Manual on Compliance with and Enforcement of Multilateral ...

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multilateral development banks, universities, and other institutions lent their expertise to the <strong>Manual</strong>. Moreover, attorneys, professors, customs officers, policy makers, and other staff and experts from a variety of developed countries contributed case studies, suggestions, and comments to the <strong>Manual</strong>. Following the final three UNEP regional workshops, as well as soliciting feedback from other venues, the <strong>Manual</strong> was finalized taking into account the case studies and comments from the workshops. UNEP intends to translate it from English into the other five official languages of the United Nations and widely disseminate the <strong>Manual</strong>. manUal On COmPlianCe WiTH anD enFOrCemenT OF meas
Page 1: Manual on Complian
Page 6 and 7: UNEP promotes environmentally frien
Page 8 and 9: UNEP is particularly grateful to th
Page 10 and 11: Summary of Contents Acknowledgments
Page 12 and 13: Embrace Specific Approaches to Enco
Page 14 and 15: 10 The Convention on Biological Div
Page 16 and 17: 12 Media Actions to Highlight Envir
Page 19 and 20: Foreword After decades of developin
Page 21 and 22: How To Use This Manual</str
Page 23 and 24: Once a person is familiar with the
Page 25 and 26: Albania Antigua and Barbuda Argenti
Page 27 and 28: Tutorial on How to Use the manual T
Page 29 and 30: seen — are used almost entirely a
Page 31 and 32: development; assistance in developi
Page 33 and 34: Introduction This Manual</s
Page 35 and 36: text of the Guidelines are provided
Page 37 and 38: Chapter I touches upon the preparat
Page 39 and 40: (c) capable of being monitored effe
Page 41: additional case studies, highlighte
Page 47 and 48: Compliance guidelines - explanatory
Page 49 and 50: n Solidarity: States may wish to be
Page 51 and 52: Seychelles’ Cost-Benefit Assessme
Page 53 and 54: croatia’s cost-beneFit anaLysis F
Page 55 and 56: Primer on Negotiating and Ratifying
Page 57 and 58: How do states Commit to an mea? Onc
Page 59 and 60: and it meets regularly (e.g., once
Page 61 and 62: state succession and the nyerere do
Page 63 and 64: A. Background on Compliance Purpose
Page 65 and 66: B. Preparing for Negotiations [10]
Page 67 and 68: ˛ Checklist for preparing for nego
Page 69 and 70: Regular Exchange of Information Amo
Page 71 and 72: Development of a Common African Neg
Page 73 and 74: Consultations between Negotiating S
Page 75 and 76: armenia’s inter-agency Process Fo
Page 77 and 78: Negotiating Skills Workshops for LD
Page 79 and 80: Institutional and Ministerial Coord
Page 81 and 82: st. Lucia’s conventions and agree
Page 83 and 84: oLivia’s aPProach to the united n
Page 85 and 86: ivory coast’s caLendar oF mea mee
Page 87 and 88: Avoiding Overlaps and Encouraging S
Page 89 and 90: 4 Additional Resources on Synergies
Page 91 and 92: C. Negotiating MEAs Effective Parti
Page 93 and 94:
If staff is available, one option i
Page 95 and 96:
Additional Materials on Negotiation
Page 97 and 98:
˛ CHECKLIST FOR STEPS TO PARTICIPA
Page 99 and 100:
Assess the Geographical Scope of an
Page 101 and 102:
CACMA - A NegotiAtiNg BloC for UNfC
Page 103 and 104:
AfriCAN MiNisteriAl CoNfereNCe oN t
Page 105 and 106:
fUNdiNg for NegotiAtors froM develo
Page 107 and 108:
Embrace Specific Approaches to Enco
Page 109 and 110:
n the 1988 Protocol Concerning the
Page 111 and 112:
iNvolviNg NoN-pArties iN CMs sUBsid
Page 113 and 114:
