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THE CONTRACTING PARTIES TO THIS PROTOCOL,
STRESSING the need to protect the marine environment and to promote the sustainable use and
conservation of marine resources,
NOTING in this regard the achievements within the framework of the Convention on the Prevention of
Marine Pollution by Dumping of Wastes and Other Matter, 1972 and especially the evolution towards
approaches based on precaution and prevention,
NOTING FURTHER the contribution in this regard by complementary regional and national instruments
which aim to protect the marine environment and which take account of specific circumstances and needs
of those regions and States,
REAFFIRMING the value of a global approach to these matters and in particular the importance of
continuing co-operation and collaboration between Contracting Parties in implementing the Convention
and the Protocol,
RECOGNIZING that it may be desirable to adopt, on a national or regional level, more
stringent measures with respect to prevention and elimination of pollution of the marine environment
from dumping at sea than are provided for in international conventions or other types of agreements
with a global scope,
TAKING INTO ACCOUNT relevant international agreements and actions, especially the
United Nations Convention on the Law
of the Sea, 1982, the Rio Declaration on Environment and Development and Agenda 21,
RECOGNIZING ALSO the interests and capacities of developing States and in particular small island
developing States,
BEING CONVINCED that further international action to prevent, reduce and where practicable
eliminate pollution of the sea caused by dumping can and must be taken without delay to protect
and preserve the marine environment and to manage human activities in such a manner that the
marine ecosystem will continue to sustain the legitimate uses of the sea and will continue to
meet the needs of present and future generations,
HAVE AGREED as follows:
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For the purposes of this Protocol:
- "Convention" means the Convention on the Prevention of Marine Pollution
by Dumping of Wastes and Other Matter, 1972, as amended.
- "Organization" means the International
Maritime Organization.
- "Secretary-General" means the Secretary-General of the Organization.
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.1 "Dumping" means
.1 any deliberate disposal into the sea of wastes or other matter from vessels, aircraft,
platforms or other man-made structures at sea;
.2 any deliberate disposal into the sea of vessels, aircraft, platforms or
other man-made structures at sea;
.3 any storage of wastes or other matter in the seabed and the subsoil thereof
from vessels, aircraft, platforms or other man-made structures at sea; and
.4 any abandonment or toppling at site of
platforms or other man-made structures at sea, for the sole purpose of deliberate
disposal.
.2 "Dumping" does not include:
.1 the disposal into the sea of wastes or other matter incidental to, or derived
from the normal operations of vessels, aircraft, platforms or other man-made structures at sea and their
equipment, other than wastes and other matter transported by or to vessels, aircraft, platforms or other
man-made structures at sea, operating for the purpose of disposal of such matter or derived from the
treatment of such wastes or other matter on such vessels, aircraft, platforms or other man-made
structures;
.2 placement of matter for a purpose other than the mere disposal thereof,
provided that such placement is not contrary to the aims of this Protocol; and
.3 notwithstanding paragraph 4.1.4,
abandonment in the sea of matter ( e.g., cables, pipelines and marine research devices) placed
for a purpose other than the mere disposal thereof.
.3 the disposal or storage of wastes or other mater directly arising from, or related to the
exploration, exploitation and associated off-shore processing of seabed mineral resources is
not covered by the provisions of this Protocol.
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.1 "Incineration at sea" means the combustion on board vessels, aircraft, platforms
or other man-made structures of wastes or other matter for the purpose of their deliberate
disposal by thermal destruction.
.2 "incineration at sea" does not include the incineration of wastes or other matter on
board a vessel, aircraft, platform or other man-made structure at sea if such wastes or other matter
were generated during the normal operation of that vessel, platform or other man-made
structure at sea.
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"Vessels and aircraft" means waterborne or air borne craft of any type whatsoever.
This expression includes air-cushioned craft and floating craft, whether self-propelled or not.
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"Sea" means all marine waters other than the internal waters of States, as well as
the seabed and subsoil thereof; it does not include sub-seabed repositories accessed only from land.
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"Wastes and other matter" means material and substance of any kind, form or description.
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"Permit" means permission granted in advance and in accordance with relevant measures
adopted pursuant to article 4.1.2 or
8.2.
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"Pollution" means the introduction, directly or indirectly, by human activity, of
wastes or other matter into the sea which results or is likely to result in such deleterious
effects as harm to living resources and marine ecosystems, hazards to human health, hindrance
to marine activities, including fishing and other legitimate uses of the sea, impairment of
quality for use of sea water and reduction of amenities.
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Contracting parties shall individually and collectively protect and preserve the marine environment
from all sources of pollution and take effective measures, according to their scientific, technical and
economic capabilities to prevent, reduce and where practicable eliminate pollution caused by dumping
or incineration at sea of wastes and other matter. Where appropriate, they shall harmonize their
policies in this regard.
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In implementing this Protocol, Contacting Parties shall apply a precautionary approach to
environmental protection from dumping of wastes or other matter whereby appropriate preventative
measures are taken when there is reason to believe that wastes or other matter introduced into
the marine environment are likely to cause harm even when there is no conclusive evidence to
prove a causal relationship between inputs and their effects.
