The Routledge Handbook of International Environmental Policy 1032496347, 9781032496344

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THE ROUTLEDGE HANDBOOK OF INTERNATIONAL ENVIRONMENTAL POLICY

This handbook is a one-​stop, comprehensive guide to global initiatives for climate action. It examines policies to tackle climate change and the critical role various organizations play. The volume: • Includes in-​depth discussion of individual issues related to the environment • Highlights global initiatives, negotiations, and international organizations responsible for climate action, protecting marine and freshwater environment, protecting atmosphere and climate, conserving biological diversity, chemicals and wastes management, environmental governance, safeguarding against warfare and disasters • Debates on-​ground implications of the international policies for the Global South • Brings together case studies from across the world • Presents a toolkit for environment practitioners to seek sustainable and practicable solutions to problems • Includes suggested readings for researchers • Brings together primary documents, supportive illustrations, graphs, and maps The handbook will be an essential reference for scholars and researchers of environmental studies, environmental policy and governance, sustainability and resilience. It will also be indispensable for policy makers, think tanks and NGOs. Mahua Basu has been in the teaching profession for over 20 years and is at present engaged as a member of the faculty in the Environment Science Department of St. Xavier’s College (Autonomous), Kolkata, India, where she has been successfully environmentally empowering her students. She has also worked in various capacities as faculty at Viswa Bharati University, Shri Shikshyatan College, and Bethune College in Kolkata, India.

THE ROUTLEDGE HANDBOOK OF INTERNATIONAL ENVIRONMENTAL POLICY

Mahua Basu

Cover image: © Getty images First published 2024 by Routledge 4 Park Square, Milton Park, Abingdon, Oxon OX14 4RN and by Routledge 605 Third Avenue, New York, NY 10158 Routledge is an imprint of the Taylor & Francis Group, an informa business © 2024 Mahua Basu The right of Mahua Basu to be identified as author of this work has been asserted in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988. Illustrations by Dejus All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. British Library Cataloguing-​in-​Publication Data A catalogue record for this book is available from the British Library ISBN: 978-​1-​032-​49634-​4 (hbk) ISBN: 978-​1-​032-​57696-​1 (pbk) ISBN: 978-​1-​003-​44057-​4 (ebk) DOI: 10.4324/​9781003440574 Typeset in Sabon by Newgen Publishing UK

In loving memory of my parents Dr. Amal Krishna Basu and Mrs. Manjusri Basu

CONTENTS

List of Figures List of Tables List of Boxes About the Author Preface Acknowledgments List of Acronyms

xviii xx xxii xxiv xxv xxviii xxix

I

The Genesis of Environmental Muddle 1.1 The Beginning of Chaos  1 1.2 The Spike of Global Challenges at Crossroads  2 1.3 Towards a Solution  10 1.3.1 Environmental Ethics  11 1.3.2 The Process of Framing Environmental Policy  14

II

The Aegis of the United Nations and Its Need

1

33

SECTION A

Global Initiatives towards Environmental Protection III

The Dawn: From Environmental Ignorance to Environmental Consciousness (Pre-Stockholm Era)

IV The Backdrop of the Stockholm Conference, UNCHE, 1972 4.1 The Call for Environmental Protection  41 4.2 The United Nations Conference on the Human Environment (UNCHE), 1972  42 vii

37 39 41

Contents

4.2.1 4.2.2 4.2.3

V

The Outcomes of the Stockholm Conference of 1972 at a Glance  45 The Significance of the Stockholm UNCHE 1972  48 The United Nations Environment Programme (UNEP)  49

The Journey towards Sustainable Development 5.1 Sustainability: From Want to Need  55 5.2 World Commission on Environment and Development (The Brundtland Commission)  56 5.2.1 The Brundtland Report: Our Common Future  57 5.3 The United Nations Conference on Environment and Development (UNCED), 1992  60 5.3.1 Outcomes of the United Nations Conference on Environment and Development  60 5.3.2 The Stake of Rio  70 5.4 Earth Summit+​5, New York, 1997  71 5.5 World Summit on Sustainable Development (WSSD), Johannesburg, South Africa, 26 August to 4 September 2002  72 5.6 The United Nations Conference on Sustainable Development (UNCSD), well-​known as Rio 2012, Rio+​20, or Earth Summit 2012  74 5.6.1 Theme 1: The Green Economy  75 5.6.2 Theme 2: Institutional Framework for Sustainable Development (IFSD)  76

55

VI The Evolution of Disaster Management 6.1 The Increasing Disasters  80 6.2 The World Conference on Natural Disaster Reduction, 1994, Yokohama, Japan  81 6.3 World Conference on Disaster Reduction (WCDR), 2005 Kobe, Hyogo, Japan  83 6.4 The UN World Conference on Disaster Risk Reduction (WCDRR), 2015, Sendai Japan  84

80

VII Addressing Population Growth and Other Social Issues 7.1 The Burgeoning Population  87 7.2 United Nations World Population Conference, Bucharest, Romania, 1974  88

87

viii

Contents

7.3 7.4 7.5 7.6 7.7

The International Conference on Population (ICP), Mexico 1984  89 The United Nations International Conference on Population and Development (ICPD), 5–​13 September 1994 Cairo, Egypt  91 The World Summit for Social Development, Copenhagen, 6–​12 March 1995  91 The Beijing Conference on Women and Development, 4–​15 September 1995 in Beijing, China  91 The United Nations Conference on Human Settlements, Istanbul, 3–​14 June 1996  92

VIII  Providing Food and Water for All 8.1 Seeking Basic Human Rights  95 8.2 The United Nations Conference on Water (Mar del Plata 1977)  98 8.3 The International Conference on Water and Environment (ICWE), Dublin 1992  100 8.4 The World Food Summit, Rome, 13–​17 November 1996  101 8.5 The UNESCO International Water Conference, 2019 Paris  101

95

SECTION B

International and Regional Treaties, Conventions, Protocols, and Agreements IX Negotiations for the Protection of the Marine and Freshwater Environment 9.1 The Issues Related to Water  105 9.2 Important Negotiations  110 9.2.1 International Convention for the Prevention of Pollution of the Sea by Oil, 1954 (OILPOL Convention)  110 9.2.2 The Antarctic Treaty, 1959 Washington  114 9.2.3 Agreement on the Implementation of a European Project on Pollution on the Topic ‘Sewage Sludge Processing’ 1971 Brussels  119 9.2.4 London Dumping Convention (Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter), 1972  121

ix

103 105

Contents

9.2.5

The International Convention for the Prevention of Pollution from Ships or MARPOL 73/​78, 1973  129 9.2.6 The Nordic Environmental Protection Convention, 1974  133 9.2.7 United Nations Convention on the Law of the Sea (UNCLOS) December 1982  134 9.2.8 The International Convention on Oil Pollution Preparedness, Response and Co-​operation (OPRC), 1990 London  139 9.2.9 The Convention on the Protection of the Marine Environment of the Baltic Sea Area (Helsinki Convention), 1992  139 9.2.10 The Convention for the Protection of the Marine Environment of the North-​East Atlantic (OSPAR Convention), 1992  140 9.2.11 The Convention on the Protection and Use of Transboundary Watercourses and International Lakes (UNECE Water Convention), Helsinki 1992  141 9.2.12 The Convention on the Protection of the Black Sea Against Pollution (Bucharest Convention) 1992  143 9.2.13 The Convention on the Protection and Use of Transboundary Watercourses and International Lakes (Water Convention) 1992 Helsinki  144 9.2.14 Agreement on the Establishment of Nordic Environmental Finance Corporation (NEFCO), 1998  145 9.2.15 Agreement on a Testing Ground for Application of the Kyoto Mechanisms on Energy Projects in the Baltic Sea Region 2003  145 9.2.16 Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic, 2013  147 Annexure: Negotiations for the Protection of the Marine and Freshwater Environments  150 Annexure B IX –​9.2.4: Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (IMO, London Convention 1972)  150 Annexure B IX –​9.2.4.1: Protocol to the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (1996 London Protocol)  153 x

Contents

Annexure B IX –​9.2.9: Convention on the Protection of the Marine Environment of the Baltic Sea Area (Helsinki Convention), 1992  160 Annexure B IX –​9.2.10: Convention for the Protection of the Marine Environment of the North-​East Atlantic (OSPAR Convention), 1992  184 Annexure B IX –​9.2.11: Convention on the Protection and Use of Transboundary Watercourses and International Lakes (ECE Water Convention), Helsinki 1992  197 X

Negotiations for the Protection of Atmosphere and Climate 10.1 The State of Atmosphere and Climate  201 10.2 Important Negotiations  206 10.2.1 Convention on Long-​range Transboundary Air Pollution (CLRTAP), 1979, Geneva  206 10.2.2 The Vienna Convention for the Protection of the Ozone Layer, 1985  220 10.2.3 United Nations Framework Convention on Climate Change, 1992  233 10.3 Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, 1998  297 10.3.1 The Indian Context  303 10.4 Stockholm Convention on Persistent Organic Pollutants, 2001  304 10.4.1 The Role of the United Nations Industrial Development Organization (UNIDO)  308 10.4.2 The Indian Context  308 10.5 Minamata Convention on Mercury, 2013  315 10.5.1 The Indian Context  319 Annexure: Negotiations for Protection of Atmosphere and Climate  323 Annexure B X –​10.2.1.1: The 1984 Geneva Protocol on Long-​term Financing of the Cooperative Programme for Monitoring and Evaluation of the Long-​range Transmission of Air Pollutants in Europe (EMEP)  323 Annexure B X –​10.2.2: Vienna Convention for the Protection of the Ozone Layer, 1985  324 Annexure B X –​10.2.2.1: The Montreal Protocol on Substances that Deplete the Ozone Layer, 1987  331 Annexure B X –​10.2.3: United Nations Framework Convention on Climate Change, 1992  341

xi

201

Contents

Annexure B X –​10.2.3.1: The Least Developed Countries (Regional Distribution)  342 Annexure B X –​10.2.3.1.3: COP 3, The Kyoto Protocol (KP) on Climate Change, 1997  344 Annexure B X –​10.3: Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, 1998  347 Annexure B X –​10.4: Stockholm Convention on Persistent Organic Pollutants, 2001  363 Annexure B X –​10.5: Minamata Convention on Mercury, 2013  379 XI Negotiations for Protection of Biological Diversity 11.1 The State of Biological Diversity  385 11.2 Important Negotiations  394 11.2.1 International Convention for the Regulation of Whaling (ICRW), Washington, 1946  394 11.2.2 Convention on Wetlands of International Importance, Especially as Waterfowl Habitat, Ramsar, 1971 or Ramsar Convention  400 11.2.3 The World Heritage Convention 1972  415 11.2.4 The Convention for the Conservation of Antarctic Seals (CCAS) 1972 London  417 11.2.5 The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) or Washington Convention, 1973  418 11.2.6 The Convention to the Conservation of Migratory Species of Wild Animals (CMS Convention), 1979 Bonn Germany  441 11.2.7 The Convention to the Conservation of European Wildlife and Natural Habitats (Bern Convention, 1979) Bern, Switzerland  450 11.2.8 The Convention for the Conservation of Antarctic Marine Living Resources (CCAMLR), Canberra, 1980  452 11.2.9 The International Tropical Timber Agreement (Expired), 1983  454 11.2.10 The Convention on Biological Diversity (CBD) or Biodiversity Convention, Nairobi, 1992  454 11.2.11 The 1994 and 2006 International Tropical Timber Agreement (ITTA), Geneva Switzerland  473 11.2.12 The Agreement on Trade-​Related Aspects of Intellectual Property Rights, 1994  478 xii

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Contents

11.2.13 The International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA), 2001  486 Annexure: Negotiations for Protection of Biological Diversity  492 Annexure B XI –​11.2.4: Convention for the Conservation of Antarctic Seals (CCAS) 1972 London  492 Annexure B XI –​11.2.7: Convention on the Conservation of European Wildlife and Natural Habitats (Bern Convention, 1979)  495 Annexure B XI –​11.2.10.3: Cartagena Protocol on Biosafety, 2000  528 XII Negotiations for Protection against Chemicals and Wastes 12.1 Chemicals and Waste Scenarios  532 12.1.1 The Indian Context  540 12.2 Important Negotiations  547 12.2.1 Basel Convention on the Control of Transboundary Movements of Hazardous Waste and Their Disposal, 1989  547 12.2.2 Bamako Convention on the Ban of the Import into Africa and the Control of Transboundary Movement and Management of Hazardous waste within Africa, 1991  568 12.2.3 The Hong Kong International Convention for Safe and Environmentally Sound Recycling of Ships, 2009 (not yet ratified by Finland, not yet in force internationally)  571 Annexure: Negotiations for Protection against Chemicals and Wastes  576 Annexure B XII –​12.2.1: Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, 1989  576 Annexure B XII –​12.2.1.2: Basel Protocol on Liability and Compensation 1999  597

532

XIII Negotiations for Environmental Governance and Practices 13.1 The Evolution of Environmental Governance  599 13.2 Important Negotiations  607 13.2.1 Convention on Environment Impact Assessment in a Transboundary Context, 1991 Espoo (Espoo Convention, 1991)  607

599

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Contents

13.2.2 Agreement regarding the Establishment of the Nordic Environment Finance Corporation (NEFCO) (Agreement between the Governments of Denmark, Finland, Iceland, Norway and Sweden, 1998)  614 13.2.3 The UNECE Convention on Access to Information, Public Participation in Decision-​ making and Access to Justice in Environmental Matters (Aarhus Convention), 1998  615 Annexure: Negotiations for Environmental Governance and Practices  619 Annexure B XIII –​13.2.1: Convention on Environment Impact Assessment in a Transboundary Context, 1991 (Espoo Convention)  619 Annexure B XIII –​13.2.1.1: Protocol on Strategic Environmental Assessment (SEA), 2003  626 XIV Negotiations for Protection against Warfare and Disasters 14.1 The State of Weapons  632 14.1.1 The Evolution, Use, and Control of Chemical Weapons  633 14.1.2 The Evolution, Use, and Control of Bioweapons  639 14.1.3 Nuclear Weapons  652 14.2 Important Negotiations  658 14.2.1 Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (Biological Weapons Convention) or BWC, 1972  659 14.2.2 Convention on Certain Conventional Weapons, 1980  671 14.2.3 Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction, 1992 Geneva  673 14.2.4 Treaty Banning Nuclear Weapon Tests in the Atmosphere, in Outer Space and Under Water (PTBT) or Limited Test Ban Treaty (LTBT), 1963  677 14.2.5 Treaty on the Non-​proliferation of Nuclear Weapons (NPT), 1968  678 14.2.6 Convention on Nuclear Safety, 1994 Vienna  680 xiv

632

Contents

14.2.7 Comprehensive Nuclear-​Test-​Ban Treaty (CTBT), New York, 1996  684 14.2.8 Treaty on the Prohibition of Nuclear Weapons (TPNW), New York, 2017  686 SECTION C

Important International Organizations and Environmental Activities

689

XV United Nations-​based Organizations and Programs 15.1 The Food and Agriculture Organization (FAO) of the United Nations  691 15.1.1 Five Core Areas of FAO’s Action  692 15.1.2 Essential Programs of UNFAO  692 15.2 United Nations Development Programme (UNDP)  693 15.2.1 Functions of the UNDP  693 15.2.2 The Human Development Report  694 15.2.3 Millennium Development Goals (MDGs)  696 15.2.4 The Sustainable Development Goals (SDGs)  705 15.2.5 The Difference between the Millennium Development Goals and the Sustainable Development Goals  722 15.3 The United Nations Educational, Scientific and Cultural Organization (UNESCO)  723 15.3.1 Important Programs of the UNESCO  723 15.3.2 The UNESCO Designated Places and Projects of Cultural and Scientific Importance  724 15.4 World Health Organization (WHO)  728 15.4.1 Major Areas of WHO Operations  730 15.5 Intergovernmental Panel on Climate Change (IPCC) [1988]  735 15.5.1 The IPCC’s Special Report on Global Warming of 1.5°C  737 15.6 The World Bank  739 15.7 The United Nations Sustainable Development Solutions Network  740 15.8 The International Atomic Energy Agency (IAEA)  743 15.9 World Intellectual Property Organization (WIPO)  745 15.10 The United Nations High Commissioner for Refugees  747 15.11 The United Nations Disaster Risk Reduction (UNDRR)  748 15.12 The International Maritime Organization (IMO)  750

691

xv

Contents

XVI Non-​United Nations Based Organizations and Programs 16.1 International Union for the Conservation of Nature and Natural Resources (IUCN)  754 16.1.1 The IUCN’s Program for 2017–​2020  755 16.2 The International Energy Agency  756 16.3 The Earth System Governance Project  757 16.4 The Global Environmental Facility (GEF)  757 16.5 The Worldwide Fund for Nature (WWF)  758 16.5.1 Notable Programs and Campaigns of WWF  760 16.6 The Food and Drug Administration (FDA)  763 16.7 The National Institute of Environmental Health Sciences  763 16.7.1 The Contribution of NIEHS  764 16.8 The National Aeronautics and Space Administration (NASA)  766 16.8.1 The Functions of NASA  766 16.8.2 The Contribution of NASA  766 16.9 The National Oceanic and Atmospheric Administration (NOAA)  767 16.9.1 Vision, Mission and Long-​term Goals of NOAA  767 16.9.2 The National Oceanic and Atmospheric Administration’s Strategic Plan  773 16.9.3 The Global Monitoring Laboratory (GML) –​ Observatory Operations (OBOP)  773 16.9.4 Carbon dioxide Monitoring at Mauna Loa Baseline Observatory  775 16.10 The World Resources Institute  776 16.11 The World Trade Organization  779 16.12 The Arctic Council  782 16.12.1 The Arctic Contaminants Action Program (ACAP)  785 16.12.2 The Arctic Monitoring and Assessment Program (AMAP)  785 16.12.3 The Conservation of Arctic Flora and Fauna Working Group (CAFF)  785 16.12.4 The Emergency Prevention, Preparedness, and Response Working Group (EPPR)  786 16.12.5 The Protection of the Arctic Marine Environment(PAME)  786 16.12.6 The Sustainable Development Working Group (SDWG)  786

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Contents

16.13 The Consultative Group on International Agricultural Research (CGIAR)  787 16.14 Greenpeace  789 16.15 Biodiversity International  790 16.16 International Rice Research Institute  791 16.17 The Worldwatch Institute  792 16.18 The Forest Stewardship Council  792 16.19 Birdlife International  795 Index

807

xvii

FIGURES

I -​1.2-​1 I-​1.3.2-​1 I-​1.3.2-​2 I-​1.3.2-​3 I -​1.3.2-​4 A IV-​4.2.3-​1 IV-​4.2.3-​2 A A V-​5.6.2-​1 B IX-​9.2.7-​1 B X-​10.2.2-​1 X-​10.2.2-​2 B B X-​10.2.3-​1 B X-​10.2.3-​2 B X-​10.2.3-​3 B X-​10.4-​1 B XI-​11.1-​1 B XI-11.2.2-​1 B XI-​11.2.2-​2 B XI-​11.2.2-​3 XI-​11.2.2-​4 B B XI-​11.2.5-​1 B XI-​11.2.5-​2

Distribution of Earth’s water The relation between various types of EIA Basic principles of ISO 14000 Flowchart to show the ISO 14001 system based on Plan-​Do-​Check-​Act Significance of ISO 14000 Important multilateral environmental agreements by UNEP along the timeline Functions of UNEP Integration of environmental issues in achieving sustainable development Maritime borders as per Commission on the Limits of the Continental Shelf (CLCS) Reactions of the ozone molecules formation and breakdown in the stratosphere UV B impacts on the atmospheric layers Structure of the UNFCCC negotiations Flowchart for Talanoa dialogue UNFCCC Parties in negotiations Long-​distance POP pollution of Arctic Biological diversity on the brink Wetlands and ecosystem services Flow of components, processes, and services in the wetland ecosystem Distribution of wetland area in percentage after Davidson et al. 2018 Relationship between the wetlands and the SDGs Valued tiger parts for sale Smuggling routes for sandalwood

xviii

3 24 26 28 32 51 53 78 137 221 222 238 287 294 313 387 401 402 406 407 438 441

List of Figures

XI-​11.2.6-​1 B B XII-​12.1-​1 B XII-​12.1-​2 B XII-​12.1-​3 B XII-​12.1-​4 B XII-​12.1-​5 B XII-​12.2.1-​1a B XII-​12.2.1-​1b B XIII-​13.1-​1 B XIV-​14.1.2-​1

Schematic diagram of the major migratory waterbird flyways Proportion of commercial chemicals tested for impacts Two strategic goals of GEF Major areas of program under GEF Storage of hazardous waste Priority approaches in hazardous waste management Plastics accumulation Plastics pathway to the oceans Approaches in Strategic Environmental Assessment Biopreparat locations for bioweapons programs during the 70s and 80s B XIV-​14.1.2-​2 Notable past incidents that involved bioweapons B XIV-​14.1.2-​3 Process of making bioweapons B XIV-​14.1.3-​1a Different models of atomic bombs B XIV-​14.1.3-​1b Different models of atomic bombs B XIV-​14.1.3-​2 Destructive power for each stage of nuclear weapons C XV-​15.2.2-​1 Components of HDI C XV-​15.2.3-​1 The eight Millennium Development Goals (MDGs) C XV-​15.2.3-​2 Summary of India’s progress towards achieving MDGs C XV-​15.2.3-​3 Eradicate extreme hunger and poverty C XV-​15.2.3-​4 Achieve universal primary education C XV-​15.2.3-​5 Promote gender equality and empower women C XV-​15.2.3-​6 Reduce child mortality C XV-​15.2.3-​7 Improve maternal health C XV-​15.2.3-​8 Combat HIV/​AIDS, malaria and other diseases C XV-​15.2.3-​9 Ensure environmental sustainability C XV-​15.2.3-​10 Develop a global partnership for development C XV-​15.2.4-​1 Three multi-​layered processes into post-​2015 development agenda dialogue C XV-​15.5-​1 Comparison of sea-​level rise with 1.5ºC and 2ºC global warming C XV-​15.5-​2 Comparison of flooding impacts with 1.5ºC and 2ºC global warming C XV-​15.5-​3 Measures to keep global warming to 1.5ºC C XV-​15.7-​1 Value of the global wellness economy C XVI-​16.1-​1 IUCN’s Program for 2017–​2020 C XVI-​16.4-​1 Global Environmental Facility (GEF) timeline C XVI-​16.9-​1 Coordination between the observatories and research groups C XVI-​16.11-​1 Structural organization of the WTO C XVI-​16.12-​1 Structural organization of the Arctic Council

xix

445 533 536 537 539 545 563 564 604 643 646 647 654 655 656 696 697 699 699 700 701 701 702 703 704 705 717 737 738 739 742 756 759 774 780 784

TABLES

I-​1.2-​1 I-​1.3.2-​1 I-​1.3.2-​2 A IV-​4.2.2-​1 B X-​10.1-​1 B X-​10.2.1-​1 B X-​10.2.1-​2 B X-​10.2.1-​3 B X-​10.2.2-​1 B X-​10.2.3-​1 B X-​10.2.3-​2 B X-​10.3-​1 B X-​10.4-​1 B X-​10.4-​2 B X-​10.4-​3 B XI-​11.1-​1 B XI-​11.1-​2 B XI-​11.2.2-​1 B XI-​11.2.2-​2 B XI-​11.2.2-​3 B XI-​11.2.5-​1

The planetary boundaries ISO 9000 family of standards ISO 14000 series of standards List of World Environment Day and their themes AQI in few Indian cities Status of the Two 1998 Protocols to CLRTAP The 1998 Aarhus Protocol to the 1979 CLRTAP shows 14 listed POPs by the ad hoc Preparatory Working Group along with 4 borderline substances with an asterisk for consideration Substances enlisted in the annexes of the 1998 Aarhus Protocol to the 1979 CLRTAP Summary of the control measures for important ODCs under the Montreal Protocol List of countries with economies in transition (According to IMF and World Bank) An understanding of the Kyoto units in use Chemicals in Annex III list that is subjected to the Prior Informed Consent Procedure Summary of the Persistent Organic Pollutants (POPs) enlisted in the Stockholm Convention Legal status of Persistent Organic Pollutants (POPs) in India Stockpiles of other Persistent Organic Pollutants (POPs) in India The biggest threats to biological diversity according to WWF Summary of the Living Planet Report 2020 and of 2022 Ramsar sites in the Montreux record Difference between Wetlands, Ramsar List and Wetlands in Montreux Record Primary productivity in different types of wetland ecosystems Estimated number of species contained within CITES Appendices as of 2 January 2017 xx

7 25 28 47 204 212 212 214 231 236 241 299 306 311 312 390 392 405 406 407 420

List of Tables

B XI-​11.2.5-​2 B XI-​11.2.5-​3 B XI-​11.2.6-​1 B XI-​11.2.11-​1

CITES listing of bear species Retail prices of bear bile in Asia in the US $/​gm, 1994–​1995 The Agreements under the CMS family List of the producing and consuming nations with tropical forest resources B XI-​11.2.12-​1 Components of Trade-​Related Aspects of Intellectual Property Rights (TRIPS) B XI-​11.2.13-​1 List of the crops under the MLS (Annex I) B XI-​11.2.13-​2 Maximum quantity of seeds or planting material allowed for export B XII-​12.1-​1 Summary of the major accidents caused due to hazardous waste B XII-​12.2.1-​1 Follow-​up of the Basel Convention B XII-​12.2.1-​2 Garbage patches status at a glance B XII-​12.2.3-​1 List of items for the inventory of Hazardous materials B XIII-​13.1-​1 Comparison between Environment Impact Assessment (EIA) and Strategic Environmental Assessment (SEA) B XIV-​14.1-​1 Summary of the major incidents from explosives B XIV-​14.1.2-​1 Important bioagents that can act as bioweapons B XIV-​14.1.3-​1 Comparison between fission and fusion reactions B XIV-​14.2.1-​1 Categories of potential bio-​agents and diseases B XIV-​14.2.3-​1 Some examples of the scheduled toxic chemicals and precursors under the CWC C XV-​15.2.2-​1 The ranking as per HDI (2021–​2022) C XV-​15.2.4-​1 Indian initiatives towards achieving SDGs C XV-​15.3-​1 Distribution of World Heritage Sites in the world C XV-​15.3-​2 Distribution of World Heritage Sites in India C XV-​15.3-​3 Global distribution of Biosphere Reserves as of 2022 C XV-​15.3-​4 India’s Biosphere Reserves as of 2022 C XV-​15.4-​1 The World Health Organization’s management of health programs C XV-​15.7-​1 Fifteen nations with the highest and least happiness (from 2019 and 2023 World Happiness Report) C XV-​15.12-​1 List of some important negotiations under the IMO C XVI-​16.12-​1 List of participants as observers C XVI-​16.13-​1 The CGIAR research centers C XVI-​16.13-​2 Programs of CGIAR

xxi

427 427 446 475 479 489 491 541 552 565 573 606 640 648 651 662 675 695 718 725 726 727 727 732 742 751 783 787 789

BOXES

Case Study 9.1 Case Study 9.2 Case Study 9.3 Case Study 9.4 Case Study 10.1 Case Study 10.2 Case Study 10.3 Case Study 11.1 Case Study 11.2 Case Study 11.3 Case Study 11.4 Case Study 11.5 Case Study 11.6 Case Study 11.7 Case Study 11.8 Case Study 11.9 Case Study 11.10 Case Study 11.11 Case Study 11.12 Case Study 11.13 Case Study 11.14 Case Study 11.15 Case Study 11.16

Marine Pollution in the Port of Singapore Nakhodka Oil Spill Marine Pollution in the English Channel Radioactive Waste Disposal at Sea Long-​distance POP Pollution of the Arctic Pollution of the Great Lakes by POPs and Transboundary Cooperation Mercury Pollution from Gold Mines in Guiana Shield, Venezuela: An Environmental Crime Alfaguara Project on the Blue Whale (Balaenoptera musculus) Whaling Practices in Antarctica The Significance of Wetlands in Building Urban Resilience The Corredor Azul Program in Brazil Community Based Conservation and Restoration of Wetlands in Nigeria’s Niger River Delta Reducing Flood Risk in Panama City through a Wetland System Wastewater Treatment Using Constructed Wetlands Tirana, Albania East Kolkata Wetlands as the Lifeline of Kolkata Illegal Bear Trade with Special Reference to China Illegal Elephant Trade with Special Reference to Africa Rhinoceros Killing with Special Reference to South Africa and Vietnam Illegal Poaching of Lions Illegal Tiger Poaching Government Policy and Culling of Wolves in Finland Illegal Logging and Smuggling of Sandalwood The Case of Novartis

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113 113 114 124 312 315 321 397 398 409 410 411 412 413 414 425 428 431 434 435 438 439 485

List of Boxes

Case Study 12.1 Case Study 12.2 Case Study 12.3 Case Study 12.4 Case Study 12.5 Case Study 12.6 Case Study 12.7 Case Study 13.1 Case Study 14.1 Case Study 15.1 Case Study 15.2

Toxic ‘E-​waste’ Dumping in Poor Countries Reported by the United Nations A Toxic Journey by Trafigura Beheer BV in the Abidjan, Ivory Coast Koko, Nigeria, a Dumping Site Khian Sea Garbage Barge Waste Disposal Incident The Garbage Patches with Special Reference to the Great Pacific Garbage Patch The Black Sea Barrels The Alang Sosiya Ship-​Breaking Graveyard in Gujarat The Bystroe Canal Case Armed Conflict vs. Value Conflict The WHO and the Anti-​malaria Program of India India’s Road towards Eliminating Tuberculosis

xxiii

556 558 560 561 562 566 573 612 664 733 734

ABOUT THE AUTHOR

Mahua Basu has been in the teaching profession for over 20 years and is at present engaged as a member of the faculty in the Environment Science Department of St. Xavier’s College (Autonomous), Kolkata, India, where she has been successfully environmentally empowering her students. She has also worked in various capacities as faculty at Viswa Bharati University, Shri Shikshyatan College, and Bethune College in Kolkata, India. She pursued her doctoral thesis on the ‘Impact of Chlorpyrifos exposure on Alzheimer’s disease and modulating its effect by a naturally occurring coumarin Scopoletin.’ Prior she did her M.Phil, in Environmental Sciences and has a PG Diploma in Microbial Biotechnology which she completed after successfully attaining a Master of Science (Zoology) with a specialization in Animal Physiology and Biochemistry from the University of Calcutta. An alumna of the prestigious Bethune College of Kolkata, (from where she completed her Bachelor of Science, with Honours in Zoology), she also has a B.Ed degree. Mahua’s reigning passion is environment-related community work in the fields of afforestation, waste management, and public health. A prolific reader, she is also a budding ornithologist and an environmentalist who believes that ‘Sustainability should not be restricted to being an afterthought but should be incorporated into everything we do.’ Interested in presenting and performing on social and environmental issues, she uses her training as a classical dancer to reach and arouse awareness among the common masses through her students, with whom she engages in various activities to spread the green word so that academic knowledge can move on to the next level of achievement. Mahua has the distinction of walking the talk, having participated in a plethora of seminars and symposia on issues related to her core domain and has authored innumerable papers and dissertations on the subject which not only stretches the horizons of our knowledge about the subject but have also been extremely well received by the entire spectrum—from the academic fraternity to the industrial end-​users—for their freshness in approach and the dexterity of presentation. She has authored a book titled Fundamentals of Environmental Studies published by Cambridge University Press.

xxiv

PREFACE

Environmental Science. The Anthropocene Man is only now beginning to understand the efficacy of studying environmental science after having irreparably damaging, in the brief period that he has been on the horizon of evolution, the fragile ecological balance, and having set in motion the wheels of climate change. While the urgency with which the study of the subject must be taken up is still missing, in the last few decades the need to learn the subject –​to muster enough knowledge to address the concerns and overcome them, are, at least, getting traction. The very fact that this book has been written and that you are now reading it is a refurbishment of the fact that is being sought to be conveyed –​that there is a need to bridge the gap between the knowledge bases that were, and are, available in the world of academia on the one hand and of the policy framers on the other, with the public at large joining in to share the knowledge to move up from being cannon fodder for the collateral damage to becoming active stakeholders in the process of change beginning with the knowledge transfer. That such an exercise is mindboggling in both scope and execution needs no elaboration and even running the risk of oversimplifying things, one can break it down into four logical compartments—not water-​tight compartments in which the term is commonly used, but in the sense of demarcations that are fluid and often overlapping. In the first stage, the obvious need is to get out of the denial mode and accept that the environment is under threat and that urgent steps must be taken to ensure that, at the least, further denigration and denudations are arrested. This naturally follows the need for policies, which have to be drafted, often balancing conflicting needs and addressing the vested interests that naturally seek to jeopardize the entire process. The book begins with a short introduction that deals with the prevalent environmental issues, our limitations, and the development of a comprehensive environmental thought and a nodal body, the United Nations. The second stage is about the actual framing and adoption of the policies. Ensuring that the policies get the teeth that they deserve apart from the fact that they are embraced in letter and spirit, for policies, however noble in their thought and content, are only as good as they are implemented. In the third stage the actual implementation, where the roots go

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Preface

deep, and the crown spreads its branches need to be ensured, for the long term and holistic benefits that environmental science seeks to reap, can, only too often, be achieved at the cost of short term sacrifices, which mortal man is unwilling to embrace. It is unfortunate, but the fact that the dictum ‘we will all be dead in the long term’ has been, and continues to be, a stumbling block for the full flowering of environmental sciences. Finally, as is the norm, the result of the policy measures needs to be assessed scientifically and with an open mind that is free of any bias. Evaluations are followed naturally by improvements in keeping with the overall goals. The hole in the Ozone layer was not punctured in a day, and it won’t be repaired in a day either. The four stages will only begin with the acceptance of the fact that there is a hole(s) and move all the way to the measures to ensure that they are adequately sealed. Hence the book comprises three sections. Section A covers the global meetings in their various dimensions that start from the human environment, sustainable development, disaster mitigation, food security, water, population, settlements, and the like. The Stockholm Conference 1972 is widely considered to be the cocoon from which the chrysalis of international environmental law materialized as a legal matter in its own right. Section B deals with the treaties, conventions, and protocols that came as an outcome of the various global conferences and summits from the perspectives of various issues like water, atmosphere and climate, biodiversity, chemicals and wastes, environmental governance, weapons, and warfare. These agreements provide us with guidelines to prevent, reduce, or control environmental degradation. Estimates show that there are currently about 900 international agreements and over 1000 bilateral treaties, conventions, protocols, and amendments (BEAs) devoted exclusively or in significant part to addressing environmental issues. To be all-​inclusive is beyond the scope of this book. The book will cover the relevant topics important to the undergraduate and postgraduate levels. Before 1900, international environmental agreements primarily dealt with resource issues such as boundary water determinations, navigation on river systems like the Rhine and Danube, and fishing rights in coastal areas. They were not concerned about pollution or ecological issues. Agreements were mostly bilateral or covered only small regions. The years leading up to the middle of the century began to yield international environmental contracts that were somewhat broader in geographical scopes, such as the 1911 Fur Seal Convention, and the 1916 Convention for the Protection of Migratory Birds in the United States and Canada, and the 1946 Whaling Convention. These multilateral treaties were limited in their application to controlling the over-​exploitation of a particular species of wildlife resource. They were designed to remedy environmental problems. A new approach took place after 1972, such that environmental treaties negotiated subsequently were preventive. The proposed book will cover treaties, conventions, protocols, and agreements addressing ozone depletion, GHGs and climate change, pollution, biodiversity loss, disasters, water, sanitation, food, and other relevant issues at global and regional levels. Such efforts are to alleviate contamination of oceans, territorial seas, rivers, and lakes; lessen over-​exploitation of abundant species of fish, birds, and land and marine mammals; and retard the degradation of wetlands, deserts, and other habitats. Several case studies discussed will be able to give us the actual scenario. Many international environmental agreements create secretariats, scientific panels, financial mechanisms, monitoring processes, dispute resolution procedures with separate tribunals, and technical assistance programs. Collectively, these different institutions form the intergovernmental organizations (IGOs).

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Preface

Section C will deal with the significant international organizations under the United Nations or working closely with the United Nations, intergovernmental organizations, and NGOs towards implementing policies, monitoring, recording, and analyzing for environmental protection. Another thing that needs to be mentioned here is that the environment is not subject to arbitrarily drawn, man-​made boundaries. The problems that threaten us today are global in nature and therefore call for global responses –​perhaps a unified response from mankind as a whole. However, divided as we are, we often work at cross purposes, which calls for a truly global –​international if you may –​outlook, with which this book has been written. There is no Planet B. The Earth is all that we have and, hopefully, what our children will inherit. The enemy that is today at our gates is not only mightier than any enemy we can conceive of but is also gaining strength with every passing moment. But there is hope yet, for the enemy of the environment is not yet invincible. I hope that this book will be one of the knowledge weapons that will be deployed by mankind in the battle for a cleaner, greener, and more sustainable tomorrow. The scope of this book is limited. I have only included the important environmental agreements with relevant sections that are more in use and discussion. For agony and spoil Of nations beat to dust, For poisoned air and tortured soil And cold, commanded lust, And every secret woe The shuddering waters saw –​ Willed and fulfilled by high and low –​ Let them relearn the law. Rudyard Kipling (1865–​1936), 1918 Mahua Basu

xxvii

ACKNOWLEDGMENTS

I started writing this book in 2018. I was confident of completing the book writing by the beginning of 2020. In 2019, when I lost my parents, I never thought that I could complete this book. I could hardly concentrate on reading and writing. I remember my mother saying to me every night to sit with the bookwork daily after I finish my daily routine. My father, too, would silently encourage me to do my work. They were my motivator and inspiration. My bad luck is that they are no more, to see the book materializing. Words fall short to thank my parents for their constant encouragement and suggestions in the early period of writing. Honestly speaking, it is quite difficult for me to pen this book. With my background in science and writing a book on policies, I had to walk the extra mile. Policies are dynamic and subject to change. So, I tried my level best to make continuous revisions and include those topics that are relevant in the present-​day context. I especially want to thank Dr. Runu Bhattacharya and Dr. Prof. Satyabrata Bhattacharya, as they would often enrich me with their knowledge and wisdom. They have taken on the painstaking task to go through the manuscript line by line and to revert to me for improvement. My wholehearted appreciation to Dr. Arijit Basu, Postdoctoral Associate, Anderson/​ Langer Lab, Koch Institute for Integrative Cancer Research, and Dr. Nibha Mishra, Research Fellow in Neurology (EXT), Massachusetts General Hospital & Harvard Medical School. Their valuable technical input, critical comments, constant moral support and guidance enabled me to reach my final destination. This book would not have been possible without their encouragement and support. My brother has taken the place of my parents to motivate and drive me to complete this book. My uncle, Mr. Pijush Dutta and my aunt, Smt. Ranjana Basu were also a constant motivator and support in all my endeavours. Such confidence was emphasized even more by Mr. Rajesh Dey, who expressed interest in considering it for publication. His suggestion to use the lockdown period for revising the book was immensely valuable. I also extend my sincere thanks to the Senior Commissioning Editor, Routledge, Mr. Aakash Chakrabarty. I also extend my thanks to Mr. Saubhik Mukherjee and Mr. Ashis Sikder for their help. My sincere thanks to Fr. Dejus John Retnam, St Xavier’s College (Autonomous), Kolkata, for his contributions in the form of illustrations in a few of the chapters. We are honored and obliged to all our reviewers across the country for their valuable suggestions. Their incorporations have helped develop this book into a useful handbook at undergraduate and postgraduate levels. xxviii

ACRONYMS

A&R project A6SC AAA AAs AAU ABS ACAP ACC ACG AChE ACOPS ACT ADG LCA ADP AEC AEPS AERB AINA ALBA ALCM AMAP AOML AOSIS APA APLs APMBC AQI ARAI ARL ARO

Afforestation and Reforestation project Article 6 supervisory committee Initiative for the Adaptation of African Agriculture Assigned amounts Assigned Amount Units Access and Benefit-​sharing Arctic Contaminants Action Program Administrative Committee on Coordination Formerly Arctic Cultural Gateway Acetylcholineesterase Advisory Committee on Protection of the Seas Artemisinin-​based combination therapy Ad Hoc Working Group on Long-​term Cooperative Action AdHoc Working Group on the Durban Platform for Enhanced Action Atomic Energy Commission Arctic Environmental Protection Agency Atomic Energy Regulatory Board Arctic Institute of North America Bolivian Alliance for the Peoples of Our America Air-​launched Cruise Missile Arctic Monitoring and Assessment Program Atlantic Oceanographic and Meteorological Laboratory Alliance of Small Island States Ad hoc Working Group of the Paris Agreement Anti-​Personnel landmines Anti-​Personnel Mine Ban Convention Air Quality Index Automotive Research Association of India Air Resources Laboratory Atmospheric Research Observatory xxix

List of Acronyms

ASI ASMA ASPA ATCM AWG-​KP AWRH BARC BAL BAP BAPA BAS BASIC BAT BCG BEP BHC BIF BIRPI BMZ BNHS BoP BRT BRW BSI BS-​IV BSWG BTRs BWC C2H3Cl3 CA CACAM CAD CAFF CAMPA CAPEXIL CARs CAS CBD CBDR CBEC CBM

Assurance Services International GmbH (GmbH stands for Gesellschaf tmitbeschränkterHaftung in German that means company with limited liability) Antarctic Specially Managed Areas Antarctic Specially Protected Areas Antarctic Treaty Consultative Meeting Ad Hoc Working Group on Further Commitments for Annex I Parties under the Kyoto Protocol Association of World Reindeer Herders Bhabha Atomic Research Centre British Anti Lewisite Bali Action Plan Buenos Aires Plan of Action British Antarctic Survey Brazil, China, India, and South Africa Best Available Techniques Bacillus Calmette-​Guerin Best Environmental Practices Benzene hexachloride Balloon Inflation Facility Bureaux for the Protection of Intellectual Property German Federal Ministry for Economic Cooperation and Development Bombay Natural History Society Balance of Payments Bus rapid transit Barrow Atmospheric Baseline Observatory or Alaska Observatory British Standards Institution Bharat Stage-​IV Biosafety Working Group Biennial transparency reports Biological Weapons Convention Methyl chloroform Cholic acid Central Asia, Caucasus, Albania, Moldavia Computer-​Aided Diagnosis The Conservation of Arctic Flora and Fauna Working Group Compensatory Afforestation Fund Management and Planning Authority Chemical and Allied Export Promotion Council of India Corrective Action Requests Clean Air Sector Convention on Biological Diversity Common but differentiated responsibilities Central Board of Excise and Customs Confidence-​building measures

xxx

List of Acronyms

CBNAAT CCAC CCAMLR CCAS CCC CCEA India CCG CCGG CCl4 CCOL ccTLD CCU CCW CDC CDCA CDM CDSCO CEC CEES CEESP CEG CEM CEP CER CERCLA CFC CGIAR CGRFA CIA CIAT(Spanish acronym) CIB & RC CIMMYT (Spanish acronym) CiP CIPAM CIRUS CITES CLCS CLRTAP

Cartridge based nucleic acid amplification test Climate and Clean Air Coalition Convention for the Conservation of Antarctic Marine Living Resources Convention for the Conservation of Antarctic Seals Centro de ConservacionCetacea Cabinet Committee on Economic Affairs (India) Central Crisis Group Carbon Cycle and Greenhouse Gas Carbon tetrachloride Coordinating Committee of Ozone Layer country code top-​level domain name Circumpolar Conservation Union Convention on Certain Conventional Weapons Centers for Disease Control and Prevention Chenodeoxycholic acid Clean development mechanism Central Drugs Standard Control Organization Commission on European Communities /​Commission for Environmental Cooperation/​Commission on Education and Communication Centre for Environment and Explosive Safety Commission on Environmental, Economic and Social Policy Criteria Expert Group Commission on Ecosystem Management Committee for Environmental Protection Certified Emission Reduction Comprehensive Environmental Response, Compensation, and Liability Act Chlorofluoro carbons Consultative Group on International Agricultural Research Commission on Genetic Resources for Food and Agriculture Central Intelligence Agency International Center for Tropical Agriculture Central Insecticide Board and Registration Committee International Maize and Wheat Improvement Center Chemicals in Products Cell for IPR Promotion and Management Canada India Reactor Utility Services Convention on International Trade in Endangered Species of Wild Fauna and Flora Commission on the Limits of the Continental Shelf Convention on Long-​range Transboundary Air Pollution

xxxi

List of Acronyms

CMA CML CMP CoC COMNAP COP CORSIA CPR CR CRISPR CSA CSD CSE CSIR CTBT CTBTO CTC CWC CWMI CWRA CWs CZMPs DAC DCG DCPI DDT DEHP DELC DEPI DEWA DFID DGEF DGFASLI DGFT DHHS DIPP DOE DOEM DOTS DPIIT DRC DRDL DRDO

Conference of the Parties Serving as the Meeting of the Parties to the Paris Agreement Chronic Myeloid Leukaemia Conference of Parties serving as Meeting of the Parties to the Kyoto Protocol /​Conference of the Parties Serving as the Meeting of the Parties to the Kyoto Protocol Chain of Custody Council of Managers of National Antarctic Program Conference of Parties Carbon Offsetting and Reduction Scheme for International Aviation Committee of Permanent Representatives /​Commitment period reserve Critically Endangered Clustered Regularly Interspaced Short Palindromic Repeats Comprehensive safeguards agreement Chemical Sciences Division Center for Science ad Environment Council of Scientific and Industrial Research Comprehensive Test Ban Treaty Comprehensive Nuclear-​Test-​Ban Treaty Organization Carbon tetrachloride Chemical Weapons Convention Composite Water Management Index Central Wetlands Regulatory Authority Chemical weapons Coastal Zone Management Plans Department of Agriculture and Cooperation District Crisis Group Communications and Public Information Dichlorodiphenyltrichloroethane Di-​Ethylhexyl phthalate Environmental Law and Conventions Environmental Policy Implementation Early Warning and Assessment Department for International Development Global Environment Facility Coordination Directorate General, Factory Advice Service and Labor Institutes Directorate General for Foreign Trade US Department of Health and Human Services Department of Industrial Policy and Promotion Expert Group on Technology Transfer Designated Official on Environmental Matters Directly observed treatment, short-​course Department for Promotion of Industry and Internal Trade Democratic Republic of Congo Defence Research and Development Laboratory Defence Research and Development Organization

xxxii

List of Acronyms

DST DTIE EB ECB ECE ECIL ECOSOC EDC EEZ EGTT EGWs EHF EIA EIG EITs ELVs EMAS EMEP EMP EMR EMS ENGOs EPA EPI EPPR ERU ERW ESC ESGP ESM ESRL ET ETIS EU ExCOP FAO FDA FDAs FMCP FMCT FREL/​FRL FSC FSC P&C FSI GAP

Department of Science and Technology /​Drug Susceptibility Testing Technology, Industry, and Economics Executive board Environment Coordination Board Economic Commission for Europe Electronics Corporation of India Limited United Nations Economic and Social Council Endocrine Disrupting Chemicals Exclusive economic zone Designated operational entities Expert Group on Wetlands Ebola Haemorrhagic fever Environment Impact Assessment Environmental Integrity Group Economies in Transition Emission Limit Values Eco-​Management and Audit Scheme Co-​operative programme for the monitoring and evaluation of long-​ range diffusion of air pollutants in Europe Electromagnetic pulse weapon Exclusive Marketing Rights Environmental management system Environmental Non-​governmental Organizations Environmental Protection Agency Environmental Performance Index Emergency Prevention, Preparedness, and Response Working Group Emission Reduction Units Explosive remnants of war Empowered Steering Committee Earth System Governance Project Environmentally Sound Management Earth System Research Laboratory Emission trading Elephant Trade Information System European Union Extraordinary Meeting of the COP The Food and Agriculture Organization Food and Drug Administration Forest development agencies Facilitative, multilateral consideration of progress Fissile Material Cut-​off Treaty forest reference (emission) levels Forest Stewardship Council Forest Stewardship Council Principles associated Criteria Forest Survey of India Gender Action Plan

xxxiii

List of Acronyms

GAR GATT GCARD GDI GDP GEAC GEF GEFC GEIDCO GEMS GEO GEOSS GESAMP GFDL GGN GHG GHGP GII GIST GIZ GLCM GLERL GLWQA GMD GMO GMP GNI GNP GOES GOI GoMEEP GPGP GR GRID GRISP GSD gTLD GTOS GWPs HAT HAZMAT HBFCs HCB HCFCs

Global Assessment Report on Disaster Risk Reduction General Agreement on Tariffs and Trade Global Conference on Agricultural Research for Development Gender Development Index Gross Domestic Product Genetic Engineering Approval Committee Global Environmental Facility Germplasm Export Facilitation Committee Global Energy Interconnection Development and Cooperation Organization Global Environment Monitoring System Global Environment Outlook Global Earth Observation System of Systems Joint Group Of Experts on the Scientific Aspects of Marine Environmental Pollution Geophysical Fluid Dynamics Laboratory Global Geoparks Network Greenhouse gas Greenhouse Gas Protocol Gender Inequality Index Gastrointestinal Stromal Tumours Deutsche GesellschaftfürInternationaleZusammenarbeit Ground-​launched cruise missile Great Lakes Environmental Research Laboratory Great Lakes Water Quality Agreement Global Monitoring Division Genetically modified organism Global Malaria Programme Gross National Income Gross national product Geosynchronous satellites Government of India Global Maritime Energy Efficiency Partnership Great Pacific Garbage Patch Global Radiation Global Resource Information Database Global Rice Science Partnership Global Systems Division Generic top-​level domain name Global Terrestrial Observing System Global warming potentials Halocarbons and other Atmospheric Trace Species Non-​combatant ‘hazardous material’ Hydrobromofluorocarbons Hexachlorobenzene Hydrochlorofluorocarbons

xxxiv

List of Acronyms

HCOC HCVFs HCVFs HDI HDR HEAL HELCOM HEU HFA HFCs HIL HIV/​AIDS HLW HPI HSLEEP IAEA IAIA IARC IASC IASSA IBAs IBRD ICA ICANN ICAO ICAR ICBMs ICBP ICCM ICCROM ICDS ICFR ICFRE ICJ ICMAM ICOMOS ICP ICPD ICRW ICTs IDB IDC

Hague Code of Conduct against Ballistic Missile Proliferation High Conservation Values Forests High Conservation Values Forests Human Development Index Human Development Report Health and Environmental Alliance Baltic Marine Environment Protection Commission Highly enriched uranium Hyogo Framework of Action Hydrofluorocarbons Hindustan Insecticides Limited Human immunodeficiency virus/​Acquired immune deficiency syndrome High-​level radioactive wastes Happiness Planet Index Hazardous Substances within the life cycle of Electrical and Electronic Products International Atomic Energy Agency International Association for Impact Assessment International Agricultural Research Centres Inter-​Agency Standing Committee/​International Arctic Science Committee International Arctic Social Sciences Association Important Bird and Biodiversity Areas International Bank for Reconstruction and Development International consultations and analysis International Corporation for Assigned Names and Numbers International Civil Aviation Organization Indian Council of Agricultural Research Intercontinental ballistic missiles International Committee for Bird Preservation International Conference on Chemical Management International Centre for the Study of the Preservation and Restoration of Cultural Property Integrated Child Development Services Indian Institute of Forest Management Indian Council of Forestry Research and Education International Court of Justice Integrated Coastal and Marine Area Management Project International Council of Monuments and Sites International Conference on Population International Conference on Population and Environment International Convention for the Regulation of Whaling information and communications technologies Inter-​American Development Bank International Data Center

xxxv

List of Acronyms

IEA IETC IFCS IFRC IFSD IGIs IGOs IGV IHDI IICT IIP ILO ILW IMDG Code IMF IMMI IMO INC INDCs INIBAP INPGR IO IOM IOMC IP IPCC IPCS IPEN IPGRI IPM IPPIC IPR IPs IRBM IRO IRRI ISA ISDR ISID ISO ISPC ISRO ISS ITLOS ITMOs

International Energy Agency International Environmental Technology Centre of the UNEP Intergovernmental Forum on Chemical Safety International Federation of Red Cross & Red Crescent Societies Institutional Framework for Sustainable Development International Generic Indicators Intergovernmental organizations International Geophysical Year Inequality-​adjusted Human Development Index Indian Institute of Chemical Technology Index of Industrial Production International Labour Organization Intermediate-​level radioactive waste International Maritime Dangerous Goods Code International Monetary Fund Improvement of Mercury Management International Maritime Organization Intergovernmental Negotiating Committee Intended nationally determined contributions International Network for the Improvement of Banana and Plantain International Board for Plant Genetic Resources international organizations International Organization for Migration Inter-​organization Programme for the Sound Management of Chemicals Intellectual Property/​Import Permit Intergovernmental Panel on Climate Change International Programme on Chemical Safety International POPs Elimination Network International Plant Genetic Resources Institute Integrated Pest Management International Paint and Print Ink Council Intellectual Property Rights Intellectual Properties Intermediate-​range ballistic missiles International Refugee Organization International Rice Research Institute International Seabed Authority International Strategy for Disaster Reduction Inclusive and Sustainable Industrial Development International Organization for Standardization Independent Science and Partnership Council Indian Space Research Organization International Science Studies International Tribunal for the Law of the Sea Internationally transferred mitigation outcomes

xxxvi

List of Acronyms

ITO ITPGRFA ITTA IUCH IUCN IUSSP IVM IWAI IWC IWGIA IWGMP IWMI JARPA JCPOA JI JPOI KAZA-​TFCA KBA KP LAS lCER LCG LCGs LDCF LDCs LEEP LHF LLWs LMDC LOICZ LOW LTBT LUA LULUCF LWM MAH MAP MDGs MDI MDR MEA MEPC MERS

International Trade Organization International Treaty on Plant Genetic Resources for Food and Agriculture International Tropical Timber Agreement International Union for Circumpolar Health International Union for the Conservation of Nature and Natural Resources International Union for the Scientific Study of Population Integrated Vector management Inland Waterways Authority of India International Whaling Commission International Work Group for Indigenous Affairs Intergovernmental Working Group on Marine Pollution International Water Management Institute Japanese Whale Research Program under Special Permit in the Antarctic Joint Comprehensive Plan of Action Joint implementation Johannesburg Plan of Implementation Kavango Zambezi Trans Frontier Conservation Area Key Biodiversity Area Kyoto Protocol Linear alkylbenzene sulphonates Long-​term Certified Emission Reductions Local Crisis Group Local Conservation Groups Least Developed Countries Fund Least developed countries Local Engagement and Empowerment Program Lassa haemorrhagic fever Low-​level wastes Like Minded Developing Countries Land-​Ocean Interaction in the Coastal Zone Launch-​on-​warning Limited Test Ban Treaty Launch-​under-​attack Land-​Use Land-​Use Change and Forestry Liquid waste management Major Accident Hazard Mediterranean Action Plan Millennium Development Goals Metered Dose Inhalers Multidrug-​resistant Ministry of External Affairs Marine Environment Protect Committee Middle East Respiratory Syndrome

xxxvii

List of Acronyms

MGNREGA MHF MIKE MIRVs MLO MLS MMR MNCs MoA MoA&FW MoC&F MoES MoH& FW MOP MOPP MoU MP MPI MPWT MRBM MRV MSA MSC MtC MTCC MTCR Mya MZI NAAEC NAAQS NACWC NADH NAFTA NAMMCO NAP NAPA NAPCC NASA NCA NCA NCDs NCEDE NCM NCMC NCPOR

Mahatma Gandhi National Rural Employment Guarantee Act Marburg haemorrhagic fever Monitoring the Illegal Killing of Elephants Multiple independently targetable re-​entry vehicles Mauna Loa Observatory Multilateral System of Access and Benefit-​sharing Maternal Mortality Rate Multinational Corporations Ministry of Agriculture Union Ministry of Agriculture and Farmers Welfare Ministry of Chemicals and Fertilizers Ministry of Earth Sciences Ministry of Health and Family Welfare Meeting of Parties Military Mission-​oriented Protective Posture Memorandum of Understanding Montreal Protocol Multidimensional Poverty Index Ministry of Public Works and Transport Medium-​range ballistic missiles Measurement, Reporting, and Verification/​Monitoring, reporting and verification Merchant Shipping Act 1923 Marine Stewardship Council Million tonnes carbon equivalent Maritime Technology Cooperation Centre Missile Technology Control Regime Million Year ago Maritime Zones of India North American Agreement on Environmental Cooperation National Ambient Air Quality Standards National Authority for Chemical Weapons Convention Nicotinamide adenine dinucleotide hydrogenase North American Free Trade Agreement North Atlantic Marine Mammal Commission National Afforestation Program National Adaptation Programme of Action National Action Plan on Climate Change National Aeronautics and Space Administration Nuclear Command Authority National Commission on Agriculture Non-​communicable diseases Notice and Consent Electronic Data Exchange Nordic Council of Ministers National Crisis Management Committee National Centre for Polar and Ocean Research

xxxviii

List of Acronyms

NDCs NDRF NEA NEERI NEFCO NESDIS New START NF NFP NFU NGOs NIEHS NIEO NIIST NIP NMFS NOAA NODC NOS NOU NP NPB NPPA NPT NRHM NRSC NSC NSG NSSL NTCA NVBDCP NWFZ NWS OAR OAU ODA ODCs ODS OECD OMAO OOIS OPCW OPRC OZWV PA PACE

Nationally determined contributions National Disaster Response Force Nuclear Energy Agency National Environmental Engineering Research Institute Nordic Environmental Finance Corporation The National Environmental Satellite, Data, and Information Service New Strategic Arms Reduction Treaty Northern Forum National Focal Point /​National Forest Policy No-​first-​use Non-​governmental organization National Institute of Environmental Health Sciences New International Economic Order National Institute for Interdisciplinary Science and Technology National Implementation Plan National Marine Fisheries Service National Oceanic and Atmospheric Administration National Oceanographic Data Centre The National Ocean Service National Ozone Unit Nonylphenol Non-​Prohibited Bore National Pharmaceutical Pricing Authority Nuclear Non-​Proliferation Treaty National Rural Health Mission National Remote Sensing Centre National Steering Committee Nuclear Suppliers Group National Severe Storms Laboratory National Tiger Conservation Authority National Vector Borne Disease Controlled Programme Nuclear-​Weapon-​Free Zones National Weather Service Office of Oceanic & Atmospheric Research Organization of African Unity Official development assistance Ozone-​depleting Chemicals Ozone depleting substances Organization for Economic Cooperation and Development Office of Marine & Aviation Operations Ocean Observation and Information Services Organization for the Prohibition of Chemical Weapons Oil Pollution Preparedness, Response and Co-​operation Ozone and Water Vapor Paris Agreement People for Accelerating the Circular Economy

xxxix

List of Acronyms

PAHs PAME PAN PAWP PB PBDEs PCA PCB PCDD PCDF PCNs PCPIRs PCPIRs PDCA PHCR PHS PLACA PMEL POCP POPs POTA POW PPPs PPV and FR PRTRs PSBOS PSC PSD PSSAs PTPRs PUC PVC QELRO QMS R&D RC RCGM REBA REDD REDD+​ RFSTE RMA RMU RNTCP RSPO RSPO

Polycyclic Aromatic Hydrocarbons Protection of Arctic Marine Environment Pesticide Action Network Paris Agreement Work Programme Prohibited Bore PolybrominatedDiphenyl Ethers Permanent Court of Arbitration Polychlorinated biphenyl Polychlorinated dibenzo-​p-​dioxins Polychlorinated dibenzofurans Polychlorinated naphthalenes Petroleum, Chemical, and Petrochemicals Investment Regions Petroleum, Chemical and Petrochemicals Investment Regions Plan-​Do-​Check-​Act Poverty Head Count Ratio Public Health Service Platform of Latin American and Caribbean Agriculture Climate Action Pacific Marine Environmental Laboratory Photochemical Ozone Creation Potentials Persistent Organic Pollutants Prevention of Terrorism Act Prisoners of War Policies, plans, and programs Protection of Plant Varieties and Farmers’ Rights Pollutant Release and Transfer Registers Platform for Science Based Ocean Solutions Phytosanitary certificate Physical Sciences Division Particularly Sensitive Sea Areas Pollutant release transfer registers Pollution Under Control Polyvinyl chloride Quantified Emission Limitation or Reduction Objectives Quality Management System Research and development Regional Cooperation Review Committee on Genetic Manipulation Renewable Energy Buyers Alliance Reducing emissions from deforestation and forest degradation Reducing Emissions from Deforestation and Forest Degradation-​plus Research Foundation for Science, Technology and Ecology Revolution in Military Affairs Removal Units Revised National Tuberculosis Control Program Roundtable on Sustainable Palm Oil Roundtable on Sustainable Palm Oil

xl

List of Acronyms

RTE SAC SAGE SAICM SARS SBI SBSTA SCAR SCCF SCG SCOMET SCPAR SDGs SDWG SEA SEPA SFM SGR SHD SIDS SLBMs SMO SMTA SOLAS SPO SRCCL SROCC SSC STP SWM TB tCER TCM TED TEQ TFSC TGF TIFAC TOFs TOMAs TRAFFIC TRIPS TSDF TSPP U5MR UArctic

Right to Education Space Applications Centre Strategic Advisory Group on Environment Strategic Approach to International Chemicals Management Severe Acute Respiratory Syndrome Subsidiary Body for Implementation Subsidiary Body for Scientific and Technological Advice Scientific Committee of Antarctica Research Special Climate Change Fund State Crisis Group Special Chemical, Organisms, Materials, Equipment and Technology Standing Committee of the Parliamentarians of the Arctic Region Sustainable Development Goals Sustainable Development Working Group Strategic Environmental Assessment State Environmental Policy Act Sustainable forest management Selous Game Reserve State Health Departments Small island developing states Submarine-​launched ballistic missiles American Samoa Observatory Standard Material Transfer Agreement International Convention for the Safety of Life at Sea 1960 South Pole Observatory Special Report on Climate Change and Land Special Report on the Ocean and Cryosphere in a Changing Climate Species Survival Commission Sewage Treatment Plant Solid waste management Tuberculosis Temporary Certified Emission Reductions Traditional Chinese Medicine Turtle Exclusion Devices Toxic Equivalent Technology and Finance Standing Committee Testing Ground Facility’ Technology Information Forecasting and Assessment Council Trees outside forests Tropospheric Ozone Management Area Trade Records Analysis of Flora and Fauna in Commerce Trade-​Related Aspects of Intellectual Property Rights Treatment, Storage and Disposal Facility’ International Conference on Tanker Safety and Pollution Prevention’ Under Five Mortality University of the Arctic

xli

List of Acronyms

UDCA UDRP UN DESA UNCBD UNCCD UNCED UNCHE UNCLOS UNCSD UNCTAD UNDP UNDRR UNECE UNEP UNEPO UNESCO UNFCCC UNFPA UNGA UNHCR UNHRC UNICEF UNIDO UNISDR UNITAR UNO UNRWA UN-​SDSN UNWTO USAID USAMRIID USGS VCPOL VLCCs VOCs VU WCCB WCDR WCDR WCDRR WCED WCEL WCMC WCPA WCT

Ursodeoxycholic acid Uniform Domain-​Name Dispute-​Resolution Policy UN Department of Economic and Social Affairs United Nations Convention on Biological Diversity United Nations Convention to Combat Desertification United Nations Conference on Environment and Development United Nations Conference on Human Environment United Nations Convention on the Law of the Sea United Nations Conference on Sustainable Development United Nations Conference on Trade and Development United Nations Development Programme United Nations Disaster Risk Reduction United Nations Economic Commission of Europe United Nations Environment Programme United Nations Environment Protection Organization United Nations Educational, Scientific and Cultural Organization United Nations Framework Convention on Climate Change United Nations Fund for Population Activities United Nations General Assembly United Nations High Commissioner for Refugees United Nations Human Rights Council United Nations Children’s Fund/​United Nations International Children’s Emergency Fund United Nations Industrial Development Organization United Nations International Strategy for Disaster Reduction United Nations Institute for Training and Research United Nations Organization United Nations Relief and Works Agency United Nations Sustainable Development Solutions Network World Tourism Organization United States Agency for International Development US Army Medical Research Institute of Infectious Diseases United States Geological Survey Vienna Convention for the Protection of the Ozone Layer Very Large Crude Carriers Volatile Organic Compounds Vulnerable Wildlife Crime Control Bureau World Conference on Disaster Reduction World Conference on Disaster Reduction World Conference on Disaster Risk Reduction World Commission on Environment and Development World Commission on Environmental Law World Conservation Monitoring Centre World Commission on Protected Areas WIPO Copyright Treaty

xlii

newgenprepdf

List of Acronyms

WEEE WHO WII WIPO WMD WMO WNBR WPPA WPPT WPSI WPVGA WRI WSSD WTI WTO WWF WWI WWT

Waste of Electrical Equipment World Health Organization Wildlife Institute of India World Intellectual Property Organization Weapons of mass destruction World Meteorological Organization World Network of Biosphere Reserves World Population Plan of Action WIPO Performances and Phonograms Treaty Wildlife Protection Society of India Wisconsin Potato & Vegetable Growers Association World Resources Institute World Summit on Sustainable Development Wildlife Trust of India World Trade Organization Worldwide Fund for Nature-​Global Arctic Program Worldwatch Institute Wildfowl and Wetlands Trust

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I THE GENESIS OF ENVIRONMENTAL MUDDLE

1.1  The Beginning of Chaos The process of human evolution is quite lengthy. One of the most important defining traits, namely, bipedalism is said to have evolved around four million years ago. The higher brain, the ability to use tools, and language development happened primarily during the last 1,000,000 years. The earliest humans migrated out of Africa between 1.8 and 2 million years ago (mya). They entered Europe and moved to other parts of the world much later; to Australia within the past 60 000 years and to America within the past 30 000 years approximately. In other words, the life of humans on earth is a mere speck in the geological time scale. They were mostly nomads and lived as hunter-​gatherers in the Old Stone Age. They lived in crude shelters, gathered fruits, caught fish, and occasionally hunted, leaving very small ecological footprints. The first civilization and agriculture happened between 12 000 and 10 000 years in the Middle Stone Age. They transitioned from nomads to agricultural communities. They cleared forests and made lands for cultivation. Food became abundant and life became easier. Continued forest clearing raised the greenhouse gas (GHG) levels to rise past 8000 years approximately. This CO2 accumulation might have prevented another glacial period. With the industrial revolution, the manual and animal workforce entered into machine-​ driven mass production. The UK had almost exhausted its forest to heat their homes and run machinery. The discovery of coal substituted the forest woods and saved the forests. Increasing coal combustion created smog. The best example of this is the London smog of 1952. A few thousand lost their lives and the city became paralyzed. With machine invention, less labor was required in the workforce, and this resulted in rural unemployment. Villagers migrated to cities and lived in drudgery. Men worked tirelessly, women were forced into prostitution, and children became laborers in unhygienic conditions. This miraculous social and technological development came at a cost. As standards of living increase, we are currently confronted with more challenges such as depleting resources, peak oil, climate change, water and food shortages, deforestation, topsoil loss, biodiversity loss, genetically modified organism (GMO) threats, disasters, and so forth. Providing economic prosperity and social well-​being without exhausting natural resources

DOI: 10.4324/9781003440574-1

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and achieving sustainability has become our challenge. Our prosperous past does not ensure our future. The economist might cite the drop in resource prices in the past few generations, but society is now definitely at more risk from environmental calamity than from an economic crisis. The environmental systems work similarly to some chemical reactions that might be incrementally slow in the initial stages but become rapid after reaching a particular activation level which is the ‘tipping point’. Likewise, a critical point might be reached when rapid unforeseen and possibly catastrophic changes might occur. Technology can surely yield benefits, but it comes with negative unexpected consequences. Initially, chlorofluorocarbons (CFCs) were great and polychlorinated biphenyls (PCBs) were used in electrical transformers, capacitors, heat exchange fluids, sealants, and the like. Risks emerged much later. Social, economic, and environmental consequences resulting from the use of ethanol fuels were similarly not considered before their introduction. Thalidomide was a drug that was seen as beneficial on the one hand, but which subsequently caused severe birth defects on the other hand. On the one hand, groundbreaking technologies such as nanotechnology, biotechnology, and fusion technology have immense potential to offer benefits in the fields of computers, antibiotics, and integrated circuits. On the other hand, there may be thousands of novel compounds and technologies that might have elusive, unexpected results that cannot currently be forecast. The concern currently is with this ever-​increasing mix of novel technologies and synthetic substances that appears to have no immediate consequences. Many policymakers of the developing nations argue that the West should not solely enjoy high living standards but that such opportunities should be shared with the rest of the world. Now, if even a proportion of these people in the rest of the world approach the standards enjoyed by the Western world, the carrying capacity would be exceeded to such levels that would breakdown and collapse the entire ecosystem. The truth is that six billion is more than the carrying capacity of the Earth let alone nine billion.

1.2  The Spike of Global Challenges at Crossroads In the compelling overview of humanity’s current situation, the challenge by far outweighs the opportunities where humans are always in a dilemma of survival versus extinction. With the world becoming more and more global, the issues also transcend national boundaries and require the participation of the entirety of humanity. No one country can act alone to solve such a crisis. In the history of civilizations, we possess many things that are better than ever, but that isn’t enough to face the changing world that is posing new challenges. The boom of growth and development, industrialization, technology, and innovation has come at a high price. Food security, clean water scarcity, sanitation healthcare, employment, gender inequality, biodiversity loss, marine habitats, hazards and disasters, energy, and resource depletion are also throwing such challenges at us that we could well be on the brink of extinction. More food is required to be grown in the coming 33 years than in the last hundred years. More food, and dietary and nutritional balance must essentially be mentioned. Empowering women is the key to social, economic, and environmental development. Undernourished people become susceptible to nutrient deficiencies and diseases. The incidence of diseases is also governed by sanitation, water safety, the uses of fertilizers and pesticides, and pathogens. Unemployment creates more migration and political crises. Each of these challenges is strongly interlinked with other challenges and cannot be treated as a discrete issue. 2

The Genesis of Environmental Muddle

Water figures in all aspects of our lives as was evident from the world’s river basins that became the cradle of human civilization. It is the key to religious practices and cultural identity all over the world. The Mesopotamians observed periodic flooding of rivers to nourish the soil with nutrient-​rich silt deposits that would enhance crop yields. They formed the world’s first irrigation-​based civilization. With time, people learned transportation of water from the remotest areas to harness it. Dams and aqueducts were built that became sophisticated over the years. The population boomed with the industrial revolution and water demand rose. Conflicts developed and increased over time. Thousands and thousands of monumental projects continued to be built. Historically, water disputes even existed in 2500 BC , when King Urlama of Lagash diverted water in the Tigris or Euphrates valleys to deprive Umma of water. In 1924, California farmers blew up a part of the aqueduct serving Los Angeles. Water resources are being degraded and polluted. Unequal distribution of water is creating a problem that is jeopardizing food supply, human wellbeing, ecosystem, and economic prosperity. People and communities, societies, and countries have fought, negotiated, and rearranged geographies to procure this badly needed resource. The planet’s water mostly is the product of outgassing from volcanic eruptions and collisions with comets. Three quarters of the Earth is covered with water, with a volume estimated at 1.386 billion cubic kilometers. So, what’s the big deal! Our belief that the earth has an infinite fresh water supply is a myth. 97.5% is saline water occurring in the Pacific, Atlantic, Indian and other seas. Fresh water is only around 2.5% of the total water (see Figure I-​1.2-​1). Around two-​thirds of this is locked up in glaciers and icecaps. Of this, much less than 1% is accessible and drinkable. The North American Great Lakes comprise 21% of the world’s fresh water. Many of the cities like Toronto, Chicago, Detroit, Rochester, are located on their shores. River water amounts to 0.49% of the surface fresh water amounting to 2120 cubic kilometers by volume. A huge amount of such water is concentrated in the Amazon, Yangtze, Brahmaputra, Irrawaddy, Mekong, Ob, Lena, and the Yukon basins.

Figure I-​1.2-​1 Distribution of Earth’s water.

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Water availability and unequal distribution is a much broader issue than it initially appears to be. There is no management regime for the world’s transboundary rivers. Agriculture consumes 70% of global freshwater withdrawal. 1 tonne of grain production requires 1,000 tonnes of water. The bulk of global food comes from rangeland, cropland, and fisheries. According to the Global Land Outlook 2 and UNCCD, 40% of the global land is compromised by anthropogenic activities like deforestation, farming, etc. Rangelands can be grasslands, shrub lands, woodlands or wetlands suited for grazing and browsing animals. They are vulnerable, provide fodder for livestock and form a defense for crop lands against erosion and desertification. Overgrazing deteriorates the physical and chemical properties of soil leading to increasing soil erosion, decreasing soil moisture, nutrient leaching, altering soil pH, elimination of forage species, and desertification. A 2006 reports the degradation of 20% of global pasture and 73% of the dry rangelands. Overfishing and pollution are decimating the fisheries. Hence, mankind will mostly depend on cropland that is already under cultivation. It is doubtful whether it is possible to create and add new cropland. 10% of the global food yield depends on groundwater which is also severely depleted. Pollution and mismanagement aggravate the situation and make it worse. Water is a human rights issue. According to the World Health Organization (WHO) 2019, 2.2 billion people don’t have access to safe drinking water. More than 50% of the world’s population lacks safe sanitation services. 673 million people practise open defecation. Nearly 3 lakh children under the age of 5 die from diarrheal diseases every year. 2 billion people inhabit nations that experience high water stress. Nearly 80% of untreated wastewater is reused. Between 1900 and 2000, fresh water demand has increased 6 times. This is twice the rate of population growth. The amount of water available at present is the same as that available in the past but water availability per capita has declined drastically. Moreover, the IPCC reported changes in the components of the fresh water system due to global warming. Such water shortages are a more imminent threat to business than the shortage of oil supply. A country is considered water-​stressed if the annual per capita water supply is less than 1700 cubic meters. Below 1000 cubic meters the country is said to have a water shortage. By the year 2025, 1.1 billion Africans are likely to live in water-​stressed conditions. Such conditions could also extend to huge parts of China, India, Pakistan, the USA, and Mexico. In developing nations, people can be spending as much as 30% of their income on buying water while Americans spend 1 to 2% of their income. Over many years the USA and Mexico have been squabbling over the Rio Grande River, but both have miserably failed to protect it. It is the place for the disposal of sewage and industrial waste. Underground aquifers have 60 times more water than all of the surface waters but are being severely depleted due to a pumping rate that is greater than when they are being replenished. The Ogallala Aquifer lying beneath eight US states has been severely depleted and the farmers are currently forced to rely on rainwater. India is also facing the same problem. 40% of global population depends on shared water basins and nearly 260 rivers flow through two or more countries. In most cases, there is no existing governmental agreement. Countries located upstream often enjoy a greater advantage than their downstream counterparts. Such unequal distribution and procurement lead to war-​like scenarios across the globe. Jordan decided to divert the headwaters of the Jordan River in 1964 and started working on it despite Israel’s warning. Ultimately Israel launched airstrikes into Syria to destroy the proposed dam site. International relations between Namibia and Botswana are strained due

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to Namibia’s plan to construct a pipeline for diverting water from the shared Okavango River towards Namibia. The South African army attacked Lesotho to safeguard their built system that supplies water from Lesotho to the arid industrial land of South Africa. The Middle East and North Africa hold 5% of the global population and less than 1% of the fresh water resources. Israel, Algeria, Qatar, Saudi Arabia, Somalia, Tunisia, Yemen, Jordan, Kuwait, and the UAE are currently water scarce. Many of these are oil rich but water scarce. By 2025, Egypt, Oman, Ethiopia, Iran, Libya, Morocco, Syria are likely to be added to this list. Several wealthy Middle East nations depend on the desalination of marine water to fulfil their needs. 60% of desalination plants are concentrated in the Persian Gulf and some of these plants are nearly the size of a small town. Such plants are often targets for potential enemies. In the 1981 Gulf War, the Iraqis attacked Kuwait’s desalination plants and the Allies attacked Baghdad’s water supply. The total amount of stored water in dams across the globe is huge. As of April 2020, 58 713 dams were registered. (https://​icold-​cigb.org/​GB/​wor​ld_​r​egis​ter/​genera​l_​sy​nthe​sis. asp) Apart from this, there were a few lakhs of smaller ones to store and control fresh water. Apart from storing and producing hydropower they frequently obstruct the path of migrating aquatic organisms, causing floods downstream. With the passage of natural water through the salty watershed, the rivers collect salt along their paths and take it with them as they drain into the sea. This salt cargo contributed salinity to the oceans over a few billion years. The reservoirs behind dams have increased salt that is often used for irrigation. Hence the lands are turning saline slowly. But who owns the most prized drinking water in the world? Maybe Bydgoszcz, Poland! One morning in 1973, the residents got beer when they turned on the tap water. The damaged valve in a local brewery had diverted thousands of gallons of beer into the water supply. Water is at the core of sustainable development. It is crucial for crop yield, food produce, energy production, socio-​cultural development, climate change, and so forth. The human population growth curve shows a typical “J” shaped population growth. Even catastrophes such as famine and wars have very little effect on the inexorable increase in population. The Black Death episode in Europe resulted in a small downward spike in such a curve. The spells of loss of life in the 20th century also had very little effect. The global population exceeded six billion before the end of the 20th century. China and India collectively have more than 2.6 billion people. Against the 1996 projection of 9.5 billion, the projection for 2050 is 9 billion. The main reason for such a projection is declining fertility rates across the globe. The global population growth is approaching a plateau. The population battleground is controversial, and the subject of overpopulation sets the problems that come with a growing population against the miracles of modern technology. By the end of the 21st century, the global population is likely to be between 8 and 12 billion. 2 main factors are responsible: fertility and mortality. Fertility depends upon economics and human aspirations. The nations’ development and population growth are directly linked. Developed countries in the North have a lower fertility rate than the less developed nations in the South. Technologically advanced societies realize that more children are likely to decrease their standards of living while the developing world thinks in terms of the large workforce to carry out low technology based farming activities. With improved sanitation facilities, nutrients, and medical facilities, mortality has drastically dropped in developing nations. According to Thomas Malthus, the rate of reproduction

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tends to fall in line with economic progress. Demographic transition through the four stages exhibits stabilization of population growth in developed countries. Most of the developed nations have undergone a complete demographic transition. Currently, they have very slow population growth. Several countries exhibit negative growth rates. China is like to achieve zero population growth by 2055 and India by 2070. Many developing nations will comprise an increasing proportion of the world population. Even if they emulate China and India, the transition will not occur overnight but will take several decades. The UN population program follows a methodology that depends on age, sex, natality, mortality, dispersion, and socioeconomic factors. There is always a human price for approaching limits to growth that is unevenly distributed. A few wealthy people come to own most of the means to ensure their continuous access to life’s necessities and amenities. The remainder of the population puts up with scarcity and suffers poverty and deprivation. The tropical rainforests of central Africa and the Amazon continue to be deforested due to cattle ranching, farming, and growing crops for fodder. Vast stretches of deforestation are sweeping Haiti, Madagascar, Indonesia leading to the washing away of soils and mudslides burying entire villages during the storms. Excessive demand for natural resources results in poverty. Often a proportion of the elite have access to indigenous resources and own most of the nation’s wealth. Poverty created by socio-​economic inequalities is getting worse day by day. According to World Bank 1.25 $ per day is the poverty line and nearly 1.4 billion people live at or below this poverty line. Many developing countries consider it to be 2 or 2.5 $ per day. This holds for self-​sufficient isolated rural communities that live off the local land and water resources. Between 1981 and 2005, China’s poverty rate dropped from 85% to 15.9%. This shows improved living standards for over 600 million people. The environmental dilemma is due to the imbalance between economies. Technology efficiently exploits the earth’s resources to meet the needs of more than 7.9 billion people. However, there are limitations in the planet’s capability for producing resources such as food, drugs, minerals, soil, water, and air, both in quantity and quality to sustain the population. The gap between a small fraction of people living well and a large proportion of people living below the poverty level is increasing. Professionally, this situation is termed ‘unsustainable’. The principal objective of environmental and economic policy is to ensure ‘sustainable’ and peaceful global civilization by striking a balance between our economies and earth’s resources. And this presents extraordinarily complex challenges. The term, ‘sustainable’ is often used as a feel-​good catchphrase to promote certain products and appease fears about the future. The public may be motivated to choose paper over plastics and reusable diapers, but people may fly personal jets in fundraising concerts to save the world. In 2007, Johan Rockstrom conceived of the notion of planetary boundaries, which was subsequently published in 2009 to explain the operational space for mankind to progress and sustain. These are known as ‘planetary boundaries’ that were grounded to the contemplation of the working and resilience of the Earth’s systems. Essentially, these are environmental limits for the safe activities of humans and serve as a basis for sustainability and policymaking. The nine planetary boundaries are climate change, biodiversity loss, depletion of stratospheric ozone, ocean acidification, biogeochemical cycles of nitrogen and phosphorus, land-​use change and deforestation, use of fresh water, the aerosol load of air, and chemical pollution. Human activity has resulted in the crossing of four out of these nine planetary boundaries, including climate change, biodiversity loss, land use and

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deforestation, and the alteration of biogeochemical cycles. A summary of the situation for 2015 is given in Table I-​1.2-​1. An environmental resource is anything from which one can meet their needs and desires. Of these, some are renewable while some are non-​ renewable. Sun, wind, water, and Table I-​1.2-​1 The planetary boundaries The 9 planetary boundaries To keep Earth hospitable, we need to live within 9 specific limits. Here's how we're doing in 2015 BOUNDARY

WHERE WE ARE TODAY

1. Climate change

Atmospheric concentrations of carbon dioxide at no more than 350 ppm

Carbon dioxide levels are at 400 ppm and climbing

2. Lost biodiversity as species become extinct

Maintain 90% of biodiversity

Biodiversity has dropped to 84% in parts of the world such as Africa

3. The addition of phosphorus, nitrogen (and other elements) to the world's crops and ecosystems

Worldwide use per year of about 11 teragrams (Tg) of phosphorus and 62 Tg of nitrogen

Up to about 22 Tg per year of phosphorus and 150 Tg of nitrogen

4. Deforestation and other land use changes

Maintain 75% of the planet's original forests

Down to 62%

5. Emission of aerosols (microscopic particles) into the atmosphere that affect climate and living organisms

Global boundary unknown, but regional effects (such as on the South Asian Monsoon) occur when Aerosol Optical Depth (ACID) is more than 0.25

Up to 0.30 AOD over South Asia, but probably well inside (or below) the boundary over most of the globe

6. Stratospheric ozone depletion

Less than 5% below pre-​ industrial level of about 290 Dobson Units (DU)

Still safely inside the boundary except over Antarctica during spring, when levels drop to 200 DU

7. Ocean acidification

When the oceans become acidic enough that the minerals sea creatures need to make shells, such as aragonite, begin to dissolve

Still within the boundary, which won't be crossed if we can stay within the climate boundary of 350ppm of Co2 in the atmosphere

8. Freshwater use

Can use up to 4000km3 of freshwater a year

We use around 2600 km3 of freshwater per year

9. Dumping of organic pollutants, radioactive materials nanomaterials,micro-​ plastics, and other novel or man-​made substances into the world's environment

Unknown

Unknown

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vegetation are renewable but fossil fuels, and minerals are not. Soil, aquifers, and clean air are partially renewable. In an ecosystem, the maximum number of a given species that can be supported by the environment for a long time without permanent impairment of its productivity is called its ‘carrying capacity’. In 1968, Garrett Hardin applied the concept of ‘commons’ to environmental policy in his essay ‘Tragedy of the Commons’. According to him, judicious management of a village’s commons benefits all users. But unchecked use and exploitation cause a dilemma. Any desire to maximize individual wealth ultimately results in the end of the total commons, for example, through overgrazing. His principle is very much applicable today when we have moved towards environmental problems in less than 300 years. We were always at the mercy of nature and natural threats such as storms, floods, volcanoes, hurricanes, quakes, and the like. Science and technological advancements, as well as early prediction, have resulted in a considerable reduction in environmental damage, however, such advancements have also created their own threats and depleted environmental resources. One of the ‘commons,’ is air and it is suffering from automobile pollution. Stringent regulation can considerably enhance air quality. Some scientists claim that banning the use of leaded petrol could serve as an effective health measure. Despite stricter regulations, some countries have very high ecological footprints and pollutant discharge. Few countries have disregarded the importance of environmental quality and are trading environmental quality for economic growth. Technophiles believe that new technology is the solution to all issues. Conversely, the technophobes lack any such faith and point out countless problems that are a result of technological advancement. The Unabomber, Ted Kaczynski used booby-​ trapped bombs to punish people promoting technology. Talking about the environment is easy and common but doing anything about the environment is unlikely. Such a situation is referred to as ‘environmental schizophrenia’ by Mark Sagoff. It is quite common to witness people and, indeed leaders, traveling in private jets to talk about the environment. Another instance is when Walt Disney Enterprises was allowed by the United States Forest Service in 1969 to develop a ski resort in the wilderness of Mineral King Valley. For framing policy for the future, policymakers need to identify the adverse impacts of the current trend. In ecology, as the population grows, the supply of food, water, and other essentials fails to meet the needs of the species. Individuals can migrate or die if they fail to cope with the changing environment. In economics, supply becomes less with growing demands. Prices increase, scarcity grows, and more and more people fail to afford the minimum standard of living. This results in poverty and low life expectancy. Going back, the population was less than 300 million during the Roman Empire. Even at the beginning of the 20th century, it was not yet one million. In only 80 years the population reached two billion and presently over seven billion. The UN has projected a figure of nine billion by 2050 representing a growth rate of 1.02% and a doubling time of 50 years. Thomas Robert Malthus examined the census data and published ‘An Essay on the Principle of Population.’ in 1798. Thomas Robert Malthus also mentioned that the growing population was in geometric progression while resources were in arithmetic progression. Hence any attempt to improve the situation by increasing incomes or by increasing crop yield becomes fruitless as the extra is utilized by the growing population. Malthus was heavily criticized and penalized for his concept but has profoundly influenced socio-​economists and environmentalists. Before Malthus, many economists favored a high fertility rate as it increases the number of workers to raise a country’s gross economic yield. Even Paul Ehrlich in his ‘The Population Bomb ‘referred to the death of millions of people due to 8

The Genesis of Environmental Muddle

starvation and disease from overpopulation. In 1972, the Club of Rome published ‘The Limits to Growth’. Modern human population growth is hugely based on resources like potable water, cropland, gasoline, and so forth, which proves to be unsustainable. Even with such advancements, agricultural yield could not keep pace with the growing population. The problem is augmented by drought, heatwaves, erosion, and the like. In the 1970s James Lovelock proposed the ‘Gaia hypothesis’ in which Earth’s life system operates as if it were a single organism or self-​regulating living system. Gaia was an ancient Greek Goddess who protected life on Earth. He stated that life has considerably changed the planetary conditions. Earth’s biosphere acts as a self-​organizing system in such a way as to maintain its systems in a state of equilibrium that is suitable for life. Lovelock proponents see Earth as one unified organism that is consciously manipulating global processes to create conditions conducive to life. Many scientists noted several processes that maintain homeostasis. Take, for example, the increase in CO2 that boosts plant growth and that in turn extracts the atmospheric GHG. According to Lovelock, the Earth’s surface temperature has been relatively constant over time although solar output has increased by 25–​30%. Likewise, the salinity of the oceans also remained constant for a long period. He believed that both biological and geological processes have interacted well to maintain such equilibrium. In his book, ‘The Revenge of Gaia’ he appeared to be a strong proponent of nuclear power. He believed that nuclear power only was a practical technology to meet the rising energy demands along with reducing global warming. According to him, the global organism is sick at present and drastic action needs to be taken. Environment and resources are intimately interrelated and interdependent and hence energy resources become imperative. Over the years several policymakers have been promoting renewable energy resources like solar energy. Their promotion of renewable energy as benign technology with little or no harmful effect is another challenge that we are faced with. One of the greatest problems that we confront is the large use of land compared to that which is used by the conventional forms such as fossil fuel-​based or nuclear power plants. A study revealed that solar power consumes 300 times more land than conventional sources to yield just 1kilowatt (kW) of energy. This additional requirement of land is a problem for many countries with a high population burden. Take, for example, the SunZia electrical transmission line in the USA. Even in the USA, this line would connect the solar and wind power projects in New Mexico with cities in Arizona. Such lines would disrupt grasslands, wildlife habitats, and so forth, potentially endangering many species. Power plants require water for cooling condensers, and this poses a challenge where the groundwater level is rapidly falling. In such circumstances, air-​cooled condensers have a promising market and seem to solve the problem, even though the environmental impacts and high control costs continue to persist. Oil is more expensive to extract and hence will become increasingly expensive. Many consumers were elated when oil prices dropped by more than 50% in 2009 from 2008. But energy experts opined that such a drop was for the wrong reasons. The price drop was not for increasing supply or improved energy efficiency but for reduced demand that happened due to the collapse of the global economy. The large American oil companies are often blamed by the US politicians for the soaring gas prices in the USA. Those days have ended. Currently, Organization of the Petroleum Exporting Countries (OPEC) has the authority to maneuver the supply as well as the price of crude oil and US oil companies have little to say. Imposing a high gasoline tax would reduce consumption and hence extend the lifespan of the proved reserves. The revenue collected could then be used in funding alternative energy sources. But the public is unwilling to accept short-​term pain 9

The Genesis of Environmental Muddle

to avert a long-​term catastrophe. Perhaps ‘risk communication’ might be of help to explain to the people about this expensive pain. Natural gas is probably the cleanest, cheapest, and most profuse form of fossil fuel, mostly tapped by hydraulic fracturing, a technology used since the early 1950s. Environmentalists claim that such technology pollutes groundwater, but many installations have shown no potential threats to the underlying groundwater. Such conflicting situations might lead us towards more detrimental alternatives such as dependence on coal. What is needed is a comprehensive and sound energy policy including a strategic implementation plan backed by reliable and scientific facts on environmental impacts. As per the WHO, over one billion urban people are exposed to hazardous pollutants. The US EPA reported indoor pollution to be two to five times more than outdoor pollution. 17% of four million commercial buildings in the USA are affected by the sick building syndrome (SBD) that can be correlated to nausea, dizziness, sneezing, coughing, fatigue, and the like. Nearly 70 000 synthetic chemicals are commercially used, the effect of many of which is not clearly understood. The automobile sector contributes 50% of the air pollution. The impact of pollutants depends on their chemical concentrations, toxicity, and persistence in the environment. Ecologists define environmental impact as a product of population, resource use per capita, and pollution per unit resource. Environmental impact =​Population × resource use per capita × pollution per unit resource

1.3  Towards a Solution We need to understand that our rate of consumption of environmental resources must not exceed its supply if it is to be sustainable. We must encourage public cooperation and participation in solving environmental challenges and also in decision making. People must have the right to review procedures and challenge public decisions. Several movements and principles have triggered antipollution movements which cannot be disregarded. The precautionary principle should be followed in case any activity is predicted to cause threats. The public should enjoy the right to environmental information from public authorities. People or groups that affect the global commons such as air, water, land, and so on, must bear a proportionate share of the expenses to avert or ameliorate damage as per the polluter pays principle. The UN General Assembly, 2010 recognized that access to between 50 to 100 liters of water per capita per day was required to meet basic needs. Water relates to sanitation and hygiene issues as well. The water source should be within 1 km of the house with time for collection not to exceed 30 minutes. Major international initiatives include: The United Nations Water Conference, 1977, The International Drinking Water Supply and Sanitation Decade (1981–​ 1990), The International Conference on Water and the Environment, 1992, The Rio Summit, 1992. The decade 2005–​2015 was declared as the Water for life International Decade for Action. World Water Day and World Toilet Day were observed on 22 March and 19 November respectively. A 2012 WHO study reported that every US dollar investment on improved sanitation gives USD 5.5 average global economic return. The International Decade for Action: Water for Sustainable Development initiated in 2018 will end in 2028 and is hopeful of addressing some of the water-​related challenges. Desalination of ocean water was often suggested as a solution, but the cost of a very large plant can vary between USD 3–​5 billion for its initial construction. The process 10

The Genesis of Environmental Muddle

is energy intensive. Currently, desalination accounts for less than 1% of the human water supply. A relatively cheaper technology is reverse osmosis, but it experiences the problem of clogging. New technologies hopefully can solve the problem. Conventionally, irrigation of crops through furrowing of water or flooding is practiced. Such irrigation consumes 60% of fresh water. This accounts for a loss of water as the plants can absorb very little of such water. The Israeli farmers pioneered a method of drip irrigation that is effective in conserving water. The system comprises of a network of perforated plastic tubing placed on or below the soil surface. This system effectively delivers water to the plant roots directly, thus minimizing evaporative loss and runoff. Drip irrigation delivers up to 95% of the water to the plant. Water used in agriculture, industries, and the urban system is inefficient. Water is being lost through leaky pipes, percolation, evaporation, and so forth. In some areas, farmers are given special rights to make more money by selling recycled waters to the urban areas. This acts as an incentive to conserve and treat water. Some companies are transporting fresh water through shipments to places with water scarcity. Transport in huge polyurethane bags is cheaper than using oil tankers. But such a large bag capable of withstanding the strain of a long voyage seems to be challenging. Water is still relatively cheap in most of the world, but water exploration may face a similar problem to oil exploration soon. The main focus of the United Nations Global Population Policy is improving the standard of living by reducing poverty. Factors like increases in earnings, health improvement, and greater life spans result in population increases. As poverty is reduced and family planning becomes available, natality will decrease, and life span will increase. The UN Millenium Development Goals (MDGs) had set eight objectives to tackle poverty in all its dimensions through a 15-​year time-​bound program (discussed in Section C).The policy is holistic, encouraging social, economic, and environmental conditions similar to the developed nations. The environmental issues confronting us raise questions about our place in nature, our values, our lifestyle, and our interactions with other living and non-​living environments. Though environmental policies form the basis of answers to these kinds of questions, we also should have values to overcome these issues justifiably. Determining the important things in a non-​human environment, as well as the extent to which they are valuable are key to environmental ethics. And how we must consider these values in pondering about principles and actions are underlined in the environmental policies and laws.

1.3.1  Environmental Ethics Practically all new advances and technology cause both beneficial and adverse impacts. The same fire which we use to cook our food and produce our steel can burn and devastate stretches of land, forests, and cities. The nuclear energy used to generate electricity can also be used as weapons. Hence, genetic engineering, nanotechnology, and artificial intelligence can do both good and bad. Environmental ethics come into play here helping us to identify good and bad, moral duty and obligation. Environmental ethics surfaced during the early 1970s, in response to the work of Rachel Carson’s Silent Spring (1962) and the first Earth Day event in 1970 when environmentalists began urging philosophers to think about the philosophical facets of environmental problems. Even Paul Ehrlich’s ‘The Population Bomb’ 1968 also warned us about the overwhelming impacts of the spiraling human population on Earth’s resources. It considers the moral relationships between 11

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humanity and the non-​human world. Environmental ethics apply noteworthy influence on a great number of disciplines such as ecology, theology, law, economics, sociology, geography, in connection with environmental sustainability and human well-​being. It expands the boundaries of ethics to incorporate nature, taking nature’s sustainability into account to guarantee well-​being. It emphasizes the prospect of identifying the human ego with the environment and means greater ecological respect. So, policymakers need to keep in mind whether to place intrinsic value on all living creatures or to the welfare of mankind solely. The former emphasizes the economic cost and benefits related to meeting human needs and desires. In the Stone Age, ethics was seen in possessing empathy for kin and allies to assist survival. Hunger, predators, and enemies could elicit emotional responses that often led to the killing of others and also animals. Religion and ideologies were often used to convey the total range of possible notions about social order. Religious thought and belief is an efficient cognitive tool for expressing emotions and feelings. Any natural event was regarded as actions of gods and spirits. The social rules were based on people-​to-​people and people-​to-​ spirit relationships. Plato and Aristotle never denied the role of gods but described ethics in terms of the logic of human needs. According to them, virtue is the key to a well-​lived life. In 1995, Ken Saro-​Wiwa and eight other Ogoni activists were executed by the military government, and this brought outrage across the globe. Their deaths highlighted the sufferings of the marginalized people living in the oil-​rich delta of the Niger River. Ken Saro-​Wiwa fought against the environmental degradation of his motherland that was turning into a wasteland. Oil spills and pollutants are still spewed today that degrade the land and waterways, endangering people’s health and livelihoods. Nothing changed much even after the civilian government took over. Often, surplus funds are diverted for military use at the expense of economic development and environmental protection. Three key factors in Africa’s environmental crisis have been identified that adversely impact all the environmental components: poverty and ignorance, misused science and technology, and political conflicts including international economic pressure. Stretches of land were cleared for mechanized agriculture and industrial use that results in severe erosion, increased turbidity of streams and rivers, deluge, deforestation, and grassland degradation. The ecological and economic importance was hardly realized. Such high crop yielding patterns should be avoided as they are short-​term, intensive, and over-​use lands. Instead, improving subsistence economies by channeling the crop yield to local markets and reducing industrial-​scale agriculture should be promoted. Several waste management companies accept toxic waste from one country and send the shipment of waste to dispose of it in Africa. Industrialized nations often practise such options to avoid expensive treatments and strict legal requirements. Noticeably, policy initiatives are needed as solutions to many of the environmental crises and practices across the globe. Several ideas and concepts are being put forward that could reverse the impacts of environmental degradations in many ways. Take, for example, the reversal of global warming by fertilizing the ocean with iron or atmospheric injecting of certain chemicals or launching reflecting mirrors into the space for deflecting sunlight from the earth. Critics against such innovative proposals are of the opinion that such processes could overpower our capacity to effectively rise above the damaging planetary environmental effect. Although UNEP is trying hard, it has not yet been able to be successful in preventing threats to the global commons. Sustainability is one of the core concepts of environmental ethics. Agenda 21 of UNCED 1992 specifies the elements of an ethical policy that would enable the world to work efficiently for global sustainability. Lester Brown, the founder of the Worldwatch 12

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Institute and Earth Policy Institute, is of the opinion that the sustainable objectives need to be met by 2030. Al Gore in his speech of Nobel acceptance warned us about climate change impacts such as stronger storms in the Atlantic and the Pacific, urban floods, unprecedented wildfires, migration of climate refugees, farmers losing their lands and livelihoods, submergence of low lying areas, evacuations, and so forth. With time, the potential consequences of ignoring this challenge are increasing and at some point, the situation will become unsustainable and unrecoverable. Since we still have time, we need to choose our fate. We need to travel far but as quickly as possible. That means we need to adopt policies and regulations, based on scientific facts and findings, values and principles, negotiated through proper treaties, and implemented through legislation that involves and considers all levels of society. In the late 1960s, several environmental initiatives were taken. Often realistic environmental solutions are watered down and given alluring terms like ‘sustainable’ and ‘eco-​ friendly.’ A policy should point towards a clearer solution so that it leads to the healing of the earth and in turn the process of healing us. Ethics can be considered as a philosophy that leads us to follow the righteous path for the greater interest of society as a whole. It tells us what is right and what is wrong at the ecological level and is more of a moral binding than legal compulsion. Hence it depends upon an individual demonstrating dedication and willingness. Modern ethics mostly evolved in the later part of the 20th century when burgeoning population, resource exploitation, and pollution drew public attention. Environmental ethics can thus be defined as that ‘which reconstructs the essential types of arguments that can be made for protecting natural entities and the sustainable use of natural resources.’ Environmental ethics holds three views: the libertarian view, the ecological view, and the conservation view. The libertarian view is related to the principle of civil society. The ecological view is based on ecological functioning that holds that the Earth has its own system of functioning and hence nature has its own system of resilience, considering mankind to be a part of the whole system. The conservation view focuses on environmental works in terms of their utility to humans. Based on different viewpoints, environmental ethics can be anthropocentric, physiocentric, or ecocentric. In an anthropocentric view, humans are of prime importance and supreme and all other living organisms are nothing but accessories to assist the survival of mankind. This human-​ centered philosophy states that only humans have intrinsic value. Many examples of western ethics are anthropocentric and the roots of this can be found in the creation story, narrated in the book of Genesis in the Judeo-​Christian Bible. This way of thinking is also reflected in Aristotle’s ‘Politics’ and Immanuel Kant’s philosophy. In contrast, ecocentrism identifies with a nature-​centric system. It extends inherent value to all living organisms irrespective of their utility to mankind. It believes humans to be accountable to all forms of life on earth because it has a high cognitive ability and is the most consuming species of all. Most of the altered ecosystem is because of our ill-​treatment of nature. The ecological footprint is a result of human greed that has led to massive changes in nature’s balance that have led to the major crisis that we are facing at present. The eccentric approach was conceived by Aldo Leopold and focuses on the entire living world to strike an equilibrium between the ecosystem composition and processes. The term was also expressed in ‘deep ecology’ formulated by Arne Naess. Keeping a positive note, amongst all odds, global governments have made remarkable advancements in responding to ethical concerns for a healthy environment. A number of policies were instituted to raise a sense of accountability in institutions and corporations. 13

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Political corruption at all levels is a major factor, but ethical considerations can surely make a difference. The single most significant facet of environmental ethics is awareness, which can drive a reshaping of the policies that can affect the global ecosystems.

1.3.2  The Process of Framing Environmental Policy “The term policy encompasses a set of basic principles and associated guidelines, formulated and enforced by the governing body of an organization (governmental or private) to direct or limit its actions in pursuit of long-​term goals”. C.H. Eccleston, F March Environmental policies are based on principles and societal objectives. It is a government or organization’s measure relating to the impacts of human activities on the environment. Environmental policies are needed as we disregard environmental values while taking decisions. Since most of the environmental impacts are economic externalities, polluters do not usually bear the consequences of their actions. Also, we take natural resources as infinite and therefore they are underpriced. Environmental policies are designed to safeguard and improve both the natural and synthetic environment for the good of humanity. It involves a philosophy for coping with the challenges to human well-​being, lifestyles, and even survival. The policy must focus on issues, awareness, and enforcement. Sustainable environmental policies are extremely complex by nature and difficult to comprehend, protect and implement. But such goals strive to solve many global, regional, and local issues. The earliest sewerage systems were built in Mohenjo-​daro some 4500 years ago and in a Roman civilization some 2700 years ago and these reflect public policies towards environmental protection. Greece had laws to govern forest harvesting 2300 years ago. Europe’s first sewage system on a large scale was developed in Paris during the 17th century. The enactment of the Clean Air Act of 1956 was a historical step in response to the London smog in 1952. The development of environmental policy in the USA started with the environmental movements against mining, industrialization, and agricultural practices that affected the quality of the environment. The USA was the first country to promulgate a comprehensive environmental policy and the National Environmental Policy Act 1969 (NEPA). The NEPA has also inspired the world to frame various policies. It was involved in funding, developing, and enforcing major projects and programs. Britain’s Peter Walker was the world’s first minister of the environment in 1970. In Europe, during the first meeting of the Council of Environmental Ministers, the first Environmental Action Programme was adopted by various national government representatives in 1973 following the Stockholm Conference of 1972. Formulating environmental policies involves 3 broad steps: - A process defining goals and priorities, - A program or schedule of initiatives and expenditures - A means of monitoring the progress and evaluation of impacts. A sound and well-​conceived policy comprises of the background intent, scope, and applicability of the policy, a clear definition of the terms and concepts stated in the policy document, a statement of purpose of a specific policy, specification of laws and regulation associated with a particular policy, the enforcement date of the policy, a statement of the

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responsible entities responsible for carrying out the various aspects of the policy. The policy should integrate well with existing cultures, customs, and lifestyles and also be in tune with existing laws and with current negotiations. Practical policies should be flexible enough to accommodate geographical, political, and social changes over time. Policies should be heuristic and repetitive. ‘Heuristic’ relates to methods that are useful in solving problems. Years ago, a lack of scientific knowledge and ignorance on the part of policymakers and politicians could be the explanation for the introduction of questionable technologies whose potential impacts were not clearly understood. Presently, battles are fought in the courtroom or on media platforms. There is enormous progress in the field of science and technology, yet the environmental headlines reflect endless and complex debates. Often, the rational process is substituted by money, politics, and ideology-​driven demagogues. An immense gap exists between human concerns and the reality of the human condition. A partial challenge will always persist that environmental policies will not be able to solve the deep-​rooted problems of overpopulation, political and economic corruption, institutional corruption, and conflicting societal situations. Whatever it may be, the standard of living depends on a well-​managed and sustainable natural and social environment to ensure an adequate supply of basic needs. So, policies that could be enabling to achieve values of social and economic equity and that could ascertain basic human rights, are the need of the hour. Many policies tend to remain unchanged for a long time and suddenly undergo a rapid and abrupt change in response to political factors or public opinion. This is often referred to as the ‘punctuated equilibrium’ theory in policy development and is analogous to the theory of punctuated equilibrium to explain the biological theory of evolution. A change in a policy can be in response to changes in the societal perspectives of government, economy, and environment. Diverging interests existing in society also affect environmental policy greatly. An individualist believes that nature can practically absorb the impacts thrown at her. On the contrary, an egalitarian believes nature to be extremely fragile and hence suggests a synchronized effort at the local, and grassroots level to protect it. While a hierarchist believes in the stability of nature up to certain limits and hence its top-​down regulation, a fatalist takes nature to be unpredictable and has no clarity in principles. The question arises: Is developing environmental policies that will permit equitable development without compromising the very planet we live in, possible? In our hearts, we do believe that sound environmental policies can make a significant difference in decreasing the current threats. Over the last five decades, the protection of our global environment has emerged as one of the greatest challenges in the field of international relations. Estimates show that there are presently about 900 international agreements and over 1000 bilateral treaties, Conventions, Protocols, and amendments devoted exclusively or in significant part to addressing environmental issues. Governments have endorsed multiple action plans. Take, for example, Agenda 21. The outcome of all of these collectively is a progressively more complex body of international environmental legislation and policies. Unfortunately, all of these agreements, action plans, policies, and instruments haven’t been able to reverse the environmental deterioration globally. Practically every ecological indicator is at its worst since the 1992 Rio Conference. The temperature continues to rise to make every coming year the warmest year as we move on, the ozone layer is depleting, species are facing extinction and crashing, toxic wastes are accumulating and piling, forests are degrading, and so forth. 15

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Negotiations on the global platform have become ever important in tackling global issues and have gained the limelight in the past few decades. The term environment refers to surroundings or nature, which lacks any predefined boundary. The environment is the source of resources that is indispensable for our sustenance. With the improvement of living standards, the term, development has a close tie with the environment. The environment is multidimensional and multifaceted, but so are its problems. Despite all the efforts in making action plans and agreements, there still exist significant gaps. This might be because the development and evolution of the international environmental policy framework are not systematic and strategic. These are an assembly of numerous agreements, each of which deals discreetly with relevant issues and concerns for the environment. On top of these binding treaties exist various broad nonbinding declarations or resolutions. Many of the new and complicated issues are yet to draw global attention. Together they all compound the policy gaps that need identification and addressing. When trade is in dispute with the environment, the environment is always at a disadvantage. The set of rules that governs the fortification of the environment lacks clarity as compared to say the trade rules of WTO. Binding environmental principles would assist in achieving a more sensible amalgamation of safeguarding the environment with the social goals of trade. The binding principles could assist in launching minimum environmental standards for both the private and public sectors through the synchronization of national environmental legislation. A superpower like the USA has unfailingly opposed the progress of a general environmental contract on the grounds that such a contract would fail to fortify the environment as developing nations would continue to progress at the expense of the environment in the name of sovereignty. The emerging nations lack both financial resources and human resources to take part in any contemporary negotiations successfully. The USA is one of the few to oppose the precautionary principles. They maintained that cost-​effective options should not be stopped by the use of scientific uncertainty to address probable environmental threats. They relied on evidence of environmental damage to ensure control measures. To the contrary, European nations are advocating a strong regulatory approach based on the precautionary principle. Let’s take the example of GMOs and their biosafety issues, which the USA was using to challenge the precautionary approach of Europe in the World Trade Organization (WTO). In the present context, as well as for the coming years, climate change is one of the most critical issues. After the United Nations Framework Convention on Climate Change (UNFCCC), the Conference of Parties (COP) 3, i.e., the Kyoto Protocol required binding commitments from the Annex I nations to decrease 5% of the 1990 GHG emissions by 2012 and develop trading systems to deal with carbon emissions. This implied the trading of tonnes of carbon emissions in the same way as other commodities across the globe. COP 3 left several crucial issues to be considered in the future. The problems of carbon sequestration by forests and agricultural means, trading with carbon credits, monitoring, and the implementation of such systems were all left to be taken up by future deals, namely, getting the correct rules for a ‘dealing with climate regime’. If we look into the environmental agreements, we see that a handful of these has truly addressed the issue of imposing liability and requiring compensation for damage inflicted on the environment. Even the role model for environmental agreements, the Montreal Protocol does not have a provision for holding Parties accountable for ozone depletion, nor does it provide for compensation to the people or nations that suffer the most from ozone depletion. Even if the Basel Convention speaks 16

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about damage from transboundary shipments, the Parties to the Basel Convention are deadlocked about making the concept of liability functional. Given the extent of damage we have done to the environment, the present situation is more in need of emphasis on restoration of the environment than protection. Restoration forms a dynamic component of environmental management and should play a significant role in future environmental deals. Take, for example, dam removal, the reintroduction of endangered species, restoration of mangroves and coastal ecosystems, and so forth. Even though we have a Protocol in place to eliminate the ‘dirty dozen,’ these chemicals do persist, accumulate, and magnify up the food chain. Persistent organic pollutants (POPs) are carcinogens and endocrine disruptors that need serious consideration. The coming century is going to face the issue of access to fresh water, the essential natural resource. Human wellbeing, the environment, and even the national security of states depend on access to adequate fresh water. Globally, we are using 9,087 billion cubic meters of water annually. With the population expected to double in a few decades, the consumption and wastage of water are increasing alarmingly, and the global water situation is worrying. Water is unevenly distributed, and over 8% of the population is already facing severe water shortages. This might accelerate international conflicts, threatening national security. To move towards sustainability, a balance between the population and their consumption needs to be achieved. The Summit at Cairo points towards a plan to limit population growth, but the large-​scale consumers are yet to think seriously about consumption. Europe has already adopted green taxes, ecolabelling, and ‘take-​back’ laws for greening the practice of consumption. Integrating environmental protection into the global economy is essential to sustainable development. Hence the issues related to the environment should be considered coherently with trade, investment, and finance. Many of the institutions like the World Bank, IMF, and the WRI have environmental units and have embraced new policies and increased staff to work in the field of environment. The international financial institutions have not quite reconsidered the environmental approach and thus fall behind in reducing their harmful impact on the global environment. Several environmentalists have shown that the international financial institutions (IFIs) have often taken advantage of the developing nations with their conditions for credit. This in turn increased the pressure on natural resource exploitation like timber harvesting, mining, and fishery, with severe consequences. Any adjustments made on such loan packages stack added debt onto previously substantially burdened countries. Countries like the USA, Mexico, and Canada signed the North American Free Trade Agreement (NAFTA) that had avoided dealing with environmental and labor aspects. Environmentalists, however, pressurized them to negotiate an environmental side agreement. The government under Bill Clinton promised the greening of the WTO but ultimately failed. Environmental issues were largely ignored. Trade liberalization and investment are seen as positive goals. The question is whether such liberalization can improve the quality of human life and wellbeing! International environmental agreements need to be respected. The institutions need to stop funding projects that exacerbate the issues addressed by the environmental agencies or are inconsistent with international environmental agreements. Investment rights and privileges need to be balanced. Many transnational corporations with high environmental standards function in developing countries with lower standards. They simply follow the standards of the local companies, which are lower than what they practise at home. Such adherence raises serious queries on fairness and competitiveness. The markets for environmental investments are huge and on the rise. 17

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Kyoto compliance, for example, has opened avenues for renewable operations. Transference of green technologies to emerging nations should be a priority for the rich and developed countries. Perhaps the most promising development in safeguarding the environment is the rise of the global environmental movement. The non-​governmental organizations (NGOs) have increased in number. They can collect information, build, and ramify networks, and draw the attention of policymakers to address environmental issues. The NGOs are supported by the boom in communication technology that provides a platform for managing such networks, sharing information and experience, coordinating lobbying efforts. The NGOs often represent the individuals’ opinions and approaches in protecting the environment. Earlier, only the States had the right to participate in framing, interpreting, and enacting international law. Today many non-​state players shoulder eminence like the Multinational Corporations (MNCs) and NGOs. These organizations form their alliances to take part in international environmental affairs. They acted by influencing national governments earlier, but now they actively take part in negotiations. They represent themselves as observers. These organizations insist on environmental matters more than diplomats and hence move towards the democratization of international environmental laws that might function to the advantage of the environment. Among the MNCs and the NGOs, the question is whether the true environmental groups would be able to compete in any deals if monetary contributions become the key to access and influence decisions politically. Integrating human rights and the environment could present an opportunity to have better protection of the environment. Fundamentally, human rights entitle us to a minimum amount of air, water, and land free from pollution, a stable climatic regime, and a conducive environment to sustain life generation after generation. Hence the relationship is natural and real. It is often observed that the environment is at its worst where human rights are abused. Despite all efforts at international conferences, it lacks effectiveness. The 1990s witnessed a unique and incessant drive towards the global economy with no acknowledgment for sustainable development. Globalization was backed by organizations and guidelines to remove trade barriers in terms of goods, services, and capital. Hardly any government has the will and managed the economic tide actively. To prevent, mitigate damage, and protect the environment, we are left with international and national agreements as a principal approach towards resolving many environmental issues, including disputes, discontent, and transboundary concerns with variable outcomes, including successes and failures. But our endeavor must go on. A fundamental requirement to find successful solutions to many of the multifaceted environmental issues involves designing a novel and effective approach to the process of negotiation based on justifiable principles considering the backdrop of negotiation, the stakeholders in the negotiation, the selection of the right time, the mediators, catalysts and their effectiveness, the requirement of each of these Parties or players, making the provisions to cater to the need and demands of the majority of the players, the player’s understanding of demands and accountability. Any successful negotiation must win the backing of the key players who march forward, defying all political differences, and rise above their self-​interest to focus only on the benefit of the environment. International Environmental Agreements (IEA) refers to signed treaties aiming to safeguard the environment and to control the human impact on the environment. For a treaty to become international it should be intergovernmental. It may be bilateral involving two governments or multilateral involving more

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than two governments. The agreements are environmental when they address issues like nature, species, pollution (marine, fresh water, land, and air), climate, energy, weapons, and the like. International laws often govern the IEAs and are binding after they come into force. But this does not ensure compliance. On the other hand, action plans, directives, and commissions are examples of non-​binding measures. The United Nations maintains the most comprehensive list of international instruments and agreements that create mutual obligations for all its Parties throughout the globe. While we go through the pages of this book, we shall see that these international instruments go by a variety of names and we reiterate terms such as Conventions, Protocols, agreements, conferences, declarations, memoranda of understanding, and such like. These terms are often used in world diplomacy by various countries and organizations, including the United Nations. Their usage has been exciting since the beginning of human civilization and is often confusing. A conference refers to an assembly for a comparatively longer period with a one-​ way delivery from leading experts representing scientists, technocrats, bureaucrats, and diplomats, who are thought leaders on a theme chosen for deliberation. It involves several talks by prominent speakers. A conference may involve concurrent events, namely, multiple events in various locations simultaneously. A convention is a meeting happening before treaties are produced and generally means an international agreement. At times, when people from different nations convene, they usually assemble to discuss and decide on an issue before its publication in a legal and binding document. It leads to a formal agreement between the states about the details and actions relating to a specific topic, involving multiple nations. For example, the UNFCCC. A protocol is usually separate but related to another parent treaty. It is primarily a legally binding document individually negotiated, signed, and ratified by the diplomats allowing changes and amendments to the original agreement/​Convention. It is a supplementary legal instrument added to the main agreement. It might bring in additional standards and restrictions. It has its Parties and forms separate privileges and obligations. A Protocol may deal with a relevant topic in the original agreement or report novel emerging issues and complement up a process of action and implementation. It may add further links to the parent treaty. A Protocol is discretionary since it does not oblige the states that have already ratified the original agreement to be bound by it. The individual states have to ratify and consent to a Protocol. An example of this is the Kyoto Protocol to UNFCCC. Adoption is the first point of establishing an agreement when the states can start signing. Adoption is an official action by which the arrangement and content of the proposed agreement are established. The treaties under negotiation are approved by a resolution of a representative body of the organization. For example, the United Nations General Assembly is the representative organ of the United Nations. A signature is the preliminary endorsement to an agreement by the state and does not mean a legally binding obligation. It just exhibits the intention of the country to scrutinize, review, consider and discuss the agreement domestically for further consideration for ratification. The states participate initially but are technically not a Party to the Convention unless they ratify it. The signatories are not legally obliged to fulfill the commitments. A ratification is an act of the state signifying an agreement to be legally bound by the terms. To ratify, the states add their signatures and fulfill their national judicial requirements. The national organ, for example, the parliament or the government after following its

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constitutional processes, announces its verdict formally to become a Party to the agreement. An official letter referring to the decision signed by a responsible authority of the country is prepared, sealed, and deposited as an instrument of ratification. For example, the USA ratified the UNFCCC but did not ratify the Kyoto Protocol. A deposit refers to a written instrument or tool. It becomes the official proof of the state’s consent to be bound. The deposit is submitted in the trusteeship of a depository after the conclusion of the agreement. Depository is the place or facility where the deposit is made. It can be organizations, institutions, banks and others. Entry into force refers to the formal implementation of the treaty and is often mentioned in the provisions that refer to a specified date after ratification by a minimum of a fixed number of states.