pUBliC pArtiCipAtioN iN the develop
Page 115 and 116:
Assessment of Domestic Capabilities
Page 117 and 118:
sUstAiNABility iMpACt AssessMeNt iN
Page 119 and 120:
Provide Compliance-Enhancing Measur
Page 121 and 122:
n setting terms for mechanisms to a
Page 123 and 124:
4 Additional Resources On Complianc
Page 125 and 126:
In addition to promoting the object
Page 127 and 128:
Country Programmes (CPs) and Refrig
Page 129 and 130:
NAtioNAl Biodiversity strAtegies AN
Page 131 and 132:
Muskrat lodge, wetlands. rAMsAr sit
Page 133 and 134:
Reporting, Monitoring, and Verifica
Page 135 and 136:
in a wide range of responses that w
Page 137 and 138:
CoMMoN reportiNg softwAre Software
Page 139 and 140:
Public Involvement in the Developme
Page 141 and 142:
Review of National Reports under th
Page 143 and 144:
A Survey of Monitoring and Reportin
Page 145 and 146:
A Survey of Monitoring and Reportin
Page 147 and 148:
Environmental International Agency
Page 149 and 150:
e in order. A compliance body may b
Page 151 and 152:
CoMpliANCe MeChANisMs iN vArioUs Me
Page 153 and 154:
Compliance Mechanisms in Various ME
Page 155 and 156:
Page 157 and 158:
Page 159 and 160:
4 Additional Resources On Complianc
Page 161 and 162:
˛ CHECKLIST FOR COMPLIANCE MECHANI
Page 163 and 164:
n World Resources Report http://pro
Page 165 and 166:
eviewiNg iMpleMeNtAtioN of the lUsA
Page 167 and 168:
Develop a Compliance Mechanism afte
Page 169 and 170:
UNeCe CoMpliANCe MeChANisMs thAt we
Page 171 and 172:
CoMpliANCe MeChANisM for the kyoto
Page 173 and 174:
Dispute Settlement Provisions [17]
Page 175 and 176:
International Court of Environmenta
Page 177 and 178:
perMANeNt CoUrt of ArBitrAtioN Esta
Page 179 and 180:
4 Additional Materials on MEAs Axel
Page 181 and 182:
Checklist For International Dispute
Page 183 and 184:
D. National Measures to Implement M
Page 185 and 186:
Compliance Assessment and Complianc
Page 187 and 188:
New Zealand: Preparing to Implement
Page 189 and 190:
assistanCe to new Parties to the ra
Page 191 and 192:
National Implementation Plans [21]
Page 193 and 194:
a steering committee should have a
Page 195 and 196:
imPlementinG the Clean develoPment
Page 197 and 198:
Checklist for Developing National I
Page 199 and 200:
Economic Instruments to Facilitate
Page 201 and 202:
the sCientifiC and teChniCal review
Page 203 and 204:
develoPinG Country foCal Points und
Page 205 and 206:
enumeration of functions for manage
Page 207 and 208:
Coordinating and Strengthening Nati
Page 209 and 210:
Utilise Media Tools and Improve Pub
Page 211 and 212:
Improve Access to Administrative an
Page 213 and 214:
Capacity building and technology tr
Page 215 and 216:
Bali strategic Plan for technology
Page 217 and 218:
aPProaChes for finanCial and teChni
Page 219 and 220:
technology transfer to Build Capaci
Page 221 and 222:
financial mechanisms for Implementi
Page 223 and 224:
teChnoloGy transfer aCtivities thro
Page 225 and 226:
the Green Customs initiative It has
Page 227 and 228:
E. International Cooperation and Co
Page 229 and 230:
For example, the European Union Net
Page 231 and 232:
Information on Compliance Status [3
Page 233 and 234:
nGos ProvidinG news relatinG to mea
Page 235 and 236:
Norway - Bilateral Development Coop
Page 237 and 238:
Experience Sharing and Networking [
Page 239 and 240:
Customs enforCement networK of the
Page 241 and 242:
egional Initiatives (cont’d) Arab
Page 243 and 244:
Pacific regional environment Progra
Page 245 and 246:
egional Networks and south-south Co
Page 247 and 248:
˛ CheCKlIst for DeveloPINg NetWorK