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Taking into account the approach that the polluter should, in principle, bear the cost of
pollution, each Contracting Party shall endeavor to promote practices whereby those it has
authorized to engage in dumping or incineration at sea bear the cost of meeting the pollution
prevention and control requirements for the authorized activities, having due regard to the public
interest.
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In implementing the provisions of this Protocol, Contracting Parties shall act so as not to
transfer, directly or indirectly, damage or likelihood of damage from one part of the environment
to another or transform one type of pollution into another.
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No provision of this Protocol shall be interpreted as preventing Contracting Parties from taking
individually or jointly, more stringent measures in accordance with international law with respect
to the prevention, reduction and where practicable elimination of pollution.
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.1 Contracting Parties shall prohibit the dumping of any wastes or other matter with the
exception of those listed in Annex 1.
.2 the dumping of wastes or other mater listed in Annex 1 shall
require a permit. Contracting Parties shall adopt administrative or legislative measures to
ensure that issuance of permits and permit conditions comply with the provisions of
Annex 2. Particular attention shall be paid to opportunities to
avoid dumping in favour of environmentally preferable alternatives.
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No provision of this Protocol shall be interpreted as preventing a Contracting Party from prohibiting,
insofar as that Contracting Party is concerned, the dumping of wastes or other matter mentioned in
Annex 1. That Contracting Party shall notify the Organization of
such measures.
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Contracting Parties shall prohibit incineration at sea of wastes or other matter.
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Contracting Parties shall not allow the export of wastes or other matter to other countries for
dumping or incineration at sea.
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Notwithstanding any other provision of this Protocol, this Protocol shall relate to internal
wasters only to the extent provided for in paragraphs 2 and 3.
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Each Contracting Party shall at its discretion either apply the provisions of this Protocol or
adopt other effective permitting and regulatory measures to control the deliberate disposal of
wastes or other matter in marine internal waters where such disposal would be "
dumping" or "
incineration at sea" within the
meaning of article 1, if conducted at sea.
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Each Contracting Party should provide the Organization with information on legislation and
institutional mechanisms regarding implementation, compliance and enforcement in marine internal
waters. Contracting Parties should also use their best efforts to provide on a voluntary basis
summary reports on the type and nature of the materials dumped in marine internal waters.
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The provisions of article 4.1 and
5 shall not apply when it is necessary to secure the
safety of human life or of vessels, aircraft, platforms or other man-made structures at sea in
cases of force majeure caused by stress of weather, or in any case which constitutes a danger to
human life or a real threat to vessels, aircraft, platforms or other man-made structures at sea, if
dumping appears to be the only way of averting the threat and if there is every probability that
damage consequent upon such dumping will be less than would otherwise occur. Such dumping shall be
conducted so as to minimize the likelihood of damage to human or marine life and shall be reported
forthwith to the Organization.
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A Contracting Party may issue a permit as an exception to articles
4.1 and 5, in emergencies posing an
unacceptable threat to human health, safety or the marine environment and admitting of no other
feasible solution. Before doing so the Contracting Party shall consult any other country or
countries that are likely to be affected and the Organization which, after consulting other
Contracting Parties, and competent international Organizations as appropriate shall, in accordance
with article 18.6 promptly recommend to the Contracting Party the
most appropriate procedures to adopt. The Contracting Party shall follow these recommendations to the
maximum feasible consistent with the time within which action must be taken and with the general
obligation to avoid damage to the marine environment and shall inform the Organization of the
action it takes. The Contracting Parties pledge themselves to assist one another in such
situations.
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Any Contracting Party may waive its rights under paragraph 2 at the time of, or subsequent to
ratification of, or accession to this Protocol.
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Each Contracting Party shall designate an appropriate authority or authorities to:
.1 issue permits in accordance with this Protocol;
.2 keep records of the nature and quantities of all wastes or other matter for which dumping
permits have been issued and where practicable the quantities actually dumped and the location,
time and method of dumping; and
.3 monitor individually, or in collaboration with other Contracting Parties and competent
international organizations, the condition of the sea for the purposes of this Protocol.
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The appropriate authority or authorities of a Contracting Party shall issue permits in
accordance with this protocol in respect of wastes or other matter intended for dumping or, as
provided for in article 8.2, incineration at sea:
.1 loaded in its territory; and
.2 loaded onto a vessel or aircraft registered in its territory or flying its flag, when the
loading occurs in the territory of a State not a Contracting Party to this Protocol.
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In issuing permits, the appropriate authority or authorities shall comply with the requirements of
article 4, together with such additional criteria, measures and
requirements as they may consider relevant.
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Each Contracting Party, directly or through a secretariat established under a regional agreement,
shall report to the Organization and where appropriate to other Contracting Parties:
.1 the information specified in paragraphs 1.2 and 1.3;
.2 the administrative and legislative measures taken to implement the provisions of
this Protocol, including a summary of enforcement measures; and
.3 the effectiveness of the measures referred to in paragraph 4.2 and any problems encountered
in their application.