1.3.2.1  Factors Triggering the Formulation of Environmental Policies We evidence the existence of public policies to protect environment even in the ancient civilization. The earliest sewers were present few thousand years ago in the Indus Valley and Roman civilization. Natural resources were always taken as infinite and for granted. It seemed everyone’s right to use it for individual benefit and is referred as ‘commons’. But such irrational and unlimited uses by individuals are based on self-​interest and leads to resource depletion. Individuals may reap short-​term benefit, but the community bears the burden of depletion on a long-​term. It was in the late 19th century that the impacts of industrialization and urbanization began to threaten human health that led the governments to enact additional rules and regulation to safeguard natural environments and wildlife. Earlier environmental values were never considered in decision making process as environmental impacts are economic externalities. A polluter never paid for his actions and natural resources were often underpriced until some people realized. 1.3.2.1.1  THE ENVIRONMENTAL MOVEMENTS

The unrelenting human attack on the environment has been compared to geological cataclysms in the distant past. The global extinction rate is a thousand times more than the natural incidence. If unimpeded, this attack might lead humanity to the brink of extinction. Once upon a time, people used to take a vacation off the Spanish Mediterranean coast. They learned about the discharge of untreated sewage along the Mediterranean Sea when the majority fell sick. Santa Monica Bay was a popular shooting spot for television series and the actors were paid extra for entering the polluted waters. Environmental movements started in the USA much before the US Congress enacted NEPA. The roots of such movements can be traced back to the early conservation movement in 1832. Henry David Thoreau was worried about Massachusetts wildlife, and he wrote ‘Walden; or Life in the Woods.’ To establish ‘national preserves’ of virgin forests he published ‘The Maine Woods’ in 1864. George Marsh published ‘Man and Nature’ to promote resource conservation. Ernst Haeckel coined the word ‘ecology’ in 1866. The US Congress set up the Yellowstone National Park in 1872. John Muir established the ‘Sierra Club’ in 1892 which is one of the most prominent environmental organizations and which advocated a more bio-​centric approach. Gifford Pinchot, the first chief of the U.S. Forest Service kept 125 million acres of federal lands for protection. The Native Bird Protection Society was established in 1923 in New Zealand. Aldo Leopold was pivotal in designating Gila 20

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National Forest in New Mexico in 1924. It was the first wilderness area of America. He was the pioneer of a land ethic where he suggested that humanity should transform themselves from conquerors of nature to citizens of nature as compiled in ‘A Sand County Almanac’. In the 1930s, vast parts of the southwest writhed under drought and under a series of environmental catastrophes that caused economic chaos and large-​scale migration from Oklahoma. President, Franklin Roosevelt created the Soil Conservation Service and the Agricultural Stabilization and Conservation Administration. In the early 1960s, the various types of environmentalism were given a political expression by establishing green politics based on our pillars of grassroots democracy, social justice, environmental protection, and nonviolence. The US witnessed the Santa Barbara oil spill and the Love Canal disaster in 1969 and 1970s respectively that polluted the water and the urban landscapes. ‘Silent Spring’ written by Rachel Carson in 1962 served as a warning against the use of pesticides like DDT. Major cities were given smog alerts and Lake Erie was declared dead. Above these was the decision to build a dam on the Colorado River that would deluge the Grand Canyon. The Sierra Club was founded and protested against such damming and published notices in both the New York Times and Washington Post. Finally, the proposal was withdrawn in 1968. The 1968 book ‘The Population Bomb’ by Paul Ehrlich caught people’s attention on the impact of exponential population growth on the environment. ‘The Limits to Growth,’ published in 1972 by the Club of Rome directed people’s attention towards increasing pressure on natural resources. The National Broadcasting Company’s news on the Cuyahoga River in Cleveland, Ohio captured public attention. The river was polluted so much with industrial waste that it caught fire in 1969.Although the USA led the world in preservation and conservation efforts, initiatives were seen in Europe and Oceania. A group of Swiss conservationists kept 14 000 hectares of land in the Swiss Alps as the First National Park of Europe. In India, worshipping nature and natural entities are normal religious practice and culture. Several plants, animals, and rivers are worshipped and find a place in mythology. The environmental movements in India date back to 1700 AD against the cutting of forests. A small group of religious sects called the Bishnoi’s, led by Sombaji, initiated this movement. Later it was further developed by Amrita Devi. The protest killed 363 Bishnoi people. The King, after learning of the protest, rushed to the village apologetically and declared the region as a protected area. The Chipko movement drew global attention to the environmental problems of the Alakananda catchment area where the villagers protested against deforestation by embracing the trees and hence the term ‘chipko,’ which means to hug. Based on non-​violence, the movement was led by Chandi Prasad Bhatt and Sunderlal Bahuguna. The participation of the village womenfolk was notable. A committee was set up to review the matter and finally ruled in favor of the villagers. The Appiko movement was also a forest-​based movement that focused on the rational use of the forest ecosphere in the Uttara Kannada district of Karnataka. The movement used different ways to generate awareness such as foot marches in the forest interior, folk dancing, street plays, and slide shows. One of the most famous ecological movements is the Silent Valley movement that finally led to the declaration of the Silent Valley National Park. The area is located on the Western Ghats that form a valley of the Kuntiputza River passing through the Mallapuram and Pallakad districts. The proposition was to build a 240 MW capacity hydel power plant. The area comprises dense rainforest with valuable rare, endemic plants and animals along with medicinal plants. Opponents deemed the project to be ecologically unviable and considered that it would jeopardize innumerable species of plants and animals. The tribal people of 21

The Genesis of Environmental Muddle

Singhbhum of Jharkhand protested against the Government of India (GOI) forest policy in 1982. The presence of shallow mud banks in the Wadge Bank of Kerala results in the surfacing of specific fish. Rising demands for shrimps began from Japan, and the USA, and these led to the mechanization of fishing in 1953 with the Indo-​Norwegian Project. On the other hand, traditional fishing with small non-​mechanized craft was left marginalized. The fish stocks dwindled and traditional fisherfolk faced problems. They felt the urgent need to consolidate themselves and started the Fisherfolk movement resulting in the formation of cooperatives. The Tehri Dam on the River Bhagirathi in Garhwal was projected to have a height of 260.5 m and was protested about on the grounds of seismic data that would lead to earthquakes and displacement of people in towns and villages. Led by Sunderlal Bahuguna, the movement continued from the 1980s until 2004. Perhaps the most controversial is the Narmada Bachao Andolan that centered on human rights. The movement was led by Medha Patkar and later joined by Baba Amte and Sunderlal Bahuguna. The Koel Karo Movement was against the local Karo hydel power project of 710 MW capacity which would result in the submergence of croplands and other lands along with displacement. The Chilka Bachao Movement is a grassroots movement that was able to prevent the big commercial houses from entering the prawn aquaculture that would otherwise have threatened the lives of the poor. The Baliapal movement was a fight against setting up the National Testing Range in the Baliapal and Bhograi blocks of Balasore in Orissa.

1.3.2.2  The Environment Impact Assessment (EIA) With the increasing population and its various needs, there has been a boom in industrialization, urbanization, development of infrastructure, and the like. Such a development comes with a price. Pollution and disasters are on an increase such as the Bhopal gas tragedy, the Love Canal episode, the Endosulfan tragedy. Lack of rigorous environmental laws and timely inspections made the cases worse. Environmental movements in the 1960s and social awareness of environmental problems were rising after the publication of Rachel Carson’s ‘Silent Spring’ in 1962. After the Love Canal episode that affected thousands of people over the years and the school board and Hooker Chemical Company refusing to accept any type of liability, the United States government passed the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) also known as the Superfund Act that was meant to hold the polluters responsible for any damages caused by them as well as their cleanup costs. The US government enacted the National Environmental Policy Act, 1969, and EIA for bigger projects was included in the NEPA. Many countries copied and adopted the NEPA process, and the citizens are allowed to participate in and influence the proposed activities before any final decision is taken which could affect people’s lives. Many of the EIAs conducted in various countries are simply mirror images of the US NEPA model and remained almost unchanged for a few decades. Several countries have revised them to include a few elements of EIA. In the USA, many of the states have their own State Environmental Policy Act (SEPA) that is more painstaking than those of NEPA. It was realized that thorough scientifically based planning is instrumental in developing a successful environmental policy. The final decision regarding any development should take a comparative study of the impacts of diverse policy alternatives. Practically the decision should also consider capital and operating costs, cost-​benefit analysis, any social disturbance, and so forth. A policy should be inclusive of all these factors to be sustainable. The EIA acts as a valuable instrument for improving rational decision-​making in land-​use projects, 22

The Genesis of Environmental Muddle

power projects, transmission facilities, waste management, infrastructural projects, and the like. The International Association for Impact Assessment (IAIA) in association with the Institute of Environmental Assessment of the UK defines EIA as The process of identifying, predicting, evaluating and mitigating the biophysical, social, and other relevant effects of development proposals prior to major decisions being taken and commitments made. (www.tand​fonl​ine.com/​doi/​full/​10.1080/​14615​517.2013.839​115; https://​en.wikipe​dia.org/​wiki?curid=​2364​800) In the field of environment, prediction with absolute certainty is difficult. The IAIA has also underlined the basic principles for the EIA. The EIA should be rigorous, systematic, relevant, interdisciplinary, practical, participatory, cost-​effective, focused, adaptive, credible, integrative, and transparent to serve the purpose of the project. Several organizations have also adopted the process of EIA. The Organization for Economic Co-​operation and Development (OECD) was the first to recommend that its members should adopt EIA in 1974 in its document “Declaration on Environmental Policy” and uses EIA in a very similar way to that of NEPA to fund help for the developing countries. The European Union directive regarding EIA was adopted in 1985 and required formal implementation of EIA systems by 1988. Later it passed a revised bill in 1995 that was enforced in 1998. In its fifth Action Plan on the Environment, ‘Towards the Realization of Sustainable Development,’ it proposed to introduce the strategic environmental assessment. The North American Free Trade Agreement (NAFTA) has incorporated EIA in a similar way to that of NEPA to assess the transboundary impacts that cross the territories of the USA, Canada, and Mexico. The Commission for Environmental Cooperation (CEC) was formed when NAFTA was signed to address regional environmental issues. The CEC decided to initiate the development of a transboundary EIA agreement in 1997. The UN through the UNEP had urged its members to include the EIA process and had set guidelines for conducting EIA. ‘Environmental Policy and Procedures’ adopted by the World Bank in 1984, mentioned integrating environmental issues in the initial steps of project preparation. Even the World Bank demanded the conduction of EIA for the projects for which they are to provide funds and provided an Operation Directive in 1989 that contained the guidelines for preparing relevant documents. In recent times concepts like programmatic environmental assessments and strategic environmental assessments have evolved. Strategic environmental assessments (SEAs) are a valuable tool that can be applied to the various levels of policies, plans, and programs (PPPs) and hence can be applied at an earlier stage than individual projects. The USA, Australia, Canada, Denmark, and New Zealand have applied related mechanisms in the development of plans and policies. SEA is widely acknowledged in the European Union (EU) and gaining popularity in other nations. But the USA does not identify the concept of SEA although in practice both are quite similar. A programmatic environmental assessment is prepared for proposals involving the development of a definite plan, policy, or program. SEA drives a high-​level strategy for the nation, and it includes a broader scope, both temporarily and geographically to permit consideration of alternatives thus keeping a bigger picture. Regional EIA deals with development planning at a geographic level; sectoral EIA addresses specific environmental issues faced while planning and implementing projects in different sectors; project level EIA deals with individual projects (see Figure I-​1.3.2-​1). 23

The Genesis of Environmental Muddle

Figure I-​1.3.2-​1 The relation between various types of EIA.

1.3.2.3  Environmental Management Systems Striking a balance between the environment, society and economy is the key to achieving sustainability. Changes in lifestyles, growing pressures on the environment, inefficient utilization of resources, improper waste management, ecological degradation and pollution, climate change, biodiversity loss, and so forth, are all putting tremendous pressure on society. Their increasing expectations are reflected in more and more stringent legislation and standards. Many organizations and companies come under routine civil suits that prove to be quite expensive. Such lawsuits are increasing day by day and organizations exhibit enhanced participation in the certification process in order to avoid violations of norms and standards. The term environmental management is not the management of the environment. To a certain extent, it deals with the management of an organization’s structure, functions, and performance that might affect the environment as efficiently as possible. The organization operates, keeping an eye on the environment, to decrease the biophysical activities of the organization on its environment. For such processes, effective management tools and standards are required. An environmental management system (EMS) affords a systematic procedure for tackling the functions of an organization that will affect the environment. It helps in safeguarding the environment, identifying the risk factors, helping to mitigate the adverse impacts on the environment due to the organization’s activities, enhancing the environmental performance of the company, regulating and influencing how a company’s products and services are designed. It also helps to enhance financial and operational benefits by adopting environmentally sound alternatives, encourages commitment

24

The Genesis of Environmental Muddle

at all levels of the organization, and improves environmental communication to all the stakeholders. Unequal standards are likely to create barriers to international trade. Some companies gain advantages over others. But with international standards and Protocols, a common functionality is recognized and accepted globally. The International Organization for Standardization (ISO) is a non-​ governmental, autonomous, international voluntary standard-​setting body, started in 1947, assigned to develop common standards for products and services. It comprises representatives from different countries with a total of 165 members. The ISO is not an acronym. It comes from the word ‘isos’ meaning equal. It is headquartered in Geneva, Switzerland. It operates with its technical committees, subcommittees, and working groups. ISO never performs accreditation or certification. It develops and provides internationally agreed standards the documents which are protected by copyrights, and it charges for the publication of standards. Examples are quality management standards, environmental management standards, health and safety standards, energy management standards, food safety standards, IT security standards, and the like. Currently it has 23 934 international standards covering almost all the aspects of technology and manufacturing. The standards for environmental management are ISO 14000 which is similar to ISO 9000 in many aspects. Both the standards provide for third-​party certification that increases the company’s credibility, and international acceptance. However, the standards are overburdened with extensive documentation needs, which add up to the expenses, resources and make it a time-​consuming affair. The ISO 9000 family of standards, published in 1987, sets out the criteria for a quality management system for organizations seeking to meet regulatory requirements, and improve their quality of products and services to meet global standards and customers’ expectations. ISO 9001 is a standard within this family and sets forth the requirements needed to create and maintain the Quality Management System (QMS) described in ISO 9000 and can be used regardless of a company’s field of activity and size. It undergoes periodic revision, the latest being ISO 9001:2015. The Table I-​1.3.2-​ 1 gives an idea of the various standards within the ISO 9000 family. On the other hand, ISO 14000 is a family of standards meant for environmental management that were developed by the Technical Committee ISO/​TC 207 and various subcommittees. ISO/​TC 207 was launched in 1993 as a response to the complex challenges of sustainable development. The British Standards Institution (BSI) devised an environmental assessment standard BS 7750 in 1994, based on BS 5750, in response to environmental risks and damage. It was the first UK national system for EMS for evaluating Table I-​1.3.2-​1 ISO 9000 family of standards ISO NUMBER

NAME

ISO 9000:2015 ISO 9001:2015 ISO/​TS 9002:2016

Quality management systems –​Fundamentals and vocabulary Quality management systems –​Requirements Quality management systems –​Guidelines for the application for ISO 9001:2015 Quality management –​Quality of an organization –​Guidance to achieve sustained success

ISO 9004:2018

25

The Genesis of Environmental Muddle

the organization’s environmental performance. The European Commission developed the Eco-​Management and Audit Scheme (EMAS) for evaluating, reporting, and improving the environmental performance of a company. Bearing similarity with ISO 14001, EMAS is a site-​based registration system while the entire organization can be ISO 14001 certified. In need of a global standard, ISO 14000 was born out of BS 7750. ISO 14000 offers sustainable business operation taking together its contribution to environmental quality, social justice and economic prosperity often referred to as the triple bottom line as in Figure I-​1.3.2-​2. This ISO 14000 family of standards reflects global consensus on good environmental and business practices that could be applied by any organization in any part of the globe. It is designed to be implemented according to the same Plan-​Do-​Check-​Act (PDCA) cycle that underlies all other ISO management system standards. An intensive consultative body called the Strategic Advisory Group on Environment (SAGE) was formed in 1991 that collected more than 100 environmental experts to define the fundamental requirements and to develop international standards supporting the series of environmental-​related standards. From the initial stage, there was close cooperation between ISO/​TC 207 and ISO/​TC 176 (the technical committee responsible for the ISO 9000 family of standards) to ensure compatibility between the QMS and EMS to facilitate their use by companies who wish to implement both the systems. ISO/​TC 207 has a relationship with more than 30 international organizations. The Asian Productivity Organization, the Confederation of European Paper Industries, the

Figure I-​1.3.2-​2 Basic principles of ISO 14000.

26

The Genesis of Environmental Muddle

European Commission (EC), the Environmental Defense Fund, the Global Ecolabelling Network, the International Aluminium Institute, the International Chamber of Commerce, the International Institute for Sustainable Development (IISD), the International Iron and Steel Institute, the Organization for Economic Co-​operation and Development (OECD), the Sierra Club, the United Nations Environment Programme (UNEP), the World Business Council for Sustainable Development, the World Health Organization (WHO), the World Resources Institute (WRI), the World Trade Organization (WTO), and the like, work as liaison members to the technical committee. Implementing ISO 14000 based environmental management systems can enable the company to gain the following benefits: • • • • • • • • • • • • • • •

Enhanced environmental performance Enhanced company image Enhanced internal management Enhanced public relations Enhanced government relations Enhanced profits Consolidated CSR Optimization of resources and its allocation More satisfied stakeholders Competitive advantage in the markets Less non-​tariff trade barriers Less inspections and regulatory problems Reduced overhead expenses Reduced insurance costs Reduced production costs.

ISO 14001 indicates the requirements for an EMS so that the organization can manage its environmental responsibilities systematically and contribute to sustainability. It enhances environmental performance, helps to achieve environmental objectives, and fulfils the obligations of compliance. It could be applied to any organization for its products or services, irrespective of its nature and size. The Plan-​Do-​Check-​Act forms the operating principle for all ISO system of standards including ISO 14001 and forms a cycle of improvement popularized by Walter Shewhart and Edward Deming as shown in Figure I-​1.3.2-​3. ISO 140001 needs to set up a high-​level organizational environmental policy that gives direction to the organization in terms of achieving its objectives and draws commitment. The unique policy should be tailored according to the individual organization depending on its size and operational complexity. There should be a proper plan to find out the way of achieving that policy and a means to identify the potential threats as well as ways to mitigate such emergencies. The ISO 14001provides for proper documentation and its review along with monitoring and measurement. Periodic internal auditing would help in monitoring its performance and conformation with the ISO 14001 standard. Non-​ conformation calls for corrective and preventive measures. ISO 14001 is an independent external audit conducted by certified auditors who are accredited by the International Registrar of Certification Auditors. A summary of the ISO series is given in the Table I-​1.3.2-​2.

27

The Genesis of Environmental Muddle

Figure I-​1.3.2-​3 Flowchart to show the ISO 14001 system based on Plan-​Do-​Check-​Act.

Table I-​1.3.2-​2 ISO 14000 series of standards ISO 14001:2015 ISO 14002-​1 –​ (under development) ISO 14004:2016 ISO 14005:2019 ISO 14006:2011 ISO 14007 –​ (under development) ISO 14008:2019

Environmental Management Systems Environmental Management Systems

Environmental Management Systems Environmental Management Systems Environmental Management Systems Environmental Management

Requirements with guidance for use; most popular standard of the ISO 14000 family. Guidelines for applying the ISO 14001 framework to environmental aspects and environmental conditions by environmental topic areas General Guidelines on principles, systems, and support techniques. Implementation Guidelines for a flexible approach to a phased implementation of an EMS Guidelines for Incorporating Eco-​design Determining Environmental Costs and Benefits –​Guidance Monetary valuation of environmental impacts from specific emissions and use of natural resources

28

The Genesis of Environmental Muddle Table I-1.3.2-2 (Continued) ISO 14009:2020

Environmental Management Systems

ISO 14010:1996

Environmental Auditing (EA) Environmental Auditing (EA)

ISO 14011:1996

ISO 14012:1996

ISO 14014 ISO 14015:2001 ISO 14016:2020 ISO 14017 ISO 14020:2000 ISO 14021:2016

ISO 14022 ISO 14023

Environmental Auditing (EA)

Environmental Management Environmental Management Environmental Management Environmental Labels and Declarations Environmental Labels and Declarations

Guidelines for incorporating redesign of products and components to improve material circulation in design and development Guidelines for Environmental Auditing –​ General principles Guidelines for environmental auditing –​ Audit procedures –​Auditing of environmental management systems Guidelines for environmental auditing –​ Qualification criteria for environmental auditors Guidelines for Initial Environmental Reviews Environmental Assessment of Sites and Organizations (EASO) Guidelines on the assurance on environmental reports Requirements with guidance for verification and validation of water statements General Principles Self-​declared environmental claims (Type II environmental labelling) –​Amendment 1: Carbon footprint, carbon-​neutral Environmental Labels and Declarations–​Self-​ declaration environmental claims –​Symbols Testing and Verification Methodologies

Environmental Labelling (EL) Environmental Labelling (EL)

ISO 14024:2018

Environmental labels and declarations

Type I Environmental Labelling —​Principles, practices, and certification procedures of multiple criteria

ANSI/​ISO 14025:2006 (ANSI-​ American National Standards Institute) ISO/​TS 14027:2017

Environmental labels and declarations

Type III Environmental Declarations –​ Principles and Procedures

Environmental labels and declarations Environmental labels and declarations

Development of product category rules

ISO/​TS 14029

ISO 14030-​1:2021

Mutual recognition agreements between Type III Environmental Declaration (EPD) Programme Operators –​Principles and procedures Green debt instruments –​Part 1: Process for green bonds

Environmental performance evaluation

(Continued)

29

The Genesis of Environmental Muddle Table I-1.3.2-2 (Continued) ISO 14030-​2:2021

ISO 14030-​3:2022

ISO 14030-​4:2021

ISO 14031:2013 ISO 14032 (2000) ISO 14033:2019 ISO 14034:2016 ISO 14040:2006 ISO 14041:1998 ISO 14042:2000 ISO 14043:2000 ASQ/​ANSI/​ISO 14044:2006 (ASQ-​ American Society for Quality) ISO 14045:2012

ISO 14046:2014 ISO/​TR 14047:2012 (TR-​ Technical Report) ISO/​TS 14048:2002 ISO/​TR 14049:2012

ISO 14050:2009

Environmental performance evaluation Environmental performance evaluation Environmental performance evaluation Environmental Management Environmental Management Environmental Management Environmental Management Life Cycle Assessment (LCA) Life Cycle Assessment (LCA) Life Cycle Assessment (LCA) Life Cycle Assessment (LCA) Life Cycle Assessment (LCA)

Green debt instruments –​Part 2: Process for green loans

Environmental Management

Eco-​efficiency assessment of product systems –​Principles, requirements, and guidelines

Green debt instruments –​Part 3: Taxonomy

Green debt instruments –​Part 4: Verification program requirements Environmental Performance Evaluation –​ Guidelines Examples of Environmental Performance Evaluation Quantitative environmental information –​ Guidelines and examples Environmental technology verification (ETV) Principles and Framework Goal and scope/​definition and inventory analysis Life cycle impact assessment Life cycle improvement assessment and interpretation Requirements and Guidelines for LCA

Environmental Management

Water footprint –​Principles, requirements, and guidelines

Life Cycle Assessment (LCA)

Illustrative examples on how to apply ISO 14044 to impact assessment situations

Life Cycle Assessment (LCA) Environmental Management

Life cycle assessment –​Data documentation format Life Cycle Assessment –​Illustrative examples on How to Apply ISO 14044 to Goal and Scope Definition and Inventory Analysis Vocabulary

Environmental Management

30

The Genesis of Environmental Muddle Table I-1.3.2-2 (Continued) ISO 14051:2011 ISO 14052:2017 ISO 14053:2021 ISO 14055-​1:2017

ISO 14060

Environmental Management Environmental Management Environmental Management Environmental Management

Material flow cost accounting –​General framework Material flow cost accounting –​Guidance for practical implementation in a supply chain Material flow cost accounting –​Guidance for phased implementation in organizations Guidelines for establishing good practices for combating land degradation and desertification –​Part 1: Good practices framework Guide for the Inclusion of Environmental Aspects in Product Standards Information to assist forestry organizations in the use of Environmental Management System standards ISO 14001 and ISO 14004 Environmental Communication –​Guidelines and Examples Specification with Guidance at the Organization Level for Quantification and Reporting Of Greenhouse Gas Emissions and Removals Specification With Guidance At The Project Level For Quantification, Monitoring And Reporting Of Greenhouse Gas Emission Reductions Or Removal Enhancements Specification with Guidance for the Verification and Validation of Greenhouse Gas Statements General principles and requirements for bodies validating and verifying environmental information Carbon Footprint of Products –​Requirements and Guidelines for Quantification Quantification and Reporting of Greenhouse Gas Emissions for Organizations Critical Review Processes and Reviewer Competencies: Additional Requirements and Guidelines to ISO 14044:2006

Environmental Management

ISO/​TR 14061:1998

ISO 14063:2006 ISO 14064-​1:2018

Environmental Management Greenhouse Gases –​ Part 1

ISO 14064-​2:2019

Greenhouse Gases –​ Part 2

ISO 14064-​3:2019

Greenhouse Gases –​ Part 3

ISO 14065:2020

ISO 14067:2018

Greenhouse Gases

ISO/​TR 14069:2013

Greenhouse Gases

ISO/​TS 14071:2014

Environmental Management –​Life Cycle Assessment

ISO/​TS 14072:2014

Environmental Management –​Life Cycle Assessment Environmental management –​Water footprint

ISO/​TR 14073:2017

Requirements and Guidelines for Organizational Life Cycle Assessment Illustrative examples on how to apply ISO 14046 (Continued)

31

The Genesis of Environmental Muddle Table I-1.3.2-2 (Continued) ISO 14080:2018

ISO 14090:2019 ISO 14091:2021 ISO/​TS 14092:2020

ISO 14097:2021

Greenhouse gas management and related activities Adaptation to climate change Adaptation to climate change Adaptation to climate change

Framework and principles for methodologies on climate actions Principles, requirements, and guidelines Guidelines on vulnerability, impacts, and risk assessment Requirements and guidance on adaptation planning for local governments and communities Framework including principles and requirements for assessing and reporting investments and financing activities related to climate change

Greenhouse gas management and related activities

Standards supporting ISO 14000 series ISO 19011:2018 ISO/​IEC 17050

Conformity assessment

Auditing requirements of an EMS Suppliers’ declaration of conformity requirements

Figure I-​1.3.2-4 Significance of ISO 14000.

ISO 14000 is the key to tackling economic, environmental and social aspects to assist in gaining advantages in finance, insurance, marketing, regulation, and varied interdisciplinary areas. The economic, environmental and social aspects of ISO 14000 convey what to measure and what to get and thus forms the three pillars ensuring sustainability as in Figure I-​1.3.2-​4.

32

II THE AEGIS OF THE UNITED NATIONS AND ITS NEED

The protection of the environment has become one of the key challenges over the last five decades. Many international treaties have been negotiated along with many regional and bilateral agreements, and together with a bunch of action plans, it creates a complex and rich assemblage of treaties, policies, and laws. Unfortunately, all of these have failed miserably in reversing the global environmental decline. In the present day context, all of the environmental indicators are at their worst ever. The weather and climate, the air, water, and land are all interconnected. So are the human activities that use these natural resources all around the globe becoming interconnected and interdependent. Over the past years, this interconnection and interdependence is on the increase due to the enhanced modes of transportation and communication. Global activities and a shared global environment reflect common interests in terms of environment and trade that require proper addressing through the platforms of global agreements. Such negotiations can take place between the nations or through the assistance of the United Nations, giving birth to the internationally agreed environmental policies, laws, and rules that are based on globally agreed principles, objectives, and procedures and which demand collective action. In this context, we have the international environmental law meant for the safeguarding of the global environmental commons on behalf of the global community under the leadership of the United Nations. The EU has developed its system of environmental policies and laws internally and acts as a major driver in the evolution of the UN environmental policies. International law is guided by the principle of sovereignty that allows every country to tailor the policies according to their own needs and to exploit their resources without damaging the resources of other nations. Their adherence to international laws mostly depends on good faith. Many of the norms and rules have become customary international law as they are followed as a matter of custom. The United Nations, founded in 1945, is a global, intergovernmental organization with headquarters in New York and offices at Nairobi, Vienna, Geneva, and The Hague. When the organization was created, the degradation of the environment was not even considered to be a threat. The UN Charter does not even have the mention of the word ‘environment’! With time, along with military and economic security, environmental security emerges as

DOI: 10.4324/9781003440574-2

33

The Aegis of the United Nations and Its Need

the third pillar of international relations. Issues like erratic winds and precipitation, climate change, ozone depletion, biodiversity loss, marine pollution, population growth, or resource depletion, fail to respect any national borders. All of these exacerbate social tensions that further provoke armed conflicts in many regions. The United Nations, with its 193 member countries, exerts to facilitate and promote international cooperation and participation to tackle all global issues from peace and security to human rights and to environmental protection. Every member country enjoys the right to raise its concerns, but there can always be a conflict between the sole interest of one nation and the interest of the global community as a whole. Thus, it is quite evident that arriving at a universal agreement is an extremely difficult task that often has to pass through phases of discussions, arguments, debates, and so forth. The United Nations acts as a mediator and guide. In the last 50 years, the protection of the environment has been at the heart of all United Nations activities. There are over two hundred environmental Conventions, agreements, commissions, and bodies that exist, however not all have yielded efficient and desirable results to a similar extent. Though many of the agreements are bilateral or regional, a few involving atmospheres, waterways, biodiversity are rightly global. Over the past few years, the world has witnessed some progress in the development of international rules towards these ‘global commons.’ It is certainly true to say that environmental diplomacy can display some success. Air pollution has drastically reduced in Europe, the production of CFCs has reduced by 90%, commercial whaling has declined, mining in Antarctica has been forbidden, to name a few. As the number of agreements climbs, the state of the biosphere is on the decline. The earth is warming, and ecosystems are degrading, many island nations are disappearing, stocks of fish are declining, water and air quality are deteriorating, the rate of species extinction and deforestation is increasing. Reaching an agreement is only the first step. It needs updating in the light of changing situations. Extensive research is required, novel approaches are to be made, technology needs to be upgraded, relevant information needs to be shared and disseminated, and Protocols are required to be followed. The actual work lies in taking the information from the book and putting it into practice. Environmental agreements need transparency, and national and local governments need to implement them to their fullest extent along with detailed reporting of the actions being taken. This is not possible by the United Nations alone, which needs to be joined by the governments and the NGOs. For this purpose, the United Nations needs to be rationalized, consolidated, and unbiased to gain the capability to reverse the global environmental decline. In reality, no single institution manages global environmental issues. There are numerous official and semi-​official institutions that rely on some environmental mandate. In the years to come, global environmental governance should progressively involve a collection of multilateral, national, and intergovernmental organizations along with citizens’ forums and negotiations. The existing institutions face difficulties with narrow directives, insignificant budgets, and limited backing. No single institution has the authority or political strength to function as a coordinator. Though UNEP is broadly regarded as the global environmental agency, it seems to be weak and superseded by other organizations with partial environmental authority. The Rio Conference formed the UNCSD in 1992 to coordinate and integrate environmental and economic issues within the UN but with limited capacity. Many global leaders have called for reforming the UN architecture for good environmental governance. Germany, in 1997, suggested the amendment of the UN Charter to include sustainable development as one of the critical concerns and to launch a ‘global 34

The Aegis of the United Nations and Its Need

environmental umbrella organization’ with UNEP to serve as the principal leader. New Zealand, Brazil, and South Africa also supported a more substantial UN Body that would enjoy powers analogous to the WTO. Such an organization could integrate various environmental secretariats to ensure the enactment of environmental treaties. Under the existence of a set of binding doctrines, an organization, for example, the World Environmental Organization could resolve environmental disputes effectively and efficiently. Thinking of the short-​term, regional environmental organizations could be established to manage shared resources. The principal judicial organ of the UN is the International Court of Justice (ICJ), launched in 1945 by the UN Charter. It is located at Peace Palace in The Hague, Netherlands, and functions as a world court. It comprises of 15 judges with terms of office lasting 9 years. The UN General Assembly and the UN Security Council elect the judges. It decides legal disputes that are submitted by the states according to international law. Upon request from the UN and its agencies, it also gives its advisory opinions on legal issues. The Court of Justice of the European Communities, established in 1952, ensures the observance of law while interpreting and applying the treaties. The Court of Justice of the European Communities comprises of the Court of Justice, the Court of First Instance, and the Civil Service Tribunal. Another independent judicial body is the International Tribunal for the Law of the Sea, which was formed by the Chamber of Summary Procedure, the Chamber for Fisheries Disputes, the Chamber for Marine Environment Disputes, the Chamber of Maritime Delimitation Disputes, and the Seabed Disputes Chamber.

Further Reading 1. Handbook of Environmental Policy by Johannes Meijer (z-​lib.org) 2. Senate Debate on the Conference Report to S. 1075, To Establish a National Policy for the Environment, December 20, 1969,Congressional Record, p. S17451. 3. BBC News, Historic smog death toll rises. 2002. http://​news.bbc.co.uk/​2/​hi/​hea​lth/​2545​747.stm (accessed August 22, 2010). 4. Pojman, L. P. Global Environmental Ethics, 266. Mountain View CA: Mayfield Publishing Company, 2000. 4. Eccleston, C. H.NEPA and Environmental Planning: Tools, Techniques, and Approaches for Practitioners (Boca Raton, FL: CRC Press, 2001). 5. Brennan, A. and Lo, Y. S. Ethics, Environmental. Stanford Encyclopedia of Philosophy, 2002. 6. Mohammad, N. Need to implement the environmental ethics to protect the society: A study on global perspectives for sustainable development. African Journal of Business Management, 5(26), 10387–​10395, 2011. 7. Craig, P. P., Glasser, H., and Kempton, W. Ethics and values in environmental policy: the said and the UNCED. Environmental Values, 2(2), 137–​157, 1993. 8. https://​bri​tann​ica.com/​topic/​envir​onme​ntal​ism/​Hist​ory-​of-​the-​enviro​nmen​tal-​movem​ent 9. https://​patn​auni​vers​ity.ac.in/​e-​cont​ent/​soci​al_​s​cien​ces/​hist​ory/​MAH​isto​ry4.pdf

35

SECTION A

Global Initiatives towards Environmental Protection

III THE DAWN From Environmental Ignorance to Environmental Consciousness (Pre-​Stockholm Era)

Very little awareness of environmental issues and concerns existed when the United Nations was established after World War II. The new body was given a meaningfully larger mission, namely, the League of Nations, principally on economic, social, and humanitarian issues, and there was no indication of the natural environment in the U. N. Charter. Moreover, in 1945, there was a lack of consciousness of any requirements to protect the environment, except on an ad-​hoc basis outside the United Nations. The remarkable depletion of major whale species led to the establishment of the International Commission to regulate whale harvesting in 1946. There were no major international organizations in those days whose prime task was largely to assist with the environment, in contrary to the economic realm in which the three ruling Bretton Woods institutions: the World Bank, the International Monetary Fund (IMF), and the GATT molded the advancement of a progressively combined world economy. The ‘Universal Declaration on Human Rights’ in 1948 acknowledged the right to live, equal rights, the dignity of every individual, and the right to live in a pure environment but did not overtly address environment or resources conservation. The first-​ever environmental conference was hosted in 1949, followed by many negotiations preceding the 1972 Stockholm Conference. The pre-​Stockholm era ranges to 1968, the year when the United Nations General Assembly approved a resolution to organize the Stockholm conference after four years. Various other steps taken by the United Nations earlier to 1968, were in piecemeal. In 1966 the ‘Outer Space Treaty’ was universally accepted that targeted keeping outer space free from any pollution and which governed state activities in exploring the moon and other celestial bodies that comprise outer space. The Stockholm era spans about two decades, from 1968 to 1987. It comprises of a vast array of precautionary meetings held the year before 1972 and also the enactment of recommendations over the following decade. The United Nations Conference on Human Environment somehow became a model for a wave of global conferences known as ‘Global town meetings’ that had drawn worldwide attention to global issues. Accordingly, the disposal of nuclear waste and chemicals into outer space was forbidden. Very important was the establishment of the International Meteorological Organization in 1872 to improve

DOI: 10.4324/9781003440574-4

39

From Environmental Ignorance to Environmental Consciousness

meteorological data by the standardization and coordination of collected meteorological data. In 1909, both the USA and Canada created the ‘International Joint Commission’, in an effort to strive hard to resolve the transboundary concerns on the environment that had arisen between the two nations, specifically the ones involving the lakes and riverine system along their three thousand miles common border. The conference might not have dealt with all the problems of this world, but if it was able to do the essential work fruitfully before it, then it could create new and more optimistic base for solving the apparently obstinate complications that divided humanity. It is well recognized that the need for innovative magnitudes of economic, social, and political interdependence is required for the physical interdependence of everyone. The decision-​makers, as well as the people to be impacted by resolutions, should have access to information and hence the need to plan better ways and means.

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IV THE BACKDROP OF THE STOCKHOLM CONFERENCE, UNCHE, 1972

4.1  The Call for Environmental Protection The necessity to fortify the environment emerged for the first time both at local and national levels in places where the impact of environmental deterioration was most strongly felt. Matters relating to the safeguarding of the environment became a substantially political and community concern in practically all industrialized nations such as Britain, the USA, Japan, Canada, and Sweden. The emphasis of developed nations on the protection of the environment raised doubts that: • The environment movements might be new and obscured from neo-​colonization • The industrialized countries wanted to keep the third world nations as ◊ obedient providers of raw materials at a discounted price ◊ customers of industrial production by the rich nations. In the history of the International Environment arena, the United Nations Conference on Human Environment (UNCHE) between 5 and 16 June 1972 was the first-​ever multilateral event to take place with the prime focus of its agenda on environmental protection. On the whole, historically, this conference should be acknowledged as the starting point which provided platforms for the global community to meet and pledge to take global actions on a range of environmental issues. The action plan for this conference is the initial example of a statement towards handling matters that are vital for the protection and management of the environment. The ‘Declaration on the Human Environment’ was established as a model with a worldwide consensus of doctrines linked to environmental issues as well as the privileges and responsibilities of states. This decentralized societal attitude to global environmental glitches had become well-​ rooted in the course of the pre-​Stockholm era and was resistant to modification even in the face of the strong appetite for a further united and synchronized attitude to the environment. The United Nations Conference on Human Environment was first suggested to the United Nations Economic and Social Council in Geneva by Swedish ambassador SverkerAstrom in

DOI: 10.4324/9781003440574-5

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Backdrop of the Stockholm Conference, UNCHE, 1972

1968. A two-​week-​long global session was proposed by Astrom to discourse a single subject, the environment. The United Nations General Assembly acknowledged this suggestion and decided to convene the United Nations Conference on the Human Environment in 1972 by a resolution of December 3, 1968. The progress of environmental concerns on the itinerary of international organizations can be better assumed by dividing the post-​war period into three, marked by two most important landmark assemblies: the United Nations Conference on Human Environment, which was convened in June 1972 at Stockholm and the United Nations Conference on Environment and Development that took place in June 1992 at Rio de Janeiro. Although environmental matters and resource conservation were not explicitly mentioned in the United Nations Charter, the first environmental conference was held in 1949, along with many negotiations preceding Stockholm in 1972 by the United Nations.

4.2  The United Nations Conference on the Human Environment (UNCHE), 1972 The UNCHE was organized in Stockholm, Sweden, between June 5 and June 16, 1972. Delegates from a hundred and thirteen countries, sixteen inter-​governmental agencies, and over four hundred inter-​governmental and NGOs participated in the conference. The purpose of the conference was to coordinate global policies and not the discussion of technical approaches to environmental issues. The four meetings preceding the UNCHE led to the issuance of the report, which called for ‘a major reorientation of man’s values and redeployment of his energies and resources.’ In the very beginning, the committee stressed their political priority, the basic roots of environmental concerns. The intricate interdependency between political priorities and environmental problems called for political choices. Remarkable divisiveness was noticed on most of the issues under deliberation. The conference was marked by the absence of the Soviet Union and Eastern bloc, as East Germany was denied full representation and was not a member of the United Nations. Noteworthy was the presence of 113 nations out of 132, along with representatives from global NGOs, intergovernmental organizations, and several other specialized agencies. The assemblies were called by the New York Times as ‘groundswell of unanimity.’ The conference accomplished nearly everything as per the agenda of the preparatory committee. It was broadly considered a success, and many observers were almost ecstatic about the degree of agreement. According to Margaret Mead, the anthropologist, the occasion was ‘a revolution in thoughtfulness comparable to the Copernican revolution by which, four centuries ago, man and women were compelled to revise their whole sense of the earth’s place in the cosmos. Today we are challenged to recognized as great a change in our concept of man’s place in the biosphere.’ The Stockholm conference underlined the notion that the protection and improvement of the environment should turn into an objective to be doggedly pursued by all nations. Developing nations like India, Brazil, and China united in an open multilateral dialogue for the first time in history. Emphasis was given to the significance of conserving natural habits, resolving environmental glitches, and universal cooperation. It may truly be considered to be the first significant effort to resolve the international hurdles to conserving and regulating the human environment by global treaties on a universal level. It also emphasized

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human activities concerning the environment. It led to the acceptance of the Declaration of the United Nations Conference on Human Environment along with an Action Plan for the Human Environment, comprising one hundred and nine explicit recommendations. The then Indian Prime Minister, Mrs. Indira Gandhi, coupled poverty with environmental dilapidation in unindustrialized nations during her speech. This indication led to the acknowledgment of the significance of poverty alleviation for ecological defense and sustainable development. Indeed, the United Nations Conference on Human Environment laid the cornerstone for environmental action at a global level. The international guidelines for environmental protection have been written in the form of legally non-​binding international agreements that were embraced by the United Nations Conference or bodies. Basically, during the time of 1972 UNCHE, the non-​ industrialized nations were demanding their post-​colonial freedom mediated by the United Nations. These nations forced a declaration by the General Assembly envisioned mostly to proclaim their control on natural resources occurring within their territories and also to discuss matters about social impartiality and economic justice for underprivileged nations. The developing countries made use of their arithmetical majority, and this permitted them to get through every decision they sought. The USA, as well as other developed nations in some instances, continuously opposed every New International Economic Order (NIEO) decree, including announcements declaring a ‘right to development.’ The emerging nations placed importance on their authority to craft their own choices about the use of resources and to confirm that the developing nations have gained from such exploitation. The developing nations had a suspicion that global environmental problems could have been used merely as one more validation that the industrialized nations were trying to exert universal controls on the rate and technique of resource utilization in the South. The United Nations Conference on Human Environment was one of its kind to drive environment concerns in a global arena wherein environmental issues were legitimized as an international concern. Issues of poverty and development were raised but were certainly not dominant in the debate. It was broadly regarded as the start of the modern phase of global environmental law and policies. The conference established the ‘United Nations Environment Programme’ for addressing environmental concerns. Known by the name, The Stockholm Declaration, the conference also adopted a set of general principles and even a detailed action plan. The period was a significant beginning, a point from where we visualize how far we have come and how far we need to go. Therefore, the changes over time from the Stockholm Declaration to the Rio Declaration, for instance, can be underlined as a method to observe the ways in which global environmental deliberation has transformed over time. In particular, the changes in the assertions imply the noticeable changeover from environment fortification to sustainable development, as is evident from the changes in the conference title from ‘Human Environment’ to ‘Environment and Development’ that indicates a swing towards sustainable development. Even at present, there is an unwillingness to connect environmental degradation to patterns of consumption and the lifestyles of wealthy nations, such as the USA, amongst many policymakers and people in the North. The connection between the patterns of use and environmental damage was far more vague way back in the 1970s. The perception of ‘ecological footprint’ that reflects how nations affect the global environment was yet to be

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established in 1972. Thus, it is quite evident that the Stockholm Conference did not explicitly address issues of consumption. UNCED at Rio was the first of its kind to overtly identify the effects of unsustainable patterns of utilization on the environment. Developing country issues and some unique concerns are reiterated and echoed in many of the Stockholm Declaration principles, such as Paragraph 4 of the Preamble that can be referred to. Principle 1 reiterates the condemning of tyranny and imperialism along with the assertion of human rights. Principle 8 speaks about the need for development for improving the environment. Principle 9 speaks about the requirement of the developing nations for assistance. Principle 10 speaks about reasonable product pricing. Principle 11 restates the need for making environmental policies that would not impede development. Principle 15 emphasizes the planning of human settlements. Principle 16 reflects upon suitable population policies. Principle 18 refers to the application of science and technology for improving the environment; Principle 19 reflects on the necessity for environmental education. Principle 23 seeks developments of standards while Principle 24 seeks cooperation on global issues. It sought help from the International Organization in Principle 25 and the elimination of the weapons of mass destruction in Principle 26. This is, in some cases, more explicit than the Rio Declaration that came twenty years later. The state’s command over its natural resources to the extent of not damaging the environments of neighboring countries was opined in Principle 21. Both the outcomes of UNCHE and UNCED (Stockholm and Rio Declarations) were asserted in the United Nations General Assembly but without any legally binding effect. The Stockholm Declaration echoes conciliation on approaches and elements in numerous ‘demands’ found in the resolution. Stockholm lacks a united concrete frame, while the notion of sustainable development is quite evident in the Rio Declaration. Principles 3 and 4 show that portions of the Stockholm Declaration are marginally environmental. The principles have little or no notion of the incorporation of developmental issues. There are a number of ways in which the Rio Declaration mirrors a more advanced and all-​inclusive deal centering around ‘sustainable development.’ Reading the Rio Declaration from an environmentalist’s perception, it seems more inclined towards economic development. An analysis of the 1972 Resolution exemplifies to what extent the non-​industrialized nations did make inroads into identifying the significance and validity of speaking up on environment issues on the global platform. The declaration on the human environment contained in Section 1 is divided into two parts. The first part states seven facts about man and his environment and comprises broad clarifications, for example, mankind is both creator and molder of his surroundings that provide him with bodily sustenance and this allows him to improve the human environment. This is the main concern that marks the welfare of people around the world and outlines the global requirement. It is the persistent appeal of people around the globe and is also the prerequisite of all governments in emerging nations. Many of the environmental problems originated through underdevelopment. Population growth results in complications in the safeguarding of the environment along with the making of acceptable policies and actions. Historically, we have reached a point in history where our actions must be tailored judiciously all over the globe according to their expected effect on the environment. The second part of the declaration states 26 principles that provide the foundation of international policy to defend and enhance the environmental state. The purpose of the

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declaration was to hand over our mother Earth to the successive generations in an unpolluted and vigorous state. • This is the first important congregation on a global platform that emphasizes the connectedness between anthropological activities and environment, and which lays the very foundation for environmental action at a global level. • This gathering approved the requirement of extensive international cooperation to achieve the objective of reducing some of the activity of humans in the environment since most of the issues concerned are global. • The United Nations Conference on Human Environment helped in the launching of UNEP (United Nations Environment Programme) intending to inspire the United Nations organizations to incorporate measures related to the environment into their programs. • The conference incorporated the principles of protection and the improvement of the natural environment as well as emphasizing the need for people’s support, and this is well defined in the Stockholm Declaration and action plan. • The text also stated that the destruction of habitat, acid rain, its impact, and other modern industrialized issues on the environment were not essentially pertinent problems involving all nations. Many developmental policies could hardly meet what the poor countries and communities require. • The industrialized nation’s role in bridging the gap between itself and the developing nations alongside the restoration and safeguarding of their main concerns in addition to protecting and improving the environment was spoken of. • The UNCHE had also set up a list of recommendations and objectives in the pursuit of its task. It was recommended that governments should engage in communication related to environmental issues with global consequences and also emphasize the training of people to design, develop, and manage the various areas. • These first summits have shaped the approach from educational to enlightening and motivating.

4.2.1  The Outcomes of the Stockholm Conference of 1972 at a Glance 1. The Stockholm Declaration on the Human Environment It gave 26 key principles concerning the state’s actions on the environment and development such as-​ • • • •

Human Rights Natural Resources Wildlife Resources Environment Education

Out of 26 Principles, three are very relevant from a legal perspective. Principle 21 recognizes a State’s control over natural resources along with its accountability for not causing environmental damage. Principle 22 calls for the development of international liability rules for damage to the environment and Principle 24 calls for global cooperation.

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2. The conference made 109 recommendations that formed the action plan and recognized specific actions to tackle environmental problems. Environmental actions were grouped into three categories: ‘earthwatch;’ a global environmental assessment program, environmental managemental activities, and global measures to aid national and international actions. 3. The United Nations Environment Program was launched. 4. An assurance on International and Financial Agreement, which suggested the initiation of: a. b. c. d.

An Environment Secretariat A governing council for UNEP An Environment Coordination Board An Environment Fund

5. The declaration that 5 June be nominated as World Environment Day, remembering that the United Nations General Assembly had decided that every year the United Nations along with the governments of all nations would undertake global actions to reinstate their will for the protection and improvement of the human environment with a vision to deepen their environment responsiveness as well as to pursue the objectives of the conference (see Table: A IV-​4.2.2-​1 for the respective themes chosen down the timeline). 6. The UNCHE took a pledge on testing nuclear weapons and condemned nuclear tests, especially those that take place in the air and also appealed to all the nations to abstain from organizing such tests. It is firmly believed that any type of human radiation exposure should be avoided and kept to a minimum and that this could be defended by its inherent advantages or that it could otherwise be non-​obligatory. The UN has repeatedly called for the cessation of tests on nuclear weapons and has legitimized negotiations like the Partial Test Ban Treaty, the Sea-​Bed Denuclearization Treaty, and even at regional levels for the prohibition of nuclear weapons in Latin America, such as the Tlatelolco Treaty. This treaty aims: (a) to denounce nuclear weapon tests, particularly those that are aerial; and (b) to drive states who have the intention of carrying out nuclear weapon tests to discard their policies for conducting such tests because such tests may result in additional environmental contamination. Environment clubs such as the Club of Rome and Sierra Club were born, and presented the notion of ‘Limits to Growth’ and ‘Blind pace of Development,’ respectively. The Stockholm Declaration also guarantees two international programs –​ • The Belgrade Charter (1975): at the International Environmental Workshop in Belgrade, Yugoslavia environmental education received international recognition and is seen as a means to address environmental issues worldwide. The participants proposed a global framework for environmental education, referred to as the Belgrade Charter. • The Tbilisi Declaration (1977): in cooperation with the United Nations Environment Programme (UNEP), the United Nations Education, Scientific, and Cultural Organization (UNESCO) organized the world's first intergovernmental conference on environmental 46

Backdrop of the Stockholm Conference, UNCHE, 1972 Table A IV-​4.2.2-​1 List of World Environment Day and their themes World Environment Day The United Nations are quite aware of the increasing need for protecting and improving the environment and designated 5th June as World Environment Day. As we celebrate this day each year, we broaden the horizon and enlighten our opinion about the state of the environment and ensure responsible conduct of all people, communities, organizations, and business enterprises irrespective of their size and capacity towards preserving and improvement of the environment. Today, with participation from more than 143 nations, it has become a global platform for public outreach. Each year the United Nations selects a theme and a host country for advocating environmental issues. Year

Host

Theme

1974 1975 1976 1977

Spokane, The USA Dhaka, Bangladesh Ontario, Canada Sylhet, Bangladesh

1978 1979

Sylhet, Bangladesh Sylhet, Bangladesh

1980

Sylhet, Bangladesh

1981 1982

Sylhet, Bangladesh Dhaka, Bangladesh

1983

Sylhet, Bangladesh

1984 1985 1986 1987 1988

Rajshahi, Bangladesh Islamabad, Pakistan Ontario, Canada Nairobi, Kenya Bangkok, Thailand

1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001

Brussels, Belgium Mexico City, Mexico Stockholm, Sweden Rio de Janeiro, Brazil Beijing, China London, UK Pretoria, South Africa Istanbul, Turkey Seoul, Republic of Korea Moscow, Russia Tokyo, Japan Adelaide, Australia Torino, Italy, and Habana, Cuba Shenzhen, China

‘Only one Earth during Expo ‘74’ ‘Human Settlement’ ‘Water: Vital Resource for Life’ ‘Ozone Layer Environmental Concern; Land Loss and Soil Degradation.’ ‘Development Without Destruction’ ‘Only One Future for Our Children-​Development Without Destruction’ ‘A New Challenge for the New Decade: Development Without Destruction’ ‘Ground Water; Toxic Chemicals in Human Food Chains’ ‘Ten Years After Stockholm (Renewal of Environmental Concerns)’ ‘Managing and Disposing Hazardous Waste: Acid Rain and Energy’ ‘Desertification’ ‘Youth: Population and Environment’ ‘A Tree For Peace’ ‘Environment and Shelter: More Than A Roof’ ‘When People Put the Environment First, Development Will Last’ ‘Global Warming; Global Warning’ ‘Children and the Environment’ ‘Climate Change. Need for Global Partnership’ ‘Only One Earth, Care and Share’ ‘Poverty and the Environment-​Breaking the Vicious Cycle’ ‘One Earth One Family’ ‘We the Peoples: United for the Global Environment’ ‘Our Earth, Our Habitat, Our Home’ ‘For Life on Earth’ ‘For Life On Earth-​Save Our Seas’ ‘Our Earth-​Our Future-​Just Save It!’ ‘The Environment Millennium-​Time to Act’ ‘Connect with the World Wide Web of Life’

2002

‘Give Earth a Chance’ (Continued)

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Backdrop of the Stockholm Conference, UNCHE, 1972 Table A IV-4.2.2-1 (Continued) Year

Host

Theme

2003 2004 2005 2006 2007 2008

‘Water-​Two Billion People are Dying for It!’ ‘Wanted! Seas and Oceans-​Dead or Alive?’ ‘Green Cities-​Plan for the Planet!’ ‘Deserts and Desertification-​Don’t Desert Drylands!’ ‘Melting Ice-​a Hot Topic?’ ‘Kick The Habit-​Towards A Low Carbon Economy.’

2009 2010 2011 2012 2013 2014 2015 2016 2017

Beirut, Lebanon Barcelona, Spain San Francisco, USA Algiers, Algeria London, England Wellington, New Zealand Mexico City, Mexico Rangpur, Bangladesh New Delhi, India Brasilia, Brazil Ulaanbaatar, Mongolia Bridgetown, Barbados Rome, Italy Luanda, Angola Ottawa, Canada

2018 2019 2020 2021 2022 2023

New, Delhi China Columbia Pakistan Sweden Cote d’Ivoire

‘Your Planet Needs You-​Unite to Combat Climate Change’ ‘Many species. One Planet. One Future’ ‘Forest: Nature at your Service’ ‘Green Economy: Does It Include You?’ ‘Think. Eat Save. Reduce Your Footprint’ ‘ Raise your Voice, not the Sea Level.’ ‘Seven Billion Dreams. One Planet. Consume with Care’ ‘Zero Tolerance for the Illegal Wildlife Trade.’ ‘Connecting People to Nature-​in the City and on the Land from the Poles to the Equator.’ ‘Beat Plastic Pollution’ ‘Beat Air Pollution’ ‘Time for Nature’ ‘Ecosystem Restoration’ ‘Only One Earth’ ‘Solutions to Plastic Pollution’

education was organized in Tbilisi, Georgia (USSR) from 14 to 26 October 1977, with delegates from sixty six Member States and observers from two non-​Member States. The first Tbilisi Principle recommends for the consideration of environment in environmental education in its totality, meaning that learning about/​in/​for environment should entail all dimensions of environments and how these dimensions interact with one another. The goal was to provide every person with opportunities for generating awareness, acquiring the knowledge, developing values, attitudes, commitment, and skills necessary to participate, safeguard and improve the environment; to generate new patterns of behaviour of individuals, groups, and society towards the environment.

4.2.2  The Significance of the Stockholm UNCHE 1972 1. The environment emerged as the primary concern internationally at this conference. 2. Both developed and developing nations were brought together in this meeting. 3. The first body of ‘soft law’ was founded in international global activities through the Stockholm Declaration and its principles. Stockholm nevertheless provided motivation both for more declarations at the international level in the environmental field and for an approach to the international environment as a universal endeavor. The relationship between environmental problems with 48

Backdrop of the Stockholm Conference, UNCHE, 1972

useful development might be considered to have been founded on the Rio UNCED, 1992 since ‘sustainable development’ was conceived of and stated in Rio, and matters relating to the international environment are commonly included in that broad aspect. The United Nations Conference on Environment and Development, normally branded as Earth Summit, presently, has more or less outmoded most of the features accomplished at UNCHE. And thus, the Stockholm Declaration is now infrequently mentioned as compared to that of the Rio Declaration of 1992.

4.2.3  The United Nations Environment Programme (UNEP) No predecessor had an exclusive mandate for the environment before the establishment of the United Nations Environment Programme. Several governments assembled for the creation of a flexible and agile entity for deploying the environmental expertise already present in the United Nations system. The General Assembly adopted Resolution 2977 (XXVII), and the UNEP was thus established on 5 June 1972 as an outcome of UNCHE, comprising only 58 members in its Governing Council. The chief proponents of this new entity were the USA and Sweden. The UK and France were hesitant and feared international regulation. Germany, Italy, and Belgium joined this group to form the ‘Brussels group.’ Later, the Netherlands and the USA played a dual role, being in both. The institutional status of the United Nations Environment Programme was anticipated to be equal to its functions. The organization harmonizes environmental actions. The representation for environmental issues is contained within the United Nations Organization (UNO). The primary international environmental expertise that sets the global environment program endorses the rational execution of the environmental aspect of sustainable development within the aegis of the United Nations Organization (UNO) and it functions as one of the most influential campaigners for the universal environment. It is headquartered in Nairobi, Kenya, with 6 regional offices and various divisions, liaisons, and out-​posted offices. The United Nations Environment Programme (UNEP) serves as a catalyst, campaigner, mentor, and implementer to endorse sustainable development and the good use of the global environment. The founder members of the UNEP realized the position of UNEP as a leader and coordinator of environmental issues in the UN system and hence designed it to be flexible and evolutionary to make it proliferate further with the emergence of new issues. The initial budget was fixed at 25 million dollars and subsequently revised to 30–​40 million dollars. Finally, with backing from the USA, an Environment Fund of 100 million dollars was created with UNEP’s formation, in the belief that a bigger fund would augment the growth of the environmental agenda. Their mission is to deliver governance and inspire enterprises that are considerate towards the environment by way of stimulating, enlightening, and empowering the countries and the people to boost their quality of lives without compromising the lives of upcoming generations. UNEP’s structure comprises of seven fundamental components: 1. 2. 3. 4.

Early Warning and Assessment (DEWA) Environmental Policy Implementation(DEPI) Technology, Industry, and Economics (DTIE) Regional Cooperation (DRC)

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5. Environmental Law and Conventions(DELC) 6. Communications and Public Information (DCPI) 7. Global Environment Facility Coordination (DGEF). In the 1970s, four important tasks were considered for the creation of the UNEP: • • • •

Knowledge acquisition and assessment Environmental quality management International supporting actions Prevention and settling of disputes.

The Action Plan of the 1972 UNCHE delineated three extensive functional areas for the UNEP: information and analysis, development of policies, and support. The founder members believed that the progress of the functions is indispensable to handling all environmental issues and concerns. The first thing that is required is the definition of a problem based on scientific data. Secondly, the identification of a policy goal and methodology. Thirdly, the catalysis of actions amongst different players is essential. Fourthly, the coordination of the exertions of various actors into a collective response. Fifth is the creation of the capacity for implementation at the level of the respective nations is needed. Finally, there is the need for elaboration on sound enforcement and resolution of disputes. Regardless, some are considered to be too broad while others are thought to be too narrow. The mandate is clearly defined in five core areas. • Monitoring, assessment, and early warning: form the core of the UNEP’s mission. The monitoring capacity of the UNEP was first built with the help of the Global Environment Monitoring System (GEMS) together with the International Register of Potentially Toxic Chemicals. UNEP’s Global Resource Information Database (GRID) exemplifies the distribution of national and human resources with the application of computer aid. UNEP also operates through INFOTERRA which serves as a worldwide network on the global information system. INFOTERRA provides access to data from around 6800 institutes and over 1000 experts in various disciplines. UNEP places national issues and evolving environmental issues on a wider scale through the publication of its flagship journal, the ‘Global Environment Outlook.’ The GEO is the driving force behind the national State of Environment reports in places where no such method was ever carried out. UNEP does not possess a monitoring or a surveillance system of its own, but it gathers, analyses, and integrates data obtained from various UN organizations and other agencies, and educational institutes. The UNEP is also mandated to give advice on policies and provide early warning on any related threat to enable the nations to cope with it. The UNEP provides information and has a rich database on issues and geographical areas but fails to provide a comparative performance of each nation in dealing with environmental challenges. The data thus remains underutilized for making policy-​related decisions. Even with a strong scientific track record, UNEP, however, fails to represent quality and relevance. Many of the other rival groups have filled this gap, providing comprehensive information about the condition of the environment and have eliminated the UNEP from its position of being the world’s environmental authority. For instance,

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Backdrop of the Stockholm Conference, UNCHE, 1972

the ‘Earth Trends’ by the World Resources Institute is an online database on environmental, social, and economic trends worldwide. The ‘State of World Report’ by the World watch Institute evaluates global progress in accomplishing sustainable resource utilization. The ‘Environmental Performance Index’ of Yale and Columbia University shows the numerical benchmarks of the nations’ environmental performances. A parallel information system, called the ‘Global Earth Observation System of Systems’(GEOSS), established in 2005, in the wake of the World Summit on Sustainable Development (WSSD) provides ‘Comprehensive, coordinated and sustained observations of the Earth system,’ possibly eroded confidence in the UNEP in achieving its objectives. • Policy function -​developing norms and laws, the role of a catalyst and coordinator of environmental activities: as a part of global advocacy, the UNEP was anticipated to be highly proactive in setting the environmental agenda and thus making the various governments, IOs, NGOs, and businesses work successfully. Its endeavor has created many global agreements on the depletion of the ozone layer, biodiversity conservation, desertification, and so forth. In some cases, the policies and standards are highly effective, for example, in the case of the Montreal Protocol. The UNEP has rightfully played the role of authority, leader, expediter, and mediator in such agreements. In many cases, the UNEP has been completely absent from deliberations on precarious issues like climate change. As a result, it fails to become a central forum in the field of environment quite in contrast to the WTO in global trade or the WHO in the case of public health. The UNEP has also failed to be the home for the Conventions that have taken place under its aegis like the ILO, IMO, or the UN Economic Commission for Europe. The majority of these environmental Conventions have become self-​governing with their secretariats, their COPs, and additional subsidiary bodies after they have been launched. The UNEP has created multiple global agreements but faces several challenges as a coordinator (Figure A IV-​4.2.3-​1).

Figure A IV-​4.2.3-​1 Important multilateral environmental agreements by UNEP along the timeline.

51

Backdrop of the Stockholm Conference, UNCHE, 1972

The UNEP is also to provide policy guidance for the coordination of the environmental programs and activities of the UN agencies. For this purpose, the General Assembly formed the Environment Coordination Board (ECB) under the Administrative Committee on Coordination (ACC) and comprised of the Executive Heads of the UN agencies for ensuring the cooperation and coordination of environmental programs and for reporting to the Governing Council. The ACC replaced the ECB and appointed a Designated Official on Environmental Matters (DOEM). The UNEP initiated the synchronization of the requirements of five biodiversity-​linked Conventions: the CBD, the CITES, the Convention on Migratory Species, the Ramsar Convention, and the World Heritage Convention along with the regional Barcelona Convention and a Cartagena Protocol on Biosafety. There is a common website along with the establishment of a biosafety clearinghouse, but it lacks a common reporting framework. On the whole, UNEP fails to be the anchor organization and is seen as just another actor in the environmental field. • Environmental governance –​Support function and capacity development: the UNEP is mandated to develop institutional capacity. The UNEP has always lacked the capacity of a full-​fledged operation owing to a lack of adequate staff and the minimum resources that it needs. This is in contrast to the UNDP and the World Bank. The UNEP is the only agency to have its headquarters in a developing nation, Nairobi, which makes it isolated and crippled in terms of communication. Adequate implementation of global agreements raises demand on budgets and financial allocation. An attempt was made to hit a balance between coordination, cooperation, and partnering with the adoption of the 2004 ‘Bali Strategic Plan for Technology Support and Capacity Building’(a consequence of a High-​ Level Open-​Ended Intergovernmental Working Group) but failed to clarify and delineate the individual roles of the UNEP, the UNDP, and the World Bank. Hence instead of becoming partners, they resemble competitors. Implementation places emphasis on the response to particular needs that, in turn, calls for human and financial capacity. The UNEP has never shown any intention toward fulfilling those tasks. The UNEP’s role as a leader in environmental governance has met with partial success. Its efficiency lies in two areas: monitoring and scientific assessment; and in initiating the process of multilateral environmental agreements. The UNEP has been able to call political attention to many issues and has created a body of international law. But the UNEP failed to be the organizational home to several Conventions and agreements that it catalyzed. Being a global authority in the field of environment, UNEP’s work focuses the integration and coordination on setting agenda, capacity building as well as monitoring and assessment in various aspects as shown in Figure A IV-​4.2.3-​2. UN Environment work encompasses: • • • •

Measuring global, regional, and national environmental settings and developments Evolving international and national environmental tools Consolidation organization for the prudent administration of the environment Help developing nations to introduce environmentally comprehensive strategies and practices.

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Backdrop of the Stockholm Conference, UNCHE, 1972

Figure A IV-​4.2.3-​2 Functions of UNEP.

The United Nations Environment Programme laid the highest importance on six significant fields: i. ii. iii. iv. v. vi.

Climate change Resource efficiency Disasters and conflicts Environmental governance Chemicals and waste Ecosystem management.

Additionally, UNEP’s work also includes biological diversity, biosafety, energy security, assessment of the environment, native people, poverty and environment, regional seas, and several others. Considering the magnitude of UNEP’s task, its annual budget of $180 to $215 million is just a drop in the ocean in contrast to others like the UNDP and UNICEF. Voluntary contributions are often unpredictable and uncertain. Moreover, UNEP’s Governing Council made up of 58 member nations, the Secretariat led by the Executive Director, and the Committee of Permanent Representatives (CPR) comprising the diplomats to Kenya lacks any environmental knowledge and expertise and is burdened with their usual responsibilities. The very fact that the UNEP functions as a program and not an agency was primarily to avoid competition with other UN agencies and the impeding effect of the administrative arrangements of specialized agencies. Being a program, it lacks formal power and enforcement ability on powerful autonomous UN agencies. It has the least independence since it has been reduced to a mere vestige subsidiary organ of the General Assembly. Its restricted, 53

Backdrop of the Stockholm Conference, UNCHE, 1972

voluntary funding resource has also added another challenge. The core concern is the question of raising the existing status of the UNEP, or making a de novo global environmental organization. History has borne witness to the fact that making a new organization is difficult and troublesome, and it is a fallacy to anticipate that the brand new organization could be more effective than UNEP. A restructuring of the current UNEP might be ample to make it efficient, but that will need a strong political will and support of the member states. After the formation of the Global Ministerial Environmental Forum, the UNEP’s Governing Council gained a unique status. The call of the General Assembly to obtain a universal membership can improve the stake of all the Member States in consolidating and empowering the UNEP. This initiative can perhaps push the UNEP closer to becoming a specialized Agency, maybe the United Nations Environment Protection Organization or UNEPO. The following are important tasks of UNEP: • • • • • • • •

Assess global, regional, and national environmental conditions and trends Incorporate economic progress and environmental defense Enable the transfer of information and equipment Advance global environmental Conventions and resources, and enforce environment-​ linked development schemes Help in the preparation of courses of action and agreements on subjects such as transboundary air pollution Act as one of the numerous employing agencies for the Global Environment Facility (GEF) Along with the World Meteorological Organization, UNEP instituted the Intergovernmental Panel on Climate Change (IPCC) in 1988. Publishing two separate periodicals, TUNZA, and Our Planet: Atlases and Global Environment Outlook (GEO).

The UN passed a resolution 38/​ 161[1]‌‘Process of Preparation of the Environmental Perspective to the Year 2000 and Beyond’ to launch the Commission in 1983.

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V THE JOURNEY TOWARDS SUSTAINABLE DEVELOPMENT

5.1  Sustainability: From Want to Need Sustainability is understood as a long term goal for coexistence on the Earth; sustainable development may be the pathway to achieve it. It may be about reducing the over-​ exploitation of natural resources, declining biodiversity, land degradation that can be solved through several approaches namely, circular and regenerative economy. Sustainability is faced with global and complex challenges that are constantly changing. Moreover, it requires numerous players across the planet to act. Global leaders comprehended the need to form an organization whose only purpose would be to arouse the consciousness requisite for sustainable development. In the meantime, people inhabiting developed countries were beginning to grow more alert about matters related to the environment arising out of industrialization and development (Rachel Carson’s ‘Silent Spring’). The industrialized nations sought to lessen the environmental impact of the advancement caused by themselves. On the contrary, emerging nations were getting disheartened since they were unable to attain high levels of economic progress in comparison to developed nations. Desperately pursuing growth, these nations often used cheap methods with high environmental bearing along with unscrupulous labor practices to become more developed. The UN felt the emerging need for a group to talk about these issues, which are entwined with the economic and social backdrop. To assemble the nations to function and achieve sustainable development together, a commission was decided upon by the United Nations. The then Secretary-​General of the United Nations, Javier Perez, requested the then Prime Minister of Norway, Dr. Gro Harlem Brundtland to form an independent group solely to emphasize environmental and developmental issues along with their possible solutions. Dr. Brundtland was the Director-​ General of the WHO and, subsequently, a special ambassador on Climate Change for the United Nations who had a strong background in science and public health. She also received the Thomas Jefferson Foundation Medal in Architecture in the year 2008. Officially, the new organization was called the World Commission on Environment and Development (WCED), more often referred to as the Brundtland Commission.

DOI: 10.4324/9781003440574-6

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5.2  World Commission on Environment and Development (The Brundtland Commission) In 1983, the United Nations organized the World Commission on Environment and Development to address the growing concern ‘about the accelerating deterioration of the human environment and natural resources and the consequences of that deterioration for economic and social development.’ The global nature of the environmental issues was identified by the General Assembly of the United Nations, and it was resolute in establishing sustainable development policies in the common interest of all countries. The World Commission on Environment and Development perceives the ‘possibility for a new era of economic growth, one that must be based on policies that sustain and expand the environmental resource base. And we believe such growth to be absolutely essential to relieve poverty’. It believes that growth will come through the improved management of technology and the association of communities. The World Commission on Environment and Development document serves as a summary of the conceptual and moral statements on the state of worldwide activities in connection with environmental dilapidation, global financial disparity and poverty, and the lack of competence of the existing national and international institutions to effectively tackle the challenges to future generations of our young. It conveys invaluable dialogue on the interconnectedness of economic and environmental changes on the interdependency of states in both environmental and economic aspects as well as the interconnectedness of regional ecological structures. The World Commission on Environment and Development ends with recommendations for achieving sustainable development worldwide. The principal reason for, and outcome of, environmental degradation is poverty. The resource gap between the industrialized and the developing countries is broadening, making rules on a universal scale controlled by industrial countries, and a considerable portion of the earth’s ecological capital has already been utilized in industrial development. The commission sees these disparities as the crux of the earth’s environmental and developmental complications. The solution rests in an equitable economic growth sustainable environment. This alteration will depend upon knowledgeable public involvement and the political determination to transform. The World Commission on Environment and Development was requested to prepare ‘A Global agenda for change.’ The United Nations General Assembly highlighted specific points for the functioning of this Commission. The Commission appeals for institutional restructuring in terms of: (a) Recommending long-​term approaches concerning the environment for accomplishing sustainable development by the year 2000 and beyond. (b) Finding means by which environmental matters can be converted into bigger partnerships amongst developing nations the nations and various phases of economic and social development leading to the accomplishment of mutual and conjointly helpful targets that justify connectedness between persons, resources, environment, and development. (c) The global community contemplating ways and methods to handle environmental concerns more effectively in light of the other suggestions made in the report. (d) Helping and explaining the common insights of long-​term environmental matters and also of the suitable efforts required to tackle the issues of safeguarding and improving the environment efficiently, through an extended program of action for the coming years, containing aspirational objectives for the global community. 56

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The organization targeted the making of an integrated global society with common objectives for sustainability by recognizing problems in sustainability globally, raising consciousness about them, advising the submission of information relating to these problems. The text of the World Commission on Environment and Development was the outcome of a 900-​day effort worldwide, which was thereafter investigated, assembled, and pooled together. Suggestions in writing and expert testament from all spheres such as senior governmental representatives, scientists, experts, research organizations, NGO officials, entrepreneurs as well as the general population was incorporated through public hearings all over the world. The commission embraced an exceedingly important political agenda by considering sustainable development as a strategic objective instead of a process. This is an all-​inclusive concept. The Brundtland Commission embraced an exceedingly significant political agenda by looking at sustainable development as a strategic objective, rather than a method. It is an all-​ encompassing notion. Such a methodology isbrutally challenging and placesaccountability for problems and the political determination to overcome them, firmly in the hands of hominid players. Along with this, the Commission called for the consolidation of international law and accords supporting sustainable development and the healthy employment of these instruments for change.

5.2.1  The Brundtland Report: Our Common Future Published in 1987 by Oxford University Press ‘Our Common Future,’ the official document of the Brundtland Commission, dealt with sustainable development together with the transformation of political views required for accomplishing sustainable development. The report was responsible for popularizing the term ‘sustainable development’ and was tasked to bring together two different world views and their respective political conglomeration. One group represents the developed and industrialized North, and the other group represents the developing and industrializing South. As per the report, the definition of term ‘sustainable development’ is defined as ‘development that meets the needs of the present without compromising the ability of future generations to meet their own needs.’ There has been a constant effort to redefine and interpret this term since 1987, but exploring the sub-​ principles of sustainable development leaves us with intergenerational and intragenerational equity. It comprises of two crucial concepts: • The notion of ‘needs,’ precisely means the indispensable needs of the planet’s underprivileged that must have overriding importance • The notion of limits enforced by technological standing and collective association on the capability of the environment to fulfill current and potential requirements. Hence economic and community developmental objectives must be defined concerning sustainable development in all developed and developing nations. It should be market-​driven and centrally planned. There can be variation in clarification, but it must share specific overall characteristics. The objectives should emerge from an agreement based on the primary perception of sustainable development and be the broadly planned framework for attaining such objectives. When the future of the world was uncertain, and the population was infinite, the Brundtland report doggedly struck back with a revolutionary, but still 57

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equitable, message for the creation of a healthy balance between ecological, social, and economic interconnectedness and for the protection of nature. The Brundtland report was a powerful step towards side-​stepping the dichotomy of ‘growth versus environment.’ Some claim that the concept of sustainable development is ‘a grand compromise’ or a ‘multidimensional bridging concept.’ Rather than speaking about the trade-​off between the three pillars of sustainable development, there is an urgency for looking into ways of synergizing these three. Our Common Future defined the main objective of development as well as the fulfillment of human wants and ambitions. Additionally, it imagined sustainable development not to be the final state, but as a course of transformation wherein exploitation of resources, investment trends, the status of technical development, and organizational modification are to be in harmony both with current and with future desires. The twelve chapters of ‘Our Common Future’ deal with the following issues: Chapter 1: A Threatened Future Chapter 2: Towards Sustainable Development Chapter 3: The Role of the International Economy Chapter 4: Population and Human Resources Chapter 5: Food Security –​Sustaining the potential Chapter 6: Species and Ecosystems: Resources and Development Chapter 7: Energy –​Choices for Environment and Development Chapter 8: Industry –​Producing more with less Chapter 9: The Urban Challenge Chapter 10: Managing the Commons Chapter 11: Peace, Security, development, and environment Chapter 12: Towards Common Action –​Proposals for Institutional and Legal Change ‘The Earth is one, but the world is not’ –​our survival is dependent on one Earth. Even then, every society and every nation struggles, needing existence and wealth, having hardly any respect for its effect on others. Several nations utilize resources of the earth at a speed that would leave very little for generations to come, whilst other countries much larger in number eat relatively less and exist alongside a panorama of starvation, filth, ailments, and premature demise. Yet developments have taken place. To make the planet a better habitat for us, we learn from our failures, and we anticipate more improvements. A few instances of what we hope for are: increased life span, better education facilities than before, and higher living standards. The defects that we want to rectify arise both from poverty and from our short-​ sightedness in the ways in which we pursue prosperity. Less privileged people are compelled to overexploit resources for their daily survival, and their destitution future depletes the environment’s resources, resulting in their even more difficult and ambiguous existence. Pressure on the environment has been perceived to be the consequence of the rise in demand for restricted resources as well as pollution created by the rising standards of life of the so-​called wealthy people. Underprivileged and hungry people damage the neighboring surroundings for survival. The activities of these people result in deforestation, overgrazing by livestock, and overworking of marginal land. They just throng into crowded cities in large numbers. Overall, the effect of such changes is very far-​reaching in itself, and poverty becomes the cause of environmental pollution resulting in environmental stress in many 58

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different ways. These stresses are shown by the increasing frequency of various types of disasters. In comparison to the 1960s, six times more people died in the 1970s due to natural disasters. Drought, deluge, deforestation, and the effects of our cultivation are quite widespread. Humans are on the brink of a new stage in their advancement. The purpose does not lie in promotion to develop a materialistic, scientific, and technological base. Since the foundation of humanity rests on wisdom and the ‘humaneness’ that forms the eternal truth, the most important thing here is the realization of novel value and the humanistic intention in human psychology. We require novel reflections on ethical, social, scientific, and ecological fields that must enable the existence of mankind now and in the future. In the early days, environmental ministries and institutions had accountability for environmental matters but hardly had any regulation on annihilation caused by farming, manufacturing, urbanization, forestry, and transport. It is hard to find even a single sustainability blueprint, because fiscal and societal structures, along with environmental circumstances, vary extensively amongst nations. Every country needs to plan out its existing policy issues. However, regardless of the variations, sustainable development must be realized as an overall objective. Countries cannot develop in isolation from each other. Therefore, the search for sustainable development entails a new alignment in global relationships. A significant change in the economy and in society will contribute to progress. The course of sustainable development in a real sense could be tracked even in a definite social and political situation. One of the major contributions of this report is that it paved the path for the Rio Conference, 1992 to happen. The UNCED is regarded as the milestone for sustainable development, bringing in Agenda 21 and the transfer of technologies that are environmentally sound from the Northern block to the Southern block. The old concept of growth relying on ever-​increasing input of energy and other natural resources is not sustainable and must be replaced with less resource-​intensive activity. These methods fail to value natural capital and do not account for natural asset degradation that bankrupts us though we continue to imagine booming economies. Many environmentalists criticized the report to be anthropocentric because it speaks about human welfare as a core value. Developmental critics opined that sustainable development is more of a crude way of imposing the environmental agenda of the North on the South and thereby forcing the developing nations to adopt inappropriate steps instead of focusing on economic advancement. The term obscures the necessary contradiction between environmental limitation and economic growth. Although the report is believed to be inconsistent with various contradictions, it was crafted very cautiously to include various aspects and functions as a new norm of global conduct. Broadly, the move towards sustainable development aims at endorsing synchronization amongst mankind and also between mankind and the environment. In the specific context of the 1980s environment and development crisis, the current national and global political and economic institutions are yet to triumph. The search for sustainable development requires: • A political organization that safeguards the active involvement of citizens in taking decisions • An economic arrangement capable of producing oversupplies and the various technicalities independently and continuously 59

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• A social structure that can deliver answers to tensions arising due to conflicting development • Production scheme acknowledging the responsibility for protecting the foundations for the conservation development • A technological organization that can constantly explore novel answers • A global scheme nurturing sustainability in designing business and investment • An executive structure that is flexible and has the capability for self-​rectification.

5.3  The United Nations Conference on Environment and Development (UNCED), 1992 The twentieth anniversary of the Stockholm Conference (or Stockholm+​20) took place in Brazil, Rio de Janeiro, between 2 and 14 June 1992, also known as UNCED. The event was represented by twenty thousand to thirty thousand government officials, NGOs, and media people from 178 countries to discuss and seek solutions to the universal issues of impoverishment, warfare, and the increasing gap between the developed and the emerging nations. The Summit’s memorandum was that nothing less than an alteration of our approaches and behavior could bring about the required changes. At its end, the Conference Secretary-​ General, Maurice Strong, termed the summit a ‘historic moment for humanity.’ The key emphasis was on the way to ease the universal environment system through the beginning of a model for sustainable development. The notion highlights the crucial dependency of social and fiscal development on the protection of the natural resource base along with impeding environmental dilapidation effectively. The adoption of the notion of sustainable development specifically increased the possibility of global environmental negotiation that had already been promoted as one of the crucial strategies outlined by the WCED five years previously. The condition of the world in Rio was vastly dissimilar from that of the Stockholm period. The cold war underlining the structural framework of UNCHE had gone in the previous twenty years, there was a significant increase regarding environmental issues caused by people in general, and global issues like the depletion of the stratospheric ozone layer and climate change featured directly on the global policy map and energy issues became a leading concern for financial security after the aftershock of blows in oil prices in the years 1973–​1974 and 1980–​1981.

5.3.1  Outcomes of the United Nations Conference on Environment and Development The United Nations Conference on Environment and Development led to: • The ‘Rio declaration’ pronouncing 27 doctrines about environment and development, a non-​legally binding document comprising key principles to direct global actions. • An ambitious plan of measures and actions under the name of Agenda 21. • A non-​legally binding declaration of the propositions for sustainability in the management of forests known as ‘Statement of Principles for a Global Consensus on the Management, Conservation and Sustainable Development of All Types of Forests’ was approved unanimously by the conference. 60

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The official outcome of the conference comprised: • A covenant on the operational regulations for the Global Environmental Facility (GEF) • A legally binding United Nations Convention on Biological Diversity (UNCBD) • Formation of the United Nations Commission on Sustainable Development (CSD) based on the Agenda 21 proposal • A legally binding United Nations Framework Convention on Climate Change (UNFCCC). Although UNFCCC and UNCBD were separate outcomes of UNCED, they were the product of simultaneously negotiated procedures that were presented for signatures at the Rio de Janeiro, 1992 conference.

5.3.1.1  The Rio Declaration The Rio Declaration comprised twenty-​seven legally non-​binding doctrines developed to entrust the governments to take actions for defending the safety of the environment along with responsible progress. It was conceived to be the environmental ‘Bill of Rights’ that defined people’s right to progress as well as their duties towards protecting the shared environment. It affirmed that all citizens should be entitled to a pollution-​free environment, and it affirmed the rights of the developing nations to pursue sustainable development. In other words, the Earth Charter was replaced by twenty-​seven statements of dogma, popularly the Rio declaration that was proposed to escort the upcoming sustainable development everywhere around the globe. These principles or dogma were as follows: I. II. III. IV. V. VI. VII. VIII. IX. X. XI. XII. XIII. XIV. XV. XVI. XVII. XVIII. XIX. XX. XXI.

The Role of Humans State Sovereignty The Right for Development Environmental Protection in the Development Process Eradication of Poverty Priority to the Least Developed State Cooperation to Protect the Ecosystem Reduction of Unsustainable Patterns of Production and Consumption Capacity Building for Sustainable Development Public Participation National Environmental Legislation Supportive and Open International Economic System Compensation for the Victims of Population and other Environmental Damage State Cooperation to Prevent Environmental Dumping Precautionary Principle Internationalization of Environmental Costs Environmental Impact Assessment Notification of Natural Disaster Prior and Timely Notification Women have a Vital Role Youth Mobilization

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XXII. XXIII. XXIV. XXV. XXVI. XXVII.

Indigenous Peoples Have a Vital Role People under Oppression Warfare Peace, Development and Environmental Protection Resolution of Environmental Disputes Cooperation between State and People

This declaration identifies that linking environmental defense with long-​term social and economic development is the only option for ascertaining justifiable partnerships worldwide involving government and important players of the community and the commercial section. The Rio declaration comprises various advanced proposals; for instance, the polluter pays principle (the polluter to accept the pollution costs of pollution) and the precautionary principle (to undertake appraisal on the environment to ascertain negative effects and exclude every possible damage from a scheme before its initiation). The principles promote and assure that the resource foundation for future generations will not be degraded by present progress. It also opines that the developed nations should take the lead with an extraordinary commitment on account of the burden that their people place on the overall environment together with their expertise and control of economic means. Resilient policies on the environment are expected, but such must not be utilized as an unjustifiable way of curbing worldwide deals and closing off Northern markets for Southern nations. Nevertheless, all of the nations should eliminate unsustainable means of production and utilization.

5.3.1.2  Agenda 21 Agenda 21 is a comprehensive blueprint for an environmental action plan for the 21st (subsequent) century. Although legally non-​binding, it contains the foundation for new international collaboration for sustainable development and for the protection of the overall environment. It forms Rio 92’s main article that has been formulated to tackle a few of the basic issues such as depletion of resources and assistance for the budding nations. Agenda 21 emphasizes multiple issues related to worldwide sustainability. Agenda 21 is essentially characterized by finance, technological execution, technology shift, and official follow-​up by the UNCED. The agenda is the international action plan towards sustainability, meeting the requirements of the impoverished and identifying developmental limitations to fulfil overall necessities. It becomes the foundation on which sustainable development rests and endeavors to outline the balance between production and consumption, populace, expansion, and the life support capability of the Earth. It deals with discussion around impoverishment, overutilization, well-​ being, knowledge, metropolises, agronomy, foodstuff, management of natural resources, and numerous other topics. Agenda 21 comprises 40 chapters, assorted into four sections: Social and economic dimensions to development: emerging nations, paucity, utilization patterns, populace, healthiness; human encampment; integration of environment and development.

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Conversation and management of resources: air; soil; woods; barren regions; mountains; cultivation; biological diversity; biotechnology; oceans; freshwater; deadly chemicals; harmful, nuclear, and solid wastes, and sewage. Strengthening the role of major groups: girls, children, and early stages; native populace; non-​government organizations; local establishments; employees; commerce and manufacturing; agronomist; scientist and technocrats. Means of Implementation: funding and sponsorship, technology transfer; science; edification; competence building; global organization; lawful method; facts. 5.3.1.2.1  SECTION I –​ SOCIAL AND ECONOMIC DIMENSIONS

1. Call for a global collaboration: to offer and provide a world economy that is vibrant and depends on a reasonable, safe, unbiased, and foreseeable multiparty trade scheme in which the export from budding nations can get markets at just prices free from levy and non-​levy hitches. 2. Fighting poverty: through the integration of developmental policies with resource management. This target could be fulfilled when poorer people have more entree to knowledge, healthcare, secure water, hygiene, and land. Disadvantaged people should be getting more empowerment, for example, women, young people, native people, and with both parents enjoying equal rights on the decision regarding childbearing. 3. Altering patterns of consumption: the ways of consumption of the budding nations are not highly sustainable and pose serious issues. Newer concepts of lifestyle patterns should be discovered through research and policy schemes that are both in tune with the earth’s carrying capacity and least dependent on its resources. 4. Demographic dynamics and sustainability: policies on population should be developed and exercised that are incorporated in the fiscal and developmental programs. Reproductive healthcare services should be more women-​centric and managed, with better affordable reproductive healthcare services, along with stress on reducing the infant death rate. 5. Safeguarding and endorsing human health conditions: environmental healthcare services to be provided, connectedness between citizens, and health division with appropriate health service coverage should be promoted. 6. Endorsing the evolvement of sustainable human settlement: entree to land, appropriate land use planning and to the informal sectors, loans, less costly construction materials for the impoverished, up-​gradation of slums; access to basic services, promotion of the use of high occupancy public transport, bicycle and reducing long-​distance commuting. 7. Integration of environment and development issues in decision making: the integration of social and environmental schemes in all departments at all levels, including fiscal measures and budget. 5.3.1.2.2  SECTION II –​ CONSERVATION AND MANAGEMENT OF RESOURCES FOR DEVELOPMENT

8. Safeguarding of the atmosphere: urges conservation and expansion of the GHGs sink; to take transboundary pollution as a subject of international control; ways to monitor the levels of air pollutants; upgrading power systems to increase the efficacy of energy and promote the utilization of renewable resources; lithospheric resource 63

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base accounting, the interest of localities and population dynamics to be taken in consideration.  9. A coherent point of view towards the design and management of land resources: implementation of laws to support sustainable land use, restricting the shift of fertile lands to utilization in other purposes; encouragement of traditional practices, incorporating decisions of women youth and indigenous people in the use of land, incorporating social, economic and environmental issues into planning. 10. Combating deforestation: to inculcate the worth of existing forests under sustainable farming practices with native/​local methods and agroforestry; increasing the depleted forest cover with participation on all fronts; growing stress-​tolerant and high-​yielding plants, protection of jungles by reducing pollutant levels, promoting urban forestry and greening, minimization of wood waste; a call for concerted global research and conservation effort to prevent uncontrolled forest degradation and its conversion into other types of land use. 11. Management of delicate ecosystems; tackling drought and desertification: intensive study needed into desertification issues, the interrelationship between drought and climate change for better prediction; studying the succession of flora to assist re-​vegetation on a bigger scale; preventing erosion and other measures; assistance in the adaptation and resettlement of inhabited people who are threatened or erased with sustainable plans and programs. 12. Managing fragile ecosystems and sustaining mountain development: through study, safeguarding, and restoring these delicate ecosystems and backing the inhabitants in areas suffering degradation; promotion of low-​cost, simple, and usable erosion-​control measures; to offer incentives to people for conserving resources; creating protected areas to conserve indigenous genetic materials; to identify hazard-​prone regions especially susceptible to soil erosion, landslides, seismic actions, avalanches, deluge, and various other natural calamities and also to improve early warning systems and disaster response squads; to recognize hilly areas intimidated by atmospheric pollutants released from adjacent industrialized and metropolitan areas. 13. Promoting sustainable agriculture and rural development: to meet the food demands of the rising population by reducing food spoilage, soil and water conservation, fair market pricing, people to be prepared and trained in the current and traditional modes of conservation, IPM (integrated pest management); improved and judicious allotment and use of information related to the genetic resource of flora and fauna and co-​ ordination involving rural masses, private sectors, national governments, and the international community. 14. Conserving biodiversity: recognizing the urgency for conserving and maintaining genetic, species, and ecological diversity; conducting an evaluation of the state of biological diversity at the national level; to design national-​level policies to preserve and support biodiversity and all these to be a part of general nationwide policies for development; to undertake continuing research into biological diversity, the importance of ecosystems that yield products and environmental well-​being; protect natural habitats and boost conventional methods. 15. Environmentally sound management of biotechnology: engage with the need for a globally approved proposition on risk assessment and the management of all biotechnological aspects; to enhance the production and nutritional value of food and fodder, to evolve vaccines and other techniques for preventing the outspread of disease; 64

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increase the resistance of crops to pests and diseases in order to lessen the use of chemical pesticides, to cater for the use of the bio-​control of disease-​transmitting vectors, effectual treatment of organic chemical wastes including oil spill and sewage and also tapping mineral resources in a less environmentally detrimental manner. 16. Protection and managing the oceans: to predict and stop additional damage to the oceanic environment and lessen the threat to continuing, irreparable impact on marine environments to ensure judicious utilization and development of their living resources, to implement strict international legislation to lessen the chance of accidents and pollution from cargo ships, to avoid the discharge of synthetic chemicals that may bio-​concentrate or bio-​accumulate at dangerous levels, to pursue land use practice operations for reducing soil runoff and waste disposal into the riverine systems and finally into the seas, to prevent ocean disposal and hazardous waste incineration, application of the polluter pays principle and initiating fiscal incentives for decreasing pollution, to better the standards of living of the coastal inhabitants. 17. Safeguarding the attributes of and the provision of freshwater: seeking of composite methodologies to develop, manage, and utilize water resources to accomplish water supply worldwide by 2025; short-​term target for 2000 that included delivering at least 40 liters of safe drinking water to all urban inhabitants per capita daily; to provide sanitation to 75% of urban residents; to develop norms for release of domestic and industrial wastes; to provide collection and recycling, or disposal of three-​quarters of solid waste in urban areas in an ecologically safe method. 18. Management of toxic substances in an environmentally sound manner: completion of the assessment of 500 chemicals to have been achieved before the year 2000; the controlling of chemical threats by avoiding pollution, by accounting for emissions, by the labeling of products; by imposing restrictions and promoting processes that deal with guidelines for exposure; by phased elimination of the use of high-​risk chemicals; through contemplation of policies based on producer liability; providing public facilities for enlightenment on chemical threats in lucid languages for people handling such substances; using easily understandable symbols in the development of a chemical-​ hazard labeling system; prohibiting unlawful transboundary trafficking of toxic and harmful substances. 19. Management of hazardous waste in an environmentally sound manner: innovation required by industry on clean manufacturing techniques that are also precautionary and recycling in nature; to promote the phasing out of methods that are highly risky; producers to be held responsible for thoughtless dumping of such toxic wastes generated into the environment. 20. Environmentally sound management of solid wastes and sewage-​ related issues: reducing the bulk of waste and increasing reuse and recycling as the key approach towards sustainable waste treatment and disposal; augmenting ‘life cycle’ management of materials in and out of process and utilization; allocating incentives for recycling options; promotion of compost production, treatment of wastewater and further use of it for irrigation, recovering energy from waste; formulating directives for the safer reuse of wastes and motivating markets to use products from reuse and recycling. 21. Management of radioactive waste in a safe and environmentally sound manner: encouragement to find means of reducing and restricting the production of radiation wasteland to make arrangements for safe storing; handling, acclimatizing, transport, and dumping of waste; to assist emerging nations with technical expertise; assisting them so 65

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that they can handle waste, or making provision for nations to give back the spent fuel to suppliers, endorse correct scheduling and sound means of handling nuclear waste that are environmentally safer. 5.3.1.2.3  SECTION III –​ STRENGTHENING THE ROLE OF MAJOR GROUPS

22. Preamble 23. Action for women approaching worldwide sustainable and equitable development: education to be equally accessible to girls; women and girls to have reduced assignment loads; making healthcare arrangements open to female needs; the opening of jobs and holidays for women, the involvement of women in all spheres of social, cultural, and public life. National leadership is to guarantee the roles of women in nationwide and worldwide ecosystem governance and leadership in preventing environmental dilapidation; women’s rights to property to be ensured; government to ensure all essential procedures to eliminate violence and to protect women and move together to exclude negative imagery of women. 24. Children and youth in sustainable development: to make sure that half of youth from both genders have the right to secondary education or occupational training, impart education about the environment and sustainability to the students so that they become decision-​makers, representatives in various international meetings, exchange dialogues, actively participate in UN activities, fight human rights issues to ensure adequate health care, food and education facilities as well as protection from pollution hazards. 25. Identifying and consolidating native people and their communities’ role: this includes indigenous people in global partnership by protecting their rights and patrimony conservation, protecting their land from environmental activities that are socially and culturally incorrect, adding their right into national law, encouraging the practice of conventional information and resource management and also to ensure that they have access to the required technologies to enhance their efficiency of resource management. 26. Consolidating nongovernmental organizations’ roles as collaborators for sustainable development: inviting NGOs to take part in policymaking and decisions on sustainable development, re-​examination, and evaluation of the working of Agenda 21; encourage more and more collaborations between NGOs and locals; take legal action to the protection of public interest. 27. Initiatives of local authorities supporting Agenda 21: to call for complete involvement of women and youth in making resolutions, and in the scheduling and enactment procedures at all times; to refer to inhabitants and communities, commercial and industrial organizations to collect facts and figure based on consensus on sustainable development approaches. 28. Strengthening the role of employees and their trade unions: governments, trade, and industries to aim to provide services that will add to incomes in harmless, hygienic and healthy environments, sustainably, at the workplace and beyond, promoting dynamic and knowledgeable employee and trade union involvement to influence and execute environmental and developmental approaches at nationwide and worldwide levels. 29. Consolidating the task of business and industries: to use monetary encouragements, decrees, criteria, and more rationalized management to endorse sustainably organized initiatives with clean manufacture; boost conception of venture capital funds, and collaborate with commercial houses, industries, the academic world, and global groups to support practice in the ecological aspects of project management. 66

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30. Consolidating scientific and technological community: governments to resolve how domestic scientific and technical programs could aid and create progress that is more sustainable; to afford for complete and transparent information sharing among researchers and decision-​makers; to practice the delivery of public information that is comprehensible and pertinent to the indigenous need of sustainable development, from national levels to provide advisory groups assisting researchers and society to formulate universal ideals on the principles of environment and development; and to place environmental and developmental morals into education and research priorities. 31. Strengthening the role of farmers: to appeal to governments to work in collaboration both with research centers in their countries and at global levels and also with NGOs to evolve sound environmental and agricultural practices and techniques that would increase crop harvests, uphold soil quality, improve nutrient recycling, improve water and energy conservation, provide better control of pests and weeds; assist agrarians in disseminating knowledge for the conservation of terrestrial, aquatic, and forest resources, effectively use chemicals and in decreasing or reusing agricultural wastes; inspiring self-​sufficiency in low input, low energy-​intensive technology together with traditional customs. 5.3.1.2.4  SECTION IV –​ METHODS OF IMPLEMENTATION

32. Monetary resources and means: affirm the need of the removal of lack of money as crucial to reach nationwide and worldwide targets of sustainability; the price of procrastination might overshadow the monetary expense of executing Agenda 21; such a massive agenda of sustainable development necessitates the provision of extensive new and supplementary financial resources to the emerging nations, along with assurances of concessional subsidy to be augmented in the preliminary phase. Additionally, the industrialized countries need to reiterate their assurances to meet the acknowledged UN objective of 0.7% of Gross National Product for concessional funding as quickly as feasible. 33. Transfer of environmentally sound technology, cooperation, and capacity building: financial support would flow from the industrialized to the emerging countries chiefly by means of technical expertise. 34. Science for sustainable development: combined global initiatives should continue to necessitate sustainable development in the learning of nutritional cycles and instituting resilient nationwide scientific innovativeness in the emerging nations. Science connects the basic perception of the earth system for improving policy approaches that are dependent on its ongoing vigorous operation. Countries are required to grow tools for sustainable development, for example, indicators of quality of life that cover physical condition, education, societal happiness, the condition of environment and financial systems, monetary enticements boosting improved resource management, and means to assess the environmental reliability of newer technologies. 35. Promoting education, public awareness, and training: children to enjoy the right to education; adult literacy to be decreased to 50% of its 1990 level, and the syllabus to integrate environmental and development issues in learning, connected to population growth, safe drinking water, health and hygiene, nutrition, the environment, and the fiscal effect of resource use; establishing training programs for school pass outs and university graduates to assist them in attaining sustainable livings. 67

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36. Nationwide means and worldwide collaboration for capacity building in budding nations: developing nations need more technical support to cope with fresh long-​term challenges rather than simply dealing with current imminent problems. For example, people in government as well as in business must acquire knowledge about the ways of evaluating the effect on the environment of all developmental assignments, beginning as soon as the assignments are understood. Help can be in the way of expertise, information, and methodical know-​how; it could be derived from the UN, nationalized governments, municipalities, NGOs, universities, research centers, industry houses, and also private organizations. The UNDP has been endowed with the accountability to mobilize worldwide funds and coordinate programs for capacity building. 37. International institutional arrangements: the General Assembly is the ultimate premeditated body to frame policy in the existing United Nations system. The Economic and Social Council is the appropriate overseer of system-​wide synchronization and reports to the General Assembly. 38. International legal instruments and mechanisms: calls for the expansion of commonly negotiated contracts that produced effective global standards for environmental defense, considering the diverse conditions and capacities of different nations; a worldwide appraisal of the validity of founding overall privileges and responsibilities of nations as in the arena of sustainable development; and actions for avoiding/​resolving global disagreements in the area of sustainable development. 39. Information for decision making: appeals to governments to make sure that native communities and resource handlers receive information and expertise desirable to sustainably handle their environment and resources, together with solicitation of conventional and native information; more statistics stating the condition of metropolitan air, freshwater, land, desertification, soil degradation, biological diversity, high seas, and the higher atmospheric layers; additional facts about individuals, urbanization, shortages, fitness and rights of handling resources.

5.3.1.3  Statement of Principles for the Sustainable Management of Forests The Statement of Forest Principles is the foremost international covenant regarding the sustainable administration of forests. It is non-​legally binding; even then, all signatory Parties are expected to exercise reforestation and conservation, including the development of programs to discover monetary and social replacements for forestry through fifteen non-​ binding principles. These philosophies were frequently considered as a basis for negotiating and approving any International Forestry Conventions.

5.3.1.4  United Nations Convention on Biological Diversity (UNCBD) More than its moral or appeals, the conservation of biodiversity stands central to our well-​ being and economy. Extinction of species looms over our natural resources on which sustainable development is independent. Plants and animal genetic material (numerous and many yet undiscovered) forms the basis for agrarian, medicinal, and other biotech-​based businesses. One quarter of all pharmaceutical products in North America are predicted to contain constituents obtained from native plants. Biodiversity forms the key to environmental upkeeping, backwater purification, aerogenesis, oxygen, and carbon cycling. 154 nations were signatories to the CBD with 68

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the key objectives being the conservation of biological species, genetic resources, habitats, and ecosystems; to confirm the sustainable utilization of living resources; to assure just and reasonable benefit-​sharing resulting from genetic materials. It was comprehended as a useful device for transforming Agenda 21 philosophy into realism. There are 23 preamble paragraphs and 42 articles in the CBD. The preamble paragraphs inter alia identify and endorse the following: • • • • • •

The intrinsic value of biological diversity Conservation of biodiversity as shared human concern Self-​governing privileges of states over their living resources Accountability of states to protect and sustainably use their biodiversity Precautionary methods towards the conservation of biodiversity The dynamic role of native groups and of women in conserving and sustainably using biodiversity • The need for ease in obtaining novel and supplementary financial resources and entry into technologies for developing nations to help reduce biodiversity loss.

5.3.1.5  The United Nations Framework Convention on Climate Change (UNFCCC) The aim of the United Nations Framework Convention on Climate Change (UNFCCC) was to ‘achieve…stabilization of greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous interference with the climate system.’ More than 180 countries were signatories and endorse both the principles of ‘common but differentiated responsibility’ and ‘precautionary action.’ The agreement categorizes nations into two groups: the ones that are enlisted in Annex 1 and those who are non-​signatories (known as ‘non-​Annex 1 Parties’) of the Convention. Annex 1 Parties are primarily developed nations, whose contribution is of a maximum to ‘climate change.’ For instance, eighty-​five percent of man-​made CO2 emissions are currently from North America and the EU together. The UNFCCC recognizes the most important part to be played by those developed countries in restricting global warming and also needs their assistance towards developing nations to evade the adverse impacts of climate change, helping them to be able to embrace adaptation. UNFCCC asked the Annex 1 Parties for the stabilization of their GHG discharges at 1990 levels by the year 2000. (For details refer to Section B Chapter X-10.2.3)

5.3.1.6  United Nations Commission on Sustainable Development (UNCSD) In 1992 December, the General Assembly ensured the effectual follow-​up of UNCED by establishing UNCSD. UNCSD serves as the authority to review the advancement of the execution of the agenda 21as well as the Rio Declaration and also to provide policy support to scale up the Johannesburg Plan of Implementation (JPOI) at local, national, regional, and global levels. UNCSD was endorsed by the JPOI as a high-​level platform for sustainable development. The Earth Summit, 1992, has affected every other succeeding UN conference that has reviewed the connection amongst human rights, people, social development, women, and 69

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human settlements, alongside the requirement for environmentally sustainable development. For instance, the 1993 Vienna World Conference on Human Rights emphasized the rights of individuals to a vigorous environmental and development rights. These were debatable appeals that had seen confrontation from the several member states until Rio. The first Earth Summit, organized in 1992 in Rio de Janeiro Brazil, was named officially as the United Nations Conference on Environment and Development (UNCED). Twenty thousand to thirty thousand people, government representatives from 178 countries, NGOs, and the media, took part in this meeting to talk over remedies for worldwide issues, for example, poverty and scarcity, war and conflict, or the increasing gap between developed and budding nations. UNCED highlighted the critical dependence of financial and social issues on natural resource protection along with real actions to avert environmental degradation. In the late 80s, much before this summit, the UNEP members had agreed to include some kind of universal contract for the protection of biological diversity and prepared a draft agreement (Nairobi Conference). That draft agreement was put on the table in Earth Summit 1992, in Rio, Brazil, requesting various countries to add their signatures. The signed global accord is known as the Convention on Biodiversity or Convention on Biological Diversity or CBD.

5.3.1.7  United Nations Convention to Combat Desertification (UNCCD) The formation of the UNCCD is the initial and sole globally legally binding framework organized for addressing the issues of desertification, added later in 1994. The UNCED marks the beginning of a new process. The outcomes of the UNCED will be continuing as a dynamically constructive foundation that will form the very basis of upcoming discussions, debates, agreements on the diverse aspects of sustainable development, and a constellation of issues and concerns identified as crucial for the economic and environmental well-​being of mankind. The major outcomes, namely, the Rio Declaration and Agenda 21, serve as testaments for the sustainability of nature. A chain of processes such as the UNCED is unlikely to occur at frequent intervals. It was successful in creating an umbrella regime in the field of sustainable development and spawned various sub-​regimes in specific environmental subdivisions and cross-​sectoral policy areas such as biodiversity, forestry, desertification, climate change, where the lessons learned could be meaningfully applied. UNCED was also aimed at blooming the goals and action plans that germinated in the 1972 UNCHE and also served with a blueprint for modification, extension, and effective coordination and cooperation in the area of environmental concerns at local and global levels. The Rio 1992 was not fully a success. The global decision-​making process requires nearly two hundred nations to agree before any concrete action can be planned. Environmental issues are not given a national priority by many countries. And there is little room for democratic accountability at the decision-​making level worldwide. The conflict of interest between the Northern and Southern blocks is huge and leaves little scope for compromise.

5.3.2  The Stake of Rio The 1992 UNCED was regarded as a turning point for global environmental policy. The nations met and sought to find solutions to two crucial issues: environmental protection and economic development, each of which was evolving separately and independently. The merging of environment and development was a significant move for the emerging 70

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nations in contrast to the earlier conferences. It provided hope for improved North-​South cooperation. With the end of the Cold War, apprehension for East-​West conflict dominion were minimized and led to the emergence of one superpower. In theory, at least the Rio Conference set up the vision towards sustainable development that marches towards environmental protection along with grander environmental justice. Three of its outcomes: the UNFCCC, the CSD, and the CBD, are noteworthy. Not to mention the nonbinding Rio Declaration. In reality, the USA was accountable for the gulf between global environmental consciousness and post-​UNCED reality. The USA emerged as a superpower both economically and politically on the one hand, and on the other hand, they are the largest consumer and polluter. They were considered as the leaders in environmental regulation at one point in time but now fall behind the European nations in embracing novel and pioneering regulatory methods such as ecological tax, extended product responsibility, and precautionary principles for preventing potential damage. The USA has undermined the UNCED by declaring that it would not sign the CBD even after approving the draft text. Instead, they emphasized global forest conservation and donated $150 million to do so in the developing nations. The leader in the South branded it as ‘greenwash’ and envisaged this effort as a shifting of the focus from the North’s responsibility to regulate industrial pollution, to the Southern block’s responsibility for conserving forests by way of carbon sinks. This call is just to divert attention from their reluctance and failure to act on biodiversity.

5.4  Earth Summit+​5, New York, 1997 An extraordinary meeting of the United Nations General Assembly Special Session (UNGASS) reviewed progress in implementing Agenda 21 in 1997 (Earth Summit+​5). The Statement of Commitment at this nineteenth special session recognizes the Rio conference 1992 as a landmark event based on global consensus and political commitment at its highest level along with Agenda 21 as the fundamental program of action. The statement expressed deep concerns with the overall trends with respect to sustainable development and committed to ensure greater progress in achieving sustainable development by the next comprehensive review of Agenda 21 in 2002. The assessment recognized globalization in the field of world trade, foreign direct investment and capital markets to bring new opportunities and challenges. Globalization-​enforced economic growth enabled a few countries to reduce poverty, but marginalization has increased in the case of others. More people living in poverty and more unemployment were very prominent among other issues. The gap between the least developed countries and others had grown rapidly. The FAO was the task manager providing valuable inputs for major chapters including Chapters 8, 10, 11, 13, 14, 17, 19, 24, 32, and 40 of Agenda 21. Hence, it also plays an important role in the follow-​up to the UNCED. The assessment of Earth Summit execution strongly points out that the issues still had not been fixed. Matters on climate, forests, toxics, fisheries, atomic power, and radioactive wastes: the significant environmental indicators showed that we were marching away from sustainability. The review also showed some of the encouraging steps, for example, a fall in the population growth rate, increased food production, increased average life span, better social services, improving trend in energy efficiency, institutional development, public participation, the Basel Convention to prevent transboundary consignments of hazardous waste, the Montreal Protocol pledging restrictions on the utilization of ozone-​depleting chemicals, the 71

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London Convention to prohibit ocean dumping of radioactive and hazardous wastes, the global fisheries agreement on exceedingly migratory fish stocks, and UNEP’s decision to organize the mediation of a global treaty on POPs. On the other hand, the majority of the ‘achievements’ have been mere ‘paper victories.’ eclipsed by mounting true-​world indications of worrying progress that is not being handled properly. Many gaps were recognized, mainly concerning social equity and poverty. This was echoed by deteriorating levels of official development assistance (ODA) and mounting international debt, along with fiascos to recover: transfer of technology, capacity building for participation and development; formal co-​ordination; and to decrease extreme levels of production and consumption. This review meeting called for the approval, strengthening, and tougher execution of the expanding number of global agreements and Conventions which talk about environment and development.

5.5  World Summit on Sustainable Development (WSSD), Johannesburg, South Africa, 26 August to 4 September 2002 Earth Summit-​II or the Johannesburg Summit, held in 2002 reiterated the universal obligation towards sustainable development, warranting the link between natural resources and our wants (or needs). It implied the fact that development emerging at the expense of nature’s resources must not surpass Earth’s carrying capacity. The summit was determined to construct a compassionate, justifiable overall society conscious of the need for everybody’s human dignity. Children symbolize the shared future, from every part of the planet, knowledgeable through diverse life experiences. They are united and enthused by profound wisdom with the urgent want to build a conceivably fresh, and optimistic world. The Conference recognized that poverty eradication, changing the modes of use, manufacturing, strengthening, and handling the natural resource base for the sake of economic and social progress are all-​inclusive, crucial necessities for sustainable development. The summit was attended by over 21 000 people comprising 9101 representatives, 8277 NGO representatives, and 4012 credited media. The gathering comprised thousands of members including leaders of state and government, national envoys, leaders from non-​governmental organizations (NGOs), industry, and various other groups to raise the world’s awareness and administer actions towards resolving tough tasks, including improving lives of the people and safeguarding nature’s resources in the world that is teeming with people, with ever-​mounting burdens of food, water, housing, fitness and hygiene, energy, and financial security. The then US President, Mr. George W. Bush, shunned the meeting and was absent. The absenteeism of the USA made the summit somewhat impotent. Mr. Kofi Annan, the Secretary-​General of the United Nations, recognized five specific areas where tangible outcomes (the so-​called ‘WEHAB’ agenda) are both vital and realizable in his speech:​ Water and Sanitation: at least one billion people should have entrée to clean potable water and around two billion to proper sanitation. Energy: more than two billion people should be able to avail themselves of modern energy services; renewable energy use should be encouraged along with minimization of overconsumption; climate change should be tackled through ratification of the Kyoto Protocol. 72

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Health: reporting the outcomes of toxic and hazardous chemicals, reducing atmospheric pollution resulting in three million deaths annually as well as reducing malaria and African guinea worm prevalence that is closely related to water pollution and pitiable sanitation. Agricultural crop production: is to be increased by taking all possible measures to stop the degradation of land that interrupts approximately two thirds of global agricultural production. Biological diversity and ecosystem management: stopping all procedures that have devastated around 50% of the tropical rainforest and mangroves of the world and are presently threatening seventy percent of coral reefs and annihilating fisheries. Hence the agenda, Water, Energy, Health, Agriculture, and Biodiversity (WEHAB), deals with safe, clean potable water. It is about using energy sustainably in businesses and industries. It speaks about empowering the public to possess heating and lighting, and to prepare food in a way that is less harmful environmentally. It is about encouraging good health in all corners of the globe. It speaks of possessing land to cultivate our food and of the biological diversity that the Earth needs for self-​sustenance. The WHO and UNICEF Global Water Supply and Sanitation Assessment Report 2000 gave an outline on the disbursement of the water and hygiene section. Accordingly, almost one out of five people, in other words, 1.2 billion men, women, and children, are without entrée to freshwater. An astonishing 2.4 billion people suffer because they need satisfactory hygiene. Filthy drinking water and inadequate sanitation are well known as the leading causes of death on earth, accountable for 2.2 million deaths annually. As per the UN report, two million individuals, mostly children, die annually from diseases connected to water and hygiene. The link between water, poverty upliftment, and sustainable development became more and more obvious. People are suffering because of inadequate water supply. The people who become sick from the water and hygiene-​associated sickness are also unable to work at their occupation and fail to contribute to the social and financial improvement of their society. Their way of sustainable development is obstructed. Each year, 2.2 million prophesied to diarrhea; billions endure nutritional, and financial loss through diarrheal disease, which could be averted by developing water supply and sanitation. At any time, 1.5 billion people globally, namely, one in every four, bear parasitic infections that result from human excretory substances and solid wastes disposed of in the environment. Improved hygiene services and clean water are essential if the lifestyles of the metropolitan poor are to be upgraded. The World Summit on Sustainable Development (Earth Summit 2002), led to the adoption of the Johannesburg Declaration on Sustainable Development along with the approval of the Plan of Implementation of the World Summit on Sustainable Development, pledged to build a humanitarian, reasonable and empathetic society globally, aware of the requisite for human dignity for everyone. The summit recognized the position of humanity at a turning point, with the aggregation of global leaders to agree on a general decree to yield a realistic and noticeable strategy that could eliminate poverty and bring human development. The breach between rich and poor nations stands out as a persistent necessity to produce a vibrant and empowering financial environment globally, with provision for international collaboration, chiefly in the field of finance, transferring technology, liability, and business and international decision-​making. As per the draft text, peace, security, and stability are indispensable for accomplishing sustainable development and guaranteeing 73

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that it serves the welfare of all. Governments have approved the prerequisite to provide elementary health services to all, together with educating about the right to use to critical drugs, immunization facilities, and vaccines, and beginning global capacity-​building initiatives to combat disease and to decrease environmental health problems. Governments have also agreed to follow up on their promises to upkeep the Global Fund to Fight AIDS, Tuberculosis, and Malaria, and to lessen respiratory diseases, together with by phasing out the use of lead in gasoline and lead-​based paints, and by giving access to cleaner energy.