Page 249 and 250:
Guidance Materials on Implementing
Page 251 and 252:
• A Guide to Designing Legal and
Page 253 and 254:
• Good Practice Guidance and Unce
Page 255 and 256:
meas and tourism in seychelles (con
Page 257 and 258:
guidelines, manual, and handbooks o
Page 259 and 260:
Regional or Sub-Regional Action Pla
Page 261 and 262:
PaCifiC island Countries’ reGiona
Page 263 and 264:
egional Planning for adaptation to
Page 265 and 266:
eGional GuidanCe on imPlementinG me
Page 267 and 268:
eGional Biodiversity strateGy for t
Page 269 and 270:
merCosur sPeCialiZed worKinG GrouP
Page 271 and 272:
enCouraGinG non-Parties to ratify t
Page 273 and 274:
Enhancing Cooperation among MEA Sec
Page 275 and 276:
holistically integrates and impleme
Page 277 and 278:
with the Basel Convention. However,
Page 279 and 280:
• capacity building efforts, such
Page 281 and 282:
CooPeration to Promote eia and Biod
Page 283 and 284:
synerGies Between the ramsar Conven
Page 285 and 286:
synergies between the ramsar Conven
Page 287 and 288:
synerGies and the millenium eCosyst
Page 289 and 290:
Coordination of uneCe aGreements an
Page 291 and 292:
Chapter II Enforcement of MEAs •
Page 293 and 294:
A. Background on Enforcement [35] T
Page 295 and 296:
IntegratIng Meas Into georgIa’s e
Page 297 and 298:
case on publIcatIon of the aarhus c
Page 299 and 300:
nificant sanctions that may be impo
Page 301 and 302:
4 ADDITIONAL RESOURCES ON ENVIRONME
Page 303 and 304:
B. National Approaches to Environme
Page 305 and 306:
Liability systems can reduce or pre
Page 307 and 308:
information available can empower t
Page 309 and 310:
engagIng traDItIonal leaDers In gha
Page 311 and 312:
Framing An Environmental Regime In
Page 313 and 314:
For example, in determining whether
Page 315 and 316:
also injunctions and actions for da
Page 317 and 318:
4 Additional Resources on National
Page 319 and 320:
C. National Laws and Regulations [4
Page 321 and 322:
n Where there is a substantial body
Page 323 and 324:
Since the effective implementation
Page 325 and 326:
Synergetic Implementation of MEAs:
Page 327 and 328:
4 Additional Resources on Synergeti
Page 329 and 330:
CITES Project on Cost-Benefit Analy
Page 331 and 332:
Limitations of Cost-Benefit Analysi
Page 333 and 334:
˛ CHECKLIST FOR ECONOMIC VALUATION
Page 335 and 336:
Governments increasingly are lookin
Page 337 and 338:
CITES National Legislation Project
Page 339 and 340:
n Many NEAPs were political documen
Page 341 and 342:
to consider what happens when two (
Page 343 and 344:
Incorporating MEAs into the Environ
Page 345 and 346:
˛ CHECKLIST FOR DEVELOPING EFFECTI
Page 347 and 348:
community from compliance (e.g. inc
Page 349 and 350:
DesIgnIng aDMInIstratIve feasIbIlIt
Page 351 and 352:
international community is divided
Page 353 and 354:
tive, civil, and/or criminal sancti
Page 355 and 356:
For example, Colombia provides for
Page 357 and 358:
An affected community or individual
Page 359 and 360:
agency or court might order that a
Page 361 and 362:
Individual Criminal Liability - Imp
Page 363 and 364:
azIl’s envIronMental crIMes law T
Page 365 and 366:
offences anD penaltIes for pestIcID
Page 367 and 368:
sanctIons for envIronMental vIolatI
Page 369 and 370:
Setting Appropriate Administrative
Page 371 and 372:
Staghorn coral surrounded by reef f
Page 373 and 374:
Penalties for Violation of Argentin
Page 375 and 376:
D. Institutional Frameworks [41] St
Page 377 and 378:
Designation of Responsibilities for
Page 379 and 380:
\ [41(d)] lowing Guideline 41(d)).