The information referred to in paragraphs 1.2 and 1.3shall be
submitted on an annual basis. The information referred to in paragraphs 4.2 and 4.3 shall be
submitted on a regular basis.
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Reports submitted under paragraphs 4.2 and 4.3 shall be evaluated by an appropriate subsidiary
body as determined by the Contracting Parties. This body will report its conclusions to an
appropriate meeting or Special Meeting of Contracting Parties.
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Each Contracting Party shall apply the measures required to implement this Protocol to all:
.1 vessels and aircraft registered in its territory or flying its flag;
.2 vessels and aircraft loading in its territory the wastes or other matter which are to be
dumped or incinerated at sea; and
.3 vessels, aircraft and platforms or other man-made structures believed to be engaged in dumping
or incineration at sea, in areas within which it is entitled to exercise jurisdiction in accordance
with international law.
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Each Contracting Party shall take appropriate measures in accordance with international law to
prevent and if necessary punish acts contrary to the provisions of this Protocol.
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Contracting Parties agree to co-operate in the development of procedures for the effective
application of this Protocol in areas beyond the jurisdiction of any state, including procedures
for the reporting of vessels and aircraft observed dumping or incinerating at sea in contravention
of this Protocol.
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This Protocol shall not apply to those vessels and aircraft entitled to sovereign immunity under
international law. However, each Contracting Party shall ensure by the adoption of appropriate
measures that such vessels and aircraft owned or operated by it act in a manner consistent with the
object and purpose of this Protocol and shall inform the Organization accordingly.
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A State may, at the time it expresses its consent to be bound by this Protocol, or at any time
thereafter, declare that it shall apply the provisions of this Protocol to its vessels and aircraft
referred to in paragraph 4, recognizing that only that State may enforce those provisions against
such vessels and aircraft.
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No later than two years after the entry into force of this Protocol, the Meeting of Contracting
Parties shall establish those procedures and mechanisms necessary to assess and promote compliance
with this Protocol. Such procedures and mechanisms shall be developed with a view to allowing for
the full and open exchange of information, in a constructive manner.
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After full consideration of any information submitted pursuant to this Protocol and any
recommendations made through procedures or mechanisms established under paragraph 1, the Meeting of
Contracting Parties may offer advice, assistance or co-operation to Contracting Parties and
non-Contracting Parties.
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In order to further the objectives of this Protocol, Contracting Parties with common interests to
protect the marine environment in a given geographical area shall endeavor, taking into account
characteristic regional features, to enhance regional co-operation including the conclusion of regional
agreements consistent with this Protocol for the prevention, reduction and where practicable elimination
of pollution caused by dumping or incineration at sea of wastes or other matter. Contracting Parties
shall seek to co-operate with the parties to regional agreements in order to develop harmonized procedures
to be followed by Contracting Parties to the different convention concerned.
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Contracting Parties shall, through collaboration within the Organization and in co-ordination with
other competent international organizations, promote bilateral and multilateral support for the
prevention, reduction and where practicable elimination of pollution caused by dumping as provided
for in this Protocol to those Contracting Parties that request it for:
.1 training of scientific and technical personnel for research, monitoring and enforcement, including
as appropriate the supply of necessary equipment and facilities, with a view to strengthening national
capabilities;
.2 Advice on implementation of this Protocol;
.3 information and technical co-operation relating to wastes or other matter minimization
and clean production processes;
.4 information on technical co-operation relating to the disposal and treatment of wastes and
other measures to prevent, reduce, and where practicable eliminate pollution caused by dumping;
and
.5 access to and transfer of environmentally sound technologies and corresponding know-how, in
particular to developing countries and countries in transition to market economies, on favorable
terms, including on concessional and preferential terms, as mutually agreed, taking into
account the need to protect intellectual property rights as well as the special needs of developing
countries and countries in transition to market economies.
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The Organization shall perform the following functions:
.1 forward requests from Contracting Parties for technical co-operation to other Contracting
Parties, taking into account such factors as technical capabilities;
.2 co-ordinate requests for assistance with other competent international organizations, as
appropriate; and
.3 subject to the availability of adequate resources, assist developing countries and those
in transition to market economies, which have declared their intention to become Contracting
Parties to this Protocol, to examine the means necessary to achieve full implementation.
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Contracting Parties shall take appropriate measures to promote and facilitate scientific and
technical research on the prevention, reduction and where practicable elimination of pollution by
dumping and other sources of marine pollution relevant to this protocol. In particular, such
research should include observation, measurement, evaluation and analysis of pollution by scientific
methods.
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Contracting Parties shall, to achieve the objectives of this Protocol, promote the
availability of relevant information to other Contracting Parties who request it on:
.1 scientific and technical activities and measures undertaken in accordance with this Protocol;
.2 marine scientific and technological programmes and their objectives; and
.3 the impacts observed from the monitoring and assessment conducted pursuant
to article 9.1.3.