5.6  The United Nations Conference on Sustainable Development (UNCSD), well-​known as Rio 2012, Rio+​20, or Earth Summit 2012 This aimed for an intensive political outcome document that comprised flawless and real measures for the execution of sustainable development. The agreements and outcome of the ten-​long deliberations at Rio+​20 were entitled ‘The Future We Want’ by the government delegations. Seventy-​nine chiefs of state, or government representatives from one hundred and ninety-​one UN member states, and observers, spoke on the platform. Around 44 000 badges were dispensed for official meetings at an expected 500 side events in Rio Centro, the venue for the Conference itself. The key targets of the RIO+​20 meeting are: 1. Securing improved political assurance for sustainable development 2. To evaluate the improvement until the present date as well as residual gaps in the execution of the result of the most important meetings on sustainable development 3. To discourse novel and emergent tasks. The session concentrated on two themes, mainly: • A ‘green economy’ regarding sustainable development and poverty extermination. • The institutional structure for sustainable development. Additionally, seven serious areas of concern were documented during the foundation activity of the conference and drew ‘urgent attention’: jobs, energy, cities, food, water, oceans, and disasters. 1. Jobs: fiscal activities and social policies should result in lucrative jobs that are safe for social consistency and constancy. It is important to have organized efforts to keep to the requisites of the natural environment. ‘Green jobs’ are places in farming, trades, services, and governance that contribute to preserving and restoring the quality of the environment. 2. Energy: sustainability is needed for consolidating economics, protection of the ecological systems, and attaining impartiality. The present drive by Ban Ki-​Moon, the eighth Secretary-​General,aims to guarantee the worldwide right to contemporary energy facilities, increased efficiency, and growing use of renewable energy resources. 3. Cities: the social and economic progress of people living in the cities. There are multiple issues of concern regarding the sustainability of cities, such as generating employment and wealth at the same time, not damaging the land and natural resources. These issues 74

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4.

5.

6.

7.

pose a challenge to the cities and affect them in a manner that requires them to display endurance to prosper and propagate whilst simultaneously fine-​tuning the utilization of resources, decreasing contamination, and reducing paucity. Food: if practiced appropriately, farming, forestry, and fishery produce can deliver wholesome nourishment and create decent revenues for all, at the same time providing support to people-​centric rural development and guarding the environment. It is a fact that soil, freshwater, oceans, seas, forests, and biological diversity continue to be quickly degraded. Additionally, climate change is placing even more burden on our resources. It is thus imperative that the food and agricultural sectors offer important answers for progress, in order to eliminate starvation and paucity. Water: lack of supply of safe water, hygiene, and cleanliness issues are correlated with diseases and death that affect millions of people, particularly children, every year. This is basically due to poor infrastructure and poor economy. The dearth of water, poor water quality, and poor hygiene facilities, all affect food security, occupation choices, and education chances for underprivileged families worldwide in a negative manner. Oceans: the oceans of the world: their chemical nature, water currents, water temperature, and other parameters make Earth a habitable place for mankind and other creatures. Vigilant supervision of this indispensable universal resource is a prime requisite for a sustainable future. Disasters: may be in the form of earthquakes, tsunamis, deluges, dearth and famine, cyclones, volcanoes, and these all might exert overwhelming influences on people, environment, and economy. But it is feasible to have resilience and to make a speedy recovery. Natural disasters are quite frequent and quick in onset these days and take a bigger toll in terms of life and material goods. Considering a larger and concentrated human habitat, we need to look for a smart future that involves proactive planning and to be on alert.

5.6.1  Theme 1: The Green Economy UNEP (2010) has defined a Green Economy as one which improves wellbeing and social equity and at the same time lessens environmental menaces and ecological dearth considerably, and hence such an economy is less carbon-​intensive, with resource efficiency and social inclusiveness. The United Nations Environment Programme’s publication of ‘Towards a Green Economy’(2011) had followed such an initiative to reach the pinnacle and become one of the principal sources in many official documents on the Rio+​20 website. In such an economy, ‘growth in income and employment are driven by public and private investments that reduce carbon emissions and pollution, enhance energy and resource efficiency, and prevent the loss of biodiversity and ecosystem service.’ The main drive for such change is to promote economic development and investment vis a vis enhancing the quality of the environment and social inclusivity. The main issues in this respect are to find ways of creating the situation where there are more public and private investments that incorporate social and environmental criteria; to find ways of changing the principal signs of fiscal performance (GDP) so that they account for pollution, resource exhaustion, deteriorating ecosystem services, and the results of allocation of expected wealth loss to the underprivileged. The approach is to join a broad range of economic instruments under one umbrella that is pertinent to sustainable development. 75

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These instruments or drivers should be used globally towards the eradication of poverty. Green economy, being an instrument, also has to uphold the three bases that comprise sustainable development, namely, safeguarding of the environment, social equity, and economic progress. It is not a substitute for sustainable development. However, along with the accomplishment of a steady move towards the three pillars of sustainable development, the obliteration of scarcity must be retained as a principal target. The two efforts (namely, green economy and poverty eradication) are exceedingly interrelated and never mutually exclusive. The UNEP report of 2011 explicitly refers to the heavy dependence of the people and their livelihoods on natural resources and their susceptibility to climate-​driven risks (sea-​level rise, coastal erosion, submergence, recurrent storms) and also to ecological inadequacy (water shortages and scarcity, right to clean water and basic sanitation), especially in developing countries. The green economy is certainly not going to deal with every concern of paucity and exhibit ‘pro-​poor’ direction in its programs at first,butwill give emphasis to finding means of protecting global ecosystems, reducing risks to climate change, improving energy security with alleviating and better the livelihood of the poor people and thus take sustainability ahead.

5.6.2  Theme 2: Institutional Framework for Sustainable Development (IFSD) This is based on the directive of the official document of the World Summit on Sustainable Development (WSSD), Johannesburg 2002 -​the Johannesburg Plan of Implementation (JPOI). Chapter IX of this declaration states the compulsion to reinforce the Institutional Framework for Sustainable Development (IFSD). The JPOI conformed to a structural skeleton for the achievement of sustainable development at global and local levels that is crucial to the execution of Agenda 21 of Rio, 1992, a follow-​up of the WSSD consequences as well as meeting the target of emerging sustainable development challenges. These were in the wake of all countries’ needs with more importance on the requirements of the emerging nations and means to implement. International organizations and associated regional, national, and local bodies that deal with sustainable development should be strengthened while respecting existing mandates. At the same time, JPOI clarifies the significance of superior quality governance that is indispensable for sustainable development and also mentions the necessary steps to be taken to emphasize institutional schedules on sustainable development at local, national, and global levels towards achieving 9 targets. 1. Institutionalizing pledges towards sustainable development. 2. Incorporation of the three aspects of sustainable development sensibly, namely, economic, social, and environmental. 3. Agenda 21 to be reinforced by way of deployment of fiscal and technical resources, along with a program of capacity-​building, chiefly for budding nations. 4. Consolidation on consistency, synchronization, along with supervision. 5. Upholding the statute of legislation of government organizations. 6. Escalating usefulness, efficacy in the way of restricting overlay and recurrence of activities of international organizations (IO), both in and out of the United Nations system, founded on their directives and relative benefits.

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7. Improving the participation of civic society and significant supplementary stakeholders in the enforcement of Agenda 21, and also supporting clarity and wide-​ranging community involvement. 8. Enhancing capabilities for sustainable development at all levels, together with the local level, particularly those of emerging nations. 9. Consolidation of global collaboration intended at underpinning Agenda 21 enactment along with the consequences of the Summit. The final ‘draft’ of the UNCSD document, ‘The future we want’ –​was issued on 19 June 2012 in a meeting of Pre-​Conference Informal Consultations. For the period of the meet that ran from 20 June until 22 June, the text was then furnished and thereafter discussed by the leaders of the states together with the delegate until it eventually becomes the outcome document: ‘The Future We Want.’ To be specific, the outcome text was founded on the alleged ‘zero draft.’ The motive was to place the zero draft, which would be considered by all the member Parties and others interested in early January of 2012. Though, the final document, ‘The Future we want,’ differs from the ‘zero draft.’ Moreover, the arrangement was also improved markedly, and the differences are shown in red in the box-​text. The fresh arrangement is divided into six sections: I. Our Common Vision II. Renewing Political Commitment III. Green Economy in the context of sustainable development and poverty eradication IV. Institutional Framework for Sustainable Development V. Framework for Action and Follow-​up VI. Means of Implementation In Rio, the members decided on the promotion of a collection of Sustainable Development Goals (SDGs) that would be founded on Millennium Development Goals (MDGs) to satisfy the post-​2015 programs for progress. Alongside this conference revolutionary strategies on the ‘green economy.’ were also accepted. The governments of the States desired to start an inter-​governmental course under the auspices of the UN General Assembly to see potentials on financial support for SD policies. The governments also agreed to the consolidation of the United Nations Environment Programme (UNEP) under many headings to undertake actions in the course of the General Assembly 67th session. A decision was taken for the launching of an advanced-​level political forum for sustainable development. The United Nations Statistical Commission was requested to start a program in the area of measurement of progress that would be complementary with the GDP to better the information on policy resolutions. The conference also appropriated progressive conclusions on various sections, such as energy security, the security of foodstuff, sea, metropolises, agreed for the assembly on SIDS in 2014 at Third International Conference. The Rio+​20 of 2012 also attracted the attention of thousands of UN representatives along with key groups. It resulted in more than seven hundred charitable pledges and observed the configuration of fresh conglomerates for spreading sustainable development.

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Around the world, over the last century, technological advances and global integration have driven, strong economic growth that has been associated with gains in material welfare. In pursuit of sustainable development, governments are facing challenges regarding ways to confront the issues and prospect of growth and also to separate economic growth from environmental pressures. Many of the issues are global. Nations must join hands and enter into partnerships to tackle these common concerns and adopt and delegate various institutions in the decision-​making process. The perspective of sustainable development emphasizes enduring compatibility between economic, social, and environmental dimensions of development to bond and set priorities amongst the longing related to the welfare of mankind. At the same time, it concedes the potential competition across these

Figure A V-​5.6.2-​1 Integration of environmental issues in achieving sustainable development.

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areas as well. Societies derive value from natural resources directly or indirectly. Advances in technology, improved productivity, novel supply sources, substitute availability, and enhanced efficiency in resource utilization contribute to maintaining a natural resource base that otherwise can put ecosystems under stress. Anthropogenic activities like ever-​ demanding industrial activities, transportation, and cropping practices induce climate change and global warming which is evidenced by rising temperatures and sea levels, changes in rainfall, and agricultural patterns, all of which affect human settlements, health, employment, and others. Human activities are not only triggering climate change but also a host of other issues like deforestation, biodiversity loss, stratospheric ozone depletion, desertification, freshwater degradation, and increased waste generation at global, national, and local levels. Figure A V-​5.6.2-​1 shows how various environmental issues are integrated to achieve sustainable development.

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VI THE EVOLUTION OF DISASTER MANAGEMENT

6.1  The Increasing Disasters The Emergency Event Database EM-​DAT documented 387 natural disasters worldwide in 2022. Such events affected 185 million people killing around 30704 lives. The economic loss amounted to USD 223.8 billion. Extreme climate related disasters like floods, storms, droughts and heat waves are on a rise. In the past 40 years the frequencies of natural disasters have increased three times. Such events went from 1300 events between 1975 and 1984 to over 3900 between 2005 and 2014.The numbers of people affected has also been increasing. Between 1970 and 2019, the World Meteorological Organization Atlas of Mortality and Economic Losses from Weather, Climate and Water Extremes recorded over 11000 disasters with more than 2 million deaths and USD 3.64 trillion economic losses. The year 2022 witnessed the deadly floods in Pakistan, Nigeria, Brazil, India, droughts in Africa, earthquake in Indonesia, and Afghanistan, to tropical storms Megi and Nalgae in Philippines, and hurricane Ian in the USA, to name but a few. The Global Disaster Alert and Coordination System (GDACS) recognized 22 important disasters globally between January and February in 2023 such as cyclone Freddy in Madagascar and Mozambique, hurricane Gabriel in New Zealand, cyclone Batsirai in Madagascar, forest fires in Chile, Turkey-​Syria earthquake and so on. The majority of the people that were affected by disasters in the past fifty years were from low and middle-​income group countries. Apart from death and suffering, disasters wipe out development benefits, and infrastructures, limit our access to healthcare and education, destabilize livelihoods and increase our susceptibility to future events or hazards. Natural disasters bring out an inconsistent impact on the poor and the allied risks are connected to poverty and inequality. Over the years their increasing frequency and the magnitude of scale have been constantly compounding economic and humanitarian challenges. Not only does it have an immediate impact but also affects long-​term human development and human security. Not only does it affect education and health, but it also adversely impacts social investments and the national economy. Disasters have occurred in the past, there are ongoing disasters, and such events will also recur in the future. Between 2000 and 2012, a minimum of 90 countries were severely struck by disasters affecting over one

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DOI: 10.4324/9781003440574-7

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lakh people in each event on average. In the first six months of 2010 alone, 230 000 people were killed and 107 million were affected by 160 reported natural disasters. The damage amounted to US 55 billion dollars. The Haiti earthquake alone killed 222 000 people with three million affected. Huge damage was inflicted from the Pakistan floods, earthquakes, storms and landslides in China, earthquakes in Chile, and so forth. Niger and Chad suffered severe droughts. The connection between climate change and disasters are increasingly acknowledged. Hence, disaster risk reduction and sustainable human development are mutually supportive, and reducing the risks of disasters can make a crucial difference for mankind. Disaster risk refers to the potential loss from disasters in terms of lives, livelihoods, property, and services. Disaster risk reduction refers to the practice of reducing the risks through the implementation of systematic efforts in analyzing and managing the cause of disasters, reducing people’s exposure to hazards, lessening the susceptibility of people and property, wise management of environment along with improved preparedness for adversity. To reduce disaster risks we need disaster risk management (DRM) that involves the systematic use of administrative directives, organizations, operational skills, strategies, and capacities to minimize the adverse impacts or the probability of a disaster. Disaster management becomes more effective through the identification of vulnerability, preventing disasters where possible, improving preparedness, giving a better response, and recovering early. Not all, but some disasters can be avoided. Improved knowledge and dummy exercises along with the participation of communities and governmental organizations enable us to be prepared. Provisioning emergency services and public assistance to save lives and supplying relief, medicine, and timely evacuation calls for better responses. Recovery comprises of restoring and improving the necessary facilities and living conditions towards normality. Efforts from the intergovernmental and intra-​ governmental organizations have encouraged a much more coordinated response and institutionalized disaster risk reduction. The launch of the International Strategy for Disaster Reduction (ISDR) aids in recognizing the leadership of governments at all levels of disaster risk reduction. The UN Inter-​Agency Standing Committee (IASC)comprised of UN humanitarian agencies, NGOs, the Red Cross Movement and the International Organization for Migration (IOM) has set up nine clusters in the areas recognized to need more emphasis during a humanitarian response. The UNDP is the leading organization for the cluster working group on early recovery.

6.2  The World Conference on Natural Disaster Reduction, 1994, Yokohama, Japan This meeting took place between 23 May and 27 May 1994 in Japan and marked a milestone event. The leaders embraced the ‘Yokohama Strategy for a Safer World: Guidelines for Natural Disaster Prevention, Preparedness, and Mitigation.’ It contains the principles, strategies, and the plan of action and the Yokohama message. The conference noted the rising incidence of disasters along with human and economic loss incurred. Such incidents necessitate adopting far-​reaching measures to lessen the impact of the disasters and the loss of lives. These measures should be comprehensive and cover every aspect of disaster management to inculcate a worldwide culture of prevention. The conference identified that the road to sustainable development could only be reached by reducing the losses due to disasters. Such can be achieved through increased awareness, 81

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exchanging information about programs, embracing a plan of action for the coming days, and appraising accomplishments at all levels. The conference reiterates Rio Principle 18 which speaks of the role of the international community in helping states tormented by natural disasters. Special attention should be given to the least developed countries (LDC), small island developing states (SIDS), and land-​locked countries. The conference plans to assess the accomplishments and recognize good practices. It attempts to redefine the challenges and critical needs in initiatives for disaster reduction, consistent with the UNCED 1992 and the MDGs. The Yokohama Strategy gives ten principles. These are: 1. ‘Risk assessment’ is a necessary measure for adopting suitable and effective policies in disaster reduction. 2. ‘Disaster prevention and preparedness’ are of basic significance to reduce the requirement for relief. 3. ‘Disaster prevention and preparedness’ should be the core of any plans and policies at all levels. 4. ‘Capacity building’ must be established and strengthened for prevention, mitigation, and reduction of disasters. 5. Effective communication for conveying an ‘early warning’ of imminent disasters is key to the success of disaster prevention and preparedness. 6. Effective prevention calls for participation at all levels at local, regional, national, and international levels. 7. Reducing vulnerability requires appropriate design and development to emphasize target groups through suitable education and training programs. 8. The need for free and timely availability of the necessary technology for prevention, reduction, and mitigation of disasters. 9. Alleviating poverty is essential to prevent and mitigate disasters in achieving sustainable development and protection of the environment. 10. There is a prerequisite of a strong political will to organize the efficient utilization of prevailing resources and facilities to reduce disasters. Special attention should be given to the requirements of the developing nations, especially the least developed countries. The initial responsibility for safeguarding people and necessary properties lies with the respective states. Disasters underwrite social, economic, cultural, and political commotion. Such disruptions affect both urban and rural lives. The magnitude, complexity, and onset of disasters continue to increase, bringing huge economic impact. Most natural disasters are beyond our scope, but vulnerability or susceptibility is generally an outcome of human activities. Our patterns of production and consumption, progress, and advancements have all contributed to raising susceptibility to natural disasters. The poor people suffer the most. Developing nations are especially vulnerable. They must recover and convey the conventional methods to others. Traditional ways and means should be applied to lessen the impacts of disasters. It is preferable to prevent disasters than to respond to and accomplish the objectives.

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6.3  World Conference on Disaster Reduction (WCDR), 2005 Kobe, Hyogo, Japan Japan is situated on the Pacific Ring of Fire and has a long history of geological hazards. With a wide range of experiences to cope with natural disasters, Japan stands at the forefront of disaster reduction engineering and planning, such as better forecasting technologies, conservation projects, and the like. Its consistency, commitment, and perseverance have shown the world how to lessen the impact of disasters and march towards sustainable development. It spends 1% of its national budget on countermeasure activities. Japan experienced the Great Hanshin-​Awaji Earthquake in the Hyogo Prefecture on 17 January 1995, causing over 6400 fatalities and injuring 40 000 people. The Japanese people commemorated the tenth anniversary on 17 January 2005. The conference took place just after the commemoration of the earthquake between 18 and 22 January 2005. The conference accepted the ‘Hyogo Framework of Action (HFA) 2005–​2015: Building the Resilience of Nations and Communities to Disasters.’ It delivered unique ways to boost tactical and methodical approaches to reduce vulnerability and risks to hazards. Hazards are increasing and posing serious outcomes on the existence, self-​respect, and livelihood of people. Vulnerability is rising and linked to demography, social, economic, and technological circumstances. This is coupled with unplanned urbanization, degradation of the environment, variations in climate, resource competition, epidemics, the establishment of high-​risk regions, and so forth. The risk increases when hazards interplay with physical, socio-​economic, and ecological vulnerabilities. The majority of the disasters are hydro-​ meteorological in origin. It was agreed that all measures to lessen the risks should be methodically incorporated in the plans, policies, and management programs of sustainable development and alleviation of poverty. All such measures should be cooperative, collaborative, and supported at all levels. The review of the ‘Yokohama strategy’ helps to identify important challenges for the future. It emphasizes the significance of risk reduction based on a pro-​active methodology to inform, motivate, and involve individuals in every facet of reducing risk. It points out the insufficiency of resource allocation for achieving the goals of risk reduction at all levels. The review recognized the gaps in the following areas: • • • • •

Lack of organization, legislative and policy agendas Identifying risks, evaluation, surveillance and early warning systems Spreading knowledge and education Efforts in lessening the underlying reasons contributing to risks Lack of preparedness for operational response and salvage.

The World Conference on Disaster Reduction (WCDR) organized by the United Nations General Assembly had the following aims: 1. A statement on the review of the Yokohama strategy 2. Recognition of particular measures to ensure the enactment of the Johannesburg Plan of implementation of the WSSD 2002 3. Dissemination of good practices and learned lessons for reducing disasters 4. Raising of awareness about the significance of policies for lessening hazards 5. Increasing the dependability and accessibility of information.

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The conference recognized the total relevance of the Yokohama strategy in the present context and took account of the primary accountability of the state for its sustainable development. It realized the importance of international participation and the actual incorporation of risk concerns into plans, policymaking, and programs at every level. The conference emphasized reinforcement and the establishment of institutions and mechanisms for building resilience to disasters. Reducing risk should be crucial in designing and enforcing preparedness, response, and recovery programs. The WCDR agreed on five priorities of action to conclude the appraisal of the Yokohama Strategy: 1. Disaster risk reduction should be recognized as a priority at national and local levels and must be based on a durable institution for implementation. 2. Enhanced early warning systems are required to recognize, evaluate, and monitor risks. 3. Understanding, education, and invention should be used to construct an ethos of security and flexibility at all levels. 4. Fundamental causes of risks should be reduced. 5. Disaster preparedness should be strengthened for better responses at every level. The conference expected increased awareness and effective political endorsement for enforcing measures for reducing risks. It is expected to give clear directives for implementing the International Strategy for Disaster Reduction (ISDR) at local, national, regional, and international levels in tune with the objectives of WSSD 2002 and the Millennium Development Goals.

6.4  The UN World Conference on Disaster Risk Reduction (WCDRR), 2015, Sendai Japan More than one and a half billion people have been affected by hazards, of which more than seven hundred thousand have been killed. A few million have been made homeless, and the overall economic loss accounts for over 1.3 trillion dollars. From 2008 to 2012, 144million people were displaced. Hence it is emergent and crucial to predict, design, and lessen disaster risks. Such planning is essential to save the lives of people, their means of living, well-​being, cultural tradition, social and economic possessions, and environment to build their resilience. The third world conference on disaster risk reduction took place between 14 March and 18 March 2015 in Sendai of Miyagi Prefecture. The General assembly of the United Nations adopted a resolution in 2013 to organize the third conference on Disaster Risk Reduction in 2015 that should emphasize short, progressive, action-​based outcome documents. Its aims were to be: • Completing the evaluation and appraisal of the enactment of HFA. • To consider the lessons learned through the application of various tactics for reducing disaster risks along with pertinent contracts within the enforcement of the HFA. • To recognize the means of teamwork based on pledges for implementing a post-​2015 framework for reducing disaster risks. • To decide upon the best ways to hold a periodic review of the post-​2015 framework.

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Adopting the Hyogo Framework of Action and following its implementation at various levels led to a reduction in mortality due to disasters. Disaster risk reduction is cost-​effective in preventing loss in the future and hence contributes to sustainable development. The HFA is also instrumental in generating awareness at the community and institutional levels. The underlying causes for such risks are poverty, inequality, fast urbanization, improper land management, changes in demography, weak actions by institutions, lack of rules, and regulation, ecological degradation, overexploitation of natural resources, epidemics, pandemics, and climate change. Good governance is imperative to proceed with such strategies to reduce these risks. Such an approach should be people-​centric, preventive, multi-​sectoral, multi-​hazard engaging multiple stakeholders throughout across-​section of society to be credible and operational. The Hyogo Framework of Action has undoubtedly contributed to the advancement and accomplishment of the MDGs. The gaps identified, leading towards developing an action-​oriented framework consistent with the UNCSD 2012 were risk reduction, and resilience-​building. The Sendai Framework for Disaster Risk Reduction 2015–​2030 is a successor of the HFA and applies to the risks of both small-​scale to large-​scale, recurrent to irregular, slow to unexpected onset, natural to anthropogenic hazards along with technological and biological disasters. Although a certain amount of progress in resilience–​building and lessening losses and damages has been achieved, a considerable decrease in such risks needs determination and diligence with more attention towards people, their lives, livelihoods, and wellbeing. Emphasis should be given to the social, ethnic, economic, and ecological possessions of individuals, societies, businesses, and states. All-​round, all-​inclusive, multidimensional measures must be implemented to avert new disasters and lessen prevailing disasters. The Sendai Framework for Disaster Risk Reduction has targets to achieve the following goals: 1. Decreasing the global mortality and number of affected individuals by 2030. 2. Reducing the economic loss concerning the GDP by 2030. 3. Considerable reduction in the impairment to important infrastructures and fundamental services, including welling and education by 2030. 4. Increasing the number of nations equipped with local and national tactics to reduce disaster risks by 2020. 5. Enhancing assistance through global collaboration and teamwork to emerging nations to support their domestic activities. 6. Enhancing the accessibility to early-​warning systems for different types of hazards by 2030. The Sendai Framework for Disaster Risk Reduction has drawn the philosophies and values of the Yokohama Strategy and the Hyogo framework. Each state is primarily accountable for preventing and reducing risks. Reducing such risks requires the sharing of accountabilities by the central governments, various divisions, and stakeholders’ where it calls for teamwork and total engagement of societies. It also requires coordination at every level with all components, empowering local groups, and authorities with extensive sharing of facts and figures towards the multi-​hazard approach. The Sendai Framework considered

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the lessons learned through the enforcement of the HFA and emphasized four priority areas at every level: 1. Comprehending the risks to disasters across all dimensions of vulnerability, capability, and exposure of people and assets. 2. Consolidating the governance for management of disaster risk. namely having distinct ideas, pathways, competencies, leadership, and coordination within the sectors and across sectors with the cooperation and collaboration of relevant stakeholders. 3. Financing disaster risk reduction for flexibility through public and private investment. 4. Improving disaster preparedness for an effectual response and to ‘Build Back Better’ in reclamation, restoration, and refurbishment. The 2019 Global Assessment Report on Disaster Risk Reduction (GAR) incorporated the latest data including the Sendai Framework target reports from the nations using them. The World Disasters Report 2020 takes a deep dive into the risks and reports that climate change is the driving force for disasters and immediate action is needed to address human impact. Climate is a risk multiplier. This is coupled with rapid and unplanned development, and urbanization that creates social and economic inequality. Statistics show that the numbers of disasters have increased over time especially weather-​related disasters like cyclones, floods, droughts, fires, heatwaves, and the like. To reduce the risks of climate and weather-​related disasters effectively, early prediction of extreme events and minimizing their potential impacts becomes inevitable and this should further help to trim down risks and build resilience. Climate-​smart disaster risk governance is the need of the hour that will include an all-​inclusive coherent regulatory framework working for the improvement of the national-​level risk governance frameworks.

Further Reading 1. Vadivelu, V. Disaster risk management in the SDG era. Evaluating Environment in International Development, 278, 2021. 2. Sena, L., and Michael, K. W. Disaster prevention and preparedness. Ethiopia iPublic Heal Train Initiat, 1, 1–​80, 2006. 3. Thattai, D. V., Sathyanathan, R., Dinesh, R., and Kumar, L. H. Natural disaster management in India with focus on floods and cyclones. In IOP conference series: earth and environmental science (Vol. 80, No. 1, p. 012054). IOP Publishing, (July,2017). 4. Banerjee, B. K. Disaster resilient India? Some issues and challenges. 2 Geographien, 22, 2014. 5. https://​ r elief​ w eb.int/ ​ s ites/ ​ r elief ​ w eb.int/ ​ f iles/ ​ r esour​ c es/​ I FRC_​ W DR_​ E xec​ u tiv​ e Sum​ m ary​ _​ EN_​Web.pdf 6. http://​sdmas​sam.nic.in/​pdf/​publ​icat​ion/​undp/​disas​ter_​mana​geme​nt_​i​n_​in​dia.pdf

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VII ADDRESSING POPULATION GROWTH AND OTHER SOCIAL ISSUES

7.1  The Burgeoning Population Globally the population surpassed the eight billion mark in mid-​November 2022. Looking back the population grew from 1 billion in 1800, to 2.5 billion people in 1950, and 7.9 billion in 2020. The population is projected to arrive at 9.7 billion in 2050. Population could peak at almost 10.4 billion in the mid of 2080s. Though the global population growth rate has declined from a peak of 2.2% per year in 1963 to 1.1% per year currently, yet in 2023, the population of India is around 1.428 billion and accounts to 17.76% of the global population. China shares a similar condition. Deserving clean water, clean air, and shelter is our basic human rights. The larger the population more shall be the requirements in terms of food, water, and energy, and so forth. This will further tax the earth’s ability to replenish the resources. Increased population creates pressure on the ecosystem to degrade it further in terms of more deforestation, decline in wildlife and its diversity, and spikes in pollution with emissions and effluents, which will further intensify climate change. Such crunch in resource has the potential to trigger conflicts and political unrest. The world has been witnessing water conflicts, fights over land, and energy resources. The living conditions in terms of food, shelter, potable water, health, hygiene and sanitations are worsened coupled with higher risks to diseases and pandemics. The already-​burgeoning population will continue to grow for decades, and the need to conserve resources is increasingly becoming enormous. Reducing global overconsumption might help in the short term, but the rate of population growth remains a long-​term problem. The solution to this issue can be a combination of dissemination of knowledge about debunking widely held myths about contraception and family planning, counselling and implementation of proper policies at all levels that may measurably change the trajectory of the global population. Various gatherings and assemblies have taken place since the Rome World Conference in 1954. The main purpose has been to discuss demographic questions. Several meetings were held in several nations by the International Union for the Scientific Study of Population (IUSSP). The UN also organized a few regional conferences. But the world still felt the future need for more global gatherings and discussions at intervals, exchanging views,

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and unraveling opportunities on the widest possible scale. Of course, organizing global meetings was difficult due to differences in individual intentions and then there was the language problem. The Rome conference was well reflected in the Belgrade conference and subjects of dialogue were divided into plenary meetings and discussion group meetings. The topics ranged from fertility, mortality, internal and international migration, future population and prospects, their size, population genetics, sex and age-​structure, demographic aspects of labor, employment, education, natural resources, agricultural development, urban development, housing, savings, investment, industrialization, economic growth to data procuring, measurement, analysis, family planning, and so forth. Even if not perfect, the system functioned quite well. The background papers could very well serve as a reference for the future. The meeting in Rome failed to catalyze the free exchange of opinions. The relation of the population to factors such as food supply, energy, and other human needs was considered. Different people came with different opinions. To one speaker, an increase in 20 fold food supply seemed plausible under population pressure and another cited the African problems being solely due to underpopulation and not overpopulation. Another opinion is that it is wrong to think of a battle between two factors of population and resources. Much of the focus in Rome was placed on demographic statistics. In Belgrade, the emphasis was on the crucial significance of population, its growth, and pressure on resources. Belgrade was attended by more attendees, especially from the developing nations. We can say at least that the 1954 plans have borne some fruit, such as training activities that have produced more and more demographers to give more data.

7.2  United Nations World Population Conference, Bucharest, Romania, 1974 The first intergovernmental World Population Conference was held at Bucharest in 1974, attended by representatives from149 states. This was more of a political event that developed a difference between the western developed nations led by the USA with many of the developing and socialist countries. The conference was organized by the United Nations Fund for Population Activities (UNFPA) now known as United Nations Population Fund, the United Nations Population Committee of the United Nations Economic and Social Council, and the United Nations Population Committee of the United Nations Secretariat. More than a hundred scientific reports, four significant symposiums, and five regional governmental consultative conferences were held before the Bucharest Conference. The reports comprised the current population trend, its prospects, the relationship between population and relevant issues such as socioeconomic development, food supplies, health and well-​being, family and family planning, education, human rights, the position of women, and resources. The Western countries supported restrictions on population growth through the implementation of governmental family planning programs. They opined that the reason for slow economic development in the developing countries was their population explosion. According to the developing and socialist countries, development is the best contraceptive and hence they insisted on economic development rather than on population control. Both sides came to a compromise, finally drafted, and adopted the World Population Plan of Action (WPPA) with incorporation to prioritize development. The documents preceding the Bucharest conference served as important inputs to frame the draft of the World Population Plan of Action. The World Population Plan of Action was 88

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based on basic principles that there is the fundamental right of all couples and individuals to decide responsibly and freely about the number of children as well as the spacing between them along with all relevant information, education, and the means to do this. Population goals and objectives were considered as an integral component of socio-​economic and cultural development with the main purpose of improving the living conditions and quality of lives. The WPPA was in tune with the findings of the report and quite far from an ideal policy instrument. The drafting body clearly and completely attempted the inclusion of some of the ideological and political sensitivities and prejudices. Such as the diverging move towards the quantitative objectives that concerned decreases in mortality and fertility; continuous thrust on the states’ governments in population policy and in making decisions; omission of the issues of contraceptive methods, sterilization, and induced abortion; suggestions for urgently putting an end to further population growth; improper handling of significant issues between the relationship between population growth, and availability of resources, amount and patterns of consumption, ecological impairments, and the like; inadequate approaches regarding population growth, social, economic development and environmental degradation. The scientific approaches in this conference were largely overshadowed by the major ideological differences that prevailed and which divided the world at that time. These were mostly the capitalist versus the communist world views. Still, the world at that time was ideologically divided by the confrontation between the proponents of a ‘market-​driven’ economy and a ‘centrally planned’ economy that was well reflected in the Bucharest dialogues. It also played a role in choosing ‘family planning policy’ and ‘socio-​economic policy.’ Western countries and NGOs have a clear bias for family planning while some communist countries like the USSR, China, the Holy See, and other developing nations emphasized socio-​economic development. Situations were rather complicated and confusing as some communist nations such as China and Cuba already had a strong population policy along with a socio-​economic policy. Several western countries also supported socio-​ economic developmental policies along with family planning. The Holy See showed a very strong religious and culturally traditionalist position. They stood against family planning, the use of modern contraceptive methods, and stopping or reducing population growth. They advocated conservative views on women. Many states under the Catholic Church’s dominion also supported the Holy See. Several states believed population growth to be the means for enhancing the respective power position and economic prosperity of the state. South Americans, as well as African states, wanted their population to grow further and believed in unlimited population growth ecology. Many Western countries were apprehensive about the world population growth and its impacts on socio-​economic development and ecology. All of these beliefs provided major population challenges that needed to be sorted out. Despite all of the differences, and despite dilution and weakness, due to the determination of the population scientists and experts, the WPPA was finally approved. In a world where most of the policies were determined by political and ideological convictions, the WPPA was based largely on scientific inputs and recommendations.

7.3  The International Conference on Population (ICP), Mexico 1984 The second intergovernmental conference was organized chiefly for reviewing and evaluating the World Population Plan of Action (WPPA) that had taken place since the Bucharest conference in the context of demography and other developments that had occurred and are 89

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also likely to occur in the future. Quite a few scientific studies, expert group meetings, and regional preparatory conferences and consultations preceded this conference as well. Such precedence was mainly for the drafting of the suggestions by the United Nations Population Division, to be adopted by the United Nations Population Commission and the International Conference on Population (ICP). Expert group meetings were held on fertility and family, population dispersion, mortality, health policy, migration and development, resources, environment, development, and so forth. The discussions were backed by basic research papers and background documents from the United Nations. The ICP also took the experiences from the Bucharest conference concerning population problems and their complex relationships with other issues. Hence, as a result, the ICP attitudes were much different to that of the Bucharest conference. The approaches to population problems were more knowledge-​based and progressive. The Soviet Bloc was controlled. China was much more cooperative than before. South American states exhibited moderate traditionalism. The Holy See was not explicitly opposing also. Rather, the USA emerged as an ideological troublemaker. They wanted to resolve the population issues with the help of ‘free enterprise’ and introduced several amendments. They opined that the market would function as an undetectable hand to bring equilibrium between population growth and economic development. Despite the other UN bodies to deal with, the meeting had general discussions regarding war and peace and also the Israel-​Palestine conflicts. The Mexico recommendations for the further implementation of the WPPA on the whole confirmed the previous principles and action plan. But it added more emphasis on the integration of population policies with general developmental policies and highlighted the need to safeguard and restore ecological sustainability. The priority status that was given to environmental issues faced serious challenges. While several developing nations stressed the rational exploitation of resources, the developed nations, on the other hand, insisted on environmental protection. At the conference level, the population environment relationship procured less attention than the relation between population and socio-​economic development. In Mexico, the focus was also given to the issue of women’s emancipation. Nonetheless, the Mexico recommendations also exhibited numerous weaknesses that reflected the ideological and political differences that pushed quite a number of the governments to adequately consider the global challenges. The recommendations lacked quantitative targets and timelines concerning population growth and fertility levels. Many of these recommendations were confronted with hurdles such as religious beliefs, philosophical convictions, cultural values, and the fundamental rights of respective individuals and couples. The draft version of the Mexico City Declaration on Population and Environment was a vague non-​ committed, inadequately documented, and imperfectly structured paper. The editorial committee finally succeeded in producing a credible text that provided a coherent and clear overview of the entire range of global population problems and their connection with the social, economic, and environmental challenges. The declaration stressed the immediate need for addressing demographic problems and furnished an accurate account of the critical demographic developments in terms of growth, life expectancy, fertility, population structure, urbanization, worldwide migration, and so forth. The highlights of this declaration also featured the relationship between population and environment, population and development, conflicts between developed and developing nations, the status of women, and the means to empower them. It called for greater international cooperation in the spirit of universal solidarity.

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7.4  The United Nations International Conference on Population and Development (ICPD), 5–​13 September 1994 Cairo, Egypt In the history of population and development, and of women’s rights, the 1994 International Conference on Population and Development (ICPD) stands out as a milestone. The world together agreed that people are not only about numbers but people themselves. In this rights-​based approach, it is understood that every person counts. According to this conference, empowering women is not simply the end but also a footstep towards getting rid of poverty and bringing stability to population growth. Reproductive health and rights are keystones of women’s empowerment. This new program of action centers on fulfilling the requirements of individuals within the ambit of globally recognized human rights standards in place of just fulfilling demographic goals. The approval of this program marks a fresh phase of pledges and the willpower to efficiently incorporate population matters into socio-​economic development plans and to attain improved quality of life for every individual, including those of future generations.

7.5  The World Summit for Social Development, Copenhagen, 6–​12 March 1995 One of the ten functional commissions is the ‘Commission for Social Development’ that has been established by the United Nations Economic and Social Council (ECOSOC). At the end of the Summit, the governments embraced the Copenhagen Declaration that included the Ten Commitments and the Programme of Action of the World Social Summit. 1. Forming an economic, political, social, cultural, and legal condition that can help individuals to attain social development 2. Exterminating complete paucity over a target period to be fixed by each nation 3. Backing total employment as an elementary policy objective 4. Endorsing social incorporation that is founded on the boosting and strengthening of the entire range of human rights 5. Reach egalitarianism and parity between women and men 6. Accomplish worldwide and justifiable admittance to education and primary health care 7. Speed up the progress of Africa and the LDCs 8. Guarantee that fine-​tuning organizational programs comprised of social development objectives 9. Intensify resources distribution to social development 10. Reinforce collaboration for social development through the UN. In June 2000, the governments resumed in Geneva for the 24th special session of the United Nations General Assembly, to appraise what had been accomplished, and also to pledge themselves to innovative initiatives.

7.6  The Beijing Conference on Women and Development, 4–​15 September 1995 in Beijing, China The main themes were women’s progress and empowerment in the context of women’s human rights, women and poverty, women and decision making, the girl child, violence 91

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against women, and other concerning areas. It targeted the elimination of all of the impediments to women’s dynamic involvement in every domain of public and private life through a complete and equivalent allocation in economic, social, cultural, and political decision making; at the home, in the office, and in the broader nationwide and global communities. Fairness is an issue of human rights and a call for social justice. It highlights the requisite for women to collective labor and in company with men en route to the common objective of gender equity globally. The Beijing Platform emphasizes 12 ‘critical areas of concern’ that should be discussed to accomplish gender quality and women’s empowerment: 1. Women and poverty 2. The education and training of women 3. Women and health 4. Violence against women 5. Women and armed conflict 6. Women and the economy 7. Women in power and as decision-​makers 8. Institutional mechanisms for the advancement of women 9. The human rights of women 10. Women and the media 11. Women and the environment 12. The girl child

7.7  The United Nations Conference on Human Settlements, Istanbul, 3–​14 June 1996 The aim of the 2nd United Nations Conference on Human Settlements (Habitat II) is to discuss two subjects of equivalent significance globally: suitable housing for everybody and sustainable human settlement progress on the urbanized planet. Mankind is at the center of worries for sustainable development reflecting on suitable accommodation for everyone that is also sustainable, settlements, humans being entitled to a fit and fruitful existence in communion with the environment. The twentieth century was marked by a period of scientific and technological advancement and economic development and also of rapid population growth. The global population of 950 million in 1800 went up to 1.65 billion in 1900. The population was 2.51 billion in 1950. The latter half of the twentieth century witnessed the global population increase as an explosion. The annual population growth rate before the industrial cultural phase shot up from a very slow < 0.04% in the hunter-​gatherer era to 0.1 to 0.2 % in the primitive agrarian era. It then went up to 1.79% between 1950 and 1955, continued over 2.04% between 1965 and 1970 and then declined again. In the 1990s the global population growth rate fell to 1.35%. The beginning and the intensity of difference between the fall in mortality and fertility during demographic transition resulted in the exponential growth of mankind. Mankind reached 4 billion around 1975 and 6 billion in 2000 and is projected to reach 9 to 9.7 billion by 2050. As a result of modernization there was a sharp decline in mortality that led to a stark increase in the global population. Even though, comparatively, higher mortality in the developing world still continued. Between 1950 and 2000, 89% of

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the global population increased due to population growth in the less developed nations. The decline in the Chinese population growth rate contributed to the onset of the decline of overall growth rates after 1970. The main reason for the unexpected decline in the global population growth rate is also the overall fall in the fertility rates in the developing nations measured as total fertility rate or TFR. TFR measurements in various developing nations however show variation. The fertility rates in Asian and Latin American nations have fallen after 1970 and reached 2.7% in 1995 and 2000. East Asia including China reached their fertility transition at 1.8, Southeast Asia at 2.8, and South and West Asia at 3.6 and 3.9 respectively. Africa overall was in the early fertility transition of 5.3, while the Middle East and West Africa maintained a high TFR above 6. North and South Africa were in the intermediate stage of fertility transition. The hotspots of global population were primarily the sub-​Saharan part of Africa with 47 states and then South and West Asia. Specifically, the sub-​Saharan region is the breeding ground of poverty. South Africa also faces population issues in terms of the health perspective (for example, AIDS) and also from a development perspective such as having an inadequate workforce. The transition process experienced by East and Southeast Asia did not start in South Asia including India and Pakistan. India is likely to overtake China by 2050 in terms of population. The rapid rise in population after the Second World War gave rise to academic and political interest in the relationship between population growth and economic development. One group of economists claims that economic development suffers setbacks if population growth continues with high fertility rates that in turn increase resource consumption and bring setbacks in savings and investment. In 1972, ‘The Limits to Growth’ by the Club of Rome reported that the world was to face catastrophe due to depleting resources and environmental degradation with the current pace of population and economic growth. However, observation during the 1960s and 1970s did not show the necessary negative correlation between population growth rates and economic growth rates. With increased industrialization and so-​called development, the world is also experiencing increased acid rain events, deforestation, biodiversity loss, desertification, ozone layer depletion, marine pollution, and the ever-​increasing effects of global warming. Global warming over the years has caused warming of the seas, melting of the glaciers, rising sea levels, submergence of towns, villages, and island nations, falls in crop yield and fishing, shortages and scarcity of freshwater, the onset of unusual weather patterns, more outbreaks of infectious diseases, and so forth. It is quite interesting that the population from developed nations contributes 17% of the global population that, per capita, largely consumes up to 75–​80% of the planet’s resources. On the other hand, less developed countries holding 83% of the global population consumes 20–​25% of the global resources per capita. According to Global Footprint Network, based on earth’s biocapacity and the ecological footprint of mankind, this ecological overshoot totals to 50% above. It implies that we use 1.5 of the equivalent of Earth to support our consumption. If the entire world needs to achieve Europe’s prosperity with its present patterns of consumption by 2050, we will need four more Earths. And presuming the European consumption to increase linearly between 2007 and 2050, and these consumption levels to be applied to the global population in 2050, mankind would need nine planet Earths. The developing world aspires to reach the well-​being levels of the developed world and the developed world wants to move more in modernization, innovations, and competitiveness.

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Further Reading 1. Cox, P. R., Peel, J., and Thomas, C. J. The world population conference, Belgrade, 1965. The Eugenics Review, 58(1), 7,1966. 2. Avramov, D., and Cliquet, R. The ideological divides and the uptake of research evidence-​The case of the United Nations World Population Conferences. Demográfia English Edition, 59(5), 83–​116, 2016. 3. www.un.org/​sites/​un2.un.org/​files/​2020/​02/​1954_​c​ongr​es_​m​ondi​al_​r​ome.pdf 4. Davenport, C. B. Proceedings of the world population conference. The Eugenics Review, 20(2), 117, 1928. 5. https://​unece.org/​DAM/​pau/​_​docs/​pau/​PAU_​2005​_​Pub​l_​ND​RCh1​4Fin​Doc.pdf 6. https://​jica.go.jp/​jica-​ri/​IFI​C_​an​d_​JB​ICI-​Stud​ies/​engl​ish/​publi​cati​ons/​repo​rts/​study/​topi​cal/​ssic/​pdf/​ ssic.pdf 7. https://​unfpa.org/​sites/​defa​ult/​files/​event-​pdf/​icp​d_​en​g_​2.pdf

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VIII PROVIDING FOOD AND WATER FOR ALL

8.1  Seeking Basic Human Rights Water covers over 70% of the earth’s surface but only less than 1% of this is usable freshwater needed for the advancement of civilization. No life could ever exist without water and hence every drop counts. The main component of our body is water, and this is needed for all essential functions. Water is crucial for sustainable development and for eliminating poverty and hunger. The UN projected that the present 8.1 billion population would reach 9.3 billion by 2050 with a particular increase in Africa and Asia. The number of undernourished people worldwide increased from 777 million to 815 million between 2015 and 2016. Food security increases with conflicts coupled with flood and drought-​like disasters. Women are more food insecure than men throughout the globe. Worldwide, 155 million children under the age of five suffer from stunted growth although the prevalence fell between 2015 and 2016 from 29.5% to 22.9%. FAO projected that we need to increase the agricultural yield by 70% to feed the world in 2050. While 10% of this can come from the expansion of lands the remaining requirement should be met by high crop yields. A decline of 50 million hectares in developed countries will lead to an offset from an increase of 120 million hectares in developing countries. Arable land is likely to increase by 79 million hectares. Land supported with irrigation will rise by 11% and harvested irrigated land by 17%, solely in the developing nations. Water use efficiency is improving very slowly and hence water withdrawal for irrigation will fall. Even if such a trend is happening water for irrigation requirements will rise by 11%. The developing countries need to produce almost double. This will pose an immense challenge to the agro-​food sector already affected by groundwater depletion, climatic stress, soil degradation, and loss of cultivable land to urbanization. Hence food commodities are at a risk of declining quality. Agriculture uses around 86% of consumptive water. Increased population and high living standards escalate food demand, specifically the food with high land and water footprint. A secure supply of food is inextricably associated with accessibility of plenteous clean water for growth of crops. Uncertainty of water availability brings uncertainty of food security. Food insecurity refers to lacking habitual access to sufficiently safe and

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nourishing food for optimal growth and development to lead an vigorous and healthy life. On the basis of Food Insecurity Experience Scale (FIES), food insecurity can have different levels of severity like mild food insecurity, moderate food insecurity (compromising with food quality or skipping meals), and severe food insecurity. This leads to hunger, which refers to a painful and excruciating physical sensation resulting due to inadequate eating of dietary energy. The FAO strives to achieve SDG2 by eradicating hunger, food insecurity and all types of malnutrition. The ways to achieve such goal involves supporting small-​ scale food producers, improving resilience in food production along with sustainable use of natural energy. With over 345 million people confronting soaring levels of food insecurity in 2023 a minimum of 129 000 people expects to get a famine hit in Burkina Faso, Mali, Somalia, and South Sudan. Conflicts and climate shocks are driving people in millions to the brink of starvation. The Sahel Resilience Scale-​up program of the WFP converted 158 000 hectares of barren land into farm and grazing land that benefited more than 2.5 million people of that region. The R4 Rural Resilience initiative is another flagship micro insurance program of the WFP for climate risk management that protects nearly 360 000 farming and pastoralist families from climate hazards in 14 nations such as El, Salvador, Ethiopia, Fiji, Guatemala, Kenya, Bangladesh, Madagascar, Zimbabwe and others. As lack of water becomes challenging for crop harvest, excess of water and untimely water are also the limiting factors. Food production also affects water by the way of nutrients and sediment run-​off from the agricultural fields to the water bodies that in turn may affect the aquaculture. Making correct crop choices or breeding may decrease the water footprint and present us with opportunities for gain. Examples may include C4 plants like corn, sorghum, and sugarcane that utilize less water than other crops. Rice and wheat can be scientifically bred to C4 to increase their water efficiency. Greater attention should be paid to achieving a balance between the quality and quantity of food with a good investment in technology that will enhance crop production without compromising the quality. More food to feed the rising global population should come at the expense of a small rural labor force. An attempt should be made to cut down on food wastage as nearly one-​third of the food is lost every year, which costs around 940 billion dollars every year. The per capita income in 2050 is projected to increase by a multiple of the current level and relative inequalities in per capita incomes are likely to fall by 2050. Any trade in agro-​commodities will also increase with an increase in the net number of cereals in the developing nations by almost three-​fold as cereal self-​sufficiency will be low in these countries. The use of water has been increasing globally by about 1% annually since 1980, with a surge in demand mostly in the developing nations. Population growth, social and economic development, and consumption patterns all contribute to such an increase. Globally, agriculture is still the biggest consumer of water withdrawing 60% of the water every year, while industry uses 19% and domestic use is 12%. Such demand is likely to increase in the future by 20–​30% over the current level by the year 2050. More than two billion people live in countries that experience high water stress. On average the global water stress is 11%. But 31 nations experience water stress between 25% and 70%, and 22 nations experience water stress above 70%. Water stress can be attributed to seasonal variation. Estimates say that two thirds of the global population (or around four billion) suffer severe water scarcity for at least one month every year. Moreover, physical water stress does not consider economic water scarcity. Here, access to water is not because of

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the number of existing water resources but due to wanting for infrastructural facilities to collect, transport, and treat water for human use, as indicated in many African nations. On the other hand, if the population and its water demand grow, physical water stress levels also grow. Climate change and increasing climate variability intensify the issue even more. If such pressure on water resources persists, 52% of the population, 45% of the gross GDP, and 40% of grain production will be at risk globally. Poor people will be affected even more. Apart from the availability of water resources, water quality is also another important issue. Poor water quality is linked to water-​borne diseases such as typhoid, cholera, schistosomiasis, giardiasis, and the like. Nutrient load in water from agriculture is also pertinent. Out of all-​natural disasters, approximately, 90% are water related. Between 1995 and 2015, floods accounted for 45% of all documented disasters that affected 2.3 billion people and US 662 billion dollar damage. 1.57 lakh people were killed. Droughts accounted for 5% of natural disasters, which affected 1.1 billion people and US 100 billion dollar damage and killed over 22 000 people. Climate change is likely to exacerbate the frequency and magnitude of extreme weather events. OECD predicts an increased risk from floods by 2050. Demand for flood protection and mitigation programs are rising further due to increasing urbanization. According to the UN 2018, there are around 286 international rivers and 592 transboundary aquifers shared by 153 countries. Water could be a trigger or weapon for water-​related conflicts resulting in water war-​like situations. There were 94 registered conflicts between 2000 and 2009 and 263 between 2010 and 2018. Three out of ten people did not have access to safe and managed drinking water services in 2015. Since the implementation of the MDGs, populations having basic drinking water services increased from 81% to 89% between 2000 and 2015 worldwide. More than 75% of 181 counties fulfilled the basic drinking water service needs by 2015. 159 million people collect untreated and contaminated drinking water from surface water sources and the majority of these live in sub-​Saharan Africa. Until 2015, only 2.9 billion people used safe sanitation services. With MDGs, 154 countries had accomplished over 75% coverage in basic sanitation services. Sub-​Saharan Africa had coverage of 15% while Western Asia and Northern Africa had coverage of 76% basic handwashing facilities with soap and water. Globally, the urban slum population proportion fell from 28% to 23% from 2000 to 2014. But the number rose from 792 million to an estimated 889 million during the same time. In the LDCs, approximately, 62% of urban dwellers live in slums. The decade 2005–​2015 was the International Decade for Action ‘Water for Life’ with a greater focus on water-​related issues at all levels along with the implementation of water-​ related programs to achieve the internationally agreed goals of Agenda 21, the MDGs, and the WSSD. More than a billion people gained access to safe drinking water during the UN Decade on Water 1981–​1990. The decade 2018–​2028 was declared as Water Action Decade by the UN General Assembly that would focus on sustainable development and the integrated management of water resources through partnership and cooperation at all levels. SDG 6 also ensures access to water and sanitation for all. Access to water is not only a matter of development. Above all, it is a fundamental right and an instrument of peace and security in the world, as mentioned by the Director General of UNESCO, Audrey Azoulay, in the two day conference that started on 13 May 2023, at UNESCO headquarters brought civil societies, experts and researchers from around 40 countries to seek international cooperation on innovative solutions to the issues of water governance

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and management. Special emphasis was given on water ethics, water and heritage, water and gender and linkage between water and energy in Africa.

8.2  The United Nations Conference on Water (Mar del Plata 1977) The conference was organized, realizing that the need for accelerated development and orderly administration of water resources was crucial in improving the social and economic conditions to encourage human dignity and afford a quality life. It realized the need for concerted action and urged the effective implementation of the recommendations of the Mer del Plata Action Plan at national, regional, and international levels. The world lacks adequate data on water resources and hence assessment of water resources seems necessary. Water resources management requires increased knowledge about quality and quantity through the systematic collection of hydrometeorological, hydrological, and hydrogeological data at regular intervals. More information on surface and groundwater resources, estimation of existing rainfall, and the potential for expanding these resources should be reviewed and strengthened. The data should be studied and analyzed by multidisciplinary teams. Effective forecasting methods should be set up. All member countries were required to set up a national body with comprehensive functions. Data banks should be formed with provisions for collecting, processing, storing, analyzing, and dissemination of such data in acceptable formats at regular intervals. The member states should take specific national characteristics and conditions into account. The conference also calls for the standardization of instruments and techniques. Modern technologies like remote sensing, geophysical technique, mathematical modeling, nuclear methods, and the like, should be provided for collecting, retrieving, and processing such data. The hydrological and meteorological station networking should be exhaustive taking into consideration the future needs, extensive study of seasonal and annual fluctuations both in climatic conditions and water resources (quality and quantity) are necessary. Water assessments should include the risks for water-​ borne diseases. The members need to develop methods for the estimation of the available water resources using areological observations for the computation of atmospheric water budgets in large water basins, rivers, and continents. Meteorologists, hydrologists, and hydrogeologists should be trained, and mineral and thermal water inventories should be prepared. International organizations and other assisting bodies should lend all types of help including funds, workforce, equipment, data banks, and support, for both surface and groundwater. The IO should also advise on global standards and also for establishing observatories for snow and ice to facilitate the international exchange of information. Throughout the world and over the years water is used more than our needs in farming, industries, and household activities and hence is wasted. The Mer del Plata Action Plan recommends reasonable water use and efficiency through the enactment of strict legislation for equitable water use and protecting water ecosystems. Extensive research should be carried out on the actual and potential amount of water to be used by various departments. Incentives in the form of credits or governmental assistance should be given for increasing the efficiency of water. Water should be reused and recycled in economically feasible ways and means. Any contaminant discharge in nonconformity to standards should be discouraged. Appropriate policies and incentives should be developed for adopting fewer polluting technologies and efficient waste-​water purification systems.

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Projected water demand should be estimated including sectoral water demand for diversified uses supplemented by census and surveys. The target for achievement overtime periods should be determined considering projected population growth Environment, Health and Pollution Control: it is urgent to assess the impacts of water use on the environment, safeguard the ecosystems, and take measures for controlling water-​ borne diseases. It is quite obvious that large-​scale water development projects will have outcomes on the environment in all aspects, some of which might be adverse. The UNCHE 1972 implementations should be reviewed, and all types of scientific and detailed studies arranged. Research and interdisciplinary approaches should be promoted. Methods for the measurement of effects both qualitative and quantitative should be developed. Fisheries, wildlife protection, and weed control should be considered. Tourism facilities should be developed and regulated. The catchment area should be improved. Lakes, rivers, springs, waterfalls, natural areas should be preserved. Fresh water and coastal wetlands should be restored for their immense importance in storing floodwater and as breeding grounds for fish. The recreational, cultural, aesthetic, and scientific value of water should be recognized. Any water planning and management should be founded on sound ecological knowledge and consider not only the national and river basin level but also specific regions such as estuaries, coasts, and so forth. All necessary steps related to pollution control should be included in the planning. All types of facilities for routine physical, chemical, bacteriological, and biological water analysis should be set up. Any discharge from industry, urban discharges, and discharge from mining activities should be regulated by implementing proper control measures and fast decontamination. Biological control should be promoted instead of chemical control. Policy, planning, and management: every country should frame a water policy stating its objectives that can be translated into guidelines and policies. The policy should be related to its proper use, management, and conservation with specific programs and measures for efficient operation. Institutional arrangements related to the investigation, development, and management of water resources should be in tune with national planning. Existing legislation and administrative structures should be reviewed to include water resources management, water conservation, and water pollution control under one legal instrument in keeping with the constitutional framework. The public should be involved in the planning and decision-​making process for improving efficiency. Natural hazards: the action plan recognizes the need to consolidate programs for reducing the losses linked to floods through land and water management in several countries. Disaster prevention and preparedness should be improved. Improved bases should be developed for the areas suffering severe drought along with comprehensive programs. Public information, education, training, and research: priority should be assigned for conducting programs for national information campaigns so that all people could be made aware regarding proper use, protection, and conservation of water. Training programs should be organized to provide professional, technical, and skilled workforce in all aspects such as hydrology, hydrogeology, hydraulics, social, biological and health sciences, water desalination, and water management. Regional co-​operation: countries with shared water resources must review the existing and available techniques and cooperate in establishing programs, machinery, and the institutions needed for the coordinated development of such resources. Countries should extend their cooperation in the field of planning, development, regulation, management,

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environmental protection, use, conservation, and forecasting to overcome the important constraints. International co-​operation: the action plan recognized the growing economic, environmental and physical interdependencies and also the need for a sustained and concerted effort for strengthening the international water law including the codification of international law regulating the development of shared water resources. National policies should consider the right of each state to equitable use of shared water resources and promote a bond of solidarity and cooperation. Developing countries are required to pursue, explore, and build mechanisms to promote technical cooperation among themselves to the fullest.

8.3  The International Conference on Water and Environment (ICWE), Dublin 1992 The conference was hosted by the government of Ireland between 26 and 31 January 1992 to provide important input on freshwater issues to the UNCED 1992. It was convened by the WMO on behalf of more than 20 bodies and agencies of the UN system. 500 hundred participants from 114 nations, 38 NGOs, 14 inter-​governmental organizations and 28 UN bodies attended this conference. The main outcomes included both the Dublin Statement and the Report of the Conference. The Conference aimed to: • Assess the present status of freshwater resources concerning the future water demands and set the priorities • Link and consolidate the different water programs for developing a coordinated inter-​ sectoral approach for the management of water resources • Formulate environmentally sustainable strategies for the 1990s and beyond • Increase awareness and draw governmental attention as a basis for national programs. The Dublin statement on water and sustainable development realized the scarcity and misuse of freshwater to be a serious threat towards sustainable development and environmental protection as it would put human health, welfare, food security, industrial development, and the ecosystem at risk. It stated the problems to be non-​speculative and that they would affect our planet in the future. The conference called for political commitment and full cooperation from the highest levels of government to the lowest levels of communities in the field of investment, awareness campaigns, legislative and institutional changes, capacity building, technology development, and the like. The conference called for embracing the new approaches for assessing, developing, and managing freshwater resources. The conference established recommendations at local, national, and international levels that were based on four principles. They were as follows: Principle No. 1 –​Freshwater is a finite and vulnerable resource, essential to sustain life, development, and the environment. Principle No. 2 –​Water development and management should be based on a participatory approach, involving users, planners, and policymakers at all levels. Principle No. 3 –​Women play a central part in the provision, management, and safeguarding of water. Principle No. 4 –​Water has an economic value in all its competing uses and should be recognized as an economic good. 100

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The conference recommended the alleviation of poverty and diseases, measures for safeguarding against natural disasters, promoting the need for water conservation and its reuse, appropriate water charges and discharge controls for sustainable urban development, increasing agricultural yield through the application of water-​saving technologies, incentives and ensuring potable water supply and water for sanitation to the rural needs. It further emphasizes resolving water-​related conflicts through proper planning and management of river basins, transboundary rivers, and lake basins, through international organizations. The conference seeks a sound knowledge base for the evaluation of the water cycle components in quality and quantity, capacity building, and investments.

8.4  The World Food Security Summit, Rome, 13–​17 November 1996 The World Summit on Food Security took place at the UN Food and Agriculture Organization (FAO) headquarters in Rome, Italy, from 16 to 18 November 2009. It reiterates every individual’s right to have safe, healthy, and balanced food, the right to sufficient food, and the fundamental right of every person to be free from hunger. Food security for all is a national commitment to be attained. An urgent vision is to reduce the number of underfed people to 50% of its current level by the year 2015, a continuing endeavor to eliminate hunger globally. Food security for all was a national commitment to attain and a continuing exertion to eliminate hunger in all nations, with an instantaneous vision to decrease the number of underfed people to 50% of their present-​day level no later than 2015. It is unacceptable that over 800 000 000 people worldwide, mostly in budding nations, lack adequate food to fulfil their primary dietary requirements. Such a condition is objectionable. Despite a considerable increase in food supplies over the years, there is a limitation to access to food, and the insufficiency of domestic and national incomes to purchase food continues, the uncertainty of supply and demand, and the recurrence of natural and human-​ caused disasters, inhibit basic food needs from being satisfied. The complications of hunger and food insecurity extend universally and are expected to continue and even intensify radically in certain regions, if urgent, dogged, and rigorous action is not taken, assuming the predicted upsurge in the global population and the pressure on natural resources. A diplomatic, steady, and supporting political, social, and economic environment is the vital underpinning that will allow states to provide passable importance to foodstuff safety and the elimination of shortages. Social equality, campaigning, and fortification of all human rights and necessary liberties, together with the right to development and the complete and equal involvement of people, are all critical for attaining food security for everyone sustainably.

8.5  The UNESCO International Water Conference, 2019 Paris The conference took place at the headquarters in Paris intending to advance sustainable water security and peace by leveraging intersectoral management of water resources. It called everyone to foster, embrace and adopt intersectoral water management. It called for good practices such as sharing information, enhanced participation, and transparency. It also called for the integration of sciences and interdisciplinary approaches for reaching water-​related goals. The Global Energy Interconnection Development and Cooperation Organization (GEIDCO) and UNESCO hosted it. UNESCO recognized the collective responsibility to put responsible management of water in its proper place for the common 101

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good. GEIDCO highlighted two innovative research outcomes to facilitate the efficient development and utilization of African hydropower resources thereby enhancing energy and power interconnections between Asia, Europe, and Africa. Such innovation would transform the energy development pattern and speed up clean and low-​carbon development thus providing a solution to energy issues and also a new pathway to deal with major water resources challenges. The conference featured a high-​level panel on water that discussed ethics, heritage, and technological innovation. A session was held to link water and energy, especially in Africa. The SDGs mandated provisioning safe and affordable drinking water, by 2030. Execution of such programs requires improvement in reaching more than 800 million people with basic services and improved accessibility and safety to more than 2 billion people.

Further Reading 1. Alexandratos, N., and Bruinsma, J. World agriculture towards 2030/​2050: the 2012 revision, 2012. 2. Bruinsma, J. What are the likely developments in world agriculture towards 2050? In Global Forum on Agricultural Research (GFAR), 2012. 3. Willenbockel, D. Scenarios for global agriculture and food security towards 2050. New Challenges to Food Security: From Climate Change to Fragile States, 41, 2014. 4. Falkenmark, M. Growing water scarcity in agriculture: future challenge to global water security. Philosophical Transactions of the Royal Society A: Mathematical, Physical and Engineering Sciences, 371(2002), 20120410, 2013. 5. Mayor, B., Casado, R. R., Landeta, J., López-​Gunn, E., and Villarroya, F. An expert outlook on water security and water for energy trends to 2030–​2050. Water Policy, 18(1), 1–​18, 2016. 6. Plesse, M. Global Food and Water Security in 2050: Demographic Change and Increased Demand. Future Directions International, 2020. 7. Rockström, J., Falkenmark, M., Allan, T., Folke, C., Gordon, L., Jägerskog, A., ... and Varis, O. The unfolding water drama in the Anthropocene: towards a resilience-​based perspective on water for global sustainability. Ecohydrology, 7(5), 1249–​1261, 2014. 8. Schultz, B., and Uhlenbrook, S. Water security: What does it mean, what may it imply? In Water for a Changing World-​Developing Local Knowledge and Capacity (pp. 53–​68). CRC Press, 2008. 9. https://​en.une​sco.org/​wate​rcon​fere​nce

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SECTION B

International and Regional Treaties, Conventions, Protocols, and Agreements

IX NEGOTIATIONS FOR THE PROTECTION OF THE MARINE AND FRESHWATER ENVIRONMENT 9.1  The Issues Related to Water Many of our problems in the 21st century are linked to the quantity and quality of water we get. Triggered by climate change the problem is likely to increase as it applies to water resources. There will be melting of ice caps and glaciers, disruption in the water cycle, an increase in water temperature, and more incidences of water-​related disasters such as floods and droughts. Currently, we lack potable water and improved sanitation. We are exposed more to pathogens and a host of chemical pollutants. The pollutants easily bioconcentrate and find their way up the food chain to cause biomagnification. The chemicals easily enter our bodies when we eat or even during watersports and swimming. Over 33% of Earth’s usable fresh water is used for agriculture, industry, and for household purposes. Groundwater is one of the least visible resources but around 40% of Americans are dependent on this groundwater for drinking. It easily gets contaminated by pesticides, fertilizers, waste leachates, and mining residues. Surface water like rivers, lakes, streams, and ponds along with oceans and seas are also polluted from agricultural runoff, industrial effluents, sewage, and oil, thus making it unfit for swimming, recreation, drinking, and other uses. Apart from the abovementioned causes, plastic pollution is a serious issue. Plastic bags and cans are often swept into sewers and drains that are eventually discharged into the sea. The water then turns into a trash soup along with floating garbage patches. More than 200 species are adversely affected by discarded fishing equipment and gear. Waste from uranium mining, nuclear reactors, and weapons testing facilities persist for thousands of years making disposal a major challenge both in terms of hazards and expense. The cleanup operation of 56 million gallons of nuclear waste from the decommissioned Hanford nuclear weapons production site is expected to cost over 100 billion US dollars. Macro pollutants like nitrogen and phosphorus species discharge increase the nutrient load that raises the primary production of biomass, oxygen depletion, and toxic algal blooms resulting in eutrophication. High loads of salt and intensive irrigation bring long-​ term problems. A high salt concentration inhibits the growth of crops. Many coastal areas of India and China are affected by marine saltwater intrusion. The groundwater is easily contaminated due to the overexploitation of aquifers and a rise in sea level.

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Micropollutants exist in large structural variety and their sources can be diverse. Industry and municipalities use more than 30% of globally accessible freshwater. After use, huge amounts of waste water is produced which contains an array of chemicals in a variety of concentrations. Many developing nations leave this waste water untreated and even if they are treated, the treatment is ineffective. Hence the majority of the micropollutants remain in the water. Other micropollutants include pesticides that come from agricultural fields and oil from oil spills and anthropogenic mobilization of heavy metals and metalloids. Heavy metals like chromium, nickel, copper, zinc, cadmium, lead, mercury, uranium, and metalloids like selenium and arsenic pose serious challenges owing to their contrasting behavior under different redox conditions. Since they are not easily degraded, they are easily transported and are bioavailable through processes like oxidation, reduction, adsorption, precipitation, complexation, and so forth. They may even show different solubility in the presence or absence of oxygen, for example, in the presence of oxygen, iron, and manganese form oxides. These oxides are finely dispersed and can strongly adsorb heavy metals and metalloids. They are released under redox conditions. The recent Flint water crisis in Michigan was due to lead contamination resulting from aging water infrastructure. Waste disposal sites, especially industrial and military sites, also pose problems. The toxic chemicals may find their way through leaching and contaminate the groundwater. Crop production requires distinct climatic conditions. Owing to the high population, developing countries have a pressing need for increased crop production to maintain food security. The increased use of fertilizers and pesticides contaminate the soil and water. Developing countries have limited resources and monitoring capabilities related to pesticide concentration in water and also for assessing risks for man and the environment. Several million tonnes of pesticides and fertilizers are used in crop production to increase crop yield. The chemicals are used to control weeds, insects, fungi, and other pests. Thousands and thousands of pesticides are available commercially that are not only toxic to the biota but also to humans. Owing to their toxicity their intentional release into the environment is regulated by country-​specific registration and risk assessment methods. Contamination of water resources in the catchment area, pesticide runoff from fields and storage facilities is a great concern. Often farmers are poisoned from direct pesticide exposure. The risk of accidental exposure and deliberate misuse is greater in developing nations than in the developed nations. Pesticide application in non-​agricultural and urban areas also leads to water contamination of drainage and sewage systems. in India, about 195 million hectares of land is under cultivation, of which 63% is rain-​fed and 37% depends on irrigation. The rivers around the agricultural zones supply irrigation water. Owing to the geogenic composition of aquifers throughout the world, the leaching of toxic elements like arsenic, fluoride, chromium, selenium, and uranium is natural. Arsenic toxicity is severe in Bangladesh, Cambodia, and Vietnam. Six million people are at risk in West Bengal, India, alone. Most of the rural people lived on untreated drinking water until the seventies. Around 60% of the wells along the Ganga-​Brahmaputra River system in Bangladesh are arsenic contaminated with levels above the WHO limit. Arsenate and arsenite are the most toxic inorganic forms though arsenate is comparatively more toxic. Very high mortality in Bangladesh promoted the installation of groundwater wells to supply safe drinking water. A high weathering rate of arsenic-​rich rocks, deposition of organic-​rich deposits in the river flood plains, and humid topography with a long residence time of water in aquifers perhaps has led to anoxygenic conditions that release the adsorbed arsenic into

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the water. On the other hand, a high pH condition may also mobilize arsenic in oxygen-​rich groundwater in the desert areas of the USA, Central Asia, and Australia. Chronic arsenic toxicity leads to the accumulation of arsenic in the hair, skin, and nails resulting in keratosis of hands and feet along with increased blood pressure and neurological dysfunctions. Arsenic is a proven carcinogen of the skin, lungs, and other organs. Developed countries used adsorption technologies to mitigate the arsenic issue and bring it within the WHO limit. In developing nations, the use of deep aquifers and rainwater harvesting can be an effective and economical solution. Mining operations give rise to social and environmental issues. They result in huge waste deposits. The deposits are open to oxidation by air and after precipitation, they contaminate the water bodies. Coal, lignite, and construction materials involve huge mass movements. The mining of gold, copper, and nickel yields thousands of tonnes of waste per kg of pure metal produced. Over 50 x109 tonnes of materials are mobilized annually through mining activities. Coal, iron, and copper comprise huge amounts of sulfides. They easily undergo oxidation in air and water and release sulfuric acid in the form of acid mine drainage. Globally, an estimated 20 000 km of river and 70 000 hectares of lake are severely contaminated by such acid mine drainage. Most of the extraction process involves extensive input of energy, chemicals, and water that cause environmental and health hazards. Take, for example, the case of gold extraction. Gold is either extracted by mercury amalgamation in artisan gold mining or using the cyanide extraction process. Both mercury and the cyanides are extremely hazardous. Artisan gold mining is practiced in 55 nations, exposing around 13 million miners to mercury. An estimate says that more than 100 tonnes of mercury are released into the environment annually of which 50% reaches the surface water. Not to forget that mercury biomagnifies nearly a millionfold. In the case of cyanide extraction, 1 kg of gold requires 700 tonnes of water and 140 kg of cyanide. Worthy of note is the death of the aquatic organisms of the Tisza River in Hungary. Much of the water supply was closed when the tailing ponds suffered a dam failure causing the release of 1 lakh cubic meters of cyanide water in January 2000. Policy measures should include the replacement of toxic chemicals with less toxic chemicals with improved safety and mitigation measures. In India, the rivers are practically choked by development and an ever-​increasing population. The waste is a mixture of paints, varnishes, oil, metal scraps, plastics, cloth, rubber, and dark slurry all in varying proportions. Environmentalists and citizens have been engaged in a prolonged battle to force the authorities to clean up rivers and illegal activities such as in Mithi, Musi, Cooum, and so forth. A plea was made to the National Green Tribunal in 2015 to stop illegal construction near the Musi River. CPCB reported that around 63% of urban sewage is drained into the rivers every day. Even the flagship project ‘Namami Gange,’ worth three billion finds it difficult to achieve results due to the politics of five states and other multiple central government agencies. Sand dredging for the booming construction activities also pollutes the rivers by deploying unlicensed kerosene and diesel-​ fueled cheap watercraft. Many of the cremation grounds are located along the banks of the river which adds to the pollution. Many Hindu families that are unable to afford cremation just float the mortal remains in the rivers. The human cadavers also cause severe pollution. To some extent, architects could give a makeover to the Sabarmati River by removing the slums along the river banks and creating a clean water channel bordered by concrete. It was as much of a beautification process as an ecological restoration. The damage to the Indian rivers was painfully clear when Chennai experienced severe rainfall in December 2015 that

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overwhelmed its network of rivers and canals, causing a deluge. 300 people died, thousands of homes and offices were damaged, and the airport was paralyzed. The economic loss is worth three billion dollars. An earlier Mumbai flood in 2005 drowned the financial capital, claiming 900 lives, destroying 2.5 lakh homes resulting in two billion dollars of economic loss. The Mithi River that runs from the suburban hills to the Arabian Sea was found to be adorned by slums, workshops, housing, and business centers that have assaulted the city’s ecology. Satellite imagery shows the width reduction of the Mithi River by 50% and mudflats by 70% between 1966 and 2005. The NEERI and IIT, Bombay, suggested the establishment of 37 STPs along the river but were ignored. Pharma compounds, personal care products, and dyes also contribute significantly to water pollution. They can be painkillers, contraceptives, paracetamols, anti-​inflammatory agents, antibiotics, beta-​ blockers, antidepressants, and the like. There are over 3000 thousand pharma companies in Europe and the USA, and the number is increasing. Medicines and drugs are extremely bioactive and hence produce undesirable effects on living organisms, including humans. The analysis of compounds in municipal wastewater suggests that this is the main path of discharge into the water bodies. Nonspecific effects such as bioluminescence, the inhibition of growth rate, and specific effects like genotoxicity, and impaired Acetylcholinesterase activity may result from drug exposure. Policy wise, before new pharma company authorization is allowed, detailed information on pharmacology, pharmacokinetics, toxicology, and clinical trials are required for risk assessment. Groundwater is often contaminated by solid waste landfills, accidental slicks, waste disposal sites, and abandoned production facilities. Millions of tonnes of waste lie in innumerable sites. Many of them are contaminated with radioactive substances. Countless oil spills and chemical spills also add to the problem. Common contaminants are polychlorinated biphenyls, dioxins, methylmercury, chlorinated ethenes, nitroaromatic explosives, and so forth. The issues of sanitation, hygiene, and potable water vary significantly in developed and developing nations. The community supply of potable water is mainly from rivers, springs, lakes, and underground sources. 90% of sewage disposed of is mostly untreated in developing nations. The prediction is that, globally, 67% of the population will still not be connected to public sewerage systems by 2030. As per WHO and UN-​Water’s Global Analysis and Assessment of Sanitation and Drinking Water (GLAAS) many countries need to gear up their effort to achieve the UN SDG6, i.e., water and sanitation for all by 2030. 45% of the countries are on the path to reach their nationally defined drinking water coverage targets, and 25% of the countries are on the path to accomplish their national sanitation targets. Less than 33% of the countries report having enough human resources to carry out drinking –​water, sanitation and hygiene (WASH) purpose. At present 2 billion people do not have access to safely managed drinking water at home and 3.6 billion lack access to safely managed sanitation at ho, nearly 3.5 million people die annually from inadequacy of water supply, sanitation and hygiene facilities of which 8.29 lakhs die of diarrhea. Additionally, 2.3 billion people do not have basic hygiene services at home like soap and water. Nearly 3.5 million people die annually from inadequacy of water supply, sanitation and hygiene facilities of which 8,29 lakh die of diarrhea. This is mostly in the developing nations with a stark imbalance between the rural and urban areas. Unsafe water and improper sanitation cause enteric diseases.WASH plays a crucial role in preventing several neglected tropical diseases (NTDs) like trachoma, schistosomiasis and

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soil transmitted helminth infections and potentiates the fall of global burden of disease. The diseases are caused by viruses, bacteria, and protozoan infections mostly spreading via the oro-​fecal route. Acute diarrhea, legionellosis, typhoid, cholera, hepatitis, rotavirus, giardiasis, amoebiasis, E. coli, Shigella, Cryptosporidium, and Campylobacter infections are quite common. Monitoring water for each of the pathogens is impossible but fecal contamination detection is an easy way to detect water contamination. Indicator organisms are often used as tools for this purpose, such as E. coli, Clostridium perfringens, and the like. A minimum of two billion people worldwide use drinking water source that is contaminated with fecal matter. The UN had adopted the MDGs to reduce the population without safe drinking water access and basic sanitation. Treatment of household wastewater is important to enhance sanitation and ecological health. It removes carbon, nitrogen, phosphorus, and pathogens; reduces the BOD of the effluent water and decreases the chance of eutrophication and infection. The lack of oxygen suffocates the flora and fauna creating ‘dead zones’ that are essentially devoid of life. Dead zones were detected in the Gulf of Mexico off the coast of Louisiana, Chesapeake Bay off Maryland, Kattegat Strait in Scandinavia, and a central part of Lake Erie. Discharging untreated water in the rivers, lakes, ponds, and sea increases environmental and health hazards. Large stretches of the Yamuna, Cooun, Mithi, and Ulhas rivers in India are considered dead zones. Similarly, industrial wastewater should also be treated for recovery and recycling purposes. Increased carbon emissions make the ocean acidic which results in difficulty in building the shells of shellfish and corals. The SDGs bring water issues to the forefront. Goal 6 aims to ‘ensure availability of sustainable management of water and sanitation for all.’ The issue of water is addressed repeatedly with other SDGs like health, poverty, sustainable consumption, production, and so forth, as it is connected to every aspect of our lives. A billion people are living in water-​ stressed areas which are likely to become 50% by 2050 if no steps are taken. The world is projected to confront a 40% shortfall in freshwater supply in the next ten years. In India, over half the population has no access to safe drinking water which causes the death of two lakh people each year. The Composite Water Management Index (CWMI), 2018 reported the water demand to exceed the available supply by 2030 and India would lose 6% of its GDP by 2050. The GOI announced a plan to supply piped potable water to every rural household by 2024. The ‘Jal Jeevan Mission,’ was able to supply 20 million families last year. A group of chemicals that pose a global concern are the POPs. These are diverse compounds produced both intentionally and accidentally as byproducts. They become a matter of concern for both water and air. The issues are broadly discussed in the next chapter.

Further Reading 1. Schwarzenbach, R. P., Egli, T., Hofstetter, T. B., Von Gunten, U., and Wehrli, B. Global water pollution and human health. Annual review of environment and resources, 35, 109–​136, 2010. 2. Ongley, E. D. Global water pollution: challenges and opportunities. Proceedings: Integrated Measures to Overcome Barriers to Minimizing Harmful Fluxes from Land to Water, 10–​14, 1993. 3. Goel, P. K. Water pollution: causes, effects and control. New Age International, 2006. 4. Mateo-​Sagasta, J., Zadeh, S. M., Turral, H., and Burke, J. Water pollution from agriculture: a global review. Executive summary, 2017. 5. Håkanson, L., and Bryhn, A. Water pollution. BackhuysPubl, Leiden, 1999.

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Negotiations for Protection of the Marine and Freshwater Environment 6. Puckett, L. J. Identifying the major sources of nutrient water pollution. Environmental Science & Technology, 29(9), 408A–​414A, 1995. 7. Halder, J. N., and Islam, M. N. Water pollution and its impact on the human health. Journal of environment and human, 2(1), 36–​46, 2015. 8. Wang, Q., and Yang, Z. Industrial water pollution, water environment treatment, and health risks in China. Environmental pollution, 218, 358–​365,2016. 9. Garg, M. Water pollution in India: causes and remedies. International Journal of Physical and Social Sciences, 2(6), 555–​567, 2012. 10. Anju, A., Ravi S, P., and Bechan, S. Water pollution with special reference to pesticide contamination in India. Journal of Water Resource and Protection, 2010. 11. Rajaram, T., and Das, A. Water pollution by industrial effluents in India: Discharge scenarios and case for participatory ecosystem specific local regulation. Futures, 40(1), 56–​69, 2008.

9.2  Important Negotiations Negotiation is meant for constructive engagement and cooperation in dealing with complex issues, be it water. It comprises multi-​stakeholder platforms, and consensus building to finally focus on fair and effective use of water allocation and its use. As water availability is expected to decrease shortly, its demand will increase. Water just flows, and does not follow country or political boundaries. A resource without borders, but finite as only 1% of the water is available for human use and 85% of the world population inhabits the driest part of the planet. Apart from its life support help, it is a facilitator of nation-​building and regional cooperation. Water transcends all borders and groups of people irrespective of political delineations be it marine water or freshwater. There are around 310 river basins that are cross-​boundaries. Cooperation has been the norm for using transboundary water at interstate and other levels but rising tensions amongst water users are not uncommon. Global water actually connects the biosphere irrespective of political borders and forms a part of overall trade flow and the universal common good. Transboundary waters are a political concern and hence it must be discussed and agreed upon at the highest political level. Leadership that guides fair and operable water arrangements can bring peace and prosperity. Global political leaders are called upon to de-​securitize and re-​politicize water as a solution to address the global water crisis and foster multilateralism. Water diplomacy comprises all sorts of correspondence between the (non)-​State actors and at least one State or international governmental organization over water resources like lakes, rivers, seas, oceans, and aquifer basins It is a multidisciplinary tool to bring the technical knowledge, water management, and diplomatic skills together for fair distribution of water and rule out water tensions rising into armed water conflict. Three characteristics are necessary to deal with water diplomacy. It is inherently political; needed at all levels of water management; and it is normatively driven so that not only deals with conflict and cooperation but also cultivates sustainable and peaceful solutions. This section deals with some of the most relevant negotiations related to both marine and fresh water.

9.2.1  International Convention for the Prevention of Pollution of the Sea by Oil, 1954 (OILPOL Convention) Before the Second World War, the common practice of waste management on ships onboard was simply to throw it overboard. Marine oil pollution chiefly arises from shipping and offshore activities, while seabed activities contribute a minimum. Spilled oil is highly toxic and

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often lethal to marine life even at low concentrations. It affects not only the pelagic area around the leakage but also is carried long distances by water currents affecting coasts, sea beds, and so forth. The impacts, in many cases, remain unpredictable. In response to the need to prevent impending oil pollution of the shoreline in Britain following the Second World War, the ‘International Convention for the Prevention of Pollution of the Sea by Oil’ was drafted. The OILPOL international treaty was signed on 12 May 1954 in London. This international agreement came into force on 26 July 1958. Its purpose was to endeavor to handle the issue of oil pollution of the seas. The oil comprises of crude oil, fuel oil, heavy diesel oil, and lubricating oil. It attempted to handle oil pollution in two main ways: firstly, by declaring ‘prohibited zones’ where the release of oil or its mixture (even 100 parts of oil in a million parts) was completely banned, and secondly, Parties to the treaty should be ensuring all necessary steps for the provision of a reception facility to treat oily water and its residue. Article I defines the terms used in this agreement. Article II states the application of this agreement to all registered seagoing vessels within the jurisdiction of the territories of the Contracting Parties along with any unregistered vessel bearing a Party’s nationality except for; tankers below one hundred and fifty gross tonnage capacity and additional vessels below five hundred gross tonnage capacity, whaling operation ships as long as the Parties ensure that all essential, rational, and feasible steps are taken to abide by the treaty concerning size, service, and the types of fuels used for their propulsion. According to Article II, the naval ships, whaling ships, and vessels to the Great Lakes of North America together with related and tributary waters of St. Lambert Lock at Montreal, Quebec, Canada were also exempted. Article III mentions that the discharge of oil or oily mixtures is banned (other than tanker) except when the instantaneous rate of discharge is less than 60 lt/​mile; the proportion of oil is less than 100 parts per million; when the discharge is mostly from land, and the ship moving en route. For tankers, the exception holds if it is moving en route; and over 50 miles distant from the nearest shore; the instantaneous rate of discharge is less than 60 lt/​mile, and the total amount of oil released on a ballast voyage is less than 1/​15000 of total cargo carrying capacity. These provisions are not applicable to the cargo tank. Underlined in Article IV, the provisions of Article III should not apply to any discharges while saving lives at sea, averting damage to ships or cargo, or acquiring the safety of the vessel, and all practicable precautionary measures are taken after a vessel is damaged. Article V states the exception to Article III for releases of the oily mixture from the trashes of a ship within a year after the implementation of this Agreement. Under Article VI, any infringement of Article III and Article IX is a punishable violation under the territorial laws about the ship. The provisions ensure that all the ships and tankers governed by the Convention should possess an oil record book in a format as specified in the Annex to the Agreement. Subsequent amendments of OILPOL in the years 1962, 1969, and 1971 chiefly dealt with the pollution problems from periodic tanker actions and the leakage of waste oil from equipment which was considered to be the main reason for oil pollution from vessels. The amendment of 1962 was made to include ships with lower tonnes capacity and also protracted the ‘prohibited zone.’ Further, the 1969 revisions implemented rules to limit the operative leakage of oil from tankers and equipment of all types of ships.

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Even though OILPOL was initiated in some way to tackle the problems of oil pollution, the ever-​increasing oil trade and progress and advancements in industrial processes made it evident that much more was required. It failed to ban maritime disposal. OILPOL simply banned the disposal of oily wastes within a specific distance from the land. Although the agreement imposed a need for the Contracting Parties to provide reception facilities, there is nevertheless a lack of facilities. The treaty was amended with the 1978 Protocol in response to several tanker accidents but was ineffective. However, the IMO was little concerned with such pollution control, and the world was just waking up from sleep, relating to the environmental impacts of a growing industrialized society. In 1973, MARPOL incorporated OILPOL.

9.2.1.1  Agreement between Denmark, Finland, Norway, and Sweden Concerning Cooperation in Taking Measures against Pollution of the Sea by Oil, 1971 The Agreement was released for signature on 16 September 1971 in Copenhagen and enforced on the same day after ratification by the governments of Norway, Denmark, Finland, and Sweden. This Convention seeks cooperation in tackling sea pollution that might put the coastlines under threat in compliance with the ‘International Convention for the Prevention of Pollution of the Sea by Oil’ along with the 1969 ‘Agreement for Cooperation in Dealing with Pollution of the North Sea.’ Article 1of the agreement requires the Contracting Party to immediately inform any other such Party about the sighting of an oil slick that might drift towards the latter. In Article 2, any Contracting Party, undergoing the risk of oil pollution and apprehensive of another Party getting affected, should investigate the circumstances regarding the state of the oil, the amount, the location, the direction of movement, wind speed, and so forth. The Party needs to communicate to other states with the investigation report along with measures taken or likely to be taken at the earliest. Article 3provides for a Contracting Party to seek help from any other such Party, and the latter is supposed to provide anything that is reasonably possible. Such requests should be placed first to the Parties likely to become affected by oil pollution. Article 4 underlines the way to attain the highest possible efficiency in the utilization of equipment by building up stocks of anti-​oil substances. Article 5 provides for informing other Parties of a major oil slick that has promoted the Party to take actions, the measures taken, and the outcome. As per Article 6, a Party should be informing the competent authority of another Party in case the vessel is registered to the latter and is committing an offense in the territory of the former against the set regulations. Under Article 7, the Contracting Parties are required to help each other concerning the inspection of logbooks, oil record books, oil samples, and investigation of the offenses as per the law. Parties under Article 8should exchange relevant information regarding the respective authorities, national laws, and facilities, including those in the construction phase. Article 9 ensures that the authorities take part in planning for the requirements needed to implement this agreement. The subsequent articles deal with guidelines for withdrawal and ratification. The Ministry of Foreign Affairs of Denmark is the depository for this agreement.

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Case Study 9.1  Marine Pollution in the Port of Singapore Singapore, an island country, is the location of the world’s busiest port. It is located at the intersection of an important shipping route connecting the east and west and is just after the Strait of Singapore that functions as an essential track for Very Large Crude Carriers (VLCCs) heading to and from the far East. The port of Singapore got over 145 000 container calls that amount to around 910 million gross tonnes in the year 2000. In 1997, an empty Thailand supertanker and a ship half its size collided in the Singapore Strait, resulting in one of the worst oil spills Southeast Asia has ever experienced. The 75 428-​tonne Cyprus-​registered tanker EVOIKOS after hitting the supertanker Orapin Global leaked 28 500 tonnes of heavy maritime fuel oil and contaminated a considerable portion of Singapore port waters. EVOIKOS was transporting 123 000 tonnes of marine fuel oil cargo, and suffered a massive tear on the port side of about 50 m in length and 10 m high, extending from the top deck to beneath the waterline. Some of the heavy oil started washing up on the seashores of three offshore islands, but clean-​up efforts had prevented the oil from reaching the main island of Singapore. Some 80 craft and 650 personnel were employed in the clean-​up operation. The port waters were cleaned within three weeks.

Case Study 9.2  Nakhodka Oil Spill The wreckage of the Russian tanker, NAKHODA, took place in heavy seas in the Sea of Japan roughly 110 km North East of the Oki islands of Shimane Prefecture on 2 January 1997 due to the stormy weather. NAKHODA was loaded and hauled with 19000 kL (kiloliters) cargo from Shanghai, China, towards Petropavlovsk, Russia. The tanker split in two and spilled around 6240 kL of oil. It sunk on 6 January 1997. Almost immediately after the wreckage, the stem section of the tanker sank and lay in around 2500 m of water and contained 10 000 kL of oil. The stern went on discharging oil at a rate varying from 3–​15 m3 every day, as assessed by the Japanese experts. The oil discharge affected a coastal stretch of 100 m in length, a place where 15 nuclear reactors are situated. The oil-​contaminated sea waters with high polycyclic aromatic hydrocarbon (PAH) might have entered the cooling system of the reactors, which are dependent on seawater to lower the temperature of the steam coming out from the power-​producing turbines. The place also was the site of fishing ports, tourist spots, and fish farming. Already the fishermen in Mikuni village, 330 km West of Tokyo, were concerned that the oil spill would wipe the entire year’s harvest of shellfish and seaweed. Even after 20 years, the water on analysis showed that it contained paraffin wax, cristobalite, graphite, calcite, halite, biotite along with a higher concentration of aluminium, silicon, phosphorus, sulfur, iron, nickel, strontium, lead, hydrocarbon-​degrading bacteria, and the like. The owner of the tanker hired a Japanese rescue contractor, called Nippon Salvage to deal with the issue, but attempts failed due to harsh weather conditions. The efforts by the company

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on behalf of the tanker owner to clean up the oil from the bow section varied between 1000–​ 1500 kL. The bulk of the oil was shifted to coastal tankers, and the residual oil-​water mix was pumped into road tankers. The bow of the vessel was removed and then taken to Hiroshima Prefecture for scrapping.

Case Study 9.3  Marine Pollution in the English Channel In 1967, the Liberian registered super tanker named Torrey Canyon had hit the rocks off the Cornwall coast resulting in a spill of over 100 000 tonnes of crude oil into the English Channel, affecting coastal stretches of Britain, France, Guernsey, and Spain. Over 15 000 marine birds died along with other mammals as they got clogged up with the viscous oil. Mitigation efforts were made by the Royal Navy and Royal Air Force. The most significant oil pollution until then raised several questions about marine protection and measures to regulate such pollution from ships, tankers, and barges. It was this event that ultimately led to the conception of MARPOL

9.2.2  The Antarctic Treaty, 1959 Washington The continent of the Antarctic is fully protected, remote, extraordinarily inhospitable, and isolated at the southern end of the planet with quite a few challenges such as distance, isolation with floating barriers of ice, strong winds, stormy seas, and awful weather. Nearly 2% of the region is free from ice which allows sustenance for a small population of flora and fauna. Mankind has gained access through improved technology and knowledge and largely occupied Antarctica with scientific stations for monitoring and research. With the adoption of the program, the International Geophysical Year (IGV) 1957–​1958, a multi-​ nation research program was initiated on the continent. Although territorial positions were being asserted, it was not agreed upon and this further escalated tension threatening any scientific cooperation in the future. Out of the 12 nations (the USA, USSR, Australia, New Zealand, France, Japan, Chile, Norway, South Africa, Argentina, Belgium, and the UK) that were active, nine agreed not to bring political or legal agendas into the research program. This led to the agreement for peaceful scientific cooperation in the form of the ‘Antarctic Treaty.’ It was signed in 1959 and subsequently implemented in 1961. Presently it has 54 Parties to it, and India ratified it on 19 August 1983. The treaty applies to the regions lying south of 60°S latitude and demands peaceful purposes in the Antarctic with the prohibition of all military activities, nuclear explosions, and radioactive waste disposal. The treaty promotes scientific collaboration, including the exchange of plans and people, and guarantees continual freedom for conducting research. The treaty provides for inspection of ships, stations, and equipment by observers and stipulates the Parties to provide prior notice about any expeditions. The treaty was agreed upon in 1959 between the governments of twelve nations: the USA, the UK of Great Britain and Northern Ireland, the USSR, South Africa, Argentina,

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Australia, Belgium, Chile, France, Japan, New Zealand, and Norway for the benefit of mankind as a whole. It was enforced in 1961 and presently has 54 Parties to it. India ratified it on 19 August 1983. Article I holds that the use of the Antarctic should only be allowed for peaceful purposes. No activities related to military maneuvers, establishments or weapon testing should ever be allowed. However, the use of military people and instruments are allowable for scientific purposes. Article II allows the continuation of the scientific investigations and participation as was allowed during the International Geophysical Year, provided they are as per the treaty. Article III encourages maximum collaborative programs in science, scientists’ exchanges in voyages and stations, exchanges of observations, and outcomes. Article IV clarifies that the agreement contains no provisions that are meant to renunciate any Contracting Party of its earlier proclaimed rights to the territorial dominion in Antarctica or claim to the territorial dominion in Antarctica received in lieu of the activities/​activities of its citizens in the Antarctic. Also, the provisions of this article in no way distort any of the Contracting Parties’ positions concerning acknowledgment or non-​acknowledgment of assertions made by any other state. Article V does not permit any kind of atomic explosions and dumping of nuclear wastes. Article VI states the jurisdiction of the agreement that should apply to regions south of 60°S latitude inclusive of the ice shelves and not the seas. Under Article VII, the Contracting Parties possess the rights of nominating observers who should be citizens of the Contracting States. The selection of observers should be made according to the provisions of the agreement. All other Contracting Parties should be communicated formally about the selected observers. The designated observers enjoy the total independence to entrée all Antarctic areas at any time to inspect all stations, installed equipment, vessels, and airplanes at all times in all the areas along with aerial surveillance by any Contracting Party. The Contracting Parties should exchange all relevant information amongst themselves about all stations, all expeditions, and any military person or equipment planned to be used in Antarctic scientific explorations. In Article VIII, the observers and accompanying members are to be subjected to the authority of the Contracting Parties, of which they are citizens in matters of the lapses that happen while they stay in Antarctica. Antarctica does not belong to any one nation or group of nations and is hence not subjected to the legislation of a specific nation. Article IX necessitated an assembly of all the Parties that have ratified in Canberra within two months of the agreement’s implementation. The meeting should be carried out to devise and recommend their respective governments about the maintenance of the ideologies and goals of this treaty. Article X states the endeavor taken up by the Contracting Parties to be in harmony with the Charter of the United Nations. Article XI emphasizes settling any disputes through consultations, while Article XII speaks about amendments at any time that should be implemented after the depository government has received the ratification notice. Parties without ratification are automatically regarded to be withdrawn from the treaty.

9.2.2.1  The Madrid Protocol on Environmental Protection to the Antarctic Treaty, 1991 Also known as the Madrid Protocol, the Protocol on Environmental Protection is a supplement to the Antarctic Treaty and offers a turning point along with all-​inclusive protection to the last wilderness on Earth, Antarctica. It was signed in 1991. The Antarctic Treaty refers to the Antarctic Treaty negotiated in 1959 in Washington. The adoption of 115

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this Protocol is one of the major developments in the past three decades and exhibits an extreme aspect of the precautionary principle. Many people are mesmerized by the magic mystic beauty of the Antarctic, and many are greedy for the untapped mineral and energy resources in the region. The concept of industrial exploitation of these resources is quite old, and the Wellington Convention in 1988 was exercised to reach conciliation between the proponents and opponents of exploitation. The Convention failed due to the complexity of its mechanisms and lack of transparency in the basic principles that each Party asserted upon the other. Though the Convention is not dead technically, its enforcement is inoperative through this 1991Madrid Protocol. It describes the Antarctic as a ‘natural reserve, devoted to peace and science,’ and obliges the Parties to a commitment to protect the totality of the Antarctic environment along with its reliant and connected ecosystems. The Contracting Parties label the Antarctic to be a natural reserve with a commitment to protect its environment together with associated and dependent ecosystems. All activities must be scheduled, premeditated, and executed to restrict any opposing impacts on the Antarctic environment, along with its associated and dependent ecosystems such as those that might affect the weather and climatic patterns, air and water quality, unfavorable alterations in the distribution and richness of flora and fauna including threatened categories, changes in the air, land, oceanic and glacial environments or that might degrade or threaten the areas of biological, historical, aesthetic or scientific significance. Such protection is inclusive of the wilderness, and aesthetics, and Antarctica should be valued as a region for conducting scientific research to understand the global environment. The activities that are likely to be carried out should exclude any harmful impacts on weather and climatic patterns, any harmful alterations in air and water quality, any major shifts in the air, land, oceanic and glacial environments, any unfavorable changes in the distribution and population of flora and fauna that might put them in jeopardy, and so forth. The treaty has agreed to put all types of political disputes aside with no activities to increase or decrease the formerly asserted positions and provides nothing for new and enlarged claims related to jurisdiction. The treaty also provides for a dispute settlement procedure for further modification of the treaty. The Protocol was implemented on 14 January 1998 and was open for reviewing and amendments. A Review Conference shall be held if after 50 years of expiration from the date of enforcement of this Protocol, if any of the Antarctic Treaty Consultative Parties submit requests to the Depositary. The amendments or modification would be adopted by a majority of Parties including 3/​4th of the States who were also Antarctic Treaty Consultative Parties in 1991. Prohibition of Antarctic mineral resource activities underlined in Article 7 cannot be amended except for a legally binding regime on such activities is in force. Only Article IX may be modified at any time according to the procedures set forth in Article XII of the Antarctic Treaty. All the Contracting Parties agreed to this Protocol undisputed at the Antarctic Treaty Consultative Meeting. It had six annexes that specify the guidelines for environmental impact assessment, conservation of plants and animal species (for protecting the albatross, the giant petrel, and the Ross seal especially), disposal and management of wastes (the use of PCBs banned), averting oceanic pollution, the establishment of protected areas, and a liability rule for any damage caused to the Antarctic environment. Annex I outlines the procedures for the EIA of all proposed activities. Annex II necessitates the issuance of a permit for any proposal that might interfere with the plants

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and animals. It also provides a guideline for the declaration of Antarctic threatened species and to prevent any introduction of alien species. Annex III requires the Parties to prepare a proper waste management plan to manage wastes from daily operations as well as to clean up the wastes from past activities. Annex IV contains guidelines to prevent marine pollution by regulating discharges from vessels. Annex V provisions the designation of specially protected areas by affording an extra level of protection. Annex VI states the necessary arrangements to prevent and respond to environmental crises that might take place from research or tourism activities. A committee for environmental protection was to be formed, which was to be represented by each Party. The committee can have an observer who is usually a Party to the Antarctic Treaty and who did not ratify the Madrid Protocol. The committee is required to present a report after each term of the Antarctic Treaty Consultative Meeting. The Protocol established a ‘Committee for Environmental Protection’ (CEP), a 35 member expert advisory body. The most important functions of this committee are to conduct EIA and to designate protected areas. 75 Antarctic Specially Protected Areas (ASPAs) such as Mount Harding, Terre Adelie for safeguarding the wilderness, aesthetics, and ongoing planned research, and seven Antarctic Specially Managed Areas (ASMAs) have been nominated. ASMAs are areas where activities are or likely to be allowed, such as, the Larsemann Hills, or the Deception Islands. A plan is required for any undertakings in the Antarctic region based on early EIA and informed judgments about their conceivable impacts, taking into account the scope, duration, intensity, cumulative impacts, available technologies, monitoring capacity, and preparedness to respond, and so forth. Scientific research and preservation are to be given priority. The Protocol seeks cooperation in scientific, technical, and educational programs, information sharing, and choice of stations and facilities, among the Parties to ensure the accomplishment of the objectives. The Protocol strictly forbids any undertakings related to mineral resources except for scientific research. Any proposed activity mentioned in Annex I of the Madrid Protocol should be subjected to the processes for prior assessment. The Parties under the Antarctic Treaty need to conduct EIA for their activities in the region under three levels of assessment. Activities having less than minor or transitory impact can commence straight away. The initial environmental evaluation involves the description, resolution, locality, time, intensity, and consideration of alternatives together with consideration of cumulative impacts that might occur due to recognized and proposed activities. If the primary EIA reveals an impact greater than minor and transitory, a comprehensive EIA should be carried out. For instance, Princess Elizabeth Station was subjected to a comprehensive EIA in the year 2006–​07. The Protocol bans mining until there is a future agreement to set forth a binding regulatory framework.

9.2.2.2  The Indian Context and the Reality on the Antarctic issue India signed the Antarctic Treaty on 19 August 1983 and received a consultative status as the 15th consultative member. The treaty was implemented on 14 August 1998. India also ratified the succeeding Madrid Protocol in 1997 to reinstate its commitments. India is a member of the Council of Managers of National Antarctic Program (COMNAP), the Scientific Committee on Antarctica Research (SCAR), and the Commission for Conservation of Antarctic Marine Living Resources (CCAMLR). The Indian program in the Antarctic

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is multidisciplinary and multi-​institutional. Generally, the programs are related to the National Centre for Polar and Ocean Research, MoES, and GOI. The first Indian mission to the Antarctic can be traced back to Dr. Paramjit Singh Sehra, who became a member of the joint Indian Space Research Organization (ISRO) –​Hydrometeorological Center of Russia deal. Independently, the first Antarctic expedition, led by S.Z. Quasim landed in the Antarctic on 9 January 1982 after a 33 day journey. The second expedition was led by V.K. Raina between December 1982 and March 1983. The team worked out the logistics for building a permanent research station. India signed up for the Dakshin Gangotri Antarctic Research Base in 1983, located 2500 km. from the South Pole at 70°05’S and 12°00’E. The station was launched during the third Antarctic expedition. The 4th and 5th expeditions worked on the expansion of the necessary infrastructure and facilities. Geological studies found striking similarities between Indian and Antarctic rocks. High thorium/​uranium was discovered, and sulfur mineralization was observed in Schirmacher Hill, rich in base metal and graphite. Antarctic marine resources were an excellent resource for the food and pharmaceutical industries. India declared its intention to commercially exploit ‘krill.’ The 3rd Indian expedition began initial research on krill that ended up in the 4th expedition to study the feasibility of bringing 200 tonnes of krill from the Southern Ocean to India on ships. This operation received a boost in the 5th expedition. India’s Sagar Sampada vessel is meant for fisheries and oceanographic research. Afterwards, it was used as a supply base and transit camp. The station was built with the help of the Indian Army with indigenous Indian devices and tools. It possessed an Inmarsat communication terminal and was driven by solar energy. It had an automatic weather recording station. An automatic picture transmission receiver and radio metre Sonde were established for calculating wind and solar velocities. The Indian Navy built the wireless communication system for transmission to India. The station was abandoned in 1988 after it got buried in ice and decommissioned in 1990. Finally, it was succeeded by the Maitri Research Station. Maitri was set up in 1989 on the Schirmacher Oasis, approximately 100 km from the shore at a height of 50 m above sea level. Maitri serves as the gateway to the most massive mountain chains in the central Dronning Maud Land. The station carried out investigations in the field of geology, geography, meteorology, communication, and medicine. The base is proximal to the freshwater Lake Priyadarshini and at a distance of 5 km from the Russian Novolazarevskaya Station. It supports around 25 people in summer and around 40 in winter. The third research base is the Bharati which became operational in 2012. It is situated at a distance of 3000 km between the Thala Fjord and Quilty bay. Bharati can support 47 people with some additional capacities. This project was carried out by the Electronics Corporation of India Limited (ECL) from the National Remote Sensing Centre (NRSC). This enabled the transmission of high-​speed satellite raw data to the NRSC center in Hyderabad. ECIL is also credited for establishing communication from Maitri to the National Centre for Polar and Ocean Research (NCPOR). The MoES/​National Centre for Polar and Ocean Research is in the making of the Indian Antarctic Bill that aims to fulfil Indian obligations under the Antarctic Treaty, 1959, the Madrid Protocol, 1998, and CCAMLR, 1982. India is committed to promoting the conservation of the Antarctic, facilitating research and exploration, and preventing the Antarctic from any international discord.

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9.2.3  Agreement on the Implementation of a European Project on Pollution on the Topic ‘Sewage Sludge Processing’ 1971 Brussels A key objective of the ‘Water Framework Directive’ of the EU is a long-​standing progressive decrease in the discharges of contaminants in the aquatic environment of wastewater. The product of wastewater treatment is sewage sludge, and the ‘Urban Wastewater Treatment Directive’ of the European Economic Commission has laid down guidelines for the appropriate usage of sewage. But potentially toxic elements and hydrophobic water pollutant in wastewater poses a potential threat to the use of sludge. The contaminants are discharged into the urban wastewater system from three main sources: households, commercial places, and urban runoff. In general, urban runoff is not a potential threat. Studies were conducted regarding the release of substances from vehicular road abrasion, tires, brake lining wear, and also from lead-​painted surfaces and lead and zinc-​containing roofing materials. Platinum and palladium components are emitted from catalytic convertors, and their increased emission is due to the use of auto catalysts. Platinum group metals enter the sludge byway of runoff, but they are mostly inactive and immobile in soil. The organic compounds that are of grave concern are poly aromatic hydrocarbons from the atmospheric deposition resulting from automobiles; poly chlorinated biphenyls from industrial sources; and PCDDs and PCDFs from waste incinerators and the combustion of coal. These compounds, being strongly hydrophobic, are quite effectively removed during wastewater treatment. Potentially toxic concentrations of elements input in the sludge are always more from the industrial sources than from other places and contribute more in terms of total metal load. Mercury is necessarily used in dental amalgam and thermometers. Research on alternatives may be effective in reducing such releases in the wastewater. Faecal matter contributes cadmium, zinc, copper, and nickel between 60% and 70% of the total load in domestic sources. Cadmium is a constituent of phosphatic minerals so removing the use of phosphates from detergents can be effective in controlling cadmium from such sources. The most notable however, are detergent residues, surfactants, plasticizing agents, and polyacrylamide compounds. Polyacrylamide used for dewatering the sludge contains traces of polyacrylamide monomers. However, these monomers undergo quick degradation and are biologically inactive. Though the sewage sludge is stabilized by anaerobic digestion, nonylphenol (NP), a detergent residue shows accumulation. Surfactants such as linear alkylbenzene sulfonates (LAS) are mostly biodegraded but present in greater amounts in the early stages. Plasticizing agents such as di-​ethylhexyl phthalate(DEHP) cannot be removed by conventional methods. The estrogenic activity of nonylphenol is a major concern in the sludge. Compounds that are resistant to wastewater treatment persist in being a threat, namely polybrominated diphenyl ether (PBDE) and chlorinated paraffin. Synthetic nitro musks employed in perfumed commodities are also present in the wastewater. Biodegradation and subsequent removal of pharmaceutical products in wastewater shows variation. A substantial number of drugs are metabolized and excreted through urine; however, analgesics rapidly biodegrade. The European Commission designated a priority list of 32 substances and 11 hazardous substances that require progressive reductions of their emissions and releases into the environment, including zinc, copper, and LAS. The general suggestion to safeguard the water and land points toward the evaluation of the threats from these chemicals, their biodegradability, and fate, right from their purpose to end-​use. This calls for increased collaboration in research and development along with a regional agreement.

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The nations that signed the agreement (Denmark, Germany, Italy, the Netherlands, Yugoslavia, Norway, Sweden, Switzerland, and the UK) are required to coordinate their efforts in the project undertaken for the comparison of processing and disposal methods of sewage sludge practiced in various countries, as stated in the objective in Article 1. The research and development-​related work should be delegated to public research organizations that should approve to work together on a multinational basis. The agreements were thus between the signatories on one side and industrial undertaking, research organizations, and universities on the other side. Article 2 mentions a two-​year duration for the work. Article 3 mentions the period for the signature. The agreement was signed on 22 and 23 November 1971 by the European Governments and other European Communities for unanimous consent. This unanimous consent should not be required if the minimum annual sum allocated is 20 000 units of the account. Articles 4 and 5 underline the structural details and the functions of the committee. A committee with a secretariat was established with one representative from each Party, and it fixed the rules for the procedure. If any research proposals are submitted to the signatories, they need to forward such proposals to the secretariat of the committee. The committee addresses the necessary research area and distributes the task amongst the signatories, seeking better cooperation, follow-​up of the work progress, and publication of annual reports. Article 6 states that the Commission on European Communities (CEC) should provide reports to the secretariat of the committee upon request from the signatories. Article 7 outlines the guidelines regarding the allocation of research work amongst the signatories. Each signatory is accountable for funding the work undertaken in this initiative. They are also free to assist others financially, purely based on their mutual agreement. Any combined expenditure is to be divided equally, excluding the secretariat expenditure. Under Article 8, any application for allocation and distribution of contracts, mentioned in Article 1, can be made by the industrial undertakings or research centers that are most likely collaborating. Article 9 guides the addressing of the research proposals to the secretariat of the committee. The committee gives recommendations on the proposals submitted to them, and the recommendations are selected employing a simple majority with a mentioning of the minority views as well. Article 10 speaks about the responsibility of the signatory nations for administrative and financial management. Article 11 signifies that the industrial property rights, along with the information obtained by any signatory from its work, should be the property of that signatory under its national law. The Party is allowed to make use of the information of other signatories to meet its specific needs in matters of public safety and public health. Upon receiving a request from another signatory Party, every signatory should grant non-​exclusive licenses on its information and industrial property rights on fair and reasonable terms concerning the fund contribution of the applicant signatory. Article 12 demands the insertion of a clause that requires the research centers and the industrial undertakings to submit periodic and final reports on progress. Article 13 demands the insertion of clauses in the contracts allowing the implementation of the requirements as long as research and industrial property rights remain valid, without any partiality to national law. Article 14 enables consultations between the signatory nations. Article 15 calls the signatory countries to inform the secretary-​general of the ECE about any inconsistencies in the completion of procedures with provisions for enforcing the agreement without any delay.

