or(c)with consent obtained from States concerned through falsification,misrepresentation or fraud;or(d)that does not conform in a material

288、way with the documents;or(e)that results in deliberate disposal(e.g.dumping)of hazardous wastes or other wastes in contravention of this Convention and of general principles of international law.”More specifically,as per Article 9(2),when the illegal traffic is:“the result of conduct on the part of

289、the exporter or generator,the State of export shall ensure that the wastes in question are:(a)taken back by the exporter or the generator or,if necessary,by itself into the State of export,or,if impracticable,(b)are otherwise disposed of in accordance with the provisions of this Convention,40within

290、30days from the time the State of export has been informed about the illegal traffic or such other period of time as States concerned may agree.To this end the Parties concerned shall not oppose,hinder or prevent the return of those wastes to the State of export.”Therefore,each party to the Basel Co

291、nvention has to adopt appropriate implementing legislation to comply with its obligations under the Convention on preventing and punishing illegal traffic,making it an environmental crime.Parties are to cooperate with each other to implement the provisions on illegal traffic and to improve the ESM o

292、f hazardous wastes.The prior informed consent procedure under the Rotterdam ConventionUnder the Rotterdam Convention,there is no ban or prohibition.Rather,a platform is established to exchange information and to allow more environmentally sound international trade of certain hazardous chemicals and

293、pesticides.Along with the exchange of information,the PIC procedure is one of the key pillars of the Rotterdam Convention,applying to all hazardous industrial chemicals and pesticides listed under its Annex III,and is a formal mechanism for:(i)notifying whether the parties wish to receive imports of

294、 the chemicals and pesticides;and(ii)ensuring compliance with these decisions by exporting parties.The mechanism enables the dissemination of decisions by importing parties on whether they accept the receipt of future shipments of hazardous industrial chemicals and pesticides listed under AnnexIIIto

295、 which exporting parties have to abide.The provisions require that each party informs the Secretariat of the Rotterdam Convention6 when taking a national regulatory action to ban or severely restrict a chemical or pesticide within its jurisdictions.For chemicals and pesticides subject to the PIC pro

296、cedure:Parties intending to export a hazardous chemical or pesticide must first verify that the importing party consents to the import.Parties intending to export a hazardous chemical or pesticide that is not listed under the Rotterdam Convention,yet that is nevertheless subject to bans or severe re

297、strictions within its own territory,must notify the importing party of the proposed export and its own national restrictions.Articles5 to 7 as well as Article 9 of the Rotterdam Convention set out the procedures (i)for the inclusion of relevant chemicals to list in Annex III that are subject to the

298、PIC procedure,and(ii)for the removal of chemicals from Annex III.Essential documents for the PIC procedure include:decision guidance documents(see Article7 of the Rotterdam Convention)to help Basel,Rotterdam and Stockholm ConventionsInternational export regulations and controls41ENVIRONMENTAL PROTEC

299、TIONparties to assess risks when making informed decisions about the future import and use of the chemicals and pesticides in question;PIC circulars,published by the Secretariat every six months,on the import responses by parties(i.e.decisions on future imports of chemicals listed in AnnexIII)(see A

300、rticle10 of the Rotterdam Convention).In addition,Articles11 to 13 of the Rotterdam Convention set out obligations that have an impact on the control of imports and exports of both the chemicals listed in AnnexIII,which are subject to the PIC procedure,and the chemicals that are banned or severely r

301、estricted but are not listed in AnnexIII.In terms of export control,Article11 sets out specific obligations related to the export of chemicals listed in AnnexIII,according to which exporting parties are required to ensure that exports of hazardous chemicals and pesticides subject to the PIC procedur

302、e do not occur contrary to the decisions by importing parties.Article11(1)(b),states that each exporting party shall:“Take appropriate legislative or administrative measures to ensure that exporters within its jurisdiction comply with decisions in each response no later than six months after the dat