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In accordance with the principles of international law regarding State responsibility for damage
to the environment of other States or to any other area of the environment, the Contracting Parties
undertake to develop procedures regarding liability arising from the dumping or incineration at sea of
wastes or other matter.
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Any disputes regarding the interpretation or application of this Protocol shall be resolved in the
first instance through negotiation, mediation or conciliation, or other peaceful means chosen by
the parties to the dispute.
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If no resolution is possible within twelve months after one Contracting Party has notified another
that a dispute exists between them, the dispute shall be settled, at the request of a party to the
dispute, by means of the arbitral procedures set forth in
Annex 3, unless the parties to the dispute agree to use one of the
procedures listed in
paragraph 1 of Article 287 of the
1982 United Nations Convention on the Law of the Sea. The parties to the dispute may so
agree, whether or not they are also States Parties to the
1982 United Nations Convention on the Law of the Sea.
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In the event an agreement to use one of the procedures listed in
paragraph 1 of Article 287 of the
1982 United Nations Convention on the Law of the Sea is reached, the provisions set forth
in
Part XV of that Convention that are related to the chosen procedure would also apply,
mutatis mutandis.
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The twelve month period referred to in paragraph 2 may be extended for another twelve months by
mutual consent of the parties concerned.
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Notwithstanding paragraph 2, any State may, at the time its consent to be bound by this Protocol,
notify the Secretary-General that, when it is a party to a dispute about the interpretation or
application of article 3.1 or 3.2, its consent will be required before
the dispute may be settled by means of the Arbitral Procedure set forth in
Annex 3.
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Contracting Parties shall promote the objectives of this Protocol within the
competent international organizations.
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Meetings of Contracting Parties or Special meetings of Contracting Parties shall keep under
continuing review the implementation of this Protocol and evaluate its effectiveness with a view to
identifying means of strengthening action, where necessary, to prevent, reduce and where practicable
eliminate pollution caused by dumping and incineration at sea of wastes or other matter.
To these ends, Meetings of Contracting Parties or Special Meetings of Contracting Parties may:
.1 review and adopt amendments to this protocol in accordance with articles
21 and 22;
.2 establish subsidiary bodies, as required, to consider any matter with a view to facilitating
the effective implementation of this Protocol;
.3 invite appropriate expert bodies to advise the Contracting Parties or the Organization on
matters relevant to this Protocol;
.4 Promote co-operation with competent international organizations concerned with the
prevention and control of pollution;
.5 consider the information made available pursuant
to article 9.4;
.6 Develop or adopt , in consultation with competent international organizations, procedures
referred to in article 8.2, including basic criteria for determining
exceptional and emergency situations, and procedures for consultative advice and the safe disposal
of matter at sea in such circumstances;
.7 consider and adopt resolutions; and
.8 consider any additional action that may be required.
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The contracting Parties at their first Meeting shall establish rules of procedures as necessary.
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The organization shall be responsible for Secretariat duties in relation to this Protocol. Any
Contracting Party to this protocol not being a member of this Organization shall make an
appropriate contribution to the expenses incurred by the Organization in performing these
duties.
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Secretariat duties necessary for the administration of this Protocol include:
.1 convening Meeting of Contracting Parties once per year, unless otherwise decided by Contracting
Parties, and Special Meetings of Contracting Parties at any time on the request of two-thirds of the
Contracting Parties;
.2 providing advice on request on the implementation of this Protocol, and on guidance and procedures
developed thereunder;
.3 considering enquires by, and information from Contracting Parties, consulting with them and with
the competent international organizations, and providing recommendations to Contracting Parties on
questions related to, but not specifically covered by, this Protocol;
.4 preparing and assisting, in consultation with Contracting Parties and the competent international
organizations, in the development and implementation of procedures referred to in
article 18.6;
.5 conveying to the Contracting Parties concerned all notification received by the Organization in
accordance with this Protocol; and
.6 Preparing, every two years, a budget and a financial account for the administration of this
Protocol which shall be distributed to all Contracting Parties.
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The Organization shall, subject to the availability of available resources, in addition to the
requirements set out in article 13.2.3.
.1 collaborate in assessments of the state of the marine environment; and
.2 co-operate with competent international organizations concerned with the prevention and
control of pollution.
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Annexes to this Protocol form an integral part of this Protocol.
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Any Contracting Party may propose amendments to the articles of this Protocol. The text of a
proposed amendment shall be communicated to Contracting Parties by the Organization at least six
months prior to its consideration by a Meeting of Contracting Parties or Special Meeting of
Contracting Parties.
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Amendments to the Articles of this Protocol shall be adopted by a two-thirds majority vote of the
Contracting Parties present and voting at a Meeting of Contracting Parties or a Special Meeting of
Contracting Parties designated for this purpose.
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An Amendment shall into force for the Contracting Parties which have accepted it on the sixtieth
day after two-thirds of the Contracting Parties shall have deposited an instrument of acceptance
for the amendment with the Organization. Thereafter the amendment shall enter into force for any
other Contracting Party on the sixtieth day after the date on which that Contracting Party has
deposited its instrument of acceptance of the amendment.