Page 381 and 382:
Vertical Designation of enforcement
Page 383 and 384:
mapping brazil’s coral reeFs Braz
Page 385 and 386:
Participatory Management and Monito
Page 387 and 388:
4 Additional Resources For Monitori
Page 389 and 390:
facilities subject to environmental
Page 391 and 392:
public Disclosure oF corporate envi
Page 393 and 394:
self-Monitoring Required by U.s. en
Page 395 and 396:
Designation of Responsibilities for
Page 397 and 398:
Capacity Building for Judicial offi
Page 399 and 400:
UNeP’s Judges Programme (cont’d
Page 401 and 402:
specialised environmental Administr
Page 403 and 404:
˛ CheCklist foR AssistANCe to CoUR
Page 405 and 406:
A survey of some National and Regio
Page 407 and 408:
isK assessment For importing lmos (
Page 409 and 410:
Clear Authority for Enforcement Bod
Page 411 and 412:
(including cross-sectoral and manag
Page 413 and 414:
environmental inspections in sloven
Page 415 and 416:
Fairness and Consistency in Enforce
Page 417 and 418:
eFerences to promote environmental
Page 419 and 420:
Guyana’s Compliance and enforceme
Page 421 and 422:
˛ CheCklist of Considerations in s
Page 423 and 424:
U.s. epa’s Criminal investigation
Page 425 and 426:
Economic Instruments to Promote Com
Page 427 and 428:
Loans. Under this arrangement, inst
Page 429 and 430:
dEmAnd-SidE mAnAgEmEnt in thE PowEr
Page 431 and 432:
economic instruments in Barbados (c
Page 433 and 434:
financing Conservation efforts by s
Page 435 and 436:
environmental Compensation in Brazi
Page 437 and 438:
the green fund of trinidad & tobago
Page 439 and 440:
EnvironmEntAl fUndS in bUlgAriA Bul
Page 441 and 442:
EECCA EnvironmEntAl fUndS And good
Page 443 and 444:
thE PollUtEr-PAyS PrinCiPlE And thE
Page 445 and 446:
environment funds in the kyrgyz rep
Page 447 and 448:
environment funds in the kyrgyz rep
Page 449 and 450:
Environmental Taxes and Levies As n
Page 451 and 452:
additional resources on economic in
Page 453 and 454:
An important concept in many proces
Page 455 and 456:
ECo-lAbEling in indonESiA, SingAPor
Page 457 and 458:
environmental self-auditing in the
Page 459 and 460:
Public Access to Judicial Procedure
Page 461 and 462:
survey of access to Justice in four
Page 463 and 464:
Justice.” Citizen suits in the Un
Page 465 and 466:
standing in two states (cont’d) T
Page 467 and 468:
Public Access to Environmental Info
Page 469 and 470:
environmental information disclosur
Page 471 and 472:
mACEdoniA’S PUbliC rElAtionS offi
Page 473 and 474:
EgionAl ACCESS to EnvironmEntAl inf
Page 475 and 476:
4 Additional Resources On Access To
Page 477 and 478:
CAmEroon’S nAtionAl ProJECt for P
Page 479 and 480:
environmental impact assessment (ei
Page 481 and 482:
Public Participation in Developing
Page 483 and 484:
omania’s experience with local ag
Page 485 and 486:
A PArtiCiPAtory ProCESS for dEvEloP
Page 487 and 488:
ngo involvement in romania’s nati
Page 489 and 490:
public and private enforcement of t
Page 491 and 492:
honorAry fiSh wArdEnS in fiJi Under
Page 493 and 494:
ngo-governmental Collaboration in e
Page 495 and 496:
EvolUtion of PUbliC PArtiCiPAtion i
Page 497 and 498:
additional resources on public part
Page 499 and 500:
Media Actions to Highlight Environm
Page 501 and 502:
Periodic Review of Adequacy of Laws
Page 503 and 504:
aUdit of coMpliance with the Basel
Page 505 and 506:
arMenia’s national capacity self-
Page 507 and 508:
evising environMental legislation f
Page 509 and 510:
Establishing Effective Courts [41]
Page 511 and 512:
The Environmental Commission of Tri
Page 513 and 514:
environMental coUrts in sUdan In 19
Page 515 and 516:
Coordination among Government Agenc
Page 517 and 518:
BUrkina faso’s conference of the