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9.2.4  London Dumping Convention (Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter), 1972 The global streaming of waste is the outcome of the evil twins: the growing population and urbanization. The secure options for most nations are incineration or disposal of wastes at sea, partially on account of costs and partly due to the environmental concerns of land-​ based disposal. Industrial waste is produced from a host of activities such economic activities, chemical plants, and pharmaceutical industries. The amount of such waste disposed of at sea was variable, and it reached its peak in 1982 at 17 million tonnes. Countries such as the UK used to dump huge amounts of sewage sludge regularly into the oceans, especially into the North Sea and the Irish Sea. Due to significant nitrate and phosphate content, it resulted in red tides that excluded oceanic life due to oxygen depletion. Sewage, if not contaminated with heavy metals, can easily be used as a fertilizer. The largest share of wastes in oceans was the dredged soils that were produced in the act of maintaining the ports and waterways open. But much of it can be productively used for landfills, artificial reefs, and barriers, improving wetlands, and the like. Incineration at sea was accepted as the least harmful mode of disposal for specific organic and liquid wastes. It was conducted in small vessels at some chosen sites in the North Sea and caught the eye of Greenpeace in the mid-​1980s. The 1958 ‘Convention on High Seas’ has obligations to ban the discarding of nuclear wastes. Commitments at the global level aim to strengthen and improve the program activities. The United Nations in 1969 requested different national and international organizations dealing with the problems of oceanic pollution to look into the possibility of drafting an agreement. The preparatory committee of the 1972 UNCHE formed the ‘Intergovernmental Working Group on Marine Pollution’ (IWGMP) to formulate a draft Convention on ocean dumping. Nothing was achieved in reality until the intergovernmental conference of 1972 in London. With participation from over 90 countries, the London Convention on Ocean Dumping was drafted and adopted. Being one of the initial international agreements to defend the maritime milieu and embraced on 29 December 1972, it was enacted on 30 August 1975. As of September 2016, 89 countries became Parties to this agreement, including Denmark, Finland, Germany, Poland, the Russian Federation, and Sweden. It intended to endorse the effectual control of the entirety of sources of maritime pollution and to undertake all feasible actions to avert contamination of the sea by discarding waste and other substances. The agreement calls for the prevention of indiscriminate waste disposal at sea, which could create hazards to human health, oceanic life forms, destroy facilities, or interfere with additional lawful uses of the ocean. A hazardous substance is delineated by toxicity, persistence, and the tendency to bio-​accumulate in oceanic organisms. The Convention formed the basis for the Helsinki Convention, 1984 concerning disposal. Subsequently, the London Convention was to be replaced by the London Protocol, 1996. Dumping is essentially: • The intentional disposal of waste that is terrestrially produced and employing ships, airplanes, or offshore fittings as the ‘platform’ for discarding at sea • The thoughtful disposal of outmoded ships, airplanes, and offshore accessories • The storing of trash on the seafloor and the subsoil thereof • The rejection or collapsing at a location of platform bases. 121

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Dumping excludes: • Conduit releases from terrestrial areas • Functioning releases from ships or offshore fittings • ‘Placement’ of a substance, so long as it does not conflict with the intentions of the London Protocol. A so-​called ‘black-​and grey-​list’ method was used for the categorization of wastes that were taken into consideration for dumping in marine environments depending on the extent of hazards they posed to the environment. Disposal is forbidden for black listed items (Annex I), such as high-​level radioactive wastes (HLW). Throwing away the grey-​ listed materials (Annex II) necessitates an extraordinary permit from a selected national authority subject to uncompromising regulation and only if particular conditions were met, such as being low-​and intermediate-​level wastes. In allocating such distinct permits for waste dumping involving these categories of nuclear wastes, countries were directed to seek sanctions from the IAEA ultimately. All other items or materials (Annex III) could be discarded after a common permit has been delivered. (For reference refer to Annexure B IX –​9.2.4) Article IV states that: 1. The Convention provisions Parties to forbid waste and other matter disposals in any condition except: (a) The prohibition of wastes and other matter disposals in the Annex I list (b) A one-​time distinctive license required for wastes and other matter disposals in the Annexes II list (c) An erstwhile common license required for all other waste and other matter disposal. 2. Issuance of any permit is subject to careful consideration of all factors agreed in Annex III together with previous knowledge of the criteria of the disposal location as fixed in Section B and Section C of the annex. 3. The Convention has no provision to prevent the Party from disallowing the wastes and other matter disposals not listed in annexed I list. The Party should be required to report such events to the association. Article V identifies that the notion of Article IV would be non-​applicable in situations that are required to ensure the protection of humans, ships, airplanes, platforms, and other artificial structures in case of a major event such as calamity of weather or the like. These matters require reporting to the organization where their disposal is the only way to eliminate the threat and the damage from such dumping would have less impact than other options, in cases of events that might pose a real threat to humans, ships, airplanes, and other artificial structures. The Contracting Party might issue a special permit as an exclusion to Article IV in case of an emergency in connection with human health in the absence of any other possible options Article VI says that the Contracting Parties should nominate a suitable authority for issuing various types of permits for matters intended for disposal, maintaining records, and 122

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surveillance. The Contracting Parties are supposed to report to the organization either by themselves or through the secretariat. Article VII states that the Contracting Parties should ensure the application of all measures needed for implementing the Convention for every registered vessel and plane in its dominion and flying its flag, ships, and airplanes placed in its territorial waters for disposal, and fixed and floating platforms in its dominion engaged in the disposal. Ships and airplanes having immunity under international law are not bound by this provision. Any violations and misconduct are punishable. Article VIII indicates that the Contracting Parties should seek to safeguard the oceanic environment in a given geographical area, agree to regional treaties in tune with this Convention and cooperate with others to develop synchronized procedures along with an emphasis on research and surveillance. Article IX directs that the Parties in collaboration are to undertake training programs, deliver equipment and devices for research and surveillance, and so forth. Article X states that the Parties are required to develop evaluation methods for liability and settlement of disputes related to waste disposal. Article XI requires the Parties to develop ways and methods of settling disputes related to the clarification and implementation of the Convention. Article XII directs the Parties on their own to initiate the encouragement of steps needed to safeguard the ocean environment and to fight pollution resultant from hydrocarbons and their wastes, along with oil, and other harmful substances transported by ships for a reason other than dumping. The reason might include situations when waste is produced during the operation of ships, airplanes, and platforms. Nuclear waste transported from any other sources, including ships, biological and chemical warfare agents; and wastes that are produced from the investigation, abuse, and related offshore processing of mineral resources from the seabed, are also considered. The Parties should strongly encourage the use of coded signals from the ships involved in the disposal. Article XII states that the obligations to this Convention in no way go against the United Nations Conference on the Law of the Sea. The subsequent articles contain details about the selection of the organization and its functions, the meetings, and guidelines for accepting resolutions, amendments, approval and ratification details, and the like. The government of the United Kingdom should be the depository of this Convention. The agreement lacks efficiency since it fails to form accountability standards for the damages resulting from legitimate and illegitimate disposal. The Convention is mostly based on self-​reporting, and so it often lacks critical evaluation, ultimately making the compliance mechanism weak. Major decisions are accepted if it receives a 2/​3 majority. There is no recognized unbiased court to resolve disagreements, nor is there any scope by which someone might be summoned to assess encounters and honor compensation. The opting-​ out clause permits the Parties not to adhere to the obligations and to escape the legally bound provisions. The Convention largely mimics the ‘Oslo Convention’ that governs the disposal issues in the North East Atlantic. The Convention mentions nothing about the concerns on how to manage any destruction to ‘world resources.’ The Convention lacks any outline to deal with cases related to damage to the global fishing ground or killing of other living resources of the sea becoming artistically unpleasing, as to who could bring charges for breaching the conduct as per the Convention. The London Convention has a

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broad advisory system: the Scientific Group on Dumping, several ad hoc groups, and ties with external agencies. Compared to others, the number of employees is very low, and so is the financial allocation. Article III provides an exception to internal waters and needs a dialogue for possible inclusion. Nevertheless, the Convention applies to all types of vessels and furnishes tentative lists of forbidden and regulated materials along with the criteria for the assessment of materials that are not separately listed. The use of permits is also notable. It recognizes the ocean’s own ability to deal with some amount of waste and, at the same time, seeks assessment of the environmental impacts of suggested dumping before damage is done.

9.2.4.1  Protocol to the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (1996 London Protocol) In 1993, the Parties to the Convention decided to prohibit any type of radioactive waste, industrial waste, and incineration of sewage sludge at sea. The Contracting Parties to the protocol should ensure all necessary steps to avert, lessen, and abolish any type of marine pollution arising out of disposal or incineration of solid wastes, either solely or together. The Contracting Parties should exercise the precautionary principle, and the polluter pays principle and must not engage in transferring damage from one part of the environment to another. In 1996, it was decided that the ‘London Protocol’ was to update the Convention and, finally, replace it. Any type of discarding is banned, except possible tolerable wastes placed in the ‘reverse list.’ The London Protocol was enforced on 24 March 2006 and had48 Parties included. The Protocol forbids burning at sea and forbids waste and other substances from being exported with the intention of dumping. The Contracting Parties should not be allowed to dump any wastes except those mentioned in Annex 1. Materials listed in Annex I (‘reverse list’) might be considered for disposal only. The ‘reverse list’ approach replaced the black and grey list approach of the London Convention (before its 1993 amendments), and this approach was also applicable to the Helsinki Convention of 1974. (For further details refer to Annexure B IX –​9.2.4.1)

Case Study 9.4  Radioactive Waste Disposal at Sea Ever since the beginning of the 1920s, experts have recognized the detrimental effects of radioactive materials on humans and the environment. Therefore, even the least harmful radioactive substances should be kept secure. Radioactivity is defined as a nuclear phenomenon wherein the atomic nucleus of unstable radioactive substances undergoes natural disintegration by typically discharging ionizing radiation (α and β particles, γ rays, and x rays). Radiation is not a function of the physical and chemical alterations which the atom can go through. Radiation can be considered as ionizing when the radiation can ionize the atoms of the material at the time when the radiation passes through. An α, β, or γ-​ray that enters into a fragment of material, transmits energy to the material by colliding with the atoms comprising it. While passing through the material, the particle might traverse entirely through the material, and simply lose a part of its initial energy, provided the material is appropriately slim or in case the radiation energy possessed is very high. If this is not the case, the material can absorb the particle, which will

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then lose its energy through ionization. Ionization results in chemical reactions and is accompanied by the overall heating of the material. The two elementary possibilities for handling radioactive waste are firstly, concentrating and then storing it; and secondly, diluting the waste and, then their environmental dispersal. Numerous types of radioactive waste occur, and the most of these will eventually be dumped. Disposal implies a final fate for the waste with no intention of retrieving it at a later stage; storage, on the other hand, is a transitory scheme. The disposal of waste doesn’t suggest constant observation, but storing does. Low-​level radioactive waste has been dumped terrestrially and is the only type of radioactive waste that has been thrown away in the seas. The bulk of this waste has been parceled in 55-​gallon containers jam-​packed with concrete ensuring the sinking of these drums to the ocean floor. The drums weren’t intended to persist undamaged for an extended period on the floor, and it was presumed the substances inside would be released almost instantaneously. Radioactive fallout from testing nuclear weapons in the air has also touched the oceans and is under the regulation of the ‘Limited Test Ban Treaty.’ Britain was the biggest donor/​releaser of radioactivity apart from the explosions of a volcano on the sea bed, discharge resulting from the test of a nuclear weapon in the air, the nuclear episode at Chernobyl, Ukraine, and functioning releases from the Sellafield nuclear reprocessing plant (formerly recognized as Windscale), Britain was regarded as the biggest donors of radioactivity to the maritime surroundings. As summarized by the marine scientists Bewers and Garrett (1987): ‘The total amount of radioactivity dumped in the ocean, some 6 × 104TBq, is much less than the approximately 2 × 108TBq that were added to the oceans as a result of atmospheric testing of nuclear weapons between 1954 and 1962. This, in turn, is only 1% of the 2 ×1010TBq that exists naturally in the ocean.’ Most significant atomic mishaps such as Windscale (1957), Three Mile Island (1979), and Chernobyl (1986)have all been added to the global marine register of radionuclides. (TBq refers to terabecquerel) As per the International Atomic Energy Agency (IAEA), the most significant types of waste are high-​level waste (HLWs), transuranic waste, mill tailings, and low-​level waste (LLWs). These kinds of waste are not just a function of the nature of the waste but more than that. Essentially there exist two origins for HLW: un-​reprocessed spent-​fuel collection from atomic reactors and the exceedingly hazardous nuclear waste from nuclear re-​processing units. These wastes contain the yields of fission and actinides (heavy elements) segregated from dissolved fuel. Their toxicity is high, and they have extremely long half-​lives, and such waste needs to be kept away from the biosphere for more than a few thousand years. In the USA, most of these high-​level wastes are presently retained in pools or dry casks at reactor locations, whilst a place for a quarried geological storehouse is hunted. Emplacement of HLW on the seafloor raised arguments and was forbidden at the yearly meeting of the Parties to the global ocean dumping contract in 1983. Transuranic waste mostly results from spent fuels, reusing, and nuclear weapon manufacture. Such waste comprises of transuranic elements (namely, elements possessing a higher atomic number than that of uranium in the periodic table –​for instance, plutonium, americium, and neptunium) in quantities over ten nano-​curies/​gm, with plutonium being the most prominent element. The threats from such waste are not because of the tangible quantity of

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radioactive chemicals but rather that these elements disintegrate very slowly and continue radioactive for an enormously long time. The largest amounts of mill tailings are produced in uranium mines. In the US, for one tonne of uranium ore that is extracted, less than about 2 kg of uranium are extracted. The remaining ore is released as very small, sand-​like, and silt-​like substances. Mill tailings comprise of a comparatively small amount of additional naturally occurring radioactive substances, the most significant being radium (that undergoes decay, producing radon). Vast mounds of such tailings are seen stored at several locations. Characteristically, tailings are left behind close to the uranium plants, the place of processing ores. Burying the tailings well below the mark, or underneath the surface of the neighboring ground seems to be the best solution. In 1946 quite a few nations made a statement about the disposal of low-​level radioactive wastes in the ocean unilaterally. The remaining nations, even though worried about the environmental impacts of such discarding, were unsuccessful in stopping such practices. Radioactive waste dumping remained unrelenting even after the formation of the international ocean dumping regime in 1972. The organization originally allowed and measured controlled radioactive waste dumping. Britain and the USA (with France and Japan joining thereafter) strongly reinforced this discarding practice. In 1983 a suspension of radioactive waste disposal was enforced provisionally, and from then, no authorized discarding took place. The covenant on a universal embargo on the disposal of radioactive wastes was achieved in 1993. A Greenpeace international advisor commented that the pronouncement of forbidding radwaste disposal was ‘a major step forward by the world community in making a commitment to protect the world’s oceans.’ LLW can be in a solid, liquid, or gaseous state. Typically, the waste comprises of protective shoe casing and clothing, sponging rags, wipes, sieves, water treatment residue of the reactor, apparatus, and devices, glowing dials, medicinal tubing, swabs, injection needles, syringes, and lab animal cadavers and tissue materials. Low-​level rad wastes are produced by infirmaries, medicinal, educational institutions, or research organizations, in privately owned or governmental labs, and at facilities that form a portion of the nuclear fuel cycle (such as nuclear reactors, or fuel fabrication facilities). The general bulk of low-​level waste generated by commercial and governmental sources in the US has increased progressively, particularly since the latter half of the 1970s. According to EPA, around four million cubic meters of waste were generated in 1990, and the volume of waste is estimated to increase twofold by the year 2020. The creation of the international ocean dumping regime is designated fundamentally as a two-​step procedure. Firstly, towards the end of the 1960s and commencement of the 1970s, the concept, and representation that ‘the oceans are dying’ got incredible political impetus amongst significant policymakers. The notion behind this was that the pollution of the oceans happening all over could be attributed to the industrialization typifying contemporary societies. This tremendously influential community notion and the term, the ‘dying oceans,’ raised oceanic disposal as an important worldwide environmental concern that needed resolution. The US rapidly reacted to this notion by establishing domestic ocean dumping regulations and also by executing the role of a leader in the building of the worldwide ocean dumping regime. Secondly, wide-​ranging non-​state actors such as notable and distinguished scientists and ecologists, a particular organization of the UN, and the global mass-​media, pushed the marine disposal issues, positioning it as a worldwide agenda, and organized global support

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politically and publicly for the international marine disposal directive. As a consequence, the ‘dying oceans’ notion became established in the form of the global ocean dumping regime. At the beginning of 1967, a charitable instrument established by the ‘Nuclear Energy Agency’ of the Organization for Economic Cooperation and Development (OECD), furnished recommendations and assumed administrative accountability for discarding LLW from Nuclear Energy Agency member states. That very year, the Nuclear Energy Agency (NEA) approved and directed the first global radioactive waste disposal process, 5000 m deep in the Eastern Atlantic Ocean. The main purpose of the Nuclear Energy Agency was ‘to develop, at the international level, a safe and economic method for ocean disposal and to demonstrate this by a joint experimental disposal operation involving several member countries.’ Countries such as Belgium, France, Germany, the Netherlands, and Britain provided around 35 000 drums of waste with a weight of close to11 000 tonnes and comprising roughly 8000 Curie of radioactivity (1 curie is 37 billion disintegrations/​sec). The main disposers: Belgium, the Netherlands, Switzerland, and Britain, joined in a chain of synchronized discarding tasks that happened in 1967, 1969, and every year from 1971 to1982. France, Italy, Sweden, and Germany participated in only the first and second disposal processes. The locally synchronized dumping called for the arrangement of a choice of dump site, a parcel scheme for the waste substances, services obtainable on the discarding vessel, and the responsibilities of accompanying personnel. The main contributors were atomic power plant processes; additional nuclear fuel cycle processes (comprising fuel production and reuse); radioactive nuclides utilized in medication, research, and industry; and the wastes from cleansing and disassembling of terminated plants and equipment. Between 1946 and 1970, the ‘US Atomic Energy Commission’ permitted the discarding of LLW in marine waters at AEC licensed locations. About 107 000 containers (116 100 Ci) were discarded. The waste included polluted laboratory glassware, bench tops, floor coverings, utensils, compounds, and animal cadavers. The waste was mostly dumped in three locations in the Atlantic Ocean (off New Jersey and Massachusetts) and one location in the Pacific Ocean (off San Francisco). These places got over 90% of the total radwaste containers, and probably 95% of the discarded radioactivity. The largest amount of radwaste was discarded between the years 1946 and 1962. As a result of increasingly strong resistance from people to ocean discarding in 1960, the Atomic Energy Commission (AEC) enforced a suspension on issuing fresh permits for disposal for terrestrial burial, which additionally involved comparatively lesser costs as compared to ocean disposal. Canisters, conveyance to the dock, and transport to the disposal site in marine waters contributed to the high costs. Mostly, ocean discarding had been terminated by 1963. About three hundred and fifty canisters (with estimated radioactivity of 230 Ci) were disposed of in the 1963 and 1970 even after rad waste disposal was phased out. In London, 1972, ninety-​two states sent their representatives who met in a highly publicized United Nations-​backed seminar and decided to institute an international environmental organization to regulate the dumping of waste in oceanic waters, including radwaste. Every Western European marine and the non-​maritime country took part, as did the USSR, the US, Canada, Japan, Australia, and New Zealand. The conference was also represented by many developing countries. This, in the truest sense, global environmental regime forbids marine disposal of HLW while permitting ILW and LLW to be discarded when the disposal is essentially carried out in a controlled way.

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The global ocean disposal organization forbids discarding in the absence of a license. Governments are accountable for allocating licenses to disposers under their authority and for ensuring that stipulated conditions are complied with. Parties are required to inform the secretariat about the amount and the nature of the material, and the secretariat further reports the info to the other Parties of the organization. The efficacious enactment of the London Convention rests on the improvement of operational implementation machinery by every member comprising the regime, and implementation is an accountability of all signatories. Yet, it is the international discarding directive that regulates the standards for delivering radioactive waste disposal licenses, essentially, the organization’s governing policies on radwaste discarding, and disposal standards are frequently studied by the country members. The process is carried out at the headquarters of the International Maritime Organization (IMO), in London, a UN organization that helps global collaboration on the technical issues that might affect worldwide shipment, and it functions as the organization’s secretariat. The ‘International Atomic Energy Agency’ regulates those nuclear substances that are inappropriate for marine disposal and outlines references on the dumping of various radwaste. The ‘International Atomic Energy Agency’ also makes reference concerning the choice of disposal sites, packing for disposal, the sanction of the barge and its tools, accompanying personnel, and maintaining records. For establishing the standards for radiation safety, the IAEA depends on the recommendations of the ‘International Commission on Radiological Protection,’ a global scientific NGO comprising proficient radiologists. Following 1971, Belgium, the Netherlands, Switzerland, and Britain made yearly radioactive waste dumps in the Eastern Atlantic. France, Italy, Sweden, and the Federal Republic of Germany had withdrawn from this setup in 1974, choosing terrestrial storing of radwaste instead. In 1979, Japan, along with the USA publicized its intent to start novel programs of radwaste disposal into the marine environment. In the year 1980, Japan became a member of the international dumping organization, possibly to gain validity for its ideas of dumping as many as 2 000 000 drums, holding around 100 000 Ci of LLW annually, into the Pacific. The USA developed a strategy of destroying old nuclear submarines in the waters of the Atlantic and the Pacific oceans. They planned to destroy around a hundred submarines, each representing 50 000 Ci of radwaste. The U.S. Environmental Protection Agency (EPA) framed fresh guidelines that would allow the recommencement of marine discarding of radioactive waste, together with decommissioned nuclear submarines. However, Congress and environmentalists soon overpowered these strategies, and the radioactive engine sections of the submarines were, as an alternative, hidden at two of the governmental terrestrial locations as part of an ‘interim move.’ In 1983, in answer to the scheduled dumping by Japanese and the USA government and the European yearly disposal process, a global alliance steered by environmental non-​governmental organizations (ENGOs), twenty-​eight emerging countries, and the Nordic nations in association with Spain succeeded in obtaining a suspension on radioactive waste disposal within the global ocean dumping system. Although the suspension did not officially outlaw discarding, the earlier activities were no longer allowed globally. The suspension was powerfully contradicted by the pro-​dumping nations, principally Britain and the USA. Britain had leveled threat to withdraw its affiliation from the global dumping organization with a vision for additional disposal, and Switzerland proclaimed that it would carry on discarding LLW despite the suspension.

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France (which for the last time had disposed of waste in the year 1969) and the Netherlands, too, appeared to be involved in additional discarding. However, prominent British transportation unions embargoed the deliberate disposal by the British, and the government deferred its strategies for dumping. In December 1984, replying to the complaints from the neighboring states in the Pacific, Japan finally agreed to abandon its marine disposal schedule.

9.2.5  The International Convention for the Prevention of Pollution from Ships or MARPOL 73/​78, 1973 The problem related to marine pollution is the vast extent of oceans and seas that are not controlled by any specific country. One of the earliest attempts for ocean protection was the 1958 ‘UN Convention on the Law of the Sea.’ The MARPOL Agreement, an abbreviated form for marine pollution, owed its origin to the International Maritime Organization in an effort to minimize or prevent pollution of the marine realm, including disposal, oil, and atmospheric pollution from a sea-​going vessel. It was signed in 1973, on 17 February, and to date, it has not been enforced. The ‘International Convention for the Prevention of Pollution from Ships,’ 1973 was adopted at the ‘International Conference on Marine Pollution’ along with Protocol I (Provisions concerning Reports on Incidents involving Harmful Substances) and Protocol II (Arbitration). In 1978, a Protocol was adopted in response to tanker accidents by the ‘International Conference on Tanker Safety and Pollution Prevention’ (TSPP). This Convention was an amalgamation comprising the 1973 Convention and the 1978 Protocol and was implemented on 2 October 1983. As of 2018 January, there were 156Party states, representing98.42% of the global shipping capacity. MARPOL aims to restore the maritime environment to exclude contamination by oil and other toxic materials and to reduce fortuitous leakage of such constituents. Historically, MARPOL was a conference connected to the conference on sea pollution recognized as the ‘International Convention for the Prevention of Pollution of the Sea by Oil’ (OILPOL), 1954, first organized by the UK. After that, all the guidelines and activities associated with the agreement were shifted to the International Maritime Organization (IMO). This conference aimed to prevent oil pollution at sea by creating zones prohibiting any types of discharge of oil. Following the Torrey Canyon disaster dumping 120 000 tonnes of oil into the English Channel, the agreement was further amended and recognized, shifting its focus on oil tankers in 1973 and thereafter again in 1978. So, technically MARPOL is an amalgamation of two global treaties. Some of its relevant articles are: Article 1: The Contracting Parties are bound by the provisions of MARPOL 73/​78 and its annexes, to stop marine pollution arising from the discharge of noxious substances and effluents. The Protocol and its annexes form an integral part and are subject to amendments and additions. Article 2: This defines harmful substances and discharges and other issues that are subject to control by the MARPOL Convention. Discharge excludes dumping covered under the London Dumping Convention, 1972; any releases occurred from explorations, offshore processing of sea-​bed mineral resources, and lawful scientific research in control of pollution. 129

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Article 3: The Convention should not be applicable on warships, and naval ancillary, as well as state-​owned or state-​operated ships that are utilized for anything other than commercial, governmental services but, should apply to all ships flying the ensign of the Contracting Party and for the vessels that are not allowed to display a Party’s flag but operating under the command of a Party. Article 4: This entails any prohibition and establishment of sanctions thereof in case of any violation both within the prerogative of the Contracting Party and as per the law of the administration of the ship. The concerned Party is required to proceed as per law and furnish all necessary information and evidence to the administration of the ship. The severity of the penalty should be sufficient to discourage such defilements of the agreement. Article 5: Ships should possess a certificate, whether in the harbors or offshore terminals, under the prerogative of a Party. They can be subjected to scrutiny by the officers whom the Party has authorized. Without a valid certificate, the inspectors should ensure necessary steps so that the ship should not be permitted to travel by water. If there is any chance of a threat to the marine environment, the ship may be permitted to move to aproximal repair yard. If a foreign ship, not complying with the provisions of the Convention, is denied entry to docks or offshore terminals, the Party is required to instantaneously notify the ambassador or diplomat of the Party whose emblem the vessel is authorized to sail with. Article 6: The Parties should assist in the identification of any violations by the use of suitable measures involving surveillance, reporting, and evidence collection. It applies to any ships stationed in harbors or offshore stations of a Party that can be subjected to scrutiny by the people selected by the Party. The Party should also provide the administration with proof of any such violation. The administration should conduct the investigation and should inform the reporting Party as well as the Inter-​Governmental Maritime Consultative Organization about the measures taken against them. Article 7: The provisions ensure all conceivable efforts to evade unnecessary deferral and confinement of the ships. Article 8: This requires full reporting of an incident that encompasses any unsafe substances as early as possible. Parties should make all required arrangements to acquire and interpret the reports as well as to notify the Inter-​Governmental Maritime Consultative Organization. On receiving the news, the Party should pass the report to the administration of the vessel and any other Party that might be affected. Article 9: This Convention succeeded OILPOL after it came into force. The rest of the Convention articles deal with dispute settlement, sharing of information, matters related to casualties, signature ratification, amendments, and guidelines for entry into force. MARPOL 73/​78 comprises of six annexes to explain the different regulations connected to oil and other hazardous chemical discharges into the sea. Annex 1 was enforced in 1983, followed by the rest. MARPOL comprises of 20 articles along with six annexes. The issues covered by the respective Annexes are: Annex I came into force on 2 October 1983. It contains guidelines to prevent pollution by oil into the sea,1992. Modifications to this annex had transformed it to make it 130

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obligatory for newly built oil tankers to possess dual hulls and also scheduled in a staged manner for the existing freighters to be fitted with double hulls. It was later revised in the years 2001 and 2003 respectively. Annex II was implemented on 2 October 1983. Annex II covers the principles for the regulation of contamination, caused by bulk, harmful liquid constituents. The guidelines give detailed criteria for discharge together with appropriate actions to regulate contamination by toxic liquid ingredients. About 250 materials were assessed and incorporated in the appendix list of MARPOL. The release of their remains is permitted into the treatment amenities only when definite concentrations and situations are conformed. Release of residues comprising no harmful substances is allowed within twelve miles of nearby land. Annex III was implemented on 2 July 1992. It comprises of the guidelines to prevent contamination by dangerous materials that are carried in packed form; covers the overall requirements for the delivery of comprehensive standards on the packaging, design, cataloging, certification, storage, quantity limits, exclusions, and announcements. Annex IV was implemented on 27 September 2003. This contains guidelines to prevent sewage pollution from ships and it covers guidelines for sewage disposal. Sewage discharge into the sea is forbidden, with the exclusion of vessels operating a licensed sewage treatment plant (STP) or vessels releasing crushed and sterile sewage with a sanctioned scheme at a distance of over three nautical miles from nearby land. Sewage that isn’t crushed or sterilized has to be released at a distance of over twelve nautical miles from the land. Annex V was implemented on 31 December 1988. This annex contains guidelines to prevent pollution by garbage from ships, handles various classes of garbage, and mentions the necessary distance from land and the method of disposal. It completely bans any type of plastic disposal. Annex VI was implemented on 19 May 2005. It contains guidelines to prevent air pollution from vessels, restricting the extent of SO2 and NOx releases from vessel exhausts. Selected emission control regions with stricter emission criteria for SOx, NOx, and PM were set up. It bans any deliberate release of ODS and ensures energy efficiency steps to lessen GHG emissions. The ‘International Conference on Marine Pollution’ was organized in the backdrop of increased worldwide awareness of the necessity to safeguard the maritime environment. The 1972 UNCHE and the 1972 London Dumping Convention bolstered events that finally led to the mediation of the MARPOL Convention. The adoption of MARPOL, so many years back, was a very crucial and ambitious project to tackle vessel pollution at source, a step forward. For the agreement to come into force, it required minimum ratification of fifteen countries along with a total of the mercantile fleet comprising at least 50% gross tonnage of global shipping. In this agreement, only Annex I and Annex II was mandatory for all Parties, whilst others were optional. Even then, only Jordan, Kenya, and Tunisia ratified by 1976 and this was only 1% of global shipping. It appeared that the Convention would never get going. In response to tanker accidents in 1976–​1977, a conference was organized to adopt measures that affected the design and operation of tankers, resulting in the 1978Protocol. For the Protocol to be implemented, the conditions were altered. While Annex I was mandatory, Annex II did not become binding for three years, which allowed much time to unknot the technical problems of Annex II. It is to be noted that Annex III was enforced in 1992, Annex IV in 2003, Annex V in 1988, and Annex VI in 2005. 131

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MARPOL 75/​78 mandates the retention of all waste on board until a vessel reaches port. So, the vessels must have dedicated holding tanks for storing all waste along with a compactor to compress the waste. All countries should contribute towards meeting the expenses of reception facilities at their ports, together with their maintenance, operation, and the sound disposal of oil waste, garbage, and sewage. This creates hitches for island nations where any type of disposal is hard to achieve. The practice becomes questionable if the collected waste from ships treated on land is again disposed of back at sea! The less developed countries with foreign exchange problems face problems in financing the port reception facilities with imported devices, machines, and expertise. The ‘Marine Environment Protection Committee’ drafts the regulations and meets three times in every biennium, an important forum for all intergovernmental and NGOs interested in protecting the oceanic environment. MARPOL is amended as and when necessary and thus remains a living document. The Exxon Valdez Amendment is one of the major changes in 1992 that made double hulls compulsory for all newly commissioned vessels, and which provided a timetable for the phasing-​out of single-​hull tankers. The Erika and its 2001 amendments followed this. The Erika I package comprised of early phasing-​out of vessels with single-​hulls and strict port state control. The Erika II package demanded superior safety, enhanced pollution control measures, and a system of compensation and liability. The 2001 amendments to Annex I reviewed and progressed the phasing out schedule. After the Prestige vessel sank in 2002, with the 2003 revision, the European Commission sought to fast-​track the phase-​out of single-​hulls and altered the provisional evaluation system for single-​hull vessels. Carrying heavy grade fuel oil in single-​ hulled vessels was prohibited. A directive was passed by the European Commission that made intentional and accidental waste discharges a criminal offense.

9.2.5.1  The Indian Context India joined the IMO in 1959. In pre-​independent India, the Indian ships on the journey were covered under the UK Merchant Shipping Law. After the English Supreme Court enacted the Judicature Act 1773, several laws were passed in India. They include the Bombay Coasting Vessels Act 1938, the Indian Registration of Ships Act 1841 revised in 1950, and the Indian Merchant Shipping Act 1923. The Indian Merchant Shipping Act (MSA) 1923 lacked any provisions for controlling pollution as well as the management of safety concerns. Afterward, India ratified the Load line Convention in 1930 and the SOLAS in 1948, and the MSA (amended) in 1933 and 1953 and including the relevant provisions. Post-​independence, the Merchant Shipping Act 1958 was passed and amended in 1966. The law was meant to control pollution from ships and offshore platforms. The International Convention for the Safety of Life at Sea (SOLAS) 1960 demanded that operators comply with minimum safety standards in the manufacturing, equipment, and operation of merchant ships. These provisions were also included in the Act later. The 1983 amendment included the requirements of the International Convention for the Prevention of Pollution of Sea by Oil (MARPOL 73/​78). Similarly, the 1988 revision incorporated the requirements of the International Convention on Civil Liability for Oil Pollution Damage (CLC) 1969 and 1976 Protocol. Implementation and compliance are monitored and controlled by the Directorate General of Shipping. They also conduct surprise inspections by surveyors at different mercantile marine departments both on Indian and foreign ships. Simultaneously, for controlling inland water pollution, the Inland Waterways Authority 132

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of India (IWAI) formed under the Inland Waterways Authority of India Act 1985 does the same with the help of respective state maritime authorities. A vital revision was completed in 2002 that included the global law on accountability and reimbursement for pollution indemnities by vessels. In 2003 the requirements for MARPOL Annexes were incorporated. The Indian legislation on MARPOL was periodically updated by the issuance of circulars by the Director-​General of Shipping in India. The obligations under the Indian Ports Act 1908 were valid for the port sea. It is under the Indian Coastguard Act 1978 that oceanic pollution damage is mitigated by the supervision of the Indian coastguards. The National Oil Spill Disaster Contingency Plan formed in 1996 under the Indian Coastguard Act 1978 lays down the measures to be taken in the event of oil spills. The old 1958 MSA is insufficient to resolve the problems of marine jurisdiction, leaving it as a grey area. The Admiralty Bill was discussed in the Indian Parliament in 2005 meant for conferring civil control upon the High Courts. This bill gives authority to Admiralty courts to judge any claim for harm resulting due to the ships, including civil liability for damages produced from oil pollution covered by the MSA 1958. Further progress on this bill has not been heard. The Port Regulatory Authority Bill 2011 is also subject to review. The Shipping Ministry announced a committee under the Cochin Port Trust to discuss the Indian Ports Act 1908 and the Major Port Trust Act of 1963.

9.2.6  The Nordic Environmental Protection Convention, 1974 This regional agreement was embraced in Stockholm, in 1974, and was enforced in 1976 with the ratification of Denmark, Finland, Norway, and Sweden to safeguard the environmental interests that might arise from a range of harmful activities related to the environment. The environmentally harmful activities include any solid, liquid, or gaseous discharges from the soil, buildings, installations in the watercourses, lakes, seas, seafloors, land, or buildings and include any nuisance in the ways of water pollution, atmospheric pollution, sound, alterations in temperatures, ionizing radiations, and so forth. The Nordic Environmental Protection Convention would be inapplicable in respect of the ‘environmentally harmful activities’ that are controlled by a distinctive contract amongst two or more Contracting States. For acceptability, any environmentally harmful activities that implicate or might implicate trouble in another Contracting State should be matched with annoyance in the state where such activities are undertaken. This Convention is also applicable to the continental shelf region of the Contracting Parties. A person likely to be affected or is already affected by the trouble caused by the ‘environmentally harmful activities,’ occurring in a different state, possesses the authority to raise the matters in the court or appropriate authority of that state. The person can raise issues regarding the permissibility of those activities and the measures for preventing damage. The person also enjoys the privilege to appeal in front of the court against any decisions under similar terms of the state law where such actions are undertaken. Each of the states is supposed to form a special supervisory authority to play the role of protecting the general environmental interests about the nuisance that arises from environmentally detrimental actions in different Contracting Countries. The supervisory authority is entrusted with powers for organizing proceedings before the court or administrative authority of a different Contracting Country concerning the acceptability of the environmentally detrimental undertaking. 133

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In case the court/​administrative authority that is investigating the permissibility of environmentally harmful activities finds out about the involvement of significant nuisances in another Contracting State, then it is imperative for the investigating authority to immediately send a duplicate of all the relevant matter to the supervisory authority the other country to give the state the opportunity to provide its opinion. On the supervisory authority appeal, the examining authority, in harmony with the state procedures, requires the license of the applicant to permit the continuation of environmentally detrimental activities together with the submission of supplementary documents such as illustrations, procedural specifications that might seem to be necessary to the examining authorities for investigating the impacts in another state. In connection with public or private interests, if needed, the supervisory authority might publish in the local newspaper all correspondence from the examining authority in a suitable manner. The supervisory authority should also organize to investigate its own country if deemed essential. The respective states should fund the cost of the supervisory authorities. If determining the harm resulting in another country from detrimental activities is essential, the supervisory authority of that country should make necessary preparations for on-​site examinations. The supervisory authority of that state prepares for an inspection after it gets the request from the examining authority of the country where harmful activities are happening.

9.2.7  United Nations Convention on the Law of the Sea (UNCLOS) December 1982 This is an all-​inclusive legal regime on the planet’s oceans and seas. It put forth all the rules and regulations that concern the use of all of the oceans and seas along with their resources. It firmly believes that all issues of oceanic space are intimately linked and require addressing in their totality. It took over fourteen years of rigorous work and contribution from over one hundred fifty nations to formulate those guidelines considering all the legal, social, and economic aspects along with diverse political scenarios. Not only does it include the traditional rules of ocean use, but it took a step forward in bringing in new concepts and sharing new issues. It formed the platform on which future development of specific rules and programs could be formed. This agreement was presented for signature in 1982, Montego Bay Jamaica, and was implemented on 16 November 1994 as a global command that handles every issue governing the oceans and seas. The text comprises of 320 articles and 9 annexes covering issues relating to the ocean and sea space, such as delimitation, environmental control, scientific explorations and investigations, economic undertakings, trade and commerce, settlement of disagreements, technology transfer, and so forth. The text is divided into various parts that deal with given notions such as territorial and contiguous zones, straits for navigation, archipelagic states, exclusive economic zones, the continental shelves, the high seas, the chain of islands, the enclosed and the semi-​enclosed areas, rights of the landlocked nations related to their independence to transit, the area, safeguarding and preserving the environment, scientific researches, development, and transfer of technology, disagreement settlements, and so forth. The Convention mentions ‘internal waters’ to include all waters landward of the baseline, where foreign vessels have no right to pass. The coastal countries enjoy dominion over their territorial waters that extend up to 12 nautical miles or 22 kilometers in breadth, but it should remain open for the ‘innocent passage’ of foreign ships. Vessels and airplanes from

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all countries are permitted to a ‘transit passage’ through the straits for international navigation, however, control can be undertaken by the states flanking the straits. A cluster of close-​knot islands or ‘archipelagic States’ have their authority over the sea area, and this is marked by straight lines joining the outermost tip of the isles. The waters between the islands are known as archipelagic waters. These states can develop sea lanes and air passages and all the states have the freedom of using the archipelagic passage through such designated paths. Another 12 nautical miles from the boundary of the territorial waters is known as the ‘contiguous zone’ where the coastal state enjoys legal enforcement in terms of customs, immigration, pollution, and taxation. The 200 hundred nautical miles or approximately 370 kilometers stretch from the coasts of the coastal countries is referred to as an ‘exclusive economic zone’ or EEZ. In the EEZ, they can exercise their control on economic activities (fisheries artificial island construction, harnessing of energy from waters), environmental protection, and research activities. But the right to lay submarine cables and pipelines, as well as free passage and overflight, remains with all other states. The landlocked/​non-​coastal nations which are somewhat geographically disadvantaged, also enjoy the authority to take part equitably in the utilization of a suitable portion of the additional living resources of the EEZ of the coastal countries in the same region. In this regard, special fortification is afforded to the highly migratory Piscine and Mammalian species. The coastline nations also enjoy the jurisdiction of a ‘continental shelf’ for both exploration and utilization. It extends to at least 200 nautical miles from the shore and even more under detailed situations. All of the coastal states enjoy freedom over oil and gas and other wealth in the seabed up to 200 nautical miles from the seashore or external edge of the continental shelf, whichever is further. But the maximum limit is restricted to 350 nautical miles or 650 kilometers from the shore The ‘Commission on the Limits of the Continental Shelf’ gives suggestions to the countries on the continental shelf’s outer limits in the case where it stretches beyond 200 nautical miles. The coastal state enjoys a share of any international revenue earned from the resource exploitation of its shelf beyond the 200 nautical miles. The Convention seeks cooperation amongst the states taking steps for the conservation and management of living resources. However, all the countries exercise their conventional right to navigate, overflight, conduct scientific research, and fishing on the high seas. The boundaries for territorial waters, the EEZ, and the continental shelves are made similarly, following the land territory rules. The rocks that are inhabitable to humans or economic life will have no EEZ or continental shelves. Beyond all these zones are the high seas. The waters of which and the airspace above which are open to all. Those activities banned by international law are forbidden here. The Convention also establishes the ‘International Seabed Authority’ for organizing and controlling mineral-​related undertakings in the seabed outside the boundaries of nautical jurisdiction and also to avert any injury to marine plants and animals. The countries neighboring the enclosed and semi-​enclosed areas are also likely to participate in environmental research activities, and management of living resources. The non-​ coastal countries should enjoy the freedom of travelling to and from the sea as well as the right to travel through the jurisdiction of the transit States. Any scientific research in the exclusive economic zone and the continental shelves is the prerogative of the coastal States who, in most instances, gave their consent to do so for peaceful purposes.

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The States are obligated to facilitate and transfer marine technology on just and equitable terms. Any disagreements that are likely to be settled through peaceful means are forwarded to the ‘International Tribunal for the Law of the Sea’ or the ‘International Court of Justice.’

9.2.7.1  Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea Relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, 1995 New York The international community was highly concerned with the unregulated fishing in the high seas and its probable impact on the fish stocks. Several global meets have been held since 1990. Notable among them were the ‘International Conference on the Conservation and management of the Living Resources of the High Seas,’ 1990 at Newfoundland, and the ‘International Conference on Responsible Fishing Practices,’ 1992 at Cancún. The initiatives were followed at the United Nations Conference on Environment and Development 1992 that finally called for the 1995 ‘UN Conference on Straddling Fish Stocks and Highly Migratory Fish Stocks,’ where the agreement was adopted later implemented on 4 December 1996. It has 59 Parties it. The agreement aims to offer a framework for cooperating in the high seas by formulating a minimum standard to conserve and manage the ‘straddling fish stocks and highly migratory fish stocks.’ The steps taken for the conservation and management of fish stocks are founded on the precautionary principle. The agreement stated that coastal States should ensure compatibility and consistency in their efforts to conserve and manage fish stocks in the exclusive economic zones and the high seas. It laid down detailed guidelines for the launching and operation of regional fisheries management organizations for such purposes. In the event that the Parties fail to comply; they are not to be permitted to fish in these areas. The agreement also states the responsibility of the flag nations for their vessels used in the high seas and presents inventive requirements on enforcement for non-​flag nations.

9.2.7.2  The Indian Context India is a Party to UNCLOS since 1995. India is primarily a coastal state and hence shares a more significant responsibility in ocean governance internationally. It shares maritime borders with Pakistan, the Maldives, Sri Lanka, Indonesia, Thailand, Burma, and Bangladesh. India’s position concerning the Law of the Sea is generally ruled by Article 297 of the Indian Constitution. Like all other nations, India has been interested in defining the boundaries of its continental shelf necessarily in a manner that should make the most of the seabed areas near the coastline, which it could solely use for commercial purposes. UNCLOS created a maritime zone classification that falls under domestic jurisdiction, for example, the territorial sea, the contiguous zone, the EEZ, and the continental shelf. The territorial waters extend 12 nautical miles from the baseline of the coast, the EEZ up to 200 nautical miles. The Coastal State is also privileged to have exclusive economic rights to the first 200 nautical miles of its continental shelf. However, states might seek an extension by requesting the CLCS maximally up to 350 nautical miles (see Figure B IX-​9.2.7-​1).

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137 Figure B IX-​9.2.7-​1 Maritime borders as per Commission on the Limits of the Continental Shelf (CLCS).

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The seafaring states enjoy sole rights to exploit the continental shelf for metal ores, non-​metal ores, and hydrocarbons. Many of the maritime borders have overlapping claims which create conflicting situations. India has already significantly invested in exploiting the non-​living resources for polymetallic nodules, cobalt crusts, and hydrothermal sulfides. Under UNCLOS, there are three institutions: the International Tribunal for the Law of the Sea (ITLOS) based in Hamburg, the International Seabed Authority (ISA) based in Kingston, Jamaica, and the Commission on the Limits of the Continental Shelf (CLCS). The ITLOS operates for settling the disputes between states peacefully. The CLCS determines the maritime borders concerning continental shelf scientifically, and the ISA oversees resource exploration in the deep sea. There are four options for the members to achieve peaceful settlements as per UNCLOS: the ITLOS, the ICJ, the arbitral tribunal formed in tune with Annex VII of UNCLOS, and a special arbitral tribunal established in tune with Annex VIII of UNCLOS. In this context, it must be said that India prefers dispute settlement through the arbitration of the Permanent Court of Arbitration (PCA). The ‘Convention for the Pacific Settlement of International Disputes’ 1899, in the Hague, created the PCA. Take, for example, the ‘Bay of Bengal Boundary Arbitration’ between India and Bangladesh and the ‘Enrica Lexie incident arbitration’ between India and Italy. India having a coastal stretch of 7500 km, has a high stake in delineating its continental shelf. Geologists, geophysicists, and hydrography experts are required by the CLCS for scientific determination of the extent of the continental shelf. Their decisions are binding and have no scope to appeal. A revised submission is allowed in the case of disagreement with the suggestions. However, once settled, it becomes binding. In India, the overlapping tasks, and the authorities in the marine division, along with no central coordinating body, automatically lead to exploring the laws governing the oceans. The maritime area is controlled by the Ministry of Shipping, the Ministry of Road Transport and Highways, the Ministry of External Affairs, the Ministry of Defense, the Ministry of Earth Sciences, and the Ministry of Law and Justice. As a consequence of the UNCLOS, India enacted the Territorial Waters, Continental Shelf, Exclusive Economic Zones and Other Maritime Zones Act, 1976 under which the land, minerals and other resources in the oceans within the territorial waters, continental shelf, and EEZ are bestowed upon India. This umbrella Act describes the extents of different zones and makes provision of a legislative structure by mentioning the scope and extent of India’s privileges and control over the zones and borders between India and neighboring states. The Act also provides the necessary guidelines for exploiting, exploring, conserving, and managing natural resources. The Act provides for punishment of people found guilty of violations which might be three years imprisonment or an unlimited fine or both. But again, this requires prior permission of the central government before any person is prosecuted. The government is authorized to frame rules by notification of carrying out the purpose of this act. The Act could be rendered more effectively if the Indian Navy, Indian Coast Guards were to begiven powers for stopping, boarding, and carrying out search operations of the vessels. Or the coastal police force could enforce more effective surveillance on the use of territorial waters, more precisely by the foreign ships. It is worth remembering the Mumbai terror attack in 2008 when the terrorists transited through the coastal routes. The Maritime Zones of India (Regulation of Fishing by Foreign Vessels) Act, 1981, or the Maritime Zones of India Act, was enacted to restrain poaching actions by the foreign fishing vessels in the Indian exclusive economic zones. The Act fortifies any unauthorized 138

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Indians and foreign nationals from exploiting living resources without a proper license. The Act also provides for imprisonment, hefty fines, and the seizure of foreign fishing vessels that are subjected to conviction. The MZI does not require prior approval of the government to commence any prosecutions. The government also formed the Maritime Zones of India (Regulation of Fishing by Foreign Vessels) Rules, 1982 to assist the act. Poaching is dealt with under the MZI Act and smuggling activities under the Customs Act. Other matters like unauthorized research and the collection of information are not covered under this act. The UNCLOS provides the privilege of navigating the high seas and safe, innocent passage to territorial waters. But seeing the complexity of the Indian situation, the question arises as to what comprises an innocent passage and how long could it remain innocent!

9.2.8  The International Convention on Oil Pollution Preparedness, Response and Co-​operation (OPRC), 1990 London An international maritime agreement was adopted in 1990 and came into force in 1995. As of 2018, there are 112 Parties to this Convention, with India acceding it in 1997. The Parties will take all necessary steps to organize and counter an event of oil pollution either solely or jointly. Warships, naval auxiliaries, and non-​commercial vessels owned/​operated by a State are excluded from the purview of this Convention. An ‘oil pollution emergency plan’ is to be prepared by each Party for the ships on-​board, for offshore units as well as for the ports within its dominion and subjected to inspection consistent with national laws or international agreements. The master or any other person holding the responsibility for offshore units will report any incident connected to oil leakage on their ship/​offshore unit/​at sea to the nearest coastal state in case of a ship and the coastal state within the jurisdiction for the offshore unit. Such a report should be addressed to a competent national authority in the case of a seaport. The Parties, after receiving the information regarding oil pollution should be required to confirm the event as a case of an oil pollution incident, assess the nature and extent of consequences, and report details of action taken or to be taken. In case of severe pollution, the Party should inform the IMO either directly or indirectly. Each Party should institute a national system for prompt and effectual response by selecting a national expert authority, one or more contact points, an authority to make decisions, and should possess a contingency plan. There is also a need to create pre-​positioned equipment to combat oil spills, training and exercise programs for response teams, enhanced communication abilities, and so forth. To respond to the oil spill, the Parties, based on their capacity should cooperate with other Parties and render advisory services, technical and economic support, and may also seek help from the IMO in this regard. The promotion of research is of the utmost importance to develop preparedness, response, best available techniques, surveillance for containment, recovery, dispersion, clean-​up operation, and restoration concerning the mitigation of oil spills. The Convention facilitates bilateral and multilateral collaboration in terms of preparing and responding to oil spills.

9.2.9  The Convention on the Protection of the Marine Environment of the Baltic Sea Area (Helsinki Convention), 1992 This multilateral Convention of 1992 was implemented in the year 2000 after receiving the ratification of nine Baltic Sea riparian States, namely Germany, Latvia, Sweden, Estonia, Finland, Denmark, Lithuania, Poland, Russia, and the European Union. 139

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The Contracting Parties are to undertake suitable legal, administrative, and other measures, either solely or jointly, to prevent and reduce pollution as well as to improve the maritime environment of the Baltic Sea area. The Contracting Parties are to endeavor to ensure no further increase in pollution in that area. The agreement applies to the entire Baltic Sea area comprising the territorial sea, the sea, and seabed. Steps are to be initiated in the Baltic Sea catchment area to abate contamination from land-​based sources. The provisions do not extend to the internal waters, but the Contracting Parties are needed to ensure the accessibility of the present agreement to these areas. The Convention is non-​ applicable to warships, naval auxiliaries, military aircraft, or any other ships or aircrafts possessed or operated by a government, utilized for the time-​being on non-​commercial governmental purposes. All essential efforts are to be undertaken to prevent the introduction of any air-​borne or water-​borne substances listed as hazardous in Annex I of the Convention. To control land-​based pollution, the Convention ensures all necessary measures to restrict contamination by poisonous substances, as mentioned in the Annex II list. Annex II listed materials require a prior special permit to be released in significant amounts, which should be based on common criteria for issuing permits. The Baltic Sea area, as defined by the agreement, should also be protected from the deliberate and negligent release of harmful or noxious substances. This includes oil, sewage, and garbage from vessels based on the measures established in Annex IV of this agreement. Appropriate measures should also apply for the deterrence of oceanic pollution resulting from any exploration activities in the seabed and subsoil. The agreement provides for the establishment of the Baltic Marine Environment Protection Commission (or HELCOM) for the enactment of the obligations of the agreement, along with making commendations and reviews. The commission should promote cooperation among the appropriate governmental bodies, scientific and technological research, and disseminate relevant information. The office of this Commission is the secretariat, located in Helsinki. (For details refer to Annexure B IX –​9.2.9)

9.2.10  The Convention for the Protection of the Marine Environment of the North-​East Atlantic (OSPAR Convention), 1992 The union of the two words Oslo and Paris gives the world OSPAR, namely, the name of this agreement. This is because of the combination of the 1972 Oslo Convention and the 1974 Paris Convention that dealt with the dumping of waste at sea, land-​based sources, and offshore industries of oceanic pollution, respectively. The OSPAR Convention, adopted in Paris 1992, was implemented in 1998 after obtaining ratification from fifteen nations: Belgium, France, Denmark, Iceland, Germany, Norway, Irelands, the Netherlands, UK, Sweden, Spain, Portugal, Luxembourg, Switzerland, and the EU. The Convention applies to the maritime area that comprises the internal waters, territorial waters, high seas, the seabed, and the subsoil. Geographically it covers the portions of the Atlantic and the Arctic Oceans lying north of 36°N latitude between 42°W and 51°E with specified exclusions. The Baltic, the Mediterranean Sea, and the portion of the Atlantic Ocean that lies to the North of 59°N between 42°W and 44°W are also included as the Convention area. The Contracting Parties under this agreement should undertake all necessary steps to avert and remove pollution against all human adversities, either individually or through joint programs. All efforts should be made by such Parties for protecting human health 140

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along with the conservation and restoration of marine ecosystems. All necessary efforts should be made by the Contracting Parties to avert and stop pollution from the land-​based sources, from disposal, incineration, and offshore units are in tune with the guidelines given in this agreement. The Convention applies the precautionary principle for taking preventive measures, and the polluter pays principle for bearing the expenses to prevent and reduce pollution. Similar measures are to be taken by the Parties for averting and removing pollution from land-​ based sources (according to provisions in Annex I), dumping or incineration (according to provisions in Annex II), and offshore activities (according to provisions in Annex III). Both the evaluation and the effectiveness of the control measures are to be included in the joint assessments, which are intended to be published regularly as per the provision of Annex IV. The agreement also provides guidelines in Annex V, adopted in 1998 at Sintra, Portugal, for protecting and conserving the biodiversity and ecosystems in that area. The standards of biodiversity, eutrophication, offshore oil and gas industries, discharge of noxious, and radioactive substances are presently controlled by the OSPAR Convention. The Convention has provision for the launching of a secretariat and a commission. The commission should supervise the implementation, establish programs of work, consider proposals for amendments, examine the state of the marine area, and establish programs and methods to avert and exclude pollution in the specified expanse. The Contracting Parties must report to the commission at regular intervals about the measures taken, their effectiveness, and any problems encountered. The Convention calls for the establishment of corresponding joint programs of scientific and technical research according to the standard procedure for communicating with the commission on the details of the pertinent programs and the results of the research. The Convention provides three appendices stating the criteria defining the practices, techniques, and identification of human activities. Refer to https://​ospar.org/​con​vent​ion) (For details refer to Annexure B IX –​9.2.10)

9.2.11  The Convention on the Protection and Use of Transboundary Watercourses and International Lakes (UNECE Water Convention), Helsinki 1992 The United Nations Economic Commission for Europe (UNECE) has around 200 transboundary rivers, 40 lakes, and 120 transboundary aquifers. Twenty nations depend on adjoining lands for over 10% of their water resources. Five countries draw 75% of their water resources from nations located upstream. The Convention, negotiated under the UN Economic Commission for Europe, was released for signature in Helsinki between 17 and 18 March 1992 and, in the UN, Headquarters, in New York until 18 September 1992 and enforced in 1996. At present, the Convention has been ratified by 43 Parties, including the EU. The Convention aims to provide all necessary legal, economic, financial, and technical means intended to be undertaken by the Parties for averting, regulating, and decreasing the transboundary effect of pollution. The Parties are required to ensure the rational and ecologically sound water management of all transboundary waters along with water resource conservation and protection. Any such use of transboundary waters must be reasonable and impartial. The steps that should be taken for averting, regulating, and decreasing the transboundary impact of pollution need not necessarily cause transference of the pollutants to other parts of the environment. The Parties are governed by the precautionary principle 141

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for avoiding the potential transboundary impact of the hazardous waste release. The Convention also employs the polluter pays principle so that the polluter covers the expense incurred in the process of preventing and reducing pollution. The Convention stipulates the preclusion, regulation, and minimization of pollutants at their source, to be carried out by the application of low waste or non-​waste technology. The Convention specifies the possession of prior licensing for discharging wastewater from point sources to control transboundary pollution. Such licenses should be procured from proficient national authorities. The limits of discharged wastewater required to be mentioned in the licenses should be established on the best available technology (BAT). Suitable measures should be taken to reduce the input of nutrients from industries and municipalities. Where the requirements are strict, such discharges might be prohibited too. For municipal or domestic wastewater, at least the biological treatment process or its corresponding process should be carried out and if necessary, by a phase-​by-​phase methodology. Environmentally sound approaches must be developed and applied. The Convention provides for the EIA. Annex II to this agreement comprises the guidelines for the BAT. The Parties must develop monitoring programs related to the state of the transboundary water. The Parties must exchange information, collaborating in research for averting, regulating, and decreasing the transboundary impact of pollution by improving the methods of assessments, applying environmentally sound methods of production, consumption, disposal of hazardous wastes, water-​regulation techniques, water construction works, and the like. The Convention seeks participation in mutual reciprocation of facts, research activities, and so forth. The agreement affords bilateral and multilateral collaboration under the Convention for collection, compilation, and evaluation of data and might establish joint programs for both monitoring the state of transboundary waters as well as its assessment, along with the evaluation of the effectiveness of the measures taken. (For details refer to Annexure B IX –​9.2.11)

9.2.11.1  The 1999 Protocol on Water and Health to the 1992 Convention on the Protection and Use of Transboundary Watercourses and International Lakes This Protocol is the first of its kind to tie sustainable water management with the preclusion, and regulation of water-​borne diseases in Europe. Twenty-​six countries have ratified this Protocol that covers around 60% of the European population. It was negotiated in 1999 in London and enforced in 2005. The Protocol intends to defend individual and community health and well-​being at national, transboundary, and international levels within the ambit of sustainable development to be accomplished by the improvement of water management, the protection aquatic ecosystems, and the averting, regulation and minimizing of the chances of seeing water-​related diseases. The provisions are applicable to surface water, groundwater, estuaries, coastal waters, enclosed water, wastewater, and water in the passage of abstraction, transported water, treated water, or water for supply. The Parties should ensure all necessary measures like water source protection, the establishment of water treatment facilities, monitoring for supplying wholesome drinking water free from any pathogens and parasites, which might pose a threat to human health complemented with adequate sanitation standards. Assessments of the implemented measures concerning their advantages, disadvantages, and costs are to be considered. 142

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The Protocol, similar to the parent Convention, is governed by the precautionary principle and polluter pays principle. The Parties must establish and publish local or national goals to set standards along with performance levels that are needed to be realized for ensuring everybody’s rights to access drinking water. The Protocol also affords sanitation for all. The drinking water standards should be based on the WHO guidelines. The Parties should be collecting and evaluating the data to measure the progress towards the achievements of targets. The results should be published periodically and reviewed. The summary of the reports from all of the Parties must be submitted to the secretariat. Within three years of obtaining Party status, each of them should establish comprehensive monitoring and early warning systems at local and national levels. The Parties must also be prepared with emergency plans to respond to any epidemics and episodes. The Protocol encourages education and training programs for proficient technical staff for the management of water resources and also for the operational arrangements of supplying water, sanitation, and so forth. Research and development for the innovation of cost-​effective technology should be encouraged. The Protocol calls for joint or coordinated international cooperation in support of the objectives, especially when the Parties are sharing transboundary waters in terms of sharing information, consultations, water management systems, surveillance, early warning systems, research, education, and training.

9.2.12  The Convention on the Protection of the Black Sea Against Pollution (Bucharest Convention) 1992 The Black Sea basin hosts around 160 million people, nearly 50% of the European population. It is contaminated by mainly Russia, Ukraine, Romania, Bulgaria, Georgia, and Turkey. The major source of pollution is household waste and industrial wastes from the river Danube, compounded with overfishing that breaks the delicate food chains in the area. The only outflow of this water is through the Strait of Istanbul. The problems are transboundary and hence called for an international effort towards finding solutions. A multilateral, regional agreement opened for signature in 1992 in Bucharest and was implemented in 1994. The agreement applies to the Black Sea proper. The southern boundaries are formed by a line connecting Capes Kelagra and Dalyan. The territorial waters and the EEZ come within the remit of this Convention. The Convention calls to prevent, reduce, and control pollution for protecting the maritime milieu of the Black Sea against any disposal of perilous materials from land-​based sources or vessels. The agreement does not include any warships, naval auxiliaries, shops, or airplanes owned or functioned by a nation for non-​commercial, government resolutions. In this respect, the Parties can act solely or in the association, in tune with the international laws and the provisions of this agreement, in the regions where it enjoys its authority and control without prejudicing the obligations of other Contracting Parties. This remains applicable when the Contracting Parties enter any other bilateral and multilateral negotiation concerning the Black Sea. All necessary measures are ensured by the Convention to avert and control pollution of the air. The Contracting Parties should ensure adequate steps for protecting the marine life and control of pollution that might arise from the transboundary movement of harmful wastes. The agreement calls for participation in scientific and technical developments as well as surveillance. For enactment of the provisions and suggestions, the agreement provides for the establishment of the ‘Commission on the Protection of the Black Sea Against Pollution.’ 143

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The Convention is further governed by the ensuing protocols: • Protocol on the Protection of the Black Sea marine Environment Against Pollution from Land-​based Sources and Activities. • Protocol on the Protection of the Black Sea marine Environment Against Pollution by Dumping. • Protocol on Cooperation in combating pollution of the Black Sea marine Environment by Oil and Other Harmful Substances in Emergency Situations. • The Black Sea Biodiversity and Landscape Conservation Protocol.

9.2.13  The Convention on the Protection and Use of Transboundary Watercourses and International Lakes (Water Convention) 1992 Helsinki Roughly 47% of our surface water resides in the river basins shared by a minimum of two nations. Around 140 transboundary waters and 30 transboundary lakes lying in the European and Asian parts of the region were facing a man-​induced pressure that was leading to a massive decline in the availability and quality of freshwater resources throughout the world, resulting in almost war-​like situations. The water policy of the EU is one of the most all-​encompassing and refined supranational water policies. The unique international agreement was embraced in 1992 and implemented in 1996 and had 43 Parties to it. Almost all nations sharing the transboundary waters that fall within the United Nations Economic Commission of Europe (UNECE) are bound by it. The Parties must initiate all suitable actions to avert, regulate, and minimize pollution that might result in any transboundary effect. Wherever possible, such measures should be undertaken at source. Any such steps taken should not result in the transfer of pollution to another environment directly or indirectly. The Parties must take necessary steps for meaningful, ecologically sound management and rational use of the transboundary waters, along with their conservation. The principle of protection and conservation is based on the precautionary principle, the polluter pays principle, and sustainable management. The riparian Parties must participate in the development of policies, programs, and tactics for achieving the objectives in harmony with each other. Any transboundary impact developed by the Parties should be for the prevention, control, and minimization of emissions and wastewater discharges through compatible legitimate, administrative, economic, financial, and technical measures. The Convention encourages dialogue between the Parties and encourages mutual help, joint surveillance, and evaluation, joint research programs, sharing of information as well as warning about any critical situation encompassing the shared water. The EU water policy earlier ignored the issue of transboundary water management, and water allocation issues may be due to physiological, geographical, political, and institutional factors. Over the years, the change in hydrological patterns as well as enhanced fluctuations in the quantity of water increased tension and competition among the riparian States of the EU. Sustainable water management in the European region should be grounded on hydro-​cooperation and co-​management of the water that is mostly dependent on the reconciliation of water demands.

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9.2.14  Agreement on the Establishment of Nordic Environmental Finance Corporation (NEFCO), 1998 This is an agreement between Denmark, Finland, Norway, Sweden, and Iceland that sought the promotion of environmental cooperation through investment in environmental projects and to further consolidate and develop Nordic assistance through the establishment of a multilateral financial institution, called the Nordic Environmental Financial Corporation (NEFCO). The headquarters of NEFCO is in Helsinki. The objective of the Nordic Environmental Financial Corporation (NEFCO) is to endorse the Nordic investment in environmental projects in Eastern Europe through financial support in those nations. NEFCO, located at the headquarters of the Nordic Investment Bank, enjoys the status of a global corporate body with authority to accomplish agreements, manage a business, determine movable or real property, and can also place cases in front of the courts. The corporation is bounded by the statutes formulated by the Nordic Council of Ministers. Any suggestions for amendment would have to be submitted to the Nordic Council of Ministers for approval. Any lawful proceedings against the NEFCO should be brought before a court that lies within the jurisdiction of a country where the corporation has launched an office or bears a representative to receive the summons. The possessions, income, and property of NEFCO are exempted from any type of taxation, and so for the acquisition of real property, the corporation is exempt. All of the members, staff, and experts, irrespective of their nationality, get fortification against trial for activities carried out in an official capacity. NEFCO can accept and hold funds in any currency and may possess accounts in any currency. The immunity and privileges enjoyed under this agreement are meant for improving the work of corporations and are not meant for use in others. With the implementation of the present agreement, the earlier agreement on the creation of NEFCO of 1990 ceases to have any effect. The agreement should be deposited to the Finnish Ministry of Foreign Affairs. Currently, it has been associated with more than thirteen hundred projects in minerals, food technology, waste treatment, water treatment, agriculture, power sector, nuclear remediation, manufacturing of environmental devices and goods, and environmental management. It has financedwork in more than eighty countries such as Russia, Belarus, Ukraine, and the like.

9.2.15  Agreement on a Testing Ground for Application of the Kyoto Mechanisms on Energy Projects in the Baltic Sea Region 2003 The governments of the nations in the Baltic Sea region have ratified both the UNFCCC and the Kyoto Protocol. These states are Denmark, Finland, Germany, Iceland, Poland, Norway, Russia, Sweden, Latvia, Lithuania, and Estonia. The ministers of energy of these states agreed to the establishment of a testing ground in Vilnius in 2002 for promoting international cooperation in the utilization of flexible mechanisms that they had earlier envisioned in the 1999 Helsinki Conference. However, in 2000, the Nordic environment ministers and the Nordic energy ministers decided to establish a testing ground along with an investment reserve related to NEFCO and reaffirmed their backing in 2001. In 2002, the Nordic energy ministers agreed to the establishment of a Testing Ground Facility.

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According to Article 6 of the Kyoto Protocol, an Annex I Party with their commitment etched in Annex B (Kyoto Protocol) may either acquire or transfer the ERUs arising out of the projects to curb anthropogenic emissions of the GHGs from/​to another Annex I Party for fulfilling its commitments under Article 3of the Kyoto Protocol. According to Article 17 of the Kyoto Protocol, an Annex I Party with its commitment etched in Annex B (Kyoto Protocol) may either acquire or transfer the AAUs from/​to another Annex I Party for meeting its commitments under Article 3of Kyoto Protocol. More precisely, the ERUs and the AAUs are accumulated from JI and emission trading. The Parties to this agreement decided on the establishment of a ‘Testing Ground Facility’ for the Baltic Sea Region from which they might gain an understanding and promote the application of JI and emission trading in such projects that should result in emission reduction before and during the commitment period starting in 2008 for cost-​effective reductions of man-​made GHGs. The agreement has the objectives below. They emphasized capacity building and increased competence to use the mechanism of JI to produce superior quality projects in the energy sector that should result in reductions of emissions. Further, their aim lies in developing methods and methodology in compliance with the guidelines given in the Kyoto Protocol, gaining experience with the JI (of the Kyoto Protocol) in energy-​related projects for saving energy, attaining efficiency, switching of fuels, and renewable energy resources, encouraging collaboration in overcoming the administrative and financial barriers, decreasing the transaction expenditures of particularly the small scale JI projects to mediate the generation and issuance of the ERUs and the AAUs that can be earned from such projects, commencing the projects early which leads to the offering of emission reduction credits before 2008. The Parties encourage the various businesses, industries, energy facilities, financial organizations, along with other regional and local authorities, to actively participate in identifying and implementing JI projects within the ambit of the testing ground to be carried out in the Baltic Sea Region. The Parties formed a ‘Testing Ground Facility’(TGF), a multilateral monetary instrument for JI projects to foster the execution of such projects. Participation in testing ground activities is open to public and private entities in the Baltic Sea Region States that are Parties to this agreement. The project that will be operational under this agreement needs prior approval by both the investor and the host Party in compliance with the provisions and requirements of the Kyoto Protocol. Written approval is given by the testing ground facility and the host Party or by the host and the investor Party preceded by a demonstration by the project owner about the project’s contribution towards the objectives. The projects to be implemented should follow the guidelines laid down by Baltic Sea Region Energy Cooperation (BASREC) Regional Handbook on Procedures for JI implementation. The project should require a verification that involves corroboration of the quantity of emission reductions produced by the project in a given time frame. Subsequently, the verification is carried out by an independent body under the ‘supervisory committee’ or by the host Party. For emission reductions produced before the 1st commitment, the period is to be verified by an independent Party whilst the host Party can verify the same through the first commitment period. The Parties outline the required steps for issuing the ERUs and AAUs corresponding to the verified number of emissions. The Parties make sure the transfer of the credits, the ERUs, and the AAUs, as the case may be, to the investor Party, in tune with the Kyoto rules and is based on the written approval issued by the host Party.

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The Testing Ground activities should be monitored by the testing ground facilities and reports on progress should be prepared, and recommendations for the future should be made. This agreement was open for signature until December 2003 and came into force on 1 February 2004. The Finnish government is nominated as the depository and should fulfil its responsibilities as per the 1969 Vienna Convention on the Law of Treaties.

9.2.16  Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic, 2013 Arctic weather and climate patterns govern the World’s oceans, global weather, and climate. The Arctic is having its energy resources, mineral, and aquatic life depleted. Indigenous communities thrive with unique lifestyles that are quite threatened and require fortification. Flora and fauna are unique to provide essential ecological services and sustainable environments. As the region becomes more and more accessible, national security becomes a concern. Human activities are on the rise with increasing temperature and thinning of the ice. And so are the probabilities of oil spills and the release of chemicals into nature. The locations are remote, and the open water windows are short, necessary infrastructures like hotels, food, fuel supply are inadequate to accommodate a huge emergency response team during need. Communication poses a challenge as cameras and GPS don’t work well at such freezing temperatures. Search, rescue, and triage operations need hospital facilities and expertise that is lacking. And all of these challenges can occur when large cruise ships with passengers are in some kind of trouble. Countries share a unique experience in responding to oil spills in the Arctic. Countries like the USA and Canada depend on cooperation and equipment to handle such situations. Portions of the Arctic Ocean are international waters, and any response to a crisis needs to be collective. A collective response involves sharing ideas on high-​risk scenarios, satellite information, research, best practices, communication technologies, oil-​in-​ice modeling, data management, and so forth. Canada, the USA, Greenland and Faroes, Denmark, Finland, Iceland, Norway, Russia, and Sweden collaborated to form the Arctic Council and operate under different working groups such as the ‘Arctic Contaminants Action Program,’ the ‘Arctic Monitoring and Assessment Program,’ the ‘Conservation of Arctic Flora and Fauna,’ the ‘Emergency Prevention, Preparedness and Response,’ the ‘Protection of the Arctic Marine Environment,’ and the ‘Sustainable Development Working Group.’ Parties to this agreement acknowledge the role of the IMO in establishing rules and standards for dealing with the risks for operating in the Arctic along with the vulnerability of the Arctic environment, indigenous locals, flora, fauna; identifies its remote location with the harshest weather and reflects on the threat of an oil spill, reflects on the increase in anthropogenic activities and maritime traffic and understands the need for immediate measures and cooperation to face challenges and protect the Arctic environment. The Parties hence considered the 1969 ‘International Convention Relating to Intervention on the High Seas in Cases of Oil Pollution Casualties,’ the 1982 ‘United Nations Convention on the Law of the Sea,’ the 1990 ‘International Convention on Oil Pollution Preparedness, Response, and Co-​operation,’ the polluter pays principle of Rio 1992, the 1996 ‘Ottawa Declaration’ to establish ‘Arctic Council,’ and the 2011 ‘Nuuk Declaration’ of the Arctic Council to launch a task force for establishing an international instrument to deal with

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Arctic Marine Oil Pollution Preparedness and Response. The Arctic Council called the ‘Emergency Prevention, Preparedness, and Response,’ to prepare suggestions and best practices for preventing oceanic oil spills. Altogether, the task force ended up in a legally binding agreement under the aegis of the Arctic Council, approved and signed by all the member States on 15 May 2013 in Kiruna Sweden. Article 1 underlines the objective of this agreement that lies in strengthening cooperation. The Parties are required to coordinate and mutually help each other for effective preparedness and response in case of any oil spill in the Arctic in order to protect the marine environment. The agreement applies to any states who are a Party to and hold sovereign rights over a marine region comprising internal waters, territorial sea, continental shelf, exclusive economic zone following the international legislation. The countries are Canada, Denmark, Greenland and Faroes, Finland, Norway, Iceland, Russia, Sweden, and the USA, with their specific jurisdiction stated in Article 3of the agreement. The agreement excludes any warship, naval auxiliaries, and state-​owned vessels for non-​commercial purposes. Article 4 requires all Parties to have respective national systems that would allow prompt and effectual response to oil spills considering the activities and locales most likely to suffer. Based on anticipating the risks to an ecologically significant area, a national-​level contingency plan should be ready at a minimum. The plan should involve private and public relations with other agencies and consider the guidelines provided in this and other agreements. Parties should be cooperating for the establishment of pre-​positioned oil spill combating equipment, training programs, and exercises for the response team, communication facilities, and a mechanism to mobilize necessary resources. In Article 5, the national system of each Party should choose a national authority with competency in preparedness and response, contact points operating throughout the clock, and an authority entitled to act for requesting assistance in making decisions. Article 6calls for information. The Party, upon receiving information should identify the event of the oil spill, evaluate its nature, and the extent of its consequences followed by sharing the information with the affected Parties as early as possible. Severe oil spills necessitate notifying all Parties at the earliest. The importance of monitoring is dealt with in Article 7, where the Parties within its dominion undertake surveillance to mediate effectual and timely responses. Cooperative monitoring is especially needed to deal with transboundary oil pollution. Article 8 provides for the Parties to seek assistance related to advice, and technical and equipment support, and Article 9 for moving and removing the resources across the borders. The Parties are to ensure quick movement of cargo, personnel, materials, supplies into or through or out of their jurisdictions. In Article 10, Parties should be bearing the expenses for their respective actions until any financial arrangements are agreed upon. In case a request is made by one Party to another, the requesting Party is required to reimburse the assisting Party, who, in turn, may provide relevant documents regarding any assistance. Article 11 provides for conducting a joint review in the case of a joint response and makes it available to the public. Parties should be required to share information consistent with their national and international law, as underlined in Article 12. They also need to arrange joint exercises and training programs as per Article 13. The Norwegian Government is the depository of this Agreement In the late 2000s, with global warming and retreating Arctic Sea ice, the waters remain open for a longer period, and this spurred the interest in offshore mining for oil and natural gas in the Arctic region. As compared to 1979, the polar icecap has 40% shrunk. A report 148

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by USGS in 2008 indicates 13% of the global oil reserves and 30% of the unexplored gas reserves in the region, of which 84% is offshore. Added to this is the soaring price of fuel. The Arctic is ruled by politically stable States that obey the law and maintain the sanctity of the contracts. Hence, it poses far fewer political risks than sneaking into other parts of the world. The weather and remoteness pose some kind of threat, and this gives a call for this regional Agreement. The ‘Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic’ show overlapping with the ‘International Convention on Oil Pollution Preparedness, Response, and Co-​operation’ or the OPRC of the IMO, and thus the Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic can be best explained as an enforcement mechanism under OPRC. Article 21 of the Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic ensures the Parties to establish operational guidelines to help to implement, and such is stated in Appendix IV of the agreement. Comparing the provisions of OPRC and this contract, this agreement on cooperation on Marine Oil Pollution Preparednes s  and  Response  in  the Arctic contributes deeply to responding to the transboundary oil spill. OPRC does not mention monitoring while this agreement does. Any addition to this ‘Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic’ is a symbolic focus on the susceptible Arctic locations, maintaining twenty-​four hour contact points, joint reviews, joint exercises, and so forth. What it failed to cover is the issue of enhanced onsite response mechanisms through the establishment of permanent response hubs, technological synchronization, knowledge sharing, and the like. To conclude, it is the first step towards coherent Arctic governance in tune with already existing agreements.

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ANNEXURE: NEGOTIATIONS FOR THE PROTECTION OF THE MARINE AND FRESHWATER ENVIRONMENTS Annexure B IX –​9.2.4: Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (IMO, London Convention 1972) https://​epa.gov/​sites/​pro​duct​ion/​files/​2015-​10/​docume​nts/​lc1​972.pdf https://​treat​ies.un.org/​doc/​Publ​icat​ion/​UNTS/​Vol​ume%201​046/​vol​ume-​1046-​I-​15749-​ Engl​ish.pdf

ANNEX I 1 2 3 4 5 6 7 8

Organohalogen compounds. Mercury and mercury compounds. Cadmium and cadmium compounds. Persistent plastics and other persistent synthetic materials, for example, netting and ropes, which may float or may remain in suspension in the sea in such a manner as to interfere materially with fishing, navigation, or other legitimate uses of the sea. Crude oil and its wastes, refined petroleum products, petroleum, distillate residues, and any mixtures containing any of these, taken on board for the purpose of dumping. Radioactive wastes, or other radioactive matter. Materials in whatever form (for example, solids, liquids, semi-​liquids, gases or in a living state) produced for biological and chemical warfare. With the exception of Paragraph 6 above, the preceding paragraphs of this annex do not apply to substances that are rapidly rendered harmless by physical, chemical or biological processes in the sea provided they do not: (i) Make edible marine organisms unpalatable, or (ii) Endanger human health or that of domestic animals.

The consultative procedure provided for under Article XIV should be followed by a party if there is doubt about the harmlessness of the substance. 9 Except for industrial waste as defined in Paragraph 11 below, this annex does not apply to wastes or other materials (for example, sewage sludge and dredged material) containing the matters referred to in Paragraphs 1–​5 above as trace contaminants. Such wastes should be subject to the provisions of Annexes II and III as appropriate.   Paragraph 6 does not apply to wastes or other materials (for example, sewage sludge and dredged material) containing de minimis (exempt) levels of radioactivity as defined by the IAEA and adopted by the Contracting Parties. Unless otherwise prohibited by Annex I, such wastes should be subject to the provisions of Annexes II and III as appropriate. 10 (a) 

 he incineration at sea of industrial waste, as defined in Paragraph11 below, and T sewage sludge is prohibited. (b) The incineration at sea of any other wastes or other matter requires the issue of a special permit. (c) In the issue of special permits for incineration at sea Contracting Parties should apply regulations as developed under this Convention2.

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(d) For the purpose of this Annex: (i)

‘Marine incineration facility’ means a vessel, platform, or other man-​made structure operating for the purpose of incineration at sea. (ii) ‘Incineration at sea’ means the deliberate combustion of wastes or other matter on marine incineration facilities for the purpose of their thermal destruction. Activities incidental to the normal operation of vessels, platforms or other man-​made structures are excluded from the scope of this definition. 11 Industrial waste as from 1 January 1996. For the purposes of this Annex: ‘Industrial waste’ means waste materials generated by manufacturing or processing operations and does not apply to: (a) (b) (c) (d) (e) (f)

Dredged material Sewage sludge Fish waste, or organic materials resulting from industrial fish processing operations Vessels and platforms or other man-​made structures at sea, provided that material capable of creating floating debris or otherwise contributing to pollution of the marine environment has been removed to the maximum extent Uncontaminated inert geological materials the chemical constituents of which are unlikely to be released into the marine environment Uncontaminated organic materials of natural origin.

12 Within 25 years from the date on which the amendment to paragraph 6 enters into force and at each 25 year interval thereafter, the 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 the Contracting Parties consider appropriate, and shall review the position of such substances on Annex I in accordance with the procedures set forth in article XV. Regulations also for the Control of the Incineration of Wastes and Other Matter at Sea, as Adopted in 1978, Have Not Been Reproduced in this Document. 2

ANNEX II The following substances and materials requiring special care are listed for the purposes of Article VI(1)(a). A. Wastes containing significant amounts of the matters listed below: arsenic, beryllium, chromium, copper, lead, nickel, vanadium, zinc, and their compounds organosilicon compounds. cyanides. fluorides. pesticides and their by-​products not covered in Annex I. B. Containers, scrap metal and other bulky wastes liable to sink to the sea bottom which may present a serious obstacle to fishing or navigation. 151

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C. In the issue of special permits for the incineration of substances and materials listed in this annex, the Contracting Parties should apply the Regulations for the Control of Incineration of Wastes and Other Matter at Sea set forth in the Addendum to Annex I and take full account of the Technical Guidelines on the Control of Incineration of Wastes and Other Matter at Sea adopted by the Contracting Parties in consultation, to the extent specified in these regulations and guidelines. D. Materials which, though of a non-​toxic nature, may become harmful due to the quantities in which they are dumped, or which are liable to seriously reduce amenities.

ANNEX III Provisions to be considered in establishing criteria governing the issue of permits for the dumping of matter at sea, considering Article IV(2), include:

A –​Characteristics and Composition of the Matter 1. Total amount and average composition of matter dumped (for example, per year). 2. Form, for example, solid, sludge, liquid, or gaseous. 3. Properties: physical (for example, solubility and density), chemical and biochemical (for example, oxygen demand, nutrients) and biological (for example, the presence of viruses, bacteria, yeasts, parasites) 4. Toxicity 5. Persistence: physical, chemical, and biological 6. Accumulation and biotransformation in biological materials or sediments 7. Susceptibility to physical, chemical, and biochemical changes and interaction in the aquatic environment with other dissolved organic and inorganic materials 8. Probability of production of taints or other changes reducing marketability of resources (fish, shellfish, and the like) 9. In issuing a permit for dumping, Contracting Parties should consider whether an adequate scientific basis exists concerning characteristics and composition of the matter to be dumped to assess the impact of the matter on marine life and on human health.

B –​Characteristics of Dumping Site and Method of Deposit 1. Location (for example, coordinates of the dumping area, depth and distance from the coast), location in relation to other areas (for example, amenity areas, spawning, nursery and fishing areas and exploitable resources) 2. Rate of disposal per specific period (for example, quantity per day, per week, per month) 3. Methods of packaging and containment, if any 4. Initial dilution achieved by proposed method of release 5. Dispersal characteristics (for example, effects of currents, tides and wind on horizontal transport and vertical mixing) 6. Water characteristics (for example, temperature, pH, salinity, stratification, oxygen indices of pollution-​dissolved oxygen (DO), chemical oxygen demand (COD), biochemical oxygen demand (BOD),nitrogen present in organic and mineral form including ammonia, suspended matter, other nutrients and productivity) 7. Bottom characteristics (for example, topography, geochemical and geological characteristics, and biological productivity) 152

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8. Existence and effects of other dumping which have been made in the dumping area (for example, heavy metal background reading and organic carbon content). 9. In issuing a permit for dumping, Contracting Parties should consider whether an adequate scientific basis exists for assessing the consequences of such dumping, as outlined in this annex, taking into account seasonal variations.

C – General considerations and conditions 1 Possible effects on amenities (e.g. presence of floating or stranded material, turbidity, objectionable odour, discolouration and foaming). 2 Possible effects on marine life, fish and shellfish culture, fish stocks and fisheries, seaweed harvesting and culture. 3 Possible effects on other uses of the sea (e.g. impairment of water quality for industrial use, underwater corrosion of structures, interference with ship operations from floating materials, interference with fishing or navigation through deposit of waste or solid objects on the sea floor and protection of areas of special importance for scientific or conservation purposes). 4 The practical availability of alternative land-based methods of treatment, disposal or elimination, or of treatment to render the matter less harmful for dumping at sea.

Annexure B IX –​9.2.4.1: Protocol to the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (1996 London Protocol) http:// ​ i mo.org/ ​ e n/​ O urW​ o rk/​ E nvi​ r onm​ e nt/​ L CLP/​ D ocume​ n ts/​ P ROT​ O COL​ A men​ d ed2​ 006.pdf https://​cdn.imo.org/​loc​alre​sour​ces/​en/​OurW​ork/​Envi​ronm​ent/​Docume​nts/​PROT​OCOL​ Amen​ded2​006.pdf

ANNEX 1: Wastes or Other Matter That May Be Considered for Dumping 1. 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 .2 .3 .4 .5 .6 .7

Dredged material Sewage sludge Fish waste, or material resulting from industrial fish processing operations Vessels and platforms or other man-​made structures at sea Inert, inorganic geological material Organic material of natural origin Bulky items primarily comprising of iron, steel, concrete and similarly harmless 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 practicable access to disposal options other than dumping .8 Carbon dioxide streams from carbon dioxide capture processes for sequestration.

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2. 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. 3. Notwithstanding the above, materials listed in paragraphs 1.1 to 1.8 containing levels of radioactivity greater than de minimis (exempt) concentrations as defined by the IAEA and adopted by the Contracting Parties, should 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 should complete a scientific study relating to all radioactive waste and other radioactive matter other than high level wastes or matter, taking into account such other factors as the Contracting Parties consider appropriate and should review the prohibition on dumping of such substances in accordance with the procedures set forth in Article 22. 4. Carbon dioxide streams referred to in Paragraph 1.8 may only be considered for dumping, if: .1 Disposal is into a sub-​seabed geological formation .2 They consist overwhelmingly of carbon dioxide. They may contain incidental associated substances derived from the source material and the capture and sequestration processes used .3 No waste or other matter is added for the purpose of disposing of that waste or other matter.

ANNEX 2: Assessment of Wastes or Other Matter That May Be Considered for Dumping General 1

The acceptance of dumping under certain circumstances should not remove the obligations under this annex to make further attempts to reduce the necessity for dumping.

Waste Prevention Audit 2

The initial stages in assessing alternatives to dumping should, as appropriate, include an evaluation of: .1 .2 .3

Types, amounts and relative hazard of wastes generated Details of the production process and the sources of waste within that process Feasibility of the following waste reduction/​prevention techniques: .1 .2 .3 .4 .5

3

Product reformulation Clean production technologies Process modification Input substitution On-​site, closed-​loop recycling.

In general terms, if the required audit reveals that opportunities exist for waste prevention at source, an applicant is expected to formulate and implement a waste prevention 154

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4

strategy, in collaboration with relevant local and national agencies, which includes specific waste reduction targets and provision for further waste prevention audits to ensure that these targets are being met. Permit issuance or renewal decisions should assure compliance with any resulting waste reduction and prevention requirements. For dredged material and sewage sludge, the goal of waste management should be to identify and control the sources of contamination. This should be achieved through implementation of waste 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.

Consideration of Waste Management Options 5

Applications to dump waste or other matter should demonstrate that appropriate consideration has been given to the following hierarchy of waste management options, which implies an order of increasing environmental impact: .1 .2 .3 .4 .5

6

re-​use Off-​site recycling Destruction of hazardous constituents Treatment to reduce or remove the hazardous constituents Disposal on land, into air and in water.

A permit to dump waste or other matter should be refused if the permitting authority determines that appropriate opportunities exist to re-​use, recycle, or treat the waste without undue risks to human health or to 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.

Chemical, Physical, and Biological Properties 7

8

A detailed description and characterization of waste is an essential precondition for the consideration of alternatives and the basis for a decision as to whether a particular waste may be dumped. If a waste is so poorly characterized that proper assessment cannot be made of its potential impacts on human health and the environment, that waste should not be dumped. Characterization of the waste and its constituents should consider: .1 .2 .3 .4 .5

Origin, total amount, form, and average composition Properties: physical, chemical, biochemical, and biological Toxicity Persistence: physical, chemical, and biological Accumulation and biotransformation in biological materials or sediments.

Action List 9

Each Contracting Party should 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 155

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consideration in an action list, priority should be given to toxic, persistent, and bio accumulative substances from anthropogenic sources (for example, cadmium, mercury, organ halogens, 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 organ halogens). An action list can also be used as a trigger mechanism for further waste prevention considerations. 10 An action list should 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 waste: .1 .2 .3

Wastes which contain specified substances, or which cause biological responses, exceeding the relevant upper level, should not be dumped, unless made acceptable for dumping through the use of management techniques or processes. Wastes which contain specified substances, or which cause biological responses below the relevant lower levels should be considered to be of little environmental concern in relation to dumping. Wastes which contain specified substances, or which cause biological responses below the upper level but above the lower level require more detailed assessment before their suitability for dumping can be determined.

Dumpsite Selection 11 Information required to select a dumpsite should include: .1 .2 .3 .4

Physical, chemical, and biological characteristics of the water-​column and the seabed Location of amenities, values and other uses of the sea in the area under consideration Assessment of the constituent fluxes associated with dumping in relation to existing fluxes of substances in the marine environment Economic and operational feasibility.

Assessment of Potential Effects 12 Assessment of potential effects should lead to a concise statement of the expected consequences of the sea or land disposal options, namely, the ‘Impact Hypothesis.’ It provides a basis for deciding whether to approve or reject the proposed disposal option and for defining environmental monitoring requirements. 13 The assessment for dumping should integrate information on waste characteristics, conditions at the proposed dumpsite(s), fluxes, and proposed disposal techniques and it should 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 the duration of expected impacts based on reasonably conservative assumptions. 14 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 156

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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. 15 Each assessment should conclude with a statement supporting a decision to issue or refuse a permit for dumping.

Monitoring 16 Monitoring is used to verify that permit conditions are met, compliance is assured, and that the assumptions made during the permit review and site selection process were correct and sufficient to protect the environment and human health, and this is called field monitoring. It is essential that such monitoring programs have clearly defined objectives.

Permit and Permit Conditions 17 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 should ensure, as far as practicable, that environmental disturbance and detriment are minimized, and the benefits maximized. Any permit issued should contain data and information specifying: .1 .2 .3 .4

The types and sources of materials to be dumped The location of the dumpsite(s) The method of dumping Monitoring and reporting requirements.

18 Permits should be reviewed at regular intervals, considering the results of monitoring and the objectives of monitoring programs. Review of monitoring results will indicate whether field programs need to be continued, revised, or terminated, and will contribute to inform 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.

ANNEX 3: Arbitral Procedure Article 1 1

2

An arbitral tribunal (hereinafter referred to as the ‘tribunal’) should be established upon the request of a Contracting Party addressed to another Contracting Party in application of Article 16 of this protocol. The request for arbitration should consist of a statement of the case together with any supporting documents. The requesting Contracting Party should inform the secretary-​general of: .1 .2

3

Its request for arbitration The provisions of this protocol, the interpretation or application of which is, in its opinion, the subject of disagreement.

The secretary-​general should transmit this information to all Contracting States.

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Article 2 1 2

The tribunal should consist of a single arbitrator if thus agreed between the Parties to the dispute within 30 days from the date of receipt of the request for arbitration. In the case of the death, disability, or default of the arbitrator, the Parties to a dispute may agree upon a replacement within 30 days of such death, disability, or default.

Article 3 1

Where the Parties to a dispute do not agree upon a tribunal in accordance with Article II of this annex, the tribunal should consist of three members: .1 .2

2

3

4

5

One arbitrator nominated by each Party to the dispute A third arbitrator who should be nominated by agreement between the two first named and who should act as its chairman.

If the chairman of a tribunal is not nominated within 30 days of nomination of the second arbitrator, the Parties to a dispute should, upon the request of one Party, submit to the secretary-​general within a further period of 30 days an agreed list of qualified persons. The secretary-​general should select the chairman from such list as soon as possible. He should 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. If one Party to a dispute fails to nominate an arbitrator as provided in Paragraph 1(i) 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 should select the chairman of the tribunal from such list as soon as possible. The chairman should 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 should, upon request of the chairman, nominate the arbitrator from the agreed list of qualified persons. In the case of the death, disability, or default of an arbitrator, the Party to the dispute who nominated him should nominate a replacement within 30 days of such death, disability, or default. If the Party does not nominate a replacement, the arbitration should proceed with the remaining arbitrators. In the case of the death, disability, or default of the chairman, a replacement should be nominated in accordance with the provision of Paragraphs 1(i) and (ii) within 90 days of such death, disability, or default. A list of arbitrators should 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 should 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 Paragraphs 2, 3 and 4, the secretary-​general should select from the list maintained by him an arbitrator or arbitrators not yet nominated.

Article 4 The tribunal may hear and determine counterclaims arising directly out of the subject matter of the dispute.

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Article 5 Each Party to the dispute should 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 should be borne equally by the Parties to the dispute. The tribunal should keep a record of all its expenses and should furnish a final statement thereof to the Parties.

Article 6 Any Contracting Party who have 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 should 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 should have no rights with respect to the composition of the Tribunal.

Article 7 A Tribunal established under the provisions of this annex should decide its own rules of procedure.

Article 8 1

2

Unless a Tribunal consists of a single arbitrator, decisions of the tribunal as to its procedure, its place of meeting, and any question related to the dispute laid before it, should 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 should not constitute an impediment to the Tribunal reaching a decision. In case of equal voting, the vote of the chairman should be decisive. The Parties to the dispute should facilitate the work of the Tribunal and in particular should, in accordance with their legislation and using all means at their disposal: .1 .2

3

Provide the Tribunal with all necessary documents and information Enable the Tribunal to enter their territory, to hear witnesses or experts, and to visit the scene.

The failure of a Party to the dispute to comply with the provisions of Paragraph 2 should not preclude the tribunal from reaching a decision and rendering an award.

Article 9 The Tribunal should render its award within five months of 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 should be accompanied by a statement of reasons for the decision. It should be final and without appeal and should be communicated to the Secretary-​General who should inform the Contracting Parties. The Parties to the dispute should immediately comply with the award.

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Annexure B IX –​9.2.9: Convention on the Protection of the Marine Environment of the Baltic Sea Area (Helsinki Convention), 1992 https://​hel​com.fi/​media/​publi​shin​gima​ges/​Helsi​nki-​Conv​enti​on_​J​uly-​2014.pdf https://​treat​ies.un.org/​doc/​Publ​icat​ion/​UNTS/​Vol​ume%201​507/​vol​ume-​1507-​I-​25986-​ Engl​ish.pdf

ANNEX I Harmful Substances PART 1 General Principles 1.0 INTRODUCTION

In order to fulfil the requirements of relevant parts of this Convention, the following procedure should be used by the Contracting Parties in identifying and evaluating harmful substances, as defined in Article 2, Paragraph 7. 1.1  CRITERIA ON THE ALLOCATION OF SUBSTANCES

The identification and evaluation of substances should be based on the intrinsic properties of substances, namely: - Persistency - Toxicity or other noxious properties - Tendency to bioaccumulation. They should also be evaluated on characteristics liable to cause pollution, such as: - - - - - - - -

The ratio between observed concentrations and concentrations having no observed effect Anthropogenically caused risks of eutrophication Transboundary or long-​range significance The risk of undesirable changes in the marine ecosystem and the irreversibility or durability of effects Radioactivity Serious interference with the harvesting of sea-​foods or with other legitimate uses of the sea Distribution pattern (namely, the quantities involved, their use pattern and their liability to reach the marine environment) Proven carcinogenic, teratogenic, or mutagenic properties in or through the marine environment.

These characteristics are not necessarily of equal importance for the identification and evaluation of a particular substance or group of substances.

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The Contracting Parties should, in their preventive measures, give priority to the following groups of substances which are generally recognized as harmful substances: a) Heavy metals and their compounds b) Organohalogen compounds c) Organic compounds of phosphorus and tin d) Pesticides, such as fungicides, herbicides, insecticides, slimicides and chemicals used for the preservation of wood, timber, wood pulp, cellulose, paper, hides, and textiles e) Oils and hydrocarbons of petroleum origin f) Other organic compounds especially harmful to the marine environment g) Nitrogen and phosphorus compounds h) Radioactive substances, including waste i) Persistent materials which may float, remain in suspension, or sink j) Substances which cause serious effects on the taste and/​or smell of products for human consumption from the sea, or effects on taste, smell, colour, transparency or other characteristics of the water.

PART 2: Banned Substances In order to protect the Baltic Sea Area from hazardous substances, the Contracting Parties should prohibit, totally or partially, the use of the following substances or groups of substances in the Baltic Sea Area and its catchment area: 2.1  SUBSTANCES BANNED FOR ALL FINAL USES, EXCEPT FOR DRUGS

DDT (1,1,1-​trichloro-​2,2-​bis-​(chlorophenyl)-​ethane) and its derivatives DDE and DDD. 2.2  SUBSTANCES BANNED FOR ALL USES, EXCEPT IN EXISTING CLOSED SYSTEM EQUIPMENT UNTIL THE END OF SERVICE LIFE OR FOR RESEARCH, DEVELOPMENT, AND ANALYTICAL PURPOSES

a) PCB’s (polychlorinated biphenyls) b) PCT’s (polychlorinated terphenyls). 2.3  SUBSTANCES BANNED FOR CERTAIN APPLICATIONS

Organotin compounds for antifouling paints for pleasure craft under 25 m and fish net cages.

PART 3: Pesticides In order to protect the Baltic Sea area from hazardous substances, the Contracting Parties should endeavor to minimize and, whenever possible, to ban the use of the following substances as pesticides in the Baltic Sea area and its catchment area:

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CAS-​number Acrylonitrile Aldrin Aramite Cadmium-​compounds Chlordane Chlordecone Chlordimeform Chloroform 1,2-​Dibromoethane Dieldrin Endrin Fluoroacetic acid and derivatives Heptachlor Isobenzane Isodrin Kelevan Lead-​compounds Mercury-​compounds Morfamquat Nitrophenol Pentachlorophenol Polychlorinated terpenes Quintozene Selenium-​compounds 2,4,5-​T Toxaphene

107131 309002 140578 -​ 57749 143500 6164983 67663 106934 60571 72208 7664393, 144490 76448 297789 465736 4234791 -​ -​ 4636833 1836755 87865 8001501 82688 -​ 93765 8001352

ANNEX II: Criteria for the Use of Best Environmental Practice and Best Available Technology Regulation 1; General Provisions 1. In accordance with the relevant parts of this Convention the Contracting Parties should apply the criteria for best environmental practice and best available technology described below. 2. In order to prevent and eliminate pollution, the Contracting Parties should use best environmental practice for all sources and best available technology for point sources, minimizing or eliminating inputs to water and air from all sources by providing control strategies.

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Regulation 2; Best Environmental Practice 1. The term ‘best environmental practice’ is taken to mean the application of the most appropriate combination of measures. In selecting for individual cases, at least the following a graduated range of measures should be considered: - Provision of information and education to the public and to users about the environmental consequences of choosing particular activities and products, their use and final disposal - The development and application of codes of good environmental practice covering all aspects of activity in the product’s life - Mandatory labels informing the public and users of environmental risks related to a product, its use and final disposal - The availability of collection and disposal systems - The saving of resources, including energy - Recycling, recovery and re-​use - Avoiding the use of hazardous substances and products and the generation of hazardous waste - The application of economic instruments to activities, products or groups of products and emissions - A system of licensing involving a range of restrictions or a ban. 2. In determining in general or individual cases what combination of measures constitute best environmental practice, particular consideration should be given to: - The precautionary principle - The ecological risk associated with the product, its production, use and final disposal - The avoidance or substitution by less polluting activities or substance - The scale of use - The potential environmental benefit or penalty of substitute materials or activities - Advances and changes in scientific knowledge and understanding - Time limits for implementation - Social and economic implications.

Regulation 3; Best Available Technology 1. The term ‘best available technology’ is taken to mean the latest stage of development (state of the art) of processes, of facilities or, of methods of operation which indicate the practical suitability of a particular measure for limiting discharges. 2. In determining whether a set of processes, facilities and methods of operation constitute the best available technology in general or individual cases, special consideration should be given to: - Comparable processes, facilities or methods of operation which have recently been successfully tried out - Technological advances and changes in scientific knowledge and understanding - The economic feasibility of such technology 163

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- - - -

Time limits for application The nature and volume of the emissions concerned Non-​waste/​low-​waste technology The precautionary principle.

Regulation 4; Future Developments It therefore follows that ‘best environmental practice,’ and ‘best available technology’ will change with time in the light of technological advances and economic and social factors, as well as changes in scientific knowledge and understanding.

ANNEX III: Criteria and Measures Concerning the Prevention of Pollution from Land Based Sources PART I: Prevention of Pollution from Industry and Municipalities REGULATION 1: GENERAL PROVISIONS

In accordance with the relevant parts of this Convention, the Contracting Parties should apply the criteria and measures in this annex in the whole catchment area and take into account best environmental practice (BEP) and best available technology (BAT) as described in Annex II. REGULATION 2: SPECIFIC REQUIREMENTS

1. Municipal sewage water should be treated at least by biological, or other methods equally effective with regard to reduction of significant parameters. Substantial reduction should be introduced for nutrients. 2. Water management in industrial plants should aim at closed water systems or at a high rate of circulation in order to avoid waste water wherever possible. 3. Industrial waste waters should be separately treated before mixing with diluting waters. 4. Waste waters containing hazardous substances or other relevant substances should not be jointly treated with other waste waters unless an equal reduction of the pollutant load is achieved compared to the separate purification of each waste water stream. The improvement of waste water quality should not lead to a significant increase in the amount of harmful sludge. 5. Limit values for emissions containing harmful substances to water and air should be stated in special permits. 6. Industrial plants and other point sources connected to municipal treatment plants should use best available technology in order to avoid hazardous substances which cannot be made harmless in the municipal sewage treatment plants, or which may disturb the processes in the plant. In addition, measures according to best environmental practice should be taken. 7. Pollution from fish-​farming should be prevented and eliminated by promoting and implementing best environmental practice and best available technology.

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8. Pollution from diffuse sources, including agriculture, should be eliminated by promoting and implementing best environmental practice. 9. Pesticides used should comply with the criteria established by the commission. REGULATION 3: PRINCIPLES FOR ISSUING PERMITS FOR INDUSTRIAL PLANTS

The Contracting Parties undertake to apply the following principles and procedures when issuing the permits referred to in Article 6, Paragraph 3 of this Convention: 1. The operator of the industrial plant should submit data and information to the appropriate national authority using a form of application. It is recommended that the operator negotiates with the appropriate national authority concerning the data required for the application before submitting the application to the authority (agreement on the scope of required information and surveys). At least the following data and information should be included in the application: General information - Name, branch, location and number of employees. Actual situation and/​or planned activities - - - - - - - - - - -

Site of discharge and/​or emission Type of production, amount of production and/​or processing Production processes Type and number of raw materials, agents, and/​or intermediate products Amount and quality of untreated wastewater and raw gas from all relevant sources (for example, process water, cooling water) Treatment of wastewater and raw gas with respect to type, process and efficiency of pretreatment and/​or final treatment Treated wastewater and raw gas with respect to amount and quality at the outlet of the pretreatment and/​or final treatment facilities Amount and quality of solid and liquid wastes generated during the process and the treatment of wastewater and raw gas Treatment of solid and liquid wastes Information about measures to prevent process failures and accidental spills Present status and possible impact on the environment.

Alternatives and their various impacts concerning, for example, ecological, economic and safety aspects, if necessary - Other possible production processes - Other possible raw materials, agents, and/​or intermediate products - Other possible treatment technologies.

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2. The appropriate national authority should evaluate the present status and potential impact of the planned activities on the environment. 3. The appropriate national authority issues the permit after comprehensive assessment with special consideration of the above mentioned aspects. At least the following should be laid down in the permit: - Characterizations of all components (for example, production capacity) which influence the amount and quality of discharge and/​or emissions - Limit values for amount and quality (load and/​or concentration) of direct and indirect discharges and emissions - Instructions concerning - Construction and safety - Production processes and/​or agents - Operation and maintenance of treatment facilities - Recovery of materials and substances, and waste disposal - Type and extent of control to be performed by the operator (self-​control) - Measures to be taken in case of process failures and accidental spills - analytical methods to be used - The schedule for modernization, retrofitting and investigations done by the operator - The schedule for reports of the operator on monitoring and/​or self-​control, retrofitting and investigation measures. 4. The appropriate national authority or an independent institution authorized by the appropriate national authority shall: - Inspect the amount and quality of discharges and/​or emissions by sampling and analyzing - Control the attainment of the permit requirements - Arrange monitoring of the various impacts of wastewater discharges and emissions into the atmosphere - Review the permit when necessary.

PART II: Prevention of Pollution From Agriculture REGULATION 1: GENERAL PROVISIONS

In accordance with the relevant parts of this Convention, the Contracting Parties should apply the measures described below and consider best environmental practice(BEP) and best available technology (BAT) to reduce the pollution from agricultural activities. The Contracting Parties should elaborate guidelines containing elements specified below and report to the Commission. REGULATION 2: PLANT NUTRIENTS

The Contracting Parties should integrate the following basic principles into national legislation or guidelines and adapt them to the prevailing conditions within the country to

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reduce the adverse environmental effects of agriculture. Specified requirement levels should be considered to be a minimum basis for national legislation. 1. Animal density: To ensure that manure is not produced in excess in comparison to the amount of arable land, there must be a balance between the number of animals on the farm and the amount of land available for spreading manure, expressed as animal density. The maximum number of animals should be determined with consideration to the need for balance between the amount of phosphorus and nitrogen in manure and the requirements of the crop for plant nutrients. 2. Location and design of farm animal houses: Farm animal houses and similar enclosures for animals should be located and designed in such a way that ground and surface water will not be polluted. 3. Construction of manure storage: manure storage must be of such a quality as to prevent losses and to safeguard against unintentional spillages. The storage capacity should be sufficiently large to ensure that manure only will be spread when the plants can utilize nutrients. The minimum level to be required should be six months’ storage capacity.   With regard to different types of manure, the following principles should be considered: - solid manure should be stored in dung yards with watertight floor and side walls - liquid manure and farm waste should be stored in containers that are made of strong material impermeable to moisture and resistant to impacts of manure handling operations.   Animal manure should be used in such a way that the highest utilization efficiency possible is promoted. Co-​operation between farmers in the use of manure has to be encouraged 4. Agricultural wastewater and silage effluents: waste water from animal housing should either be stored in urine or slurry stores or else be treated in some suitable manner to prevent pollution. Effluents from manure or from the preparation and storage of silage should be collected and directed to storage units for urine or liquid manure. 5. Application of organic manures: organic manures (slurry, solid manure, urine, sewage sludge, composts, and the like) should be used in such a way that a high utilization efficiency can be achieved. Organic manures should be spread in a way that minimizes the risk of loss of plant nutrients and should not be spread on soils that are frozen, water saturated or covered with snow. Organic manures should be incorporated as soon as possible after application on bare soils. Periods should be defined when no application is accepted. 6. Application rates for nutrients: the application of nutrients in agricultural land should be limited, based on a balance between the foreseeable nutrient requirements of the crops and the nutrient supply to the crops from the soil with a view to minimizing eutrophication. National guidelines should be developed with fertilizing recommendations, and they should refer to: - Soil conditions, soil nutrient content, soil type and slope - Climatic conditions and irrigation 167

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- Land use and agricultural practices, including crop rotation systems - All external potential nutrient sources. The amount of livestock manure applied to the land each year including by the animals themselves should not exceed the amount of manure containing: - 170  kg/​ha nitrogen - 25  kg/​ha phosphorus with a view to avoiding nutrient surplus, taking soil characteristics, agricultural practices, and crop types into account. 7. Winter crop cover: in relevant regions, the cultivated area should be sufficiently covered by crops in winter and autumn to effectively reduce the loss of plant nutrients. 8. Water protection measures and nutrient reduction areas: protection measures should be established to prevent nutrient losses to water particularly with regard to: - Surface water: buffer zones, riparian zones or sedimentation ponds should be established, if necessary. - Groundwater: groundwater protection zones should be established if necessary. Appropriate measures such as reduced fertilization rates, zones where manure spreading is prohibited, and permanent grassland areas should be established. - Nutrient reduction areas: wetland areas should be retained and where possible restored, to be able to reduce plant nutrient losses and to retain biological diversity. 9. Ammonia emissions: in order to reduce ammonia emissions from animal husbandry, a surplus of nitrogen in the manure should be avoided by adjusting the composition of the diet to the requirements of the individual animal. In poultry production, emissions should be brought down by reducing the moisture content of the manure or by removal of manure to storage outside the housing system as soon as possible. Programs, including strategies and measures for reducing ammonia volatilization from animal husbandry should be developed. Urine and slurry stores should be covered or handled by a method that efficiently reduces ammonia emissions. REGULATION 3: PLANT PROTECTION PRODUCTS

Plant protection products should only be handled and used according to a national risk reduction strategy which should be based on BEP. The strategy should be based on an inventory of the existing problems and define suitable goals. It should include measures such as: 1. Registration and approval: plant protection products should not be sold, imported, or applied until registration and approval for such purposes has been granted by the national authorities. 2. Storage and handling: storage and handling of plant protection products should be carried out so that the risks of spillage or leakage are prevented. Some crucial areas are transportation and filling and cleaning of equipment. Other dispersal of plant protection products outside the treated agricultural land area should be prevented. Waste of plant protection products should be disposed of according to national legislation. 168

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3. Licence: a license should be required for commercial use of plant protection products. To obtain a licence, suitable education, and training on how to handle plant protection products with a minimum impact on health and the environment should be required. The users’ knowledge regarding the handling and usage of plant protection products should be updated regularly. 4. Application technology: application technology and practice should be designed to prevent unintentional drift or runoff of plant protection products. Establishment of protection zones along surface waters should be encouraged. Application by aircraft should be forbidden; exceptional cases require authorization. 5. Testing of spraying equipment: testing of spraying equipment at regular intervals should be promoted to ensure a reliable result when spraying plant protection products. 6. Alternative methods of control: development of alternative methods for plant protection control should be encouraged.

REGULATION 4: ENVIRONMENTAL PERMITS

Farms with livestock production above a specified size should require approval with regard to environmental aspects and impacts of the farms. Installations for the intensive rearing of poultry, pigs, and cattle with more than 40 000 places for poultry, 2000 places for production pigs (over 30 kg), 750 places for sows or 400 animal units cattle should have a permit fully coordinated by the relevant authorities. The permits must take into account the whole environmental performance of the enterprise, covering, for example, emissions into the air, water and land, generation of waste, and prevention of environmental accidents. The permit conditions must be based on BAT. The competent authorities, in determining permit conditions, can consider the technical characteristics of the enterprise, its geographical location and the local environmental conditions. These large animal enterprises should be considered as point sources and should have adequate measures. For installations with more than 100 AU the Contracting Parties should put into practice general rules or a system corresponding to a simplified permit system to ensure the implementation of the requirements in this annex. Both of these permit systems should be applied to existing installations and new installations and existing installations that are subject to substantial changes by 2012. REGULATION 5: MONITORING AND EVALUATION

The Contracting Parties should describe the implementation and monitoring of measures in this annex in their national programs. To evaluate the effectiveness of the measures, the Contracting Parties should develop projects to assess the effects of measures and the impacts of the agricultural sector on the environment. REGULATION 6: EDUCATION, INFORMATION, AND EXTENSION SERVICES

The Contracting Parties should promote systems for education, information, and extension (advisory services) on environmental issues in the agricultural sector. 169

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ANNEX IV: Prevention of Pollution from Ships Regulation 1; Co-​operation The Contracting Parties should, in matters concerning the protection of the Baltic Sea area from pollution by ships, co-​operate: a) Within the International Maritime Organization, in particular in promoting the development of international rules, based, inter alia, on the fundamental principles and obligations of this Convention which also includes the promotion of the use of best available technology and best environmental practice as defined in Annex II b) In the effective and harmonized implementation of rules adopted by the International Maritime Organization.

Regulation 2; Assistance in Investigations The Contracting Parties should, without prejudice to Article 4, Paragraph 3 of this Convention, assist each other as appropriate in investigating violations of the existing legislation on anti-​pollution measures, which have occurred or are suspected to have occurred within the Baltic Sea area. This assistance may include but is not limited to inspection by the competent authorities of oil record books, cargo record books, log books, engine log books, and taking oil samples for analytical identification purposes.

Regulation 3; Definitions For the purposes of this Annex: 1. ‘Administration’ means the government of the Contracting Party under whose authority the ship is operating. With respect to a ship entitled to fly the flag of any state, the administration is the government of that state. With respect to fixed or floating platforms engaged in exploration and exploitation of the seabed and subsoil thereof adjacent to the coast over which the coastal state exercises sovereign rights for the purposes of exploration and exploitation of their natural resources, the administration is the government of the coastal state concerned. 2. a)    ‘Discharge,’ in relation to harmful substances or effluents containing such substances, means any release howsoever caused from a ship and includes any escape, disposal, spilling, leaking, pumping, emitting or emptying b)

‘Discharge’ does not include: i) ii) iii)

Dumping within the meaning of the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter done at London on 29 December 1972 The release of harmful substances directly arising from the exploration, exploitation, and associated off-​ shore processing of sea-​ bed mineral resources The release of harmful substances for the purposes of legitimate scientific research into pollution abatement or control.

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3. The term ‘from the nearest land’ means from the baseline from which the territorial sea of the territory in question is established in accordance with international law. 4. The term ‘jurisdiction’ should be interpreted in accordance with international law in force at the time of application or interpretation of this annex. 5. The term ‘MARPOL 73/​78’ means the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto.

Regulation 4; Application of the Annexes of MARPOL 73/​78 1. The Contracting Parties should apply the provisions of Annexes I–​V of MARPOL 73/​78. 2. At the entry into force of the revised Regulation 13G of Annex I to MARPOL 73/​78 the Contracting Parties: a. b.

c.

d.

Should amend the conditions under which ships are permitted to fly their flags so as not to allow the operation of ships which might not comply with the requirements of Regulation 13F in accordance with Regulation 13G(4) Should refrain from making use of the provisions of either Paragraph (5)(a) or Paragraph (5)(b) of Regulation 13G and thus will not allow ships entitled to fly their flag to which Paragraph (5)(a) and (5)(b) may be applied to continue operating beyond the date specified in Regulation 13G(4) Should make use, as from 1 January 2015, of the provisions of Paragraph 8(b) of Regulation 13G for the purpose of denying entry into their ports or offshore terminals of ships which have been permitted, on the basis of the provisions of paragraph (5)(a) or (5)(b) of Regulation 13G, to continue operating beyond the anniversary of the date of their delivery in 2015 May under exceptional circumstances allow an individual ship not complying with Regulation 13F in accordance with Regulation 13G(4), to enter their ports or offshore terminals, when: - -

An oil tanker is in difficulty and in search of a safe haven or of a place of refuge An unloaded oil tanker is proceeding to a port for repair.

3. As from 1 January 2004 the contracting Parties should: a) b)

Apply the provisions for discharge of sewage as stated in Regulation 11, Paragraphs 1 and 3 of the revised Annex IV of MARPOL 73/​78 Ensure the provision of facilities at ports and terminals for the reception of sewage  as stated in Regulation 12, Paragraph 1 of the revised Annex IV of MARPOL 73/​78.

Regulation 5; Discharge of Sewage by Other Ships A. COMPLIANCE

All other ships, including pleasure craft not referred to in Regulation 2 of the revised Annex IV of MARPOL 73/​78 fitted with toilets should comply with Regulation 1, Paragraphs 3

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and 4, Regulation 11, Paragraphs 1 and 3 and Regulation 3 of the revised Annex IV of MARPOL 73/​78 as follows (compare with Paragraph D below): a) On 1 January 2005 for ships built before 1 January 2000 b) Upon the entry into force of this regulation for ships built on or after 1 January 2000. B.  TOILET RETENTION SYSTEMS

Ships referred to in Paragraph A should be fitted with toilet retention systems for sewage in accordance with guidelines approved by the Helsinki Commission. C.  RECEPTION FACILITIES

1. Regulation 12, Paragraph 1 of the revised Annex IV of MARPOL 73/​78 should apply, as appropriate, to ships referred to in Paragraph A. 2. To enable pipes of reception facilities to be connected with the discharge pipeline of ships referred to in Paragraph A, both lines should be fitted with a standard discharge connection in accordance with guidelines approved by the Helsinki Commission. D. EXCEPTIONS

a. Provisions of Paragraphs A and B of this regulation may not apply to certain types of pleasure craft and other ships fitted with toilets not referred to in Regulation 2 of the revised Annex IV of MARPOL 73/​78 if: i.

According to guidelines approved by the Helsinki Commission the installation of toilet retention systems in these pleasure craft and other ships is technically difficult or the cost of installation is high compared to the value of the ship, and ii. These pleasure craft and other ships are built before 1+​January 2000. b. A Contracting Party making use of the exceptions stated above should inform the Helsinki Commission of the concrete wording of the exception, who should then inform the other Contracting Parties. c. This paragraph is only valid for waters under the jurisdiction of the said Contracting Party.

Regulation 6; Mandatory Discharge of All Wastes to a Port Reception Facility A. DEFINITIONS

For the purpose of this regulation: 1. ‘Ship-​generated waste’ means all residues generated during the service of the ship, including oily residues from engine room spaces, sewage, and garbage as defined in Annex V of MARPOL 73/​78, cargo associated waste including but not limited to loading/​unloading excess and spillage, dunnage, shoring, pallets, lining and packing materials, plywood, paper, cardboard, wire and steel strapping

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2. ‘Cargo residues’ means the remnants of any cargo material on board in cargo holds which remain for disposal after unloading procedures are completed.

B.  DISCHARGE OF WASTE TO A PORT RECEPTION FACILITY

Before leaving port, ships should discharge all ship-​generated wastes, which are not allowed to be discharged into the sea in the Baltic Sea area in accordance with MARPOL 73/​78 and this Convention, to a port reception facility. Before leaving port, all cargo residues should be discharged to a port reception facility in accordance with the requirements of MARPOL 73/​78.

C. EXEMPTIONS

1. Exemptions may be granted by the administration from mandatory discharge of all wastes to a port reception facility taking into account the need for special arrangements for, for example, passenger ferries engaged in short voyages. The administration should inform the Helsinki Commission on the issued exemptions. 2. In case of inadequate reception facilities, ships should have the right to properly stow and keep wastes on board for delivery to next adequate port reception facility. The port authority or the operator should provide for a ship a document informing them of inadequacies in reception facilities. 3. A ship should be allowed to keep on board minor amounts of waste which are unreasonable to discharge to port reception facilities.