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The Secretary-General shall inform Contracting Parties of any amendments adopted at a Meeting of
Contracting Parties and of the date on which such amendments enter into force generally and for
each Contracting Party.
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After entry into force of an amendment to this Protocol, any State that becomes a Contracting
Party to this Protocol shall become a Contracting Party to this Protocol as amended, unless
two-thirds of the Contracting Parties present and voting at the Meeting or Special Meeting of
Contracting Parties adopting the amendment agree otherwise.
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Any Contracting Party may propose amendments to the Annexes to this Protocol. The text of
a proposed amendment shall be communicated to Contracting Parties by the Organization at least
six months prior to its consideration by a Meeting of Contracting Parties or Special Meeting of
Contracting Parties.
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Amendments to the Annexes other than Annex 3 will be based on
scientific or technical consideration and may take into account legal, social and economic factors
as appropriate. Such amendments shall be adopted by a two-thirds majority vote of the Contracting
Parties present and voting at a Meeting of Contracting Parties or a Special Meeting of Contracting
Parties designated for this purpose.
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The Organization shall without delay communicate to Contracting Parties amendments to the Annexes
that have been adopted at a meeting of Contracting Parties or Special meeting of
Contracting Parties.
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Except as provided in paragraph 7, amendments to the Annexes
shall enter into force for each Contracting Party immediately on notification of acceptance to
the Organization or 100 days after the date of their adoption at a Meeting of Contracting
Parties, if that is later, except for those Contracting Parties which before the end of the
100 days make a declaration that they are not able to accept the amendment at that time. A
Contracting Party May at any time substitute an acceptance for a previous declaration of objection
and the amendment previously objected to shall thereunder enter into force for that Contracting
Party.
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The Secretary-General shall without delay notify Contracting Parties of instruments of acceptance
or objection deposited with the Organization.
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A new Annex or an amendment to an Annex which is related to an amendment to the articles of
this Protocol shall not enter into force until such time as the amendment to the articles of
this Protocol enters into force.
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With regard to amendments to Annex 3 concerning the Arbitral Procedure
and with regard to the adoption and entry into force of new Annexes the procedure on amendments to
the articles of this Protocol shall apply.
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This Protocol will supersede the Convention as between Contracting Parties to this Protocol which
are also Parties to the Convention.
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This Protocol shall be open for signature by any State at the Headquarters of the Organization from
1 April 1997 to 31 March 1998 and shall thereafter remain open for accession by any State.
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States may become Contracting Parties to this Protocol by:
.1 signature not subject to ratification, acceptance or approval; or
.2 signature subject to ratification, acceptance or approval, followed by ratification, acceptance,
or approval; or
.3 Accession
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Ratification, acceptance, approval or accession shall be effected by the deposit of an instrument to
that effect with the Secretary-General.
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This Protocol shall enter into force on the thirtieth day following the date on which:
.1 at least 26 States have expressed their consent to be bound by this Protocol in accordance
with Article 24; and
.2 at least 15 Contracting Parties to the Convention are included in the number of States
referred to in paragraph 1.1.
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For each State that has expressed its consent to be bound by this Protocol in accordance with
Article 24 following the date referred to in paragraph 1, this
Protocol shall enter into force on the thirtieth day after the date on which such State expressed
its consent
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Any State that was not a Contracting Party to the Convention before 31 December 1996 and that
expresses its consent to be bound by this Protocol prior to its entry into force or within five
years after its entry into force may, at the time it expresses its consent, notify the
Secretary-General that, for reasons described in the notification, it will not be able to comply
with specific provisions of this Protocol other than those provided in paragraph 2, for a
transitional period that shall not exceed that described in
paragraph 4.
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No notification under paragraph 1 shall affect the obligation of a
Contracting Party to this Protocol with respect to incineration at sea or the dumping of radioactive
wastes or other radioactive matter.
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Any Contracting Party to this Protocol that has notified the Secretary-General under
paragraph 1 that, for the specified transitional period, it will not
be able to comply, in part or in whole, with
article 4.1 or article 9 shall
nonetheless during that period prohibit the dumping of wastes or other matter for which it has not
issued a permit, use its best efforts to adopt administrative or legislative measures to ensure that
issuance of permits and permit conditions comply with the provisions of
Annex 2, and notify the Secretary-General of any permits issued.
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Any transitional period specified in the notification shall made under
paragraph 1 shall not exceed beyond five years after such notification
is submitted.
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Contracting parties that have made a notification under
paragraph 1 shall submit to the first Meeting of Contracting Parties
occurring after deposit of their instrument of ratification, acceptance, approval or accession a
programme and timetable to achieve full compliance with this Protocol, together with any requests
for relevant technical co-operation and assistance in accordance with article
13 of this Protocol.