303、e on which the Secretariat first informs the Parties of such response in accordance with paragraph10 of Article10”.Article 11(2),in addition,states that:“Each Party shall ensure that a chemical listed in AnnexIII is not exported from its territory to any importing Party that,in exceptional circumsta

304、nces,has failed to transmit a response or has transmitted an interim response that does not contain an interim decision.”Article 12 on export notifications is more relevant for chemicals not listed in Annex III and indeed provides that:“1.Where a chemical that is banned or severely restricted by a P

305、arty is exported from its territory,that Party shall provide an export notification to the importing Party.The export notification shall include the information set out in AnnexV.”However,the obligations of a party set out in the above referred Article12,paragraph 1,ceases when the chemical has been

306、 listed in AnnexIII(see Article12(5)(a).Article 13 sets out various requirements applying to AnnexIII-listed and non-listed hazardous chemicals and pesticides:“1.The Conference of the Parties shall encourage the World Customs Organization to assign specific Harmonized System customs codes to the ind

307、ividual chemicals or groups of chemicals listed in AnnexIII,as appropriate.Each Party shall require that,whenever a code has been assigned to such a chemical,the shipping document for 42that chemical bears the code when exported.“2.Without prejudice to any requirements of the importing Party,each Pa

308、rty shall require that both chemicals listed in AnnexIII and chemicals banned or severely restricted in its territory are,when exported,subject to labelling requirements that ensure adequate availability of information with regard to risks and/or hazards to human health or the environment,taking int

309、o account relevant international standards.“3.Without prejudice to any requirements of the importing Party,each Party may require that chemicals subject to environmental or health labelling requirements in its territory are,when exported,subject to labelling requirements that ensure adequate availab

310、ility of information with regard to risks and/or hazards to human health or the environment,taking into account relevant international standards.“4.With respect to the chemicals referred to in paragraph 2 that are to be used for occupational purposes,each exporting Party shall require that a safety

311、data sheet that follows an internationally recognized format,setting out the most up-to-date information available,is sent to each importer.“5.The information on the label and on the safety data sheet should,as far as practicable,be given in one or more of the official languages of the importing Par

312、ty.”The Stockholm Convention Article 3 on measures to reduce or eliminate releases from intentional production and use of persistent organic pollutantsThe provisions embodied under Article 3 of the Stockholm Convention are among the most relevant in terms of trade-related measures and export control

313、 because they directly affect the control and licensing of exports of the listed POPs.They set out requirements on both exporting(e.g.certification)and importing parties(e.g.ESM)for the international trade of POPs listed as prohibited(in AnnexA)or restricted(in AnnexB).Yet,they take into account app

314、licable registered“specific exemptions”or“acceptable purposes”.Article 3(1)more specifically states in this respect that each party shall prohibit and/or take the legal and administrative measures necessary to eliminate its import and export of the chemicals listed in AnnexA in accordance with the p

315、rovisions of Article3(2),as follows:“2.Each Party shall take measures to ensure:(a)That a chemical listed in Annex A or Annex B is imported only:(i)For the purpose of environmentally sound disposal as set forth in paragraph1(d)of Article6;or(ii)For a use or purpose which is permitted for that Party

316、under AnnexA or AnnexB;Basel,Rotterdam and Stockholm ConventionsInternational export regulations and controls43ENVIRONMENTAL PROTECTION(b)That a chemical listed in Annex A for which any production or use specific exemption is in effect or a chemical listed in Annex B for which any production or use

317、specific exemption or acceptable purpose is in effect,taking into account any relevant provisions in existing international prior informed consent instruments,is exported only:(i)For the purpose of environmentally sound disposal as set forth in paragraph1(d)of Article6;(ii)To a Party which is permit

318、ted to use that chemical under Annex A or Annex B;or(iii)To a State not Party to this Convention which has provided an annual certification to the exporting Party.Such certification shall specify the intended use of the chemical and include a statement that,with respect to that chemical,the importin