Regulation 7; Incineration of Ship-​generated Waste on Board Ships A. DEFINITION

For the purpose of this regulation ‘incineration of ship-​generated waste on board ships’ means the deliberate combustion of ship-​generated wastes, incidental to the normal operation of ships, for the purpose of thermal destruction of such wastes. B. PROHIBITION

The Contracting Parties should prohibit any incineration of ship-​generated waste on board ships, irrespective of their nationality, operating in their territorial seas.

Regulation 8; Improved Hydrographic Services and Promotion of the Use of Electronic Navigational Charts (ENC) 1. The Contracting Parties: a)

shall develop a scheme for the systematic re-​surveying of major shipping routes and ports in order to ensure that safety of navigation is not endangered by inadequate source information. The survey should be carried out to a standard not inferior to the latest edition of IHO S-​44. The scheme should be elaborated 173

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b)

jointly by the hydrographic services responsible for the areas in question not later than by the end of 2002 with the aim of beginning implementation by 2003. shall develop Electronic Navigational Charts (ENC): i) ii)

For major shipping routes and ports by the end of 2002. Major shipping routes and ports should be selected on the basis of volumes of dangerous goods and number of passengers For secondary shipping routes and ports by the end of 2004.

2. The Contracting Parties: a) b)

c)

shall accept Electronic Chart Display and Information Systems (ECDIS) as equivalent to paper charts in accordance with Chapter V of SOLAS; undertake to enter into negotiations with shippers and recipients in their States, who are involved in transport of goods to and from ports in the Baltic Sea Area, with the aim that the commercial parties (e.g. national shippers and receivers) make arrangements to the effect that: - ships with a draft of 11 metres or more, oil tankers with a draft of 7 metres or more, chemical tankers and gas carriers irrespective of size and ships carrying a shipment of INF cargo carry ECDIS; shall by the end of the year 2002 as a matter of particular interest ensure that port State control of paper charts is intensified on board ships with a draught of 11 metres or more, oil tankers with a draft of 7 metres or more, chemical tankers and gas carriers irrespective of size and ships carrying a shipment of INF cargo.

Regulation 9; Use of Automatic Identifications Systems (AIS) The Contracting Parties: a) Should establish national, land-​based monitoring systems for ships, based on AIS signals. A full monitoring of the Baltic Sea area within the A1 Sea area should take place not later than 1 July 2005 b) Should establish a common Baltic Sea monitoring system based on, and with access to, - all national Baltic AIS monitoring systems c) Should elaborate reliable statistics on ships’ traffic in the Baltic Sea area to assess the need for further additional measures to improve the safety of navigation and the emergency capacity. These statistics should be elaborated on the basis of specified and conformed national AIS data.

Regulation 10; Port State Control The Contracting Parties should carry out port state control on the basis of either the 1982 Paris Memorandum of Understanding on Port State Control or the Council Directive 95/​ 21/​EC of 19 June 1995, as amended, concerning the enforcement, in respect of shipping using community ports and sailing in the waters under the jurisdiction of the member states, of international standards for ship safety, pollution prevention and shipboard living and working conditions (port state control). 174

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Regulation 11; Promotion of a Safety and Environmental Culture through the Establishment of a Common Procedure for the Investigations into Marine Casualties The Contracting Parties: a) Should identify major non conformities under the ISM Code when investigating any safety or environment related occurrences on board a ship and with marine casualties, distribute the findings to the maritime industry via IMO with the aim of improving safety management systems applied and act accordingly with respect to the possible withdrawal of the Document of Compliance or the Safety Management Certificate b) Should make use of the IMO Code for the Investigation of Marine Casualties and Incidents with a view to co-​operating if involved as flag state or other substantially interested state and to exchange, within the legal framework of data protection, the data of the voyage data recorders of involved ships under their flag.

Regulation 12; Places of Refuge The Contracting Parties: a) shall, following up the work of EC and IMO, draw up plans to accommodate, in the waters under their jurisdiction, ships in distress, in order to ensure that ships in distress may immediately go to a place of refuge subject to authorization by the competent authority b) shall exchange details on plans for accommodating ships in distress.

ANNEX V: Exemptions from the General Prohibition of Dumping Waste and Other Matter in the Baltic Sea Area Regulation 1 In accordance with Article 11, Paragraph 2 of this Convention, the prohibition of dumping should not apply to the disposal at sea of dredged materials provided that: a) The dumping of dredged material containing harmful substances indicated in Annex I is only permitted according to the guidelines adopted by the commission b) The dumping is carried out under a prior special permit issued by the appropriate national authority, either i) ii)

Within the area of internal waters and the territorial sea of the Contracting Party; or Outside the area of internal waters and the territorial sea, whenever necessary, after prior consultations with the commission.

When issuing such permits the Contracting Party should comply with the provisions in Regulation 3 of this Annex.

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Regulation 2 1. The appropriate national authority referred to in Article 11, Paragraph 2 of this Convention should: a) b) c)

Issue the special permits provided for in Regulation 1 of this annex Keep records of the nature and quantities of matter permitted to be dumped and the location, time and method of dumping Collect available information concerning the nature and quantities of matter that has been dumped in the Baltic Sea area recently and up to the coming into force of this Convention, provided that the dumped matter in question could be liable to contaminate water or organisms in the Baltic Sea area, to be caught by fishing equipment, or otherwise to give rise to harm, and information concerning the location, time and method of such dumping.

2. The appropriate national authority should issue special permits in accordance with Regulation 1 of this Annex in respect of matter intended for dumping in the Baltic Sea area: a) b)

Loaded in its territory Loaded by a ship or aircraft registered in its territory or flying its flag, when the loading occurs in the territory of a state which is not a Contracting Party to this Convention.

3. Each Contracting Party should report the information specified in sub-​paragraph 1c) of Regulation 2 of this annex to the commission, and where appropriate, to other Contracting Parties. The procedure to be followed and the nature of such reports should be determined by the commission.

Regulation 3 When issuing special permits according to Regulation 1 of this annex the appropriate national authority should take into account: a) The quantity of dredged material to be dumped b) The content of harmful substances as referred to in Annex I c) The location (for example, co-​ordinates of the dumping area, its depth, and its distance from the coast) and its relation to areas of special interest (for example, amenity areas, spawning, nursery, and fishing areas, and the like) d) The water characteristics, if dumping is carried out outside the territorial sea, consisting of: i) ii) iii)

Hydrographic properties (for example, temperature, salinity, density, profile) Chemical properties (for example, pH, dissolved oxygen, nutrients) Biological properties (for example, primary production and benthic animals).The data should include sufficient information on the annual mean levels and seasonal variation of the properties mentioned in this paragraph

e) The existence and effects of other dumping which may have been carried out in the dumping area.

Regulation 4 Reports made in accordance with Article 11, Paragraph 5 of this Convention should include the information to be provided in the reporting form to be determined by the commission. 176

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ANNEX VI: Prevention of Pollution from Offshore Activities Regulation 1; Definitions For the purposes of this Annex: 1. ‘Offshore activity’ means any exploration and exploitation of oil and gas by a fixed or floating offshore installation or structure including all associated activities thereon 2. ‘Offshore unit’ means any fixed or floating offshore installation or structure engaged in gas or oil exploration, exploitation or production activities, or loading or unloading of oil 3. ‘Exploration’ includes any drilling activity but not seismic investigations 4. ‘Exploitation’ includes any production, well testing or stimulation activity.

Regulation 2; Use of Best Available Technology and Best Environmental Practice The Contracting Parties undertake to prevent and eliminate pollution from offshore activities by using the principles of best available technology and best environmental practice as defined in Annex II.

Regulation 3; Environmental Impact Assessment and Monitoring 1. An environmental impact assessment should be made before an offshore activity is permitted to start. In case of exploitation as referred to in Regulation 5 the outcome of this assessment should be notified to the commission before the offshore activity is permitted to start. 2. In connection with the environmental impact assessment, the environmental sensitivity of the sea area around a proposed offshore unit should be assessed with respect to the following: a) b) c) d) e)

The importance of the area for birds and marine mammals The importance of the area as fishing or spawning grounds for fish and shellfish, and for aquaculture The recreational importance of the area The composition of the sediment measured as: grain size distribution, dry matter, ignition loss, total hydrocarbon content, and Ba, Cr, Pb, Cu, Hg, and Cd content The abundance and diversity of benthic fauna and the content of selected aliphatic and aromatic hydrocarbons.

3. In order to monitor the consequent effects of the exploration phase of the offshore activity studies, at least those referred to in sub-​paragraph iv above, an assessment should be carried out before and after the operation. 4. In order to monitor the consequent effects of the exploitation phase of the offshore activity studies, at least those referred to in sub-​ paragraphs iv and v above, an assessment should be carried out before the operation, at annual intervals during the operation, and after the operation has been concluded.

Regulation 4; Discharges on the Exploration Phase 1. The use of oil-​based drilling mud or muds containing other harmful substances should be restricted to cases where it is necessary for geological, technical or safety reasons 177

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and only after prior authorization by the appropriate national authority. In such cases appropriate measures should be taken and appropriate installations provided in order to prevent the discharge of such muds into the marine environment. 2. Oil-​based drilling muds and cuttings arising from the use of oil-​based drilling muds should not be discharged in the Baltic Sea area but taken ashore for final treatment or disposal in an environmentally acceptable manner. 3. The discharge of water-​based mud and cuttings should be subject to authorization by the appropriate national authority. Before authorization the content of the water-​based mud must be proven to be of low toxicity. 4. The discharge of cuttings arising from the use of water based drilling mud should not be permitted in specifically sensitive parts of the Baltic Sea area such as confined or shallow areas with limited water exchange and areas characterized by rare, valuable, or particularly fragile ecosystems.

Regulation 5; Discharges on the Exploitation Phase In addition to the provisions of Annex IV the following provisions should apply to discharges: a) All chemicals and materials should be taken ashore and may be discharged only exceptionally after obtaining permission from the appropriate national authority in each individual operation. b) The discharge of production water and displacement water is prohibited unless its oil content is proven to be less than 15 mg/​l measured by the methods of analysis and sampling to be adopted by the commission. c) If compliance with this limit value cannot be achieved by the use of best environmental practice and best available technology, the appropriate national authority may require adequate additional measures to prevent possible pollution of the marine environment of the Baltic Sea area and allow, if necessary, a higher limit value which should, however, be as low as possible and in no case exceed 40 mg/​l. The oil content should be measured as provided in sub-​paragraph ii above. d) The permitted discharge should not, in any case, create any unacceptable effects on the marine environment. e) In order to benefit from future developments in cleaning and production technology, discharge permits should be regularly reviewed by the appropriate national authority and the discharge limits should be revised accordingly.

Regulation 6; Reporting Procedure Each Contracting Party should require that the operator or any other person having charge of an offshore unit should report in accordance with the provisions of Regulation 5.1 of Annex VII of this Convention.

Regulation 7; Contingency Planning Each offshore unit should have a pollution emergency plan approved in accordance with the procedure established by the appropriate national authority. The plan should contain

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information on alarm and communication systems, organization of response measures, a list of prepositioned equipment and a description of the measures to be taken in different types of pollution incidents.

Regulation 8; Disused Offshore Units The Contracting Parties should ensure that abandoned, disused offshore units and accidentally wrecked offshore units are entirely removed and brought ashore under the responsibility of the owner and that disused drilling wells are plugged.

Regulation 9; Exchange of Information The Contracting Parties should continuously exchange information through the commission on the location and nature of all planned or accomplished offshore activities and on the nature and amounts of discharges as well as on contingency measures that are undertaken.

ANNEX VII: Response to Pollution Incidents Regulation 1: General Provisions 1. The Contracting Parties undertake to maintain the ability to respond to pollution incidents threatening the marine environment of the Baltic Sea area. This ability should include adequate equipment, ships and manpower prepared for operations at sea or on the shore. 2. a)

b)

In addition to the incidents referred to in Article 13 the Contracting Party should also notify without delay those pollution incidents occurring within its response region, which affect or are likely to affect the interests of other Contracting Parties. In the event of a significant pollution incident, other Contracting Parties and the commission should also be informed as soon as possible.

3. The Contracting Parties agree that subject to their capabilities and the availability of relevant resources, they should co-​operate in responding to pollution incidents when the severity of such incidents so justifies. 4. In addition, the Contracting Parties should take other measures to: a) Conduct regular surveillance outside their coastlines b) Otherwise co-​operate and exchange information with other Contracting Parties in order to improve the ability to respond to pollution incidents

Regulation 2: Contingency Planning Each Contracting Party should have a national contingency plan for response to pollution incidents at sea. Each Contracting Party should also, as appropriate, have contingency plans for response on the shore. Such plans may be combined. The Contracting Parties should, as appropriate, have bilateral or multilateral plans for joint response to pollution incidents.

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Regulation 3: Surveillance 1. In order to prevent violations of the existing regulations on prevention of pollution from ships, the Contracting Parties should develop and apply individually or in co-​ operation, surveillance activities covering the Baltic Sea area in order to spot and monitor oil and other substances released into the sea. 2. The Contracting Parties should undertake appropriate measures to conduct the surveillance referred to in Paragraph 1 by using, inter alia, airborne surveillance equipped with remote sensing systems.

Regulation 4: Response Regions The Contracting Parties should as soon as possible agree bilaterally or multilaterally on those regions of the Baltic Sea area in which they should conduct surveillance activities and take action to respond whenever a significant pollution incident has occurred or is likely to occur. Such agreements should not prejudice any other agreements concluded between Contracting Parties concerning the same subject. Neighboring states should ensure the harmonization of different agreements. Contracting Parties should inform other Contracting Parties and the commission about such agreements.

Regulation 5: Reporting Procedure 1. a) b)

c)

Each Contracting Party should require masters or other persons having charge of ships flying its flag to report without delay any event on their ship involving a discharge or probable discharge of oil or other harmful substances. The report should be made to the nearest coastal state and in accordance with the provisions of Article 8 and Protocol I of the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 related thereto (MARPOL 73/​78). The Contracting Parties should request masters or other persons having charge of ships and pilots of aircraft to report without delay and in accordance with this system on significant spillages of oil or other harmful substances observed at sea. Such reports should, as far as possible, contain the following data: time, position, wind and sea conditions, and kind, extent and probable source of the spill observed.

2. The provisions of Paragraph 1 b) should also be applied with regard to dumping made under the provisions of Article 11, Paragraph 4 of this Convention.

Regulation 6: Emergency Measures on Board Ship 1. Each Contracting Party should require that ships entitled to fly their flag have on board a shipboard oil pollution emergency plan as required by and in accordance with the provisions of MARPOL 73/​78. 2. Each Contracting Party should request masters of ships flying its flag or, in case of fixed or floating platforms operating under its jurisdiction, the persons having charge 180

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of platforms to provide, in case of a pollution incident and on request by the proper authorities, such detailed information about the ship and its cargo or, in the case of a platform, its production details relevant to actions for preventing or responding to pollution of the sea, and to co-​operate with these authorities.

Regulation 7: Response Measures 1. The Contracting Party should, when a pollution incident occurs in its response region, make the necessary assessment of the situation and take adequate response action in order to avoid or minimize subsequent pollution effects. 2. a) b)

The Contracting Parties should, subject to sub-​ paragraph ii, use mechanical means to respond to pollution incidents. Chemical agents may be used only in exceptional cases and after authorization, in each individual case, by the appropriate national authority.

3. When such a spillage is drifting or is likely to drift into a response region of another Contracting Party, that Party should without delay be informed of the situation and the actions that have been taken.

Regulation 8: Assistance 1. According to the provisions of Paragraph 3 of Regulation 1: a) b)

A Contracting Party is entitled to call for assistance from other Contracting Parties when responding to a pollution incident at sea or on the shore Contracting Parties should use their best endeavors to bring such assistance.

2. Contracting Parties should take necessary legal or administrative measures to facilitate: a)

b)

The arrival and utilization in and departure from its territory of ships, aircraft and other modes of transport engaged in responding to a pollution incident or transporting personnel, cargoes, materials, and equipment required to deal with such an incident The expeditious movement into, though, and out of its territory of personnel, cargoes, materials, and equipment referred to in sub-​paragraph a).

Regulation 9: Reimbursement of the Cost of Assistance 1. The Contracting Parties should bear the costs of assistance referred to in Regulation 8 in accordance with this regulation. 2. a)

If the action was taken by one Contracting Party at the express request of another Contracting Party, the requesting Party should reimburse to the assisting Party the costs of the action of the assisting Party. If the request is cancelled the requesting Party should bear the costs already incurred or committed by the assisting Party. 181

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b) c)

If the action was taken by a Contracting Party on its own initiative, this Party should bear the costs of its action. The principles laid down above in sub-​paragraphs i and ii should apply unless the Parties concerned otherwise agree in any individual case.

3. Unless otherwise agreed, the costs of the action taken by a Contracting Party at the request of another Party should be fairly calculated according to the law and current practice of the assisting Party concerning the reimbursement of such costs. 4. The provisions of this regulation should not be interpreted as in any way prejudicing the rights of Contracting Parties to recover from third Parties the costs of actions taken to deal with pollution incidents under other applicable provisions and rules of international law and national or supra-​national regulations.

Regulation 10: Regular Cooperation 1. Each Contracting Party should provide information to the other Contracting Parties and the commission about: a) b) c) d) e)

Its organization for dealing with spillages at sea and on the shore of oil and other harmful substances Its regulations and other matters which have a direct bearing on preparedness and response to pollution at sea or on the shore by oil and other harmful substances The competent authority responsible for receiving and dispatching reports of pollution at sea and on the shore by oil and other harmful substances The competent authorities for dealing with questions concerning measures for mutual assistance, information and co-​operation between the Contracting Parties according to this Annex Actions taken in accordance with Regulations 7 and 8 of this annex.

2. The Contracting Parties should exchange information on research and development programs, results concerning ways in which pollution by oil and other harmful substances at sea or on the shore may be dealt with and experiences in surveillance activities and in responding to such pollution. 3. The Contracting Parties should on a regular basis arrange joint operational combatting exercises as well as alarm exercises. The Contracting Parties should also on a regular basis arrange exercises on the shore. 4. The Contracting Parties should co-​ operate within the International Maritime Organization in matters concerning the implementation and further development of the International Convention on Oil Pollution Preparedness, Response and Co-​operation.

Regulation 11: The HELCOM Combatting Manual The Contracting Parties agree to apply, as far as practicable, the principles and rules included in the HELCOM manual on cooperation in response to marine pollution, detailing this annex and adopted by the commission or by the group designated by the commission for this purpose.

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List of Amendments ANNEX III

After the general title of Annex III, the words ‘Part I; Prevention of Pollution from Industry and Municipalities’ are inserted and after Part I and new ‘Part II; Prevention of Pollution from Agriculture’ is inserted in accordance with HELCOM Recommendation 21/​1, which supersedes HELCOM Recommendation 19/​6. These amendments came into force on 31 December 2000. ANNEX IV: REGULATIONS 4, 6–​8

In accordance with HELCOM Recommendation 21/​2: Regulation 4 is amended and new ‘Regulation 6: Discharge of sewage by other ships,’ ‘Regulation 7:Mandatory discharge of all wastes to a port reception facility’ and ‘ Regulation 8: Incineration of ship-​generated wastes on board ships’ are inserted. These amendments came into force on 31 December 2000. ANNEX IV: REGULATIONS 4, 9–​1 2

In accordance with HELCOM Recommendation 22E/​5: Regulation 4 is replaced and new ‘Regulation 9: Improved hydrographic services and promotion of the use of Electronic Navigational Charts (ENC),’ ‘Regulation 10: Use of Automatic Identification Systems (AIS),’ ‘Regulation 11: Port State control,’ ‘Regulation 12: Promotion of a safety and environmental culture through the establishment of a common procedure for the investigations into marine casualties’ and ‘Regulation 13: Places of refuge’ are inserted. These amendments came into force on 1 December 2002. ANNEX IV: REGULATIONS 4–​1 3

In accordance with HELCOM Recommendation 24/​8: Regulation 4 is amended, Regulation 5 is deleted, and consequently the remaining Regulations 6–​13 are renumbered as 5–​12; the renumbered Regulation 5 (formerly 6) is replaced. These amendments came into force on 1 July 2004. ANNEX III: PART II

In accordance with HELCOM Recommendation 28E/​4 in ‘Part II: Prevention of Pollution from Agriculture’ both ‘Regulation 2:Plant nutrients’ and ‘Regulation 4:Environmental permits’ are amended; Regulation 5 is amended and renamed to ‘Monitoring and evaluation.’ These amendments came into force on 15 November 2008. ANNEX VII: RESPONSE TO POLLUTION INCIDENTS

In accordance with HELCOM Recommendation 34E/​3, Annex VII ‘Response to Pollution Incidents’ is amended with substantial changes to Regulation 1 (1), Regulation 2, Regulation 8 (1i), Regulation 10 (1i, 1ii, 1iii, 2 and 3) to explicitly include response on the shore. The amendment includes also editorial rewording concerning Regulation 11 where ‘HELCOM Combatting Manual’ has been rephrased as ‘HELCOM Response Manual’ and the ‘Combatting Committee’ rephrased as the ‘Response Group,’ which is according to valid practice since 2002. These amendments came into force on 1 July 2014. 183

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Annexure B IX –​9.2.10: Convention for the Protection of the Marine Environment of the North-​East Atlantic (OSPAR Convention), 1992 https://​ospar.org/​con​vent​ion/​text

ANNEX I: On the Prevention and Elimination of Pollution from Land-​based Sources ARTICLE1

1. When adopting programmed and measures for the purpose of this annex, the Contracting Parties should require, either individually or jointly, the use of - Best available techniques for point sources - Best environmental practice for point and diffuse sources including, where appropriate, clean technology. 2. When setting priorities and in assessing the nature and extent of the programs and measures and their time scales, the Contracting Parties should use the criteria given in Appendix 2. 3. The Contracting Parties should take preventive measures to minimize the risk of pollution caused by accidents. 4. When adopting programs and measures in relation to radioactive substances, including waste, the Contracting Parties should also take account of: (a)

The recommendations of the other appropriate international organizations and agencies (b) The monitoring procedures recommended by these international organizations and agencies. ARTICLE 2

1. Point source discharges to the maritime area, and releases into water or air which reach and may affect the maritime area, should be strictly subject to authorization or regulation by the competent authorities of the Contracting Parties. Such authorization or regulation should, in particular, implement relevant decisions of the commission which bind the relevant Contracting Party. 2. The Contracting Parties should provide for a system of regular monitoring and inspection by their competent authorities to assess compliance with authorizations and regulations of releases into water or air. ARTICLE 3

For the purposes of this annex, it should, inter alia, be the duty of the commission to draw up: (a) Plans for the reduction and phasing out of substances that are toxic, persistent and liable to bioaccumulate arising from land-​based sources (b) When appropriate, programs and measures for the reduction of inputs of nutrients from urban, municipal, industrial, agricultural, and other sources.

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Annex II: On the Prevention and Elimination of Pollution by Dumping or Incineration Article 1 This annex should not apply to any deliberate disposal in the maritime area of: (a) Wastes or other matter from offshore installations (b) Offshore installations and offshore pipelines. Article 2 Incineration is prohibited. Article 3 1. The dumping of all waste or other matter is prohibited, except for that waste or other matter listed in Paragraphs 2 and 3 of this article. 2. The list referred to in Paragraph 1 of this article is as follows: (a) Dredged material (b) Inert material of natural origin, which is solid, chemically unprocessed geological material the chemical constituents of which are unlikely to be released into the marine environment (c) Sewage sludge until 31 December 1998 (d) Fish waste from industrial fish processing operations (e) Vessels or aircraft until, at the latest, 31 December 2004 2 f. Carbon dioxide streams from carbon dioxide capture processes for storage, provided: i. ii. iii. iv.

Disposal is into a sub-​soil geological formation The streams consist overwhelmingly of carbon dioxide, although they may contain incidental associated substances derived from the source material and the capture, transport and storage processes used No waste or other matter is added for the purpose of disposing of that waste or other matter They are intended to be retained in these formations permanently and will not lead to significant adverse consequences for the marine environment, human health and other legitimate uses of the maritime area.

3. (a)

The dumping of low and intermediate level radioactive substances, including waste, is prohibited. 3 (b) As an exception to subparagraph 3(a) of this article, those Contracting Parties, the United Kingdom and France, who wish to retain the option of an exception to subparagraph 3a in any case not before the expiry of a period of 15 years from 1 January 1993, should report to the meeting of the commission at ministerial level in 1997 on the steps taken to explore alternative land-​based options. (c) Unless, at or before the expiry of this period of 15 years, the commission decides by a unanimous vote not to continue the exception provided in subparagraph

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3(b), it should take a decision pursuant to Article 13 of the Convention on prolongation for a period of 10 years after 1 January 2008 of the prohibition, after which another meeting of the commission at ministerial level should be held. Those Contracting Parties mentioned in subparagraph 3(b) of this article still wishing to retain the option mentioned in subparagraph 3(b) should report to the commission meetings to be held at ministerial level at two yearly intervals from 1999 onwards about the progress in establishing alternative land-​based options and on the results of scientific studies which show that any potential dumping operations would not result in hazards to human health, harm to living resources or marine ecosystems, damage to amenities or interference with other legitimate uses of the sea. 2 Sub-​paragraph (f) was introduced by amendment to the annex agreed by OSPAR 2007. The amendment will come into force for those Contracting Parties who have ratified, accepted or approved it on the 30th day after receipt by the depositary government of notification of its ratification, acceptance or approval by at least seven Contracting Parties. Thereafter the amendment will come into force for any other Contracting Party on the 30th day after that Contracting Party has deposited its instrument of ratification, acceptance or approval of the amendment. 3 After the entry into force of OSPAR Decision 98/​2 on Dumping of Radioactive Waste on 9 February 1999, subparagraphs b and c of this paragraph ceased to have effect.

Article 4 1. The Contracting Parties should ensure that: (a)

No waste or other matter listed in Paragraph 2 of Article 3 of this annex should be dumped without authorization by their competent authorities, or regulation (b) Such authorization or regulation is in accordance with the relevant applicable criteria, guidelines and procedures adopted by the commission in accordance with Article 6 of this annex (c) With the aim of avoiding situations in which the same dumping operation is authorized or regulated by more than one Contracting Party, their competent authorities should, as appropriate, consult before granting an authorization or applying regulation. 2. Any authorization or regulation under Paragraph 1 of this article should not permit the dumping of vessels or aircraft containing substances which result or are likely to result in hazards to human health, harm to living resources and marine ecosystems, damage to amenities, or interference with other legitimate uses of the sea. 3. Each Contracting Party should keep, and report to the commission, records of the nature and the quantities of wastes or other matter dumped in accordance with Paragraph 1 of this article, and of the dates, places and methods of dumping. Article 5 No placement of matter in the maritime area for a purpose other than that for which it was originally designed or constructed should take place without authorization or regulation by

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the competent authority of the relevant Contracting Party. Such authorization or regulation should be in accordance with the relevant applicable criteria, guidelines and procedures adopted by the commission in accordance with Article 6 of this annex. This provision should not be taken to permit the dumping of waste or other matter otherwise prohibited under this Annex. Article 6 For the purposes of this annex, it should, inter alia, be the duty of the commission to draw up and adopt criteria, guidelines and procedures relating to the dumping of waste or other matter listed in Paragraph 2 of Article 3, and to the placement of matter referred to in Article 5,of this annex, with a view to preventing and eliminating pollution. Article 7 The provisions of this annex concerning dumping should not apply in the case of force majeure, due to stress of weather or any other cause, when the safety of human life or of a vessel or aircraft is threatened. Such dumping should be so conducted as to minimize the likelihood of damage to human or marine life and should immediately be reported to the commission, together with full details of the circumstances and of the nature and quantities of the waste or other matter dumped. Article 8 The Contracting Parties should take appropriate measures, both individually and within relevant international organizations, to prevent and eliminate pollution resulting from the abandonment of vessels or aircraft in the maritime area caused by accidents. In the absence of relevant guidance from such international organizations, the measures taken by individual Contracting Parties should be based on such guidelines as the commission may adopt. Article 9 In an emergency, if a Contracting Party considers that wastes or other matter, the dumping of which is prohibited under this annex, cannot be disposed of on land without unacceptable danger or damage, it should forthwith consult other Contracting Parties with a view to finding the most satisfactory methods of storage or the most satisfactory means of destruction or disposal under the prevailing circumstances. The Contracting Party should inform the commission of the steps adopted following this consultation. The Contracting Parties pledge themselves to assist one another in such situations. Article 10 1. Each Contracting Party should ensure compliance with the provisions of this annex: (a) By vessels or aircraft registered in its territory (b) By vessels or aircraft loading in its territory the waste or other matter that is to be dumped or incinerated

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(c)

By vessels or aircraft believed to be engaged in dumping or incineration within its internal waters or within its territorial sea or within that part of the sea beyond and adjacent to the territorial sea under the jurisdiction of the coastal state to the extent recognized by international law. 2. Each Contracting Party should issue instructions to its maritime inspection vessels and aircraft and to other appropriate services to report to its authorities any incidents or conditions in the maritime area which give rise to suspicions that dumping in contravention of the provisions of the present annex has occurred or is about to occur. Any Contracting Party whose authorities receive such a report should, if it considers it appropriate, accordingly inform any other Contracting Party concerned. 3. Nothing in this annex should abridge the sovereign immunity to which certain vessels are entitled under international law.

Annex III: On the Prevention and Elimination of Pollution from Offshore Sources Article 1 This annex should not apply to any deliberate disposal in the maritime area of: (a) Wastes or other matter from vessels or aircraft (b) Vessels or aircraft. Article 2 1. When adopting programs and measures for the purpose of this annex, the Contracting Parties should require, either individually or jointly, the use of: (a) Best available techniques (b) Best environmental practice. including, where appropriate, clean technology. 2. When setting priorities and in assessing the nature and extent of the programs and measures and their time scales, the Contracting Parties should use the criteria given in Appendix 2. Article 3 1. Any dumping of waste or other matter from offshore installations is prohibited. 2. This prohibition does not relate to discharges or emissions from offshore sources. 4 3. The prohibition referred to in Paragraph 1 of this article does not apply to carbon dioxide streams from carbon dioxide capture processes for storage, provided (a) Disposal is into a sub-​soil geological formation (b) The streams consist overwhelmingly of carbon dioxide. They may contain incidental associated substances derived from the source material and the capture, transport and storage processes used

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(c)

No wastes or other matter are added for the purpose of disposing of those wastes or other matter (d) They are intended to be retained in these formations permanently and will not lead to significant adverse consequences for the marine environment, human health and other legitimate uses of the maritime area. 4. The Contracting Parties should ensure that no streams referred to in Paragraph 3 should be disposed of in sub-​soil geological formations without authorization or regulation by their competent authorities. Such authorization or regulation should, in particular, implement the relevant applicable decisions, recommendations and all other agreements adopted under the Convention. Article 4 1. The use on, or the discharge or emission from offshore sources of substances which may reach and affect the maritime area should be strictly subject to authorization or regulation by the competent authorities of the Contracting Parties. Such authorization or regulation should, in particular, implement the relevant applicable decisions, recommendations and all other agreements adopted under the Convention. 2. The competent authorities of the Contracting Parties should provide for a system of monitoring and inspection to assess compliance with authorization or regulation as provided for in Paragraph 1 of Article 4 of this annex. Article 5 1. No disused offshore installation or disused offshore pipeline should be dumped, and no disused offshore installation should be left wholly or partly in place in the maritime area without a permit issued by the competent authority of the relevant Contracting Party on a case-​by-​case basis. The Contracting Parties should ensure that their authorities, when granting such permits, should implement the relevant applicable decisions, recommendations and all other agreements adopted under the Convention. 2. No such permit should be issued if the disused offshore installation or disused offshore pipeline contains substances which result or are likely to result in hazards to human health, harm to living resources and marine ecosystems, damage to amenities or interference with other legitimate uses of the sea. 3. Any Contracting Party which intends to take the decision to issue a permit for the dumping of a disused offshore installation or a disused offshore pipeline placed in the maritime area after 1 January 1998 should, through the medium of the commission, inform the other Contracting Parties of its reasons for accepting such dumping, in order to make consultation possible. 4. Each Contracting Party should keep, and report to the commission, records of the disused offshore installations and disused offshore pipelines dumped and of the disused offshore installations left in place in accordance with the provisions of this article, and of the dates, places and methods of dumping.

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Article 6 Articles 3 and 5 of this annex should not apply in case of force majeure, due to stress of weather or any other cause, when the safety of human life or of an offshore installation is threatened. Such dumping should be so conducted as to minimize the likelihood of damage to human or marine life and should immediately be reported to the commission, together with full details of the circumstances and of the nature and quantities of the matter dumped. Article 7 The Contracting Parties should take appropriate measures, both individually and within relevant international organizations, to prevent and eliminate pollution resulting from the abandonment of offshore installations in the maritime area caused by accidents. In the absence of relevant guidance from such international organizations, the measures taken by individual Contracting Parties should be based on such guidelines as the commission may adopt. Article 8 No placement of a disused offshore installation or a disused offshore pipeline in the maritime area for a purpose other than that for which it was originally designed or constructed should take place without authorization or regulation by the competent authority of the relevant Contracting Party. Such authorization or regulation should be in accordance with the relevant applicable criteria, guidelines and procedures adopted by the commission in accordance with subparagraph iv of Article 10 of this annex. This provision should not be taken to permit the dumping of disused offshore installations or disused offshore pipelines in contravention of the provisions of this annex. Article 9 1. Each Contracting Party should issue instructions to its maritime inspection vessels and aircraft and to other appropriate services to report to its authorities any incidents or conditions in the maritime area which give rise to suspicions that a contravention of the provisions of the present annex has occurred or is about to occur. Any Contracting Party whose authorities receive such a report should, if it considers it appropriate, accordingly inform any other Contracting Party concerned. 2. Nothing in this annex should abridge the sovereign immunity to which certain vessels are entitled under international law. Article 10 For the purposes of this annex, it should, inter alia, be the duty of the commission: (a) To collect information about substances that are used in offshore activities and, on the basis of that information, to agree lists of substances for the purposes of Paragraph 1 of Article 4 of this annex (b) To list substances that are toxic, persistent and liable to bio accumulate and to draw up plans for the reduction and phasing out of their use on, or discharge from, offshore sources

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(c) To draw up criteria, guidelines and procedures for the prevention of pollution from the dumping of disused offshore installations and of disused offshore pipelines, and the leaving in place of offshore installations, in the maritime area (d) To draw up criteria, guidelines and procedures relating to the placement of disused offshore installations and disused offshore pipelines referred to in Article 8 of this annex, with a view to preventing and eliminating pollution. Paragraphs 3 and 4 were introduced by amendment to the Annex agreed by OSPAR 2007. The amendment will come into force for those Contracting Parties who have ratified, accepted or approved it on the 30th day after receipt by the depositary government of notification of its ratification, acceptance or approval by at least seven Contracting Parties. Thereafter the amendment will come into force for any other Contracting Party on the 30th day after that Contracting Party has deposited its instrument of ratification, acceptance or approval of the amendment. 4

Annex IV: On the Assessment of the Quality of the Marine Environment Article 1 1. For the purposes of this annex, ‘monitoring’ means the repeated measurement of: (a)

The quality of the marine environment and each of its compartments, that is, water, sediments and biota (b) Activities or natural and anthropogenic inputs which may affect the quality of the marine environment (c) The effects of such activities and inputs. 2. Monitoring may be undertaken either for the purposes of ensuring compliance with the Convention, with the objective of identifying patterns and trends, or for research purposes. Article 2 For the purposes of this annex, the Contracting Parties should: (a) Cooperate in carrying out monitoring programs and submit the resulting data to the commission (b) Comply with quality assurance prescriptions and participate in intercalibration exercises (c) Use and develop, individually or preferably jointly, other duly validated scientific assessment tools, such as modelling, remote sensing, and progressive risk assessment strategies (d) Carry out, individually or preferably jointly, research that is considered necessary to assess the quality of the marine environment, and to increase knowledge and scientific understanding of the marine environment and, in particular, of the relationship between inputs, concentration and effects

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(e) Consider scientific progress that is considered to be useful for such assessment purposes and which has been made elsewhere either on the initiative of individual researchers and research institutions, or through other national and international research programs or under the auspices of the European Economic Community or other regional economic integration organizations. Article 3 For the purposes of this annex, it should, inter alia, be the duty of the commission: (a) To define and implement programs of collaborative monitoring and assessment-​related research, to draw up codes of practice for the guidance of participants in carrying out these monitoring programs and to approve the presentation and interpretation of their results (b) To carry out assessments taking into account the results of relevant monitoring and research and the data relating to inputs of substances or energy into the maritime area which are provided by virtue of other annexes to the Convention, as well as other relevant information (c) To seek, where appropriate, the advice or services of competent regional organizations and other competent international organizations and competent bodies with a view to incorporating the latest results of scientific research (d) To cooperate with competent regional organizations and other competent international organizations in carrying out quality status assessments.

Annex V: On the Protection and Conservation of the Ecosystems and Biological Diversity of the Maritime Area 5 6 7 8 Article 1 For the purposes of this annex and of Appendix 3, the definitions of ‘biological diversity, ’ecosystem,’ and ‘habitat’ are those contained in the Convention on Biological Diversity of 5 June 1992. Article 2 In fulfilling their obligation under the Convention to take, individually and jointly, the necessary measures to protect the maritime area against the adverse effects of human activities so as to safeguard human health and to conserve marine ecosystems and, when practicable, restore marine areas which have been adversely affected, as well as their obligation under the Convention on Biological Diversity of 5 June 1992 to develop strategies, plans or programs for the conservation and sustainable use of biological diversity, Contracting Parties shall: a. b.

Take the necessary measures to protect and conserve the ecosystems and the biological diversity of the maritime area, and to restore, where practicable, marine areas that have been adversely affected Cooperate in adopting programs and measures for those purposes for the control of the human activities identified by the application of the criteria in Appendix 3.

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Article 3 1. For the purposes of this Annex, it should inter alia be the duty of the commission: a. b.

To draw up programs and measures for the control of the human activities identified by the application of the criteria in Appendix 3 In doing so: (i)

To collect and review information on such activities and their effects on ecosystems and biological diversity (ii) To develop means, consistent with international law, for instituting protective, conservation, restorative or precautionary measures related to specific areas or sites or related to particular species or habitats (iii) Subject to Article 4 of this annex, to consider aspects of national strategies and guidelines on the sustainable use of components of biological diversity of the maritime area as they affect the various regions and sub-​regions of that area (iv) Subject to Article 4 of this annex, to aim for the application of an integrated ecosystem approach c.

Also in doing so, to take account of programmes and measures adopted by Contracting Parties for the protection and conservation of ecosystems within waters under their sovereignty or jurisdiction.

2. In the adoption of such programs and measures, due consideration should be given to the question whether any particular programme or measure should apply to all, or a specified part, of the maritime area. Article 4 1. In accordance with the penultimate recital of the Convention, no programme or measure concerning a question relating to the management of fisheries should be adopted under this annex. However, where the commission considers that action is desirable in relation to such a question, it should draw that question to the attention of the authority or international body competent for that question. Where action within the competence of the commission is desirable to complement or support action by those authorities or bodies, the commission should endeavor to cooperate with them. 2. Where the commission considers that action under this annex is desirable in relation to a question concerning maritime transport, it should draw that question to the attention of the International Maritime Organisation. The Contracting Parties who are members of the International Maritime Organisation should endeavor to cooperate within that organization in order to achieve an appropriate response, including in relevant cases that organization’s agreement to regional or local action, taking account of any guidelines developed by that organization on the designation of special areas, the identification of particularly sensitive areas or other matters. Annex V was adopted under OSPAR Agreement 1998-15.1 On the adoption of the new Annex V in 1998, Ministers also reached agreement on the meaning of certain concepts given in this new Annex V (see OSPAR Agreement 1998-15.2) 5 6

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In accordance with Article 15.5 of the Convention, Annex V and Appendix 3 has entered into force: 7

• On 30 August 2000 for Finland, Spain, Switzerland, Luxembourg, European Community, United Kingdom and Denmark • On 5 October 2000 for Sweden • On 18 July 2001 for Iceland • On 22 July 2001 for Norway • On 24 August 2001 for the Netherlands • On 13 January 2002 for Germany • On 21 June 2003 for Ireland • On 24 November 2004 for France • On 28 August 2005 for Belgium • On 25 March 2006 for Portugal. In a Note Verbale dated 26 July 2005, the Embassy of Great Britain in Paris informed the French Government that the British Government wished to extend the ratification of Annex V and Appendix 3 to the Isle of Man. 8

Appendix 1: Criteria for the Definition of Practices and Techniques Mentioned in Paragraph 3(B)(I) OF ARTICLE 2 of the Convention Best Available Techniques 1. The use of the best available techniques should emphasize the use of non-​waste technology, if available. 2. The term ‘best available techniques’ means the latest stage of development (state of the art) of processes, of facilities or of methods of operation which indicate the practical suitability of a particular measure for limiting discharges, emissions, and waste. In determining whether a set of processes, facilities and methods of operation constitute the best available techniques in general or individual cases, special consideration should be given to: (a)

Comparable processes, facilities or methods of operation which have recently been successfully tried out (b) Technological advances and changes in scientific knowledge and understanding (c) The economic feasibility of such techniques (d) Time limits for installation in both new and existing plants (e) The nature and volume of the discharges and emissions concerned. 3. It therefore follows that what is ‘best available techniques’ for a particular process will change with time in the light of technological advances, economic and social factors, as well as changes in scientific knowledge and understanding. 4. If the reduction of discharges and emissions resulting from the use of the best available techniques does not lead to environmentally acceptable results, additional measures have to be applied. 5. ‘Techniques’ include both the technology used and the way in which the installation is designed, built, maintained, operated, and dismantled. 194

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Best Environmental Practice 6. The term ‘best environmental practice’ means the application of the most appropriate combination of environmental control measures and strategies. In selecting for individual cases, at least the following graduated range of measures should be considered: (a)

The provision of information and education to the public and to users about the environmental consequences of choice of particular activities and choice of products, their use and ultimate disposal (b) The development and application of codes of good environmental practice which cover all aspects of the activity in the product’s life (c) The mandatory application of labels informing users of environmental risks related to a product, its use and ultimate disposal (d) Saving resources, including energy (e) Making collection and disposal systems available to the public (f) Avoiding the use of hazardous substances or products and the generation of hazardous waste (g) Recycling, recovery, and re-​use (h) The application of economic instruments to activities, products or groups of products (i) Establishing a system of licensing, involving a range of restrictions or a ban. 7. In determining what combination of measures constitute best environmental practice, in general or individual cases, particular consideration should be given to: (a)

The environmental hazard of the product and its production, use, and ultimate disposal (b) The substitution by less polluting activities or substances (c) The scale of use (d) The potential environmental benefit or penalty of substitute materials or activities (e) Advances and changes in scientific knowledge and understanding (f) Time limits for implementation (g) Social and economic implications 8. It therefore follows that best environmental practice for a particular source will change with time in the light of technological advances, economic, and social factors, as well as changes in scientific knowledge and understanding. 9. If the reduction of inputs resulting from the use of best environmental practice does not lead to environmentally acceptable results, additional measures have to be applied and best environmental practice redefined.

Appendix 2: Criteria Mentioned in Paragraph 2 of Article 1 of Annex I and in Paragraph 2 of Article 2 of Annex III 1. When setting priorities and in assessing the nature and extent of the programs and measures and their time scales, the Contracting Parties should use the criteria given below: (a) Persistency (b) Toxicity or other noxious properties 195

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(c) Tendency to bioaccumulation (d) Radioactivity (e) The ratio between observed or (where the results of observations are not yet available) predicted concentrations and no observed effect concentrations (f) Anthropogenically caused risk of eutrophication (g) Transboundary significance (h) The risk of undesirable changes in the marine ecosystem and irreversibility or durability of effects (i) Interference with harvesting of sea-​foods or with other legitimate uses of the sea (j) Effects on the taste and/​or smell of products for human consumption from the sea, or effects on smell, colour, transparency or other characteristics of the water in the marine environment (k) Distribution pattern (namely, quantities involved, use pattern, and liability to reach the marine environment) (l) Non-​fulfilment of environmental quality objectives. 2. These criteria are not necessarily of equal importance for the consideration of a particular substance or group of substances. 3. The above criteria indicate those substances that should be subject to programs and measures include: (a) Heavy metals and their compounds (b) Organohalogen compounds (and substances which may form such compounds in the marine environment) (c) Organic compounds of phosphorus and silicon (d) Biocides, such as pesticides, fungicides, herbicides, insecticides, slimicides and chemicals used, inter alia, for the preservation of wood, timber, wood pulp, cellulose, paper, hides and textiles (e) Oils and hydrocarbons of petroleum origin (f) Nitrogen and phosphorus compounds (g) Radioactive substances, including waste (h) Persistent synthetic materials that may float, remain in suspension, or sink.

Appendix 3: Criteria for Identifying Human Activities for the Purpose of Annex V 1. The criteria to be used, considering regional differences, for identifying human activities for the purposes of Annex V are: a. b. c. d.

The extent, intensity, and duration of the human activity under consideration Actual and potential adverse effects of the human activity on specific species, communities, and habitats Actual and potential adverse effects of the human activity on specific ecological processes Irreversibility or durability of these effects.

2. These criteria are not necessarily exhaustive or of equal importance for the consideration of a particular activity.

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Annexure B IX –​9.2.11: Convention on the Protection and Use of Transboundary Watercourses and International Lakes (ECE Water Convention), Helsinki 1992 https://​unece.org/​filead​min/​DAM/​env/​water/​pdf/​water​con.pdf

Annex I Definition of the Term ‘Best Available Technology’ 1. The term ‘best available technology’ is taken to mean the latest stage of development of processes, facilities, or methods of operation which indicate the practical suitability of a particular measure for limiting discharges, emissions, and waste. In determining whether a set of processes, facilities, and methods of operation constitute the best available technology in general or individual cases, special consideration is given to: (a)

Comparable processes, facilities or methods of operation which have recently been successfully tried out (b) Technological advances and changes in scientific knowledge and understanding (c) The economic feasibility of such technology (d) Time limits for installation in both new and existing plants0 (e) The nature and volume of the discharges and effluents concerned (f) Low-​and non-​waste technology. 2. It therefore follows that what ‘best available technology’ is for a particular process will change with time in the light of technological advances, economic, and social factors, as well as in light of changes in scientific knowledge and understanding.

Annex II Guidelines for Developing Best Environmental Practices 1. In selecting, for individual cases, the most appropriate combination of measures which may constitute the best environmental practice, the following graduated range of measures should be considered: (a)

Provision of information and education to the public and to users about the environmental consequences of the choice of particular activities and products, their use and ultimate disposal (b) The development and application of codes of good environmental practice which cover all aspects of the product’s life (c) Labels informing users of environmental risks related to a product, its use and ultimate disposal (d) Collection and disposal systems available to the public (e) Recycling, recovery, and reuse (f) Application of economic instruments to activities, products, or groups of products (g) A system of licensing, which involves a range of restrictions or a ban.

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2. In determining what combination of measures constitutes best environmental practice, in general or in individual cases, particular consideration should be given to: (a)

The environmental hazard of: (i) (ii) (iii) (iv)

(b) (c) (d) (e) (f) (g)

The product The product’s production The product’s use The product’s ultimate disposal.

Substitution by less polluting processes or substances Scale of use Potential environmental benefit or penalty of substitute materials or activities Advances and changes in scientific knowledge and understanding Time limits for implementation Social and economic implications.

3. It therefore follows that best environmental practice for a particular source will change with time in the light of technological advances, economic, and social factors, as well as in the light of changes in scientific knowledge and understanding.

Annex III Guidelines for Developing Water-​quality Objectives and Criteria Water-​quality objectives and criteria should: (a) Take into account the aim of maintaining and, where necessary, improving the existing water quality (b) Aim at the reduction of average pollution loads (in particular hazardous substances) to a certain degree within a certain period of time (c) Consider specific water-​quality requirements (raw water for drinking-​water purposes, irrigation, and the likelihood of (d) Consider specific requirements regarding sensitive and specially protected waters and their environment, for example, lakes and groundwater resources (e) Be based on the application of ecological classification methods and chemical indices for the medium and long-​term review of water-​quality maintenance and improvement (f) Consider the degree to which objectives are reached and the additional protective measures, based on emission limits, which may be required in individual cases.

Annex IV Arbitration 1. In the event of a dispute being submitted for arbitration pursuant to Article 22, paragraph 2 of this Convention, a Party or Parties should notify the secretariat of the subject-​matter of arbitration and indicate, in particular, the articles of this Convention whose interpretation or application is at issue. The secretariat should forward the information received to all Parties to this Convention. 198

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2. The arbitral tribunal should consist of three members. Both the claimant Party or Parties and the other Party or Parties to the dispute should appoint an arbitrator, and the two arbitrators so appointed should designate by common agreement the third arbitrator, who should be the president of the arbitral tribunal. The latter should not be a national of one of the Parties to the dispute, nor have his or her usual place of residence in the territory of one of these Parties, nor be employed by any of them, nor have dealt with the case in any other capacity. 3. If the president of the arbitral tribunal has not been designated within two months of the appointment of the second arbitrator, the Executive Secretary of the Economic Commission for Europe should, at the request of either Party to the dispute, designate the president within a further two-​month period. 4. If one of the Parties to the dispute does not appoint an arbitrator within two months of the receipt of the request, the other Party may so inform the Executive Secretary of the Economic Commission for Europe, who should designate the president of the arbitral tribunal within a further two-​month period. Upon designation, the president of the arbitral tribunal should request the Party which has not appointed an arbitrator to do so within two months. If it fails to do so within that period, the president should so inform the Executive Secretary of the Economic Commission for Europe, who should make this appointment within a further two-​month period. 5. The arbitral tribunal should render its decision in accordance with international law and the provisions of this Convention. 6. Any arbitral tribunal constituted under the provisions set out in this annex should draw up its own rules of procedure. 7. The decisions of the arbitral tribunal, both on procedure and on substance, should be taken by majority vote of its members. 8. The tribunal may take all appropriate measures to establish the facts. 9. The Parties to the dispute should facilitate the work of the arbitral tribunal and, in particular, using all means at their disposal, should: (a) Provide it with all relevant documents, facilities and information (b) Enable it, where necessary, to call witnesses or experts and receive their evidence. 10. The Parties and the arbitrators should protect the confidentiality of any information they receive in confidence during the proceedings of the arbitral tribunal. 11. The arbitral tribunal may, at the request of one of the Parties, recommend interim measures of protection. 12. If one of the Parties to the dispute does not appear before the arbitral tribunal or fails to defend its case, the other Party may request the tribunal to continue the proceedings and to render its final decision. Absence of a Party or failure of a Party to defend its case should not constitute a bar to the proceedings. 13. The arbitral tribunal may hear and determine counterclaims arising directly out of the subject-​matter of the dispute. 14. Unless the arbitral tribunal determines otherwise because of the particular circumstances of the case, the expenses of the tribunal, including the remuneration of its members, should be borne by the Parties to the dispute in equal shares. The tribunal should keep a record of all its expenses, and should furnish a final statement thereof to the Parties.

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15. Any Party to this Convention which has an interest of a legal nature in the subject-​ matter of the dispute, and which may be affected by a decision in the case, may intervene in the proceedings with the consent of the tribunal. 16. The arbitral tribunal should render its award within five months of the date on which it is established unless it finds it necessary to extend the time limit for a period which should not exceed five months. 17. The award of the arbitral tribunal should be accompanied by a statement of reasons. It should be final and binding upon all Parties to the dispute. The award will be transmitted by the arbitral tribunal to the Parties to the dispute and to the secretariat. The secretariat will forward the information received to all Parties to this Convention. 18. Any dispute that may arise between the Parties concerning the interpretation or execution of the award may be submitted by either Party to the arbitral tribunal which made the award or, if the latter cannot be seized thereof, to another tribunal constituted for this purpose in the same manner as the first.

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X NEGOTIATIONS FOR THE PROTECTION OF ATMOSPHERE AND CLIMATE

10.1  The State of Atmosphere and Climate One of the core elements for sustenance is air. The cleaner the air the better is our health and well-​being. However, the introduction of several anthropogenic substances in the air is posing a significant threat to the air quality and also to all living creatures. Air pollution may arise for countless reasons that are quite difficult to address in the present situation of a burgeoning population and economic growth. Mostly it is caused by the burning of fossil fuels used to run industries such as smelters, refineries, chemical plants, heating and cooling of homes, and varieties of automobiles. Aviation also poses a threat to the environment in terms of noise, and engine exhausts. Atmospheric pollution was conceived as a problem until 1960. People thought that technology would be able to contain it. But currently the extent of this problem has become so large that immediate mitigation and averting measures need to be embraced. If not, life on this planet might become impossible. Both mobile sources and stationary sources contribute towards air pollution even though natural sources cannot be denied. It usually takes a heavy toll on public health and results in thousands of early deaths annually. Increasing air pollution can be attributed to increasing population, expanding economy, booming industrialization, increasing urbanization, and transportation means. Over 80% of the urban population is exposed to atmospheric emissions that exceed the permissible limits set by the WHO. Air pollution in the form of excess CO2 and methane raises the temperature of the Earth causing climate change. Climate change also raises the level of allergens such as molds and pollens. Urban air pollution is mostly driven by vehicles and the internal combustion of engines. Interaction of NOx, VOCs with ground-​level ozone in the presence of sunlight gives rise to photochemical smog. It causes reduced visibility and irritation of the eyes, and respiratory passages. USA enacted The Clean Air Act that requires the U.S. EPA to establish standards for national air quality primarily for 6 pollutants: CO, NO2, O3, PM, Pb and SO2. The situation globally is grave. In 2008 an estimated 116 million people resided in countries with unhealthy air in respect to any or more of the aforementioned pollutants. Ground-​level ozone not only causes smog but reduces lung function, irritates eyes, damages vegetation, reduces forest cover, and others. Soot or particulate matter

DOI: 10.4324/9781003440574-12

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comprises of fine particles of chemicals, dust, allergens, either in a gaseous or solid state. The smaller the particles are the more dangerous they are. Based on dimension, they can reach the bronchi, lungs, and even the bloodstream. In the USA alone the fine PM (PM 2.5) from fuel might be responsible for premature annual deaths of 30 000 people and harmful effects on the cardiovascular system, dyspnea, asthma. The PM 2.5 levels in Beijing, Delhi, Mexico, and Jakarta are exceedingly high. Airborne lead is also a global concern, released from vehicular gasoline. Lead affects the brain and kidneys and also the children’s IO and learning ability. PAH from automobile exhaust is also linked to eye and lung irritation and even cancer. Benzene from gasoline causes eye, skin, and lung irritation in the short term and is also a potent carcinogen. Dioxin from incineration affects the liver, nervous system, endocrine system, immune system, and even reproductive functions. Dioxin belongs to a group of compounds called Persistent Organic Pollutants (POPs). As the name suggests, these are persistent in the environment. They cannot be significantly removed by chemical, photochemical, or biological processes. They are susceptible to long-​range transport by a phenomenon, called global distillation or grasshopper movement, both by air and water current. They become globally distributed to areas that are not engaged in production and consumption. They easily bioaccumulate and bioconcentrate through the food chain and some become biomagnified as they rise up the food chain. They not only affect humans but other wildlife as well. The impact is more pronounced in the Arctic regions. Most of them are chlorinated hydrocarbons such as DDT, PCBs, and PAHs. DDT, once used extensively as a pesticide, is an endocrine disruptor. Chemicals such as PBDE find use as flame retardants and PCB in electrical industries. Many of the POPs disrupt the reproductive and immune systems and cause diabetes, thyroid, and cancer. In the context of POPs with water pollution, these chemicals bioconcentrate and biomagnify in the aquatic food chain and food webs and finally enter humans. High concentrations are found in human milk and human tissues in those who have consumed these food sources. Even if many of these POPs’ production and use is banned, they are incessantly released from waste disposal sites and the sediments contained therein. The concentration of PBDE has exponentially risen by a factor of about 100 in human tissue with a doubling time of about five years as observed in North America, Japan, and Europe. In the United Kingdom, in 1853 and then in 1856 Smoke Abatement Acts were implemented that covered the whole of London. This was followed by The Public Health Act of 1875. The Public Health Act, 1936 provisions for legal norms and processes for tackling dust and effluents from any trade, business, or manufacturing activities. This Act also comprised several provisions linked to smoke nuisance. The Alkali Act, 1863 provisioned industry to employ the best practicable means to minimize any noxious discharge and demanded that industry be within the limits of discharge. As a result of the London smog, 1952, that practically paralyzed the city, a committee was constituted under Sir Hugh Beaver to review the causes and effects of air pollution along with efficient mitigation measures. Subsequently, The Clean Air Act was passed in 1956, amended in 1964, and 1968. The latest law for controlling pollution is The Control of Pollution Act, 1974 which forms a comprehensive policy for environmental protection. Smoke control legislation in the USA was quite effective in averting the severe smoke problems prevailing there. California was the first state to enforce specific pollution control laws in 1947 and set a precedent. The Clean Air Act, 1963 for air pollution control was followed by The Air Quality Act, 1967 which had set up a procedure to direct the states to have their own pollution control programs. A wide-​ranging and methodical approach to 202

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managing the environment and its issues as a whole has been achieved through the enactment of the National Environment Policy Act, 1969. This Act also declared a national policy for reinstating a balance between mankind and the environment. So that environmental values are considered while planning, a Council of Environmental Quality was set up under this Act. Dust pollution is very high in Indian cities. Kolkata’s automobile pollution is on a par with that of New York, Chicago, and London. India, particularly Delhi experiences extreme air pollution from October to February. Geographically, the Indo-​Gangetic plain is practically landlocked. The mighty Himalayas prevent the air from escaping to the North and thus create a ‘valley effect.’ The alluvial soil also dries up and adds up to wind-​blown dust. The primary reason is the burning of stubble and forests in the states of Haryana, Punjab, UP, and Rajasthan. Thick and toxic smog lasts for weeks. The WHO in its urban air database reported thatPM10 pollution in Delhi in 2011 was around ten times more at 198 µg/​m3. Delhi has taken some steps towards curbing air pollution such as odd-​even regulation, CNG vehicles, a complete ban on coal-​driven power plants, and suspension of construction activities in the peak polluting periods, and so forth. The Energy and Resources Institute (TERI) reported that at the national level in 2016 the share of PM2.5 is mostly from the industrial sectors (36%) and household combustion (39%). Transport adds 4% PM2.5 emission. Open combustion of agriculture residue adds 7%, and the power sector 4% of PM2.5 emission. The remaining was from other sectors. In terms of NOx, 35% was from transportation, and 22% from the power sector. SO2emission is dominated by industries and power. Hydrocarbons were mainly given out from biomass burning. The Health Effects Institute 2019 reported more than 1.1 million premature deaths in India in 2017. Approximately, 56% is due to outdoor PM2.5 exposure while 44% is from household air pollution. The TERI and Automotive Research Association of India (ARAI) in a recent study in 2018, on behalf of the Department of Heavy Industry, stated that PM10 emissions were much higher in summer than in winter which might be due to dry conditions and higher wind velocity. Air pollution is responsible for 1.8 million premature deaths and 49 million disability-​ adjusted life-​ years lost according to the Global Burden of Disease comparative risk assessment for 2015. The WHO’s Urban Air Quality Database 2016 shows India to have the top ten cities out of 20 cities with the highest PM2.5 levels. The World Bank in 2016 reported the air pollution cost in India to be nearly 8% of its GDP or 560 billion dollars in 2013. As per the State of Global Air 2020, in 2019 in India, prolonged exposure to household air pollution results in more than 1.67 million deaths every year from lung cancer, stroke, heart attacks, and neonatal diseases. Over 1.16 lakh infants died in their first month of the same year due to outdoor and household PM pollution. More than 50% is due to outdoor PM2.5 while others were due to the use of cooking fuel such as charcoal, wood, and animal dung. The country faces the highest pollution exposure per capita of around 83.2 µg/​m3. Nepal and Niger are second and third in line respectively. The GOI claims a decline in average pollution level over the last three years but high winter PM pollution prevails in the Indo-​Gangetic plains. The US-​based Health Effects Institute in the State of Global Air 2020 projects an annual 1.7 million deaths by 2030 and 3.6 million deaths by 2050. But with the COVID pandemic, the daily average AQI data came down to 306 in March–​April 2020 from 656 in March–​April 2019. The air quality of a given locality in India is exhibited on a numerical scale called AQI. Here eight pollutants are considered. They are PM2.5, PM10, SO2, NO2, CO, O3, NH3, and lead. The CPCB under MoEFCC monitors and furnishes the data on air quality on an hourly and daily basis which is then 203

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analyzed. Between 2015 and 2019, Ahmedabad has the highest AQI. The Table B X-​10.1-​1 below shows the state of average of daily AQI in the top five Indian cities from 2015–​2019 and also the AQI of the top five Indian cities in 2022. WHO 2016, states that 10 out of the 20 most populated cities are in India. Delhi, Mumbai, and Kolkata collectively hold 46 million people in 2016. Europe, North America, and Japan have much better air quality. This is mainly because of the efforts exerted on emission controls and decarbonization practiced for a century. Air quality also varies from place to place. A person in Delhi and London may have the same emission but situations in London would be better on average. The geographic location also plays a major role. While Delhi is practically landlocked, the UK is an island on the brim of a wet and very windy Atlantic Ocean. Moreover, it has stringent air quality control policies. Delhi is also affected by the wider NCR. The less we combust gasoline the more we reduce air pollution. So walking, bicycling, mass transits, electric cars are better choices of sustainable transportation. The GOI introduced various measures to reduce automobile and industrial emissions but lacks infrastructural facilities, inadequate financial resources, and space for shifting industries from urban centers. In 2018, India ranked 4th globally in terms of vehicle sales by volume. From 2018 April to 2019 March, the sales included two-​wheelers, three-​wheelers, passenger vehicles, and commercial vehicles. The total was nearly 26.3 million. Vehicular exhaust contributes around 40% of the PM2.5 pollution in Delhi. For a long time, indoor air pollution was ignored. Not only has outside air posed a great threat to health and the environment but so also has indoor air. Radon and environmental tobacco smoke (ETS) are especially troublesome. ETS is a proven carcinogen and a factor in cardiac disease. Thus, ETS double the health risk and results in as many as 30 000 to 60 000 annual deaths in the USA. In the USA as many as 3000 non-​smokers die each year of lung cancer. California ultimately banned smoking in all restaurants and bars. In addition, vinyl chloride, formaldehyde, asbestos, benzene, PM2.5, lead, CO, and molds are notorious indoor pollutants. Molds cause allergies and sinus infections. The levels of some indoor pollutants can be 2–​5 times more and sometimes even 100 times. SOX and NOX are not only respiratory and eye irritants, but they also cause acid rain. Emitted from a source they can be carried hundreds of miles to distant places crossing state and national borders. Acid rain harmfully affects aquatic ecosystems, forests, crop produce, buildings, and health. These pollutants also reduce visibility and cause respiratory problems. Emissions from brick kilns are another concern. Under the Clean Air Program, it became mandatory to install cleaner zig-​zag kiln designs in the NCR region that are approved by the SPCBs.

Table B X-​10.1-​1 AQI in few Indian cities Cities

Average of daily AQI [2015–​2019]

Cities

AQI (2022)

Ahmedabad Delhi Patna Gurugram Lucknow

484 267 252 234 224

Katihar (Bihar) Delhi Begusarai (Bihar) Faridabad (Haryana) Siwan (Bihar)

360 354 339 335 331

https://​earth.org/​dat​a_​vi​sual​izat​ion/​air-​pollut​ion-​in-​india/​ and www.ssca​dda.com/​list-​of-​most-​pollu​ ted-​ind​ian-​cit​ies-​2022-​in-​india/​

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Some chemicals and their emissions have more global consequences. The most well-​ known of them are the CFCs. CFCs are linked to stratospheric ozone layer depletion. Chemically these are quite stable and unreactive in the troposphere and hence can rise to reach the stratosphere. In the presence of UV radiation, they release free chlorine atoms. One chlorine atom can destroy around 1 lakh ozone molecules in a chain reaction. The depleted ozone layer is incapable of blocking UVB radiation from reaching the earth’s surface. UVB radiation has serious health impacts. In addition, CFCs are also one of the major GHGs contributing to climate change. In the eighties, the problem was much more acute over the South Pole and the North Pole. The US EPA projected a 5% increase in non-​malignant skin cancer and a 2% increase in melanoma for a 1% decline in stratospheric ozone. Nearly 9000 Americans die every year of melanoma. The immune system depresses causing the worsening of other minor infections. There is an increased incidence of cataracts and snow blindness. Increased UVB radiation also affects floral and faunal life and thus agricultural output. CFC’s effect on marine phytoplankton affects the oceanic food chain and the ocean’s capacity to regulate the climate. The Indian Constitution had no particular provision to handle the issue of air pollution. The Constitution was amended for the 42nd time in 1976 to incorporate two articles. Article 48A states the responsibility of the state to protect the environment and its entities. Article 51A(g) on the other hand states the fundamental duty of every Indian citizen to protect its natural environment. The Bombay Smoke Nuisance Act, 1912 was the oldest anti-​pollution law in India, amended by the Bombay Smoke Nuisance (Amendment) Act, 1956. The Gujarat Smoke Nuisance Act, 1984 had the authority to form a supervisory commission and excess smoke emission was considered an offense whereby the owner is liable to be fined. Air pollution is dealt with in Section 278 of the Indian Penal Code, 1860. It is applicable to trade activities generating obnoxious odors and substances such as the burning of bricks or lime in kilns. Both the Criminal Procedure Code 1898 and 1973 also contained provisions for abating nuisances caused by pollution. The same is the case with The Indian Factories Act 1948. The Motor Vehicles Act, of 1939 authorizes the State Government to make rules concerning smoke, visible gaseous vapor, spark, grift, or oil. The National Committee on Environmental Planning and Coordination (NCEPC) after reviewing the Industries (Development and Regulation) Act, 1951, recommended strict measures for industry for controlling pollution at source. At the same time, The Government was keen to implement some decisions of the UNCHE, 1972. Hence the Air (Prevention and Control Pollution) Bill, 1978 was introduced in 1978. As per this Bill, the Central Board for the Prevention and Control of Water Pollution and the State Boards form under the Water Act, 1974 should continue to function as the Central Board and State Boards to control air pollution as well. In 1981, The Air (Prevention and Control of Pollution) Act was enacted under Article 253 of the Indian Constitution.

Further Reading 1. Brunekreef, B., and Holgate, S. T. Air pollution and health. The lancet, 360(9341), 1233–​ 1242, 2002. 2. Mayer, H.Air pollution in cities. Atmospheric environment, 33(24–​25), 4029–​4037, 1999. 3. Kampa, M., and Castanas, E. Human health effects of air pollution. Environmental pollution, 151(2), 362–​367, 2008. 4. Landrigan, P. J. Air pollution and health. The Lancet Public Health, 2(1), e4–​e5, 2017.

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Negotiations for the Protection of Atmosphere and Climate 5. Cohen, A. J., Anderson, H. R., Ostro, B., Pandey, K. D., Krzyzanowski, M., Künzli, N., ...and Smith, K. R. Urban air pollution. Comparative quantification of health risks: global and regional burden of disease attributable to selected major risk factors, 2, 1353–​1433, 2004. 6. Ganguly, T., Selvaraj, K. L., and Guttikunda, S. K. National Clean Air Programme (NCAP) for Indian cities: review and outlook of clean air action plans. Atmospheric Environment: X, 100096, 2020. 7. Kumari, S. National Clean Air Programme: Critical Analysis. 8. Bhole, V. Air Pollution and National Clean Air Programme in India. LokLF;oatula [; k% ifjizs{;oaeqnñs, 72, 2020. 9. Brief, T. P. Measures to Control Air Pollution in Urban Centres of India: Policy and Institutional framework, 2018. 10. Han, X., and Naeher, L. P.A review of traffic-​related air pollution exposure assessment studies in the developing world. Environment international, 32(1), 106–​120, 2006. 11. Greenstone, M., and Hanna, R. Environmental regulations, air and water pollution, and infant mortality in India. American Economic Review, 104(10), 3038–​72, 2014. 12. Gulia, S., Nagendra, S. S., Khare, M., and Khanna, I. Urban air quality management-​A review. Atmospheric Pollution Research, 6(2), 286–​304, 2015. 13. Manisalidis, I., Stavropoulou, E., Stavropoulos, A., and Bezirtzoglou, E. Environmental and health impacts of air pollution: a review. Frontiers in public health, 8, 14, 2020. 14. Bell, R. G., Mathur, K., Narain, U., and Simpson, D. Clearing the air: How Delhi broke the logjam on air quality reforms. Environment: Science and Policy for Sustainable Development, 46(3), 22–​39, 2004.

10.2  Important Negotiations The atmosphere is a soup of gaseous chemicals, the collection of gases wrapping the earth as a blanket is constantly in movement and transformations. The climate is always varied and climate change is a complex issue. But understanding is imperative. There is growing evidence of man-​ induced climate change in terms of sharp spikes in levels of carbon dioxide, NOx, SOx, VOCs, particulate matter, smoke, soot, and others that jeopardize people, ecosystems, economies; both locally, regionally, and globally. Shifting weather patterns, irregular rainfall, and rising temperatures are all impacting us at an unprecedented scale. Air quality is worsening in most places so much so that our life is at a threat. Hence negotiations are crucial to tackling such issues of atmosphere and climate to seek the best possible solution. Successful atmospheric and climate change negotiation requires a solid understanding of preparation, relationships, interests, adaptability, and concessions. atmospheric and climate change negotiations are voluntary, informal with no prescribed rules; involve one or more Parties, informed with the latest scientific and technical reports along with socio-​economic information relevant to understand the risk of such human-​ induced changes. This section discusses the relevant treaties and agreements on air and climate change.

10.2.1  Convention on Long-​range Transboundary Air Pollution (CLRTAP), 1979, Geneva In the 1960s, there was a growing concern about air pollution, acid rain, and its impact, such as forest destruction, the decline in fish resources, damages to buildings, public health, and the like. Added emphasis was given on long-​range, probable impacts that placed the ecosystems of the Northern Hemisphere at life-​ threatening risks. People drew associations concerning releases in Europe and their impacts on the lakes of Scandinavian countries. To solve such a problem, thirty-​two countries of the Pan-​American region agreed to 206

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participate to decrease atmospheric pollution. In 1979, Geneva, a United Nations Economic Commission for Europe, agreed upon a ‘Convention on Long-​range Transboundary Air Pollution.’ The Convention was enforced in 1983 after being ratified by 16 Parties to restrict and progressively decrease and avert atmospheric contamination together with long-​range transboundary atmospheric pollution. The ‘Convention on long-​range transboundary air pollution’ institutes an extensive outline for supportive acts on such pollution. The fundamental principles of the Convention are underlined in Article 2, where the Parties are dogged and should exert to restrict and reduce atmospheric pollution, including long-​range transboundary air pollution to safeguard mankind and the environment. Article 3 allows the parties to commence by way of exchanging facts, discussion, investigation, and monitoring to develop guidelines and tactics to fight the emission of air pollutants as early as possible. Parties share information, review strategies, scientific, and technical activities to combat the release of air pollutants that contribute to atmospheric pollution, including long-​range transboundary air pollution. Article 5 seeks early consultation between the affected or potentially high-​risk countries and the nations that contribute to the release of long-​range transboundary atmospheric pollutants within its dominion. Under Article 6, the Parties also agreed on adopting sound management systems and mitigating measures for ensuring good air quality that is harmonious with sensible development employing the finest obtainable technology and also practicable economically. Article 7 calls for initiation and cooperation between the Parties into research and development regarding current and proposed technologies, surveillance and measuring devices, improved transmission models, impacts of sulfur compounds on mankind and nature, assessment of alternative measures, and the like. Parties are also encouraged to share information on emission data, meteorological and physico-​chemical data, changes in domestic and regional policies, and control technologies related to air pollution under Article 8. Adding, the Parties under Article 9, decided to take part in synchronizing actions under the ‘Co-​operative programme for the monitoring and evaluation of long-​range diffusion of air pollutants in Europe’ (EMEP). Article 10 calls for the constitution of the executive body with the representations from the contracting Parties. The executive body assigns different working groups and evaluates the enactment of the Convention on Long-​range Transboundary Air Pollution (CLRTAP). Article 11 allows the executive secretary of the UNECE to carry out the functions of the secretariat. The subsequent articles concern amendments, settlement of disagreements, requirements for signature, ratification, date of entry into force, conditions of withdrawal, and so forth. The programs under the aegis of this Convention primarily concentrated on decreasing the impacts of acid rain by controlling the discharge of sulfur. Afterward, the Convention’s scope was broadened to include and deal with the production of ground-​level ozone leading to smog and, more newly, the persistent organic pollutants (POPs). This Convention is supplemented by eight Protocols, of which six are already enforced after receiving the required number of ratifications. They are: 1. The 1984 ‘Geneva Protocol on Long-​term Financing of the Cooperative Programme for Monitoring and Evaluation of the Long-​range Transmission of Air Pollutants in Europe’ (EMEP)

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2. The 1985 ‘Helsinki Protocol on the Reduction of Sulfur Emissions or their Transboundary Fluxes’ by at least 30% 3. The 1988 ‘Sofia Protocol concerning the Control of Emissions of Nitrogen Oxides or their Transboundary Fluxes’ 4. The 1991 ‘Geneva Protocol concerning the Control of Emissions of Volatile Organic Compounds or their transboundary Fluxes’ 5. The 1994 ‘Oslo Protocol on Further Reduction of Sulfur Emissions’ 6. The 1998 ‘Aarhus Protocol on heavy metals.’ The residual two Protocols, together with the Protocol on Persistent Organic Pollutants (1984), are awaiting additional ratification before being enforced: 7. The 1998 ‘Aarhus Protocol on Persistent Organic Pollutants’ (POPs) 8. The 1999 ‘Gothenburg Protocol to Abate Acidification, Eutrophication, and Ground-​ level Ozone.’

10.2.1.1  The 1984 Geneva Protocol on Long-​term Financing of the Cooperative Programme for Monitoring and Evaluation of the Long-​range Transmission of Air Pollutants in Europe (EMEP) This is a policy determined program, founded on scientific principles as the Protocol to the Convention on Long-​range Transboundary Air Pollution (CLRTAP), which was enforced in 1988. Currently, there are thirty-​ four Parties to this Protocol from the Economic Commission for Europe (ECE) nations and the European Community. The Protocol was signed at the UN office in Geneva between 28 September and 5 October 1984 and subsequently at the UN headquarters at New York on 4 April 1985. It is a tool for global cost allocation of a program for monitoring, reviewing, and assessing the related European atmospheric pollution in the light of contracts on the reduction of emissions. The EMEP financing comprised of both mandatory contributions and supplemented with voluntary contributions in either convertible currency or non-​convertible currency. The Contracting Parties are required to make mandatory annual contributions under the annex provided (for details refer to Annexure B X –​10.2.1.1) to the current Protocol, which might be amended by the executive body as and when needed. The donations in cash are to be given to the General Trust Fund. The steering body of EMEP should draw out the annual budget. The three constituents of EMEP are: assembling emission data for SO2, NOx, VOCs, and others; measuring the atmospheric and rainfall quality; and modeling air dispersal. Right now, about 24 ECE nations having 100 monitoring stations are participating in the program.

10.2.1.2  The 1985 Helsinki Protocol to the 1979 Convention on Long-​ Range Transboundary Air Pollution on the Reduction of Sulfur Emissions or their Transboundary Fluxes by at least 30% This is a Protocol under CLRTAP whereupon a decrease of sulfur releases by a minimum of 30% is provided at the latest by 1993. The Protocol was implemented in 1987 and had 25 Parties to it. The reference for calculating the SO2 reduction is 1980, whereby the Parties to the Protocol should develop programs, guidelines, and tactics to decrease sulfur releases on a national scale. Parties will bring about national programs, policies, and strategies as a way 208

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of decreasing sulfur discharges. Additionally, a request was made to the Parties for studying the need for added diminutions beyond the limit referred to in Article 2, stated above. The Oslo Protocol on Further Reduction of Sulfur Emissions 1984 supplements the Protocol. Parties are required to submit their yearly national level of sulfur dioxide releases along with the methods of calculation to the executive body. The EMEP should have to submit the transboundary flux and deposits of sulfur compounds for every previous year to the executive body that lies within the geographical hold of EMEP with suitable models. Any amendments should have to be in the form of a written submission to the executive body of ECE, which, upon communication to the Parties, should be unanimously accepted. It would be put into force on the 19th day after acceptance of the change by 2/​3 of the Parties. It was released for signature on July 8, 1985, at Helsinki until 12 July 1985 by the member states of ECE in agreement with the 8th paragraph of the Economic and Social Council resolution 36(IV) dated 28 March 1947 and came into force on 2 September 1987. The Parties expressed their concern over the widespread damage in Europe and North America caused by air pollution discharges resulting in the acidification of the environment. Such releases are mainly from fossil fuel combustion, industrial, and transport sectors, and the main releases are SO2, NOx, and others. Sulfur release issues are also spoken of within the Protocol on Further Reduction of Sulfur Emissions and 1999 Gothenburg Protocol to Abate Acidification, Eutrophication and Ground-​level Ozone in 1994. (For details refer to https://​unece.org/​filead​min/​DAM/​ env/​docume​nts/​2012/​EB/​1985.Sulp​hur.e.pdf)

10.2.1.3  The 1988 Sofia Protocol concerning the Control of Emissions of Nitrogen Oxides or their Transboundary Fluxes The Protocol was adopted on 31 October 1988 and enforced on 14 Feb 1991. It has 35 Parties to it. This Protocol require the Parties to firstly regulate or decrease or freeze nitrogen oxides discharges and their transboundary fluctuations by 31 December 1994. All the Parties have accepted 1987 as the year of reference. The USA is the exception that has chosen to recount its emissions target year as 1978. Out of 35 Parties, nineteen countries have got hold of the objective and have evened out emissions as per the reference year. Within two years of the enactment of the Protocol, the Parties are required to apply their national emission standards to important static as well as new mobile sources based on the best available technologies (BAT). They are required to further ensure measures for reducing the NO2 releases and transboundary fluxes within six months of the Protocol implementation. Parties are required to establish their critical loads and also their decrease of NO2 and their transboundary fluctuations in agreeing with the objectives based on critical loads. Moreover, the Parties need to announce pollution abatement methods for the principal prevailing immobile sources. The Parties also need to employ emissions standards nationally to all the important fresh static and movable sources, established on the finest accessible technologies, which are also economically possible. The Protocol was revised in 1996 to deal with the technical addition of controlling technologies for discharges of NO2 from off-​road automobiles and equipment, vessels, and airplanes. Efforts should be made to make availability of unleaded petrol, especially across the important international transportation roads, to boost automobiles furnished with catalytic converters. The NO2 discharges are also talked about under the Gothenburg Protocol to Abate Acidification, Eutrophication, and Ground-​level Ozone, 1999. A review 209

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process should be taking place within one year of Protocol enforcement. The quantitative impacts on living organisms, humans, and the abiotic environment should be identified, and sensitive areas should be determined. Exchange of information is promoted along with an annual report of the achieved progress. (For details refer to https://​treat​ies.un.org/​doc/​Treat​ ies/​2013/​03/​20130​301%2003-​53%20PM/​CN.155.2013-​Eng.pdf)

10.2.1.4  The 1991 Geneva Protocol concerning the Control of Emissions of Volatile Organic Compounds or their Transboundary Fluxes The Protocol was approved on 18 November 1991, in Geneva (Switzerland) and concerned the regulation of volatile organic compound emissions or their transboundary fluctuations. It targets the decrease of volatile organic compounds (VOCs), an important air pollutant accountable for the production of ground-​level ozone. It was implemented on 29 September 1997 with 23 signatories and 24 Parties. Article 2 provides for the individual Parties moving towards controlling and reducing their national, yearly releases of VOCs in any of the following ways: i.

Achieving a 30% cut in emissions by 1999 as early as possible, usually with 1988 as the base level or choosing a year between 1984 and 1990, as a basis concerning volatile organic compounds (VOCs), which the Party needs to mention with their signature. ii. In case the yearly releases lead to ground-​level ozone formation in the regions covered under the dominion of one or more Parties, and such releases form only from the regions under its authority that were mentioned as Tropospheric Ozone Management Area (TOMAs) in Annex I, the Party should immediately take steps to: • Achieve a 30% annual cut in emissions by 1999 with 1988 as a base year. In case any year between 1984 and 1990 is chosen, that is to be specified along with the signature. • Guaranteeing that overall national emission of VOCs by 1999 does not surpass 1988 levels. iii. Lastly, in cases where annual releases of volatile organic compounds in 1988 were less than 5 lakh tonnes and 20 kg/​resident and five tonnes/​square kilometer, the Parties may choose for stabilizing that emission level by 1999, the VOCs emission should not surpass 1988 levels. Each Party, within two years from the date of enforcement, should be applying suitable national and international standards for VOCs releases to both fresh static and mobile sources based on economic feasibility, BAT as per Annex II and Annex III respectively. Such measures should also be applied to some solvent-​containing products, and Parties should be promoting such products that are either free from or contain a low number of VOCs. Each Party, within five years from the date of enforcement, should be applying economically reasonable BAT to prevailing static sources in major source categories as per Annex II. They are also to apply ways for reducing VOC discharges from petrol distributions, motor vehicle refilling processes, the volatility of petrol as per Annex II and Annex III. Parties should participate in the establishment of comprehensive information on respective volatile organic compounds, their photochemical ozone creation potentials (POCP) values, and their critical level for photochemical oxidants. Their cooperation should 210

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develop strategies to measure the yearly national releases or transboundary fluctuations of the volatile organic compounds along with the secondary photochemical oxidant products formed. The Parties should institute control strategies for obtaining cost-​effectiveness and a time frame and steps to achieve such reductions. Top priority was given to research and monitoring in Article 5. The Parties are to identify and quantify the biogenic and anthropogenic impacts of VOC discharges and also identify the geographical position of such delicate areas. Emphasis should be given on the determination of possible steps for reducing methane. Article 6 holds that the Parties should have a regular appraisal of the current Protocol in tune with the best scientific and technological development. Article 8 provides for the Parties to exchange information and submit an annual progress report. The Protocol was amended in 1996 concerning Annex III which is associated with control methods for VOC emissions from off-​road automobiles and machinery, vessels, and airplanes. VOC releases are also addressed under the Gothenburg Protocol to Abate Acidification, Eutrophication, and Ground-​level Ozone, 1999. (For details refer to https://​ treat​ies.un.org/​doc/​Treat​ies/​1991/​02/​19910​214%2005-​04%20PM/​Ch_​XXVI​I_​01​_​cp.pdf)

10.2.1.5  The 1994 Oslo Protocol on Further Reduction of Sulfur Emissions This Protocol was built on the Helsinki Protocol 1985. This Protocol provides emission ceilings until 2020 and beyond. Parties are thereby needed to ensure effectual steps for reducing the emission of sulfur, lessen the sulfur content in fuels, use renewable energy, and avail themselves of the BAT. (For details refer to https://​treat​ies.un.org/​doc/​Treat​ies/​1994/​ 06/​19940​614%2004-​27%20PM/​Ch_​XXVI​I_​01​_​ep.pdf)

10.2.1.6  The 1998 Aarhus Protocol on Heavy Metals The text to this Protocol on heavy metals was opened for signature in Aarhus (Denmark) between 24 June and 25 June 1998, and at UN HQ, New York until 21 December 1998 and enforced in 2003. The Protocol has 35 signatories and 33 Parties, with not even one country signing it since 1998. Refer to Table B X-​10.2.1-​1 for their status. The agreement aims to regulate the releases of cadmium, lead, and mercury through man-​made activities that are such as to affect human health and the environment. (For details refer to http://​ extw​prle​gs1.fao.org/​docs/​pdf/​cyp87​140.pdf) It aims at three specifically dangerous metals: cadmium, lead, and mercury resulting from man-​made activities as well as resulting in their transboundary transportations for environmental and health safety. According to one of the fundamental responsibilities, Parties are committed to decreasing their annual releases for these three heavy metals as compared to their base level releases mentioned in Annex I, namely, lower than their 1990 levels or an alternative year between 1985 and 1995. The Parties are to use the BAT for application in each new and existing static source and limit values to individual new static sources and limit values to individual current static sources, respectively. It underlines rigorous standards for limiting the releases from immobile sources and recommends the best available techniques (BAT) for immobile sources, for instance, distinct filters or scrubbers for incineration sources or processes that are free from mercury. Any of the Party possessing a land with an area of more than six million square km should get an exemption from the 211

Negotiations for the Protection of Atmosphere and Climate Table B X-​10.2.1-​1 Status of the Two 1998 Protocols to CLRTAP Protocol

Signatories

Parties

Aarhus Protocol on POPs, 1998 as amended on 18 December 2009 (UNECE)

36 as of 29 November 2006

28 as of 29 November 2006 ( put into force on 2003. In 2009 Parties adopted decisions to update guidance on BAT to regulate emissions of POPs in annex V and turn parts of it into a guidance document, as enclosed in annex VII. Annex I and II entered into force in 2023. Annex I, II, III, IV, VI, and VII entered into force in 2022.

Protocol on Heavy metals, 1998 as amended in December 2012

35

33 (yet not enforced except Annex III in 2014) Switzerland and the USA declared its wish not to be bounded by the procedures set out in Article 13.5 regarding the amendment of Annex II, IV, V, and VI

Table B X-​10.2.1-​2 The 1998 Aarhus Protocol to the 1979 CLRTAP shows 14 listed POPs by the ad hoc Preparatory Working Group along with 4 borderline substances with an asterisk for consideration Pesticides

Industrial chemicals

Unintentional by-​products

Aldrin, chlordane, DDT, Dieldrin, Endrin, Hexachlorobenzene, Mirex, Toxaphene Chlordecone*, Lindane*, Heptachlor*

Hexabromophhhenyl, PCB, Short-​chain chlorinated Paraffins*

Dioxin, Furan, PAHs

above obligations if the Party can reduce its total yearly releases of each heavy metal by a minimum of 50% within eight years of enforcement as compared to its reference level stated in the Annex I list. In keeping with consistency with the rules, regulations, and practice, the Parties should engage in the sharing of technologies and information that has the intent of reducing emissions of heavy metals. The Protocol encourages research and development, monitoring, and participation towards achieving the aim. Periodic reports carrying information on the measures undertaken by the Parties for implementing the Protocol were required to be submitted to the executive body. Parties should be maintaining emissions inventory for the heavy metals. It is for the EMEP to provide for the calculations of transboundary fluxes and heavy metal deposition before every yearly session. The Protocol intends to cut down the discharges from industries (such as the iron and steel industry, non-​ferrous metallic industries), incineration practices (power production, road conveyance), and waste incineration. The Protocol calls for phasing out the use of leaded petrol. Further, it announces methods to reduce heavy metal releases from additional goods, such as mercury from the battery and recommends the institution of management steps for other mercury containing products, the implementation of constituents (such as thermostats, switches), evaluating devices (thermometers, manometers, barometers), fluorescent lamps, dental amalgam, insecticides, and varnishes. 212

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In 2012, the Parties decided to amend the Protocol to contain additional rigorous control measures for reducing heavy metal releases and to announce resilience to ease the consent of new Parties, chiefly the Eastern European, South-​Eastern European, the Caucasian, and Central Asian nations. Further, they also approved the resolution for updating of assistance on BAT, as underlined in Annex III. The modification to Annex III was enforced on 9 January 2014. According to Article 13 of the Protocol, the annexes other than III and VII necessitate 2/​3 of the Parties for ratification, and hence these amendments have yet not been enforced. In 2013, the Minamata Convention on Mercury was approved underneath the umbrella of the United Nations Environment Programme (UNEP). The making of the 1998 Protocol on Heavy Metals, the Minamata Convention, has elevated the mercury profile to the international level.

10.2.1.7  The 1998 Aarhus Protocol on Persistent Organic Pollutants (POPs) The Protocol on Persistent Organic Pollutants (POPs) was accepted in Aarhus (Denmark) from 24 to 25 June 1998 and subsequently at UN Headquarters until 21 December 1998. It emphasizes the control, minimization, and prevention of discharge and release of 16 listed chemicals that have been identified as POPs based on threat measures. These organic compounds, known as POPs, are highly toxic, persistent in the environment, have the property of bioaccumulating, such as to be carried away and deposited at long distances across national boundaries where they can significantly affect the health and environment. These 16 substances include 11 pesticides, 2 industrial chemicals, and 3 byproducts/​contaminants. The final goal is to prevent any releases, discharges, and loss of persistent organic pollutants to decrease their transboundary fluctuations for the fortification of public health and environmental impacts. By May 2013, the Protocol received ratification from 31 states along with European Union. The Protocol stands out as an administrative covenant, not requiring the approval of the senate but requiring a law to resolve any discrepancy between the Protocol provision and prevalent US legislations. The Contracting Parties are to formulate the finest guidelines and approaches counting atmospheric quality management systems and regulatory actions employing the BAT in an economically reasonable, low and non-​ waste technology, transfer of information, discussion, research, and observation. Article 3 defined the basic obligations whereby the Parties were obliged to exclude the manufacture and usage of materials enlisted in Annex I except specific exceptions as per Article 4. Substances should be destroyed and disposed of. In case the substances are moved across boundaries, then it should be done in an environmentally sound way as per the guidelines of the Basel Convention. Annex II comprises of the substances whose use is to be under restriction. Annex III listed substances are required to be reduced in their emissions with the help of appropriate effective measures from the emission level of the reference year set in harmony with that annex. Parties are required towards the application of the BAT to each new and existing static source as stated in Annex V within a major source category and limit values of each as stated in Annex IV and also an effective measure for controlling releases from the mobile sources considering Annex VII within the specified time frame given in Annex VI. Parties should also be developing and maintaining emission inventories for the Annex II listed substances. (For details refer to https://​treat​ies.un.org/​doc/​Treat​ies/​ 1998/​06/​19980​624%2004-​19%20PM/​Ch_​XXVI​I_​01​_​gp.pdf) 213

Negotiations for the Protection of Atmosphere and Climate Table B X-​10.2.1-​3  Substances enlisted in the annexes of the 1998 Aarhus Protocol to the 1979 CLRTAP Annex I programmed for eradication (production and use

Annex II programmed for restricted usage

Annex III scheduled for emission reduction

Aldrin, chlordane, Chlordecone, DDT, Dieldrin, Endrin, Heptachlor, Hexabromobiphenyl, Hexachlorobenzene, Mirex, PCB, Toxaphene

DDT, HCH, PCB

PAH, Dioxins/​furans, Hexachlorobenzenes

Article 4 states the cases of exemption. Regarding a specific substance, exemptions can be given without undermining the objectives of the Protocol. Such exemptions are available for research purposes provided no significant amount of the substances possibly reach the environment; or in the management of public health emergency where no appropriate alternative steps exist. Parties that are granted with exemption should be obligated to submit to the secretariat the chemical names of the substances under the subject of exemption, the reason for their use, the circumstances under which exemptions have been given, the time length of the exemption period, and the agency to whom the exception is to be applied. The Protocol has seven annexes of which the first three comprises a list of substances. Annex I lists the substances scheduled for elimination, Annex II lists the substances scheduled for restrictions on use, and Annex III lists the substances mentioned in Article 3 and their reference year for obligation. Refer to Table B X-​10.2.1-​3 for the substances included in the respective Annex list. The Protocol directly forbids the manufacture and use of a few chemicals such as aldrin, chlordane, chlordecone, dieldrin, endrin, hexabromobiphenyl, mirex, and toxaphene. Dichlorodiphenyltrichloroethane (DDT), heptachlor, polychlorinated biphenyls (PCBs), hexachlorobenzene are programmed to be eliminated in a later phase. The Protocol provides for the handling of product wastes that will be excluded. It also seeks the Parties to decrease their releases of dioxins, furans, polycyclic aromatic hydrocarbons (PAHs), and hexachlorobenzene (HCB) below the 1990 levels (or an alternative year between 1985 and 1995). It also announces specific standards and maximum levels for emissions from the incineration of municipal, hazardous, and medical waste. In 2001, the Stockholm Convention on Persistent Organic Pollutants was embraced. This was an accord that was discussed within the scope of the United Nations Environment Programme (UNEP). Resting on the Aarhus Protocol, 1988, the Stockholm Convention of 2001 was adopted which elevated the concern of POPs internationally. In 2009, the Parties to the Protocol on Persistent Organic Pollutants approved the modification of the Protocol to include seven novel chemicals: hexachlorobutadiene, octabromodiphenyl ether, pentachlorobenzene, pentabromodiphenyl ether, perfluorooctane sulfonates, polychlorinated naphthalenes, and short-​chain chlorinated paraffin. A revised requirement for DDT, heptachlor, hexachlorobenzene, and PCBs was also taken along with emission limit values (ELVs) for waste incineration. The Parties also announced flexibilities in terms of timeframes and solicitation of ELV and BAT for the countries in EIT to facilitate their ratification. Supplementary to, along with the opinion to expedite the ratification of the Stockholm Convention on Persistent Organic Pollutants by States with Economies in Transition (EIT), the member countries announced elasticity for the EIT nations about the time frames for the employment of emission limit values (ELVs) and best available technologies (BAT). 214

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Lastly, the Parties implemented resolutions for the updating of assistance on BAT, to regulate releases of Persistent Organic Pollutants, in Annex V and shaped the fragments of it into a help document, as limited in Annex VII. The modifications made to Annex V and Annex VII were enforced for a maximum number of the Parties on 13 December 2010. In connection with Article 14, the enforcement of the modifications to the Protocol text and its Annexes I, II, III, IV, VI, and VIII necessitates two-​thirds of the Parties to ratify and are thus yet to be enforced.

10.2.1.8  The 1999 Gothenburg Protocol to Abate acidification, Eutrophication, and Ground-​level Ozone Determining to implement CLRTAP and with an awareness of NOX, sulfur, VOC, and reduced nitrogen as the culprits having harmful effects on wellbeing and the environment, the Protocol was presented for signature at Gothenburg (Sweden) on 30 November and 1 December and finally at the UN Headquarters in New York until 30 May. The goal was to decrease the releases of sulfur, NOx, ammonia, and VOCs by human activities that are likely to bring about harmful impacts on public health, ecosystems, crops by initiating acidification, eutrophication, and ground-​level ozone as a consequence of the long-​distance aerial transport across national boundaries. The Protocol ensures that these compounds should not surpass the critical loads of acidity, nutrient nitrogen, and ozone, as stated in the Annex I list for the Parties within the geographic jurisdiction of EMEP. In the case of Canada, the critical levels of ozone are the ones in the Canada-​wide standard and for the USA, and the same is as per the National Ambient Air Quality Standard. Parties having an emission ceiling, as given in Annex II, are required to decrease and maintain their yearly emissions as per the ceiling and time mentioned in the annex. Parties are required to put into use the limit values to every novel and prevailing stationary source, as mentioned in Annex IV, V, and VI within the time frames given in Annex VI, respectively. Parties are required to put to use the limit values to every novel mobile source, as mentioned in Annex VIII within the time frames given in Annex VI. Parties are also to ensure suitable steps for reducing the release of VOC release connected with product use not mentioned in Annex VI and VIII, and to apply ammonia control measures. Canada, and the USA, are to submit their reduction pledges to be automatically incorporated in Annex II after their ratification. The Protocol has provisions for the sharing of information and technologies intended for accomplishing the goals. Periodic reporting by each Party and the review of information by Parties are also provisioned for. Annexes form an essential component of the Protocol, and amendments could be proposed in writing. (For details refer to https://​treat​ies.un.org/​doc/​ Treat​ies/​1999/​11/​19991​130%2004-​16%20PM/​Ch_​XXVI​I_​01​_​hp.pdf) The reduction measures under the 1979 CLRTAP attained major success with a marked decline in the emissions of, especially sulfur. In many European regions, the acidification of lakes is decreasing, fish stocks are recovering, and soil acidification is on the verge of ending. The control costs for atmospheric pollution are certainly lesser than the cost of impairment to human wellbeing and the surroundings. A 2011 assessment predicts that with the ratification of the 2012 revised Gothenburg Protocol, SO2 is expected to go down by 40–​50% and ammonia by 17% between 2005 and 2020. A synergy between policies at all levels and across all sectors can identify more cost-​effective measures. Since 1990, in Europe, the desulfurization of flue gas and the use of low sulfurated fuel resulted in an overall reduction of sulfur emissions of 80%. The use of catalytic converters in vehicles 215

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also reduced emissions. There is an increase in the employment of clean technologies in industries and the transport sector and hence a decline in the costs of applying them. PM emissions were also reduced by 50% between 2000 and 2012. The number of days with higher O3 concentrations above WHO guidelines is almost 20% lower than that of 1990. The PM2.5 average yearly concentrations dropped by 33% in the USA and 4% in Canada between 2000 and 2012. The USA achieved a 69% drop in the emissions of CO, Pb, NOx, VOCs, PM, and SO2 after enforcing the Clean Air Act despite an overshot in the GDP, energy consumption, and population. Canada experienced almost the same.

10.2.1.9  The Indian Context India is not a Party to the CLRTAP but has domestic measures to control such pollution. Cross-​border issues of pollution are critical. It is a problem amongst almost all countries. India has already enacted the Air Act 1981 and the Environmental Protection Act 1986 to prevent and control all types of air pollution. Pollutants such as NOx, SOx, and VOCs released from automobiles and industries travel long distances to create hazardous impacts. Such compounds in the presence of sunlight give rise to harmful tropospheric ozone having adverse effects on health and vegetation. Looking towards controlling air pollution, the Government of India has taken several steps such as the notification of the National Ambient Air Quality Standards (NAAQS), industry and area-​specific emission and effluent standards, Air Quality Index (AQI), promotion of the use of cleaner fuels, upgrading of vehicular emission standards such as Bharat Stage: IV (BS-​IV) and BS-​VI, Pollution Under Control (PUC) certificate, forbidding biomass burning, establish a monitoring network of the ambient air, installing incessant on-​line monitoring in the industrial clusters, prohibiting the bursting of sound-​producing crackers between 10 pm and 6 am, and the like. The National Air Quality Monitoring Programme (NAMP) is a country-​wide program introduced by the CPCB for the monitoring of pollutants. It aims to find out the status and trends in ambient air quality. The NAMP finds out the non-​attainment cities. It gathers knowledge and comprehension about prevention and mitigation measures along with the natural cleansing process that goes on in the environment. The operation comprises of 793 monitoring stations in 344 cities and towns in 29 States and 6 Union Territories. Primarily it monitors SO2, NO2, PM10, and PM2.5 regularly. Wind speed and direction, temperature, and relative humidity are also measured. 4-​hour sampling for gaseous pollutants and 8-​hour sampling for the PM is done twice a week to get 104 observations/​year. The surveillance is done by the CPCB and the National Environmental Engineering Research Institute (NEERI), SPCBs, and the PCCs. It is worth mentioning that the Central Pollution Control Board has 134 continuous ambient air quality monitoring stations (CAAQMS) spread across 71 important cities in 17 States. Observations reveal New Delhi, Kolkata, Mumbai, and Hyderabad to have high PM2.5 levels while Chennai has the lowest. The NAAQS refers to optimum air quality regarding a different identified pollutant that is notified under the Air Act, 1981. Hence it is indicative of the necessary limit that should be maintained to protect health, plantation, and property. It allows a uniform yardstick for evaluating the quality of air at national level and signifies the scope of the surveillance program needed. The MoEFCC in 2015 introduced the Air Quality Index (AQI) in 14 cities that act as an instrument to depict the real-​time air quality daily simply and understandably for the commoners as ‘one number–​one color–​one description.’ It now spreads over 71 cities in 17 states. The levels of eight pollutants (PM10, PM2.5, NO2, SO2, CO, O3, NH3, and Pb) 216

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are characterized in this AQI. They are graded as good (0–​50), satisfactory (51–​100), moderately polluted (101–​200), poor (201–​300), very poor (301–​400), and severe (401–​500) concerning the NAAQS. The government planned to extend the scheme to 20 state capitals and over 46 million cities in the coming years. Recently the government has launched a mid-​term, five-​year action plan, the National Clean Air Program in 2019 that provides a roadmap to avert and mitigate air pollution through a long-​term, time-​bound, nation level approach. It started with a fund of INR 300 crores for the first two years in close cooperation and partnership between the central ministries, state governments, and local bodies. It was founded on the country’s commitment to combat climate change. It is integrated with five national missions. They are the National Solar Mission, the National Mission for Enhanced Energy Efficiency, the National Mission for Sustainable Habitat, the National Mission for a Green India, and the National Mission for Sustainable Agriculture. The PM concentration remains a great concern. The NCAP aims to reduce 20–​30% of the PM2.5 and PM10 concentrations by the year 2024 as compared to the levels of 2017. The program also aims at 122 non-​attainment cities as per the report of the CPCB. The National Clean Air Program needs a more stringent surveillance and implementation mechanism for the power plants to meet their emission standards. It is reported that only Delhi and Mumbai address the power plant emissions directly. The Waste Management Rules, 2016 and 2019 also mostly remain unimplemented. The Central Pollution Control Board has also declared wide-​ranging instructions under Section 18 of the Air Act to implement 42 measures to reduce pollution in important cities including Delhi and NCR. The measures are chiefly related to vehicular pollution, road dust, biomass combustion, construction demolition works, and industrial pollution. Under the direction of the Supreme Court, the Environment Pollution (Prevention and Control) Authority (EPCA) was also formed under the EPA, 1986. Especially for Delhi and NCR, the government issued a notification for a graded response action plan. Industries are hubs for air pollution. The Central Pollution Control Board, to tackle industrial emissions and to generate awareness, developed the Comprehensive Environmental Pollution Index to characterize the environmental quality of a given industrial cluster. 88 major industrial clusters were identified in 2009. 43 out of them were labeled as Critically Polluted Areas (CPA) with a CEPI score of 70 and more. 32 were severely polluted areas (SPAs) with CEPI scores between 60 and 70. Later, the CEPI concept was revised. The CPCB had instructed the SPCBs and PCCs to take stern measures against the industries as per the revised CEPI. The ministry prepared specific emission standards for 63 industries.10 emission standards (diesel and LPG/​CNG gensets; petrol and LPG/​CNG gensets; dedicated LPG/​CNG gensets; industrial boiler, SO2 and NO2 standards for glass, limekilns, reheating furnaces, foundries, ceramic industries, airport noise) have been evolved. Six emission standards (thermal power, sugar, man-​made fibers, fertilizer, cement, brick kilns) have been revised. The MoEFCC introduced a new form of color categorization of the industries based on the Pollution Index/​PI (ranging from 0 to 100) which is a function of air pollutants, water pollutants, hazardous wastes production, and consumption of resources. Red Category industries have a Pollution Index (PI) of 60 and above, orange category industries between 41 and 59, green category industries between 21 and 40 while white category industries are up to 20. (Refer to https://​cpcb.nic.in/​uplo​ads/​Late​st_​F​inal​_​Dir​ecti​ ons.pdf for details of industries)The CPCB has instructed 17 categories of industries falling under the highly polluted category, to make necessary arrangements for Online Continuous Emission/​Effluent Monitoring System (OCEMS). Out of 3531 industries, only 2745 have 217

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the necessary installations. The CPCB issued closure directions for the remaining 740 non-​ complying industries. Industrial sectors such as thermal power, transportation, and cooking contribute more GHGs and affect the quality of air around us. Hence attempts were made to replace coal with less polluting fossil fuels, improving the coal criteria by coal washing, briquetting, and promoting more use of renewable resources. Under the Ministry of Power, the National Mission for Electricity Mobility (NMEM)has been launched to speed up the introduction of efficient eco-​friendly hybrid and electric vehicles. Studies reveal that nearly 82% of GHG emission is reduced over electric vehicle (EV) lifetimes. Others such as CO reduced by 99%, NOxby 81%, VOCs by 96%, SOx by 45%, and PM by 36%. The Faster Adoption and Manufacturing of Hybrid and Electric Vehicles (FAME India) scheme was declared in the Union Budget 2015–​16 that will drive for early acceptance and market creation for both hybrid vehicles and EVs in India. The National Mission for Electricity Mobility (NMEM) in 2018 announced the government’s vision in promoting e-​mobility by giving impetus to the vehicular manufacturer, charging infrastructure companies, fleet operators, service providers, and the like. The Energy Efficiency Service Limited (EESL) will build up the demand by acquiring the EV in bulk. The government is also keen on developing charging infrastructure and policy frameworks to assure over 30% of EV vehicles by 2030. The Indian government invested 1000 crores in 2015 with the target of decreasing the CO2 emission by 1.2 to 1.5 % by 2020. The burning of paddy straw on large scale in UP, Punjab, and Haryana adds to the problems of air pollution. Around 23 million tonnes of paddy straw are burnt in these three states. This is more common in combined harvest fields because the left-​behind stubble is not used as fodder due to its high silica content. The practice is continued to sow rabi crops. Farmers prefer burning because it is cheaper, burning destroys soil-​borne pests and diseases. Whereas environmentally sustainable management of paddy crop residue becomes an incremental cost for the farmers. Stubble burning spikes the GHG emission by 70%, CO by 7%, and NO2by 2.1%. The study showed that combusting 1 tonne of paddy releases 3 Kg PM, 60 Kg CO, 1460 Kg CO2, 199 Kg ash, and 2 Kg SO2, all of which affect our health and well-​being. 1 tonne of paddy straw comprises of 5.5 Kg nitrogen, 2.3 Kg phosphorus pentoxide, 25 Kg dipotassium oxide, 1.2 Kg sulfur, and so forth. The available paddy straw management options are bio-​char, pellets/​briquettes for thermal power plants, ethanol production, and the like. The government approved a central sector scheme on the ‘Promotion of Agricultural Mechanization for In-​Situ Management of Crop Residue’ in the three states of Punjab, Haryana, UP along with NCT of Delhi from 2018–​19 to 2019–​20 with a total allocation of INR 1151.80 crores. INR 575.18 crores have already been released for 2018–​ 2019. The Ministry of Agriculture had finalized the National Policy for Management of Crop Residues (NPMCR), 2014 that foresaw the acceptance of technical steps and lent financial assistance for ex-​situ options for crop residue management such as making Prali-​ char, biochar, pellets, briquettes, bio-​CNG, and bioethanol for various uses. The government also promotes the cultivation, production, and utilization of biofuels as a substitute for petrol and diesel in automobiles. The government has been lagging behind in achieving the official target of 5% ethanol and biodiesel blend in petrol and diesel for quite some time. The present blending proportion is around 2% for petrol and less than 0.5% for diesel. The government in the National Biofuel Policy, 2018 also agreed to use a 20% bioethanol and biodiesel blend by 2017 but this largely remains unimplemented. Such a practice will cut down oil imports and save foreign currency. Nagpur city has launched

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ethanol-​driven buses under the ‘Green Bus’ project. The GAIL has also implemented the Green Corridor Project to promote the accessibility of CNG beyond the city so that clean fuel can be used even for long journeys. The pilot project of the Ministry of Petroleum and Natural Gas (MoPNG) aimed at the introduction of CNG usage in two-​wheelers using CNG-​retrofitted two-​wheelers. Further, the ministry has established an INR 1000 crores Hydrogen Corpus Fund. The five major oil companies and the Oil Industry Development Board (OIDB) have contributed towards this fund to assist research and development in hydrogen that has the potential to be used as a future transport fuel. Most of the Indian cities run on motorized personal transportation. Two-​wheelers and cars represent 48% and 44% of the transportation modes used. The National Urban Transport Policy, 2006 emphasizes the usage of public transport that would run on clean fuel and clean technology. This would make the transportation network sustainable, multi-​modal, and people-​centric, and also situation-​specific in particular cities. Depending on their suitability, the cities have adopted either Mass Rapid Transit Systems (MRTS) or Light Rail Transit Systems (LRTS), or Bus Rapid Transit Systems (BRTS). Currently, 14 mass rapid transit systems and 8 bus rapid transit systems are in operation. The combustion of biomass is another reason for air pollution. They range from fuelwood to agricultural residues to animal wastes. Nearly 87% of rural and 26% of urban households still use biomass for cooking. The government emphasizes clean and efficient cooking stoves to control emissions and associated health hazards. The Ministry of New and Renewable Energy (MNRE) launched the National Biomass Cookstoves Programme (NBCP) to achieve the above objectives and to reduce the extent of indoor pollution. Apart from individual biomass cooking stoves, similar improved biomass cooking stoves were also introduced in many community undertakings such as in the midday meal schemes of schools in the states of Andhra Pradesh, Chhattisgarh, UP, Maharashtra, Madhya Pradesh, Haryana, and so forth. With positive achievements, the government launched the Unnat Chullah Abhiyan with INR 131 crores investment in the budget 2015–​16. The government is committed to reaching a 175 GW green energy target by the year 2022. This includes 100 GW from solar power, 60 GW from wind, 10 GW from biomass, and 5 GW from the SHPs. It is thus imperative that India change its present energy mix. reduce its reliance on fossil fuels and leap towards the use of renewable energy sources. Geographically, India is quite well placed in terms of wind, solar, and SHP. Yet it accounts for only 12.14% of the total installed power capacity. Our renewable energy potential is 249 188 MW as per the Renewable Energy Status Report, 2014. This implies that only 12.71% of potential is achieved. Out of all, wind power is 65% of the total renewable energy produced. The Electricity Act 2003 suggested compulsory renewable purchase specifications for all states to meet the electricity requirement from renewable energy sources. Likewise, the State Electricity Regulatory Commission also specified a compulsory purchase obligation for buying a definite proportion of energy from renewable sources. Both the center and the state have announced various policies and incentives to attract the use of both on-​grid and off-​grid technology. The Government made a move from carbon subsidization to carbon taxation to promote renewable energy. The coal cess has been increased from 100 INR/​tonne to 200 INR/​ tonne. This cess is collected as National Clean Energy Fund that is disbursed for renewable energy-​based projects. The government revised the fuel quality standards as well as vehicular emission standards. It skipped the BSV and leaped from BSIV (2017) to BSVI from 2020. The government also

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announced the Ujjawala scheme to boost the LPG generation program. It emphasized electrification to minimize kerosene consumption. It launched the energy efficiency labeling programs for energy-​intensive household appliances and notified fresh stringent standards for diesel generator sets. Science, technology, innovation, and engineering are always very helpful for achieving SDGs. Novel technologies, especially the indigenous ones will suit the Indian scenario concerning long and short-​term ecological impacts, socio-​economic backdrop, etc., and have tremendous potential in mitigating atmospheric issues and improving human lives. Apart from monitoring, inspection, innovation, air pollution can be effectively controlled by the pollutant absorption capacity of the plants. Developing vegetation filter strips and Biodiversity Parks can enhance the environmental quality. The vegetation filter strips grown on both sides of the roads and intersecting junctions can filter the air from point source pollution while biodiversity parks clean the air from non-​point source pollution. Much of this efficiency depends on the stratification of the plant community, species types, leaf size, canopy, plant morphology, and surface area. Hundred-​meter long vegetation filter strips stretch with 5 to 12-​meter width having three-​storied community and 8 to 12-​meter canopy height is much effective as a dust trap, capturing PAHs, recharging groundwater, and so forth. It can also prevent flooding and convert the cities to climate-​resilient. The National Mission for Green India is a part of NAPCC that aims not only to safeguard and restore forest cover but also to enhance it. An initial fund of INR 6000 crores has been announced through the Compensatory Afforestation Management and Planning Authority (CAMPA) to begin the program. The program would also be scaled up to make up for pollution hot spots and degraded forest land.

10.2.2  The Vienna Convention for the Protection of the Ozone Layer, 1985 Global attention towards the risk from chlorofluorocarbons (CFCs) concerning stratospheric ozone depletion was first raised in the seventies. Experts stated that the release of these molecules in the air might deplete the ozone layer in the stratosphere that, in turn, allowed UV rays to enter the Earth. In the atmosphere, the amount of ozone is balanced by the formation and breakdown of ozone in the stratosphere. Refer to Figure B X-​10.2.2-​1 to see how ozone is spontaneously formed by the action of ultraviolet radiation on molecular oxygen and similarly breaks down into molecular oxygen. An increased incidence of UV radiation would harmfully affect the marine ecosystems, crop yield, animals, and humans through the high probability of melanoma, cataracts, weak immunity, etc., as shown in Figure B X-​10.2.2-​2. Such a grave concern was discussed in the UNEP Governing Council meeting in 1976, and in 1977 they convened a conference that approved a ‘World Plan of Action on the Ozone Layer.’ They also created a Coordinating Committee of Ozone Layer (CCOL) to direct any future actions and evaluation of ozone. Further, the negotiation was established in 1981 by the Governing Council of UNEP. The Vienna Convention for the Protection of the Ozone Layer was accepted in 1985 and enforced on 22 Sep 1988. In 2009, the Convention was the first of its kind to succeed worldwide ratification of 197 nations. The objectives of this Agreement require the Parties to encourage co-​operation by way of methodical monitoring, research, and reciprocation of information on the impacts of anthropogenic actions on the stratospheric ozone layer. The Convention also aims to embrace statutory or executive methods against those actions 220

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Figure B X-​10.2.2-​1 Reactions of the ozone molecules formation and breakdown in the stratosphere.

that are expected to have antagonistic effects on the ozone layer. It acts as a backbone for the global exertions to the protection of the ozone layer. But it does not comprise lawfully binding reduction targets for the usage of CFCs, the prime chemical agent instigating ozone reduction. (For details refer to Annexure B X –​10.2.2) According to Article 2, the Parties should be taking suitable steps to safeguard human health and the environment against all harmful impacts resulting or expected to arise out from anthropological actions that alter or are expected to alter the ozone layer. The Parties should cooperate by all means starting from systematic observations, research, exchange of information to taking legal and administrative measures, formulating agreed measures, standards for implementation and collaborating with competent international organization. The intended measures should be in tune with the requirements of this Convention as well as in tune with the Protocols in implementation to which they are Party. Article 3 requires initiation and participation in the research and scientific evaluation into the physical and chemical means for ozone layer damage, impacts on biological systems including mankind, any alterations in climatic phenomena, alternatives to CFC, social and economic concerns, etc. Article 4 calls for cooperation of the Parties in the information exchange related to legal, socio-​economic, scientific, and technical fields, under their national legislation and regulations. Special attention is to be given to the requirements of the emerging countries in the field of knowledge and technology transfer. As per Article 5 the Parties are required to convey the information about any steps taken for the implementation of the Convention to the COP through the Secretariat. Article 6 provides for the formation of the Conference of Parties to continuously review the implementation along with additional responsibilities including dissemination of information, bringing amendments, establishing subsidiary bodies, and so forth. The first meeting of the COP is to be arranged by the Secretariat. Article 7 provides for the establishment of 221

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Figure B X-​10.2.2-​2 UV B impacts on the atmospheric layers.

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the Secretariat that should be arranging for service meetings, preparing reports based on received facts, presenting the reports to the COPs, and undertaking relevant coordination with other international bodies. Article 8 states details about the adoption of Protocols by the COP at a meet and such a draft to be discussed with the Parties six months before the meeting. Articles 9 and 10 entails any amendments, their proposal, and approval criteria. Article 11 seeks to settle any disagreements between the Parties related to the Convention. Article 12 to 15 deals with signature, ratification, and accession details. Article 15 speaks about the Parties’ right to vote. The Agreement also outlines its affiliation with other conventions and its Protocols in Article 16. Article 17 gives direction for its implementation. Article 18 addresses reservations while Article 19 about the conditions of withdrawing from the Convention. Article 20 States UN Secretary-​General to be the Depository to this Convention and Protocols wherein the original texts in various languages are to be deposited as mentioned in Article 21. The Vienna Convention provided a general framework for the tools to safeguard the ozone layer enveloping the planet. The Vienna Convention didn’t involve nations taking rock-​solid activities to regulate ozone-​depleting substances. As an alternative, the States of the world, in agreement with the provisions of the Convention, decided on the ‘Montreal Protocol on Substances that Deplete the Ozone Layer’ under this Convention to tramp forward to achieve its goal. The Parties to the Vienna Convention assemble once every 3 years, back to back with the Parties to the Montreal Protocol, so that they can agree to decisions intended to govern the Convention.