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Contracting Parties that have made a notification under paragraph 1
shall establish procedures and mechanisms for the transitional period to implement and monitor
submitted programmes designed to achieve full compliance with this Protocol. A report on progress
toward compliance shall be submitted by such Contracting Parties to each Meeting of Contracting Parties
held during their transitional period for appropriate action.
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Any Contracting Party may withdraw from this Protocol at any time after the expiry of two years
from the date on which this protocol enters into force for that Contracting Party.
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Withdrawal shall be effected by the deposit of an instrument of withdrawal with the
Secretary-General.
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A withdrawal shall take effect one year after receipt by the Secretary-General of the instrument of
withdrawal or such longer period as may be specified in the instrument.
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This Protocol shall be deposited with the Secretary-General.
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In addition to the functions specified in articles
10.5, 16.5,
21.4, 22.5 and
26.5, the Secretary-General shall:
.1 Inform all States which have signed this Protocol or acceded thereto of:
.1 each new signature or deposit of an instrument of ratification, acceptance, approval or
accession, together with the date thereof;
.2 the date of entry into force of this Protocol; and
.3 the deposit of any instrument of withdrawal from this Protocol together with the date on
which it was received and the date on which the withdrawal takes effect.
.2 transmit certified copies of this Protocol to all states which have signed this Protocol or
acceded thereto.
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As soon as this Protocol enters into force, a certified true copy thereof shall be transmitted by
the Secretary-General to the Secretariat of the United Nations for registration and publication in
accordance with Article 102 of
the Charter of the United
Nations.
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This Protocol is established in a single original in the Arabic, Chinese, English, French, Russian
and Spanish languages, each text being equally authentic.
IN WITNESS WHEREOF the undersigned being duly authorized by their respective Governments for that
purpose have signed this Protocol .
DONE AT LONDON, this seventh day of November, one thousand nine hundred and ninety-six.
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The following wastes or other matter are those that may be considered for dumping being mindful of
the Objectives and General Obligations of this Protocol set out in articles
2 and 3:
.1 dredged material;
.2 sewage sludge;
.3 fish waste, or material resulting from industrial fish processing operations;
.4 vessels and platforms or other man-made structures at sea;
.5 inert, inorganic geologic material;
.6 organic material of natural origin; and
.7 bulky items primarily comprising iron, steel, concrete and similarly unharmful materials
for which the concern is physical impact, and limited to those circumstances where such wastes
are generated at locations, such as small islands with isolated communities, having no practical
access to disposal options other than dumping.
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The wastes or other matter listed in paragraphs 1.4 and 1.7 may be considered for dumping provided
that material capable of creating floating debris or otherwise contributing to pollution of the
marine environment has been removed to the maximum extent and provided that the material dumped
poses no serious obstacle to fishing or navigation.
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Notwithstanding the above, materials listed in paragraphs 1.1 to 1.7 containing levels of
radioactivity greater than de minimis (exempt) concentrations as defined by the IAEA and adopted by
Contracting Parties, shall not be considered eligible for dumping; provided further that within 25
years of 20 February 1994 and at each 25 year interval thereafter, Contracting Parties shall complete
a scientific study relating to all radioactive wastes and other radioactive matter other than high
level wastes or matter, taking into account such other factors as Contracting Parties consider
appropriate and shall review the prohibition on dumping of such substances in accordance with the
procedures set forth in article 22.
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Schematic diagram
Annex 2 |
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The acceptance of dumping under certain circumstances shall not remove the obligations under this
Annex to make further attempts to reduce the necessity for dumping.
Annex 2 |
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The initial stages in assessing alternatives to dumping should, as appropriate,
include an evaluation of:
.1 types, amounts and relative hazard of wastes generated;
.2 details of the production processes and the sources of wastes within the process; and
.3 feasibility of the following wastes or other matter reduction/prevention techniques:
.1 product reformulation;
.2 clean production technologies;
.3 process modification;
.4 input substitution; and
.5 on site, closed-loop recycling.
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In general terms, if the required audit revels that opportunities exist for wastes or other
matter prevention at source, an applicant is expected to formulate and implement a wastes or
other matter prevention strategy, in collaboration with relevant local and national agencies, which
includes specific wastes or other matter reduction targets and provision for further wastes or
other matter prevention audits to ensure that these targets are being met. Permit issuance or
renewal decisions shall assure compliance with any resulting wastes or other matter reduction and
prevention requirements.
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For dredged material and sewage sludge, the goal of wastes or other matter management should be
to identify and control the sources of contamination. This should be achieved through implementation
of wastes or other matter prevention strategies and requires collaboration between the relevant local
and national agencies involved with the control of point and non-point sources of pollution. Until
this objective is met, the problems of contaminated dredged material may be addressed by using
disposal management techniques at sea or on land.
Annex 2 |
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Applications to dump wastes or other matter shall demonstrate that appropriate consideration has
been given to the following hierarchy of wastes or other matter management options, which implies
an order of increasing environmental impact:
.1 re-use;
.2 off-site recycling;
.3 destruction of hazardous constituents;
.4 treatment to reduce or remove the hazardous constituents; and
.5 disposal on land, into air and in water.