Page 519 and 520:
coordination to develop Brazil’s
Page 521 and 522:
Institutional Coordination and Capa
Page 523 and 524:
The Gambia’s Network of Enforceme
Page 525 and 526:
iMproving institUtional coordinatio
Page 527 and 528:
Coordination Between National and S
Page 529 and 530:
Capacity Building for District By-L
Page 531 and 532:
Implementing MEAs in the Decentrali
Page 533 and 534:
Community-Based Trophy Hunting Prog
Page 535 and 536:
ensUring iMpleMentation throUgh coM
Page 537 and 538:
coordination with the private secto
Page 539 and 540:
participatory Mapping and indigenoU
Page 541 and 542:
A Public-Private Partnership to Dev
Page 543 and 544:
Public-Private Dialogues in Brazil
Page 545 and 546:
Coordination among Government Agenc
Page 547 and 548:
Providing Assistance to the Customs
Page 549 and 550:
Training of Enforcement Personnel a
Page 551 and 552:
techniques including surveillance,
Page 553 and 554:
Jamaica’s Training Strategy for C
Page 555 and 556:
Role of UNEP in Building Judicial C
Page 557 and 558:
certificate coUrse in cliMate chang
Page 559 and 560:
capacity BUilding Under the lUsaka
Page 561 and 562:
The Customs Technical Assistance Pr
Page 563 and 564:
Zambian Prosecutors Trained in Envi
Page 565 and 566:
esoUrces for training to iMpleMent
Page 567 and 568:
Unitar distance learning coUrse in
Page 569 and 570:
Public Environmental Awareness and
Page 571 and 572:
UN Decade of Education for Sustaina
Page 573 and 574:
Caribbean Environmental Reporters N
Page 575 and 576:
Educating Community and Traditional
Page 577 and 578:
DevelopiNg eNviroNmeNtal termiNolog
Page 579 and 580:
Information, Education, and Communi
Page 581 and 582:
UNep eNviroNmeNtal eDUcatioN aND tr
Page 583 and 584:
Kazakhstan’s Center for Retrainin
Page 585 and 586:
Additional Resources on Environment
Page 587 and 588:
Awareness and Education on Rights,
Page 589 and 590:
Sensitizing and Compensating Commun
Page 591 and 592:
U.S. Chefs Join Campaign to Save Ch
Page 593 and 594:
Industry Environmental Profiles to
Page 595 and 596:
Environmental Awareness in Teaching
Page 597 and 598:
Beyond grey Pinstripes: Preparing M
Page 599 and 600:
Environmental Education Programmes
Page 601 and 602:
yoUth iNitiative iN SeychelleS for
Page 603 and 604:
yoUth aND SUStaiNable coNSUmptioN S
Page 605 and 606:
ozzy ozone, an ozone Mascot for Bar
Page 607 and 608:
Youth Environment groups in Benin (
Page 609 and 610:
E. International Cooperation and Co
Page 611 and 612:
Consistency in Laws and Regulations
Page 613 and 614:
For example, in the United States,
Page 615 and 616:
exchANge of iNformATioN AND experie
Page 617 and 618:
sub-regioNAl iNiTiATives To improve
Page 619 and 620:
Cooperation in Judicial Proceedings
Page 621 and 622:
Developing Channels of Communicatio
Page 623 and 624:
International Cooperation in Instit
Page 625 and 626:
eNiN’s experieNce wiTh iNTerNATio
Page 627 and 628:
Information Exchange and Joint Inve
Page 629 and 630:
iNTerNATioNAl cooperATioN iN TrANsb
Page 631 and 632:
mAceDoNiAN AND AlbANiAN cooperATioN
Page 633 and 634:
Databases for Customs Officers Elec
Page 635 and 636:
oN-liNe DATAbAse of TrADe NAmes of
Page 637 and 638:
studies following Guidelines 33(f)
Page 639 and 640:
National and International Points o
Page 641 and 642:
Regional Training to Detect and Pro
Page 643 and 644:
Capacity Building and Strengthening
Page 645 and 646:
Coordinated Technical and Financial
Page 647 and 648:
DoNor coNfereNces iN bulgAriA Bulga
Page 649 and 650:
Guidelines for Enforcement and Info
Page 651 and 652:
TrANsbouNDAry eiA guiDeliNes ArouND
Page 653 and 654:
Coordinating Compliance and Enforce
Page 655 and 656:
AmsAr coNveNTioN regioNAl ceNTres T