10.2.2.1  The Montreal Protocol on Substances that Deplete the Ozone Layer, 1987 The Montreal Protocol is a modus operandi to the Vienna Convention for the Protection of the Ozone Layer (VCPOL), accepted on 22 March 1985 and perhaps the most successful global initiative until now. The Montreal Protocol was opened for signature in Montreal on 16 September 1987, and from 17 January 1988 until 16 January 1988 in Ottawa and thereafter in New York from 17 January 1988 and 15 September 1988 (Art 15) and came into force on 1 January 1989 (Art 16). The enforcement required 11 instruments of ratification representing 2/​3rd of the world’s consumption of controlled substances in 1986. The Protocol was ratified by all the Member Countries of the United Nations. Article 1 of the Protocol defines ‘controlled substance’ as a substance enlisted in Annex A, either prevailing on its own or in combination with Montreal Protocol. ‘Production’ referred to the quantity of controlled substances produced with the quantity destroyed deducted from production by approved technologies. ‘Consumption’ referred to the quantity of production with added imports and deducted exports of the controlled substances. ‘Calculated levels’ meant the levels of production, consumption, export, import determined under Article 3. ‘Industrial rationalization’ meant transference of calculated level of production, partly or wholly, to one Party or another, to achieve economic efficacy and to respond to predicted shortfall in supplies as a consequence of the closure of plants. UN Headquarters New York, Article 2: Every Party should have to warranty for one year starting from the 1st day of the 37th month after the enforcement of the Montreal Protocol, that their respective calculated levels of consumption of controlled substances that are mentioned in Group I of Annex A, do not surpass their respective calculated level of consumption in 1986. Every 223

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Party in the production of one/​more of these substances should have to warranty that their calculated levels of production of these substances do not surpass their respective calculated level of production in 1986 with the exception that such level might be raised by a maximum of 10% based on 1986 levels. Such a rise would only be allowed to fulfil the basic national requirements of the Parties to Montreal Protocol (MP) under Article 5. Every Party should have to warranty for one year period starting from the 1st day of the 37th month after the enforcement of the Montreal Protocol, that their respective calculated levels of consumption of controlled substances enlisted in Group II of Annex A do not surpass their respective calculated level of consumption in 1986. Every Party in the production of one/​more of these substances should have to warranty that their calculated levels of production of these substances do not surpass their respective calculated level of production in 1986 with the exception that such level might be raised by a maximum of 10% based on 1986 levels. Such a rise would only be allowed to fulfil the basic national requirements of the Parties to Montreal Protocol (MP) under Article 5 and for industrial justification between the Parties. Between 1 July 1993 and 30 June 1994 and every 12 months subsequently, for each Party, the calculated level of consumption of controlled substances enlisted in Group I of Annex A need not surpass, yearly, 80% of their calculated levels of consumption in 1986. Every Party in the production of one/​more of these substances during this time should have to warranty that their calculated levels of production of these substances do not surpass, yearly, 80% of their respective calculated level of production in 1986 with the exception that such level might be raised by a maximum of 10% of the calculated level of production in 1986. Such a rise would only be allowed to satisfy basic domestic requirements of the Parties to MP under Article 5 and for industrial rationalization between the Parties. Between 1 July 1998 and 30 June 1999 and every 12 months subsequently, for each Party, the calculated level of consumption of controlled substances enlisted in Group I of Annex A need not surpass, yearly, 50% of their calculated levels of consumption in 1986. Every Party in the production of one/​more of these substances during this time should have to warranty that their calculated levels of production of these substances do not surpass, yearly, 50% of their respective calculated level of production in 1986 with the exception that such level might be raised by a maximum of 15% of the calculated level of production in 1986. Such a rise would only be allowed to fulfill the basic national requirements of the Parties to MP under Article 5 and for industrial validation between the Parties. For any Party, if the calculated level of production of controlled substances in 1986 was below 25-​kilo tonnes, then the Party might by transfer or receive the surplus production from any other Party, provided the total collective calculated level of production of the concerned Parties does not cross the production limit stated in this Article, duly notified to the Secretariat. If any Party possesses a production facility for a controlled substance in the construction stage or was under the contract before 16 September 1987 and provided for in national legislation before 1 January 1987, the Parties might be allowed to add the production from those facilities to the 1986 addition of such substance to determine the Party’s calculated level of production for 1986 only if those facilities were finished by 31 December 1990 and such production do not increase the annual calculated level of consumption of controlled substances of the Party beyond 0.5 kg/​person. Parties operating under regional economic integration should be fulfilling their pledges jointly to be within the limit stated in this Article. 224

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Based on the assessment stated in Article 6, the Parties might decide on substances for their addition or removal from any of the Annexes to the Montreal Protocol (MP) and any adjustments to ozone depleting potentials as mentioned in Annex A is to be made or not. They might decide on the mechanism, possibility, and timing of the regulatory steps that should be applied to the substances. Article 3: The calculated levels of production for Annex A substances could be determined by multiplying the Party’s yearly production of a particular controlled substance by their ozone-​depleting potential as specified in the list; thereafter addition of the resulting figures for each such Group. Imports and exports were calculated individually by a similar method. Consumption is calculated by the addition of calculated levels of production and import minus its calculated level of exports, as determined above. Since 1 January 1993, no export of controlled substances to the non-​Parties would be deducted in such calculation. Article 4: Within one year of enforcement of the Montreal Protocol (MP), each Party should have prohibited the importation of controlled substances from any of the States that are non-​Party to this Montreal Protocol (MP). Within three years of enforcement of the Montreal Protocol, Parties should be elaborating in an annex, a list of products comprising controlled substances, according to the procedures in Article 10. Parties that did not object to the annex should prohibit any import of such products from non-​Parties within one year of the annex becoming operative. Article 5: For any developing nation’s Party, if the yearly, calculated level of consumption of controlled substances was below 0.3 kg/​person of the date of enforcement of MP or any time afterward within ten years of the enforcement of the MP, then for meeting its domestic needs, might adjourn its acquiescence as stated in Article 2 , by a period of 10 years. The Parties would commence for the promotion of entree to eco-​friendly alternatives along with technological support for developing countries Parties. Parties might begin bilateral or multilateral initiatives of grants, credits, and insurance programs for developing nation Parties. Article 6: Starting from 1990, the Parties should be evaluating the control measures given in Article 2 every four years alternately on the available scientific, environmental, economic, fiscal, and technical information. Article 7: Within three months of becoming a Party, each and every Party should be provided with data on its productions, imports, and exports of every controlled substance for 1986 to the Secretariat and they were also to give information annually on production, import, and export to both Parties and non-​Parties. Under Article 8, the parties should consider and endorse procedures and institutional mechanisms for determining non-​compliance as per the provisions of MP. Article 9: In keeping with the needs of the developing nations, the Parties should be promoting the finest technology available for improvement of the containment, retrieval, recycling, or destruction of a controlled substance and probable substitutes to the controlled substances. Article 10: The Parties should be participating in the promotion of technical help and implementation of the Montreal Protocol, keeping in mind the requirements of the developing nations. The parties in cooperation and in tune with their respective national legislation promote research, development and information exchange either by themselves or through international agencies and keep in mind the requirements of the developing countries. 225

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Article 11: Regular meetings should be held with the secretariat to convene the first meeting. Apart from ordinary meetings, extraordinary meetings should also be held as and when necessary. UN special agencies, such as IAEA and any other national, global, government, or NGO competent in the arena associated with the safeguarding of the ozone layer, could participate as an observer. (For details refer to Annexure B X –​ 10.2.2.1) Along with Paul Crutzen, F. Sherwood Rowland and Mario Molina were bestowed the Nobel Prize for Chemistry in 1995 for their research, which was first published in Nature in 1974. They opined that the CFCs in the presence of sunlight break down to release chlorine and chlorine monoxide atoms capable of destroying a huge number of ozone molecules in the stratosphere. It triggered a federal inquiry into the issue in the United States of America, and the National Academy of Sciences agreed to their conclusions in 1976. Hundreds of anthropogenic CFC molecules are ozone-​depleting. In 1978, CFC-​based aerosols were barred in the US, Norway, Sweden, and Canada. More authentication of their research became exposed in 1985 with the finding of a ‘hole’ in the ozone layer above the Antarctic by the British Antarctic Survey (BAS) led by Shanklin, Farmer, and Gardiner, and their subsequent publication in Nature. Shortly before the appearance of these findings, representatives from twenty-​eight nations came across to deliberate on the issues at the Vienna Convention for the Protection of the Ozone Layer. The assembly sought global teamwork in research concerning ozone-​depleting chemicals (ODCs) and authorized the United Nations Environment Programme (UNEP) to lay the footing for the Montreal Protocol. The Montreal Protocol was premeditated to decrease the production and consumption of ODS to decrease their copiousness in the air, thus protecting the earth’s delicate ozone sheet. The early arrangement was aimed to decrease the manufacture and use of numerous forms of CFCs and halons to eighty percent of 1986 levels to be achieved by the year 1994 and fifty percent of 1986 levels by the year 1999. The Montreal Protocol was effective in 1989. Subsequently, the arrangement has been modified for added reduction and complete phasing out of CFCs and halons, and the production and consumption of carbon tetrachloride (CCl4), trichloroethane or methyl chloroform (C2H3Cl3), hydrofluorocarbons (HFCs), hydrochlorofluorocarbons (HCFCs), hydrobromofluorocarbons (HBFCs), methyl bromide, and additional ODSs. Numerous succeeding gatherings of the signatories were organized to track the general development towards this objective and to sanction novel modifications to the procedure of ODSs phase-​out. Significant enough to be noticed that the phase-​out plans for developed and developing nations are different. Emerging countries are allowed a grace period to comply because they are inadequate technically and financially to replace the ODS with substitutes. The use of halon officially ended by 1994, and so do CFCs, HBFCs, CCl4, and methyl chloroform by 1996, methyl bromide by 2005, and HCFC by 2030 in the case of developed nations. The case of developing nations is a little different. They stop using CFCs, halons, CCl4, and methyl chloroform by 2010, methyl bromide by 2015, and HCFC by 2040. The Protocol comprises a provision for a distinctive alteration that allows the Parties to the Protocol to react swiftly to novel facts on science and decide to hasten the cut-​off on the substances already protected by the Montreal Protocol. These alterations are then spontaneously validated in all nations that have ratified the Montreal Protocol. Since its primary implementation, the Montreal Protocol has been amended several times. 226

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The Montreal Protocol is one of the first international agreements on the environment that included trade sanctions to reach the specified objectives of a treaty. It also proposes important enticements for non-​signatory countries for promoting their signature in the Protocol. The sanctions were justified by the mediators of the treaty on the ground that the ozone layer depletion being an environmental issue got addressed at an international level quite effectively. Further, in the absence of trade sanctions, there would be economic incentives for the non-​signatory nations for increasing manufacture, fetching damage to the competitive attitude of the industries in the signatory countries, and also reducing the hunt for CFC alternatives that are less deteriorating. 10.2.2.1.1  SUMMARY OF MONTREAL PROTOCOL CONTROL MEASURES; THE MILESTONES

A remarkable characteristic of MP lies in provisioning for adjustments. This enables the Parties to MP for a quick response to novel scientific information in an attempt to increase the cutbacks necessary on the substances that are covered by the MP previously. The adjustments thereafter are inevitably valid for all nations that have given their ratification to MP. A grace time is given to the developing nations for complying with the phasing out resolutions; the developing nations are also recipients of the Multilateral Fund for facilitating acquiescence with the provisions of the MP. The 2nd (27 to 20 June 1990, London), 4th (23 to 25 November 1992, Copenhagen), 7th (5 to 7 December 1995, Vienna), 9th (15 to 17 September 1997, Montreal), 11th (29 November to 3 December 1999, Beijing and 19th (17 to 21 September 2007, Montreal) Meetings of the Parties to the Montreal Protocol has approved the modifications to the MP. They were enforced on the expiry of the 6 months from the date of circulation of the declaration by the Depository, i.e., 7 March 1991, 23 September 1993, 5 August 1996, 4 June 1998, 28 July 2000, and 14 May 2008 respectively. Montreal Protocol (MP) approved 5 amendments that are in tune with the procedures set in Article 9.4 of the Vienna Convention. They are: The ‘London Amendment’ (1990): Essentially called for phasing out the manufacture and usage of the damaging ozone-​depleting chemicals by the year 2000 for the developed nations, whereas extending it to 2010 for the developing nations. - For developed countries, 20% of 1989 levels of the production and consumption of CFCs 13, 111, 112, 211, 212, 213, 214, 215, 216, 217 to be phased out by 1993, then 85% by 1997 with a full phase-​out by 2000. - Phasing out of Halons 1211, 1301, and 2402, of the 1986 levels were fixed at 50% by the year 1995, followed by the total phase-​out by the year 2000. - The 1989 carbon tetrachloride levels were planned to be phased out by 85% by the year 1995 and then completely by the year 2000. - For methyl chloroform, the phase-​out in developed nations was targeted in 2005, while for developing nations, the same was in 2015. The ‘Copenhagen Amendment’ (1992): With new evidence showing the increased rate of stratospheric ozone depletion, 1992 was a landmark that directed new ways of handling halocarbon compounds in a declining CFC world. It called for accelerated phasing out of 227

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the ODCs in the case of developed nations. It also marked the fourth Meeting of the Parties to MP, where decisions regarding adjustment and amendment to MP have been taken. - The developed Party signatories pledged for freezing the production and consumption of CFCs at 1986 levels leading to a complete phase-​out of CFCs, CCl4, and methyl chloroform by the year 1996. - Methyl bromide and HCFCs became controlled substances. The reduction scheme of HCFC was agreed upon for the virtual phase-​out by 2020 and a complete phase-​out by 2030. - Methyl bromide was capped at 1991 levels. Further, there were calls for steps against HBFCs. - The Multilateral Fund for 1993 to 1996 was decided. - It required thorough investigation by the Technology and Economy Assessment Panel about the use of halons, recycling and recovery, utilization of methyl bromide, and looking for its substitutes and also HCFC use. - Ten year grace period was allowed for the developing Parties’ nations with consumption of less than 0.3 tons per capita for the five CFCs such as CFC 11, CFC 12, CFC 113, CFC 114, and CFC 115. The ‘Montreal Amendment’ (1997): Parties agreed to a new licensing system for the import and export of ozone-​depleting chemicals along with tightening the existing control schedules. - A decision was taken for banning methyl bromide trading with the non-​Parties to Copenhagen Amendment. Parties are required to prohibit the import of controlled substances in Annex E (methyl bromide) from non-​Party to the Protocol within 1 year of its enforcement, and Parties should also be prohibiting the export of the same after 1 year of commencement of its enforcement. - Parties are required to ban the exportation of used, recycled, or reclaimed amounts of the substance excluding for destruction if the Party fails to oblige Article 4A of the MP to stop production of the substance for domestic consumption even after taking all practically possible steps. - parties are to make the establishment and implementation of a licensing system for the import and export of new, used, recycled, reclaimed controlled substances in Annex A, Annex B, Annex C, and Annex E within 3 months of enforcement of this Article or 1 January 2000 whichever is the later. - However, those parties that operated under Article 5 and agreed not to be in a position to implement the same for Annex C and E could delay such actions until 1 January 2005 or 2002, respectively. The ‘Beijing Amendment’ (1999): relates to the decisions leading to bromochloromethane control along with further control of HCFCs. - The calculated level of production of the controlled substances given in Group, I of Annex C list for each of the parties that produces one/​more substances, for each year and thereafter starting from 1 January 2004 should not be exceeding the average of the

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-

- - -

subtotal of its calculated level of consumption of Group I Annex C substance in 1989 and 2.8% of the calculated levels of consumption of controlled substances in 1989 in Group I Annex A. The calculated level of production of the controlled substances given in Group, I of Annex C list for each of the parties that produces one/​more substances, for each year and thereafter starting from 1 January 2004 should not be exceeding the average of the subtotal of its calculated level of production of Group I Annex C substance in 1989 and 2.8% of the calculated levels of production of controlled substances in 1989 in Group I Annex A. Parties should be ensuring that for 12 month period starting on 1 January 2002, and yearly thereafter, the calculated level of consumption and production of bromochloromethane do not surpass zero, i.e., 2004. A discussion was held related to approval regarding the multilateral fund replenishment for the 2000–​2002 trienniums with the help of US 440 million dollars. Each of the Parties to provide statistical data on the yearly amount of Annex E substance used for quarantine and pre-​shipment applications.

The ‘Montreal Amendment’ (2007): HFCs were transitional replacements of the CFCs with an ozone depleting potential (ODP) between 0.01 to 0.5 and a GWP between 78 and 2270, which is low compared to that of CFCs. - Keeping in mind that HCFCs are both ODCs and powerful greenhouse gases and also to restore the earth’s climatic condition, the amendment calls for accelerating the schedule for phasing out the HFCs. - Developing nation Parties approved 2015 as the time for starting the reduction of the consumption and production of HCFCs with a complete phase-​out by 2030. - The reduction in consumption and production of HCFCs for developed nations started in 2004 and 2010, respectively, with a complete phase-​out targeted by 2020. The ‘Kigali Amendment’ (2016): The earlier 4 amendments (London, Copenhagen, Montreal, and Beijing) commenced only for the Parties ratifying the specific amendments on 10 August 1992, 14 June 1884, 10 November 1991, and 25 February 2002 respectively. But the Kigali amendment should commence for those Parties that had ratified the modification by 1 January 2019. - The Kigali Amendment to the Montreal Protocol was another international pledge to arrest climate change. In Kigali, delegates worked day and night tirelessly negotiating and reaching a contract on the schedule that would oblige the States toward phasing down the manufacture and use of hydrofluorocarbons (HFCs). - After 7 years of incessant discussions, the Parties to Montreal Protocol hit a ground-​ breaking legitimate mandatory covenant to decrease the releases of dominant GHGs in a direction that might check up to 0.5 degrees Celsius of global warming by the close of this century, while enduring to defend the ozone layer. - HFCs are synthetic substances, primarily used in air-​conditioners, refrigerators, and foam insulators. Apart from this, HFCs are effective GHGs that are thousands of times more powerful than CO2 in causing climate change.

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- It was observed and stated by the 2015 Africa Adaptation Gap Report that even for a lower than 2OC global warming, the agronomy sector will be struck by up to a 40% decline in yields. This should result in a 25 to 90% rise in the prevalence of undernourishment. Almost half of Africa’s population should be at risk of malnutrition, not to mention massive monetary losses. It is known that the agricultural sector engages up to sixty-​four percent of labor with a contribution of up to 34 percent to GDP on average. - The final contract assorted the world economies into 3 clusters, each given a target phasedown date. The wealthiest nations, such as the United States and the States of the European Union, will decrease the manufacture and use of HFCs since 2019. Largely, theremainder of the world, counting China, Brazil, and entire Africa, should restrict the usage of HFCs by 2024. A minor assembly of the planet’s hottest countries such as Bahrain, India, Iran, Iraq, Kuwait, Oman, Pakistan, Qatar, Saudi Arabia, and the United Arab Emirates enjoy the lightest deadline and should stop HFC usage by 2028. In a nutshell, ninety-​ six ODCs were targeted that found application in thousands of applications in more than two forty industrial divisions. A summary of the timeline for control measures for important ODCs under the Montreal Protocol is given in Table B X-​ 10.2.2-​1. Since the Kigali amendment in 2016, the MP became additionally accountable for mandatory and progressive phasing out obligations for eighteen HFCs. The MP is regarded as the most successful of all environmental agreements with regular reviewing of the timeline that is subjected to changes in tune with technological advancement and understanding of science. Both the Vienna Convention and the Montreal Protocol are among the first to accomplish universal ratification. Collectively they have succeeded in creating an ozone protection regime based on scientific knowledge and, therefore, a foundation for the right policies. The synchronous effort worldwide is expected to bring results in the way of ozone recovery by the middle of this century. Approximately 98% of the ODCs were being phased out in terms of manufacturing and use. Around 2 million cases of skin cancer could be stopped by the year 2030. The efforts initiated under these two agreements have also avoided the damaging effects on cultivation, forests, plants, animals, marine, and other ecosystems. They have also contributed to the mitigation of 135 billion tons of CO2e emissions of GHG in the air.

10.2.2.2  The Indian Context Following ratification, India was a Party to Vienna Convention from 18 March 1991 and subsequently to the Montreal Protocol from 19 June 1992. By 2003, India has agreed to all the revisions of the MP. Concerning the prevention of ozone layer depletion, the GOI has given the responsibility to the MoEFCC. In this regard, the Ministry created an Empowered Steering Committee (ESC) that is accountable for implementing the obligations of the Montreal Protocol, conducting appraisals of the different policies, approving projects, and surveillance. Also, the ESC is assisted by standing committees –​the Technology and Finance Standing Committee (TFSC) and the Standing Committee on Monitoring. The TFSC reviews the proposals after approval of the ESC and then submits them to the Implementing Agency to be forwarded to the Multilateral Fund Executive Committee. The Chairman of the CPCB leads the Standard Monitoring Committee. The Committee collects data and analyzes it in terms of yearly manufacture, importation, exportation, etc. The MoEFCC has 230

Negotiations for the Protection of Atmosphere and Climate Table B X-10.2.2-1 Summary of the control measures for important ODCs under the Montreal Protocol

1 2 3 4 5

6 7

8 9

Index a b c d e f g

Ozone-​depleting chemicals

Phase-​out plan for developed nations

Phase-​out plan for developing nations

Chlorofluorocarbons Halons Carbon tetrachloride Methyl chloroform Hydrochlorofluorocarbons

End of 1995a End of 1993 End of 1995a End of 1995a Freezing from the beginning of 1996b

End of 2010 End of 2010 End of 2010 End of 2015 Freezing since 2013 at a base level calculated as the average of consumption levels of 2009 and 2010 Decrease of 10% by 2015 Decrease of 35% by 2020 Decrease of 67.5% by 2025 Total phase-​out by 2030d End of 1995 Freezing in 2002 at average 1996–​1998 base levele Decrease of 20% by 2005

Decrease of 30% by 2004 Decrease of 75% by 2010 Decrease of 90% by 2015 Total phase-​out by 2020c Hydrobromofluorocarbons End of 1995 Methyl bromide Freezing in 1995 at 1991 base levels Decrease of 25% by 2004 Decrease of 50% by 2010 Decrease of 70% by 2015 End of 2005 End of 2015 Bromochloromethane End of 2002 End of 2002 Hydrofluorocarbons Decrease of 10% by 2019 Freezing in 2024g Decrease of 30% by 2024 Decrease of 10% by 2035 Decrease of 70% by 2029 Decrease of 30% by 2010 Decrease of 80% by 2034 Decrease of 50% by 2040 Decrease of 85% by 2036 Decrease of 80% by 2045 Except for a small number of chemicals crucial to human health, laboratory and analytical methods agreed upon internationally Based on the consumption of HCFC in 1989 with an extra allowance equal to 2.8% of 1989 CFC consumption. Up to 0.6%, base-​level consumption may be used from 2020 till 2030 for the tuning of existing refrigerators and air conditioning equipment Up to 2.5% base level consumption may be used till 2040 for the tuning of existing equipment, subject to review in 2025. All reductions comprise an exclusion for pre-​shipment and quarantine usage Some EIT countries made a delayed start to the phasing down of HFC but shall be catching up with the developed nation’s commitment by 2029 Some of the developing nations made a late start to the phasing down of HFC, commencing their freezing in 2028 instead of 2024 and, thereafter, completing an 85% reduction by 2047.

also established an Ozone Cell as a National Ozone Unit (NOU) for effective and timely enforcement of the commitments under the Montreal Protocol. The Ozone Cell, situated at the India Habitat Center, New Delhi, is the coordinating point with the industries and helps the various committees. Enterprises submit project proposals for the grant of multilateral funds that are subject to approval by the Multilateral Fund Executive Committee. 231

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India consented to the MP with its London Amendment and implemented it in 1992 but has not agreed to the Copenhagen Agreements. India also laid out a detailed Country Program in 1993, approved by the Executive Meeting. Industries, governmental departments, research facilities, and other institutions actively participated and drew the Action Plan. The activities included project investments, the spread of information, small sector-​ based studies, enticements, ecolabelling, legal obligations, limitations, etc. The Program underwent further revision in 2006 for phasing out the ODS in harmony with the National Industrial Development Strategy through availing the money from the financial instrument of the Montreal Protocol. Based on the MOP at Geneva in 1995, India announced a licensing system in 1996. India stopped trading with the non-​Parties. It directed the companies that are the recipients of the phase-​out grants to submit information on ODC use and accomplishment of the phase-​out plan. India also developed commodity codes that harmonize with the international system. India also enforced licensing under the supervision of the Ozone Cell and the Directorate General for Foreign Trade (DGFT). The designs for production, consumption, and trading are consistent with the provisions of MP, related to ODC import and export, whereby the total exporting for non-​Article 5 nations should be marked as ‘New Product CFCs.’ An export license based on the calendar year was issued for a regulated amount of CFC 11/​ CFC 12 on request regarding the ceiling fixed by the Montreal Protocol. The system of import permits covers all the ODC under Annex A, Annex B, and Group I of Annex C of the MP. India passed the Ozone Depleting Substances (Regulation and Control Rules, 2000 under the Environmental Protection Act 1986. The Rules prohibit any person from producing ODC after the mentioned date in Column 5 of Schedule V without proper registration with authority. All exports and imports are banned from the countries non-​specified in Schedule VI. Following the implementation of these Rules, export and import are only permitted under license. No unauthorized person or enterprise could stock and sell or purchase any ODS after the given date specified in the respective Schedules. India was quite proactive in the phase-​ out of CFC production and consumption. Exceptions were there for the usage of Metered Dose Inhalers (MDI) for asthma and COPD patients since 2008. India manufactured and exported millions of MDI annually containing CFC. Even that was phased out in 2012 December. India was also able to phase out the carbon tetrachloride (CTC) and halons production and consumption on 1 January 2010. The Ozone Cell is also working on the phasing-​out program for HCFC production and consumption at a fast-​tracked pace. The Ozone Cell is instrumental in enforcing a fast-​tracked phase-​out of CFC production, a carbon tetrachloride (CTC) phase-​out plan nationally, the national plan for shifting to non-​CFC MDIs and other pharmaceuticals, Stage I HCFC phase-​out plan for the foam manufacturing sector, systems house, refrigeration, and air conditioning servicing areas and Stage II HCFC phase-​out management plan. India uses HCFC in different industrial sectors such as air conditioning, refrigeration, foams, firefighting, solvents, etc. The consumption increased to 21863 metric tons in 2010 from 3792 metric tons in 1994. Tremendous efforts were required to comply with the 2013 freezing and 205 reduction targets. The significant constraints for transitioning to HCFC alternatives are dependency on economically feasible nonthreatening and sustainable substitutes and time limits. The GOI also owes to the UNDP which played significantly in enforcing the 40 million USD multilateral fund projects. The CFC phase-​out was remarkably accomplished 2 years 232

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before the schedule. India contributed to this noble cause by cutting down 25000 ODS with additional potential of 23000 more. The 2nd phase of UNDP-​India collaboration between 2000 and 2010 is to phase out the use of ODC in various industries. Carbon tetrachloride (CTC) was used in steel, and currently big steel manufacturers, including the public sector, use tetrachloroethene (TCE) which is less detrimental to the environment. UNDP is also helping to phase-​out the HCFC by 2030. India is also on the track to reducing the use of HFCs. Though HFCs are ozone friendly, their GWP is quite alarming. The lack of cost-​efficient, safe, and energy-​efficient alternatives to HFCs is a matter of concern and needs extensive research. The MoEFCC initiated collaborative research comprising the CSIR, Center for Atmospheric and Oceanic Sciences, DST, relevant institutes, labs, industry players, etc. The Indian Institute of Chemical Technology (IICT), Hyderabad, would lead the initiative.

10.2.3  United Nations Framework Convention on Climate Change, 1992 The United Nations Environmental Programme (UNEP), along with the World Meteorological Organization (WMO), launched the Intergovernmental Panel on Climate Change (IPCC) in the year 1988 to assess and provide unique insights into the issue of climate change and the management of threats to extreme weather events and disasters. In November 1990, the ‘First Assessment Report’ (FAR or AR1) was published by IPCC, stating the increase of greenhouse concentrations in the air from anthropogenic activities. The Intergovernmental Panel on Climate Change and the second World Climate Conference made a global call for a global treaty. The UN General Assembly created the Intergovernmental Negotiating Committee (INC) and opened dialogues on a Framework Convention in December 1990. In May 1992, the text of the United Nations Framework Convention on Climate Change (UNFCCC), a global arrangement on the environment, was adopted in New York. UNFCCC was discussed at the United Nations Conference on Environment and Development (UNCED) in Rio de Janeiro, Brazil, between the 3 and 14 of June 1992. It was approved on 9 May 1992 and placed for signature. It was put into force two years later on 21 March 1994. The objective of the United Nations Framework Convention on Climate Change is to ‘stabilize greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system,’ as specified in Article 2. Article 3 dealt with the principles for reaching the objectives: protection of the climate system that must be founded on ‘equity’ and ‘common but differentiated responsibilities’ and individual abilities of the Parties. In this regard, the lead should be taken by developed nations in fighting climate change, and its impacts, and emerging nations especially vulnerable ones dealing with an unusual burden under the United Nations Framework Convention on Climate Change must be considered thoroughly. Any precautionary actions needed should be taken for anticipation, stoppage, and minimization of the reasons for climate change along with mitigation of its impacts. Policies and steps that would be taken should be considering social and economic contexts, sources, sinks, reservoirs of GHGs, etc. Article 4 speaks about the commitments that were based on the ideologies of the UNFCCC. It calls the Parties for the development, updating, and publication of national records of emission by sources and removal by sinks for the entire anthropogenic release of GHGs not regulated by the Montreal Protocol by the use of methods agreeable by all 233

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the Parties. The Convention sought cooperation in preparation for adaptation to the effects of climate change, development of suitable and incorporated policies for managing coastal zones, agriculture, water resources, areas prone to drought and desertification –​their safeguard and rehabilitation, especially in African states. The article provided for the promotion of research in all areas and encouraged participation in scientific and technological fields as well as archiving data from observations. For the developed nations, the emission by sources and removal by sinks should be calculated, taking the best available scientific information and methods into consideration. The developed nation’s Parties and others in Annex II should be providing fresh and supplementary funds for meeting the approved total expense sustained by developing nations in fulfilling responsibilities under Article 12.1. They should also be providing funds for meeting the total approved incremental expense, for instance, for technology transfer. Developed nations’ Parties should practically ensure all measures for the promotion of funds, transference of environmentally sound technologies, and knowledge to the third world Parties towards the total implementation of UNFCCC provisions. The effective implementation in third world countries depended on the effective execution of the pledges of the industrialized nations in the relevant fields with fully considering that social, economic upliftment, elimination of poverty are the utmost priorities of developing nations. In the above context, Parties should consider necessary actions for meeting the specific requirements and issues of unindustrialized nations such as small island nations, nations having low lying coastal areas, semi-​arid and arid regions, nations susceptible to natural disasters, droughts, desertification, air pollution, mountains, fragile ecosystems, landlocked nations, nations dependent on export, consumption of fossil fuels, etc. Article 6 provisions for research and logical observation, while Article 6 emphasizes the need for education, awareness, and training. Article 7 declares the supremacy of the Conference of the Parties authorized to hold a review of the Convention implementation regularly to ensure its effectiveness. COP also conducts a regular review of the Parities’ commitments and works for the promotion of information sharing. COP approves the reports regularly, making suggestions, mobilizing funds, setting up subsidiary bodies, and evaluating the reports submitted by them. The 1 session of the COP was summoned by the provisional Secretariat, as mentioned in Article 21. Article 8 provides for the establishment of a Secretariat that would make necessary arrangements for the COP sessions, a compilation of reports. There are two subsidiary bodies formed; SBSTA (Subsidiary Body for Scientific and Technological Advice) for assessing the current status of scientific knowledge and identifying the state of the art technologies inclusive of their promotion and transfer and SBI (Subsidiary Body for Implementation) for efficient implementation of Convention according to Articles9 and 10 respectively (see Figure B X-​10.2.3-​1). Article 11 states the mechanism of a financial resource based on donations comprising technology transfer. Inside the transparent governance, all Parties should have been impartially and proportionately represented. Article 12 provides for releases and removals of all GHGs at the national level, not covered by the Montreal Protocol. It remains compulsory for developed nations. Developing nations might voluntarily propose projects incorporating technology, materials, equipment, and techniques needed for implementation. Article 14 states about settling disputes through its submission to the ‘International Court of Justice.’ The resolution should be accepted by the Conference of the Parties according to the procedures. Any modifications to the UNFCCC should be accepted at the ordinary meeting of the Conference of the Parties. Parties must receive copies of such amendments 6 234

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months preceding the meeting. The Conference of the Parties is allowed to adopt Protocols as per Article 17, and Parties to the UNFCCC might be the Parties to Protocols. Article 18 extends the right to possess one vote by one Party. While Article 23 speaks about the date of enforcement of the Convention, Article 24 provides for withdrawal by any Party during any phase, subsequently 3 years since the date of implementation of the UNFCCC through written notification to the Depositary. As of December 2015, the Convention has 197 Parties to it, and the Parties usually meet yearly since 1995 after its implementation in the Conference of the Parties (COP) to evaluate the advancement in tackling the issues of climate change. The President of the Conference of the Parties (COP) is usually from the 5 UN regional groups on a rotational basis. The Parties (refer to Figure B X-​10.2.3-​3) to the United Nations Convention to Climate Change are categorized as: Annex I Parties: As per the provisions of the Convention, these countries are obliged to decrease the greenhouse gas (GHG) releases. Annex I Parties are also accountable for developing sinks for GHGs and safeguarding them as well as reporting the steps that are taken to limit climate change and also data related to greenhouse gas emissions. Annex I Parties comprise two types of nations. The OECD (Organization for Economic Cooperation and Development) in the year of 1992 forms the first group, whereas the countries whose economies are in transition from the second group. There were 43 Parties inclusive of the EU. The earlier centrally planned economies of Russia and Eastern Europe were included within EIT. The category of Annex II comprises the OECD nations in 1992 and the EU. These nations are required to initiate the transference of eco-​friendly technologies and provide financial support to the economies in transition (EIT) nations. They should especially assist the developing nations to ensure every essential measure for encouraging, facilitating, and providing financial access to the technologies as their key responsibility of being Annex I Parties. Out of the members of Annex I, there are 24 nations inclusive of the EU, which falls under the category of Annex II. They are the USA, UK, Italy, Japan, Germany, Australia, France, Austria, Switzerland, Belgium, Canada, Denmark, the EU, Finland, Greece, Iceland, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Turkey. In addition to the Annex II nations mentioned above, the names of the nineteen countries below indicate the rest of the countries included in the Annex I list. Countries such as Belarus, Bulgaria, Cyprus, Czech Republic, Estonia, Hungary, Ireland, Latvia, Lithuania, Malta, Poland, Romania, Russia, Slovakia, Slovenia, and Ukraine are with Economies in Transition (EITs). Croatia, Liechtenstein, Monaco are added to Annex I list by an amendment commencing on 13 August 1998. In 2000, the IMF scheduled a few nations with transition economies –​such as Albania, Armenia, Belarus, Hungary, Kazakhstan, Romania, Russia, Vietnam, Ukraine, etc. In the year 2002, the World Bank included Bosnia, Herzegovina, and the Federal Republic of Yugoslavia (later Serbia and Montenegro) in the scheduled list of transition economies; in the year 2009, World Bank included Kosovo. Refer to Table B X-​10.2. 3-​1 for details. Some World Bank report included Mongolia, and according to the International Monetary Fund, Iran is in the transition to a market economy. (For details refer to Annexure B X –​ 10.2.3) On the other hand, non-​Annex nations are invigorated and energized to decrease greenhouse gas emissions, participate in research and technology, to safeguard carbon sinks; but they are not bounded by commitments as do the Annex I and II nations. non-​Annex Parties 235

Negotiations for the Protection of Atmosphere and Climate Table B X-​10.2.3-​1 List of countries with economies in transition (According to IMF and World Bank) In transition

Transition complete (2019)

Europe

• Albania • Armenia • Belarus • Bosnia and Herzegovina (2002) • Georgia • Kosovo (2009) • North Macedonia • Moldova • Montenegro (2002) • Russia • Serbia (2002) • Ukraine

• Czech Republic • Estonia • Hungary • Latvia • Lithuania • Poland • Slovakia • Slovenia • Romania • Bulgaria • Croatia The first 10 nations joined EU in 2004 and 2007.

Central and Southeast Asia

• Kazakhstan • Tajikistan • Turkmenistan • Uzbekistan • Kyrgyz Republic • Cambodia • Laos • Vietnam • China

Africa

• Botswana

are 153 in number, and these nations are typically low-​income or developing nations and thus not listed in Annex I. These nations can always be in the Annex I list provided they become adequately developed. Turkey was regarded as an OECD nation during the signature of the Convention, and thus it finds itself in both the Annex I and Annex II list. Turkey is a non-​member of the Convention as it had vetoed this status during the negotiations of this agreement. In the year 2001, the COP at its 7th meeting accepted the decision to scrap Turkey’s name from Annex II and place its name in Annex I considering its extraordinary situation, thus distinguishing it from the rest of the Annex I nations. This resolution was enforced on 28 June 2002, and to date, Turkey enjoys just being an Annex I nation. Turkey’s adherence to the UNFCCC continues even after ten years after its implementation on 24 May 2004. The category of Annex B Parties includes countries agreeing with the first or second round of GHG emission targets. The least developed countries or LDC comprises 49 countries that enjoy special status owing to their restricted capability to acclimatize with the bearings of climate change. (For details refer to Annexure B X –​10.2.3.1)

10.2.3.1  The Conference of the Parties (see Figure B X-​10.2.3-​1) The COP is the supreme and decision making body of a Convention. Here, it is responsible for monitoring, reviewing the proper implementation of the UNFCCC guidelines. 236

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It comprises the representatives of the Member States of the UNFCCC and accredited Observers. The COP meets every year, and such meetings are referred to as annual updates. The summary of these updates is given below. 10.2.3.1.1  1995: COP 1, THE BERLIN MANDATE

The Berlin Mandate was the negotiation that came as an outcome and was accepted unanimously on the concluding day of the 1 Conference of Parties (COP). It smoothed the path for further negotiation of COP 3 (Kyoto Protocol). The 1 Conference of Parties took place in Berlin (28 March to 7 April). The prime task of this COP was to review the competence of the commitments for the Annex I States and, thereafter, decide necessary measures. Members realized the insufficiency of the objectives accepted previously to tackle the task of global warming to return the greenhouse gas (GHG) releases back to the level of 1990 by the year 2000. The Alliance of Small Island States (AOSIS) submitted a scheme wanting the Annex I nations to restrict their discharges by 20% by the year 2005. In the backdrop of COP 1 preparation, the German government created an informal group of high-​level officials from major nations and named it as ‘Berlin Group.’ In their few meetings that they had before COP 1, they discussed many issues, including the Alliance of Small Island States (AOSIS) proposal, and failed to agree on a Protocol at COP 1. Rather decisions were arrived at for taking all possible activities by the nations beyond 2000 and beginning a process to consolidate the pledges of the industrialized nations as well. The Members demanded the setting up of legally binding standards and limits on emissions by international law. The Chairperson of this COP, Angela Merkel (German Minister of Environment, Nature Conservation and Nuclear Safety), persuaded for getting an accord with restricted but sensible involvement from all regions comprising 25–​30 nations and the European Union. In the beginning, the stage was taken over by G77, China, and Samoa for AOSIS, the USA, and the EU. After a few days, it might be because of diverging views of AOSIS and the oil-​ producing nations and the G77 that had a split with a new group of 35 member nations emerging known as the ‘Green Group’ dominated by India, Brazil, and China. Finally, this group had 70 members. The discussions were mostly constructive except for two issues, largely political by nature: the issue of ‘targets and timetables’ and the continual exclusion of the non-​Annex countries from new commitments. 10.2.3.1.2  1996: COP 2, GENEVA, SWITZERLAND

The 2nd Conference of the Parties met at Geneva between 8 July and 9 July 1996 with over one thousand and five hundred participants ranging from governmental, non-​ governmental, and intergovernmental organizations. The Ministerial Declaration noted and echoed the USA’s position, stated by the then Under Secretary for Global Affairs for the US State Department, Timothy Wirth. The Parties accepted the climate change outcomes by the IPCC’s SAR (Second Assessment Report), rejecting the uniform ‘harmonized policies’ in support of flexibility/​affability, and calling for ‘legally binding mid-​term targets.’ The Geneva declaration evoked the objective of UNFCCC and the Rio 92 principles, such as ‘common but differentiated responsibility,’ the ‘precautionary principle,’ and considered the developmental priorities and the capability of the respective Parties. It acknowledged 237

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238 Figure B X-​10.2.3-​1 Structure of the UNFCCC negotiations. COP- Conference of Parties CMP- Conference of the Parties Serving as the Meeting of the Parties to the Kyoto Protocol CMA- Conference of the Parties Serving as the Meeting of the Parties to the Paris Agreement SB- Subsidiary Bodies APA- Ad hoc Working Group of the Paris Agreement ADP- Ad hoc Working Group on the Durban Platform for Enhanced Action

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and affirmed the SAR of the IPCC, specifically the fact that a considerable impact on climate is anthropogenic, and the probability and viability of reducing the net GHG emissions is imminent. It confirmed the harmful man-​made interference with the climate system and reaffirmed the necessity for continued study by IPCC to abate any uncertainty. The Geneva declaration reports that the ministers and heads of delegations should be noted that the commitments to mitigate climate change are being fulfilled with the help of national policies and methods as well as their supplementary pledges to bring back GHG releases to 1990 levels by the year 2000. The declaration also comprises the instructions for their representatives to take dialogues forward towards a legally binding Protocol to be finalized by COP 3. It greets the exertions of the members of the developing nations towards the implementation of UNFCCC and guides the Global Environment Facility (GEF) to deliver speedy and timely assistance. 10.2.3.1.3  1997: COP 3, THE KYOTO PROTOCOL (KP) ON CLIMATE CHANGE

This Protocol, as is known to be a global battle against climate change, was adopted on 11 December in Kyoto, Japan, and was a legally binding international Agreement to tackle the issue of global warming. The Protocol was opened to the signature between 16 March 1998 and 15 March 1999 at United Nations headquarters, New York. The KP mandated 37 industrialized nations along with the EU to commit and cut down their collective GHG emissions by 5% of the 1990 levels to be achieved by the year 2012. The number 5% represented nearly 29% of the global GHG emissions. For developing nations, the cut of GHG emissions is voluntary. Over 100 such nations, including India and China, were exempted from such mandatory emission cuts. Such a heavy burden was placed on the industrialized countries founded on the principle of ‘common but differentiated responsibilities.’ The point of difference between UNFCCC and Kyoto Protocol is UNFCCC invigorated developed countries to stabilize GHG releases, whereas, under the Kyoto Protocol, these countries were obliged and dedicated to doing so, keeping in mind that the present soaring levels of GHG were the gift of industrial activity of these nations. The Protocol considered six major GHGs for its emission cuts. They are carbon dioxide, methane, nitrous oxide, perfluorocarbons (PFCs), hydrofluorocarbons (HFCs), and sulfur hexafluoride (SF6). These gases are also referred to as the Kyoto gases. Article 2 mentioned the responsibility of the Annex I Parties. These Parties for accomplishing their respective quantified emission limitation and reduction commitments (QELRO), need enactment of policies and also ensure efforts in the context of their national circumstances. Guidelines and steps should be taken to–​improve energy efficiencies, safeguard and improve sinks and reservoirs of GHGs that are not covered by the MP, promote management of forests for sustainability, promote afforestation, reforestation, and agricultural practices, undertake research on carbon sequestration techniques. The policies should also gradually phase out monetary incentives/​duty exemptions as well as subsidies in GHG release factors and restrict the release of methane through reclamation and usage in wastes management. The releases of those GHGs outside the coverage of the Montreal Protocol must also be restricted from air travel and naval bunker fuels operating through International Civil Aviation Organization (ICAO) and IMO, respectively, by the Annex I Parties. Article 3: Annex I Parties either singly or collectively, make it certain that their collective anthropogenic CO2e releases as per Annex A list does not cross their assigned amounts (AAs). The calculations of the AAs are as per their quantified emission limitation and

239

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reduction commitments mentioned in Annex B list of this Protocol to lessen the overall releases of gases by at least 5% below 1990 levels between 2008 and 2012; with remarkable progress by the year 2005 in the achievement of the commitments by Annex I Parties. The net change in the GHG emission by source and removal by sink resulted from anthropogenic land-​use change and forestry actions restricted to afforestation, reforestation, and deforestation after 1990, measured as verifiable changes in carbon stocks in every commitment period, will be utilized to fulfill the pledges of each Annex I Party under this Article. Before the first or 1st session of the Conference to Parties serving as Meeting of the Parties to the KP (CMP) (see Figure B X-​10.2.3-​1), each of the Annex I Party should be providing data for establishing the 1990 level of carbon stocks to the SBSTA and facilitate the estimation of the probable alterations in carbon stock in the following years. The CMP should be deciding on the policies, regulations, and procedures of how supplementary anthropogenic actions linked to alterations in greenhouse gas emission by sources and removal by sinks in cultivated soils and land-​use change and forestry sections should be added to or deducted from, the assigned amounts (AAs) for Annex I Parties, considering doubts, pellucidity in reporting, validity and procedural work of IPCC and suggestions given by SBSTA according to Article 5 and the Conference of Parties decision. Such decisions should apply to the subsequent commitment periods, though a Party might elect for its application for the 1 commitment period only if the activities took place from 1990. Any Annex I Party going through a transition process to the market economy and yet to submit its 1 national communication under Article 12 might through notification, to COP serving as CMP, express its intention for using a base year other than 1990 towards implementing its commitment under this Article 3. A certain extent of flexibility might be allowable in such a case. During the 1 quantified emission limitation and reduction commitment period from the year 2008 to 2012, the assigned amounts (AAs) for each Annex I Party should be equal to the percentage of CO2e release of GHGs (Annex A listed) mentioned for the Party in Annex B list in 1990 or the base year stated as above, multiplied by 5. (For details refer to Annexure B X –​10.2.3.1.3) In case of the Annex I Parties for whom land-​use change and forestry forms an overall basis of GHG releases in 1990, they should be incorporating in their 1990 base year, the aggregate anthropogenic CO2e emission by sources after deducting removal by sinks in 1990 arising out of land-​use change for computing their assigned amounts (AAs). For calculating HFCs, PFCs, and SF6, the Annex Parties were permitted to use 1995 as the base year. Pledges for the succeeding periods for Annex I Parties should be recognized in the amendments to Annex B of the Kyoto Protocol, whose consideration would be initiated by the Conference of the Parties (COP) a minimum of 7 years before the termination of the 1 commitment period. Emission reduction unit (ERU) or any quantity of the AA that a Party procures from any other Party following the requirements of Article 6 or Article 17 should be added to the AA of the procuring Party. Refer to Table B X-​10.2.3-​2 for details. Similarly, the Emission reduction unit (ERU) or any part of AA that a Party transfers to another Party following the requirements of Article 6 or Article 17 should be deducted from the AA of the transferring Party. And every Certified Emission Reduction (CER) that a Party procures from another Party following the requirements of Article 12 should be added to the AA of the procuring Party. Refer to Table B X-​10.2.3-​2 for details. If the emission of an Annex I Party within the commitment period is lesser than the AA, the difference would be added to the AA of the 240

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Party in the successive commitment periods on receiving a request from that Party. Every Annex I Party should endeavor to reduce any harmful socio-​economic and environmental impacts on developing nations. In this regard, the CMP should consider any resolution regarding the implementation of reduction measures in its first session with an emphasis on funds, insurance, and technology transfer. Article 4: Any Annex I Party that has made a contract to meet their commitments collectively would be supposed to have fulfilled those pledges only if their total joint collective anthropogenic GHG releases (as per list Annex A) do not surpass their Assigned Amounts, the calculation of which is done according to their quantified emission limitation and reduction commitments mentioned in Annex B and agreeing with Article 3 provisions. The specific emission level allotted to each Party under the contract should be stated in the contract. Any change in the organization of the regional economic integration after the acceptance of the Protocol should not be affecting the prevailing obligations made under the Protocol. Such organizational changes are considered concerning obligations to the Protocol that comes after accepting the changes. In the case where regional economic integration fails Table B X-​10.2.3-​2 An understanding of the Kyoto units in use Kyoto Protocol provisions

Unit

Abbreviation

Issuer

Description

Art. 3.7

Assigned Amount Units

AAU

National registry

Art. 3.3 and 3.4

Removal Units

RMU

National registry

Art. 6

Emission Reduction Units Certified Emission Reductions Temporary Certified Emission Reductions

ERU

National registry

CER

CDM registry

The units stand for the initial assigned amount of each Annex B Party These units are given for net removals from LULUCF activities. The units converted from the AAUs and RMUs based on JI projects. Units are given for CDM projects

tCER

CDM registry

Long-​term Certified Emission Reductions

lCER

CDM registry

Art.12

Art.12

Art.12

241

Credits are given for emission reduction for CDM projects related to afforestation and reforestation to be replaced upon its expiry at the end of 2nd commitment period. Credits are given for emission reduction for CDM projects related to afforestation and reforestation to be replaced upon its expiry at the end of the project crediting period or in the event of storage reversal or non-​submission of a certification report.

Negotiations for the Protection of Atmosphere and Climate

to meet their ‘combined emission reductions,’ individual Parties should be responsible for their specific level of emissions given in the Contract. Article 5: Each of the Annex I Party should be having a national system of assessment of anthropogenic GHGs within one year before the commencement of the 1 commitment period following the approved methodologies of IPCC decided upon by the Conference of the Parties (COP) at the 3rd session. The IPCC, along with SBSTA and Conference of the Parties serving as CMP, should be reviewing, regularly revising along with considering all appropriate decisions by COPs. The global warming potentials (GWPs) of the GHGs as per Annex A list are accepted that had been approved by Intergovernmental Panel on Climate Change and decided upon by the COP in the third session. Article 6: To fulfill the commitments stated under Article 3, any Annex I Party might transfer or procure ERU to or from any other Annex I Party resulting from projects intended to reduce man-​induced GHG releases by sources and to increase removal by sinks in any economic sector only if any such ventures have the consent of the involved Parties or the venture could deliver emission reductions by sources or trigger removal by sinks; acquiring of ERU should be supplementary to domestic activities to meet obedience as per Article 3 and as per the guidelines elaborated for implementation, verification and reporting by the Conference of theParties serving as Meeting of the Parties to the Kyoto Protocol (CMP). An Annex I Party might be empowering lawful entities for participation resulting in the generation, transference, and acquirement of ERU. Article 7: All required additional information pursuant to Article 3 should be included in the yearly ‘register’ of the Annex I Parties about the anthropogenic GHG emission by sources and removal by sinks not covered under the MP and submitted according to the pertinent decisions of the COP. Such a Party should include additional information required to show its compliance with commitments in its national communication. The frequency of such submission should be determined by the Conference of the Parties serving as the Meeting of the Parties to the Kyoto Protocol (CMP) in tune with any agreed schedule for submission of national communication. Article 8: The submission of any information under Article 7 should be subjected to review by expert teams following the pertinent decisions of COP. Experts would be selected from the nominated names given by the Parties to UNFCCC and intergovernmental organizations. The review is meant to be extensive and technical, governing all aspects of enforcement of the Protocol. The review team should submit a report to the CMP with an assessment and probable issues. Article 9: Periodic reviewing must be undertaken based on the best available scientific assessment along with socio-​economic and technical information. Article 10: Every Party, considering their respective CBDR along with precise domestic and regional urgencies in development goals and situations, must reiterate and make headway with their pledges to accomplish sustainable development. They should undertake the formulation of cost-​effective, national, and regional schemes for improving the quality of local release factors, and update national registers of anthropogenic GHGs by use of comparable methods approved by the COP. The programs may be in the field of energy, transport, farming, forest management, waste management, and industrial sectors. Parties should be participating in promoting effective procedures to develop and initiate all feasible measures for promotion, facilitating, and funding transference and access to environmentally sound techniques, knowledge, practice, etc.

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Article 11: Annex I and Annex II Parties are required to arrange for supplementary funds for meeting the total approved expense incurred by the developing nation Parties for the progress of implementation of the existing obligations. Such funds should also comprise the technology transfer required by the developing nation Parties to fulfil the approved step-​ by-​step expense of advancing the existing obligations. Article 12: The CDM was developed as a mechanism to help the non-​Annex I Parties to reach sustainability. In this way, it contributes to the final goal of the UNFCCC as well as supports the Annex I Parties in fulfilling acquiescence with their quantified emission limitation and reduction commitments, as stated in Article 3. Non-​Annex Parties would gain from such activities that result in CER and Annex I Parties might use the CER collected from the venture for contributing to their acquiescence with part of their quantified emission limitation and reduction commitments stated in Article 3. The resulting emission reductions arising out of each venture should be certified by the bodies nominated by COP serving as CMP. The COP serving as CMP should elaborate processes and procedures to ensure pellucidity, effectiveness, and liability with the aid of autonomous auditing and verification of the activities. The COP serving as CMP must ensure a part of profits from such certified projects to be utilized to cover the expenditure of administration and also help meet the adaptation expense of the developing nation Parties. The acquisition of CER might involve public or private entities. CER, procured from the year 2000 to the start of the first commitment period, could be utilized to help in meeting the obligation of the first commitment period. Article 13: Those nations that are Parties to UNFCCC but non-​Parties to the Kyoto Protocol (KP) can join in as observers of the events to any session of the CMP. The specialized agency, such as IAEA that are non-​Parties to UNFCCC, can join as observers of the events to any session of the CMP. Article 14: The secretariat of UNFCCC should be serving as the secretariat of the Kyoto Protocol (KP). Article 15: Both the SBSTA and the SBI recognized as per provisions of UNFCCC should be serving as the same as the Kyoto Protocol. The meetings of the SBSTA and the SBI of the KP should take place in combination with SBSTA and SBI of the UNFCCC. In case the subsidiary bodies are serving as the bodies to Protocol, then the verdicts under the Kyoto Protocol (KP) should be arrived at by the Parties to Kyoto Protocol (KP) only. Article 16: The COPs serving as the MOP to this Protocol would consider the application of this Protocol as soon as possible. It may further modify the multilateral consultative process referred in Article 13 as and when needed based on the decisions taken by the COPs. Article 17: The COP should be defining the relevant ideologies, modalities, instructions, and strategies of the verification, reporting, and accountability for emissions trading. The Parties listed in Annex B might be participating in emission trading to meet their obligations as per Article 3 of KP. Such trading should be added to domestic activities for fulfilling quantified emission limitations and reduction commitments. Article 18: The CMP should be approving suitable actions and mechanisms for determining and reporting the non-​compliance cases in tune with the provisions of the KP. They also consider the reason, nature, and recurrence of such non-​compliance while indicating the outcomes. Article 19: The guidelines in Article 14 (for settling disagreements) of the UNFCCC text should be applicable ‘mutatis mutandis’ to the Kyoto Protocol. Article 20: contains clauses for amendments. Any Party owes the right to suggest modifications. Such changes must be accepted in the regular meeting of the CMP. The 243

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amendments are usually accepted by a consensus or by a ¾ majority in the absence of unanimity. The Secretariat should be forwarding the text of the proposal to the Parties 6 months before the meeting. They should also convey the documents to the Depository, the Parties, and signatories of the UNFCCC. Article 21: Any Annexes to this Protocol is a vital component of the Kyoto Protocol; similarly, a reference to KP comprises a reference to any annexes. Parties have the liberty to make proposals for the annex as well as to propose modifications to the annexes to KP as well. Article 22: Each Party has a privilege to one vote, whereas, for the regional economic integration, their right to cast a vote is equivalent to the sum of member States who are Parties to the Protocol. Article 23: The depository of the KP is the Secretary-​General of the UN. Article 24: All requirements under the KP must be obligatory to any regional economic integration that is a Party to the KP without any of its member States being a Party. Article 24: All requirements under the KP must be obligatory to any regional economic integration that is a Party to the KP without any of its member States being a Party. Article 25: The enforcement day of KP was on the 19th day on which at least 55 Parties to the UNFCCC, including the Annex I Parties, ratify and responsible for a minimum of 55 % of the overall CO2e emission in comparison to the 1990 level. The total CO2 emission for 1990 meant the quantity conversed on or before the adoption date of KP by Annex I Parties in their submission of the 1 national communications according to Article 12 of the United Nations Framework Convention on Climate Change. Article 26: No reservations can be made to this KP. Article 27: Any Party might withdraw from KP at any time after 3 years from the date of enforcement of KP through writing to the Depository. Any Party withdrawing from the UNFCCC should automatically be regarded as having withdrawn from KP. Article 28: Authentic texts and languages should be deposited to the Secretary-​General of the United Nations. The KP, though adopted in 1997, was enforced much later in the year 2005 after Russia ratified. The delay in enforcement owes to the fulfillment of two clauses. Firstly, it required the ratification of at least 55 countries which were met in 2001. Secondly, the total emission of GHG by those 55 countries should be at least 55% of the worldwide GHG releases in 1990. The second condition was only met after Russia’s ratification on 18 November 2004 and hence the delay of 7 years in enforcement on 16 February 2005. The US had signed the Kyoto Protocol in 1998 under President Clinton originally but pulled out in 2001 on the ground that the agreement called for emission cut from the industrialized nations only and lacked restrictions on emissions by the emerging economies such as China and India, and such actions would affect US economy badly. Before completion of the Kyoto Protocol, in 1997, the US Senate passed S. Resolution 98 which urged the President to disagree with a Protocol that excluded binding commitments for developing nations. The overall target of a 5.2% cut in GHG emissions does not stand for individual countries to cut down by 5.2% of 1990 levels. The overall 5.2 % goal for industrialized nations is to comply with emission cuts from 1990 base levels. - an 8% cut in greenhouse gases was allowed for the European Union (EU[15]), Switzerland, and most Central and East European states;

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- a 6 percent emission cut for Canada; 7 percent emission cut for the United States (even though the USA had reserved its support for the KP); and - a 6 percent emission cut for Hungary, Japan, and Poland was agreed upon. - New Zealand, Russia, and Ukraine were to stabilize their emissions, while - Norway might raise greenhouse gas emissions by up to 1%, - Australia may increase GHGs emissions by up 8 percent (subsequently withdrew its support for the Protocol), and - Iceland also can increase its greenhouse gas emissions by 10 percent. 10.2.3.1.4  1998: COP 4, BUENOS AIRES, ARGENTINA

The fourth COP to the UNFCCC was held between 2 and 13 November in Buenos Aires Argentina in 1998 and ended up with the adoption of ‘Buenos Aires Action Plan’ to establish the cut-​off date for deciding the final work on Kyoto instruments such as clean development mechanism (CDM), joint implementation (JI), and emission trading (ET) along with issues of compliance, strategies, and actions. The ‘Buenos Aires Action Plan’ comprises the deadlines for many significant issues like: i.

the financial mechanisms that will be assisting developing nations’ responses to climate change-​related challenges. ii. advance work on strategies and actions, a subject presented by the EU at the conference end. - -

- -

improvement and transference of technologies. implementation of joint activities under the pilot phase under which it sends an invitation to Parties for submission of fresh reports and updates of activities employed co-​operatively. Nominated national authorities sanction the joint activities. A decision was taken for the continuation of the pilot phase identifying that such continuance would assist the unindustrialized nations such as LDC and SIDS with a chance to boost their capacity building as well as to all Parties with the chance of gaining additional experiences with those activities employed collectively. instructions of the Kyoto Mechanisms with importance given to CDM. a task to discourse supplementarity, upper limit, long-​term merging, and equality.

The discussions and conclusion were able to sketch the mechanism to overcome the obstructions to the transference of environmental sound technology by breaking a four-​year deadlock. On the issue of compliance, Parties agreed to the need for a strong and inclusive regime to guarantee the effectual execution of the Kyoto Protocol. Nations susceptible to climate change behavior should be obtaining additional funding from GEF to design tangible actions for adaptation. But then again, the complication and trouble of discovering agreement on unsettled Kyoto matters seem to be undefeatable. The Parties approved a two-​year ‘Plan of Action.’ The fourth COP was marked by an unprecedented event when the host country President, Carlos Menem, announced their commitment to the establishment of a voluntary GHG emissions target for 2008 to 2002 and make a formal commitment in the year 2005. It marked the first time when a non-​Annex member approved to fulfill a measured greenhouse

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gas limitation goal. Argentina and Kazakhstan, the two non-​Annex Parties, conveyed their pledge to take on decreasing the greenhouse gas emissions. 10.2.3.1.5  1999: COP 5, TECHNICAL MEETING HELD AT BONN, GERMANY

The Parties met at Bonn, Germany, between 25 October and 5 November in 1999. UNFCCC Parties decided to speed up their exertions to transform the broader concepts of the Kyoto Protocol into functional realities. This decision raised noticeably the prospects that the Parties should be meeting the time limit of finishing work on the major facets of the operational framework of the Protocol at COP 6. They made noticeable advancements towards the fulfillment of the program of work outlined in the Buenos Aires Action Plan, developing rules and regulations for the market-​based mechanisms such as ET, JI, and CDM. 10.2.3.1.6  2000: COP 6, THE HAGUE, NETHERLANDS

The key argument was on the USA’s suggestion to sanction credit for carbon ‘sinks’ in forests, and cultivated lands that would oblige a considerable quantity of the US GHG releases to decrease in this manner. Even though there were some conciliations decided upon between the USA and certain European Union nations, namely the UK, the European Union states as a whole, headed by Denmark and Germany, vetoed the conciliation situations. So, the second part of COP 6 was held in Bonn, Germany. The parties reached a consensus, and that was known as the Bonn Agreements. Every country, except the USA, approved the implementation mechanism of the Kyoto Protocol. The USA took part as observers. 2001: COP 6, “bis” BONN, GERMANY

The Parties failed to reach an agreement at Hague COP 6 coupled with pulling out of the USA from the Kyoto Protocol in March 2001 compelled the second phase of the meeting at Bonn, quite indispensable for the persistence of the Kyoto Protocol. Additionally, for taking internal measures by the Parties to fulfill their targets, they should be given enough time, and the Protocol should be in a ratifiable form to exhibit noticeable progress by 2005 and meet the emission targets for the first commitment period (2008 to 2012). Hence the Parties met again in continuation of COP 6 at Bonn, Germany, from 17 to 27 July 2001. It was from the very initial phase that the European Union and the Umbrella Group (comprising Japan, Russia Canada, Norway, Australia, New Zealand, Iceland, and the USA) had contradictory views regarding the attributes of the KP. The Umbrella Group had, for an extensive period, backed for a solid practice of market mechanisms to handle the issues of climate change most effectively. Whereas the European Union wanted the Protocol to target the decrease the GHG emissions at source. The attitude was partly based on the principle of equity expressed in UNFCCC. The EU understood that Annex nations were morally obliged to take domestic reductions initially in an attempt to balance the high disparity in per capita carbon dioxide use globally. Moreover, Europe was in a much better position towards meeting its objectives owing to the large emission cuts that have already taken place in Britain and Germany for economic reasons. Both the nations, Germany and Britain, had reckoned for such change by

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supposing a higher reduction pledge than other European Union nations. The withdrawal of the USA from Kyoto on the basis that the Protocol would affect the US economy and that it did not bring the key emerging developing nations such as India and China within binding commitment to reduce GHG emissions, the implementation of Kyoto became doubtful. USA accounted for 35 % of 1990 Annex I countries GHG emissions. The ratification seemed impossible for the ‘fatally flawed’ Protocol, as stated by George Bush, lacking the backing of Japan and the Russian Federation, and this led to these countries becoming powerful and pivotal players in the Bonn negotiation. The Bonn agreement under the Presidentship of Ian Pronk of COP 6 launched four negotiating groups on major unresolved subjects like –​mechanisms, LULUCF, compliance, and financing towards facilitating the adoption of the agreement. 1 Mechanisms: One of the Kyoto principles is supplementarity, whose concept is the precedence of internal abatement measures before external participation in flexible mechanisms such as ET, CDM, and JI. Domestic actions should comprise a ‘significant element’ of Annex I exertions to fulfill emission reduction targets. In the absence of a specific limit, an Annex I nation might reach and fulfill its emission reduction target without undertaking a significant decrease in GHG production. And also, there lies an ambiguity in the usage of the term domestic reduction. This disagreement over the principle of supplementarity contributed to the dissolution of the ongoing COP 6 at Hague. While the EU wanted a 50% emission reduction to be achieved through domestic actions US, Australia, Canada, and Japan demanded more flexibility. To acknowledge the equity issues, the COP agreed, ‘ Parties included in Annex I should implement domestic action following national circumstances and with a view of reducing emissions in a manner conducive to narrowing per capita differences between developed and developing country Parties.’ In reality, domestic measures with national circumstances validate very little or no internal measures.   The Bonn accord failed to address ‘hot air’ a gap in the Protocol that might be the outcome from ET of pre-​existing reductions. Since there was no cap on supplementarity, such type of transaction would presumably bar several nations from the task of stern domestic actions, thus undermining the reliability of the whole Protocol. (‘Hot air’ actually refers to the assigned amount units given for reducing GHG emissions amongst the former Soviet Bloc nations since 1990. With the negotiation of the Kyoto Protocol, various market-​based mechanisms were allowed, such as JI, CDM, and ET, to earn credits such as CER and AAU. After the disintegration of the USSR, Russia went through restructuring and deindustrialization. This hot air or AAU was given to Russia to tempt them to sign the treaty.) The Bonn agreement had no means to tackle this issue, but it could be hoped that some nations would address such issues as they report tactics to fulfill targets. To consider the added facets of the Protocol, for example, the nature of CDM projects, it was merely public pressure, and public participation in the procedure of compliance can restrict the attempts of trading ‘hot air.’ Though it was believed that the EU could be influenced to implement domestic restrictions in the use of credits gained through such mechanisms, such actions would partly restrict the plea for ‘hot air’ but would not be able to stop Russia from transacting with nations lacking any domestic limitations.

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2. Carbon sinks and Land-​Use Change and Forestry (LULUCF) It was decided that credit should be given for wide-​ranging actions that could be absorbing atmospheric carbon or stocking it.   Two main LULUCF issues were left unresolved in Kyoto: i. ii.

The decision to what extent LULUCF might be applied domestically to calculate the net emission reductions, as well as The degree to which these activities might be applied as a part of CDM in developing nations.

The Parties had already decided to insert Article 3.3. This insertion comprises undertakings such as afforestation, reforestation, and deforestation to be considered while calculating net greenhouse gas releases. Even then, the Umbrella Group commanded the inclusion of Article 3.4. Article 3.4 deals with the issue of ‘additional human-​induced activities’ such as cropland management and forest management that is to be considered while calculating the net GHG releases. In reality, the potential of carbon sequestration arising out of these hominid persuaded actions are enormously high. If such is the case, then Canada possibly could seize 19.3 million to 161.8 million tons of carbon annually just by implementing improved forest management, meaning 330 to 1700% of its 1990 target established on 1990 emission levels. Clearly, the insertion of such activities would be opposed by several countries. To these nations, any such addition of activities and the reductions achieved out of it was not a part of the first commitment period of Kyoto (2008–​2012). And that it represented a renegotiation, which in turn would be undermining the integrity of the Protocol, which was originally meant for decreasing the real operative aims for fossil fuel and other industry releases. Canada, Japan, Australia, and Russia were adamant about the annexation of Article 3.4 activities while calculating net greenhouse gas emission as a pre-​condition to ratify the Kyoto Protocol. Actually, their bargaining power was augmented with the withdrawal of the USA. Dialogue in Hague failed because of these sink issues. Finally, Article 3.4 was incorporated in the Protocol, but capping was fixed on the quantity of reduction credit that can be earned through the implementation of forest management. The usage of forest management in the calculation of net emission reductions is usually insignificant, and nonetheless, for many nations, such measures indicate gains. Japan was given a cap of 13 million tons of carbon per year on forest management, and this represents 3.8% of its necessary 6% reduction. Russia could bargain hard enough to bag the largest cap of 17.63 Mt of carbon annually. Russia’s GHG emissions were presumed to be lower than the 1990 levels, perhaps owing to a decline in the economy. But in the subsequent COP 7, Russia urged on raising its cap value on forest management to 33 Mt of carbon annually. Connecting land use, land-​use change, and forestry (LULUCF) with the clean development mechanism (CDM) also raised controversy. Many Parties consider the use of LULUCF in CDM as a nominal choice for Annex I Parties who would restrain in taking any real significant action in their own countries. And this undermined the very aim of CDM, i.e., to meaningfully help the developing countries to achieve sustainable development. In reality, CDM has just established itself as ‘Northern Carbon garbage dumps.’ Making investments in forestry activities in the unindustrialized nations was cheaper than reductions at source. The Intergovernmental Panel on Climate Change (IPCC) puts an estimation of the expenses of US $ .1 to 20 per ton per carbon in tropical nations in comparison to the US $ 20 to 100 in the subtropical nations for forestry practice owing to fast vegetative growth and low 248

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labor cost. The focus of Kyoto gets a diversion with this type of CDM implication. The aim of more emphasis on research and enforcement of energy conservation and renewable energy was relaxed, also releasing the burden on the Annex I Parties to undertake measures for reducing GHG at the source. Some even feared the threat of such activities to local communities and native ecosystems. Exotic and monoculture practices might prove efficient in terms of carbon sequestrations. Still, at the same time, it might be a threat to local biodiversity, deplete the soil, affect the climatic pattern, etc. Such practices could also affect the native people and local communities living there as land, which was traditionally used for subsistence, would be with time converted to wide-​scale tree plantations. Afforestation means the conversion of land into the forest by humans that has not been forested earlier for a period of a minimum of fifty years. Hence, COP 6 at Bonn restricted the LULUCF use to cover ‘afforestation and reforestation practices’ in the 1 commitment period. 3. Compliance The Bonn meet agreed to a vigorous and extravagant compliance system that created an innovative foundation for the enactment of the Protocol. The consequences of non-​compliance in the true sense are minimum. The Kyoto compliance system includes a compliance committee having four sections known as facilitative and enforcement branches, Party–​to-​Party trigger, and rules for transparency and public participation. The main function of the facilitative branch is promoting compliance and working as a timely caution arrangement in case of non-​ compliance, thus advising and assisting the Parties towards meeting Protocol commitments. For effectual compliance, correct reporting is also necessary, and for this reason, several nations might face problems in the compilation of reports. The purpose of the enforcement committee is to find out whether an Annex I Party has fulfilled its commitment of reduction, reporting the necessities, and eligibility of the necessities for the usage of flexible mechanisms. The Party–​to-​Party trigger permits the Parties to start compliance against other Parties so long as the validating evidence supports the complaint. Especially the Alliance of Small Island States (AOSIS) holds a keen interest to see the implementation of the Protocol; cases of non-​ compliance are not likely to go unchallenged. In the Kyoto Protocol, non-​compliance prompts a precise list of consequences. Non-​compliant Parties have their ineligibility for selling their emission credits or offsetting under the emissions trading system. They are required to make a ‘compliance action plan’ with detailed action that the Party desires to enforce for the fulfillment of the emissions reduction commitment. In case the country fails to reach the reduction target, compliance should require the addition of the difference to the reduction requirement for the subsequent commitment period with a 30% additional charge, with no provision of financial penalties. It seemed that a 30% extra charge could assist shoot compliance, but in every commitment period, Parties usually renegotiate their emissions reduction target and hence can get away without additional penalty. Moreover, the non-​prevalence of the financial penalty decreases the cost of non-​compliance. A country is likely to choose not to go for meeting its given target and instead of spending money or purchasing releases or declines or financing in a Clean Development Mechanism in the absence of any financial penalty and any enticement for reducing emissions. 4. Finance The negotiating group on finance issues met in several sessions to address funding. The Parties discussed the phrasing of a chapeau on financial support to activities addressing adverse effects. The Parties met to draft text for draft decisions on funding both under the 249

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Protocol and funding under UNFCCC. They finally agreed to text providing that activities can be funded by the special climate change fund ‘and/​or’ the adaptation fund, as well as other bilateral and multilateral sources. The original intention of Kyoto was to form a legally binding agreement for emission reduction targets, but it transformed into a non-​legally binding outcome of non-​compliance. Within the group, the USA advocated for a legally binding regime, but Japan, Russia, and Australia voiced for a weak ‘politically binding’ compliance regime, with the following options. • Flexible mechanisms: denotes the emissions trading, joint implementation (JI), and the Clean Development Mechanism (CDM) lets industrial nations fund emissions reduction actions in unindustrialized nations as a substitute to internal emission decreases. One of the crucial features of this contract was that there would be no quantifiable cut-​off on the credit a nation could assert from the practice of these mechanisms. • Carbon sinks: credit would be allowed for wide-​ranging actions that take in carbon from the air or stockpile it; this includes forest and cropland management, and re-​vegetation, with no overall limit or cap on the quantity of credit that a nation could assert for sinks undertakings. • Compliance: Ultimate act on amenability measures and mechanisms that would report non-​compliance comprises –​ (1) There would be a prerequisite to makeup deficits at 1.3 tons for 1 ton if emission targets were failed to be attained. (2) The rights to sell credits for excess emission reductions would be suspended. (3) A compliance action plan is needed for the ones who fail to meet the target. • Finance: Setting up of three new funds that would furnish (1) a fund for the cause of climate change that would back a sequence of climate measures; (2) a least-​developed-​country fund to back National Adaptation Programs of Action; (3) a Kyoto Protocol adaptation fund maintained by a CDM tariff and deliberate donations. 10.2.3.1.7  2001: COP 7, MARRAKECH, MOROCCO 29 OCTOBER–​1 0 NOVEMBER

The COP 7 meeting began on the 29 of October at Marrakech in Morocco. It enfolded up the work of the Buenos Aires Plan of Action (BAPA) to finalize the best of the operative details and set the platform for the countries for ratifying the Kyoto Protocol. The Bonn Agreements of GOP-​6 in 2001 with an additional condition, were open to contradictory explanations and required further contracts on the final print. The principal decisions of the Buenos Aires Plan of Action founded at Bonn were maintained. However, ‘Marrakech Agreements’ was regarded by some as a softer version of the Bonn Agreements –​and various people consider the Bonn Agreements to weaken the guidelines approved upon at Kyoto, 1997. The USA was mutely present as observers and continued to decline, taking part in active negotiations. The USA lacked to put before a Kyoto Protocol alternative; it was on European Union to retrieve Kyoto. Other nations were continuing with their hope to have the USA‘s re-​engagement in the process but, at the same time, also intended to seek 250

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ratification of Kyoto as per its clauses. A target date for Kyoto enforcement was chosen to be August–​September 2002 at WSSD in Johannesburg in South Africa, and it failed. The finalized compendium of resolutions is known as the Marrakech Accords. 1. Capacity building in developing nations: To boost effectual participation in the Kyoto, the Marrakech accord establishes a framework for capacity building that must be reflecting the following: host nations’ strategies for sustainable development and the distinctive needs for LDC. Developing nations were expected to be responsible for recognizing the unique needs of their own as well as co-​operating with other developing nations, which was called south-​south cooperation. Countries in the Annex II block were responsible for coordinating the exertions of consolidating the capacity-​building framework. 2. Capacity building in nations with EIT: To boost effectual participation in the Kyoto, the Marrakech accord established an outline for capacity building meant for countries with economies in transition (EIT) similar to the developing nations. Parties in both Annex II and EIT share mutual and discrete responsibilities. 3. Improvement and technology transfer: In Bonn, Parties agreed to favor the establishment of a 20-​ member expert group for technology transfer comprising three representing Africa, three representing Asia and Pacific, three representing Latin America and the Caribbean, one representing SIDS, seven representing Annex I, three from related international organizations with alternating between Annex I and Non-​ Annex I for the Chairperson and Vice-​Chairperson.   The decision of COP 7 for adopting an evocative and effectual structure for technology transfer included a proficient group meeting biannually to forward recommendations to the SBSTA. The framework was to be subjected to a review at the end of 2006 at COP 12. The finance was to be provided by GEF. The framework sought was intended to trigger participation between the stakeholders. It involved an assessment of technological needs, technological evidence, an empowering environment, capacity building, and instruments for the transfer of technology. It made a request to all Parties for the creation of an empowered environment by removing barriers, environmental regulations, safeguarding intellectual property rights (IPRs), encouraging the transfer of technology with the help of export credit organizations, or tax credits/​preferences. The technology transfer practices should be facilitating the backing of financial, institutional, and methodical activities, along with facilitating the implementation of projects. 4. Implementation of Articles 4 of UNFCCC and Article 2 of COP 3 Article 4.8 is related to the harmful impacts of climate change and the enactment of response measures. Article 4.9 covers precise requirements of Least Developing Countries With the Bonn Agreement, Parties had already decided on using GEF and special climate change funds for financial activities and also organizing workshops on protection against the harmful bearings of climate change and enforcement of response measures. At Marrakech, Parties confirmed on the organization with such workshops on protection and risk before COP 8. They also decided to hold additional workshops on combined effect with various multilateral environment treaties and economic divergence before COP 9. Developing nations should be providing a summary of their necessities in connection to capacity building and technology

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transfer. A program was founded for the Least Developing Countries comprising the ‘National Adaptation Programme of Action (NAPA)’ and ‘LDC fund.’ Annex II members decided to give importance to helping the unindustrialized nations that were extremely reliant on exporting and using fossil fuel to diversify their financial prudence. The framework should be supported by the ‘Global Environment Facility,’‘Special climate change fund,’ and ‘adaptation fund.’ 5. Supplementary control of the operating unit of the fiscal tool: The Global Environment Facility should be providing funds to unindustrialized nations, particularly to the least developed countries (LDCs) and small island developing states (SIDS), along with providing funds for NAPA and experimental projects to reduce the time between project identification and fund availability. 6. Funding under Convention: The Parties agreed on the need for added funds for the Global Environment Facility along with supplementary subsidy with expected levels for ‘special climate change fund and LDC fund.’ Special climate change fund should be providing complimentary fund support to Global Environment Facility and further subsidy on adaptation, transfer of technology, energy resources, transportation, industries, agricultural activities, forestry practices, management of wastes, and diversification. On the other hand, the Least Developing Countries funded the upkeep NAPA. Any extra arrangements are to be made by COP 8. Canada pledged C$ 10 million. 7. Joint activities affected under the experimental phase: Decision was taken on the perpetuation of the experimental phase and learning by doing. 8. Matters on Article 3, Kyoto Protocol: In place of the Bonn agreement, Parties acknowledged the developing concern for reducing the harmful impacts of response measures for both developing and developed nations. Annex I members were needed to consider the impacts of such measures to make a decision. The expected actions could be phasing out financial inadequacies and grants on unreliable environmental technology, scientific innovation of non-​fossil fuel-​based energy resources, usage, and transference of smaller amounts of greenhouse gas-​intensive knowledge, improvement of the efficacy of the fossil fuel-​based industries, and monetary divergence. Parties at Marrakech decided on stabling a process for analyzing the harmful impacts and their minimization inclusive of funding, insurance, and technology transfer. Developing nations were required to submit information about their needs, and Parties agreed on organizing a workshop for the development of guidelines by the end of 2004. 9. Funding under Kyoto Protocol: Establishments of adaptation fund with Bonn agreement would be funded from the share of proceeds of CDM at 2%. The Annex II nations promised a fund of €450 million every year by 2005. 10. Work programs on mechanism: involves three Kyoto mechanisms. They were in Article 6 (i.e., JI) between Annex I nations, Article 12 (i.e., CDM), and Article 17 (i.e., IET) in Annex I. In Bonn, the Parties decided upon an agreement of lessening the per person variances in discharges between the Annex I and Non-​Annex I members. Parties approved the usage of Kyoto tools as additional to national action, the stake of CDM incomes for adaptation to be 2% along with recommendations for the eligibility for using the tools that are reliant on conformity with the needs for methods, reporting, and further acceptance of compliance agreement. i.

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ii.

iii.

iv.

(6, 12, 17) of COP 3 –​Specifications have been made by COP 7 that domestic measures are aiming towards UNFCCC and reducing per capita emissions. Kyoto mechanisms to supplement domestic actions and Parties were required to report. Parties decided on a tough compliance regime, which would remain under the prerogative of the COP for deciding on its legal nature. Guidelines for implementing Article 6 of COP 3-​ Parties at Bonn, Germany decided Article 6 to be helping in achieving sustainable development, and Annex I members should be abstaining from using nuclear means. The COP would be establishing an Article 6 supervisory committee (A6SC). COP 7 recommended the establishment of A6SC comprising ten members to oversee the confirmation of emission reduction units (ERU) and to help the COP/​MOP in revising the Article principles. COP 7 also called for the contribution of funds for carrying out administrative expenses of the JI. Projects beginning in 2000 could also produce credits for the duration of the commitment period. A Party to the Protocol has eligibility for participating in JI provided it has set its assigned amount, has a scheme of estimating discharges nationally, a registry/​ archive for inventory (emission), and reports on supplementary information (sinks). In the case of the Party lacking registry or additional information, the A6SC carries out verification of reductions. The verified reductions were never limited by way of the commitment period reserve (CPR) restrictions. Modalities and procedures for CDM under Article 12 of COP 3 –​Bonn restated the objective of CDM to help in accomplishing sustainable development. Bonn sought the election of the Executive Board (EB) comprising ten members, endowed with the responsibility for developing fast track CDM such as renewable projects up to 15 Megawatt capacity, energy efficiency up to 15 Gigawatt hours, and small projects emitting less than 15-​kilowatt CO2 equivalent. COP 8 has the authority to decide on the afforestation and reforestation process (LULUCF allowed only). The adaptation tariff was fixed at 2%, and full of Clean Development Mechanism sink was 1% of Annex base year releases. COP 7 echoed all that was decided upon at Bonn and elected EB. COP 7 deferred the modalities of LULUCF to COP 9 and exempted the Clean Development Mechanism projects in LDC from the adaptation tariff. The EB should recommend simple methods for fast-​ tracking by COP 8 and would make suggestions for the extent of administrative charges to COP. According to the COP, crediting could be allowed solely since the registration date, but initial ventures had until 2005 for registration and could even obtain credits since 2000. The eligibility criteria to participate were the same for both JI and CDM. In CDM, developing nations to participate needed to be Parties to the Protocol. It recommended a project-​specific baseline, using acknowledged and novel methods, transparency, and conservativeness taking the national situation, and leakage into consideration. Modalities, rules, and guidelines for ET –​Bonn agreed for establishing Commitment Period Reserve at either 90 percent of the AA or 100 percent of the maximum current register, whatever is lower. COP 7 adopted the rules inclusive of CPR. The eligibility criteria for taking part in international emission trading (IET) were the same as that of JI. 4 different units AAU, ERU, CER, and RMU were fully eligible within the trading system even though variation exists for

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banking. Parties decided not to transfer if this would be breaking the CPR limit and verified ERUs were excluded from such rules. v. Modalities to account for the assigned amount (AAs) under Article 7 of COP 3 –​A diversity of views existed on the removal units (RMUs). Such existed for the criteria for eligibility, bankability, and admissibility as well. The RMU familiarized in Marrakech, represented a reduction of emission from actions only under Articles 3.3 and 3.4. The SBSTA was given the responsibility to form rules for the exchange of facts between registries by COP 8. Parties were to report their assigned amounts (AAs) before the beginning of the commitment period, and thereafter the amount should be fixed for the length of the period. Parties were required to mention the base year for the industry’s gaseous releases, a price worth for tree crown cover, and further LULUCF alterable along with proper explanations if they would vary from the standard practice of the Food and Agricultural Organization (FAO). A logbook for transactions needed to be maintained, and every Annex I member should be submitting a record on the trades and units retained yearly as well as for the total commitment period. Little info could be made public. Each unit would have a unique serial number comprising five parts {vintage, Party of origin, type (AAU/​ERU/​CER/​RMU), exclusive number and scheme (CDM/​JI), or action identifier. In the beginning, the chance of carrying over for RMUs was almost barred, only permitting the banking of AAU, ERU, and CER minus any used RMUs so that RMU was only valuable if needed for compliance. RMUs could not be banked without any market implications. Banking of ERUs and CERs was restricted to 2.5% of the AA of the Party. 11. Matters connected to LULUCF: Bonn decided and fixed the rules for calculating the absorption of emissions by LULUCF. The sink for the CDM included A&R only. It remained capped at 1% of the AA of the first commitment period of the Party at approximately 50 MtC. Parties settled the fixing of actions under Article 3.4 that they would be employing preceding the beginning of the commitment period. Activities ought to be from 1990 and anthropogenic. Forest management could be calculated up to 3.3 debit or 8.2 million tonnes carbon equivalent (MtC) yearly, the agricultural sink was calculated on a net-​net basis, and all Article 3.4 activities were plugged by the quantity in Appendix Z. The USA was omitted from the Appendix Z list. But the USA would be capped at about 28MtC on the grounds of not joining. i.

LULUCF –​The COP 7 wanted the SBSTA to see into degradation, deforestation, and revisions of policies for accounting 3.4 undertakings, clean development mechanism sink events. COP 7 also wished that the Intergovernmental Panel on Climate Change would have looked at the estimations of Articles 3.3 and 3.4 events, events under Articles 6 and 7 of the Kyoto Protocol. The COP asked the Parties for setting up various definitions of LULUCF before the commencement of the commitment period. The debt cap of 3.3 was raised to 9 MtC annually, and the supplementary 3.4 cap events in Appendix Z could be attuned. The names of Croatia and Belarus were included in Appendix Z along with the deletion of the USA from the same.

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ii.

Activities of forest management under Article 3.4 regarding Russia –​With Russia’s absence, the number was settled in their absence. Russia requested a modification from 17.6 to 33 MtC and bagged it.

12. Processes and tools associated with conformation under COP 3: Bonn decided on 2 divisions of a compliance committee, the facilitative branch, and the enforcement branch, and disagreed on the legal aspect of the compliance system. COP 7 recognized the right of the COP/​MOP to make decisions on the legislative aspect of the compliance system to trigger and implement compliance with the Protocol bindings. The Compliance Committee would have 20 members, ten members in each branch, where decisions would be taken based on consensus or voting of 75% double majority by Annex I and non-​Annex I together. The facilitative branch is tasked with the promotion of compliance with the emissions target, writing, and supplementarity of using the mechanisms. The enforcement branch would be determining compliance to use the mechanism. 13. Turkey was at first grouped under Annex II against their will and never signed/​ratified the Protocol, but their status was changed to Annex I in UNFCCC COP 7. Kazakhstan, as stated earlier, expressed their wish to be treated as Annex I and thereafter opposed by other developing countries; it was allowed to do so and hence would be negotiating as Annex B Party in the future. The enforcement division is capable of charging a levy of 30% on the number of releases that exceed the domestic (or EU-​wide) permits. These extra diminutions with commitment period and nonconformity would also necessitate elimination from the Kyoto Mechanisms. Contracts on the practice of the three Kyoto Mechanisms (ET, JI, and the CDM) were connected to be fulfilled in the second compliance mechanism stated above, along with suitable reporting. In a nutshell, nations have carbon dioxide equivalent permits (Kyoto Protocol, Annex –​B), and all of these three tools generate carbon equivalent offsets under their individual tag. Sinks gave the process of allowing political conciliations (net uptake by forests, land use and land transformation) at COP-​6, part II, at Bonn. At Marrakech, Russia had put a tough pressure to make its allocation twofold on forest sinks to 33 Mt of carbon annually as comparable with Bonn Agreements. Reporting: Accomplishing reporting necessities works as a precondition to becoming eligible for the Kyoto Mechanisms as well as the implementation of compliance. COP-​7 decided on requirements for expert review teams to audit country reports. Three funds were formed, the ‘special climate fund’ and the ‘least developed countries fund’ that supports national adaptation ideas in such nations), both under the aegis of UNFCCC; in addition, an ‘adaptation fund’ was created under the COP 3. The three funds worked as conciliation for the G77 and China and were aided by a combined political pronouncement made by the European Community and its Member States, including Canada, Iceland, New Zealand, Norway, and Switzerland, on their readiness to jointly donate € 450 million/​$ 410 million every year by 2005, with this level to be studied in 2008. The Bonn COP was said it ‘saved’ Kyoto, and it was the Marrakech Agreements that saved both of them. Marrakech would have failed, but the allowances given at the end, especially by the European Union, salvaged the structural design of the Kyoto Protocol. The USA exited Kyoto in the spring of 2001 from the negotiation table, and thereafter Russia, 255

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Japan, Canada, and Australia exercised their authority as decisive participants that were required for ratification. The European Union engaged in a more unified role than earlier in global climate politics. What remained uncertain was the forthcoming role of the USA. It was expected to put forward a substitute plan for the protection of the global climate until mid-​2001, but at Marrakech, it only repeated its doggedness on domestic actions. It was blurred in what way this should be assessed. Several developing states echoed their inclinations for poverty obliteration and fiscal development. They managed to pull out three funds, but they did not approve of compulsory funding. It was not clear how developed nations will place themselves for the global distribution of permits and emission reduction commitments. India’s request for per capita allocations was approximate as politically feasible as the re-​allocation of existing per capita GNP on an equivalent basis. 10.2.3.1.8  2002: COP 8, NEW DELHI, INDIA

The meeting took place between 23 October and 1 November, where about 180 nations around the world met in New Delhi for the UNFCCC COP 8. The Indian Prime Minister said that unindustrialized countries should not be set with the same GHG emission targets as developed nations. The per capita GHG emissions represent a small fraction of the world, and the quantity is below that of numerous developed states, and the position would remain unchanged for many years to come. Climate change alleviation measures would fetch extra pressure on the previously delicate economies of the developing states. They would upset the struggles to accomplish high GDP to exterminate poverty at a speedy rate. Parties accepted the ‘Delhi Ministerial Declaration,’ which asked the industrialized nations for shouldering the bulk of the financial burden and also to transfer technology to unindustrialized States. The Delhi Declaration emphasized the expansion necessities of the underprivileged nations and made no additional pledges to lessen GHG emissions subsequently to the first period of the COP 3. 10.2.3.1.9  2003: COP 9, MILAN, ITALY

The ninth meeting took place from 1 December to 12 December 2003, where people came in with issues such as guidelines for sinks in CDM, guidelines for Special Climate Change Fund, and the significance of the third assessment report (TAR/​AR3) of IPCC. The insertion of forestry-​based services under CDM was an argumentative topic that created splits between the EU, a few Umbrella Group nations, and G77. COP 9 emphasized the submission of national communications and yearly GHG inventories by the Annex I Parties since they were the key to the appraisal of the COP implementations and that any such delay in submission would further postpone the review process and assessment of implementation. COP mentioned the collective GHG emission of the Annex I nations to be lower than 1990 emissions in 2000, chiefly because of the emission reductions by EIT. However, there were instances of emission rise by some Parties. The emissions from worldwide aviation by Annex I countries rose by more than 40% at the end of 1990–​2000. The COP 9 urged for additional intensification of the efforts by Annex I Parties in lieu of UNFCCC objectives and commitments. It encouraged the SBSTA to bring

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out innovation in ways to improve the transparency of GHG projections on a timely basis to ease the making of the 4th national communications. COP 9 appreciated the 2nd report of the Executive Board of CDM. It further asked for the continuation of the report on such activities. COP 9 reiterated the COP 7 decision for mutatis mutandis application to A&R project activities under Clean Development Mechanism, taking into consideration additionality, non-​permanence, leakages, uncertainty, and the socio-​economic and environmental effect, effects on biological diversity, and connected afforestation and reforestation (A&R) activities under CDM. COP 9 repeated that decision regarding the handling of LULUCF activities under CDM should be treated as a part of the agreement on the 2nd commitment period. The COP 9 acknowledged the evaluation by host Parties about their domestic laws and threats associated with the usage of invasive species in A&R projects and Annex I Parties also to make an assessment of the utilization of temporary CER (tCER) and or long-​term CER (lCER) generated from A&R projects that would use invasive species. The tCER expires after five years of its issuance, whereas; lCER terminates at the close of the credit period of the venture. Both tCER and lCER must be substituted once they expire. A&R activity has a crediting period of 20 years that can be renewed twice to about sixty years or a maximum of thirty years. The COP 9 acknowledges the same for the genetically modified organism (GMO) use, respectively. COP 9 chose to embrace the process and procedures for A&R projects under CDM for the 1st Commitment Period. It encouraged the participants of the projects to adopt IPCC Good Practice Guidance for LULUCF and related decisions of CMP to implement A&R projects under CDM. It also called for submission of the modalities for small-​scale A&R projects with a sequestration threshold at 8 KtCO2eq per year but not approved until COP 10. COP 9 requested the SBSTA to start working on scientific, technical, and socio-​economic facets of climate change, susceptibility, and adaptation concerning climate change, mitigation aspects, exchange of information, mutual experience sharing on feasible prospects, and results towards implementing the Convention. COP 9 reiterated the complete, precise, reliable, equivalent, transparent reporting of the GHG from human-​induced emissions by sources and removal by sinks. It agreed that the Annex I Parties must be embracing IPCC Good Practice Guidance for LULUCF for formulating yearly inventories under UNFCCC for 2005 and after. Any supervision related to the formulation and reporting of GHG accounts for LULUCF under the Kyoto Protocol until a further decision is made by COP 10 is excluded. It encouraged the Non-​Annex I Parties to follow to the level possible, the same mentioned above, in making the GHG register to be counted in national communications. COP 9 welcomed the launch of the Global Climate Observing System Cooperation Mechanism, taking into consideration the need of developing nations. COP 9 recalled the COP 7 decision for conducting a review about the competency of the implemented capacity-​building framework in developing nations and the EIT States. It is believed that capacity building is nation-​driven, dealing with the specific needs of developing nations reflecting their approach towards sustainability. It welcomed the approach of GEF towards improving the capacity building. COP 9 welcomed the fruitful exertions by GEF to mobilize resources to the Least Developed Countries Fund (LDCF) and its additional accountability concerning the Special Climate Change Fund (SCCF). It mentioned the enduring approach of GEF for removing the

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barrier and facilitating markets for technologies in renewable energy, low GHG emission technology, sustainable transport, energy efficiency, and energy conservation. COP 9 recalled the COP 1 decision about the authority of COP to guide strategies, program priorities, and suitability conditions to the functioning entity of the financial mechanism and agrees GEF be acting as such. COP 9 emphasized the significance of bilateral and multilateral financial support for implementing activities and measures of climate change. It noted the support of SCCF to achieve the goals of WSSD and MDGs along with a contribution towards integrating matters of climate change into development. COP 9 decided SCCF serves as a catalyst to influence supplementary funds from bilateral and multilateral sources. The SCCF should support nation-​driven, cost-​effective activities that could integrate with sustainability and poverty alleviation approaches. Activities related to adaptation should receive high priority. Even capacity building and technology transfer plans to receive funds from SCCF. Adaptation activities may include land management, water resource management, farming, health, infrastructural developments, fragile ecosystems such as mountains, and integrated coastal zone management. COP 9 noted the contribution of LDCF to improve adaptation capacity for addressing the harmful impacts of climate change. It appreciated the exertions of GEF in preparing quick dealings for financing the planning of National Adaptation Programs of Action (NAPA) and also for its endeavor to organize resources for LDCF. The members approved the Adaptation Fund, recognized at COP 7 in 2001, to be used largely to support unindustrialized nations for their better adaptation to climate change. The account also was to be utilized for capacity building in the way of technology transfer. It was in this session that the decisions to examine the first national reports given by one hundred and ten non-​Annex nations were made. 10.2.3.1.10  2004: COP 10, BUENOS AIRES, ARGENTINA

From 6 December to 17 December 2004, about five thousand delegates, governmental representatives, and non-​governmental organizations met in Buenos Aires, Argentina, and COP 10 marked the tenth anniversary of UNFCCC. COP 10 recalled the decisions of COP 7. It acknowledged the progress made for the implementation of some of its decision. The pronouncement of COP 10 is recognized as the ‘Buenos Aires Program of Work on Adaptation and Response Measures.’ Some of the crucial decisions were: Tackling the hostile impacts of climate change. It involved the following: a) an invitation to the developing nations to the use of urgencies on adaptation and capacity building financed by GEF. b) insisting the Annex II Parties contribute to the SCCF. c) calling the relevant bilateral and multilateral sources for supporting adaptation activities to handle the harmful impacts of climate change. d) insisting upon a review process that is based on national communications post-​ adaptation activities for prevention of any maladaptation and ensuring environmentally sound adaptation activities. e) agreeing on additional implementation by improvement in collecting data, analysis, interpretation, and spread of information to the terminal users. 258

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f) executing experimental projects for carrying forward the adaptation activities, with enhanced technical training for combined climate change effect and susceptibility assessment. g) asking the IPCC for the incorporation of region-​specific modeling information on climate change effects, as far as possible, in the 4 Assessment Report/​AR4. h) made a request to Annex II nations for furnishing comprehensive information about national communication and other individual needs to fight such impacts. Also requested SBSTA for considering the available compiled information on national communications of both the industrialized and developing nations in such context. Effect of application of response measures: a) Appealed the Secretariat and 24 session of the SBI for considering the consequences of workshops organized in the effect of COP 7 decision and also exchanging information on tools and techniques for achieving resilience to the apprehended effects of response measures. The Buenos Aires Program of Work on Adaptation and Response Measures also appealed to both of them (Secretariat and the SBI) for considering the ways to how economic diversity could be integrated to support the sustainable development approach. They appealed for the technical help required for developing structural and institutional capacities to facilitate hard work to accomplish economic diversity and also the ways for encouraging foreign and internal private sector funds. b) Encouraged the Annex II nations to give the necessary information in their national communication about their developments on assistance programs to fulfill the particular requirements and situations of the developing nations that came out as an impact of such enforcement of response measures. c) Encouraged the non-​annex I nations to give the necessary facts in their national communication about their particular needs and issues connected to the impacts arising out of the enforcement of response measures along with identification of gaps in such implementation. d) Also requested the Subsidiary Body for Implementation (SBI) to consider the available compiled information on national communications of both the industrialized and developing nations connected to the impacts arising out of the enforcement of response measures. Building capacity for non-​Annex nations: a) Called for conducting a thorough appraisal of the enforcement of the nature of capacity building in unindustrialized nations. They also sought to do the same at an interval of 5 years from then. b) Restated the validity of the guiding principles, strategies, and primary scope for the structure of the capacity building, as was enclosed in the COP 7 decision. c) Emphasized the continuing involvement of various stakeholders such as NGOs and academic institutes in the enactment of capacity building. d) Capacity building to be incorporated is considered very important by the policymakers. e) Making the availability of funds and technical support through an operating entity of the financial mechanism and requesting GEF to be a functioning entity of the fiscal mechanism. 259

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Building capacity for EITs: a) The COP 10 noted the need for assistance for EIT and various issues being similar to that of developing nations, the lessons learned from developing nations could also be applied to EITs. b) Approved the main challenges faced by EITs in enforcing capacity building activities such as lack of adequate funds and manpower, the question of sustainable capacity, shortage of active stakeholders, failure to incorporate climate change in the national policies, etc. c) Agreed on the scope of capacity building of COP 10 to be in tune with that of COP 7 and emphasized the consideration of the various key factors such as enhancement of supporting environment for the promotion of capacity building approaches to be sustainable and effectual; improving the information sharing; enhancing training, education, and awareness; cooperation amongst EIT Parties; improvement of the nations’ ability to participate in global deals; participation of all stakeholders. Work of LDC expert group: a) Cop 10 requested the LDC Expert Group for preparing the elements to be taken into account for assisting the enactment of NAPA and also to consult with the LDC and thereafter incorporate the presumable technical and financial hardships in the SBI report that they might face in implementing NAPA. They are: • • • • • • • •

the bearings of climate change and adaptation methods; policies for mitigation and their effects; financial mechanism; national communications; capacity building; transfer of Technology; LULUCF; the necessities of the least developed countries (LDCs); UNFCCC Article 6 (instruction, drill and civic wakefulness); enforcement of Kyoto Protocol.

The extent to which unindustrialized nations will enact their pledges depends on how the industrialized States enforce their promises under the UNFCCC. This should involve both monetary resources and technology transfer. It should also justify the fact that socio-​ economic development and poverty extermination are the primary and overruling priority of emerging nations. The above lines describe the social justice and equity part of climate change concerns. Inappropriately these had been essentially disregarded in the deliberations, which are typically controlled by the developed and oil-​producing countries, who spoke further around economic efficiency merely. Countries, such as the USA and the Organization of the Petroleum Exporting Countries (OPEC nations), were more concerned regarding the fiscal impact of altering the vital foundations of their economies and their lifestyle. The social justice and equity dimension for developed countries is an apprehension predominantly for the third world. It was hardly heard and understood and seemed unimportant.

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The conference signified the enforcement of Kyoto and was accompanied by the first yearly meeting of the Parties to COP 3 (MOP 1) that began on 28 November and ended on 10 December 2005 at Montreal, Canada. The COP 11 (MOP 1) was informed on the very first meeting about the number of Parties to the Kyoto Protocol to be 155. Those nations failed to acknowledge the Kyoto Protocol but have given their ratification for UNFCCC to participate as an observer. Notable amongst the observers were the USA, Australia, Iraq, Kazakhstan, Singapore, Turkey, Zimbabwe, etc. The COP 11/​MOP 1 adopted the following agenda related to organizational matters along with other ones: - - - - - -

Position of Kyoto Protocol ratification; Use of procedural rules of the COP; Appointment of replacement officers; Sorting of work together with meetings of subsidiary bodies; Schedule and place of the second MOP; Agreement of report on authorizations.

The COP/​MOP agreed for referring the following items for deliberation to the subsidiary bodies: Capacity building, Adaptation Fund, the performance of income and budget in the biennium 2004–​2005, rights and protections for members serving on instituted bodies under COP 3 was kept under the Subsidiary Body for Implementation (SBI). Whereas report of an administrator of the international transaction logbook under COP 3 and issues connected with Article 2.3 of Kyoto was under the SBSTA. The President of COP/​MOP informed about the formation of the CDM Executive Board. The Chairperson of such board is provided with an overall report covering activities for November 2004 to November 2005. The trend exhibited an increased submission of project activities that had 39 registered CDM with over 500 in the pipeline. The first CERs were issued in October 2005 into the clean development mechanism registry. Eight new entities had been recognized as ‘designated operational entities (DOE)’ for authentication purposes, making a total of twelve. Three were recognized for verification/​certification purposes. The Chair of the CDM Executive Board expected a generation of over 500 million CERs by 2012 from around 500 projects that pursued validation from the DOE. To make CDM self-​financing in the 2008–​2009 biennium, the Board suggested a share on proceeds for bearing administrative expenses. It called for want of voluntary donations during 2006–​07 for the CDM to respond to tasks into the future. The decisions adopted represented a total of years of endeavor and marked a milestone towards addressing the most pressing issue of climate change. The Marrakesh Accords were accepted as a feat in the history of multilateral dialogues. Such adoption of decisions by the global community would assist in implementing an effective mechanism to restrict emissions. Some notable decisions taken were given below: (1)

Ideologies, nature, and possibility of mechanisms agreeable to Article 6, 12, and 17 of COP 3; (2) Process and methods for CDM in Article 12 of COP 3; 261

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(3) Process and methods for A&R activities under CDM in the first commitment period of COP; (4) Process and methods for small scale A &R activities under CDM in the first commitment period of COP 3 and steps for facilitating implementation; (5) Assistance to implement Article 6 of KP; (6) Regulations and ideologies for ET under Article 17 of KP; (7) Methods of accounting AAU under Article 7 of KP; (8) LULUCF; good practice and help for LULUCF; (9) Guidelines for review under Article 8 of the KP. The President remembered Article 6 of the COP 3 about JI, recalled about adopting a decision of including draft decision along with an annex comprising guidelines for implementing Article 6. The COP 11 agreed to form Article 6 Supervisory Committee, which was subsequently changed to the Joint Implementation Supervisory Committee. In respect to Article 3.9 of KP, Russia advised for a directive of an ad hoc working group for developing appropriate methods for approving voluntary commitments by the nations that desired to do so. Quite a few others stressed the necessity to formulate for the first review of KP and also communicated their keenness in providing information to other members of their preparative work. Some opined that providing opinions could maximize the efficacy of the forthcoming review. The ‘Montreal Action Plan’ was a covenant to ‘extend the life of the Kyoto Protocol beyond its 2012 expiration date and negotiate deeper cuts in greenhouse-​gas emissions.’ 10.2.3.1.12  2006: COP 12/​M OP 2, NAIROBI, KENYA

Held from 6 November to 17 November, the meet at Nairobi emphasized the issues: marching ahead with adaptation, refining equity and availability of CDM, revising the directive of Expert Group on Technology Transfer (EGTT), and upholding impetus in deliberations on post-​2012 climate management. The COP 12 welcomed and noted the pledge of US $60 million to SCCF from the probable donors meeting and acknowledged the assistance of GEF for mobilization of supplementary resources in implementing qualified projects under the Special Climate Change Fund (SCCF). Further, it also acknowledged the task of GEF to operationalize the Special Climate Change Fund (SCCF). The activities should be cost-​effective and incorporated into the nation’s sustainable development, and poverty alleviation approaches. It decided that the Special Climate Change Fund (SCCF) should be employed to fund projects linked with climate change. Such projects might range from energy efficiencies, renewables, improved fossil-​ fuel technology, climate-​ friendly farming practices comprising traditional ones, A&R activities, usage of marginal lands, methane recovery from solid waste management (SWM), and liquid waste management (LWM) to national capacity building in economic diversification. For the appraisal of the financial mechanism, keeping in mind that adaptation is the topmost priority for all particularly, LDC and SIDS, the biggest share of funds of GEF was assigned to longstanding mitigation projects. COP 12 requested the GEF to raise awareness and help the developing nations to use GEF funds. It also requested the SBI) to start the

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4 review of the financial mechanism. Further, the GEF had been requested for simplification of processes of receiving funds by developing nations for implementing commitments under Article 4 of the UNFCCC. Also, to finance the Parties not incorporated in Annex I of the UNFCCC that had obtained top-​up funding but failed to conduct their technology needs assessments. The COP 12 decided for the continuation of the demonstration of undertakings executed cooperatively. In response to Croatia’s pleading about Article 4.6 of the UNFCCC, the COP 12 decided to permit Croatia for adding 3.5 million ton CO2e to its 1990 greenhouse emission level not delimited by the Montreal Protocol for the establishment of the emissions level for the base year for carrying out its commitments under Article 4.2 of the UNFCCC. Despite criticism, definite steps were taken, together with the extent of backing to be provided for non-​Annex nations and CDM. The Members embraced a five-​year ‘Nairobi Work Programme on Impacts, Vulnerability, and Adaptation to climate change’ to assist the process of adaptation to climate change by the developing nations. The 12th Conference of Parties requested the SBSTA to reconsider the working areas of the ‘Nairobi Work Programme on Impacts, Vulnerability, and Adaptation to climate change’ with the purpose to make commendations about the best way to back the goals of the Nairobi Work Programme. The objective of the program was to help the developing nations especially LDC and SIDS to better their comprehension and evaluation of impacts, susceptibility, and adaptation; as well as to help all the Parties to make cognizant decisions on adaptations on a scientific, technical and socio-​economic basis considering both the present and forthcoming climate change and the variations. 10.2.3.1.13  2007: COP 13/​M OP 3, BALI, INDONESIA

The thirteenth session assembled pursuing Article 7.4 of UNFCCC in Nusa Dua, Bali, between 3 December and 15 December 2007. The President asserted about the developments made in accomplishing the impartial sharing of CDM projects in Africa. He expressed that the discussions on long-​standing co-​operative action to handle climate change by boosting implementation of the UNFCCC and Ad Hoc Working Group on Further Commitments for Annex I Parties under KP resulted ultimately in a political impetus. The COP 13 marked the adoption of significant decisions, a few of which were: Bali Action Plan, 4th Assessment report of IPCC, reducing emissions from deforestation in unindustrialized nations, 4th review of the financial mechanism, progress and transfer of technologies under the SBSTA and the SBI respectively, reporting on global observing systems for climate, etc. The COP 13 reaffirmed the global priorities to be social and economic development along with poverty extermination. The results of IPCC FAR on climate change were indisputable and that any delayed response in emission reductions limits the possibilities to attain lower stabilization levels and raises the chances of more stark effects of climate change. Members approved a ‘Bali Action Plan’ (BAP) to mitigate greenhouse gas emissions currently and post Kyoto regime beyond its expiry in the year 2012 effectively and sustainable implementation of UNFCCC through longstanding participatory activities. There were no requirements for binding greenhouse gas targets for the non-​Annex nations in the ‘Bali Action Plan.’