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A permit to dump wastes or other matter shall be refused if the permitting authority determines
that appropriate opportunities exist to re-use, recycle, or treat the wastes or other matter
without undue risk to human health or the environment or disproportionate costs. The practical
availability of other means of disposal should be considered in the light of a comparative
risk assessment involving both dumping and the alternatives.
Annex 2 |
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A detailed description and characterization of the wastes is an essential precondition for the
consideration of alternatives and the basis for a decision as to whether a wastes or other matter
may be dumped. If a wastes or other matter is so poorly characterized that proper assessment
cannot be made of its potential impacts on human health and the environment, that wastes or other
matter shall not be dumped.
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Characterization of the wastes and their constituents shall take into account:
.1 origin, total amount, form and average composition;
.2 properties: physical, chemical, biochemical and biological;
.3 toxicity;
.4 persistence: physical, chemical and biological; and
.5 accumulation and biotransformation in biological materials or sediment
Annex 2 |
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Each Contracting Party shall develop a national Action List to provide a mechanism for screening
candidate wastes and their constituents on the basis of their potential effects on human health
and the marine environment. In selecting substances for consideration in an Action List,
priority shall be given to toxic, persistent and bioaccumulative substances from anthropogenic
sources (e.g., cadmium, mercury, organohalogens, petroleum hydrocarbons, and whenever relevant,
arsenic, lead, copper, zinc, beryllium, chromium, nickel and vanadium, organosilicon compounds,
cyanides, fluorides and pesticides or their by products other than organohalogens). An Action List
can also be used as a trigger mechanism for further wastes or other matter prevention considerations.
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An Action List shall specify an upper level and may also specify a lower level. The upper level
should be set so as to avoid acute or chronic effects on human health or on sensitive marine
organisms representative of the marine ecosystem. Application of an Action List will result in
three possible categories of wastes:
.1 wastes which contain specified substances, or which cause biological responses, exceeding the
relevant upper level shall not be dumped, unless made acceptable for dumping through the use of
management techniques or processes;
.2 wastes which contain specified substances, or which cause biological responses, below the
relevant lower levels should be considered to be of little concern in relation to dumping; and
.3 wastes which contain specified substances, or which cause biological responses, below the
relevant but above the lower level require more detailed assessment before their suitability for
dumping can be determined.
Annex 2 |
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Information required to select a dump-site shall include:
.1 physical, chemical and biological characteristics of the water-column and the seabed;
.2 location of amenities, values and other uses of the sea in the area under consideration;
.3 assessment of the constituent fluxes associated with dumping in relation to existing
fluxes of substances in the marine environment; and
.4 economic and operational feasibility.
Annex 2 |
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Assessment of potential effects should lead to a concise statement of the expected consequences
of the sea or land disposal options, i.e., the " Impact Hypothesis". It provides
a basis for deciding whether to approve or reject the proposed disposal option and for defining
environmental monitoring requirements.
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The assessment for dumping should integrate information on wastes or other matter characteristics,
conditions at the proposed dump-site(s), fluxes, and proposed disposal techniques and specify the
potential effects on human health, living resources, amenities and other legitimate uses of the
sea. It should define the nature, temporal and spatial scales and duration of expected impacts based
on reasonably conservative assumptions.
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An analysis of each disposal option should be considered in the light of a comparative assessment
of the following concerns: human health risks, environmental costs, hazards, (including accidents),
economics and exclusion of future uses. If this assessment reveals that adequate information is not
available to determine the likely effects of the proposed disposal option then this option should
not be considered further. In addition, if the interpretation of the comparative assessment shows
the dumping option to be less preferable, a permit for dumping should not be given.
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Each assessment should conclude with a statement supporting a decision to issue or refuse a permit
for dumping.
Annex 2 |
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Monitoring is used to verify that permit conditions are met -compliance monitoring- and that the
assumptions made during the permit review and site selection process were correct and sufficient to
protect the environment and human health - field monitoring. It is essential that such monitoring
programmes have clearly defined objectives.
Annex 2 |
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A decision to issue a permit should only be made if all impact evaluations are completed and the
monitoring requirements are determined. The provisions of the permit shall ensure, as far as
practicable, that environmental disturbance and detriment are minimized and the benefits maximized.
Any permit issued shall contain data and information specifying:
.1 the types and sources of materials to be dumped;
.2 the location of the dump-site(s);
.3 the method of dumping; and
.4 monitoring and reporting requirements.
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Permits should be reviewed at regular intervals, taking into account the results of monitoring
and the objectives of monitoring programmes. Review of monitoring results will indicate whether
field programmes need to be continued, revised or terminated and will contribute to informed
decisions regarding the continuance, modification or revocation of permits. This provides an
important feedback mechanism for the protection of human health and the marine environment.
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Annex 3 |
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An Arbitral Tribunal ( hereinafter referred to as the "Tribunal") shall be established upon
the request of a Contracting Party addresses to another Contracting Party in application of
article 16 of this Protocol. The request for arbitration shall consist
of a statement of the case together with any supporting documents.