Page 657 and 658:
The Basel Convention regional Centr
Page 659 and 660:
Participation in International Meet
Page 661:
egioNAl NeTworks of oDs officers uN
Page 665 and 666:
Annex I Full Text of The UNEP Guide
Page 667 and 668:
(c) Workshops on compliance arrange
Page 669 and 670:
of non-compliance, taking into acco
Page 671 and 672:
24. National focal points: Parties
Page 673 and 674:
(c) Sharing national, regional and
Page 675 and 676:
(c) “Environmental crime” means
Page 677 and 678:
(m) Use of the media to publicize e
Page 679 and 680:
including penalties, environmental
Page 681 and 682:
Annex II Background Note on Develop
Page 683 and 684:
Annex III Finding Information on Sp
Page 685 and 686:
Annex IV Compliance with and Enforc
Page 687 and 688:
countries to refine the model legis
Page 689 and 690:
For each stage, the Guidelines incl
Page 691 and 692:
International Organisations Interna
Page 693 and 694:
• Regional Office for Asia and th
Page 695 and 696:
Convention Secretariats • Secreta
Page 697 and 698:
Global Environment Facility (GEF) G
Page 699 and 700:
International Network for Environme
Page 701 and 702:
Annex VI List of Selected Reference
Page 703 and 704:
David Hunter, James Salzman, & Durw
Page 705:
United Nations Environment Programm
Page 708 and 709:
ANNEX - VII Convention on the Conse
Page 710 and 711:
ANNEX - VII United Nations Treaty C
Page 713 and 714:
Annex VIII Composition of Negotiati
Page 715 and 716:
A Annex IX Acronyms used in the <st
Page 717 and 718:
CID: Criminal Investigation Divisio
Page 719 and 720:
EMAS: (European) Eco-Management and
Page 721 and 722:
IDA: International Development Agen
Page 723 and 724:
NACEC: North American Commission fo
Page 725 and 726:
PGRN: programme on natural resource
Page 727 and 728:
SPREP: Pacific Regional Environment
Page 729 and 730:
User notes Annex X Glossary Of Term
Page 731 and 732:
Ad hoc Adaptation Adaptation Fund A
Page 733 and 734:
Agreement AHTEG AIA Alien species A
Page 735 and 736:
B Ballast Water Convention Basel Co
Page 737 and 738:
Bonn Guidelines Bottom-up approach
Page 739 and 740:
CEPA CER Certified Emissions Reduct
Page 741 and 742:
COFI COFO Committee Community fores
Page 743 and 744:
CPF CRAMRA CRC Credentials Credenti
Page 745 and 746:
Desertification Designated National
Page 747 and 748:
Emissions trading ENB Endemic Enfor
Page 749 and 750:
Ex situ ExCOP / Ex-COP Executive Di
Page 751 and 752:
Gavel GBF GBO GC GCOS GEF General A
Page 753 and 754:
GMO Governing Council GPA GRASP Gre
Page 755 and 756:
I IBM IBRD ICCP ICJ ICRAN ICRI ICRW
Page 757 and 758:
Indigenous people/s INF. Informal c
Page 759 and 760:
IPPC IPRs ISA ISO ITLOS ITPGRFA ITT
Page 761 and 762:
K Kyoto Protocol L Limited Distribu
Page 763 and 764:
Management Authority Mandate MARPOL
Page 765 and 766:
Monterrey Conference Monterrey Cons
Page 767 and 768:
NIP Non-governmental organization N
Page 769 and 770:
Open-ended Operational Programme Op
Page 771 and 772:
Plenary Plenipotentiary Point of or
Page 773 and 774:
Protocol Provisional agenda PRSP PR
Page 775 and 776:
Reservation Resolution Rev. Unilate
Page 777 and 778:
Rotterdam Convention RSPB RST Rules
Page 779 and 780:
Show of hands SHPF Side events SIDS
Page 781 and 782:
Square brackets Stakeholder Stalema
Page 783 and 784:
Sustainable forest management Susta
Page 785 and 786:
Trust fund TT:CLEAR Type II Partner
Page 787 and 788:
UNEP UNESCO UNFCCC UNFF UN-Habitat
Page 789 and 790:
Waiver Wastes WCMC WCO Weighted vot
Page 791 and 792:
Working languages Working paper Wor
Page 793 and 794:
Annex XI Sample Forms and Documents
Page 795 and 796:
4 Additional Resources On Samples A
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