319、g State is committed to:a.Protect human health and the environment by taking the necessary measures to minimize or prevent releases;b.Comply with the provisions of paragraph1 of Article6;and c.Comply,where appropriate,with the provisions of paragraph2 of PartII of AnnexB.The certification shall also

320、 include any appropriate supporting documentation,such as legislation,regulatory instruments,or administrative or policy guidelines.The exporting Party shall transmit the certification to the Secretariat within sixty days of receipt.(c)That a chemical listed in Annex A,for which production and use s

321、pecific exemptions are no longer in effect for any Party,is not exported from it except for the purpose of environmentally sound disposal as set forth in paragraph1(d)of Article6;(d)For the purposes of this paragraph,the term State not Party to this Convention shall include,with respect to a particu

322、lar chemical,a State or regional economic integration organization that has not agreed to be bound by the Convention with respect to that chemical.”A unique export control measure under the Basel Convention Ban AmendmentIn terms of export control,the Ban Amendment under the Basel Convention is also

323、noteworthy.It requires that each party listed in AnnexVII to the Basel Convention(i.e.members of the Organisation for Economic Co-operation and Development,the European Union,Liechtenstein”)shall:(i)prohibit all transboundary movements of hazardous wastes destined for final disposal to states not li

324、sted in AnnexVII;and(ii)prohibit all transboundary movements of hazardous wastes destined for reuse,recycling or recovery operations to states not listed in AnnexVII.44Case studiesAs mentioned above,one of the primary purposes of the BRS Conventions is to establish a level playing field between deve

325、loping and developed economies,without preventing economies that wish to do so to go further in the protection of human health and the environment.When examining the implementation of the BRS Conventions,it is imperative to recognize that such national experiences may also vary not only due to econo

326、mic and social considerations but also depending on the type of legal system and how international law and treaties are integrated with national law.European Union:the REACH Regulation and other EU legislation impacting the export of hazardous chemicals and wastes The Registration,Evaluation,Authori

327、sation and Restriction of Chemicals(REACH)Regulation sets out the EU regulatory framework applicable to,in principle,all chemicals,and was adopted to improve the protection of human health and the environment.7 In force in all EU Members since 1June 2007,it also applies to three members of the Europ

328、ean Free Trade Association(Iceland,Lichtenstein,Norway).To comply with the REACH Regulation,companies must identify and manage the risks linked to the substances they produce or market.The burden of proof is placed on them and therefore,they have to demonstrate to the European Chemicals Agency(ECHA)

329、how the substance can be safely used;also,they must communicate the risk management measures to the users.8 Authorities can ban hazardous substances if their risks are considered unmanageable or may decide to restrict a use or make it subject to a prior authorization.ECHA provides guidance documents

330、9 and answers to frequently asked questions10 to assist companies,including manufacturers or exporters established outside the European Union,in complying with the REACH Regulation.National help desks can also be reached directly.11Additional EU legislation handled by ECHA contributes to regulating

331、chemicals and wastes ESM12,notably by controlling exports through,for example:The PIC Regulation,in force since 1March 2014,relating to the import and export of certain hazardous chemicals,with obligations on companies exporting to countries outside the European Union;13 The POPs Regulation of 20Jun

332、e 2019,as amended in 2022,to ban or severely restrict the production and use of POPS in the European Union;14 The Waste Framework Directive,in force since July 2018,with measures addressing the adverse impacts of the generation and management of waste on the environment and human health,and for impr

333、oving efficient use of resources considered crucial for the transition to a circular economy.15Basel,Rotterdam and Stockholm ConventionsInternational export regulations and controls45ENVIRONMENTAL PROTECTIONCte dIvoire:measures implementing the BRS Conventions In August 2006,toxic waste originating from the Probo Koala,a vessel chartered by a private trading company,was dumped at several sites in