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The requesting Contracting Party shall inform the Secretary-General of:
.1 its request for arbitration; and
.2 the provisions of this Protocol the interpretation or application of which is, in its
opinion the subject of disagreement.
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The Secretary-General shall transmit this information to all Contracting States.
Annex 3 |
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The Tribunal shall consist of a single arbitrator if so agreed between the parties to the dispute
within 30 days from the date of receipt of the request for arbitration.
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In the case of the death, disability or default of the arbitrator, the parties to the dispute may
agree upon a replacement within 30 days of such death, disability or default.
Annex 3 |
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Where the parties to a dispute do not agree upon a Tribunal in accordance with article 2 of this
annex, the Tribunal shall consist of three members:
.1 one arbitrator nominated by each party to the dispute; and
.2 a third arbitrator who shall be nominated by agreement between the two named and shall
act a chairman.
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If the Chairman of the Tribunal is not nominated within 30 days of the nomination of the second
arbitrator, the parties to a dispute shall, upon the request of one party, submit to the Secretary
General within in a further period of 30 days an agreed list of qualified persons. The
Secretary-General shall select the Chairman from such list as soon as possible. He shall not
select a chairman who is or has been a national of one party to the dispute except with the
consent of the other party to the dispute.
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If one party to a dispute fails to nominate an arbitrator as provided in paragraph 1.1 within
60 days from the date of receipt of the request for arbitration, the other party may request the
submission to the Secretary-General within a period of 30 days of an agreed list of qualified
persons. The Secretary-General shall select the chairman of the Tribunal from such list as soon as
possible. The chairman shall then request the party which has not nominated an arbitrator to do so.
If this party does not nominate an arbitrator within 15 days of such request, the Secretary-General
shall, upon request of the Chairman, nominate the arbitrator from the agreed list of
qualified persons.
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In the case of the death, disability or default of an arbitrator, the party to the dispute who
nominated him shall nominate a replacement within 30 days of such death, disability or
default. If the party does not nominate a replacement, the arbitration shall proceed with the remaining
arbitrators. In the case of the death, disability or default of the chairman, a replacement shall
be nominated in accordance with the provisions of paragraphs 1.2 and 2 within 90 days of such
death, disability or default.
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A list of arbitrators shall be maintained by the Secretary-General and composed of qualified persons
nominated by the Contracting Parties. Each Contracting Party may designate for inclusion in the
list four persons who shall not necessarily be its nationals. If the parties to the dispute
have failed within the specified time limits to submit to the Secretary-General an agreed list of
qualified persons as provided for in paragraph 2,3 and 4 the Secretary-General shall select from the
list maintained by him the arbitrator or arbitrators not yet nominated.
Annex 3 |
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The Tribunal may hear and determine counter-claims arising directly out of
the matter of the dispute.
Annex 3 |
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Each Party to the dispute shall be responsible for the costs entailed by the
preparation of its own case. The remuneration of the members of the Tribunal and of all general
expenses incurred by the arbitration shall be borne equally by the parties to the dispute. The
Tribunal shall keep a record of all its expenses and shall furnish a final statement thereof to the
parties.
Annex 3 |
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Any Contracting Party which has an interest of a legal nature which may be affected by the
decision in the case may, after giving written notice to the parties to the dispute which have
originally initiated the procedure, intervene in the arbitration procedure with the consent of the
Tribunal and at its own expense. Any such intervenor shall have the right to present evidence, briefs
and oral argument on the matters giving rise to its intervention, in accordance with procedures
established pursuant to article 7 of this Annex, but shall have no rights with respect to the
composition of the Tribunal.
Annex 3 |
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A Tribunal established under the provisions of this Annex shall decide its own rules of procedure.
Annex 3 |
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Unless a Tribunal consists of a single arbitrator, decisions of the Tribunal as to its
procedures, its place of meeting, and any question related to the dispute laid before it, shall
be taken by majority vote of its members. However, the absence or abstention of any member of
the Tribunal who was nominated by a party to the dispute shall not constitute an impediment to the
Tribunal reaching a decision. In case of equal voting, the vote of the chairman shall be decisive.
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The parties to the dispute shall facilitate the work the work of the Tribunal and in particular shall,
in accordance with their legislation and using all means at their disposal:
.1 provide the Tribunal with all necessary documents and information; and
.2 enable the Tribunal to enter their territory, to hear witnesses or experts, and to visit
the scene.
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The failure of a party to the dispute to comply with the provisions of paragraph 2 shall not
preclude the Tribunal from reaching a decision and rendering an award.
Annex 3 |
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The Tribunal shall render its award within five months from the time it is established unless it
finds it necessary to extend that time limit for a period not to exceed five months. The award of
the Tribunal shall be accompanied by a statement of reasons for the decision. It shall be final and
without appeal and shall be communicated to the Secretary-General who shall inform the
Contracting Parties. The parties to the dispute shall immediately comply with the award.
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