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The COP 13 decided on improved national and global actions on mitigating climate change taking into consideration: - measuring, reporting, and verification of nationally appropriate mitigation pledges that comprise calculated emission limits by every industrialized nation Parties. They also considered their variability of exertions and variation in national situations; - nationally appropriate mitigation actions by unindustrialized nation Parties assisted with technology, funding, and capacity building in a calculated, reportable, and variable way; - guidelines and optimistic enticements for issues on REDD and the task of concerning the sustainable development of forests and the increase of carbon stock in unindustrialized nations. Before Bali meet, many of the nations stated about the four pillars, such as mitigation, adaptation, technology transfer, and financing as key entities of a post-​Kyoto deal. The ‘Bali Action Plan’ echoes the principle of ‘CBDR’ for the nations, in the backdrop of socio-​ economic differences. The first entity, ‘mitigation,’ refers to regulating emissions and decreases in emission. The BAP opined the negotiation for the setting of targets towards mitigation to be agreed by 2009 at COP 15. The second entity was related to ‘adaptation’ and the fund for adaptation. Adaptation reveals the rising acknowledgment about the pressing need to adapt to climate change, and thoughtfulness would have to be directed towards unindustrialized states, who hardly could afford adaptation, predominantly lowlands, and small island states. Wide-​scale and expensive investments in infrastructures are the need of the hour to bear with the effects arising out of climate change. Dykes and shorelines must have to be reinforced to counter mounting sea level and frequent storm events, and cropland productivity would have to be adjusted to changing situations, rainfall patterns, and water obtainability. Technical expertise and funding, both of these, are related to the varying financial capabilities of nations. The different financial capabilities link mitigation and adaptation activities of the unindustrialized nations with pledges from the industrialized States to support them. The COP decided that financing adaptation projects under CDM of Kyoto would be handled temporarily by GEF which would be operating under the supervision of COP/​MOP. The existence of the Adaptation Fund would be for the period of the 1st commitment period of the KP (2008–​2009) and would be funded through a 2% tariff on CDM projects. The current value of the fund at that time was 37 million euros, which could rise to about 80–​300 million euros in the first commitment period of Kyoto. Though, in reality, billions were required for mitigation and adaptation programs in developing nations by use of technology transfer. Any upcoming contract would require cautious equilibrium between the obligations by industrialized and unindustrialized nations with diverse socio-​economic and geo-​physical features on all of these four pillars. The third entity was ‘REDD or reducing of emissions from deforestation in developing countries.’ The COP 13 decided the continual work of the appropriate expert group on definitions and calculation of emissions from deforestation and forest degradation. This would, in turn, assist in implementing Clean Development Mechanism activities backed by $300 million forest funds along with another $200 million by the World Bank to help carbon credit projects meant for stopping deforestation. 264

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The fourth and final entity was the issue of ‘technology transfer,’ where the COP 13 agreed on the advancement of institutional arrangements, performance indicators for assisting effective technology transfer. At the end of COP 13, many members conveyed their happiness regarding the approval of the Bali road map (for details read the document from https://​lib.ici​mod.org/​rec​ord/​ 13744 and www.ind​iaen​viro​nmen​tpor​tal.org.in/​files/​4_​17.pdf). The conclusions in Bali were able to establish a novel way of accomplishing a negotiation by the year 2009. The Bali Roadmap is a roadmap with ‘several tracks and numerous milestones.’ It involved a two-​year course in hitting a binding agreement at Copenhagen in 2009 ultimately. The ‘Bali roadmap’ talks about a conclusion by COP 13 and a chain of COP/​MOP 3 conclusive choices that are planned to provide a path and contour a two-​year discussion to confirm a post-​2012 system by the COP 15 and COP/​MOP 5 in 2009 December. The acceptance of the Bali Action Plan did not speak out aspiring goals that many Parties had expected, but the commitment of the USA to the roadmap was noteworthy that specifies the need for reducing longstanding greenhouse gas releases. The treaty seemed possible when the solid unyielding position was given to the USA by the European Union (EU) and the foremost developing states. But then again without the USA’s approval, there could be no official dialogues on a forthcoming all-​inclusive climate negotiation. Recalling that Kyoto Protocol received the support of the Clinton-​Gore administration, which was outrightly rejected by President Bush in 2001 and even after Kyoto enforcement in 2005, The USA government persistently thwarted the development of fresh emission targets relevant to post Kyoto phase. Their involvement in primary deals for a post -​2012 agreement in the earlier COPs was opposed by the EU and the green NGOs. The USA continued insisting on the necessity to include developing nations in binding commitments. Being the biggest emitter and one of the topmost per capita emitters, the USA is also one of the richest and highly advanced nations in terms of technology. Developing countries with emerging economies such as China and India had denied initiating talks about assessable mitigation activities, so long the USA does not honor the basic foundation of UNFCCC. India emphasized the need for assistance from developed nations for assessment and verification, which was accepted by the European Union. South Africa, on behalf of G 77, stated that developed nations’ block had failed to make a considerable move, whereas it was the developing nations that had moved the most in terms of new steps and pledges beyond UNFCCC’s expectations. On behalf of AOSIS, Tuvalu stated about would lose everything in the absence of no or a weak plan further emphasized by the European Union, African, and Asian nations. Supporting involvements were lacking from the Umbrella group earlier known as JUSCANZ and later on included Norway and Russia. The Bali road map stepped out ‘to reach an agreement on long-​term cooperative action up to and beyond 2012 to be adopted at its 15th session in Copenhagen in December 2009’ and ‘recognizing that deep cuts in global emissions will be required to achieve the ultimate objective of the Convention’ (UNFCCC, 2007a). Discussions and deals were to be piloted by a fresh ‘Ad Hoc Working Group on Long-​term Cooperative Action’(ADG LCA) underneath the patronage of UNFCCC to continue with the progression. The UNFCCC desired to establish two subsidiary organizations. One was called Ad Hoc Working Group on Long-​term Cooperative Action (AWG-​LCA) and the other was Ad Hoc Working Group on Further Commitments for Annex I Parties under the Kyoto Protocol (AWG-​KP). Along with the two regular subsidiary bodies of UNFCCC, i.e., the SBI and the SBSTA, the two ad hoc groups would also coordinate for the management of the amount of work 265

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of the Convention. The Bali Roadmap is momentous as it was able to establish a process that could at least substitute Kyoto Protocol taking into all countries at least theoretically. Nevertheless, there was a high possibility that some Parties to Kyoto from developed nations could utilize the novel negotiating pathway to bypass additional aspiring pledges to be contracted in the ad hoc working group of the Kyoto Protocol. Australia, which maintained silence, finally signed and ratified Kyoto, thereby putting the long period of climate policy inaction to an end. BAP was rough, and goat tracked. The consequences of BAP were mainly bureaucratic but were deficient in courage. Its intents were quite tough on one hand but feeble in terms of ingredients leading on a cliff edge. It was still a critical route towards the COP 15 at Copenhagen. 10.2.3.1.14  2008: COP 14/​C MP 4, POZNAN, POLAND

The Adaptation Fund was launched under the KP. The Fund was made up by charging a 2% tax on the CDM projects. Moreover, the Contracting Parties approved of the legitimate capability for granting direct contact to the emergent nations. The nations initiated discussions on the funding procedure to assist the underprivileged nations in acclimatizing to the effects of climate change. Diverging views on important issues were recognized especially, the issues connected with expanding the existing funding for adaptation and developments to the CDM projects. 10.2.3.1.15  2009: COP 15/​C MP 5, COPENHAGEN, DENMARK

(www.nrdc.org/​sites/​defa​ult/​files/​Cop​enha​gen%20acc​ord.pdf) A highly controversial agreement, ‘the Copenhagen Accord’ that validates Kyoto Protocol was made within closed doors by the USA and Brazil, China, India, and South Africa (BASIC) had raised tremendous disagreement amongst the delegates excluded from this behind the curtain meeting. It was ‘taken note of’; it wasn’t ‘adopted’ and remained unsuccessful in being passed unanimously. It re-​establishes the fact of climate change to be considered amongst all as an utmost threat of the period, and a tough political desire becomes immediate based on ‘common but differentiated responsibilities’ and individual capacities. This agreement identifies the need for severe reductions in worldwide productions as per the reports put forward by the IPCC, Fourth Assessment Report. This agreement approves assistance in ‘peaking’ (preventing from increasing) of GHG releases both globally and nationally as early as conceivable and agrees to the improvement of a low-​carbon strategy that becomes indispensable towards achieving sustainable development. The accord emphasized the immediate need to prevent harmful anthropogenic intervention with the climate system and hence had put forward the notion of arresting the global temperature rise below 2°C. That effort should be made to consolidate the objective by restricting temperature rise to 1.5°C. The accord stated the need for improved actions and worldwide collaboration on climate change adaptation that has become immediately compulsory. Such cooperation is to lessen susceptibility as well as develop resilience in emerging nations, particularly the countries which are weak such as the LDCs, SIDS, and African nations. It also opines the provision of satisfactory, foreseeable, and sustainable monetary resources, skill, and capacity

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building by the industrialized nations to assist the enforcement of such adaptation actions in poor states. For mitigation, the document agreed that industrialized nations should pledge towards economy-​wide emission goals for the year 2020, and such submissions are made by 31 January 2010; the Parties would also work on the reinforcement of their current targets. The COP guidelines would be followed for the Measurement, Reporting, and Verification (MRV) for the delivery of reductions and finance by developed countries. Further, the implementation of mitigation for non-​Annex I Members would be through Brazil, China, India, and South Africa (BASIC) to reduce growing emissions of carbon to be submitted by 31 January 2010; LDC and SIDS would be taking voluntary actions with the assistance of global backing. Non-​Annex I Parties would be reporting the activities only one time every two years through the climate change secretariat of the UN. Such reporting is based on their national MRV, but NAMAs that would seek worldwide support has to be based on global MRV. The accord recognized the critical part of ‘Reducing Emission from Deforestation and Forest Degradation’ and the necessity to increase abstractions of GHG releases by forestry,’ and also the necessity to begin an instrument (counting REDD-​plus) to allow the deployment of monetary funds from industrialized nations to aid in attaining this. Emerging countries, particularly the ones with low-​emitting economies, ought to be rewarded with enticements to endure to continue and progress on a low-​emission pathway. The agreement settles that industrialized nations would raise funds of $30 billion from 2010–​2012 of novel and supplementary resources. It decides on a global aim for the collection of $100 billion annually by the year 2020, from a varied range of fonts to help developing countries in cutting down carbon releases (mitigation). Fresh multidimensional funds for climate change adaptation will be distributed to an executive organization. It launched a ‘Copenhagen Green Climate Fund’ as a functioning unit of the monetary instrument –​for funding projects, programs, policies, and other actions in non-​Annex I nations allied to extenuation. The accord called for augmenting technological advancements and their transfer. Japan agreed to donate $15 billion through 2012 towards the start-​up fund; whereas European Union frontrunners agreed to contribute $10.5 billion over the subsequent three years to contribute to the ‘Copenhagen Green Climate Fund.’ the USA assured a reasonable portion to meet the aim, but the funding is depending on a non-​Annex I nations commitment to bring about transparent cut in emissions. To prevent deforestation USA assured a sum of $ 1 billion in participation with other nations to make a total of $3.5 billion to stop destructions to forests in the tropics. The then Energy Secretary made the introduction of Renewables and Energy Deployment Initiative, also known as Climate REDI, meant for funding for the coming five years a sum of $85 million to the fund of $350 million globally. The purpose of this fund would be the implementation of clean energy technology in the unindustrialized States. The most important role in shaping the Copenhagen Accord was by the USA. Though 28 nations knocked it out, 188 countries acknowledged it. The five nations to refuse the Copenhagen Accord were Cuba, Venezuela, Bolivia, Nicaragua, and Sudan. Bolivia, Nicaragua, and Cuba feared that reducing pollution from carbon by consuming less amount of oil would lead to the loss of major revenues. Two countries that were buyers of Venezuelan oil expressed obligation for their patron. The significant developing States of Brazil, South Africa, India, and China were self-​assured to bring about obvious reductions in pollution by cutting out emissions. Though 31 January

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2010 was the initial deadline for submission of emission pledges for 2020, countries were requested to do so even after the deadline. As compared with 1990 emissions, the emission reductions pledges of the following nations were as follows: Russia to cut emissions by 15–​25%, Japan by 25%, European Union by 20–​30%, and Ukraine by 20%. Australia pledged to cut down emissions between 5 and 25% compared to the emissions of the year 2000. As compared with 2000 emissions, the emission reductions pledges of Canada were 17% and the US: 17%. Whereas as compared with 2005 emissions the emission reductions pledges of China: 40%–​45% and India: 20%–​25%. Other countries such as Brazil pledged for an emission cut between 36.1 and 38.9%, Indonesia, Mexico, South Africa, and South Korea committed for 26%, 30%, 34%, and 30%, respectively, as compared to their usual business. 10.2.3.1.16  2010: COP 16, CANCÚN, MEXICO

Balanced packages of decisions were agreed at COP 16 at Cancún, Mexico, between 29 October and 10 December 2010. The issue of health was given more emphasis than any other COPs of UNFCCC. The Ad Hoc Working Group on Long-​term Cooperative Action noted the resolution of the UN Human Rights Council on human rights and climate change that accepted the direct and indirect bearings of the harmful impacts of climate change on human rights. It also stated that such impacts would be felt severely by the most susceptible community in terms of age, gender, geographical location, etc. The COP 16 accepted the need for every Party to have a vision based on long-​standing cooperative action based on equity, individual capacities, and common but differentiated responsibility. The vision addressed mitigation, adaptation, technological progress, transfer of technology, capacity building in a sensible, integrated, and all-​ inclusive manner to improve and fulfill effectual and sustainable enactment of the Convention at the present and future. It called for scaled-​up overall mitigation exertions with equal emphasis on adaptation that could be improved with necessary institutional arrangements and global cooperation to decrease vulnerability and build resilience in unindustrialized nations. The COP 16 agreed to the establishment of the Cancún Adaptation Framework for improving actions on adaptation along with an Adaptation Committee. Adaptation works were to be based on individual capacities, particular domestic priorities, and common but differentiated responsibilities. The work comprised of planning, susceptibility assessments, consolidation of institutional capacities, and improved disaster risk reduction strategies that are based on the Hyogo Framework of Action, along with effective research and development, improved data, education, awareness, observation, modeling, and analysis. It recognized the report of Intergovernmental Panel on Climate Change 4th Assessment objective which was holding the rise of below 2°C overall rise in temperature, strengthened further based on existing scientific knowledge about increasing of 1.5°C; each country needs to undertake serious actions for the fulfilment of this target. COP 16 agreed on the target of UNFCCC and BAP for reducing the emissions considerably by 2050. It called the developed nations Parties to augment the desire of their economy-​wide goals of emissions decrease. It decided that such nations should be submitting their yearly GHG registers, its reports, bi-​yearly reports on improvements in accomplishing emission reduction, reports on mitigation activities, and the reductions in emission achieved along with additional information. They were also required to make improved reporting on 268

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providing financial, technical, and capacity-​building support to unindustrialized nations. It agreed on the establishment of domestic arrangements for estimating man-​induced GHG releases from the sources and removal by sinks of those not included under the MP as well as international evaluation of the same under SBI. The COP 16 restated socio-​economic development and poverty extermination being the priorities of developing nations, their contribution to GHG emissions would increase for meeting their social and development requirements. Such countries would be taking nationally appropriate mitigation actions/​NAMA assisted by financial, technical, capacity building support to achieve a deviation in emissions in 2010. They need to establish a registry for recording NAMA for those that sought global support and submission of the same to the secretariat along with the time needed for employment, costs, and reductions in releases. As per their respective capacities and the support received, they were also required to submit their bi-​annual report comprising national GHG inventories, registry reports, mitigation activities, and help received. The developing nations’ Parties should be putting an effort to restrict and stop and revert loss of forest cover and carbon. They should bring out means for reducing human pressure on forests; make a contribution towards mitigation by decreasing emissions from deforestation and forest degradation, conserving and improving forest carbon stocks, sustainable management, etc. The COP emphasized the significance of the improved mode of production and consumption, sustainable lifestyles, provision of incentives supporting low emission development strategies. The COP acknowledged the outcome of the response measures for mitigating climate change by a Party to be negative on socio-​economic development on another. The states need to incorporate response measures with socio-​economic development to avoid harmful impacts, achieve sustainable growth, and exterminate poverty. The COP 16 confirmed the significance of improved support of domestic and international cooperation to develop eco-​friendly sound technologies to developing nations towards mitigation and adaptation efforts with the creation of a Technology Mechanism encompassing a Technology Executive Committee and a Climate Technology Centre and Network. It agreed towards ending the command of the Expert Group on Technology Transfer at the 16th session of COP. The COP 16 noted down the pledges by industrialized nations to deliver fresh supplementary resources, comprising forestry and funds, nearly about the US $30 billion from 2010 to 2012 with a proportional share between adaptation and mitigation with adaptation funds ranked for very susceptible nations (LDCs and SIDS). It acknowledged the goal of developed Parties to collectively mobilize the US $100 billion annually by the year 2010 to support the unindustrialized nations’ needs. The funding to developing countries could be from private, public, bilateral, and multilateral sources. The COP 16 decided on the flow of a significant proportion of multilateral funding through the Green Climate Fund and created a working entity of the financial mechanism of UNFCCC. It invited World Bank to function as an intervening trustee for Green Climate Fund. The agenda was moreover on an agreement on a ‘Green Fund’ to disburse the assistance that the industrialized countries vowed at Copenhagen. The developed nations pledged $100 billion annually by the year 2020 to the unindustrialized nations to acclimatize climate change. This is to be undertaken by the construction of the seawalls and altering agriculture configurations and also connecting clean energy sources. The Cancún 269

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Agreements brought in the vital components of the Copenhagen Accord UNFCCC that included mitigation pledges, a Green Climate Fund for developing nations, and a scheme to help validate countries’ activities. The agreement hinged on discovering a system to finesse the more challenging queries like, when, and in what form states would take compulsory obligations. The developing nations expected better transference of patented green technology from the advanced nations. As anticipated, the countries failed to embrace a binding climate deal. Hence, the outcome of the summit was a nonbinding treaty, that called the Annex I countries to bring down their GHG releases by the quantities they promised one year back at the COP15. Yet again, these cuts were legally nonbinding. The agreement came up with a Green Fund and $100 billion annually that the rich nations would provide to the poorer nations to fund the programs for cutting down releases and dealing with the drought. The fund pattern for Green Climate Fund was not decided upon, and neither was an assurance to a subsequent term of the KP after the first term was settled upon. India had stuck to its earlier stand of not accepting ‘binding emission cuts’ but relaxed by announcing to consider approving the compulsory cuts at a certain point of time in the forthcoming days. 10.2.3.1.17  2011: COP 17, DURBAN, SOUTH AFRICA

The Kyoto Protocol would expire at the end of 2012, and Copenhagen and Cancún talks have failed miserably. The 17th Conference of Parties took place at Durban from 28 November to 11 December 2011. The COP accepted the extension and continuation of the Ad Hoc Working Group on Long-​term Cooperative Action for 12 months to reach the approved outcomes of COP 13. Parties established an exercise to discuss a post-​2020 agreement in the fashion of a ‘Protocol’ that would be implied but not clearly instructed that it would be legally binding. The Agreement would be valid on all Parties. The Agreement could commendably quit the blatant distinction between industrialized and unindustrialized nations under the Kyoto Protocol. The Protocol would function through an Ad Hoc Working Group on the Durban Platform for Enhanced Action under the Convention. The COP decided to initiate discussions on a mandatory lawful agreement encompassing every nation that would be embraced in 2015, about post-​2020. This Group should be commencing its work by the first half of 2012 and also should have completed its work by 2015 latest to make the Protocol workable legally at the 21 session of the COP and enforceable since 2020. The COP 17 decided the planning of mitigation, adaptation, finance, development of technology and its transfer, transparency, capacity building, reports of experts from technical, socio-​economic fields by the Ad Hoc Working Group on Durban Platform for Enhanced Action. The COP 17 recalled the COP 13 and COP 17 decision for an elaborative shared vision on long-​standing supportive action for the continuation of the work to detect the global goal to reduce the world emissions by 2050 considerably. The COP 17 ensured comparability of mitigation exertions amongst the Parties of developed nations in terms of MRV. It sought the preparation of reports once in two years with the assistance of ‘UNFCCC biennial reporting guidelines for developed country Parties’ considering their domestic situations. These Parties had their submission of their first report by 1 January 2014 to the Secretariat, followed by subsequent reports two years alternately. Likewise, Annex I 270

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Parties were required to submit the entire national communication 4 years alternately with the coming due date to be 1 December 2014. The COP 17 encouraged Annex II Parties to help Annex I EIT Parties in preparing them once in two-​year reports. The COP 17 agreed to set up a work program under SBSTA for developing a uniform tabular format for information reporting through a web-​based registry, which would be controlled by the UNDCCC Secretariat. The unindustrialized nations could use the registry in the form of a display place for uploading their Nationally Appropriate Mitigation Actions (NAMAs) voluntarily. The web-​based electronic registry would contain the NAMA that sought international assistance to ensure correct correspondence of funding, technology, and capacity-​building support. In the case of developing nations, COP 17 approved for the continuation of well-​organized workshops in 2012 to understand the variety of mitigation activities in the backdrop of various domestic situations as well as individual capacities of developing nations. It further requested the SBSTA for the formulation of guiding principles for the national MRV of NAMA. For the non-​Annex I Parties, the first report once in two years should have been submitted by December 2014, based on their respective capacities and assistance received, whereas LDCs and SIDS could do so at their choice. The non-​Annex I Parties should also submit their request timely to receive the support. At Durban, the second commitment period for Kyoto was decided. The second commitment was agreed to start on 1 January 2013 and was to close by December 2017 or 2020. Canada, Japan, and Russia rejected participation in the second commitment period. Confirmation for subsequent 2020 schedules was decided upon to be confirmed by 2015 that would have been executed 2020 onwards. ‘Quantified emission limitation and reduction objectives (QELROs)’ for industrialized nations, those who are Parties to the Kyoto Protocol, would be fixed during 2012. The Parties decided on several progressive measures on finance, transparency, and other elements of the Cancún Agreements. The ceremonial formation of the Green Climate Fund (GCF) is the utmost imperative that would support mitigation and adaptation in unindustrialized nations, and strong desires for the reporting and reviewing of nations’ exertions in alleviation. In terms of policy approach, COP 17 confirmed the activities already taken to REDD as well as to improve forest carbon stocks in developing nations. Referring to COP 16 decision, it realized that positive enticements could enhance the promotion of poverty alleviation, biodiversity services, ecological resilience, and connections between adaptation and mitigation. For improved actions on adaptation, COP 17 recognized the Adaptation Committee to be the overall Advisory body to the COP, the purpose of which was the promotion of the enforcement of improved action on Adaptation coherently by strengthening and improving the sharing of pertinent information, expertise, experience, and best practices. In the case of financial matters, a Standing Committee was set up that should report and make commendations to the COP. It welcomed the fund donated by the developed nations collectively, provisioning fresh and supplementary resources around the US $30 billion for the 2010 to 2012 period. It also recalled the developing country Parties’ pledge for a fund that would be distributing $100 billion annually to aid poor nations for mitigation and pellucidity on implementation to impacts of climate change by the year 2020. World Resources Institute (WRI) played a very important part as a monitor in this process to safeguard transparency, participation, and accountability in both Green Climate Fund (GCF) designing and operations. 271

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COP 17 decided the start of activities by the Climate Technology Centre and Network towards the fulfillment of the necessities of developing nations, and the associated expenses should be financed from bilateral, multilateral, private sectors, charitable sources, and the financial instrument of the UNFCCC. Argentina, on behalf of G77 and China (G-​ 77/​ China), held support for the 2nd commitment period under COP 3 in the context of stable and comprehensive Durban outcomes. Representing the Umbrella Group, Australia supported a changeover in the direction of a climate change framework counting all major economies, considering the nations’ abilities. The European Union (EU) opined that Durban meet must speak about the gap in the ambition level, a common worldwide accounting system, and a method to convey a fresh international all-​inclusive legally-​binding framework to be accomplished by 2015. For the Environmental Integrity Group (EIG), Switzerland sketched 3 significant stages for Durban: • harmonizing on crucial components of a global organization after 2012; • introducing a mechanism to promote the strengthening of the regime in the mid-​ term; and • approving the vital components of a collective vision, as well as a long-​standing international aim for a decrease in emissions and a date for reaching the peak of worldwide discharges. Grenada [in lieu of the AOSIS], braced a procedure of scaling up the ambition of mitigation commitments; a 2nd Kyoto commitment period; a Durban mandate supporting a legally binding agreement in harmony with ‘Bali Action Plan’; executing the new establishments recognized in Cancún and revising the competency of the long-​ standing international objective for decreasing emissions. Largely, the Durban outcome is variegated but delivers features of a strong groundwork to rest upon as long as nations strive to thrust for short-​term ambition and to change in the direction of low-​carbon development. The Durban Platform was an authorizing document, which distinguishes the emissions gap, endorses the long-​term goal, reinstates confidence in multilateralism, and points to a forthcoming command that has a legitimate force and widespread membership. The extension of Kyoto is an optimistic improvement as it conserves significant instruments such as emissions trading and the CDM. It additionally signifies a significant political signal by a set of foremost developed countries. On the other side, there were many important inadequacies, particularly with certain Long-​term Cooperative Action (LCA) versions. 10.2.3.1.18  2012: COP 18, DOHA, QATAR

The governments of all countries universally accepted the fact of staying below 2°C rise in global temperature at least and recognized the urgency of a speedy response in the way of international policy response as well as enhanced action on the same in national and regional levels and global business. They also decided to adhere to the tasks and timetable they had fixed to reach an effectual, justified global climate deal that was to be adopted in 2015 and to be enforced since 2020. COP 18 began on 26 November and ended on 8

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December 2012, Doha, Qatar. The COP 18 becomes not only significant as the other COPs preceding it but marked as a turning point in the global climate policy. The significance is because the earlier division of developed and developing nations was to merge into a fresh global deal for all nations, a nation that had the highest per capita emissions of CO2. The dilemma was about how to formulate such an agreement that, on the one handheld all the principal GHG emitters to their commitment and on the other warranties that contributions of contract Parties differ based on individual economic capability. For a reasonable conciliation, the developing nations and SIDS should be supported financially and technologically. The possibility of a satisfactory outcome depended on fresh coalitions favoring the process. As a host country, Qatar could be significant in terminating the timewasting policies of oil-​exporting countries. Germany and the EU would be important in giving a combined and European approach for renewing Durban Alliance with the LDCs, SIDS, and African negotiating group. Earlier, the climate deal took place in 2 working groups: the Ad Hoc Working Group on Further Commitments for Annex I Parties under Kyoto Protocol (AWG-​KP) and the Ad Hoc Working Group on Long-​term Cooperative Actions (AWG-​LCA). The first group comprised the entire Annex I nations where the emission reduction pledges of developed nations under Kyoto after the expiration of the 2012 term period were dealt with. The second group comprises all 194 signatories of UNFCCC but is dominated by developing and non-​Kyoto industrialized nations. In Durban, it was decided for the transference of the two-​part dealing system into a general method under Ad Hoc Working Group on the Durban Platform. Developing nations continued their argument that climate change was due to the resource-​intensive and emission growth path by developed nations that have accomplished business missions for tens of years at the cost of a global community. Hence, it should be them to bear the burden of climate change. On the other hand, developed nations said that since UNFCCC 1992, the world had transformed drastically. The fast economic growth in emerging nations such as China and India is also accountable for a greater share of worldwide emissions and hence enough to soften the conventional classification between developed and developing nations. The most significant matters required to be decided in Doha were the duration of the 2nd commitment period of Kyoto and ways of converting the targets into what is known as QELROs. The QELRO stands for the unit of compulsory reduction pledges and also a legally binding amendment to the Kyoto Protocol for carrying over unutilized emission credits of EIT in the 2nd phase of the Kyoto Protocol. Developed nations preferred five years while the developing nations wanted eight. The EU was the only exception that went with the developing nations for eight years. Kyoto aimed to reduce GHG discharges as compared to the base year 1990 by 2020. Advanced proposals were submitted by the Annex I Parties for their reduction contributions to be finalized in Doha. EU has also submitted its respective reduction objective of 20% by 2020 quite unexpected to the developing nations and civil society organizations who expected more from the EU. Earlier it announced for 30% reduction provided all nations go for a binding deal. In reaction, they said that their member countries were accountable for 11 % of the global emissions and that they could not bring down emissions alone. It might be a worldwide economic recession and Euro crisis that could be the reason for the EU’s reluctance to support international climate change policy. Above all the disagreements between heroes such as Germany, the UK, and Denmark that supported higher reduction targets and

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obstructionists such as Poland who were against such efforts that made it all the more difficult to follow a uniform method. The USA again was still unprepared for ratifying Kyoto despite being one of the greatest GHG emitters. The KP provided for the transference of the surplus emission rights/​assigned amount units to the 2nd commitment period; as per UNFCCC, the number of surplus emission rights amounted to 13 billion, three times more than yearly emissions of EU and twice as much as the USA. Such a high surplus might be for three reasons. Firstly, a low setting of the Kyoto target, secondly, granting more emission rights to some countries such as Russia and Ukraine because of the downfall of their industries after 1990, and thirdly absence of potential demand in the USA as it was a non-​Party to KP. These excesses, also called ‘hot air,’ could be sold to nations that did not reach their reduction targets –​thereby increasing the quantity of GHG releases allowed globally –​ultimately leading to a fall in CO2 price and more GHG emissions. So, the second commitment period needed to fix the matter on surplus emission rights, which might have three options. 1. Transferring the surplus certificates into the second commitment period. Such unlimited AAU transfer would cause a remarkable fall in ambition levels and relax the earlier Kyoto targets. 2. Temporary removal of the certificates from the market and later re-​ entering (backloading), the concept traced back to a suggestion from the European Commission in June 2012 for amending the Emissions Trading Directive. The purpose was to hold a temporary restriction of certificates to be auctioned in the EU Auctioning Regulation, meaning certificates meant for auction in 2012–​2013 would be able to be auctioned in 2018–​2020. 3. Permanent removal of the surplus certificates. A parallel suggestion from the African negotiating group and AOSIS that planned to remove around 95% of the excess. EU failed to agree; most of them agreed on unconditional transfer –​strongly out ruled by emerging nations that were severely affected by climate change as such transfer would shake the integrity of KP. The eastern European nations asserted on keeping their rights and Poland in early October 2012 sold AAUs to Spain that was worth more than €40 million. Poland was against the second and third options and rather voiced for the transference of AAUs to the new commitment period. They were backed by Cyprus and Ireland which also had similar intentions. Compromising was difficult, but a solution must be sought towards a fresh global deal with a feasible 2nd commitment period. This would only be possible if the Parties could permanently remove all surplus units, and it also holds for the CDM and JI under the flexible Kyoto mechanisms. The question that arises was the way to deal with Russia’s surplus certificates. Russia denied entering into the 2nd commitment period at the same time would retain the privileges to sell their AAUs. The issue remained the same for Australia and New Zealand. The Climate change conference that took place in 2009 in Copenhagen failed to deliver a legally binding agreement, rather a political declaration of intent known as the Copenhagen Accord that was noted by the central developed and developing nations. It not only recognized the goal of restricting the rise of global temperature lower than two 0 C but also suggested the quantity of emission reduction targets for developed nations

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for the year 2020 and also nationally appropriate emission reduction measures for developing nations. It also suggested the funding support of developed nations to the developing nations for implementation of climate protection measures a fund of US 30 billion dollars in the years 2010 to 2012, along with further raising of 100 billion dollars yearly as long term finance. The decision was somewhat pending about the financial growth between the short-​term financing ending in 2012 and an elusive commitment of raising 100 billion yearly by 2020. Developing nations thus claimed an intervening target of 2015. By 2015 the Ad Hoc Working Group on Durban Alliance would be preparing a legally binding deal to commence from 2010. And so expectation rested on Durban Alliance were EU, the poor developing nations and small island nations pushed for negotiating a fresh global deal. All the 194 Parties to UNFCCC assorted into bargaining groups based on their common interest. G77 +​China again comprised of subgroups such as African Group, AOSIS, LDCs, oil-​exporting nations, emerging nations, and middle-​income groups. The Umbrella group comprised Australia, Canada, New Zealand, Japan, Iceland, Norway, Russia, the USA, and Ukraine. Environmental Integrity Group included Mexico, Switzerland, and South Korea; Central Group of Bulgaria, Croatia, and Romania, the OPEC nations, and CACAM (Central Asia, Caucasus, Albania, Moldavia). G77 has 133 members, but nations such as Seychelles, Saudi Arabia, Zimbabwe, and Singapore had different interests, and hence more small groups were increasing being formed with time. At COP 16, BASIC plus USA formed the Copenhagen Accord. The anti-​ imperialist-​ oriented ALBA Group (Bolivian Alliance for the Peoples of Our America) comprising Bolivia, Cuba, Ecuador, and Venezuela demanded a total rejection of market-​based mechanism. Another new group has emerged since Bangkok, known as such as Like Minded Developing Countries (LMDC) comprising 28 nations Bolivia, Ecuador, Argentina, Egypt, China, India, and OPEC. India and China rejected any binding emissions on developing nations, while OPEC nations were against any comprehensive reduction pledges. The objectives in Doha were planning the task: to its completion within the set timespan, and addressing various national situations effectively and in justifiable agreement. The COP 18 agreed on the outcomes to BAP, and advancement of the Durban Platform included mitigation, adaptation, finance, technology, and capacity building, noting especially which BAP has been achieved and further decisions that could be taken in Doha for its completion. It decided on the approaches for addressing loss and damage linked to the effects of climate change, particularly in susceptible developing nations. The COP 18 decided on the location of GCF to the COP and additional guidance to LDCF and an operational plan of the Standing Committee on Finance, on the task of Adaptation Committee, arrangements towards operational Climate Technology Centre and Network, Doha work programs based on Art 6 of UNFCCC, universal tabular format for guidelines for reporting by developed nation Parties once in two years, dynamic, web-​based registry, ways to ensure the efficacy of CDM to capture and store carbon emissions, the critical role of agriculture to acclimatize to climate change, increased women participation and initiatives for economic diversification. The COP 18 thus resulted in a package of documents in two-​week tough negotiations called ‘The Doha Climate Gateway.’ The key features comprised: - Adopting Kyoto amendments with establishing 2nd commitment term for a period of 8 years (2013–​2020). New emission decrease pledges made by Parties of developed 275

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- - -

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countries along with the target collective decrease in GHG releases not covered under the Montreal Protocol. The target for the collective decrease was calculated to be a minimum of 25 to 40% down the 1990 levels by the year 2020 for the Annex I Parties. After finishing the work, the Parties decided to dismiss AWG-​KP. New obligations for Annex I Kyoto Parties who decided to move on with obligations in the 2nd commitment period commencing since 1 January 2013 and ending on 31 December 2020. Reporting of a revision list of GHGs by Parties needed to be done in the 2nd commitment period; and The decision for termination of AWG-​LCA, moving the outstanding matters to permanent bodies of UNFCCC such as the SBI, the SBSTA, the COP, and the CMP. The decision on the ADP task plan until completion in 2015. Addressing REDD+​issues by SBSTA. On forests and related issues such as REDD+​ , the SBSTA spoke about operational matters connected to Reducing Emissions from Deforestation and Forest Degradation-​ plus, precisely with relation to monitoring, reporting and verification (MRV) and modalities for national forest monitoring systems. AWG-​LCA had a dialogue on funding REDD+​and a suggestion was put for setting up of a REDD+​Committee for promotion and coordination of REDD+​activities, consideration of non-​carbon benefits in implementing REDD+​. The SBSTA was not able to arrive at any settlement on these points, mainly due to the lack of consensus on the mode of verification and in what way to mention the requirement of associated monetary backing. Definitions, guidelines, and methods for LULUCF events were approved at CMP 7 in Durban for the period of the second commitment period. The Subsidiary Body for Scientific and Technological Advice sustained the dialogue regarding several unresolved problems connected to LULUCF since Durban, specifically. These include discovering a further all-​ inclusive LULUCF accounting measured with a land-​ based approach and probable supplementary LULUCF activities under the Clean Development Mechanism. Parties approved that excess AAUs of the first commitment period could be traded and bought through the second commitment period of COP 3 provided the seller continues as a member for the second commitment period under Kyoto Protocol (2013–​2020). For example, the Russian Federation had exited itself from the second commitment period of COP 3 but has a lot of surplus AAUs. Hence, Russia was unable to sell its excess AAU certificates to countries such as Germany or France who were still in the game until then.

Amendments were made to quite a few articles of COP 3 (Kyoto Protocol) which exactly referenced complications involving the First commitment period and those essential to be reorganized for the 2nd commitment period restricted in range to 15% of the worldwide CO2 releases on account of non-​obligations of Japan, Russia, Belarus, Ukraine, New Zealand (nor the USA and Canada, who were non-​Parties to the COP3 in that time) and owing to the opinion that emerging nations such as China (biggest emitter of the planet), India and Brazil were not subjected to discharges cutbacks under the COP 3. 10.2.3.1.19  2013, COP 19, WARSAW, POLAND

Parties met at UNFCCC in Warsaw, Poland, between 11 November and 22 November, with a meek compendium of pronouncements that was able to retain the global climate 276

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dialogues on the trail, emphasizing the difficult tasks in front of the Parties as they drove in the direction of a new international contract. The COP 19 took decisions on advancing the Durban Platform additionally. The Parties from both developed and developing nations didn’t make a great move but seemed that they sought to establish tough initial positions before starting formal dealing. In a prior meeting in June, Russia backed by Belarus and Ukraine had shut down talks under SBI for around 14 days, refusing to approve the embracing of the draft agenda. This attitude of Russia probably was due to Doha COP, where Russia objected to the setting up of the 2 commitment period under KP. Beyond the direct jurisdiction of UNFCCC, there was some optimistic progress. The bilateral agreement between China and the USA for collaboration on a variety of climate and energy-​related matters, including the phasing of HFC, could be transformative. A similar deal between India and the USA appeared to be a desire to handle HFC since India believed in dealing with HFC only under UNFCCC. The establishment of the Climate and Clean Air Coalition (CCAC) for addressing short-​term pollutants such as methane and black carbon appeared to gain impetus. The task and success of CCAC were specifically relevant to Durban Platform’s conversation on enhancing the ambition of climate action before 2020. The deal of International Civil Aviation Organization (ICAO) Parties for setting up of a worldwide market mechanism in 2020 for tackling global aviation releases. The nations agreed to advance mechanism strategies to cover all international flights by 2016. The developed and developing nations disagreed over the application of mitigation activities to all flights or the flights of developed nations as per CBDR. Lastly, the reminder about the level of ambition in the fresh negotiation, received with the publication of the first part of the Fifth Assessment Report of IPCC, was significant. Poland’s response to host COP 19 was looked at with suspicion. Poland, as a member state of the EU, was against instituting ambitious emission reduction targets for 2030 as well as the reforms for ETS. They were dependent on inferior quality coal for 90% of their electric supply, and the government were very slow in embracing renewable source and wished to develop shale gas as a resource. Warsaw dealt with the perennial principal subjects of mitigation, adaptation, finance, technology, and capacity building. COP 19 did not yield any specific outcomes. It requested the Parties respectively for the submission of ‘intended nationally determined contributions’ (INDCs) to the fresh contract ‘well in advance’ of the Paris COP (within first four months of 2015) in a way that ‘facilitates the clarity, transparency, and understanding’ of the intentional contribution. The meeting highlighted that remarkable distance was yet left out for protection on fundamental problems such as the legalized features of the fresh treaty along with the distinction between developed and developing State’s responsibilities. As developed nations sought ‘nationally determined commitments’ focusing only on alleviation, numerous developing nations pressed hard for the inclusion of adaptation and finance. Developing countries demanded bigger climate finance, as well as innovative instruments for helping the vulnerable nations to handle the inevitable ‘loss and damage’ that had happened due to climate change. Parties had decided to discourse ‘loss and damage’ in Poland at Warsaw, and the subject acquired on fresh distinction with Typhoon Haiyan striking the Philippines one day before the conference. Industrialized nations, which earlier had assured themselves of mobilizing a sum of US$100 billion annually by the year 2020, denied setting a measured provisional aim for ramping up climate finance. 277

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The novel ‘Warsaw international mechanism for loss and damage associated with climate change impacts’ was set up to report loss and damage connected to climate change effects. Weather extremes, events with slow onset in vulnerable developing nations were well behind as compared to the expectations of susceptible countries. Practically, the meeting was far from reaching in several years. Their task could be summarized as follows: - Improving knowledge and empathy toward risk management; - Consolidation of discussions, synchronization, consistency, and collaborations; - Improving activities and assistance in the field of finance, technology, capacity building Warsaw COP had three key roles. Building self-​reliance and trust must be able to put stuff to informal exchanges that had taken place already earlier that year and must be mapping out details such as important milestones to Paris in the coming year. 10.2.3.1.20  2014: COP 20, LIMA, PERU

The COP 20 in Lima, Peru, practically made no progress in reality on bigger issues. The COP adopted the ‘Lima Call for Climate Action,’ where the development of a new global agreement for post-​2020 for all was to be embraced at COP 21, 2015 in Paris should have made progress under the Durban Platform for Enhanced Action. For the first time, all countries reached an agreement where they could particularly mention their targets, provided they were prepared to give in information about their CO2 releases by March 2015 (‘Intended Nationally Determined Contributions’). It initiated with some impetus, after approximately $10.2 billion in commitment to the new ‘Green Climate Fund,’ along with a shared declaration by the USA and China about their post-​2020 emission objectives. The joint declaration comprised of fresh emission pledges –​a cut by 26 to 28 percent as compared to 2005 levels in the USA by 2025 and peaking of emissions by/​before 2030 in China. In additional areas, Parties carried out a ‘multilateral assessment’ of emission reduction measures by the developed nations. The Parties argued on ways for continually scaling up funds to the unindustrialized countries. The COP 20 was unsuccessful yet again to mark any improvement on new market-​based methods and sustained to tussle over assistance to unindustrialized nations for ‘loss and damage’ resulted in an account of climate change. Perhaps this might assist non-​Annex I nations to improve and implement a varied range of technology for combatting climate change. But the conference rapidly got entangled, and Parties placed away the elementary text to bargain over the further abrupt topics: about the ways of submission and evaluation by UNFCCC of their intended contributions to the Paris agreement. The negotiation achieved was in tune with Durban COP. The emphasis was universal, and no mention of the respective nation’s progress was made; instead, a comprehensive agreement was made that applied to all nations. The Warsaw decision suggested a wide-​ranging outline of the Paris Agreement –​the respective contribution of the Parties would be nationally determined along with a ‘rules-​ based regime’ for promoting transparency and accountability. The ADP (Ad Hoc Working Group on Durban Platform for Enhanced Action) had two documents: A report identifying probable ‘elements for a draft negotiating text’ of COP 21 containing raw materials covering matters on mitigation, adaptation, finance, technology transfer, transparency, and

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methods of periodic updating of pledges and a resolution having the procedure for consideration of INDC in the next year. While industrialized nations were for ‘national determined commitment’ to emphasize only mitigation, developing nations were pushing hard to comprise adaptation and finance. To keep in tune with the objective of UNFCCC, the COP 20 decided to establish an expected mitigation contribution for every Party and invited them for consideration of the adaptation element also. For clarification and evaluation of the Parties contribution, COP identified some information to be provided by the Parties such as quantifiable data, assumptions, and methods applied in estimation and accounting of discharges. Different nations opted for different types of methods to analyze of INDC of others, which were tried to be blocked by developing nations. It was finally decided that the UNFCCC should be preparing a synthesis report by November on the collective effect of INDCs to compare with the reductions required to restrict 2°C rise. Differentiation was an issue between Annex I and non-​Annex I nations on CBDR. But the compromised decision echoed the US-​China joint declaration of ‘common but differentiated responsibilities and respective capabilities’ added with ‘in the light of different national circumstances.’ COP 19, Warsaw implemented a procedure to find out measures for assisting the vulnerable developing nations in handling ‘loss and damage.’ But Lima failed to include this issue in the Paris agreement that needed to be addressed. The COP 20 highlighted the ‘multilateral assessment’ of mitigation exertions by developed nations as a part of transparency established under the Cancún agreement, 2010. Seventeen developed nations such as the USA, New Zealand, and many EU member states presented to the SBI on their ways of achieving 2010 emission pledges. The assessed Parties gave their biennial reports and also took part in online Q&A sessions. Other such Parties would be evaluated in the next year to come. Parallel to this, the developing nations were giving their biennial reports under ‘international consultations and analysis (ICA)’ for technical analysis in the coming year. This would be followed by the sharing of views amongst Parties in 2016. The initial capitalization of GCF set up under Cancún agreements reach a goal of 10 billion dollars; supplementary commitments by Australia and Mexico, Peru, Columbia crossed over this target. China opined for the contribution of rich nations in GCF and declared the establishment of a South-​South fund and committed to double 44 million dollars in climate fund it had provided from 2011 and called other developing nations towards contribution. After receiving the first biennial evaluation of the Standing Committee on Finance, the COP calculated the fund flow from both developed and developing nations amounted between 40 and 175 billion per year between 2010 and 2012, comprising 35 to 50 billion dollars per year in public finance. COP 20 agreed on the composition of the executive committee and embraced a primary 2-​year work plan contouring the range of activities to comprehend unavoidable climate effects and promotion of risk management strategies, etc. A controversy that affected dialogs between the Annex I and non-​Annex I nations was ‘common but differentiated responsibilities (CBDR),’ and the COP 20 at Lima failed to describe the distributions of emission cuts among the countries. The subject would likely be dealt with at COP 21 in Paris. The first Multilateral Assessment held in Lima came up with better clearness for activities by Annex I nations, as they can associate their level of agreement with the emission reduction objectives.

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(https://​unf​ccc.int/​sites/​defa​ult/​files/​engl​ish_​pari​s_​ag​reem​ent.pdf) Meanwhile, as the years passed by, the organization took to develop in diverse ways. The COP 3 of 1997, known as the Kyoto Protocol, acquired a more ‘top-​down’ extremely discriminated attitude, starting with mandatory emissions objectives for industrialized nations, and not any fresh obligations for unindustrialized nations. Since the USA did not ratify, and several states did not set any objectives after the year 2012, the Protocol thus comprised below 15% of worldwide productions of GHGs. In general, the Paris Agreement mirrors a ‘hybrid’ methodology amalgamating bottom-​up elasticity, to accomplish wide-​ ranging involvement, with top-​down directions, to endorse responsibility and determination. The Paris Agreement though an agreement under international law, had definite requirements that are legally binding. Paris Agreement reached a milestone negotiation held on 12 December, Paris, registering a new course in twenty years-​long global climate effort. The new agreement terminates stringent differences amongst Annex I and non-​Annex I nations that categorized past struggles, substituting it by a common framework that obligates all nations to march forward with their greatest pains along with the ability to reinforce them in the years to come. The consensus agreement comprising 196 Parties was adopted on the 12 of December that governs ‘climate change reduction’ actions post 2020. The text reaffirmed the objective of restricting global temperature rise much below 2°C, although advising effort to restrict the escalation to 1.5°C; • Create mandatory pledges for every nation to announce ‘nationally determined contributions’ (NDCs); also, to dog firm native actions meant for accomplishing those; • Necessitating recurrent reporting of the emissions by every nation along with ‘improvement made in executing and reaching’ their Nationally Determined Contributions; also undertaking international appraisal; • Obligating each of the nations for submission of a fresh Nationally Determined Contributions every five years, possessing strong thought that the NDCs would ‘signify an advancement’ past preceding NDCs; • Reiterate all compulsory commitments of industrialized nations under UNFCCC and up keeping exertions put in by the unindustrialized nations, also cheering deliberate actions of the unindustrialized nations; • Grow the present objective of assembling $100 billion annually for support by the year 2020 through 2025, with a fresh, advanced objective to be fixed for the time after 2025; • Extend machinery for reporting ‘loss and damage’ resulting from climate change that wouldn’t obviously ‘comprise or arrange for a foundation for any accountability or reimbursement;’ • Involve Parties affable in ‘international emissions trading’ to evade the possibility of ‘double counting;’ and • Appeal meant for a fresh mechanism, analogous to ‘Clean Development Mechanism’ under the COP 3, permitting a decrease of emissions in one nation to be reckoned toward another nation’s Nationally Determined Contributions.

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A concern was raised on the way towards revealing the United Nations Framework Convention on Climate Change’s opinion of ‘common but differentiated responsibilities and individual capabilities.’ In a nutshell, the ‘Paris Agreement’ signifies a vital move right away in the direction of additional nuanced methods of distinction, represented differently in different requirements as compared to the clear-​cut binary method of the Kyoto Protocol. The contract comprises mentions in several places that developed nations would take the lead but without mentioning the UNFCCC Annex I nations and non-​Annex I nation’s categories. Several provisions in this contract created common commitments though it permitted the flexibility to put in various nationwide capabilities and situations, either by self-​comparison that was implied in the notion of NDC or by some exhaustive functioning instructions yet to be established. The ‘Paris Agreement’ spoke about two long-​ lasting emissions objectives: firstly, a peaking of emission as quickly as probable (with an acceptance of longer period for unindustrialized nations); thereafter, a target of net GHG neutrality (conveyed as ‘an equilibrium between anthropogenic emissions by sources and removals by sinks’) in the next half of 21st century. The second objective was an alternative to expressions such as ‘decarbonization’ and ‘climate neutrality’ hard-​pressed through certain countries. In the case of alleviation efforts by individual nations, the contract suggests a collection of mandatory practical obligations. The obligations include to ‘prepare, communicate and maintain’ a Nationally Determined Contributions; to make available necessary info to be clear as well as transparent, and to commit afresh Nationally Determined Contributions five years alternatively. The agreement expects to signify progress in each successive Nationally Determined Contributions past the preceding one for reflecting a Party’s ‘highest possible ambition.’ The contract also asks the Parties to commit to ‘take domestic actions for achieving the Nationally Determined Contributions objectives but doesn’t create the accomplishment of Nationally Determined Contributions as mandatory commitment. It also inspires, at the same time, doesn’t necessitate, nations to establish and talk about long-​standing small emission development schemes. The central alleviation obligations were mutual to each Party. Even then, there were certain distinctions in terms of prospects set: industrialized nations ‘ought to’ embark on complete economy-​wide decreasing objectives, whereas unindustrialized nations ‘are encouraged’ to march towards economy-​wide objectives over time-​period. Also, unindustrialized nations are to get back to applying their pledges. Nationally Determined Contributions would be documented in an open registry upheld by the UNFCCC Secretariat, contrary to an annex to the accord, as proposed by several nations. The contract identifies that Parties may practice ‘internationally transferred mitigation outcomes’ for applying their Nationally Determined Contributions. Parties, in turn, were required to guarantee that such transfers should be free from double counting that is in conformation with the principles of accounting for Nationally Determined Contributions. This contract moreover launches a fresh instrument to get ahead with the Kyoto Protocol’s CDM that generates tradable emission offsets. For the promotion of increasing determination, the Paris accord launched two interconnected methods on a 5-​year cycle. The first is the ‘global stock take’ for assessment of the combined development in the ways of the fulfillment of the long-​standing goals of the accord; the latter involves the Parties submission of fresh Nationally Determined

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Contributions, ‘informed by the outcomes of the global stock take.’ The year 2023 was marked for the first stock-​taking. This accord, to hold the nations answerable, was founded strongly on transparency. Its move was based on establishing a fresh transparent system with shared, mandatory pledges for each Party along with ‘built-​in flexibility’ to cope with different internal capabilities. Every nation needed to report emission inventories along with ‘information necessary to track progress made in implementing and achieving’ their Nationally Determined Contributions. According to the COP, the submissions of reports were to be made two years alternatively, excluding the LDCs and SIDS. All the industrialized nations should have to report on the assistance rendered. In contrast, unindustrialized nations should address the assistance received, and each and every one should report on their exertions towards adaptations. The reports containing dossiers by all nations on alleviations and help would pass through ‘expert technical review.’ All member Parties must be taking part in ‘a facilitative, multilateral consideration of progress’ in implementation and accomplishing its Nationally Determined Contributions. Paris accord also established a fresh means to ‘facilitate implementation’ and ‘promote compliance.’ The expert committee should have to be naturally ‘facilitative’ which would be operating in a ‘non-​adversarial and non-​punitive’ way, reporting to COP every year. Financial matters were an argumentative issue such as the previous COPs. Poorer nations wanted strong promises about scaling up aid. Some unindustrialized nations pushed the better off unindustrialized nations for making contributions as well. Success was achieved to some extent for both cases. One of the most important concerns was if a fresh finance deployment objective in open and private resources was to be established beyond US $100 billion annually as was assured by the industrialized nations. Another concern was if a process could be set up for reconsideration of the issue at five years alternatively. The COP decided to establish a fresh multiparty measured target from the level of US $100 billion annually by the year 2015. For SIDS and highly vulnerable nations to the impacts of climate change, this accord comprised a separate endowment covering ‘Warsaw International Mechanism for Loss and Damage.’ The instrument was set up at the COP of Warsaw and included evolving tactics to assist the susceptible nations in tackling inevitable impacts such as extremes of weather conditions, the rise of sea level, and others. Likely methods include prompt cautioning arrangements and threat coverage. With pressure from developed nations predominantly the USA, the additional COP concluded that the loss and damage provision ‘does not involve or provide a basis for any liability or compensation.’ The Paris Agreement was opened for signature on 22 April 2016. A nation must have expressed its permission, which was bound by an official process of approving, accepting, or ratifying. This accord would become legally binding if a minimum of 55 countries joined, and their total emissions count for 55% of the GHG emission globally. The several States presented fresh financial promises. Industrialized nations as a whole promised $19 billion as assistance to unindustrialized nations. The US Secretary of State announced that the USA would be doubling its aid for supporting adaptation to US$ 800 annually by 2020. In an indication for rendering support by unindustrialized nations, Vietnam promised to donate $1 million to the novel ‘Green Climate Fund (GCF).’ Even the assurances came from the sub-​national governments such as Paris committed 1 million euros, whereas Quebec pledged 6 million CAD for the LDC fund. Collaboration 282

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between national governments initiated such as India and France headed 120 nations to announce ‘Inter-​national Solar Alliance’ to assist the setting of solar energy in the unindustrialized nations. Over 20 industrialized and unindustrialized nations established ‘Mission Innovation’ vowing to increase the public investment into research and development (R&D) of clean energy twofold over 5 years. 10.2.3.1.22  2016: COP 22, MARRAKECH, MOROCCO

The COP 22 organized in Marrakech between 7 November and 18 November 2016 embraced 35 decisions connected to the Paris Agreement implementation. It was clear that the most important work lying ahead was to devise rules that were flexible and inclusive in the backdrop of environmental reliability. It set up a timeline for dialogues to elaborate on the Paris rulebook and taking the first steps to understand all the fragments in the Paris Agreement could aptly fit together. The deadline was set to be 2018 for the rulebook and implementations founded on transparency and responsibility. Hence the Parties adopted the Marrakech Action Proclamation for reaffirming the pledges for implementing the Paris Agreement and also to be remembered as an African COP where agriculture featured strongly as Initiative for the Adaptation of African Agriculture (AAA) to promote best practices in soil management. Currently, it was backed by 25 African nations, UNFCCC and FAO. The Paris Agreement was enforced on 4 November 2016 after it was adopted in 2015 with a heavy speed of ratification. In a nutshell, the prevalence of the essence of teamwork made quite a contribution to the accomplishment of this COP. The COP Parties chose division of tasks for the 1st session of COP serving as Meeting of Parties of the Paris Agreement (CMA 1) in 3 fragments. The 1st part of CMA 1 took place with COP 22, 2nd with COP 23 in Bonn 2017 to be hosted by Fiji, and the 3rd part with COP 24 in Poland in 2018; to give enough time to deal and conclusions with Paris Rulebook as a full compendium. The 1st part of CMA 1 agreed on the timeline for developing Paris Rulebook, and they decided adoption of a bundle of decisions that would allow full enforcement by 2018 December (CMA 1–​3). COP continued to supervise the enactment of the Paris Agreement to identify and unite the fragments. It required additional information to the promotion of lucidity, transparency, and appreciation of Nationally Determined Contributions (NDC) and its accounting. It required an improved transparency framework for NDC accounting and market mechanisms set up by Article 13 global stocktaking exercise set up by Article 14 and a new compliance mechanism set up by Article 15 of the Paris Agreement, respectively. The Ad Hoc Group on the Paris Agreement (APA) and CMA 1 would be continuing to the promotion of lucidity, transparency, and appreciation of Nationally Determined Contributions (NDC) and its general accounting matters. The SBI would be proceeding with the NDC submissions, equivalent commitment periods, and developing procedures for the NDC registry operation. The first mid-​century strategies were given to the Secretariat by a few nations. Canada specified the reductions of net releases by 80% as compared to 2005. Germany targeted to reduce emissions by 80–​95% compared to 1990 levels and Mexico by 50% below 2000 levels. The USA also had given the figure of 80% below 2005 levels by 2050. But the figure finally went in the dark for their elections.

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Finance reports were meager. Parties started a method for the identification of qualitative and quantitative information on funding resources. The COP hardly progressed on the procedures for accounting of funding resources given and organized by developing nations. They felt the need to consider the issues, including transparency on climate finance, avoiding a double count of funds, and integration of these procedures into enhanced transparency framework recognized by Article 14 of the Paris Agreement. There existed several end moment backbiting regarding the Adaptation Fund, that existed to help the Kyoto Protocol, and which several claimed should be carried over to the Paris Agreement, to confirm its stays as a political urgency in the years to come. Finally, developing nations won to have the Adaptation Fund created in 2001 for serving the Paris Agreement. The topic of finance was always controversial; it was this issue that went down to the wire –​though with slight advancement, in the end. Countries decided to carry on with their discussion. Nations insisted on topping up their monetary assistance in the direction of the pre-​decided ‘$100 billion a year by 2020’ objective, and to accomplish better stability amongst adaptation and alleviation. Several nations had expected tougher expression on this, since adaptation has long fallen behind alleviation, to the disadvantage of the most susceptible nations. CMP 12 of Kyoto ended the review of JI guidelines without the adoption of any revisions; CDM remained highly debatable in terms of modalities and procedures. The decision taken in Morocco was the renewal of the directive to the CDM Executive Board for simplification of the CDM process and options for applying CDM beyond 2020. CDM was broadly mentioned in Article 6 of the Paris Agreement, comprising its positive and negative features as experienced by the Parties. The structure that created enticements to REDD+​ provided a situation for its implementation. Between 2014 and 2015, 6 Parties went through the review procedure of their submission for forest reference (emission) levels (FREL/​FRL), and lessons that were learned and experiences added might assist in rule designing under enhanced transparency framework. REDD+​originated in the background of NDCs and participatory approaches under Article 6 of the Paris Agreement in COP Marrakech, 2016. Nations realized the critical role of REDD+​in striking an equilibrium between anthropogenic releases by sources and removals by sinks of GHGs that persuaded for added emphasis on connecting REDD+​ and NDC. The Green Climate Fund is investigating translating the Warsaw Framework on REDD+​ into particular procedural and methodological basics in tune with the objectives and features of the fund. Approval by nations of the 5-​year work plan on Warsaw International Mechanism for Loss and Damage that would commence in 2017 and would observe nations begin to officially discourse subjects such as slow-​commencement bearings of climate change, non-​monetary damages (like ethos and identity), and relocation. The Marrakech Action Proclamation was a political call calling for political pledged and global participation to combat climate change making a turning point taking the entire community. Outside the negotiating room, participants featured prominently in Marrakech Partnership for Global Climate Action for propelling climate actions from 2017 to 2020. The ‘transition initiative’ was established at the German tent at COP 22, mainly to take the essentials of CDM forward. GEF and public and private financiers established the ‘Global Adaptation and Resilience Fund,’ the first private adaptation and resilience investment drive. Another pertinent multilevel initiative was the ‘2050 Pathways Platform,’ a place

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for assisting long-​standing climate strategies. In the meantime, forty-​seven of the underprivileged nations of the world that had assembled as ‘Climate Vulnerable Forum,’ devoted to generating cent percent of their energy using renewable sources as quickly as probable. These nations also vowed to keep informed of their nationally determined contributions before 2020 and to formulate longstanding policies.

10.2.3.1.23  2017: COP 23, BONN, GERMANY

Nearly after two years of the Paris Agreement’s conclusion, the 23rd COP to UNFCCC was held between 6 November and 18 November Bonn in 2017 under the presidentship of Fiji. The Parties met with a range of topics. The topics began with a detailed ‘rulebook’ on ways to enact the Paris Agreement that was meant to be finalized at COP 24 in 2018. With Nicaragua’s and Syria’s ratification, all the UN members are signatories to Paris Agreement with ratification. In the meantime, the USA expressed the intention of its withdrawal from this agreement in 2020 and not from UNFCCC. Rather an alliance of US regions and cities submitted the USA’s pledging report in the USA that was based on the non-​federal act. The US President, Donald Trump, was yet to proclaim an ultimate resolution on whether he would track through on this commitment. Nations endure struggling with the vagueness over whether Donald Trump would or would not pull out of the Paris Agreement. Representatives toiled to firm out particulars of a stock-​taking exercise in 2018, that would require quantity improvement in the direction of the Paris goals, and march ahead with the sultry topic of adaptation finance. 10.2.3.1.23.1  Coal Phase-​out An important happening at the 23rd Conference of Parties 23 was the inauguration of ‘Powering Past Coal Alliance,’ steered by the United Kingdom and Canada. Over twenty nations and sub-​national players joined this association and target to reach 50 members by next year to change over from unceasing coal-​based power production to clean initiatives. They are Denmark, Finland, Italy, New Zealand, Ethiopia, Mexico, the Marshall Islands, and also the USA states of Washington and Oregon. The alliance fails to get a commitment from the signatories for a fixed date for phase-​out. The analysis exhibit that OECD countries and EU28 need it by 2030 and the rest by 2030. The big coal players such as the USA refused to pledge, and Germany, Poland, Australia, China, and India were absent. However, one of the most significant encounters to emerge during the initial days of the meeting was the pre-​2020 climate actions. Such action was based on the apprehensions of developing nations that developed nations did not act sufficiently for meeting up their promises made for the period up to 2020. These promises are unconnected to the Paris Agreement which acts only after the 2020 period.2 leading worries existed. Firstly, the industrialized nations failed to deliver the pledged $100 billion annually in climate finance by the year 2020. Such contribution was agreed upon in Copenhagen in the year 2009. Secondly, a 2nd commitment period of the KP or the Doha Amendment, for the years leading up to 2020, was yet to be ratified by sufficient countries for enforcement. Countries such as China and India were mainly annoyed that prior 2020 activities did never find any official slot on the COP 23 schedule on negotiations.

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Out of many decisions adopted was the ‘Fiji Momentum for Implementation,’ which was assorted in three sections: i. The accomplishment of the ‘Work Programme’ under the Paris Agreement ii. The structure and course for ‘facilitative dialogue’ 2018 iii. Implementation before 2020 and ambition The COP 23 was to adopt the final consequence of the work program but got delayed due to the attitude of the USA, especially over finance-​related matters for implementing the Paris Agreement. They were against the image of some matters as a part of the Paris Agreement Work Programme (PAWP) comprising the mode of communication of information, once in two years on the endowment of public monetary funds to developing nations under the Paris Agreement along with the establishment of a new overall quantified objective from the floor of 100 billion Us dollar every year to be decided upon by 2025. USA wished these matters out of PAWP. A compromise reached came out in the form of a footnote that read, ‘Different views are ex-​pressed by Parties on whether possible additional matters should be added to the work programme under the PA for the first session of the CMA…’ 10.2.3.1.23.2  The ‘Facilitative Dialogue’ 2018 or Talanoa Dialogue  The 23rd Conference of Parties greeted with gratefulness ‘the design of the 2018 facilitative dialogue, to be known as the Talanoa dialogue … as contained in the informal note.’ It was arranged by the 22nd and 23rd Conference of Parties terms. Countries decided in Paris, almost in 2015, about a unique instant in 2018 to ‘take stock’ about the participatory approaches and progression of long-​term climate action, as stated in the Paris Agreement. The ‘facilitative dialogue’ procedure in 2018 was pitched by the Fijian Presidency, also known as the ‘Talanoa dialogue’ (see Figure B X-​10.2.3-​2). Fiji Presidency referred to it as the ‘Pacific spirit’ of sharing incidents. This was done to safeguard conventional attitude to the deliberations to ensure ‘inclusive, participatory and transparent’ process and ‘ratchet up’ the Nationally Determined Contribution (NDCs) of Paris Agreement Parties. The dialogue was structured around three questions –​‘Where are we? Where do we want to go? How do we get there?’ It was planned to comprise a summary of the key points from the consultations to be held in 2018 by the Presidents of COP 23 and COP 24, respectively. Questions were raised by many developing nations stating that they had no clue of the Paris Agreement to be implemented so soon in 2016, which hardly left them with time to prepare NDCs. As the Parties that have ratified Paris Agreement made their Communication of NDC before 2018, the directive for Talanoa dialogue was rendered pointless to review the first NDCs that the Parties had already forwarded. The developing nations expressed their concern to developed nations’ non-​exhibition of leadership in the ways of improved mitigation ambition before the 2020 timeline and thus failing to bridge the mitigation gap and placing the mere burden on developing nations. New Zealand and the USA failed to endorse the informal note on the ground that it was not a deal by the Parties rather a suggestion by Presidency. European Union accepted it as an act of compromise. The LMDC opined that the dialogue is necessarily a Party-​driven process. Led by LMDC in support from G77 and China, the Parties emphasized the inclusion of an element on prior 2020 activities. Such action would make the Parties consider whether the current mitigation pledges have been fulfilled or not and stalwartly opposed by the 286

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Figure B X-​10.2.3-​2 Flowchart for Talanoa dialogue.

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developed nations. The developed nation showed their concern that the present pledges of the developed nations under UNFCCC and the KP were yet to be fulfilled in the pre-​ 2020 timeline with an increased shift of burden on developing nations post-​2020 pledges under the PA. The Doha amendment that had set the 2nd commitment period of the KP for emission decrease by the Annex I Parties from 2013 to 2020 might be the reason why many nations were yet to ratify it! It was decided by the Annex I Parties under the KP in Doha to overall cut the releases by a minimum of 18% below 1990 and a review of their pledges to be done by 2014 to increase their ambitions. Such a declaration made the developing nations agree on the negotiation of PA under which each Party would have undertaken emission reduction pledges post-​2020. In reality, neither the 2nd commitment period was enforced nor got the ambition level revised for developed nations. Enforcement of the 2nd commitment period needed 144 nations ratification and had by far received 96 nations’ ratification. The COP and UNFCCC had sent out joint requests to the pending Parties to ratify at their earliest. The COP noted the consideration of pre-​2020 actions by the Parties along with the backing given to the non-​Annex I countries. It also provided for stocktaking of prior 2020 implementations and ambitions to be summoned at COP 25. 10.2.3.1.23.3  Paris Agreement Work Programme (PAWP)  COP 23 was given the task of doing the ground-​level work for the draft negotiating text to be arranged under PAWP. Development was noticed in terms of informal notes that comprised 266 pages with six agendas of APA such as NDCs, communication on adaptation, transparency/​clarity in actions and assistance, global stocktaking, committees for facilitating compliance, and issues about PA implementation. 10.2.3.1.23.4  Paris ‘Rulebook.’  At COP22 in Marrakesh, negotiations centered around efforts to do noteworthy advancements in creating the Paris ‘rulebook.’ The rulebook will form extra technical guidelines and procedures wanted to achieve the motive of the Paris ​Agreement (PA). Its effort covers numerous areas, such as establishing the outline of the nation’s pledges or nationally determined contributions (NDCs), writing reports on adaptation exertions, the obvious broadcasting of work undertaken at a ‘global stock take’ in 2023, and supervising amenability with the PA. The target for this exertion would be COP in Poland 2018. But the objective in Bonn was to form an outline of these enactment strategies, with opportunities and differences defined as evidently as imaginable to display what still wants to decide. The main source of argument at COP 23 was the concern about the mode of providing ex-​ante information by industrialized nations on public financial resources to the unindustrialized nations under Article 9.5 of the Paris Agreement. Article 9.5 provides the communication of qualitative and quantitative indications biennially, both for the available and projected level of public financial resources. South Africa was the first to raise the need to start discussions on the mode of communication of information. G 77 and China have struggled hard for the addressing of ex-​ante information by the industrialized nations that would assist the developing nations for better planning and NDCs implementation. The African group proposal and that of G77 and China were opposed by countries from the EU and Umbrella Group. Developed nations opposed to a discussion of such modes with their argument that they were already a persisting agenda under the COP dealing with ‘process to identify the information to be provided by Parties in accordance with Article 9.5 of the PA;’ which in turn was stated as different by the developing countries. A compromise that 288

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was reached stated that the process for identifying the information to be considered by SBI in 2018. The APA would carry on a discussion of the issue of modalities for that information under its agenda. 10.2.3.1.23.5  Fights over Finance  A second piercing idea on funding was the Adaptation Fund, a comparatively lesser but diplomatically important multilateral endowment for minor projects. The Adaptation Fund was working under KP, which was wanted by the G77 and China in respect to its guidelines and operation. Developed country Parties had earlier decided that it ‘must’ function under the ‘Paris Agreement,’ but the particulars of the agreement had not been categorical. More than $90 m, including $50 m from Germany, was contributed to the Adaptation Fund in fresh commitments during the Conference of Parties. An equal amount was also promised to the LDCF. According to the EU, ‘the current composition of the [AF] Board has worked well’ then again ‘potential revision of the composition depends on the outcome of preparatory work, for instance, sources and levels of funding.’ They also suggested that Parties ‘decide to what extent the previous guidance to AF …, including those agreed before adoption of the PA, should apply mutatis mutandis to the AF when it serves the PA.’ 10.2.3.1.23.6  Loss and Damage  On behalf of G 77 and China, Cuba, along with AOSIS, fought hard for the inclusion of an agenda on WIM under the Subsidiary Bodies to ensure frequent dialogues and effectual help to the developing nations affected by climate change. The developed nations vehemently opposed this. The ‘Paris Agreement’ comprises a segment identifying the significance of prevention –​ and talking about –​the loss and damage produced by climate change. The agreement stated that parties ought to increase ‘understanding, action and support’ on this crucial subject, which has turned into a concern at conferences in current years. Few recognized it as the ‘third pillar’ of climate action, along with mitigation and adaptation. But the distinction that remains with mitigation and adaptation is that there are currently no bases of funding for loss and damage while mitigation and adaptation had their promised funding of $100 billion per year. COP 23 had included deliberations on loss and damage as a portion of a distinct, more low-​level technical procedure known as ‘Warsaw International Mechanism for Loss and Damage (or WIM).’ It was previously agreed at COP 19 in 2013 in Poland that it would be a separate UNFCCC workstream to the ‘Paris Agreement’ with its executive group. USA, Canada, Australia, New Zealand, and Japan opined ‘an expert dialogue to explore a wide range of information, inputs, and views on ways for facilitating the mobilization and securing of expertise, and enhancement of support, including finance, technology, and capacity-​building, for averting, minimizing and addressing loss and damage associated with the adverse effects of climate change, including extreme weather events and slow onset events.’ 10.2.3.1.23.7  Local Community  COP 21 identified the launch of a forum for exchanging experiences, good practice methods on mitigation and adaptation comprehensively for which consolidation of knowledge, technologies, indigenous methods, and exertions needs to be addressed. G 77 and China persuaded a working group under UNFCCC disagreed by the USA and New Zealand. On a note of compromise, a ‘facilitative working group’ was set up. 289

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10.2.3.1.23.8  Agriculture  One remarkable but low-​profile effect from the meet in 2017 was the termination of a block on agronomy that continued for years. Parties decided to exert over the coming few years on a sequence of concerns associated with climate change and cultivation. Parties decided to justify two distinct technical dialogues on the subject into one procedure. Identifying the significance of agriculture in implementing PA, COP 23 embraced ‘Issues relating to Agriculture.’ Nations have now been requested to give in to their opinions about the topics to be included in the activities by 31 March 2018, with possibilities counting improvement of water management, nutrients management, soil carbon and productivity, methods of assessing adaptation and resilience, and the establishment of improved livestock management systems. 10.2.3.1.23.9  Gender and Climate Change  COP 22 requested the setting of the ‘Gender Action Plan (GAP),’ which was adopted at COP 23. GAP ‘seeks to advance women’s full, equal and meaningful participation and promote gender-​responsive climate policy and the mainstreaming of a gender perspective in the implementation of the Convention and the work of Parties, the secretariat, United Nations entities and all stakeholders at all levels.’ 10.2.3.1.23.10  The ‘Gateway’  A scheme given by the Democratic Republic of Congo (DRC) and 6 other nations requested a fresh program item to reflect a new ‘gateway.’ This would produce an UN-​sanctioned emissions trading forum intended ‘to encourage, measure, report, verify and account for greater ambition from corporate entities, investors, regions, states/​provinces, cities and civil society organizations.’ 10.2.3.1.23.11  Other Matters  EU and California decided on cooperation in emission trading, zero-​carbon transport; with China, the EU decided on carbon markets. Fiji created the ‘Ocean Pathway’ Strategy to link the relationship between oceans and climate change. 10.2.3.1.24  2018: COP 24, KATOWICE, POLAND

COP 24 has agreed to new admissions as ‘observers’ in COP 24. The COP has approved eight new intergovernmental organizations and 137 new non-​governmental organizations. For 2 weeks, the representatives from 196 nations and the European Union worked on the ‘Katowice Rulebook,’ fleshed out with details for implementation of the landmark ‘Paris Agreement.’Katowice has become yet one more landmark on the road in the direction of sustainable global climate policy. The COP 24 took place from 2 December to 15 December. The Katowice COP was also the First Meeting of the Parties to the PA (CMA 1). It adopted rules and methods on mitigation, adaptation, finance, transparency, stocktaking, etc. They were, however, not able to conclude rules on Article 6 that deals with market-​based approaches. Twelve days of intense work have resulted in the completion of specific areas of the implementation rules of the Paris Agreement. During this time, an extensive array of subjects were deliberated–​several basic, others very exhaustive and methodological –​that contributed to the delivery of an intricate and challenging text. Some of the major facets were finance, transparency, and adaptation. In the ‘Katowice Rulebook,’ the interests of all Parties were taken into account in a well-​balanced, fairway. Thanks to it, a great step was taken towards realizing the ambitions expressed in the Paris Agreement. 290

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The completion of PAWP had given work to 3 different UNFCCC sub-​bodies for the development of decisions required for PA operation. The struggle went on with the persisting issue of finance and variation of accountability between developed and developing nations. But this bifurcated approach was discarded by the creation of a common transparent system with restricted flexibility for the developing nations. The meet was highlighted by challenges such as road protest in France in response to a new gas tax, Germany’s fight to plan a track away from coal, etc. But Poland was defensive of its coal use and called other nations to join ‘just transition’; signed in by over 50 nations that declared ‘just transition of the workforce and the creation of decent work and quality jobs are crucial to ensure an effective and inclusive transition to low greenhouse gas emission and climate-​resilient development.’ USA played doubly: resisting a strong response to IPCC report and broadcasting the pro-​coal message and also key to framing the Paris rulebook. Some of the main provisions of the rulebook were: communication of NDCs as per Article 4.8 which provides for ‘information necessary for clarity, transparency, and understanding (ICTU)’; with no differentiation between developed and developing nations allowing Parties for self-​differentiation by determination of the ICTU applicable to their NDC. Article 4.13 required accounting of NDCs for both releases and removals for the promotion of ‘transparency, accuracy, completeness, comparability, consistency (TACCC).’ Parties should provide their accounting methods if not using those given in IPCC guidelines, reports, changes in the course of implementation, etc. Article 6.2 ensures avoiding double-​counting of accounting in case Parties were using ‘internationally transferred mitigation outcomes (ITMOs)’towards NDCs. CMA adopted enhanced transparency under Article 13. The Parties involved in using ITMOs towards NDC, such as ICAO’s Carbon Offsetting and Reduction Scheme for International Aviation (CORSIA), need to exhibit the way they were ensuring avoiding double count. Each Party should be providing a ‘National Inventory Report (NIR),’information from every Party to track the progress, and a ‘Technical Expert Review (TER)’ should be considering the extent to which NDC was implemented and achieved along with another review ‘facilitative, multilateral consideration of progress (FMCP).’ All Parties to submit ‘biennial transparency reports (BTRs)’ except LDC and SIDs that might be providing such reports at their discretion. Article 9.7 required the biennial submission of reports by developed nations about the assistance they have provided to developing nations. CMA states a new objective of over 100 billion dollars per year by 2020. There was a pledge of over 2 billion dollars by individuals and groups. Germany and Norway announced doubling their contribution towards GCF. Nations such as the USA, Saudi Arabia, Kuwait, and the Russian Federation were hesitant for greeting the IPCC report and insisted on taking note of it. COP 24 restated its Paris decision for the communication of the fresh NDC s by 2020 or updating of their NDCs. The EU and twenty-​five developed and developing nations are committed to ‘step up’ their ambition by the year 2020 as the ‘High Ambition Coalition.’ The COP 24 also completed the Talanoa Dialogue, which was an evaluation process of long-​standing objectives of PA and meant for informing the Parties in their preparation of a fresh round of NDC in 2020. The Special Report on Global Warming of 1.5°C expected a barely warm welcome. Article 14 required CMA to undertake stock five years alternately to ‘assess the collective progress towards achieving the purpose of [the Paris] Agreement and its long-​term goals’; another important element of the Katowice Rulebook is to determine the shape of the 291

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Global Stock take, which is expected to occur in 2023. The Global Stock take of Climate Policy is to form the basis for the preparation of reduction plans after 2030. Stopping climate change requires cooperation and joint coordinated action by all Parties to the Convention. Therefore, the goal of Poland as the presidency of the summit was to maintain the global character of the ‘Katowice Rulebook’ and to shape a joint global climate policy, considering the possibilities and precise circumstances of individual countries. The Paris Agreement has presented a vision of striving to balance the human-​induced emissions of greenhouse gases. The realization of this vision is to be achieved thanks to the sovereignly defined so-​called national contributions–​NDC, considering the national economic, social, and environmental conditions of individual countries, as well as their development goals. The policies planned and implemented in this way will not only foster climate protection but will also take into account the specificity of the national economy and the developmental stage of each of the Parties to the agreement. 10.2.3.1.25  2019: COP 25, SANTIAGO, CHILE

COP 25 was scheduled between 2 and 13 December in Parque Bicentenario Cerrillos in Santiago de Chile, Chile, with a prior sessional period from 26 November and 1 December 2019. As per the announcement on 1 November 2019, the UNFCCC Secretariat canceled the host place and shifted it to Madrid Spain under the presidency of the Chilean Government. This COP also marked the fifteenth Meeting of the Parties for KP (CMP 15) and the second meeting of the Parties for the Paris Agreement (CMA2). Around 25000 delegates reached Madrid to finalize the ‘rulebook’ of Paris Agreement that was supposed to be affective from 2020 including setting rules for carbon markets and various types of international cooperation under the Article 6 of the deal. Finally, talks failed to reach consensus in most of the areas thus pushing the decisions into the following year under Rule 16 of the United Nations climate process. In Costa Rica, a pre-​COP meet was organized. This delivered the prospect of discussing the Special Report on the Ocean and Cryosphere in a Changing Climate (SROCC) by the IPCC, along with some of the unsettled issues of COP 24. Among other things, the Presidency organized a high-​level event on the forest on 5 December, a panel on NDC ambition on 6 December, a discussion on UNFCCC, UNCBD, and UNCCD on 7 December; and a ‘Ministerial Dialogue on Adaptation Ambition’ on 10 December. The discussions on UNFCCC, UNCBD, and UNCCD were organized for exploring the extent of strengthened synchronization and cooperation needed across communities and expertise for enabling more rational execution that should improve the outcomes and achievement of the mandates across all 3 agendas. Discussions were held on the SDGs 6 –​clean water and sanitation, SDGs 7 –​clean and affordable energy, SDGs 14 –​life below water, and SDGs 15 –​life on land. The SBSTA of the UNFCCC and the IPCC held special events on Special Report on the Ocean and Cryosphere in a Changing Climate (SROCC) and Special Report on Climate Change and Land (SRCCL) to unfold the new scientific knowledge and important outcomes. The IPCC reported the melting of Greenland’s ice sheet seven times faster than as compared to the 1990s. They reported a decrease in the level of oceanic oxygen. And 25% of the global population is at risk of water supply issues.

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COP 25 was involved with the initiation of Platform for Science Based Ocean Solutions (PSBOS) on 3 December and Platform of Latin American and Caribbean Agriculture Climate Action (PLACA) on 5 December. 10.2.3.1.26  FURTHER PROGRESS IN THE PANDEMIC AND POST-​PANDEMIC PHASE

COP 26 of the UNFCC was scheduled to be held in Glasgow, UK in 2020 but not possible due to the COVID-​19 pandemic. It was postponed and held from 31 October to 13 November 2021. The Glasgow Climate Pact was agreed unanimously and signed, and Parties agreed to the Paris Rulebook. This conference ended with less stringent pledges than expected but assured more climate finance for the developing nations. The COP 27 was held from 6 to 20 November 2022 in Sharm El Sheikh, Egypt was also the CMP 17 and CMA 4. It was attended by around 35000 delegates from 190 nations. Prior in October, in the pre-​COP, the UN Secretary-​General on the observed climate change impacts such as Pakistan flood, hurricane Ian, and heat waves in Europe. In the COP, he concluded that we have a lot of homework and a little time. He mentioned five takeaways to keep the worst climate change impacts at bay. The need to establish a dedicated fund for loss and damage led to an agreement to provide such funds for vulnerable countries hit by worst disasters. A transitional committee will be making recommendations about the functioning of these new funds. A clear intention and reaffirmation to keep the 1.5°C temperature within reach while the current vow by the nations put the planet for a 2.5°C warmer by the end of this century. The nations were requested to revisit their 2030 targets in their national climate plans by 2023. The transparency of to the Adaptation Fund (totaling USD 211.58 million), the Least Developed Countries Fund (totaling 70.6 million), and the Special Climate Change Fund (totaling 35.0 million). However, the target of mobilizing 100 billion USD jointly by the developed nations that was not yet met remains a concern. COP27 decisions have a strong focus on implementation –​aiming to strengthen action by nations to cut GHG emissions and acclimatize to the foreseeable impacts of climate change, as well as enhance the support of finance, technology and capacity building needed by developing nations. The countries took resolution to make the shift to low-​emission and climate-​resilient development determined, just and equitable. They decided to establish a work programme on ‘just transition,’ which is expected to build on and complement the work to immediately scale up mitigation ambition and implementation. The next 2023 COP 28 will serve as CMA 5, CMP 18, and 59th meeting for SBI and SBSTA is scheduled to be held in Dubai, UAE from 30 November to 12 December 2023.

10.2.3.2  The Indian Context With India’s ratification of the UNFCCC, the GHG inventory was communicated, Technology Information Forecasting and Assessment Council (TIFAC) under the Department of Science and Technology (DST), and the Participatory Forest Management Strategy, mostly known as Joint Forest Management of the GOI was established. TIFAC promotes new areas of science and technology. India’s first GHG inventory in 2010, published by MoEFCC, exhibited the GHG emission trend from 1994 to 2007. The overall GHG emission, excluding LULUCF, has increased from 1252 million tonnes to 1905 million tonnes CO2e. The sectors with substantial growth were cement production at 6%, power production at 5.6%, and transport at 4.5%.

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Figure B X-​10.2.3-​3 UNFCCC Parties in negotiations.

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India submitted the first Biennial Update Report in 2015. Here the GHG emissions, including LULUCF, have increased from 1301.2 million tonnes CO2e in 2000 to 1884.3 million tonnes CO2e during 2010. This increase was accompanied by the doubling of the GDP and an 18% rise in population. India is yet to submit the second Biennial Update Report. In the Rio summit of 1992, the conceptual foundations of India’s climate policy were laid down by a loud boom by the Center for Science ad Environment (CSE) titled ‘Global warming in an Unequal World.’ They alleged the industrialized nations of ‘carbon colonialism.’ At this point reporting, few numbers might state India’s position. If climate change is an issue of GHG releases over time, then India bears little responsibility. Study shows that the USA, the EU, and China contributed around 20% 17%, and 12% GHG releases individually between 1850 and 2012 in contrast to India’s emission of 5%. The world’s two largest emitters, the USA and China, announced a bilateral agreement. The USA pledged to decrease its emissions by 25% of 2005 levels by 2025, while China pledged to stop its releases from increasing after 2030. The EU declared to pursue its aim of reducing emissions by 40% of 1990 levels by 2040. India is a developing country in terms of standards. One-​ third of its population is under the poverty line. While the USA has an annual GDP of 56000 USD, and China has 8000 USD, India’s GDP per capita was only 1600 USD in 2015. India has a low per capita emission nearly one-​third of the global average, and per capita, power consumption is one-​fourth of the worldwide average. It is 10% of the OECD countries. India’s per capita emission was 1.7 metric tonnes in 2010, which is far below the global average of 5 metric tons. On the other hand, India is the third-​largest emitter in the world when viewed through a chronological lens. Hence India matters quite markedly in climate action to analyze the current and future pattern flow of the GHGs. India owes a dual position –​both a significant emitter and, at the same time, does not bear the historical accountability for global warming. Its place is thus unique in international climate politics. In the early years of climate action, India was within the G77 group that insisted the industrialized nations take action to fight climate change and opined that emerging nations would take measures voluntarily provided they receive support with financial and technology transfers from the Annex I countries as was echoed in the phrase ‘common but differentiated responsibility.’ India’s role was active and critical to securing the Berlin Mandate of 1995. This was followed by the Kyoto Protocol in 1997, where the non-​Annex I countries such as India, was left out from any legally binding commitments. For the G77 block, the Protocol pointed out the perpetual distinction between the industrialized and the emerging nations in the context of the burden of responsibility for climate action. India could successfully safeguard its scope of social and economic development and, at the same time, force the Annex I nations to take more accountabilities. India expanded the production of hydel power, solar and nuclear power. The dealing between 2007 and 2009 emphasized post-​2012 climate governance after the first commitment period, which was marked by strong economic growth in the early years for a group of emerging nations such as Brazil, South Africa, India, and China. This group is known as BASIC. Their development increased the probability that these countries would take an active part in persuading the consequences of climate governance. The BASIC countries are also known as ‘emerging economies’ and are distinguished from G77 countries based on their economic power and carbon footprint. The industrialized nations also initiated talks with this block outside the ambit of UNFCCC. Note, for instance, the G8+​5 ‘Dialogue on Climate and Energy’ in 2008, followed by United States-​led ‘Major Economies Forum on Energy and Climate’ in 2009. The international Group of Eight + Five 295

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popularly known as (G8+5) comprised of the heads of government from the G8 nations like Canada, France, Germany, Italy, Japan, Russia, the United Kingdom, and the United States, along with the heads of government of the five leading developing economies namely, Brazil, China, India, Mexico, and South Africa. Russia was cast out of the Group of 8 in March 2014, owing to its involvement in the Crimea crisis in Ukraine. Arguments were made that Kyoto exemptions for non-​Annex I nations should not apply to emerging economies such as India. With this pressure acting upon, the BASIC block started to negotiate independently of G77. India brought about notable shifts in its climate policy before COP 15 in 2009 in Copenhagen. At COP 13 in Bali in 2007, India unpredictably agreed on the fact that developing nations should take part in global mitigation efforts at least voluntarily in tune with their capacities. India released its National Action Plan on Climate Change (NAPCC) in 2008. India broadcasted its voluntary target of reducing the GHG releases by 20 to 25% of 2005 levels by the year 2020, along with promises not to surpass the per capita emissions of the Annex I nations. This is in contrast to the Kyoto negotiation, where India outrightly refused any concept of voluntary pledges. The then MoEFCC minister also showed his intent to transform the description of India’s climate change negotiations that would be translated into a meaningful agreement in Copenhagen. The minister, Jairam Ramesh, was severely criticized on the domestic front for relaxing India’s conservative role in such dialogues. COP 15 failed to agree on any new climate deal and was unable to replace the Kyoto Protocol. COP 16 in Cancún 2010 blew additional shocks. India broke from its long-​established approach and stated in favor of legally binding pledges for all countries under a suitable legal form. This also left a scope to distinguish the pledges between countries. It is a shift more in ‘strategy’ than ‘substance.’ Some called this decision ‘mystifying.’ India played a significant role in Cancún in dealing with the issues of transparency that helped India in gaining widespread appreciation. The COP 17 at Durban led by Jayanthi Natarajan tried to revert to the earlier arrangements and portrayed India as a ‘deal-​breaker’ while it refused to put signature in a new legally binding commitment for both Annex I and non-​Annex I countries. This pushback was seen as the country’s increasing ambition with climate governance yet hardly did anything to alter the course of broader developments in the negotiations. Parties agreed to replace the Bali Action Plan with Durban Platform for Enhanced Action that quickly opened and disintegrated the firewall between the North and South measures on climate. While Cop 15 and Cop 16 reiterated the significance of equity and CBDR, Durban called for a fresh agreement to be decided upon by 2015 with no reference of a distinction between developed and developing nations, no indication of economic development to be a priority for developing countries and no comment of per capita emissions. Cop 19 in Warsaw 2013 witnessed the origin of the concept of Nationally Determined Commitments that ultimately developed into Intended Nationally Determined Contributions (INDC) that was accepted in COP 20 in Lima 2014. All the nations were directed to declare their INDC along with respective plans up to 2030. In 2015 India pledged to install clean energy corresponding to 40% of the overall electrical capacity of the country by the year 2030. India declared to decrease the carbon intensity of its economy by 33 to 35% as compared to 2005 by the year 2030 and install carbon sinks amounting to a further 2500–​ 3000 million tonnes CO2e through supplementary forest and tree cover by 2030. India also unexpectedly accepted a 1.5°C goal. India launched the global Solar Alliance to push the development of renewable energy programs aggressively. India rapidly ratified the Paris Agreement. All these initiatives exhibit India’s leadership in climate governance. 296

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India launched the National Action Plan on Climate Change in 2008 and identified 8 missions that constitute the core of the National Action Plan. They are National Solar Mission, National Mission for Enhanced Energy Efficiency, National Mission on Sustainable Habitat, National Water Mission, National Mission for Sustaining the Himalayan Ecosystem, National Mission for a Green Media, National Mission for Sustainable Agriculture, and National Mission on Strategic Knowledge for Climate Change. The National Action Plan on Climate Change fixed a target of providing 80% coverage for all low-​ temperature applications and 60% coverage for medium-​temperature applications. It also fixed its goal of 1000 MW/​year of photovoltaic production from integrated facilities by 2017 and 1000 MW of Concentrating Solar Power generation facility. Indian Prime Minister declared a target of 175 GW renewable energy installations by 2030. Based on the strength of the National Solar Mission, it was reported that the goal might be achieved ten years in advance. India might even raise its target to 227 GW by 2030. India is on the track to achieving ‘2°C compatible’ after adopting its National Electricity Plan in 2018. India could even become ‘1.5°C compatible’ if it forsakes any proposal to install new coal-​fired plants. At present, the country has more than 200 GW coal-​fired plants in operation. If all the proposed plants were built, the capacity would increase by 300 GW. Since 2010, the GOI has doubled the coal tax thrice making it INR 400 per tonne. This is practically a carbon tax at the source. The revenue collected feeds the National Clean Environmental Fund that funds renewable energy projects. Between 2010 and 2018, it raised USD 12 billion, expected to receive 1 billion USD more in 2019. In the transport sector, the GOI came with the Faster Adoption and Manufacturing of Electric Vehicles in 2019, providing incentives for purchasing electric vehicles. The Indian Government also plans to deliver adequate charging infrastructure. The government is also planning to enforce a carbon pricing mechanism to encourage energy efficiency in industries. To make a sustainable habitat, the government stresses the energy efficiency of the buildings by implementing the Energy Conservation Building Code, municipal solid waste management, and promoting urban public transport means. The Water mission aims to increase water use efficiency by 20%. Green India campaign plans for afforestation of 6 million ha to increase the forest cover to 33%. The government aims to resilience in agriculture by recognizing temperature-​resistant crops and alternate cropping patterns. Paris Agreement was a top-​down approach in contrast to the bottom-​up approach of Copenhagen, from the protestor’s voice in the fringes of policymaking to actively shaping the global efforts.

10.3  Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, 1998 During the 1960s and 1970s, the global proliferation of tradable chemicals resulted in an increased concern, especially in the developing nations that lacked expertise and infrastructure for safe usage. This concern facilitated the development of the UNEP’s ‘London Guidelines of Information on Chemicals in International Trade,’ 1985 amended in 1989 and FAO’s ‘International Code of Conduct for the Distribution and Use of Pesticides,’ 1985 and amended in 1989 that aimed in making the availability of information on hazardous chemicals. This, in turn, enables the countries to risk assessment linked with their use. Both these instruments included the voluntary Prior Informed Consent (PIC) to assist the nations in making informed decisions while importing chemicals the use of which has been banned or restricted. It can be inferred that the target was to boost shared responsibility between the exporting and importing nations in safeguarding human health and the environment and 297

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their future prerogative. The 1992 Rio Conference reiterates the need for using chemicals in achieving socio-​economic goals and accepts the fact that it demands sound management of the chemicals. The International Strategy for Action on Chemical Safety was included in Chapter 9 of Agenda 21 which calls for full participation in the enforcement of the PIC procedure as incorporated in the London Guidelines. In the year 1994, the FAO decided to develop a draft of the PIC Convention as a part of the FAO/​UNEP program along with the assistance of other organizations and formed an Intergovernmental Negotiating Committee (INC). The Committee met several times and after tireless efforts and reviews agreed on the final text. In 1998, the Conference of the Plenipotentiaries on the Convention on the PIC Procedure was organized in Rotterdam, the Netherlands, where more than 100 countries participated and adopted the Rotterdam Convention, the Final Act of the Conference, and the resolution on interim arrangements. After several interim concerns by the INC in between, the multilateral Rotterdam Convention was entered into force on 24 February 2004 and had around 161 Parties. The United Nations Secretary-​General is the Depository of this Convention. Article 1 defines the objective and Article 2 defines the terms. The Convention aims at the promotion of shared responsibility and calls for cooperation between the Parties in the field of global trade with several hazardous chemicals for the protection of human health and the environment from potential harm. It also calls for sound environmental use by promoting the exchange of information regarding the characteristics of the chemicals and by allowing the countries’ decision-​making process on the imports and exports of these chemicals and spreading this information to the Parties. In Article 3, the Convention details the scope that applies to the banned or severely restricted chemicals and severely hazardous pesticide formulations except for narcotic and psychotropic substances, radioactive substances, chemical weapons, wastes, pharmaceuticals, food additives, food, and chemicals used in research activities or for individual use in reasonable quantity. Under Article 4, each Party is required to submit to the Secretariat the details of their national authority. The designated national authorities (DNAs) on behalf of the respective Parties should serve the administrative functions. Article 5 deals with the procedures for prohibited or severely restricted chemicals. The final regulatory action adopted by each Party should be notified to the Secretariat in writing containing relevant information required as per Annex I of the Convention. The Secretariat, after verification, should be required to forward such notifications to all the Parties within six months of its receipt. Article 6 deals with the procedures for severely hazardous pesticide formulations. Any Party from the developing countries or EIT that has been undergoing problems caused by the use of severely hazardous pesticide formulation within its jurisdiction might propose (with help from technical expertise) to the Secretariat about its listing in Annex III. The Secretariat should be verifying such proposals as per the guidelines in Annex IV of the Convention for the necessary information after which the summary of the information is to be forwarded to all the Parties. Additional information is also assembled by the Secretariat. All the information is then forwarded to the Chemical Review Committee that undertakes a thorough review based on the set guidelines for further recommendations on whether the chemical in question should be made subject to the PIC procedure and listed in Annex III. Article 7 provides the details for the listing of chemicals in Annex III. The Chemical Review Committee should be preparing a draft decision guidance document for

298

Negotiations for the Protection of Atmosphere and Climate Table B X-10.3-​1  Chemicals in Annex III list that is subjected to the Prior Informed Consent Procedure Chemical

Relevant CAS number(s)

Category

2,4,5-​T and its salts and esters Alachlor Aldicarb Aldrin Azinphos-​methyl Binapacryl Captafol Carbofuran Chlordane Chlordimeform Chlorobenzilate DDT Dieldrin Dinitro-​ortho-​cresol (DNOC) and its salts (such as ammonium salt, potassium salt and sodium salt) Dinoseb and its salts and esters 1,2-​dibromoethane (EDB) Endosulfan Ethylene dichloride Ethylene oxide Fluoroacetamide HCH (mixed isomers) Heptachlor Hexachlorobenzene 1 Lindane Mercury compounds, including inorganic mercury compounds, alkyl mercury compounds and alkyloxyalkyl and aryl mercury compounds Methamidophos Monocrotophos Parathion Pentachlorophenol and its salts and esters Toxaphene Trichlorfon Dustable powder formulations containing a combination of: –​Benomyl at or above 7 percent, –​Carbofuran at or above 10 percent, and –​Thiram at or above 15 percent Phosphamidon (soluble liquid formulations of the a substance that exceeds 1,000 g active ingredient/​l)

93-​76-​5* 15972-​60-​8 116-​06-​3 309-​00-​2 86-​50-​0 485-​31-​4 01-​06-​2425 1563-​66-​2 57-​74-​9 6164-​98-​3 510-​15-​6 50-​29-​3 60-​57-​1 534-​52-​1 2980-​64-​5 5787-​96-​2 2312-​76-​7 88-​85-​7* 106-​93-​4 115-​29-​7 107-​06-​2 75-​21-​8 640-​19-​7 608-​73-​1 76-​44-​8 118-​74-​1 58-​89-​9

Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide

10265-​92-​6 6923-​22-​4 56-​38-​2 87-​86-​5* 8001-​35-​2

Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Severely hazardous pesticide formulation

17804-​35-​2 1563-​66-​2 137-​26-​8 13171-​21-​6 (mixture, (E) & (Z) isomers) 23783-​98-​4 ((Z)-​ isomer)

Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide

Severely hazardous pesticide formulation (Continued)

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Negotiations for the Protection of Atmosphere and Climate Table B X-10.3-1 (Continued) Chemical

Relevant CAS number(s)

Category

Methyl-​parathion (emulsifiable concentrates (EC) at or above 19.5% active ingredient and dust at or above 1.5% active ingredient) Asbestos: –​ Actinolite –​ Anthophyllite –​ Amosite –​ Crocidolite –​ Tremolite Commercial octabromodiphenyl ether including: –​Hexabromodiphenyl ether –​Heptabromodiphenyl ether Commercial pentabromodiphenyl ether including: –​Tetrabromodiphenyl ether –​Pentabromodiphenyl ether Perfluorooctane sulfonic acid, perfluorooctane sulfonates, perfluorooctane sulfonamides and perfluorooctane sulfonyls including: –​Perfluorooctane sulfonic acid –​Potassium perfluorooctane sulfonate –​Lithium perfluorooctane sulfonate –​Ammonium perfluorooctane sulfonate –​Diethanolammonium perfluorooctane sulfonate –​Tetraethylammonium perfluorooctane sulfonate –​ Didecyldimethylammonium perfluorooctane sulfonate –​ N-​Ethylperfluorooctane sulfonamide –​ N-​Methylperfluorooctane sulfonamide –​ N-​Ethyl-​N-​(2-​hydroxyethyl) perfluorooctane sulfonamide –​ N-​(2-​hydroxyethyl)-​ N-​methylperfluorooctane sulfonamide –​Perfluorooctane sulfonyl fluoride Polybrominated biphenyls (PBB)

298-​00-​0

Severely hazardous pesticide formulation

77536-​66-​4 77536-​67-​5 12172-​73-​5 12001-​28-​4 77536-​68-​6

Industrial Industrial Industrial Industrial Industrial

Polychlorinated biphenyls (PCB) Polychlorinated terphenyls (PCT) Short-​chain chlorinated paraffins Tetraethyl lead

36483-​60-​0 68928-​80-​3 Industrial 40088-​47-​9 32534-​81-​9 Industrial

1763-​23-​1 2795-​39-​3 29457-​72-​5 29081-​56-​9 70225-​14-​8 56773-​42-​3 251099-​16-​8 4151-​50-​2 31506-​32-​8 1691-​99-​2 24448-​09-​7 307-​35-​7 36355-​01-​8 (hexa-​) 27858-​07-​7 (octa-​) 13654-​09-​6 (deca-​) 1336-​36-​3 61788-​33-​8 85535-​84-​8 78-​00-​2

300

Industrial

Industrial Industrial Industrial Industrial

Negotiations for the Protection of Atmosphere and Climate Table B X-10.3-1 (Continued) Chemical

Relevant CAS number(s)

Category

Tetramethyl lead Tris (2,3-​dibromopropyl) phosphate All tributyltin compounds including: –​Tributyltin oxide –​Tributyltin fluoride –​Tributyltin methacrylate –​Tributyltin benzoate –​Tributyltin chloride –​Tributyltin linoleate –​Tributyltin naphthenate

75-​74-​1 126-​72-​7

Industrial Industrial Pesticide/​ Industrial**

56-​35-​9 04-​10-​1983 2155-​70-​6 4342-​36-​3 1461-​22-​9 24124-​25-​2 85409-​17-​2

each of the chemicals under consideration, and the decision is taken based on the information mentioned in Annex I and Annex IV of the Convention that comprises information on the use of the chemical in a category other than the category for which the final regulatory action applies. The Conference of the Parties decides on its inclusion in Annex III, and the Secretariat forwards the communication to all the Parties. Article 8 details the procedure for removing the names of the chemicals from the Annex III list. The COP should decide on the list of chemicals in Annex III for any chemical that has been included in a voluntary PIC procedure before the first meeting, other than a chemical listed in Annex III. Refer to Table B X-​10.3-​1 for chemicals in Annex III list. Article 9 outlines the removal of chemicals from Annex III. Such a case might arise supposing an information submission that was unavailable during the time of decision, by a Party to the Secretariat and also that information indicate that its listing is not further justified according to the relevant criteria in Annex II or Annex IV, the relevant information submitted by the Party under the set criteria is forwarded to the Chemical Review Committee by the Secretariat, which upon reviewing prepares a revised draft decision guidance document. This is then forwarded to the Conference of the Parties for a final decision. The decision is then communicated to all the Parties by the Secretariat. Article 10 contains the obligations about imports of Annex III listed chemicals. Each Party should be implementing adequate legal and administrative measures to ensure timely decisions about importing chemicals. The Parties should communicate a response/​modified response comprising the future import of the chemicals to the Secretariat within nine months after the dispatch of the decision guidance document. In case the time expires, the Secretariat assists in responding. The response comprising details should be based on the guidelines provided in Article 10. Article 11 contains the obligations relating to exports of Annex III listed chemicals. Each Party should be implementing adequate legal and administrative measures for communication of responses forwarded by the Secretariat under the provisions. The exporting Party should be taking necessary legal and administrative measures to ensure that exporters within its jurisdiction comply with the decisions in each response within six months of the receipt of the information from the Secretariat. Under Article 12, an export notification is needed to be given to the importer as per the information set out in Annex V, provided a chemical gets banned or severely restricted by a Party involved in exporting. (For details see Annexure B X –​10.3) 301

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Article 13 comprises the details of the information to accompany exported chemicals. The Conference of Parties should encourage the World Customs Organization to assign specific Harmonized System customs codes to the respective Annex III listed chemicals or groups of chemicals. Each Party requires a shipping document for the chemicals bearing the code during the time of export. During export, the Parties require the chemicals to comply with the labeling requirements to ensure the necessary information concerning threats to human health or the environment from the perspective of international standards. For the chemicals used for the occupational purpose, the exporting Party should send the importer a safety data sheet as per the globally recognized format with the relevant information in one or more official languages of the importing Party. Article 14 provides for information exchange that can be scientific, technical, economic, and legal within the ambit of the Agreement. The Article also delivers for the provision of publicly available information on domestic regulatory actions and protection of mutually agreed confidential information. Any information referred to in Annexes I, IV, safety data sheet, production and expiry date of the chemicals, precautionary measures, hazard classification, threats, and safety advice, summary results of the toxicological and ecotoxicological reports are not regarded as confidential. Any transit information on the Annex III chemicals in the territory of the Party should be communicated by the Secretariat on request. Article 15 insists in measures to be taken by the Parties to consolidate the national infrastructures and institutions for smooth enforcement of the Convention concerning creating national registers, databases, safety-​ related information, etc. with increased access to people to this information and tackling accidents and safer alternatives if any. Any technical assistance needed in the development of infrastructure and capacity building needs to be promoted as is stated in Article 16. The COP under Article 17 is responsible for developing and approving procedures and institutional mechanisms for determining non-​compliance with the provisions of this Convention. The Convention provides for the establishment of the Conference of the Parties under Article 18. The first meeting of the COP was convened by the Executive Director of the UNEP, and the Director-​General of the FAO. The Conference of the Parties established the Chemical Review Committee for assisting in the functions assigned to it. Article 19 calls for the establishment of a Secretariat and outlines its functions. The subsequent Articles (20–​30) deals with settlement of disputes, amendments, adoption of annexesvoting, signature, ratification, enforcement, reservations. Withdrawal, depository, and authentic texts to this Convention. The first COP meeting was held in 2004 in Geneva, followed by COP 2 in 2005 in Rome. Discussions were mostly on finance, budget, and appointment of the Chemical Review Committee members. The COP 3 at Geneva 2006 included chrysotile asbestos in the Annex III list and drafted the guideline for compliance mechanisms. The COP 4 took place in Rome in 2008 and included tributyltin compounds and endosulfan in the Annex III list. The meeting also discussed cooperation mechanisms with the WTO. In 2011 COP 5 took place in Geneva and listed alachlor, aldicarb, and endosulfan in the Annex III list to the Rotterdam Convention. In 2012, the Secretariats of the Basel Convention and Stockholm Convention merged with the UNEP portion of the Rotterdam Convention into a single Secretariat (BRS). The meetings of all these three Conventions are held back to back to facilitate the adoption of joint synergies decisions. COP 6 was held in Geneva 2013 as well as extraordinary meetings of the BRS. The COP was

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marked by a listing of azinphos-​methyl, commercial pentabromodiphenyl ether, commercial octabromodiphenylether, perfluorooctane sulfonic acid, fluorooctane sulfonates, perfluoroctane sulphonamides, and perfluorooctane sulfonyls in the Annex III list. 2015 was also marked by back-​to-​back meetings of all three Conventions. COP 7 listed methamidophos in Annex III to the Rotterdam Convention and six of their decisions are synergistic to the other two Conventions. Two 2017 Conventions were also nothing exceptional and marked 6 collective decisions. The COP 8 listed carbofuran, trichlorfon, short-​chain chlorinated paraffin, and tributyltin compound to the Annex III list. The Chemical Review Committee organized its 14th meeting in Rome in 2018 and proposed four chemicals for listing. They were acetochlor (pesticide), hexabromocyclododecane (flame retardants), phorate (pesticide), perfluorooctanoic acid, and related compounds (industrial chemical). The 2019 meetings ended with seven common decisions in Geneva. The COP 9 ended with listing phorate, hexabromocyclododecane, to the Annex III list.

10.3.1  The Indian Context India is a Party to the Rotterdam Convention, which came into force in 2005 in India. India needed to recognize the departments and institutions as Designated National Authorities to oblige Article 4 of the Convention. India announced the Department of Chemicals and Petrochemicals, Ministry of Chemicals and Fertilizers, Department of Agriculture, Cooperation and Farmers Welfare (DAC&FW) of the Ministry of Agriculture & Farmers’ Welfare as Designated National Authorities under the PIC Convention. India supported the listing of chrysotile asbestos in the Annex III list but failed to reach a consensus despite India’s support. Surprisingly, in COP 6 2013, India opposed the listing of chrysotile asbestos in the PIC list of the Rotterdam Convention. They reasoned on the grounds of the utility and domestic studies observation as ‘no hazard.’ Chrysotile asbestos is the most commonly used form in India. It is often mixed with cement to form a flame retardant mixture. It is then applied to the corrugated steel sheet and pipes. It is cost-​ effective and highly effective. The Indian domestic market for this compound is more than USD 1 million and offers employment to a few thousand men. The study was conducted by the National Institute of Occupational Health (NIOH) and the Department of Chemicals and Petrochemicals in 2008 and 2011 respectively, both for small and big industries. The studies reported the presence of fibers within permissible limits. The Pesticide Action Network (PAN) India supported the listing of all 5 hazardous chemicals–​carbofuran, carbosulfan, fenthion, paraquat dichloride, and trichlorfon in the PIC list. It is to note that all these pesticides are registered to be used in India as per the Insecticides Act 1968. As per the Central Insecticide Board and Registration Committee (CIB & RC), 2 formulations of fenthion, 3 formulations of both trichlorfon and carbosulfan, and 1 formulation of both paraquat dichloride and carbofuran are approved for use in India. Studies over the years reveal that India does not comply with the national legislation and the International Code of Conduct on Pesticide Management. Among pesticides, fungicides, and herbicides, pesticides form the lion’s share. India is one of the leading producers, and the pesticide market was valued at 197 billion in 2018, which is projected to spike at INR 316 billion by 2024. The consumption is highest in the states of Maharashtra, UP, Punjab, and Haryana. Pesticide uses in India are governed

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by the Insecticides Act 1968, and the Insecticides Rules 1971. Since 2008 the Pesticide Management Bill (PMB) has been discussed, and the draft Pesticide Management Bill 2017 was released by the Union Ministry of Agriculture and Farmers Welfare (MoFAW) in 2018 for getting a public opinion and later approved by the cabinet in 2020. The WHO classified several pesticides as extremely hazardous (Class 1a) and highly hazardous (Class 1b). The Bill should provide for the banning of Class 1 pesticides. Before August 2018, many of the Class 1 pesticides were permitted in India. The MoAFW banned eighteen pesticides three years after the recommendation of the Anupam Varma Committee. Still, it has left out two Class 1 pesticides –​monocrotophos and carbofuran. The Bill should also incorporate the provisions for mandatory PPE for selling pesticides, the Polluter Pays’ principle for liability and compensation. Suggestions were also given to include the Ministry of Health and Family Welfare with legislative powers to tackle health-​related issues. The other legislation that governs the use of hazardous chemicals are the EPA 1986, the Environment Protection Rules 1986, Manufacture, Storage and Import of Hazardous Chemicals Rules 1989 with their amendments, the Hazardous Wastes Rules 1989, the Chemical Accidents (Emergency Planning, Preparedness and Response) Rules 1996, Biomedical Wastes Rules 1998, Municipal Solid Wastes Rules, 2000, Batteries (Management and Handling) Rules 2001, the Drugs and Cosmetics Act 1940 and the Poisons Act 1919.

10.4  Stockholm Convention on Persistent Organic Pollutants, 2001 The UNEP defined Persistent Organic Pollutants (POPs) as ‘chemical substances that persist in the environment, bio-​accumulate through the food web, and pose a risk of causing adverse effects to human health and the environment.’ In 1995, UNEP instructed a worldwide action on Persistent Organic Pollutants. The Governing Council of the UNEP requested an international evaluation to be carried out for the primary list of 12 Persistent Organic Pollutants in 1990. Further, it suggested that the ‘Intergovernmental Forum on Chemical Safety’ (IFCS) for developing commendations on a worldwide scale, taking into consideration both the United Nations Environmental Program (UNEP) and the World Health Assembly by the year 1997. Shortly after such an announcement by UNEP, the Intergovernmental Forum on Chemical Safety (IFCS) and the International Programme on Chemical Safety (IPCS) framed the evaluation of the twelve nastiest criminals, commonly recognized as the ‘dirty dozen.’ They are aldrin, chlordane, DDT, dieldrin, heptachlor, hexachlorobenzene, mirex, toxaphene, endrin, dioxins, furans, and PCBs. In the year 1996, the Intergovernmental Forum on Chemical Safety (IFCS) inferred that the available information on these 12 Persistent Organic Pollutants was sufficient for global action through a legitimate mandatory tool. The Governing Council of the United Nations Environmental Program asked the UNEP to form an Intergovernmental Negotiating Committee (INC) for the drafting of a legally binding agreement to deal with the 12 persistent organic pollutants internationally in 1997. In 1998 the Criteria Expert Group (CEG) was finally formed in Montreal 1998 at the first meeting of the Intergovernmental Negotiating Committee (INC). The INC subsequently met several times in January 1999Nairobi, September 1999 Geneva, March 2000 Bonn, and December 2000 South Africa for the successful completion of the negotiation. The Criteria Expert

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Group met twice, in Bangkok 1998 and in Johannesburg 2000 to complete its instruction. This international legally binding environmental agreement was approved and signed in May 2001, later implemented in May 2004. The treaty aims to knock out or limit the manufacture and usage of persistent organic pollutants (POPs). There are 183 Parties to this treaty with the EU and 182 nations. United States, Israel, Malaysia, and Italy are yet to ratify. The Secretary-​General of the UN should be the depository of the Stockholm Convention. Under Article 1, the Parties aim to safeguard the health and environment from the effects of the Persistent Organic Pollutants founded on the precautionary principle of the Rio Declaration 1992. Article 2 defines all the relevant terms. Article 3 governs all the measures to be taken for excluding /​reducing the premeditated manufacture and its usage. The Parties should ensure every necessary lawful and executive measures to stop the manufacturing/​using/​importing/​exporting of the compounds in Annex A list and limit the manufacturing/​usage of compounds in Annex B (as per provisions). The Parties could import a compound from Annex A and Annex B list only when it is intended for environmentally sound dumping or utilization allowed to a specific Party under Annex A or Annex B list. The Parties are to take steps for the compounds mentioned in both lists. Particular exceptions for manufacture and usage are applicable for exporting if they are used for environmentally sound dumping or utilization allowed to a specific Party under Annex A or Annex B or a non-​Party State possessing a yearly certification to the exporting Party as per the provisions of the Convention. Parties having one or more regulatory and evaluation schemes for new chemicals or pesticides should be taking all steps to avert the manufacturing and usage of these chemicals by considering the criteria stated in Annex D that indicates the characteristics of the POPs. Article 4 required the establishment and maintaining of a register related to specific exemptions allowed to the Parties for Annexes A and B, respectively. The register should contain a list of different types of precise exceptions from both lists. This includes the list of the Parties granted with specific exemptions under both the lists along with the list of expiry dates for the specific exemptions. The Convention also considers the control of unintentional production of chemicals under Article 5. The Parties need to take action to decrease the total release from manmade sources of the chemicals in Annex C. An action plan has to be developed within two years of the implementation of the Convention for identifying and characterizing the emission of Annex C listed compounds. An assessment of the present and potential releases, assessment of the efficiency of the policies and legislation of the Parties along with an appraisal every 5 years should also be done. government ratified banning of seven POPs {Chlordecone the releases of Annexes A and B chemicals from the stockpiles through proper identification, management, and treatment of waste substances that might be having or adulterated with Annex A, B, or C substances. Refer to Table B X-​10.4-​1 for an easy viewing. Under Article 7, the Parties should be developing an implementation plan for the agreement and convey the plan to the COP within two years of implementation of the Convention along with periodic review and updating. Article 8 underlines the procedures and criteria for listing the compound in the respective Annexes. Upon submission of a proposal to the Secretariat by a Party, the lists are sent to the Persistent Organic Pollutants Review Committee for appraisal and decision based on the information in Annex D. Article 9 provides for exchange of information concerning the POPs and alternatives to

305

Negotiations for the Protection of Atmosphere and Climate Table B X-​10.4-​1 Summary of the Persistent Organic Pollutants (POPs) enlisted in the Stockholm Convention ANNEX A (The Contracting Parties are needed to ensure necessary steps for discontinuing the manufacture and use of Annex A listed substances). Aldrin (Pesticide) Decabromodiphenyl ether (Industrial chemical) Endrin (Pesticide) Hexabromobiphenyl (Industrial chemical)

Chlordane (Pesticide) Dicofol (Pesticide)

Hexachlorobenzene (Pesticide & Industrial chemical) Beta hexachloro cyclohexane (Pesticide) Pentachlorobenzene (Pesticide & Industrial chemical) Polychlorinated naphthalenes (Industrial chemical)

Hexachlorobutadiene (Industrial chemical) Lindane (Pesticide)

Technical endosulfan and related isomers (Pesticide)

Heptachlor (Pesticide) Hexabromocyclododecane (Industrial chemical)

Pentachlorophenol –​it’s salt and esters (Pesticide) Perfluorooctanoic acid –​its salts and related compounds (Industrial chemical) Tetrabromodiphenyl ether and pentabromodiphenyl ether (Industrial chemical)

Chlordecone (Pesticide) Dieldrin (Pesticide)

Hexabromodiphhenyl ether & Heptabromodiphenyl ether (Industrial chemical) Alpha hexachloro cyclohexane (Pesticide) Mirex (Pesticide) Polychlorinated biphenyls (Industrial chemical) Short-​chain chlorinated paraffin (SCCP) (Industrial chemical) Toxaphene (Pesticide)

ANNEX B (The Contracting Parties are needed to ensure necessary steps for restricting the manufacture and use of Annex B listed substances). DDT

Perfluorooctane sulfonic acid, its salts, andPerfluorooctane sulfonyl fluoride

ANNEX C (The Contracting Parties are are needed to ensure necessary steps for decreasing the manufacture and use of Annex C listed substances aiming towards minimization wherever possible and their ultimate removal). Hexachlorobenzene (Unintentional production) Polychlorinated dibenzo-​ p-​dioxins (Unintentional production)

Hexachlorobutadiene (Unintentional production) Polychlorinated dibenzofurans (Unintentional production)

Polychlorinated biphenyls (Unintentional production) Polychlorinated naphthalenes (Unintentional production)

the POPs while Article 10 provides for relevant information to be made publicly available, and calls for increased public participation in addressing the health impacts, education, awareness, and training programs. Article 11 encourages the Parties for research and development, along with monitoring and participation at both national and international levels. Under Article 12, the Parties should be required to deliver necessary technical help to consolidate the ability to implement the provisions of this agreement and

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also for capacity building, especially to the developing nations and the EIT nations. The developed country, under Article 13, should be supporting the Parties from developing countries and nations with EIT with new and supplementary funding to help them fulfill their obligations. The Parties, according to their capacity, should also be funding the national activities intending to attain the objective set in the Convention. Article 14 entrusts the GEF as the chief entity responsible for the operations of the financial mechanisms mentioned in Article 13, temporarily. Article 15 directs the Parties to enumerate to the COP about the efforts taken for implementing the obligations of this Stockholm Convention. It further requires the Party to submit a report of the total quantities of chemicals in Annex A and Annex B produced, exported, and imported to the Secretariat. As per Article 16, the Conference of Parties should be assessing the effectiveness of the Convention at regular intervals and make arrangements for maintaining comparable monitoring data for the chemicals in all three Annexes A, B, and C that should be starting 4 years after the implementation of the Convention. Article 17 seeks the drafting and approval of the procedures to recognize any non-​compliance by the Parties. Article 18 underlines the guidelines for settling any difference of opinion. Article 19 and 20 demand the establishment of the COP and Secretariat, respectively, and state their respective functions. The subsequent Articles provide provisions relating to amendments, their adoption, voting rights of the Parties, details of signature and ratification, implementation, reservations, withdrawal, and Depository. Persistent Organic Pollutants (POPs) are substances that stay in nature as it is in nature for a considerable long time, carried substantially too long distances around the globe along their path; accumulate in the adipose tissue posing a threat and toxicity to man and wildlife. Governments will have to ensure all steps to fully stop or decrease the use of and emissions of POPs in the environment, paving the future to get rid of POP and pledging to reform our economy’s dependence on such hazardous substances. Parties to this Agreement decided to completely remove nine of the 12 chemicals, restrict the use of DDT to control malaria, and limit the unintentional manufacture of dioxins and furans. (For details refer to Annexure B X –​10.4) What makes the Stockholm Convention is wide acceptance along with over 132 Parties having their respective national implementation plans. The Convention also established a POP clearing house mechanism, a platform to facilitate information exchange, networking, guidance as well as for capacity building. The Convention shows strict obligations and did not register for fresh exemptions after the expiry of the exemptions was over for aldrin, chlordane, heptachlor, dieldrin, and BHC. The Convention focuses on five essential targets:  Eradicate hazardous 12 POPs to begin with  Backing the switch over to safe options  Further targeting other persistent organic pollutants for action  Cleaning up older stocks and apparatus comprising persistent organic pollutants  Working concertedly for a persistent organic pollutants free future In 2009, nine new persistent organic pollutants and 2010, one new persistent organic pollutant had been affixed to the Annexes A, B, and C. The Stockholm Convention on Persistent Organic Pollutants succeeded in producing the first regional and worldwide monitoring reports along with the establishment of the PCBs Elimination Network, DDT Global

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Alliance, and the regional centers for capacity building and transfer of technology. The Stockholm Convention on Persistent Organic Pollutants is fruitful in achieving synergy with Basel and Rotterdam Conventions.

10.4.1  The Role of the United Nations Industrial Development Organization (UNIDO) UNIDO’s strategies emphasize its directive on Inclusive and Sustainable Industrial Development, ISID, as directed by Goal 9 of the Sustainable Development (SDG) on Infrastructure, Industry, and Innovation. The principal focus is on the industrial divisions stated in the Convention, counting, but not restricted to, power services, metallurgical operations, pesticide producers, reprocessing activities, along with textile and leather sectors. It helps the optimization of manufacturing processes to avert and minimize the releases of POP, the setting of novel facilities, and manufacturing units that can employ the alternatives to POPs. It also looks into the construction and operation facilities for the secure management of POP-​containing substances. It also consolidates on the capacity building of private and public sectors to help and back them to embrace National Implementation Plans. They promote collaborative work between the government and industries in achieving the objectives that comprise guidance to policies, designing technical guidelines to warrant sustainability through transformations of industries in an economically feasible and environmentally sound manner.

10.4.2  The Indian Context India participated in the Intergovernmental Negotiating Committee (INC) that led to the draft of the Convention and, finally, its acceptance. India was a signatory to this Convention since 2002 and deposited the instrument of ratification on 13 January 2006. The Convention was enforced in India on 12 April 2006. India commenced the development of a National Implementation Plan (NIP) through the GEF and constituted a National Steering Committee (NSC) under the Chairmanship of the Secretary of the Ministry of Environment and Forest. The MoEF is the GEF ad Stockholm Convention focal point in India for dealing with persistent organic pollutants. India recognized its obligation to submit a National Implementation Plan to the COP under Article 7 of the Convention. India is committed to obliging the provisions of the Convention to positively influence not its own chemicals management regime but also bring global success. The production, use, and import of most of the POPs pesticides are forbidden in India. The only exception to this is the DDT with permission of 150 tons /​year. DDT is allowed to be manufactured and used in India for vector control. A GOI enterprise, M/​s Hindustan Insecticides Limited (HIL), is only authorized to produce it while the only user is the Ministry of Health. India never produces the PCB. Figures on transformers comprising PCB have been inventoried. It covers 28 States and 7 UT. Around 9837 tons of PCB occur in India. An alternative to PCB is the ships brought to the ship breaking yard. For the PCDD and PCDF, the principal contributors are the waste incinerators, ferrous and non-​ferrous metal production facilities, copper recycling being the foremost. The overall release was around 8656.55 grams of Toxic Equivalent (TEQ) for the year 2009–​2010. India uses DDT and 308

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PCB only. The Hindustan Insecticides Limited and the National Vector Borne Disease Controlled Programme (NVBDCP) provided with the yearly allotment and supply of DDT. The National Environmental Engineering Research Institute (NEERI) visited Mizoram, EB, Chhattisgarh, Maharashtra, HP, Assam, Meghalaya, and Tripura to survey and found high concentrations of DDT in the soil samples. The GOI has recognized the following priorities for the enforcement of the basis of the National Implementation Plan (NIP). − Environmentally sound management of medical wastes and PCBs –​The government wanted to make a complete inventory of the PVB that covers all sectors. Medical wastes need to be properly treated to manage dioxin and furan issues. − Final disposal of the PCBs –​proposals were made to set up 3 disposal facilities; one stationary and two mobile to be located in Delhi and Bangalore in such a way that it can serve 13 selected cities. − Development of non-​POPs substitutes to the DDT. − Implementing the Best Available Technology (BAT) and Best Environmental Practices (BEP) to get rid of and lessen unintentional POP emissions. − Better PVC management to avoid incineration. − Capacity building; production and promotion of bio-​pesticides. − Identifying POPs contaminated sites and for the remediation process. − Inventory of the newly listed POPs − National programs for POPs monitoring. − Consolidating institutional capacity to implement the NIP effectively through improving policy, regulatory, and legal framework and enforcement. The GOI, through the NIP, wants to exterminate waste stocks of aldrin, dieldrin, and obsolete stocks of DDT. The waste store of aldrin and dieldrin was located in Regional Plant Protection and Quarantine Station (RPPQS) in Mumbai, Barmer, Bikaner, Sikar, Jaisalmer, Kota, Imphal, and Palampur. To regularly report about DDT to the Stockholm Convention, a Management Information System was proposed to be established. Dedicated transport facilities or DDT and environmentally sound disposal of used DDT bags need to be ensured. The NIP announced the disposal of 1700 tons of unadulterated Polychlorinated Biphenyls and 6000 tons of PCB tainted equipment by the close of 2015. The PCB levels are to be monitored in the soil, air, water food crops, aquatic organisms, poultry farms, fodder, higher organisms, including humans. The Stockholm Convention recognized the GEF as the financial mechanism to help the emerging nations and EIT nations to cope with the cost of implementing the provisions of the Conventions. The Strategic Approach to International Chemicals Management (SAICM) is a policy framework that provides the foundation of a freshly evolving chemical safety regime. India integrates the SAICM into appropriate national programs and plans connected to chemicals and sustainable development. For preparing the National Implementation Plan project, the GEF has given USD 3074700. This was co-​financed with USD 6880000 from the Government of India and USD 200000 from the United Nations Industrial Development Organization (UNIDO). The POPs are usually pesticides, industrial chemicals, and chemical wastes. The following legislation regulates the POPs related to its manufacture, utilization, importation, exportation,

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packaging, storage, and transportation in India. They are namely –​the Insecticides Act 1968 and the Insecticides Rules 1971, the Factories Act 1948, the Manufacture Storage and Import of Hazardous Chemicals Rules 1989, the Chemical Accidents (Emergency Planning, Preparedness and Response) Rules 1996, the Public Liability Insurance Acts 1991, and the Public Liability Insurance Rules 1991, the EIA Notification 2006, the Customs Act 1962, the Central Motor Vehicles Rules 1989, Prevention of Food Adulteration and Safety Act 2011, the Air Act 1981, the Water Act 1974, the EPA 1986 and the Environment Protection Rules 1981 with all the amendments. The Factory Advice Service and labor Institutes Division acts as an advisor to central and state governments for implementing the Factories Act 1948. The EPA 1986 meant for the protection and improvement of the environment also covers pesticide levels in the air, water, and soil. The MoEF works concertedly with the Central Pollution Control Board (along with the SPCB and the PCC). Other ministries and bodies, industries such as the M/​s Hindustan Insecticides Limited (HIL), the Central Power Research Institute, the National Environmental Engineering Research Institute (NEERI), the National Institute for Interdisciplinary Science and Technology (NIIST) Trivandrum, etc. under appropriate rules and regulations help to implement the commitments under the Convention. The Ministry of Agriculture (MOA) is the nodal ministry for handling pesticides. The MOA operates with the help of three bodies. The Central Insecticides Board frames the policies related to pesticides. The Registration Committee looks after the pesticide registration meant for production, exportation, and importation. The Central Insecticides Laboratory supervises the quality control, packaging, and safety of the pesticides. The research activities are carried out at the Pesticide Research Institute and the Indian Council of Agricultural Research (ICAR). The Council of Scientific and Industrial Research (CSIR) under the Ministry of Science and Technology works for promoting the Best Available Techniques (BAT) and Best Environmental Practices (BEP) across several industries and conduct monitoring programs. The Ministry of Chemicals and Fertilizers (MoCF) is accountable for guidelines, planning, development, and control of chemicals, petrochemicals, and pharmaceutical industries assisted by the Department of Chemical and Petrochemicals. The Ministry of Health and Family Welfare (MoH&W) is liable for managing the threats from the chemicals in consumer goods and food. Being the certified user of CCT, it mandates the quantity of DDT in health programs for controlling vectors. The Ministry sets the permissible pesticide limits in foodstuffs under the Prevention of Food Adulteration and Safety Act 2011. Several State Health Department (SHD) supervises the enforcement of the Act and reports to the ministry. They regulate the transport, storage, and distribution of the DDT. The Ministry of Labor looks for safeguarding health, avoiding injuries, and saving the lives of the workers. The State Department of Labor is to control chemical safety in the workplace. The Ministry of Power deals with the Polychlorinated Biphenyl issue in the power sector. The Ministry of Foreign Affairs participates in international deals related to the Stockholm Convention on the POPs and administers and supervises the foreign policies within the Indian Government. The Ministry of External Affairs (MEA) oversees the administration of foreign affairs. It also works with the NIP development has primarily benefitted from the National Chemical Management Profile for India that was arranged

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with help from the UN Institute for Training and Research (UNITAR) under the Indo-​ Canada Environment Management Initiative. The Ministry of Finance looks after the budgetary allowance for management and control of the POPs. The Ministry of Shipping Road Transport and Highways are accountable for the efficient and safe transport of hazardous chemicals, including the POPs. The Ministry of Railways looks after rail transport. The Ministry of Water Resources seeks the management and elimination of the POPs in water resources. The following bodies or departments or positions are responsible for the implementation of the legislation mentioned above. They are the MoEF, the CPCB, SPCB and PCCs, the Central Insecticides Board and Registration Committee, Central Board of Excise and Customs (CBEC), Directorate General, Factory Advice Service and Labor Institutes (DGFASLI) the Directorate General of Foreign Trade (DGFT), Port Authority and Customs Authority, the Chief Controller of Imports and Exports, the Chief Inspector of Factories, the Chief Inspector of Dock Safety, the Chief Inspector of Mines, The Atomic Energy Regulatory Board (AERB), the Chief Controller of Explosives, District Collector or District Emergency Authority, Centre for Environment and Explosive Safety (CEES) under the Defense Research and Development Organization (DRDO), Central Crisis Group (CCG), the State Crisis Group (SCG), the District Crisis Group (DCG), the Local Crisis Group (LCG) and Major Accident Hazard (MAH) Units. Almost all the POPs except DDT are banned for manufacture, use, and import under the Insecticides Act 1968 and Rules 1971. Dieldrin, used widely for controlling locusts, is suggested to be substituted by malathion, chlorpyrifos, and deltamethrin. Aldrin used for termite control was advised to be swapped by chlorpyrifos, ethion, and imidacloprid. Heptachlor used against agricultural pests was recommended to be replaced by chlorpyrifos, carbosulfan, and carbofuran. Endrin usage is to be replaced with organophosphates, carbamates, and pyrethroids. After the 12 listed POPs, India is now preparing for ratifying the newly listed POPs. Refer to Table B X-​10.4-​2 for the status of POPs in India and Table B X-​10.4-​3 for stockpiles of few important Persistent Organic Pollutants (POPs) in India. Out of the twelve mentioned in the dirty dozen, three (dioxin, furans, and PCBs) are unintentional. Further in 2020, the government ratified banning of seven POPs {Chlordecone, Hexabromobiphenyl,

Table B X-​10.4-​2 Legal status of Persistent Organic Pollutants (POPs) in India S No.

Chemicals

Category

Indian scenario

1 2 3 4 5 6

Aldrin Chlordane Dieldrin Endrin Heptachlor Hexachlorobenzene (HCB) Mirex Toxaphene DDT

Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide/​Industrial chemical Pesticide Pesticide Pesticide

Banned for manufacture, use, and import Banned for manufacture, use, and import Banned for manufacture, use, and import Banned for manufacture, use, and import Banned for manufacture, use, and import Never registered as a pesticide

7 8 9

311

Never registered Banned for manufacture, use, and import Banned with restricted use

Negotiations for the Protection of Atmosphere and Climate Table B X-​10.4-​3 Stockpiles of other Persistent Organic Pollutants (POPs) in India State

City

Other POPs

Amount

Gujarat

Palanpur

Dieldrin (Technical) Dieldrin 18% EC (Emulsifiable concentrate)

276 Kg. 5100 Ltr.

Manipur

Imphal

Aldrin 30% EC

45 Ltr.

Rajasthan

Sikar Kota Bikaner Barmer Jaisalmer

Aldrin 30% EC Aldrin 30% EC Dieldrin 18% EC Dieldrin (Technical) Dieldrin 18% EC Dieldrin 18% EC

26 Ltr. 30 Ltr. 4397.1 Ltr. 31935 Kg. 7372 Ltr. 3875 Ltr.

Mumbai

Dieldrin (Technical)

900 Kg.

Maharashtra (RPQS)

Hexabromodiphenyl ether and Heptabromodiphenylether (Commercial octa-​ BDE), Tetrabromodiphenyl ether and Pentabromodiphenyl ether (Commercial penta-​ BDE), Pentachlorobenzene, Hexabromocyclododecane, and Hexachlorobutadiene} listed under the Stockholm Convention.

Case Study 10.1  Long-​distance POP Pollution of the Arctic The limelight of today’s discussion is climate change and carbon dioxide that have stolen other grave issues; that simply does not mean that they do not exist. But concern over POPs emerged with the book ‘Silent Spring’ by Rachel Carson in 1962. Several nations reconsidered the use of POPs along with restrictions and embargoes with raising awareness about the environmental impacts and long-​range transportation. The Aarhus Protocol on Persistent Organic Pollutants, 1979 under the CLRTAP defines, ‘Persistent organic pollutants (POPs) are organic substances that: (i) possess toxic characteristics; (ii) are persistent; (iii) bioaccumulate; (iv) are prone to long-​range transboundary atmospheric transport and deposition; and (v) are likely to cause significant adverse human health or environmental effects near to and distant from their sources.’ Several local initiatives were also taken, followed by the Stockholm Convention on POPs under UNEP, aiming for the elimination of the dirty dozen. Yet another name that appears for a group of such compounds is Persistent, Bioaccumulative, Toxic substances (PBTs), which can be local, regional, or global subject to its environmental mobility. So, POPs may be regarded as a subset of PBT susceptible to long-​range transport. POPs can be categorized as intentionally produced or accidentally formed. Within intentionally produced, there can be organochlorine pesticides such as DDT, HCH, mirex, Dieldrin, etc. that were produced during the 1940s and 1950s with wide use in the 1970s and 1980s. The other type of intentionally produced chemicals in the industrial compounds with PCBs (including 209 various compounds) applied in hydraulic, transformers, and heat exchange fluids. Polybrominated diphenyl ethers (PBDE) and polychlorinated naphthalenes (PCNs) are utilized in flame retardants and insulation capacitors, cables, wires, etc. PCDD, PCDF, and

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PAHs are accidentally produced. Dioxins are by-​products of combustion, and PAH is a component in oil. HCB is released as a by-​product of pesticide synthesis. Depending on their origin, the POPs are released to different environmental compartments by different means. While pesticides are sprayed on crops, they are released into the soil. Portions of it are also released in the air. POPs partitioning into the water in the soil should eventually contaminate the river, sea waters, and groundwater. Industrial products should also contaminate water bodies after release during production and disposal. Air is the fastest route of transport to the Arctic, which takes a few days to weeks to reach from the source (as shown in Figure B X-​10.4-​1). Ocean currents transport considerably slower, and the soil is stagnant with hardly any horizontal transport. Major rivers are important ways of contaminating the Arctic Ocean. The POPs can be adsorbed to the particles bound to sea ice, carried to the Arctic Ocean. Even migratory fauna such as birds, cetaceans, salmons, and cods play an important means of transport. Particles form deposition on the surface by dry deposition and can also reemit from the surface in the gas phase. Particles that enter the vegetation from air or soil are taken up by the animals and ultimately reach the topmost trophic level through the food chain. They also undergo reactions with other constituents in the environment and endure degradation or transformation into less persistent products mainly by photolysis or oxidation. In photolysis, the chemical bonds break in the presence of sunlight. In oxidation, POPs mainly react with OH along with others such as NO2 and O3. In hydrolysis, the POPs reaction is with water, OH, or H ion.

Figure B X-10.4-1 Long-​distance POP pollution of Arctic.

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The fate of POPs in the environment is dependent on their volatility. Different POPs under different conditions exhibit different transportation distances in the air because of variations in volatility and physicochemical properties such as vapor pressure. Whether deposited dry or wet, they are adsorbed on the surface of vegetation, soil, or may dissolve in water. With the temperature rise, these forms may re-​volatilize in the air owing to their variable temperature-​ dependent properties, and they undergo further transport in the air –​the movement known as the grasshopper effect. Several cycles of deposition, re-​volatilization, and transport can occur that make the process complicated. In cold environments of the Arctic, it becomes difficult for them to escape and thus get trapped –​a phenomenon known as cold condensation. Α hydrochlorohexane movement can be better explained with cold condensation with high concentrations in the Arctic and North Pacific Ocean than in South-​east Asia (closer to source). Mountains can also act as cold traps. The difference in β-​hydrochlorohexane behavior is because of a fast depletion by precipitation and gaseous deposition that led to early stripping out before it can reach the Arctic. Hence its concentration is higher in the North Pacific Ocean than in the Arctic Ocean. Synthesized in 1825, HCH is used as technical HCH and Lindane. Technical HCH insecticide was used in the highest amounts in China, followed by India and USSR. The topmost contamination is in India, China, and Japan. It was banned in many countries with small amounts still used in controlling mosquitoes. The same is the case of lindane, still being used in seed treatment. HCHs are more abundantly found in the air, water, snow, zooplankton in the Arctic but a decrease in the higher food chain. The animals that face the highest risks are polar bears, killer whales, ringed seals, sharks, charr, and gulls. The POPs are hormone disruptors –​interfere with their sex hormones and with reproductive cycles, weaken the immune system, are neurotoxic, mutagenic, damage the DNA and induce the risk of tumors and increase the risk of porphyria. The high levels of POPs in the Arctic in the 70s and 80s were unexpected. Recognizing the vulnerability of the Arctic, the Aarhus Protocol on Persistent Organic Pollutants, 1979, under the CLRTAP, was accepted on which the Stockholm Convention was founded. The precursor to the Arctic Council was the Arctic Environmental Protection Agency (AEPS) established by 8 states. Under the Finnish Chairmanship, the Council was highly active in negotiating Stockholm Convention, and subsequently, under Icelandic Chairmanship, it plays a pivotal role in enforcement. The Mediterranean Action Plan (MAP) and the Arctic Monitoring and Assessment Programme (AMAP) made the long-​ range transboundary routes clear. To address the issues of POPs globally, the USA, Canada, and Mexico created the Commission for Environmental Cooperation (CEC) under the North American Agreement on Environmental Cooperation (NAAEC). The CEC developed Regional Action Plans to tackle DDT, chlordane, and PCB-​like chemicals, but the USA is yet to ratify the LRTAP. Rather, the USA along with seventy-​one other nations negotiated the ‘Rotterdam Convention on the Prior Informed Consent (PIC) Procedure for Certain Hazardous Chemicals and Pesticides in International Trade,’ which provides for sharing of information about threats and enables the nation to make an informed decision about their imports.

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Case Study 10.2  Pollution of the Great Lakes by POPs and Transboundary Cooperation Many interconnected lakes between the USA and Canada, the Laurentian Great Lakes, make up the largest group of freshwater lakes that forms an integral waterway system for the North American continents. They comprise over 20% of the world’s surface freshwater. The total area of these lakes is around 250 thousand square kilometers, and the watersheds that drain into these lakes stretch over 750 thousand square kilometers. These watersheds, formed by the five lakes, namely Superior, Michigan, Huron, Erie, and Ontario, vary in the extent of urbanization. Over 8 million Canadians and over 35 million Americans inhabit these basins. The cities of Chicago, Detroit, and Toronto lie in these basins. The significant economic drivers in this region are agriculture and manufacturing. Lakes not only serve as a means of potable water supply but also as a fishing ground, supply to the nuclear reactors, diluter of municipal wastes, tourist and recreation spots, and above all, as shipping corridor. For the past 40 years, the main issue surrounding the Great Lakes is the environmental pollution with algae and toxic chemicals along with recent threats from alien species and climate change. A range of toxic substances such as heavy metals and the POPs gained entry into these lakes through municipal and industrial discharges, agricultural and urban runoff, open burning, spills, contaminated sediments, and of course, long-​range transport of atmospheric deposition from distant sources. Their significant amounts of these substances pose concerns about human health and wildlife. Issues are tackled by both at local levels and optimistic bi-​ national frameworks and agreements. The official water cooperation started between the two federal governments with the signature of the Boundary Waters Treaty in 1909 to solve disputes related to navigable water rights and modification of waterways through dams with the creation of the International Joint Commission (IJC). Under the traditional perspective, the State has thorough discretion over territorial water use. This unilateral attitude grew into a sense of joint responsibility that led to the Great Lakes Water Quality Agreement (GLWQA) that was signed in 1972 in response to nutrient pollution and proliferated the role of IJC along with the formation of 2 advisory boards. This dichotomy of unilateral control, along with joint responsibility, quite evident through the text of the agreement, has yielded optimistic results. In 1978 they signed again committing to working together to get rid of the persistent toxic chemicals, including the POPs. In 1997 they signed the Great Lakes Binational Toxics Strategy intending to reduce the persistent toxic chemicals in the Great Lakes Basin over ten years through cost-​effective and incentive-​based approaches. Having worked with all levels, both the governments can make noteworthy progress in reaching the goal of eliminating substances such as mercury, dioxin, PCBs, etc.

10.5  Minamata Convention on Mercury, 2013 Mercury, a naturally occurring element, is used in a host of products and processes. According to a 2013 report of UNEP, approximately 1950 metric tonnes of mercury in air and a minimum of 1000 metric tonnes of mercury in water were discharged. Atmospheric mercury was mainly discharged from the Asian nations, with China contributing around 315

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33.33%. Mercury released can travel to far-​off places by both air and water currents. Once deposited, they are metabolized into methyl mercury by the microbes, the most toxic form, and finally accumulate and magnify along the food chain. Seafood consumption poses an utmost threat. Women with methyl mercury exposure could ultimately pass the same to the fetus in utero. A study in the past reflects that a minimum of 1.8 million children with increased exposure to methyl mercury is born annually, resulting in the annual loss of 6 lakh IQ points and 11.9 billion dollars. Global support for an agreement on the limit to mercury emissions started way back in 2003. UNEP took a landmark decision in its Governing Council Meeting in 2009 on global action on mercury and established an Intergovernmental Negotiating Committee (INC) for drafting a legally binding agreement. Negotiations commenced in 2010 and undertook five INC meetings –​2010 Stockholm, 2011 Chiba, 2011 Nairobi, 2012 Punta del Este, and 2013 Geneva. In 2010, in Stockholm, the IPEN and a Swedish NGO reported about the levels of mercury in the hair samples of participants from 40 countries. Almost one-​third of the sample has a high concentration of mercury, with poorer nations exhibiting a much higher level of mercury in their hair than the wealthier nations. This left the delegates speechless and helpless. The final agreement was reached the same year at INC fifth meeting, adopted and opened for signature at a diplomatic ‘Conference of Plenipotentiaries,’ held in Kumamoto Japan. The Convention finally entered into force on 15 August 2017 and has 118 Parties to it. The Parties recalls the lessons from the Minamata diseases and considers mercury to be a global health concern, especially in the developing countries and susceptibilities of the Arctic ecosystems. The Parties also recognize the activities of the WHO related to mercury and recall the Rio Declaration of 1992, the document of UNCSD 2012, the Basel Convention, Rotterdam Convention, and agreed to the provisions of this Convention. Under Article 1 that states the objective, the Parties aim at protecting human health and the environment from the anthropogenic emissions and discharges of mercury and mercurial compounds including oxides, sulfides, chlorides, sulfates, and nitrates. Article 2 defines all the relevant terms to this Convention. In Article 3, the provisions state the exceptions and do not include the use of any elemental mercury and its compounds for laboratory research, naturally occurring elemental mercury and its compounds in trace amount with other metals, ores including coal, or ‘mercury-​added products.’ Further, each Party should not be allowing primary mining of mercury within its jurisdiction at the date of entry into force. However, such should be allowed for a period of up to 15 years after that date for the manufacturing of mercury-​added products, in manufacturing as per Article 5 or disposal as per Article 11. The Parties need to identify the individual stocks of mercury and mercurial compounds over fifty metric tons and mercury supply generating stocks over ten metric tonnes annually. Any surplus amount of mercury from the de-​commissioning of chlor-​alkali facilities should have to be disposed of as per the guidelines given in Article 11. No Party is allowed to export mercury and mercurial compounds without written consent from both the importer Party and a non-​Party to this Convention. Even a general notification to the Secretariat is reliable as written consent to the exporter Party. The Secretariat should keep a public register of all such notifications subject to review and assessment by the Implementation and Compliance Committee. Article 4 prohibits a Party from manufacturing, importing, or exporting of ‘mercury-​ added products’ mentioned in part I of Annex A list after the specified phase-​out date except for excluded products in Annex A or for a Party registering for exemption as per Article 6. A Party, however, may choose to enforce different measures to address the 316

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part I of Annex A products as an alternative during the time of ratifying the Annex A Amendment provided that it shows minimal manufacturing, exporting, and importing of the said products in the list and reduction of the use of mercury in additional products, not in the list. Parties are required to ensure necessary steps for ‘mercury-​added products’ I part II of Annex I as per the provisions. The Parties are required to stop incorporation of ‘mercury-​added products’ into assembled products and also dispirit the manufacturing and supply of ‘mercury-​added products’ in commerce not known to be used previously to the date of entry into force. It is the responsibility of the Secretariat to keep all relevant information on ‘mercury-​added products’ and make it publicly available. The COP to the Convention should be reviewing Annex A within five years and consider amendments. (See Annexure B X –​10.5 for details) Article 5 bars the Parties from using mercury and mercurial compounds in the production processes enlisted in Part I of Annex B after the specified phase-​out period in the same list with the exception for the Party that has already requested for exemption. Parties also ensure to limit the use of mercury and mercurial compounds in the processes given in Part II of Annex B list. Parties owning one/​more facilities using mercury and mercurial compounds should be taking steps to report emissions and releases of such substances along with relevant details on the steps taken. The Parties are to dispirit the establishment of any facilities with intentional use of the mercury and mercurial compounds after the date of entry into force of the Convention. An exception is allowed if the Party can validate noteworthy environmental and health benefits, and also no technical and economically viable substitutes are available. Any Party is free to submit a suggestion for amending annex B with necessary information as per the guidelines. The COP to the Convention should be reviewing Annex B within five years and consider amendments. (See Annexure B X –​10.5 for details) Article 6 lays down the guidelines for availing exemptions by a Party and is referred to earlier for the category in Annex A or B as well as its sub-​category. The Secretariat keeps the detailed information in a register and makes it publicly available. Unless a short period of exemption is mentioned in the register for a Party, generally, all exemptions terminate five years after the relevant phase-​out date for both Annex A and B. In Article 7, Parties possessing artisanal and small-​scale gold mining engaged in mining and processing, need to ensure all appropriate measures for reducing the eliminating, wherever possible, the use of mercury and mercurial compounds along with the emissions in air and releases in land and water. They need to send notifications to the Secretariat if they determine such mining and processing as insignificant and draw up a national action plan in tune with Annex C and submit it to the Secretariat within three years after the date of entry into force of the Convention followed by a review of progress every three years. Any type of cooperation within the Parties and with intergovernmental organizations are welcome to stop the diversion of such compounds, for educating and capacity building, to facilitate research into substitute non-​mercurial practices, providing technical and financial aids. Articles 8 and 9 deal with the emissions in the air and releases in land and water. The provisions of both the articles deal with decreasing emissions and release respectively of ‘total mercury’ from the point sources stated in Annex D. The Parties should be identifying the pertinent point source categories within three years after the date of entry into force of the Convention. For relevant sources, the Party needs to ensure control measures for both emission sand releases and prepare a national plan based on expected goals and outcomes and submit the COP within four years of the date of entry into force of the Convention. The Parties need to use the best available techniques and best environmental practices to 317

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restrict, regulate, and decrease emissions from ‘new sources’ (i.e., relevant source where construction and modification started at least one year after the date of entry into force of the Convention or amendment to Annex D) within five years after the date of entry into force of the Convention. Any decision regarding the emissions from the existing source is dependent on the national circumstances, the technical and economic feasibility and affordability not to exceed over ten years after the date of entry into force of the Convention. Parties can choose to apply the same measures for the pertinent existing sources or choose different measures for emissions and are required to prepare an inventory of emissions and releases respectively from appropriate sources within five years after the date of entry into force of the Convention. Article 10 guides about the interim storage of mercury that is anticipated to be used by the Party to this Convention. Such storage should be environmentally sound in harmony with the provisions of the Basel Convention. The Parties should seek and offer cooperation for capacity building of interim storage of such substances. Article 11 deals with the mercurial wastes in an amount exceeding the relevant thresholds, as defined by the COP. The substances that contain comprise or are contaminated with mercury and mercurial compounds, identified as wastes should be disposed of as per the provision of the Convention or the national law corresponding to the Party. Parties should manage such wastes as per the guidelines of the Basel Convention. The Parties should take suitable measures so that such waste is the only recovered, recycled, reclaimed, or re-​used for utilization allowable to a Party under this Convention or environmentally sound disposal. If the transport of such wastes is not bound by the Basel Convention, the Party should be considering international rules and standards. The Convention in Article 12 provides suitable strategies for recognizing and evaluating sites contaminated with mercury along with its management and remediation. The Convention through Article 13 encourages capacity building, transfer of technology along with arranging multilateral, regional, and bilateral funding sources, especially to the developing and EIT nations that should be through a timely and satisfactory mechanism comprising the ‘Global Environment Facility Trust Fund’ and specific international Program. Article 14 ensures relevant technical and technological cooperation and help, particularly to the LDCs, SIDS, and EITs. The Convention, under Article 15, provides for the establishment of a Committee that is a subsidiary body to the COP and facilitates enforcement of the provisions along with reviewing the compliance status concerning this Convention. Article 16 specially focuses on the health aspects and promote the development of implementation strategies along with programs for identifying the vulnerable populations. Article 17 allow and encourage any exchange of information related to scientific, technical, economic, legal, and toxicological aspects. Under Article 18, public awareness about the impacts of mercury and mercurial compounds and any alternatives to such compounds should be encouraged. Article 19 emphasizes research, development and monitoring along with cooperation between the Parties to this Convention. Article 20 urges the formulation of implementation plan by each Party after an initial assessment. Article 21 and 22 talk about the reporting mechanism and evaluation of the effectiveness by the COP within 6 years of enforcement respectively. Article 23 and 24 provisions for the establishment of the COP and the Secretariat respectively. The first meeting of the COP was convened by the Executive–​Director of the UNEP within one year after the date of the implementation of the Convention. The COP assesses the effectiveness of the Minamata Convention within six years after the date of entry into force of the Convention. A Secretariat was established, and the Executive–​Director of the UNEP performs the functions of the Secretariat for this Convention. The subsequent Articles (25–​35) deals with dispute settlement, amendments, 318

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adopting and amending the annexes, voting rights, signature, ratification, enforcement, reservations, withdrawal, depository and authentic texts respectively. Minamata Convention is one of the international agreements to tackle a major pollutant and public health though with some imperfections. The agreement addresses the prevalent mercury sources, and the measures required vary with each other based on the source of emissions such as fossil fuel combustion, cement manufacturing, waste incineration, gold mining, and so forth. Article 7 specifically requires the Parties to develop a national action plan for limiting and controlling the discharges of mercury and its compounds from artisanal and small-​scale mining. Gold mining accounts for about 37% of the emissions. Yet, the emissions might reduce a little or be at similar levels even with the full enforcement of the Convention as the critics say. This is because mercury is persistent, and its cycling through the environment should take several decades to a century. A decrease in mercury emissions is slow to reflect a decrease in the global mercury level on a global scale. Hence the present actions might ultimately influence the global levels after a long time in the future. But without any such policy measures at all, there should be a dramatic increase in mercury discharges currently but should surely benefit the countries in preventing forthcoming discharges. The agreement has no provisions to improve monitoring capacities, which could be done by specific measurement techniques for organic and inorganic mercurial derivatives, their specific behavior in the different media of the environment, and so forth.

10.5.1  The Indian Context India signed the Convention in 2014 but failed to ratify then until 18 June 2018. India is the second-​largest emitter in the world, with a figure of 144.7 tonnes annually. Coal combustion emits around 89.4 tonnes, non-​ferrous metal production 22.5 tonnes, and cement production 13.4 tonnes of mercury annually. The contribution from the waste of electronics, electrical equipment, and healthcare products amounts to nearly 13.6 tonnes yearly. India does not engage in mercury extraction, and its demands are met through importation over the last 20 years. Requirements for mercury have increased in vinyl chloride monomer production and artisanal and small-​scale gold mining, whereas demands are decreasing for chlor-​ alkali production. Small-​ scale gold mining consumed around 1.5 tonnes of mercury yearly in India. In India, a major consumption of mercury is in health care products, electronics, electricals, paints, fungicides, cosmetics, etc. Mercury is used in thermometers, dental amalgam fillings, medicines, etc. The sample of blood, urine, breast milk of the people living close to or working in the integrated steel plants were found to be 30 times more than that of other areas. So, it is predicted that people living in the vicinity of mercury point sources are more vulnerable to mercury toxicity. They can be industrial workers and miners and even rag pickers. Kodaikanal is one of the active mercury hotspots in Tamil Nadu currently. A mercury thermometer factory was shifted to Kodaikanal in 1983 that borders the watershed jungles of Pambar Shola. The factory was taken over by Hindustan Unilever Ltd from Ponds. They imported mercury from the USA. HUL exported the finished thermometers back to the USA. The factory was shut down after complaints of kidney-​related disorders in the workers in 2001. Going through protests from environmental groups and a lack of treatment facilities in India, the company was forced to export 289 tonnes of mercury-​ contaminated material to a recycling facility in the USA. In 2016, Hindustan Unilever Ltd 319

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settled with a compensation package for its former workers. Other mercury-​contaminated areas identified in India are Singrauli in UP, Sonbhadra in MP, and Ganjam in Orissa. India has enforced various regulations on the environment, including several MEAs such as the Stockholm Convention, Basel Convention, and the Rotterdam Convention. Most of the Indian laws have wide scopes and give a broad coverage of several issues: their implementations and action plan eyes on the overall problem rather than on a single problem. Hence management of a particular pollutant, such as mercury and development and implementing action plans, becomes challenging owing to the absence of dedicated management policy and adequate monitoring. The Minamata Convention follows the usual framework of the BRS Conventions (Basel, Rotterdam and Stockholm conventions) in terms of basic commitments with some differences and flexibilities. The relevant provisions emphasize mercury wastes, storage, financial resources, awareness issues, technical help, etc. But lack of comprehensive information impedes the actions and effective implementation. The Convention seeks to control and reduce emissions wherever feasible and demands the preparation and implementation of a national action plan (NAP) as soon as possible after the enforcement of the Convention. This involves setting the goals, national objectives, and reduction targets. The Air (Prevention and Control) Act 1981 provides for the prevention, control, and abatement of any mercury contaminant in the air through the CPCB and SPCBs. The Environment Protection Act 1986 and Rules cover overall environmental issues to protect and improve its quality. The CPCB establishes National Ambient Air Quality Standards (NAAQS) and is authorized to conduct testing of air quality. Any discharge of mercury and mercurial compounds into water is under the purview of the Water (Prevention and Control) Act 1974. Mercury is a constituent of several commercial products and is hazardous to both health and the environment. The Hazardous Wastes (Management and Handling) Rules 1989 and its amendment in 2003, the Hazardous Wastes (Management, Handling and Transboundary) Rules 2008, and the revised one of 2016 provides for the management, receiving, storage, transport of such chemicals. Mercury is one of the hazardous wastes produced out of 36 enlisted industrial processes. Any transboundary movement and its disposal are in tune with the commitments of the Basel Convention. The MoEFCC identifies the contaminated places. The ministry starts the process of remediation with the CPCB as the executing authority. Export and import of mercury are forbidden except for prior informed consent from relevant authorities. The Foreign Trade (Development and Regulation) Act 1992 and the Export-​Import Policy (EXIM Policy 2015–​2020) give proper direction and procedures f mercury trades. In addition, there is Custom’s Act 1962 that can put any export or import goods to chemical tests. The import of mercury-​containing agro-​chemicals is banned in India under the Central Insecticides Act 1968. It controls the importation, production, sale, transport, distribution, and use of hazardous insecticides to avert threats to mankind. With mercury as the constituent in healthcare products and pharmaceuticals, hospital wastes are covered under the Biomedical Waste (Management and Handling) Rules 2016 with specified guidelines for the authorities and responsibilities. Similarly, mercury is used in electronic items and lamps. So, such wastes come under the E-​waste (Management and Handling) Rules 2016 regarding its collection, dismantling, recycling, reusing disposal. Recalling the Minamata incident, mercury can well be contaminating the edibles. The Prevention of Food Adulteration Act 1954 prevents any adulteration of food and drinks 320

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except medicines. The Food Safety and Standards Act 2006 sets the safety standards to control the manufacture, storage, distribution, sale, and import of food items. The maximum permissible limit of mercury in fish and food is 0.5 ppm and 1 ppm by weight, respectively. The acceptable amount of methylmercury is 0.25 ppm by weight. The Factories Act 1948 and the Mines Act 1952 ensure the health, safety, and wellbeing of the workers. The Mines and Minerals (Development and Regulation) Act 1957 controls the mining operations through Mining Boards and committees. The general health of the public in case of any accidents follows the provisions of the Chemical Accidents (Emergency Planning, Preparedness and Response) Rules 1996 and is managed by the Crisis groups at various levels. The immediate relief following an accident is provided as per the Public Liability Insurance Act 1991.

Case Study 10.3  Mercury Pollution from Gold Mines in Guiana Shield, Venezuela An Environmental Crime The Guiana Shield is an eco-​region situated stretching around 270 million hectares in the Northern Amazon and bordering the Caribbean. Ecologically the region is of immense importance to the world. It is mostly a tropical rainforest area that stores up to 10 billion tonnes of carbon, facilitating to sequester of around 50 million tonnes of carbon dioxide annually. Apart from that, it comprises 10–​15% of the global freshwater reserves and is gifted with a high proportion of endemic plants and animals. The main stewards of this region are the indigenous people. The Guiana Shield is very rich in mineral resources and leads the world in gold production. Mercury being a persistent, non-​biodegradable pollutant, once released, is almost impossible to disappear. The prime uses of mercury are coal-​fired power plants, steel production, cement factories, and the ‘artisanal and small–​scale gold mining’ (ASGM). Artisanal and small–​scale gold mining is the greatest source of mercury in the air. Currently, there are alternatives to the use of mercury, but it seems that using mercury is less expensive when compared with others. The artisanal gold miners gather the gold-​laden riverine residues and mix mercury with them. Chemical reaction results in the formation of mercury-​gold amalgam. The amalgamated mixture is then burnt to separate gold from mercury. The gold is reclaimed, leaving the mercury to end up in nature. Mercury discharged is mainly in the form of metallic and vapor forms that effects mercury being all over in the air, water, soil, forests, and far in the urban areas. Every kilogram of gold requires the use of 1 to 3 kilograms of mercury. Reports say that Suriname is the world’s leading gold exporter. It extracted 21000 kilograms of gold in 2011. If such is the case, then for 21000 kgs of gold, a minimum of 21000 kgs of mercury must have been released in nature. The global release of mercury from such a source is unimaginable. Most of these gold mine operations are located near the flowing water, and thus it can be said that mercury is mostly washed in this water. The effects of mercury toxicity are profound. It has been evidenced that at higher temperatures, high organic matter and augmented biological activity result in the tropical rainforest regions. This increased biological activity as a whole raises the rate of mercury conversion to methyl mercury. Methyl mercury is a more toxic form than other forms. Mercury prompts root damages by obstructing their water and nutrients delivery and uptake; breeding cycles of birds get affected, which results in a few numbers of eggs and high embryonic mortality. Mercury is a proven

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neurotoxin for mammalians that brings about adverse changes in behavior, hormones, and reproductive systems. Every environmental component in the Guiana Shield studied exhibits widespread problems, whether it is air, water, soil and sediments, wildlife, and plants, or humans. A high correlation can be drawn between these mining operations and higher levels of mercury around. But pollution knows no boundaries, and mercury contaminations do not remain a local issue. For instance, Brazilian gold mining operations emit 40 tonnes of mercury each year which raises the threat to the entire Amazon Basin. The Amazon Basin is the world’s largest drainage system. Water current transports the mercury-​contaminated water to the shores of Guiana and the Caribbean Sea. Microorganisms can also transform metallic mercury into methyl mercury. The methyl mercury can bind with lipids and proteins and get assimilated into the body. Being persistent goes up the food chain and magnifies at each trophic level. The mercury accrued in the periphytons enters the fish and then to man. It reaches precariously high concentrations in man, whereby it induces neurological damage and sterility. Mercury is teratogenic and enters the fetus through the placenta. Pregnant women often underwent abortions while newborns suffer from mental retardation and other neurological symptoms. The indigenous people in the Guiana Shield are exposed to high levels of mercury. Mostly these tribal people are voracious fish eaters through which mercury predominantly enters their bodies. Fishes produced locally are transported to the urban areas that suffer the same consequences. Mercury, being persistent, is transported to far-​off regions through air and water. Mercury produced from these AWGM reaches the coasts of Ecuador, getting bio concentrated in the shrimps and causing severe health risks. Mercury vapors, released from the roasting of the Hg-​Au amalgam, enter the lungs through the respiratory system. There it oxidizes and conjugates to form soluble complexes and reaches the brain and other organs through body fluids. Miners and gold shop workers often complained about ataxia, tremors, and lack of coordination. Even the mercury levels in the urban gold shops are exceedingly high and maybe 3 to 60 times more than the permissible limit. Chemical inert mercury vapors are easy to be transported to long-​range. Scandinavian and North American fishes from lowly productive lakes are attributed to high levels of mercury. Anthropogenic release of mercury and long-​distance transport contributes annually approximately three hundred tons of toxic contaminant deposition in the Arctic region. Even after the termination, primary productivity falls due to alterations in soil microbial communities of the mining operation, the residues remain and are the sources of mercury in methylating bacteria, fish, and other animals. Even though the highly productive tropical forests exhibit low productivity, the reason remains to be understood. Women become sterile, and health defects are passed on to generations. The miners in this region also come from Brazil to escape poverty, and in search of employment, they are pulled in by a desire to become rich similar to the gold rush to Alaska in 1900. The continual mercury entry into the environment creates a moral and legal dilemma. Despite being parties to the Minamata Convention, some of them permit such mining operations that cause irreversible damage at the local, national, and global levels. In turn, this compromises the rights of the future generation to live in a safe and healthy environment. We do have an internationally binding policy for tackling threats by mercury, but the address to this threat is mostly through unspecified measures. The global community from all sectors should join hands and work in unison to prevent mercury release in the environment.

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ANNEXURE NEGOTIATIONS FOR PROTECTION OF ATMOSPHERE AND CLIMATE Annexure B X –​10.2.1.1: The 1984 Geneva Protocol on Long-​term Financing of the Cooperative Programme for Monitoring and Evaluation of the Long-​range Transmission of Air Pollutants in Europe (EMEP) www2.eco​lex.org/​ser​ver2​neu.php/​lib​cat/​docs/​TRE/​Full/​En/​TRE-​000​827.pdf Annex referred to in Article 4 of the Protocol to the 1979 Convention on Long-​range Transboundary Air Pollution on Long-​ term Financing of the Cooperative Programme for Monitoring and Evaluation of the Long-​ range Transmission of Air Pollutants in Europe (EMEP) Mandatory contributions for sharing of costs for financing EMEP, shall, from 2004 onwards, be calculated according to the following scale *: Parties

EMEP scale of contributions (%)

Belarus Bosnia and Herzegovina Bulgaria Canada Croatia Cyprus Czech Republic Estonia Hungary Latvia Liechtenstein Malta Monaco Norway Poland Romania Russian Federation Serbia and Montenegro Slovakia Slovenia Switzerland Turkey Ukraine United States Austria Belgium

0.0442 0.0093 0.0303 voluntary 0.0908 0.0885 0.4727 0.0233 0.2794 0.0233 0.0140 0.0349 0.0093 1.5041 0.8801 0.1350 2.7940 0.0466 0.1001 0.1886 2.9663 1.0245 0.1234 voluntary 2.2050 2.6287

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Denmark Finland France Germany Greece Ireland Italy Luxembourg Netherlands Portugal Spain Sweden United Kingdom European Community Total

1.7439 1.2154 15.0552 22.7457 1.2550 0.6845 11.7926 0.1863 4.0467 1.0757 5.8646 2.3906 12.8898 3.3376 100.0000

* The order in which the Contracting Parties are listed in this annex is specifically made in relation to the cost-​sharing system agreed upon by the Executive Body for the Convention. Accordingly, the listing is a feature which is specific to the Protocol on the Financing of EMEP.

Annexure B X –​10.2.2: Vienna Convention for the Protection of the Ozone Layer, 1985 http://​moun​tain​lex.alpc​onv.org/​ima​ges/​docume​nts/​intern​atio​nal/​con​vent​ion_​ozon​e_​la​ yer.pdf Annex I: Research and systematic observations 1. The Parties to the Convention recognize that the major scientific issues are: (a)

Modification of the ozone layer which would result in a change in the amount of solar ultra-​violet radiation having biological effects (UV-​B) that reaches the Earth’s surface and the potential consequences for human health, for organisms, ecosystems and materials useful to mankind; (b) Modification of the vertical distribution of ozone, which could change the temperature structure of the atmosphere and the potential consequences for weather and climate. 2. The Parties to the Convention, in accordance with Article 3, shall co-​ operate in conducting research and systematic observations and in formulating recommendations for future research and observation in such areas as: (a)

Research into the physics and chemistry of the atmosphere (i)

Comprehensive theoretical models: further development of models which consider the interaction between radiative, dynamic and chemical processes; studies of the simultaneous effects of various man-​ made and naturally occurring species upon atmospheric ozone; interpretation of satellite and

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non-​satellite measurement data sets; evaluation of trends in atmospheric and geophysical parameters, and the development of methods for attributing changes in these parameters to specific causes; (ii) Laboratory studies of: rate coefficients, absorption cross-​ sections and mechanisms of tropospheric and stratospheric chemical and photochemical processes; spectroscopic data to support field measurements in all relevant spectral regions; (iii) Field measurements: the concentration and fluxes of key source gases of both natural and anthropogenic origin; atmospheric dynamics studies; simultaneous measurements of photochemically-​related species down to the planetary boundary layer, using in situ and remote sensing instruments; inter comparison of different sensors, including coordinated correlative measures for satellite instrumentation; three-​ dimensional fields of key atmospheric trace constituents, solar spectral flux and meteorological parameters; (iv) Instrument development, including satellite and non-​satellite sensors for atmospheric trace constituents, solar flux and meteorological parameters; (b) Research into health, biological and photo degradation effects (i) (ii)

(iii) (iv) (v) (vi) (c)

The relationship between human exposure to visible and ultra-​violet solar radiation and (a) the development of both non-​melanoma and melanoma skin cancer and (b) the effects on the immunological system; Effects of UV-​ B radiation, including the wavelength dependence, upon (a) agricultural crops, forests and other terrestrial ecosystems and (b) the aquatic food web and fisheries, as well as possible inhibition of oxygen production by marine phytoplankton; The mechanisms by which UV-​B radiation acts on biological materials, species and ecosystems, including: the relationship between dose, dose rate, and response; photo repair, adaptation, and protection; Studies of biological action spectra and the spectral response using polychromatic radiation in order to include possible interactions of the various wavelength regions; The influence of UV-​B radiation on: the sensitivities and activities of biological species important to the biospheric balance; primary processes such as photosynthesis and biosynthesis; The influence of UV-​B radiation on the photodegradation of pollutants, agricultural chemicals and other materials;

Research on effects on climate (i)

Theoretical and observational studies of the radiative effects of ozone and other trace species and the impact on climate parameters, such as land and ocean surface temperatures, precipitation patterns, the exchange between the troposphere and stratosphere; (ii) The investigation of the effects of such climate impacts on various aspects of human activity;

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(d) Systematic observation on: (i)

The status of the ozone layer (i.e. the spatial and temporal variability of the total column content and vertical distribution) by making the Global Ozone Observing System, based on the integration of satellite and ground-​based systems, fully operational; (ii) The tropospheric and stratospheric concentrations of source gases for the HOX, NOX, ClOX and carbon families; (iii) The temperature from the ground to the mesosphere, utilizing both ground-​ based and satellite systems; (iv) Wavelength-​resolved solar flux reaching, and thermal radiation leaving, the Earth’s atmosphere, utilizing satellite measurements; (v) Wavelength-​resolved solar flux reaching the Earth’s surface in the ultra-​violet range having biological effects (UV-​B); (vi) Aerosol properties and distribution from the ground to the mesosphere, utilizing ground-​based, airborne and satellite systems; (vii) Climatically important variables by the maintenance of programs of high-​ quality meteorological surface measurements; (viii) Trace species, temperatures, solar flux and aerosols utilizing improved methods for analyzing global data. 3. The Parties to the Convention shall co-​operate, taking into account the particular needs of the developing countries, in promoting the appropriate scientific and technical training required to participate in the research and systematic observations outlined in this annex. Particular emphasis should be given to the intercalibration of observational instrumentation and methods with a view to generating comparable or standardized scientific data sets. 4. The following chemical substances of natural and anthropogenic origin, not listed in order of priority, are thought to have the potential to modify the chemical and physical properties of the ozone layer. (a)

Carbon substances i

Carbon monoxide (CO) Carbon monoxide has significant natural and anthropogenic sources, and is thought to play a major direct role in tropospheric photochemistry, and an indirect role in stratospheric photochemistry.

ii

Carbon dioxide (CO2) Carbon dioxide has significant natural and anthropogenic sources, and affects stratospheric ozone by influencing the thermal structure of the atmosphere.

iii

Methane (CH4) Methane has both natural and anthropogenic sources, and affects both tropospheric and stratospheric ozone.

iv

Non-​methane hydrocarbon species Non-​methane hydrocarbon species, which consist of a large number of chemical substances, have both natural and anthropogenic sources, and

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play a direct role in tropospheric photochemistry and an indirect role in stratospheric photochemistry. (b) Nitrogen substances (i)

Nitrous oxide (N2O) The dominant sources of N2O are natural, but anthropogenic contributions are becoming increasingly important. Nitrous oxide is the primary source of stratospheric NOX, which play a vital role in controlling the abundance of stratospheric ozone.

(ii) Nitrogen oxides (NOX) Ground-​level sources of NOX play a major direct role only in tropospheric photochemical processes and an indirect role in stratosphere photochemistry, whereas injection of NOX close to the tropopause may lead directly to a change in upper tropospheric and stratospheric ozone. (c)

Chlorine substances (i)

Fully halogenated alkanes, e.g. CCl4, CFCl3 (CFC–​11), CF2Cl2 (CFC–​12), C2F3Cl3 (CFC–​113), C2F4Cl2 (CFC–​114) Fully halogenated alkanes are anthropogenic and act as a source of ClOX which plays a vital role in ozone photochemistry, especially in the 30–​50 km altitude region.

(ii) Partially halogenated alkanes, e.g. CH3Cl, CHF2Cl (CFC-​22), CH3CCl3, CHFCl2 (CFC-​21) The sources of CH3Cl are natural, whereas the other partially halogenated alkanes mentioned above are anthropogenic in origin. These gases also act as a source of stratospheric ClOX. (d) Bromine substances Fully halogenated alkanes, e.g. CF3Br These gases are anthropogenic and act as a source of BrOX, which behaves in a manner similar to ClOX. (e)

Hydrogen substances i

Hydrogen (H2) Hydrogen, the source of which is natural and anthropogenic, plays a minor role in stratospheric photochemistry.

ii

Water (H2O) Water, the source of which is natural, plays a vital role in both tropospheric and stratospheric photochemistry. Local sources of water vapor in the stratosphere include the oxidation of methane and, to a lesser extent, of hydrogen.

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Annex II: Information exchange 1. The Parties to the Convention recognize that the collection and sharing of information is an important means of implementing the objectives of this Convention and of assuring that any actions that may be taken are appropriate and equitable. Therefore, Parties shall exchange scientific, technical, socio-​economic, business, commercial and legal information. 2. The Parties to the Convention, in deciding what information is to be collected and exchanged, should take into account the usefulness of the information and the costs of obtaining it. The Parties further recognize that co-​operation under this annex has to be consistent with national laws, regulations and practices regarding patents, trade secrets, and protection of confidential and proprietary information. 3. Scientific information This includes information on: (a)

Planned and ongoing research, both governmental and private, to facilitate the co-​ordination of research programs so as to make the most effective use of available national and international resources; (b) The emission data needed for research; (c) Scientific results published in peer-​reviewed literature on the understanding of the physics and chemistry of the Earth’s atmosphere and of its susceptibility to change, in particular on the state of the ozone layer and effects on human health, environment and climate which would result from changes on all time-​scales in either the total column content or the vertical distribution of ozone; (d) The assessment of research results and the recommendation for future research. 4. Technical information This includes information on: (a)

The availability and cost of chemical substitutes and of alternative technologies to reduce the emissions of ozone-​modifying substances and related planned and ongoing research; (b) The limitations and any risks involved in using chemical or other substitutes and alternative technologies. 5. Socio-​economic and commercial information on the substances referred to in annex I This includes information on: (a) (b) (c) (d)

Production and production capacity; Use and use patterns; Imports/​exports; The costs, risks and benefits of human activities which may indirectly modify the ozone layer and of the impacts of regulatory actions taken or being considered to control these activities.

6. Legal information This includes information on: (a)

National laws, administrative measures and legal research relevant to the protection of the ozone layer;

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(b) International agreements, including bilateral agreements, relevant to the protection of the ozone layer; (c) Methods and terms of licensing and availability of patents relevant to the protection of the ozone layer. Declarations made at the time of adoption of the Final Act of the Conference of Plenipotentiaries on the Protection of the Ozone Layer [The Conference agreed that the declarations contained in paragraphs 1 to 3, as submitted on 21 March 1985, and the declarations contained in paragraphs 4 and 5, as submitted on 22 March 1985, should be appended to the Final Act.] 1. The delegations of Australia, Austria Belgium, Canada, Chile, Denmark, Finland, France, Germany, Federal Republic of, Italy, Netherlands, New Zealand, Norway, Sweden, Switzerland, and United Kingdom of Great Britain and Northern Ireland express their regret at the absence from the Vienna Convention for the Protection of the Ozone Layer of any provision for the compulsory settlement of disputes by third parties, at the request of one Party. Consistently with their traditional support for such a procedure, these delegations appeal to all Parties to the Convention to make use of the possibility of a declaration under Article 11, paragraph 3, of the Convention. 2. The delegation of Egypt reiterates the importance attached by its Government to the international and national efforts to protect the environment, including the protection of the ozone layer. For that reason, it has participated from the outset in the preparatory work for the Conference of Plenipotentiaries on the Protection of the Ozone Layer, and in the adoption of the Convention and resolutions. While concurring with the consensus on Article 1 of the Convention, the delegation of Egypt understands paragraph 6 of that article as being applicable to all regional organizations, including the Organization of African Unity and the League of Arab States, provided they fulfil the conditions laid down in that article, namely, that they have competence in respect of matters governed by the Convention and have been duly authorized by their member States in accordance with their internal rules of procedure. While concurring with the consensus on Article 2 of the Convention, the delegation of Egypt states that the first sentence of paragraph 2 of that article should be read in the light of the third preambular paragraph. While concurring with the consensus on Resolution No.1 on Institutional and Financial Arrangements, the delegation of Egypt states that its approval of the third preambular paragraph of that resolution is without prejudice to its position on the method of apportioning contributions among the member States, with particular reference to option 2, which it had supported during the discussions on preparatory document UNEP/​WG.94/​13, whereby 80 per cent of the costs would be covered by the industrialized countries and the remaining 20 per cent apportioned among the member States on the basis of the United Nations scale of assessment. {-​/​The Conference agreed that the declarations contained in paragraphs 1 to 3, as submitted on 21 March 1985, and the declarations contained in paragraphs 4 and 5, as submitted on 22 March 1985, should be appended to the Final Act}.

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3. With regard to Resolution No. 2 on the Protocol Concerning Chlorofluorocarbons, the delegation of Japan is of the opinion that a decision whether or not to continue work on a protocol should await the results of the work of the Coordinating Committee on the Ozone Layer. Secondly, with regard to paragraph 6 of the above-​mentioned resolution, the delegation of Japan is of the opinion that each country should itself decide how to control emissions of chlorofluorocarbons. 4. The delegation of Spain declares that, in accordance with the interpretation by the President of the Conference in his statement of 21 March 1985, its Government understands paragraph 6 of the Resolution on a Protocol Concerning Chlorofluorocarbons as being addressed exclusively to the individual countries themselves, which are urged to control their limits of production or use, and not to third countries or to regional organizations with respect to such countries. 5. The delegation of the United States of America declares that it understands Article 15 of the Convention to mean that regional economic integration organizations, none of whose member States are Parties to the Convention or relevant Protocol, shall have one vote each. It further understands that Article 15 does not allow any double voting by regional economic integration organizations and their member States, that is, regional economic integration organizations may never vote in addition to their member States which are Party to the Convention or relevant protocol, and vice versa.

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Annexure B X –​10.2.2.1: The Montreal Protocol on Substances that Deplete the Ozone Layer, 1987 www.jus.uio.no/​lm/​ozone.deplet​ing.sub​stan​ces.proto​col.montr​eal.1987.1997/​landsc​ape.a4.pdf https://​unep.ch/​ozone/​pdf/​Montr​eal-​Proto​col2​000.pdf Annex A: Controlled substances Groups

Substance

Ozone-​Depleting Potential*

Group I CFCl3 CF2Cl2 C2F3Cl3 C2F4Cl2 C2F5Cl

(CFC-​11) (CFC-​12) (CFC-​113) (CFC-​114) (CFC-​115)

1.0 1.0 0.8 1.0 0.6

Group II CF2BrCl CF3Br C2F4Br2

(halon-​1211) (halon-​1301) (halon-​2402)

 3.0 10.0  6.0

* These ozone depleting potentials are estimates based on existing knowledge and will be reviewed and revised periodically.

Annex B: Controlled substances Groups

Substance

Ozone-​Depleting Potential

Group I CF3Cl C2FCl5 C2F2Cl4 C3FCl7 C3F2Cl6 C3F3Cl5 C3F4Cl4 C3F5Cl3 C3F6Cl2 C3F7Cl

(CFC-​13) (CFC-​111) (CFC-​112) (CFC-​211) (CFC-​212) (CFC-​213) (CFC-​214) (CFC-​215) (CFC-​216) (CFC-​217)

1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0

Group II CCl4

Carbon tetrachloride

1.1

1,1,1-​trichloroethane* (methyl chloroform)

0.1

Group III C2H3Cl3*

* This formula does not refer to 1,1,2-​trichloroethane.

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Annex C: Controlled substances Group

Substance

Number of isomers

Ozone-​Depleting Potential

Group I CHFCl2 CHF2Cl CH2FCl C2HFCl4 C2HF2Cl3 C2HF3Cl2 CHCl2CF3 C2H2FCl3 C2H2F2Cl2 C2H2F3Cl C2H3FCl2 CH3CFCl2 C2H3F2Cl CH3CF2Cl C2H4FCl C3HFCl6 C3HF2Cl5 C3HF3Cl4 C3HF4Cl3 C3HF5Cl2 CF3CF2CHCl2 CF2ClCF2CHClF C3HF6Cl C3H2FCl5 C3H2F2Cl4 C3H2F3Cl3 C3H2F4Cl2 C3H2F5Cl C3H3FCl4 C3H3F2Cl3 C3H3F3Cl2 C3H3F4Cl C3H4FCl3 C3H4F2Cl2 C3H4F3Cl C3H5FCl2 C3H5F2Cl C3H6FCl

(HCFC-​21)** (HCFC-​22)** (HCFC-​31) (HCFC-​121) (HCFC-​122) (HCFC-​123) (HCFC-​123)** (HCFC-​131) (HCFC-​132) (HCFC-​133) (HCFC-​141) (HCFC-​141b)** (HCFC-​142) (HCFC-​142b)** (HCFC-​151) (HCFC-​221) (HCFC-​222) (HCFC-​223) (HCFC-​224) (HCFC-​225) (HCFC-​225ca)** (HCFC-​225cb)** (HCFC-​226) (HCFC-​231) (HCFC-​232) (HCFC-​233) (HCFC-​234) (HCFC-​235) (HCFC-​241) (HCFC-​242) (HCFC-​243) (HCFC-​244) (HCFC-​251) (HCFC-​252) (HCFC-​253) (HCFC-​261) (HCFC-​262) (HCFC-​271)

1 1 1 2 3 3 –​ 3 4 3 3 –​ 3 –​ 2 5 9 12 12 9 –​ –​ 5 9 16 18 16 9 12 18 18 12 12 16 12 9 9 5

0.04 0.055 0.02 0.01–​0.04 0.02–​0.08 0.02–​0.06 0.02 0.007–​0.05 0.008–​0.05 0.02–​0.06 0.005–​0.07 0.11 0.008–​0.07 0.065 0.003–​0.005 0.015–​0.07 0.01–​0.09 0.01–​0.08 0.01–​0.09 0.02–​0.07 0.025 0.033 0.02–​0.10 0.05–​0.09 0.008–​0.10 0.007–​0.23 0.01–​0.28 0.03–​0.52 0.004–​0.09 0.005–​0.13 0.007–​0.12 0.009–​0.14 0.001–​0.01 0.005–​0.04 0.003–​0.03 0.002–​0.02 0.002–​0.02 0.001–​0.03

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Group Group II CHFBr2 CHF2Br CH2FBr C2HFBr4 C2HF2Br3 C2HF3Br2 C2HF4Br C2H2FBr3 C2H2F2Br2 C2H2F3Br C2H3FBr2 C2H3F2Br C2H4FBr C3HFBr6 C3HF2Br5 C3HF3Br4 C3HF4Br3 C3HF5Br2 C3HF6Br C3H2FBr5 C3H2F2Br4 C3H2F3Br3 C3H2F4Br2 C3H2F5Br C3H3FBr4 C3H3F2Br3 C3H3F3Br2 C3H3F4Br C3H4FBr3 C3H4F2Br2 C3H4F3Br C3H5FBr2 C3H5F2Br C3H6FBr C3H4F3Br C3H5FBr2

Substance

(HBFC-​22B1)

333

Number of isomers

Ozone-​Depleting Potential

1 1 1 2 3 3 2 3 4 3 3 3 2 5 9 12 12 9 5 9 16 18 16 8 12 18 18 12 12 16 12 9 9 5 12 9

1.00 0.74 0.73 0.3–​0.8 0.5–​1.8 0.4–​1.6 0.7–​1.2 0.1–​1.1 0.2–​1.5 0.7–​1.6 0.1–​1.7 0.2–​1.1 0.07–​0.1 0.3–​1.5 0.2–​1.9 0.3–​1.8 0.5–​2.2 0.9–​2.0 0.7–​3.3 0.1–​1.9 0.2–​2.1 0.2–​5.6 0.3–​7.5 0.9–​14.0 0.08–​1.9 0.1–​3.1 0.1–​2.5 0.3–​4.4 0.03–​0.3 0.1–​1.0 0.07–​0.8 0.04–​0.4 0.07–​0.8 0.02–​0.7 0.07–​0.8 0.04–​0.4

Negotiations for the Protection of Atmosphere and Climate

Group

Substance

Number of isomers

Ozone-​Depleting Potential

Group III CH2BrCl

bromochloromethane

1

0.12

*

Where a range of ODPs is indicated, the highest value in that range shall be used for the purposes of the Protocol. The ODPs listed as a single value have been determined from calculations based on laboratory measurements. Those listed as a range are based on estimates and are less certain. The range pertains to an isomeric group. The upper value is the estimate of the ODP of the isomer with the highest ODP, and the lower value is the estimate of the ODP of the isomer with the lowest ODP.

** Identifies the most commercially viable substances with ODP values listed against them to be used for the purposes of the Protocol.

Annex D:* A list of products** containing controlled substances specified in Annex A Products

Customs code number

1. 2.

Automobile and truck air conditioning units (whether incorporated in vehicles or not) Domestic and commercial refrigeration and air conditioning/​heat pump equipment***



e.g. Refrigerators

................... ................... ...................

Freezers

...................

Dehumidifiers

...................



Water coolers

...................



Ice machines

...................

Air conditioning and heat pump Units

...................

3. Aerosol products, except medical aerosols

...................

4. Portable fire extinguisher

...................

5. Insulation boards, panels and pipe covers

...................

6.

...................

*

Pre-​polymers

This Annex was adopted by the Third Meeting of the Parties in Nairobi, 21 June 1991 as required by paragraph 3 of Article 4 of the Protocol.

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**

Though not when transported in consignments of personal or household effects or in similar non-​commercial situations normally exempted from customs attention. *** When containing controlled substances in Annex A as a refrigerant and/​or in insulating material of the product.

Annex E: Controlled substance Group

Substance

Ozone-​Depleting Potential

Group I CH3Br

methyl bromide

0.6

Annex F: Controlled substances Group

Substance

100-​Year Global Warming Potential

Group I CHF2CHF2 CH2FCF3 CH2FCHF2 CHF2CH2CF3 CF3CH2CF2CH3 CF3CHFCF3 CH2FCF2CF3 CHF2CHFCF3 CF3CH2CF3 CH2FCF2CHF2 CF3CHFCHFCF2CF3 CH2F2 CHF2CF3 CH3CF3 CH3F CH2FCH2F CH3CHF2

HFC-​134 HFC-​134a HFC-​143 HFC-​245fa HFC-​365mfc HFC-​227ea HFC-​236cb HFC-​236ea HFC-​236fa HFC-​245ca HFC-​43-​10mee HFC-​32 HFC-​125 HFC-​143a HFC-​41 HFC-​152 HFC-​152a

1 100 1 430 353 1 030 794 3 220 1 340 1 370 9 810 693 1 640 675 3 500 4 470 92 53 124

Group II CHF3

HFC-​23

14 800

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Negotiations for the Protection of Atmosphere and Climate Table 2  – Amendments to the Montreal Protocol and the full list of substances introduced by each Amendment https://www.dcceew.gov.au/sites/default/files/env/pages/f9484636-05a6-4e11-b520-589871c3cbf2/ files/register-page-amendments-table2.pdf Montreal Protocol/ Amendments

Montreal Protocol

Scheduled Ozone Depleting Substances

Annex A Group I

Scheduled Substance

Ozone Depleting Potential***

CFCl3

(CFC-11)

1.0

CF2Cl2

(CFC-12)

1.0

C2F3Cl3

(CFC-113)

0.8

C2F4Cl2

(CFC-114)

1.0

C2F5Cl

(CFC-115)

0.6

CF2BrCl

(halon-1211)

3.0

CF3Br

(halon-1301)

10.0

C2F4Br2

(halon-2402)

6.0

CF3Cl

(CFC-13)

1.0

C2FCl5

(CFC-111)

1.0

C2F2Cl4

(CFC-112)

1.0

C3FCl7

(CFC-211)

1.0

C3F2Cl6

(CFC-212)

1.0

C3F3Cl5

(CFC-213)

1.0

C3F4Cl4

(CFC-214)

1.0

C3F5Cl3

(CFC-215)

1.0

C3F6Cl2

(CFC-216)

1.0

C3F7Cl

(CFC-217)

1.0

carbon tetrachloride

1.1

1,1,1-trichloroethane* (methyl chloroform)

0.1

Group II

Annex B: Group I

London Amendment

Group II CCl4 Group III C2H3Cl3*

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Negotiations for the Protection of Atmosphere and Climate Table 2 (Continued) Montreal Protocol/ Amendments

Scheduled Ozone Depleting Substances

Annex C Group II CHFBr2

1.00

CHF2Br

Copenhagen Amendment

(HBFC-22B1)

0.74

CH2FBr

0.73

C2HFBr4

0.3-0.8

C2HF2Br3

0.5-1.8

C2HF3Br2

0.4-1.6

C2HF4Br

0.7-1.2

C2H2FBr3

0.1-1.1

C2H2F2Br2

0.2-1.5

C2H2F3Br

0.7-1.6

C2H3FBr2

0.1-1.7

C2H3F2Br

0.2-1.1

C2H4FBr

0.07-0.1

C3HFBr6

0.3-1.5

C3HF2Br5

0.2-1.9

C3HF3Br4

0.3-1.8

C3HF4Br3

0.5-2.2

C3HF5Br2

0.9-2.0

C3HF6Br

0.7-3.3

C3H2FBr5

0.1-1.9

C3H2F2Br4

0.2-2.1

C3H2F3Br3

0.2-5.6

C3H2F4Br2

0.3-7.5

C3H2F5Br

0.9-14.0

C3H3FBr4

0.08-1.9

C3H3F2Br3

0.1-3.1

C3H3F3Br2

0.1-2.5

C3H3F4Br

0.3-4.4

C3H4FBr3

0.03-0.3

C3H4F2Br2

0.1-1.0 (Continued)

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Negotiations for the Protection of Atmosphere and Climate Table 2 (Continued) Montreal Protocol/ Amendments

Scheduled Ozone Depleting Substances

C3H4F3Br

0.07-0.8

C3H5FBr2

0.04-0.4

C3H5F2Br

0.07-0.8

C3H6FBr

0.02-0.7

Annex E Group I CH3Br

methyl bromide

0.6

N/A

N/A

CHFCl2

(HCFC-21)**

0.04

CHF2Cl

(HCFC-22)**

0.055

CH2FCl

(HCFC-31)

0.02

C2HFCl4

(HCFC-121)

0.01-0.04

C2HF2Cl3

(HCFC-122)

0.02-0.08

C2HF3Cl2

(HCFC-123)

0.02-0.06

CHCl2CF3

(HCFC-123)**

0.02

CHFCl2

(HCFC-21)**

0.04

Montreal Amendment N/A Beijing Amendment

Annex C Group I

0.02-0.04 C2HF4Cl

(HCFC-124)

CHFClCF3

(HCFC-124)**

0.022

C2H2FCl3

(HCFC-131)

0.007-0.05

C2H2F2Cl2

(HCFC-132)

0.008-0.05

C2H2F3Cl

(HCFC-133)

0.02-0.06

C2H3FCl2

(HCFC-141)

0.005-0.07

CH3CFCl2

(HCFC-141b)**

0.11

C2H3F2Cl

(HCFC-142)

0.008-0.07

CH3CF2Cl

(HCFC-142b)**

0.065

C2H4FCl

(HCFC-151)

0.003-0.005

C3HFCl6

(HCFC-221)

0.015-0.07

C3HF2Cl5

(HCFC-222)

0.01-0.09

C3HF3Cl4

(HCFC-223)

0.01-0.08

C3HF4Cl3

(HCFC-224)

0.01-0.09

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Negotiations for the Protection of Atmosphere and Climate Table 2 (Continued) Montreal Protocol/ Amendments

Scheduled Ozone Depleting Substances

C3HF5Cl2

(HCFC-225)

0.02-0.07

CF3CF2CHCl2

(HCFC-225ca)**

0.025

CF2ClCF2CHClF

(HCFC-225cb)**

0.033

C3HF6Cl

(HCFC-226)

0.02-0.10

C3H2FCl5

(HCFC-231)

0.05-0.09

C3H2F2Cl4

(HCFC-232)

0.008-0.10

C3H2F3Cl3

(HCFC-233)

0.007-0.23

C3H2F4Cl2

(HCFC-234)

0.01-0.28

C3H2F5Cl

(HCFC-235)

0.03-0.52

C3H3FCl4

(HCFC-241)

0.004-0.09

C3H3F2Cl3

(HCFC-242)

0.005-0.13

C3H3F3Cl2

(HCFC-243)

0.007-0.12

C3H3F4Cl

(HCFC-244)

0.009-0.14

C3H4FCl3

(HCFC-251)

0.001-0.01

C3H4F2Cl2

(HCFC-252)

0.005-0.04

C3H4F3Cl

(HCFC-253)

0.003-0.03

C3H5FCl2

(HCFC-261)

0.002-0.02

C3H5F2Cl

(HCFC-262)

0.002-0.02

C3H6FCl

(HCFC-271)

0.001-0.03

C3HF6Cl

(HCFC-226)

0.02-0.10

C3H2FCl5

(HCFC-231)

0.05-0.09

C3H2F2Cl4

(HCFC-232)

0.008-0.10

C3H2F3Cl3

(HCFC-233)

0.007-0.23

C3H2F4Cl2

(HCFC-234)

0.01-0.28

C3H2F5Cl

(HCFC-235)

0.03-0.52

C3H3FCl4

(HCFC-241)

0.004-0.09

C3H3F2Cl3

(HCFC-242)

0.005-0.13

C3H3F3Cl2

(HCFC-243)

0.007-0.12

C3H3F4Cl

(HCFC-244)

0.009-0.14

C3H4FCl3

(HCFC-251)

0.001-0.01

C3H4F2Cl2

(HCFC-252)

0.005-0.04

C3H4F3Cl

(HCFC-253)

0.003-0.03 (Continued)

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Scheduled Ozone Depleting Substances

C3H5FCl2

(HCFC-261)

0.002-0.02

C3H5F2Cl

(HCFC-262)

0.002-0.02

C3H6FCl

(HCFC-271)

0.001-0.03

bromochloromethane

0.12

Group III CH2BrCl Kigali Amendment

Global Warming Potential

Annex F Group I CHF2CHF2

(HFC-134)

1,100

CH2FCF3

(HFC-134a)

1,430

CH2FCHF2

(HFC-143)

353

CHF2CH2CF3

(HFC-245fa)

1,030

CF3CH2CF2CH3

(HFC-365mfc)

794

CF3CHFCF3

(HFC-227a)

3,220

CH2FCF2CF3

(HFC-236cb)

1,340

CHF2CHFCF3

(HFC-236ea)

1,370

CF3CH2CF3

(HFC-236fa)

9,810

CH2FCF2CHF2

(HFC-245ca)

693

CF3CHFCHFCF2CF3

(HFC-43-10mee)

1,640

CH2F2

(HFC-32)

675

CHF2CF3

(HFC-125)

3,500

CH3CF3

(HFC-143a)

4,470

CH3F

(HFC-41)

92

CH2FCH2F

(HFC-152)

53

CH3CHF2

(HFC-152a)

124

(HFC-23)

14,800

Group II CHF3

* This formula does not refer to 1,1,2-trichloroethane. ** Identifies the most commercially viable substances with ozone depleting potential values listed against them to be used for the purposes of the Montreal Protocol.

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Annexure B X –​10.2.3: United Nations Framework Convention on Climate Change, 1992 https://​unf​ccc.int/​resou​rce/​docs/​con​vkp/​conv​eng.pdf

Annex I Australia Austria Belarusa Belgium Bulgariaa Canada Croatiaa * Czech Republica * Denmark European Economic Community Estoniaa Finland France Germany Greece Hungarya Iceland Ireland Italy Japan Latviaa Liechtenstein* Lithuaniaa Luxembourg Monaco* Netherlands New Zealand Norway Polanda Portugal Romaniaa Russian Federationa Slovakiaa * Sloveniaa * Spain Sweden Switzerland Turkey

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Ukrainea United Kingdom of Great Britain and Northern Ireland United States of America Countries that are undergoing the process of transition to a market economy. * Publisher’s note: Countries added to Annex I by an amendment that entered into force on 13 August 1998, pursuant to decision 4/​CP.3 adopted at COP.3. a

Annex II Australia Austria Belgium Canada Denmark European Economic Community Finland France Germany Greece Iceland Ireland Italy Japan Luxembourg Netherlands New Zealand Norway Portugal Spain Sweden Switzerland United Kingdom of Great Britain and Northern Ireland United States of America Note: Turkey was deleted from Annex II by an amendment that entered into force 28 June 2002, pursuant to decision 26/​CP.7 adopted at COP.7.

Annexure B X –​10.2.3.1: The Least Developed Countries (Regional Distribution) Africa (33) 1 2 3 4

Angola Benin Burkina Fasoa Burundia

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Negotiations for the Protection of Atmosphere and Climate

5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33

Central African Republica Chada Comorosb Democratic Republic of the Congo Djibouti Equatorial Guinea Eritrea Ethiopiaa Gambia Guinea Guinea-​Bissau Lesotho8 Liberia Madagascar Malawia Malia Mauritania Mozambique Nigera Rwandaa Sao Tome and Principeb Senegal Sierra Leone Somalia Sudan Togo Uganda United Republic of Tanzania Zambia

Asia (10) 1 2 3 4 5 6 7 8 9 10

Afghanistan Bangladesh Bhutana Cambodia Lao People’s Democratic Republica Maldivesb Myanmar Nepala Timor-​Lesteb Yemen

Caribbean (1) 1

Haiti

Pacific (5) 1 2

Kiribatib Samoab 343

Negotiations for the Protection of Atmosphere and Climate

3 4 5

Solomon Islandsb Tuvalub Vanuatub

a land-​locked developing country b Small island developing state c Not a Party under Convention

Annexure B X –​10.2.3.1.3: COP 3, The Kyoto Protocol (KP) on Climate Change, 1997 https://​unf​ccc.int/​resou​rce/​docs/​con​vkp/​kpeng.pdf Annex A Greenhouse gases Carbon dioxide (C02) Methane (CH4) Nitrous oxide (N20) Hydrofluorocarbons (HFCs) Perfluorocarbons (PFCs) Sulphur hexafluoride (SF6) Sectors/​source categories Energy Fuel combustion - - - - -

Energy industries Manufacturing industries and construction Transport Other sectors Other

Fugitive emissions from fuels - Solid fuels - Oil and natural gas - Other Industrial processes - - - - - -

Mineral products Chemical industry Metal production Other production Production of halocarbons and sulphur hexafluoride Consumption of halocarbons and sulphur hexafluoride

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- Other Solvent and other product use Agriculture - - - - - - -

Enteric fermentation Manure management Rice cultivation Agricultural soils Prescribed burning of savannas Field burning of agricultural residues Other

Waste - - - -

Solid waste disposal on land Wastewater handling Waste incineration Other Annex B

Party

Quantified emission limitation or reduction commitment (percentage of base year or period)

Australia Austria Belgium Bulgaria* Canada Croatia* Czech Republic* Denmark Estonia* 92 European Community Finland France Germany Greece Hungary* Iceland Ireland Italy Japan Latvia* Liechtenstein Lithuania* Luxembourg

108 92 92 92 94 95 92 92 92 92 92 92 92 92 94 110 92 92 94 92 92 92 92

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Negotiations for the Protection of Atmosphere and Climate

Party

Quantified emission limitation or reduction commitment (percentage of base year or period)

Monaco Netherlands New Zealand Norway Poland* Portugal Romania* Russian Federation* Slovakia* Slovenia* Spain Sweden Switzerland Ukraine* United States of America

92 92 100 101 94 92 92 100 92 92 92 92 92 100

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Negotiations for the Protection of Atmosphere and Climate

Annexure B X –​10.3: Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade, 1998 ANNEX I INFORMATION REQUIREMENTS FOR NOTIFICATIONS MADE PURSUANT TO ARTICLE 5 Notifications shall include: 1. Properties, identification and uses (a) Common name; (b) Chemical name according to an internationally recognized nomenclature (for example, International Union of Pure and Applied Chemistry (IUPAC)), where such nomenclature exists; (c) Trade names and names of preparations; (d) Code numbers: Chemical Abstracts Service (CAS) number, Harmonized System customs code and other numbers; (e) Information on hazard classification, where the chemical is subject to classification requirements; (f) Use or uses of the chemical; (g) Physico-​chemical, toxicological and ecotoxicological properties. 2. Final regulatory action (a)

Information specific to the final regulatory action: (i) (ii) (iii) (iv)

Summary of the final regulatory action; Reference to the regulatory document; Date of entry into force of the final regulatory action; Indication of whether the final regulatory action was taken on the basis of a risk or hazard evaluation and, if so, information on such evaluation, covering a reference to the relevant documentation; (v) Reasons for the final regulatory action relevant to human health, including the health of consumers and workers, or the environment; (vi) Summary of the hazards and risks presented by the chemical to human health, including the health of consumers and workers, or the environment and the expected effect of the final regulatory action; (b) Category or categories where the final regulatory action has been taken, and for each category: (i) Use or uses prohibited by the final regulatory action; (ii) Use or uses that remain allowed; (iii) Estimation, where available, of quantities of the chemical produced, imported, exported and used;

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Negotiations for the Protection of Atmosphere and Climate

(c)

An indication, to the extent possible, of the likely relevance of the final regulatory action to other States and regions; (d) Other relevant information that may cover: (i) Assessment of socio-​economic effects of the final regulatory action; (ii) Information on alternatives and their relative risks, where available, such as: –​ Integrated pest management strategies; –​ Industrial practices and processes, including cleaner technology. ANNEX II CRITERIA FOR LISTING BANNED OR SEVERELY RESTRICTED CHEMICALS IN ANNEX III In reviewing the notifications forwarded by the Secretariat pursuant to paragraph 5 of Article 5, the Chemical Review Committee shall: (a) Confirm that the final regulatory action has been taken in order to protect human health or the environment; (b) Establish that the final regulatory action has been taken as a consequence of a risk evaluation. This evaluation shall be based on a review of scientific data in the context of the conditions prevailing in the Party in question. For this purpose, the documentation provided shall demonstrate that: (i) Data have been generated according to scientifically recognized methods; (ii) Data reviews have been performed and documented according to generally recognized scientific principles and procedures; (iii) The final regulatory action was based on a risk evaluation involving prevailing conditions within the Party taking the action; (c) Consider whether the final regulatory action provides a sufficiently broad basis to merit listing of the chemical in Annex III, by taking into account: (i)

Whether the final regulatory action led, or would be expected to lead, to a significant decrease in the quantity of the chemical used or the number of its uses; (ii) Whether the final regulatory action led to an actual reduction of risk or would be expected to result in a significant reduction of risk for human health or the environment of the Party that submitted the notification; (iii) Whether the considerations that led to the final regulatory action being taken are applicable only in a limited geographical area or in other limited circumstances; (iv) Whether there is evidence of ongoing international trade in the chemical; (d) Take into account that intentional misuse is not in itself an adequate reason to list a chemical in Annex III.

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Negotiations for the Protection of Atmosphere and Climate

ANNEX III1 CHEMICALS SUBJECT TO THE PRIOR INFORMED CONSENT PROCEDURE Chemical

Relevant CAS number(s)

Category

2,4,5-​T and its salts and esters Alachlor Aldicarb Aldrin Azinphos-​methyl Binapacryl Captafol Carbofuran Chlordane Chlordimeform Chlorobenzilate DDT Dieldrin Dinitro-​ortho-​cresol (DNOC) and its salts (such as ammonium salt, potassium salt and sodium salt)

93-​76-​5* 15972-​60-​8 116-​06-​3 309-​00-​2 86-​50-​0 485-​31-​4 2425-​06-​1 1563-​66-​2 57-​74-​9 6164-​98-​3 510-​15-​6 50-​29-​3 60-​57-​1 534-​52-​1 2980-​64-​5 5787-​96-​2 2312-​76-​7 88-​85-​7* 106-​93-​4 115-​29-​7 107-​06-​2 75-​21-​8 640-​19-​7 608-​73-​1

Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide

Dinoseb and its salts and esters 1,2-​dibromoethane (EDB) Endosulfan Ethylene dichloride Ethylene oxide Fluoroacetamide HCH (mixed isomers)

Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide Pesticide

  As amended by the Conference of the Parties by its decision RC-​1/​3 of 24 September 2004; RC-​ 4/​5 of 31 October 2008; RC-​5/​3, RC-​5/​4 and RC-​5/​5 of 24 June 2011; RC-​6/​4, RC-​6/​5, RC-​6/​ 6 and RC-​6/​7 of 10 May 2013; RC-​7/​4 of 15 May 2015; RC-​8/​2, RC–​8/​3, RC-​8/​4, RC-​8/​5 of 5 May 2017; and RC-​9/​3 and RC-​9/​4 of 10 May 2019.

1

Chemical

Relevant CAS number(s)

Category

Heptachlor Hexachlorobenzene Lindane Mercury compounds, including inorganic mercury compounds, alkyl mercury compounds and alkyloxyalkyl and aryl mercury compounds

76-​44-​8 118-​74-​1 58-​89-​9

Pesticide Pesticide Pesticide Pesticide

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Chemical

Relevant CAS number(s)

Category

Methamidophos Monocrotophos Parathion Pentachlorophenol and its salts and esters Phorate Toxaphene Trichlorfon Dustable powder formulations containing a combination of: –​ Benomyl at or above 7 per cent, –​ Carbofuran at or above 10 per cent, and –​ Thiram at or above 15 per cent Phosphamidon (soluble liquid formulations of the substance that exceeds 1,000 g active ingredient/​l)

10265-​92-​6 6923-​22-​4 56-​38-​2 87-​86-​5*

Pesticide Pesticide Pesticide Pesticide

298-​02-​2 8001-​35-​2 52-​68-​6

Pesticide Pesticide Pesticide Severely hazardous pesticide formulation

17804-​35-​2 1563-​66-​2 137-​26-​8 13171-​21-​6 (mixture, (E) & (Z) isomers) 23783-​98-​4 ((Z)-​ isomer) 297-​99-​4 ((E)-​isomer) 298-​00-​0

Methyl-​parathion (emulsifiable concentrates (EC) at or above 19.5% active ingredient and dusts at or above 1.5% active ingredient) Asbestos: –​ Actinolite –​ Anthophyllite –​ Amosite –​ Crocidolite –​ Tremolite

77536-​66-​4 77536-​67-​5 12172-​73-​5 12001-​28-​4 77536-​68-​6

Chemical

Relevant CAS number(s)

Commercial octabromodiphenyl ether including: –​ Hexabromodiphenyl ether –​ Heptabromodiphenyl ether Commercial pentabromodiphenyl ether including: –​ Tetrabromodiphenyl ether –​ Pentabromodiphenyl ether

Severely hazardous pesticide formulation Severely hazardous pesticide formulation Industrial Industrial Industrial Industrial Industrial

Category Industrial

36483-​60-​0 68928-​80-​3 Industrial 40088-​47-​9 32534-​81-​9

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Chemical

Relevant CAS number(s)

Category

Hexabromocyclododecane

25637-​99-​4 3194-​55-​6 134237-​50-​6 134237-​51-​7 134237-​52-​8

Industrial

Perfluorooctane sulfonic acid, perfluorooctane sulfonates, perfluorooctanesulfonamides and perfluorooctane sulfonyls including: –​ Perfluorooctane sulfonic acid –​ Potassium perfluorooctane sulfonate –​ Lithium perfluorooctane sulfonate –​ Ammonium perfluorooctane sulfonate –​ Diethanolammoniumperfluorooctane sulfonate –​ Tetraethylammonium perfluorooctane sulfonate –​ Didecyldimethylammonium perfluorooctane sulfonate –​ N-​Ethylperfluorooctanesulfonamide –​ N-​Methylperfluorooctanesulfonamide –​ N-​Ethy l-​N-​(2-​hydroxy ethyl ] perfluorooctanesulfonamide –​ N-​(2-​hydroxyethyl)-​ N-​methylperfluorooctanesulfonamide –​ Perfluorooctane sulfonyl fluoride

Industrial

1763-​23-​1 2795-​39-​3 29457-​72-​5 29081-​56-​9 70225-​14-​8 56773-​42-​3 251099-​16-​8 4151-​50-​2 31506-​32-​8 1691-​99-​2 24448-​09-​7 307-​35-​7

Chemical

Relevant CAS number(s)

Category

Polybrominated biphenyls (PBB)

36355-​01-​8 (hexa-​) 27858-​07-​7 (octa-​) 13654-​09-​6 (deca-​) 1336-​36-​3 61788-​33-​8 85535-​84-​8 78-​00-​2 75-​74-​1 126-​72-​7

Industrial

Polychlorinated biphenyls (PCB) Polychlorinated terphenyls (PCT) Short-​chain chlorinated paraffins Tetraethyl lead Tetramethyl lead Tris (2,3-​dibromopropyl) phosphate

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Industrial Industrial Industrial Industrial Industrial Industrial

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Chemical

Relevant CAS number(s)

Category

All tributyltin compounds including: –​ Tributyltin oxide –​ Tributyltin fluoride –​ Tributyltin methacrylate –​ Tributyltin benzoate –​ Tributyltin chloride –​ Tributyltin linoleate –​ Tributyltin naphthenate

56-​35-​9 1983-​10-​4 2155-​70-​6 4342-​36-​3 1461-​22-​9 24124-​25-​2 85409-​17-​2

Pesticide/​ Industrial**

*

Only the CAS numbers of parent compounds are listed. For a list of other relevant CAS numbers, reference may be made to the relevant decision guidance document.

**

All tributyltin compounds are listed in Annex III in both the industrial and pesticide categories. These chemicals were initially listed in Annex III in the pesticide category by decision RC-​ 4/​5, with the amendment entering into force on 1 February 2009. Decision RC-​8/​5 subsequently amended Annex III to list all tributyltin compounds in the industrial category, with the amendment entering into force on 15 September 2017.

ANNEX IV INFORMATION AND CRITERIA FOR LISTING SEVERELY HAZARDOUS PESTICIDE FORMULATIONS IN ANNEX III Part 1. Documentation required from a proposing Party Proposals submitted pursuant to paragraph 1 of Article 6 shall include adequate documentation containing the following information: (a) (b) (c) (d) (e) (f) (g)

Name of the hazardous pesticide formulation; Name of the active ingredient or ingredients in the formulation; Relative amount of each active ingredient in the formulation; Type of formulation; Trade names and names of the producers, if available; Common and recognized patterns of use of the formulation within the proposing Party; A clear description of incidents related to the problem, including the adverse effects and the way in which the formulation was used; (h) Any regulatory, administrative or other measure taken, or intended to be taken, by the proposing Party in response to such incidents. Part 2. Information to be collected by the Secretariat Pursuant to paragraph 3 of Article 6, the Secretariat shall collect relevant information relating to the formulation, including: (a) (b) (c) (d)

The physico-​chemical, toxicological and ecotoxicological properties of the formulation; The existence of handling or applicator restrictions in other States; Information on incidents related to the formulation in other States; Information submitted by other Parties, international organizations, nongovernmental organizations or other relevant sources, whether national or international; 352

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(e) Risk and/​or hazard evaluations, where available; (f) Indications, if available, of the extent of use of the formulation, such as the number of registrations or production or sales quantity; (g) Other formulations of the pesticide in question, and incidents, if any, relating to these formulations; (h) Alternative pest-​control practices; (i) Other information which the Chemical Review Committee may identify as relevant. Part 3. Criteria for listing severely hazardous pesticide formulations in Annex III In reviewing the proposals forwarded by the Secretariat pursuant to paragraph 5 of Article 6, the Chemical Review Committee shall take into account: (a) The reliability of the evidence indicating that use of the formulation, in accordance with common or recognized practices within the proposing Party, resulted in the reported incidents; (b) The relevance of such incidents to other States with similar climate, conditions and patterns of use of the formulation; (c) The existence of handling or applicator restrictions involving technology or techniques that may not be reasonably or widely applied in States lacking the necessary infrastructure; (d) The significance of reported effects in relation to the quantity of the formulation used; (e) That intentional misuse is not in itself an adequate reason to list a formulation in Annex III. ANNEX V INFORMATION REQUIREMENTS FOR EXPORT NOTIFICATION 1. Export notifications shall contain the following information: (a)

Name and address of the relevant designated national authorities of the exporting Party and the importing Party; (b) Expected date of export to the importing Party; (c) Name of the banned or severely restricted chemical and summary of the information specified in Annex I that is to be provided to the Secretariat in accordance with Article 5. Where more than one such chemical is included in a mixture or preparation, such information shall be provided for each chemical; (d) A statement indicating, if known, the foreseen category of the chemical and its foreseen use within that category in the importing Party; (e) Information on precautionary measures to reduce exposure to and emission of, the chemical; (f) In case of a mixture or a preparation, the concentration of the banned or severely restricted chemical or chemicals in question; (g) Name and address of the importer; (h) Any additional information that is readily available to the relevant designated national authority of the exporting Party that would be of assistance to the designated national authority of the importing Party.

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2. In addition to the information referred to in paragraph 1, the exporting Party shall provide such further information specified in Annex I as may be requested by the importing Party. ANNEX VI2 SETTLEMENTS OF DISPUTES A. Rules on arbitration The arbitration procedure for purposes of paragraph 2 (a) of Article 20 of the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade shall be as follows: Article 1 1. A Party may initiate recourse to arbitration in accordance with Article 20 of the Convention by written notification addressed to the other Party to the dispute. The notification shall be accompanied by a statement of the claim, together with any supporting documents, and shall state the subject matter for arbitration including, in particular, the articles of the Convention the interpretation or application of which are at issue. 2. The claimant Party shall notify the Secretariat that the Parties are referring a dispute to arbitration pursuant to Article 20. The written notification of the claimant Party shall be accompanied by the statement of claim and the supporting documents referred to in paragraph 1 above. The Secretariat shall forward the information thus received to all Parties. Article 2 1. In disputes between two Parties, an Arbitral Tribunal shall be established. It shall consist of three members. 2. Each of the Parties to the dispute shall appoint an arbitrator and the two arbitrators so appointed shall designate by common agreement the third arbitrator, who shall be the President of the Tribunal. The President of the Tribunal shall not be a national of one of the Parties to the dispute, nor have his or her usual place of residence in the territory of one of these Parties, nor be employed by any of them, nor have dealt with the case in any other capacity. 3. In disputes between more than two Parties, Parties in the same interest shall appoint one arbitrator jointly by agreement. 4. Any vacancy shall be filled in the manner prescribed for the initial appointment. 5. If the Parties do not agree on the subject matter of the dispute before the President of the Arbitral Tribunal is designated, the Arbitral Tribunal shall determine the subject matter. The amendment whereby Annex VI was added to the Convention entered into force on 11 January 2006, on expiry of one year from the date of the communication of its 2

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adoption by the depositary (C.N.10.2005 reflecting decision RC-​1/​11 adopted by the first meeting of the Conference of the Parties). Article 3 1. If one of the Parties to the dispute does not appoint an arbitrator within two months of the date on which the respondent Party receives the notification of the arbitration, the other Party may inform the Secretary-​General of the United Nations who shall make the designation within a further two-​month period. 2. If the President of the Arbitral Tribunal has not been designated within two months of the date of the appointment of the second arbitrator, the Secretary-​General of the United Nations shall, at the request of a Party, designate the President within a further two-​month period. Article 4 The Arbitral Tribunal shall render its decisions in accordance with the provisions of the Convention and international law. Article 5 Unless the parties to the dispute agree otherwise, the Arbitral Tribunal shall determine its own rules of procedure. Article 6 The Arbitral Tribunal may, at the request of one of the Parties, recommend essential interim measures of protection. Article 7 The Parties to the dispute shall facilitate the work of the Arbitral Tribunal and, in particular, using all means at their disposal, shall: (a) Provide it with all relevant documents, information and facilities; and (b) Enable it, when necessary, to call witnesses or experts and receive their evidence. Article 8 The Parties and the arbitrators are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the Arbitral Tribunal. Article 9 Unless the Arbitral Tribunal determines otherwise because of the particular circumstances of the case, the costs of the Tribunal shall be borne by the Parties to the dispute in equal shares. The Tribunal shall keep a record of all its costs and shall furnish a final statement thereof to the Parties. Article 10 A Party that has an interest of a legal nature in the subject matter of the dispute which may be affected by the decision in the case, may intervene in the proceedings with the consent of the Arbitral Tribunal. 355

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Article 11 The Arbitral Tribunal may hear and determine counterclaims arising directly out of the subject matter of the dispute. Article 12 Decisions of the Arbitral Tribunal on both procedure and substance shall be taken by a majority vote of its members. Article 13 1. If one of the Parties to the dispute does not appear before the Arbitral Tribunal or fails to defend its case, the other Party may request the Tribunal to continue the proceedings and to render its decision. Absence of a Party or failure of a Party to defend its case shall not constitute a bar to the proceedings. 2. Before rendering its final decision, the Arbitral Tribunal must satisfy itself that the claim is well founded in fact and law. Article 14 The Arbitral Tribunal shall render its final decision within five months of the date on which it is fully constituted, unless it finds it necessary to extend the time limit for a period which should not exceed five more months. Article 15 The final decision of the Arbitral Tribunal shall be confined to the subject matter of the dispute and shall state the reasons on which it is based. It shall contain the names of the members who have participated and the date of the final decision. Any member of the Tribunal may attach a separate or dissenting opinion to the final decision. Article 16 The award shall be binding on the parties to the dispute. The interpretation of the Convention given by the award shall also be binding upon a Party intervening under Article 10 above insofar as it relates to matters in respect of which that Party intervened. The award shall be without appeal unless the parties to the dispute have agreed in advance to an appellate procedure. Article 17 Any controversy which may arise between those bound by the final decision in accordance with Article 16 above, as regards the interpretation or manner of implementation of that decision, may be submitted by any of them for decision to the Arbitral Tribunal which rendered it. B. Rules on conciliation The conciliation procedure for purposes of paragraph 6 of Article 20 of the Convention shall be as follows.

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Article 1 1. A request by a party to a dispute to establish a conciliation commission in consequence of paragraph 6 of Article 20 shall be addressed in writing to the Secretariat. The Secretariat shall forthwith inform all Parties accordingly. 2. The conciliation commission shall, unless the parties otherwise agree, be composed of five members, two appointed by each Party concerned and a President chosen jointly by those members. Article 2 In disputes between more than two parties, parties in the same interest shall appoint their members of the commission jointly by agreement. Article 3 If any appointments by the parties are not made within two months of the date of receipt by the Secretariat of the written request referred to in Article 1, the Secretary-​General of the United Nations shall, upon request by a party, make those appointments within a further two-​month period. Article 4 If the President of the conciliation commission has not been chosen within two months of the fourth member of the commission being appointed, the Secretary-​ General of the United Nations shall, upon request by a party, designate the President within a further two-​month period. Article 5 1. The conciliation commission shall, unless the parties to the dispute otherwise agree, determine its own rules of procedure. 2. The parties and members of the commission are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the commission. Article 6 The conciliation commission shall take its decisions by a majority vote of its members. Article 7 The conciliation commission shall render a report with recommendations for resolution of the dispute within twelve months of being established, which the parties shall consider in good faith. Article 8 Any disagreement as to whether the conciliation commission has competence to consider a matter referred to it shall be decided by the commission.

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Article 9 The costs of the Commission shall be borne by the parties to the dispute in shares agreed by them. The Commission shall keep the record of all its costs and shall furnish a final statement thereof to the parties. ANNEX VII3 PROCEDURES AND MECHANISMS ON COMPLIANCE WITH THE ROTTERDAM CONVENTION 1. A compliance committee (hereinafter referred to as ‘the Committee’) is hereby established. Members 2. The Committee shall consist of 15 members. Members shall be nominated by Parties and elected by the Conference of the Parties on the basis of equitable geographical representation of the five regional groups of the United Nations. 3. Members shall have expertise and specific qualifications in the subject matter covered by the Convention. They shall serve objectively and in the best interest of the Convention. Election of members 4. At its first meeting after the entry into force of the present annex, the Conference of the Parties shall elect eight members of the Committee for one term and seven members for two terms. The Conference of the Parties shall, at each ordinary meeting thereafter, elect for two full terms new members to replace those members whose period of office as expired or is about to expire. Members shall not serve for more than two consecutive terms. For the purpose of the present annex, ‘term’ shall mean the period that begins at the end of one ordinary meeting of the Conference of the Parties and ends at the end of the next ordinary meeting of the Conference of the Parties. 5. If a member of the Committee resigns or is otherwise unable to complete his or her term of office or to perform his or her functions, the Party that nominated that member shall nominate an alternate to serve for the remainder of the term. The amendment whereby Annex VII was added to the Convention entered into force on 6 November 2020, on expiry of one year from the date of the communication of its adoption by the depositary (C.N.574.2019 reflecting decision RC-​9/​7 adopted by the ninth meeting of the Conference of the Parties). 3

Officers 6. The Committee shall elect its own chair. A vice-​chair and a rapporteur shall be elected, on a rotating basis, by the Committee in accordance with rule 30 of the rules of procedure of the Conference of the Parties.

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Meetings 7. The Committee shall hold meetings as necessary and wherever possible in conjunction with meetings of the Conference of the Parties or other Convention bodies. 8. Subject to paragraph 9 below, the meetings of the Committee shall be open to Parties and the public unless the Committee decides otherwise. When the Committee is dealing with submissions pursuant to paragraph 12 or 13 below, the meetings of the Committee shall be open to Parties and closed to the public unless the Party whose compliance is in question agrees otherwise. The Parties or observers to whom the meeting is open shall not have the right to participate in the meeting unless the Committee and the Party whose compliance is in question agree otherwise. 9. Where a submission is made with regard to the possible non-​compliance of a Party, it shall be invited to participate in the consideration of the submission by the Committee. Such a Party, however, may not take part in the elaboration and adoption of a recommendation or conclusion of the Committee in relation to the matter. 10. The Committee shall make every effort to reach agreement on all matters of substance by consensus. Where this is not possible, the report shall reflect the views of all Committee members. If all efforts to reach consensus have been exhausted and no agreement has been reached, any decision shall, as a last resort, be taken by a four-​fifths majority of the members present and voting or by eight members, whichever is greater. Ten members of the Committee shall constitute a quorum. 11. Each member of the Committee shall, in respect of any matter that is under consideration by the Committee, avoid direct or indirect conflicts of interest. When a member finds himself or herself faced with a direct or indirect conflict of interest, or is a citizen of a Party whose compliance is in question, that member shall bring the issue to the attention of the Committee before consideration of the matter. The concerned member shall not participate in the elaboration and adoption of a recommendation of the Committee in relation to that matter. 12. Submissions may be made in writing, through the Secretariat, by: (a)

A Party that believes that, despite its best endeavours, it is, or will be, unable to comply with certain obligations under the Convention. Such a submission should include details as to which specific obligations are concerned and an assessment of the reason why the Party may be unable to meet those obligations. Where possible, substantiating information, or advice as to where such substantiating information may be found, may be provided. The submission may include suggestions for solutions which the Party considers may be most appropriate to its particular needs; (b) A Party that is directly affected or likely to be directly affected by another Party’s alleged failure to comply with the obligations of the Convention. A Party intending to make a submission under the present subparagraph should, before so doing, undertake consultations with the Party whose compliance is in question. The submission should include details as to which specific obligations are concerned, and information substantiating the submission, including how the Party is affected or likely to be affected. 13. The Committee, in order to assess possible difficulties faced by Parties in fulfilling their obligations under Articles 4 (1), 5 (1), 5 (2) and 10 of the Convention, upon receipt of

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information from the Secretariat provided by such Parties pursuant to those provisions, shall notify the Party in writing regarding the matter of concern. If the matter has not been resolved within 90 days by consultation through the Secretariat with the Party concerned and the Committee considers the matter further, it shall do so in accordance with paragraphs 16 to 24 below. 14. The Secretariat shall forward submissions made under subparagraph 12 (a) above, within two weeks of receiving such submissions, to the members of the Committee for consideration at the Committee’s next meeting. 15. The Secretariat shall, within two weeks of its receiving any submission made under subparagraph 12 (b) or in furtherance to paragraph 13 above, send a copy to the Party whose compliance with the Convention is in question and to the members of the Committee for consideration at the Committee’s next meeting. 16. A Party whose compliance is in question may present responses or comments at every step of the proceedings described in the present annex. 17. Without prejudice to paragraph 16 above, additional information, provided by a Party whose compliance is in question in response to a submission, should be forwarded to the Secretariat within three months of the date of receipt of the submission by that Party, unless the circumstances of a particular case require an extended period of time. Such information shall be immediately transmitted to the members of the Committee for consideration at the Committee’s next meeting. Where a submission has been made pursuant to subparagraph 12 (b) above, the information shall be forwarded by the Secretariat also to the Party that made the submission. 18. The Committee may decide not to proceed with submissions which it considers to be: (a) De minimis; (b) Manifestly ill-​founded. Facilitation 19. The Committee shall consider any submission made to it in accordance with paragraph 12 or in furtherance of paragraph 13 above, with a view to establishing the facts and the root causes of the matter of concern and to assisting in its resolution, taking into account Article 16 of the Convention. To that end, the Committee may provide a Party with: (a) Advice; (b) Non-​binding recommendations; (c) Any further information required to assist the Party in developing a compliance plan, including timelines and targets. Possible measures to address compliance issues 20. If, after undertaking the facilitation procedure set forth in paragraph 19 above and taking into account the cause, type, degree and frequency of compliance difficulties, including financial and technical capacities of the Parties whose compliance is in question, the Committee considers it necessary to propose further measures to address a Party’s compliance problems, the Committee may recommend to the Conference of the Parties, bearing in mind its ability under Article 18 (5) (c) of the Convention, that it consider the following measures, to be taken in accordance with international law, to attain compliance:

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(a)

Further support under the Convention for the Party concerned, including facilitation, as appropriate, of access to financial resources, technical assistance and capacity-​building; (b) Providing advice regarding future compliance in order to help Parties to implement the provisions of the Convention and to promote cooperation among all Parties; (c) Requesting the Party concerned to provide an update on its efforts; (d) Issuing a statement of concern regarding possible future non-​compliance; (e) Issuing a statement of concern regarding current non-​compliance; (f) Requesting the Executive Secretary to make public cases of noncompliance; (g) Recommending that a non-​ compliance situation be addressed by the non-​ compliant Party with the aim of resolving the situation. Handling of information 21. (1) The Committee may receive relevant information, through the Secretariat, from: (a) The Parties; (b) Relevant sources, as it considers necessary and appropriate, with the prior consent of the Party concerned or as directed by the Conference of the Parties; (c) The Convention clearing-​ house mechanism and relevant intergovernmental organizations. The Committee shall provide the Party concerned with such information and invite it to present comments thereon. (2) The Committee may also request information from the Secretariat, where appropriate, in the form of a report, on matters under the Committee’s consideration. 22. For the purpose of examining systemic issues of general compliance under paragraph 25 below, the Committee may: (a) Request information from all Parties; (b) In accordance with relevant guidance by the Conference of the Parties, request relevant information from any reliable sources and outside experts; (c) Consult with the Secretariat and draw upon its experience and knowledge base. 23. Subject to Article 14 of the Convention, the Committee, any Party or any person involved in the deliberations of the Committee shall protect the confidentiality of information received in confidence. Monitoring 24. The Committee should monitor the consequences of action taken in pursuance of paragraph 19 or 20 above. General compliance issues 25. The Committee may examine systemic issues of general compliance of interest to all Parties where: (a) The Conference of the Parties so requests; (b) The Committee, on the basis of information obtained by the Secretariat, while acting pursuant to its functions under the Convention, from Parties and submitted to the Committee by the Secretariat, decides that there is a need for an

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issue of general non-​compliance to be examined and for a report on it to be made to the Conference of the Parties. Reports to the Conference of the Parties 26. The Committee shall submit a report to each ordinary meeting of the Conference of the Parties reflecting: (a) The work that the Committee has undertaken; (b) The conclusions or recommendations of the Committee; (c) The future programme of work of the Committee, including the schedule of expected meetings which it considers necessary for the fulfilment of its programme of work, for the consideration and approval of the Conference of the Parties. Other subsidiary bodies 27. Where the activities of the Committee in respect of particular issues overlap with the responsibilities of another Rotterdam Convention body, the Conference of the Parties may direct the Committee to consult with that body. Information-​ sharing with compliance committees under relevant multilateral environmental agreements 28. Where relevant, the Committee may solicit specific information, upon request by the Conference of the Parties or at its own initiative, from compliance committees dealing with hazardous substances and wastes under the auspices of relevant multilateral environmental agreements and report on these activities to the Conference of the Parties. Review of the compliance mechanism 29. The Conference of the Parties shall regularly review the implementation of the procedures and mechanisms set forth in the present annex. Relationship with settlement of disputes 30. These procedures and mechanisms shall be without prejudice to Article 20 of the Convention.

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Annexure B X –​10.4: Stockholm Convention on Persistent Organic Pollutants, 2001 http://​chm.pops.int/​Port​als/​0/​Rep​osit​ory/​conv​enti​on_​t​ext/​UNEP-​POPS-​COP-​CONVT​ EXT-​FULL.Engl​ish.PDF Annex A Part I Chemical

Activity

Specific exemption

Aldrin* CAS No: 309-​00-​2

Production Use

None Local ectoparasiticide Insecticide

Chlordane* CAS No: 57-​74-​9

Production Use

As allowed for the Parties listed in the Register Local ectoparasiticide Insecticide Termiticide Termiticide in buildings and dams Termiticide in roads Additive in plywood adhesives

Dieldrin* CAS No: 60-​57-​1

Production Use

None In agricultural operations

Endrin* CAS No: 72-​20-​8

Production Use

None None

Heptachlor* CAS No: 76-​44-​8

Production Use

None Termiticide Termiticide in structures of houses Termiticide (subterranean) Wood treatment In use in underground cable boxes

Hexachlorobenzene CAS No: 118-​74-​1

Production Use

As allowed for the Parties listed in the Register Intermediate Solvent in pesticide Closed system site limited intermediate

Mirex* CAS No: 2385-​85-​5

Production Use

As allowed for the Parties listed in the Register Termiticide

Toxaphene* CAS No: 8001-​35-​2

Production Use

None None

Polychlorinated Biphenyls (PCB)*

Production Use

None Articles in use in accordance with the provisions of Part II of this Annex

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Notes: (i)

Except as otherwise specified in this Convention, quantities of a chemical occurring as unintentional trace contaminants in products and articles shall not be considered to be listed in this Annex; (ii) This note shall not be considered as a production and use specific exemption for purposes of paragraph 2 of Article 3. Quantities of a chemical occurring as constituents of articles manufactured or already in use before or on the date of entry into force of the relevant obligation with respect to that chemical, shall not be considered as listed in this Annex, provided that a Party has notified the Secretariat that a particular type of article remains in use within that Party. The Secretariat shall make such notifications publicly available; (iii) This note, which does not apply to a chemical that has an asterisk following its name in the Chemical column in Part I of this Annex, shall not be considered as a production and use specific exemption for purposes of paragraph 2 of Article 3. Given that no significant quantities of the chemical are expected to reach humans and the environment during the production and use of a closed-​s ystem site-​limited intermediate, a Party, upon notification to the Secretariat, may allow the production and use of quantities of a chemical listed in this Annex as a closed-​s ystem site-​limited intermediate that is chemically transformed in the manufacture of other chemicals that, taking into consideration the criteria in paragraph 1 of Annex D, do not exhibit the characteristics of persistent organic pollutants. This notification shall include information on total production and use of such chemical or a reasonable estimate of such information and information regarding the nature of the closed-​s ystem site-​l imited process including the amount of any non-​t ransformed and unintentional trace contamination of the persistent organic pollutant-​s tarting material in the final product. This procedure applies except as otherwise specified in this Annex. The Secretariat shall make such notifications available to the Conference of the Parties and to the public. Such production or use shall not be considered a production or use specific exemption. Such production and use shall cease after a ten-​y ear period, unless the Party concerned submits a new notification to the Secretariat, in which case the period will be extended for an additional ten years unless the Conference of the Parties, after a review of the production and use decides otherwise. The notification procedure can be repeated; (iv) All the specific exemptions in this Annex may be exercised by Parties that have registered exemptions in respect of them in accordance with Article 4 with the exception of the use of polychlorinated biphenyls in articles in use in accordance with the provisions of Part II of this Annex, which may be exercised by all Parties. Part II Polychlorinated biphenyls Each Party shall: (a) With regard to the elimination of the use of polychlorinated biphenyls in equipment (e.g. transformers, capacitors or other receptacles containing liquid stocks) by 2025, 364

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subject to review by the Conference of the Parties, take action in accordance with the following priorities: (i)

Make determined efforts to identify, label and remove from use equipment containing greater than 10 per cent polychlorinated biphenyls and volumes greater than 5 litres; (ii) Make determined efforts to identify, label and remove from use equipment containing greater than 0.05 per cent polychlorinated biphenyls and volumes greater than 5 litres; (iii) Endeavour to identify and remove from use equipment containing greater than 0.005 percent polychlorinated biphenyls and volumes greater than 0.05 litres; (b) Consistent with the priorities in subparagraph (a), promote the following measures to reduce exposures and risk to control the use of polychlorinated biphenyls: (i)

Use only in intact and non-​leaking equipment and only in areas where the risk from environmental release can be minimized and quickly remedied; (ii) Not use in equipment in areas associated with the production or processing of food or feed; (iii) When used in populated areas, including schools and hospitals, all reasonable measures to protect from electrical failure which could result in a fire, and regular inspection of equipment for leaks; (c) Notwithstanding paragraph 2 of Article 3, ensure that equipment containing polychlorinated biphenyls, as described in subparagraph (a), shall not be exported or imported except for the purpose of environmentally sound waste management; (d) Except for maintenance and servicing operations, not allow recovery for the purpose of reuse in other equipment of liquids with polychlorinated biphenyls content above 0.005 per cent; (e) Make determined efforts designed to lead to environmentally sound waste management of liquids containing polychlorinated biphenyls and equipment contaminated with polychlorinated biphenyls having a polychlorinated biphenyls content above 0.005 per cent, in accordance with paragraph 1 of Article 6, as soon as possible but no later than 2028, subject to review by the Conference of the Parties; (f) In lieu of note (ii) in Part I of this Annex, endeavor to identify other articles containing more than 0.005 per cent polychlorinated biphenyls (for example, cable-​ sheaths, cured caulk and painted objects) and manage them in accordance with paragraph 1 of Article 6; (g) Provide a report every five years on progress in eliminating polychlorinated biphenyls and submit it to the Conference of the Parties pursuant to Article 15; (h) The reports described in subparagraph (g) shall, as appropriate, be considered by the Conference of the Parties in its reviews relating to polychlorinated biphenyls. The Conference of the Parties shall review progress towards elimination of polychlorinated biphenyls at five year intervals or other period, as appropriate, taking into account such reports.

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Annex B RESTRICTION Chemical

Activity

Acceptable purpose or specific exemption

DDT (1,1,1-​trichloro-​2,2-​bis (4-​chlorophenyl)ethane) CAS No: 50-​29-​3

Production

Acceptable purpose: Disease vector control use in accordance with Part II of this Annex Specific exemption: Intermediate in production of dicofol Intermediate

Use

Acceptable purpose: Disease vector control in accordance with Part II of this Annex Specific exemption: Production of dicofol Intermediate

Notes: (i) Except as otherwise specified in this Convention, quantities of a chemical occurring as unintentional trace contaminants in products and articles shall not be considered to be listed in this Annex; (ii) This note shall not be considered as a production and use acceptable purpose or specific exemption for purposes of paragraph 2 of Article 3. Quantities of a chemical occurring as constituents of articles manufactured or already in use before or on the date of entry into force of the relevant obligation with respect to that chemical, shall not be considered as listed in this Annex, provided that a Party has notified the Secretariat that a particular type of article remains in use within that Party. The Secretariat shall make such notifications publicly available; (iii) This note shall not be considered as a production and use specific exemption for purposes of paragraph 2 of Article 3. Given that no significant quantities of the chemical are expected to reach humans and the environment during the production and use of a closed-​system site-​limited intermediate, a Party, upon notification to the Secretariat, may allow the production and use of quantities of a chemical listed in this Annex as a closed-​system site-​limited intermediate that is chemically transformed in the manufacture of other chemicals that, taking into consideration the criteria in paragraph 1 of Annex D, do not exhibit the characteristics of persistent organic pollutants. This notification shall include information on total production and use of such chemical or a reasonable estimate of such information and information regarding the nature of the closed-​system site-​limited process including the amount of any non-​transformed and unintentional trace contamination of the persistent organic pollutant-​starting material in the final product. This procedure applies except as otherwise specified in this Annex. The Secretariat shall make such notifications available to the Conference of the Parties and to the public. Such production or use shall not be considered a production or use specific exemption. Such production and use shall cease after a ten-​year period, unless the Party concerned submits a new notification to the Secretariat, in which case the period will be extended for an additional ten years unless the Conference of the Parties, after a review of the production and use decides otherwise. The notification procedure can be repeated; 366

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(iv) All the specific exemptions in this Annex may be exercised by Parties that have registered in respect of them in accordance with Article 4. Part II DDT (1,1,1-​trichloro-​2,2-​bis(4-​chlorophenyl)ethane) 1. The production and use of DDT shall be eliminated except for Parties that have notified the Secretariat of their intention to produce and/​or use it. A DDT Register is hereby established and shall be available to the public. The Secretariat shall maintain the DDT Register. 2. Each Party that produces and/​ or uses DDT shall restrict such production and/​ or use for disease vector control in accordance with the World Health Organization recommendations and guidelines on the use of DDT and when locally safe, effective and affordable alternatives are not available to the Party in question. 3. In the event that a Party not listed in the DDT Register determines that it requires DDT for disease vector control, it shall notify the Secretariat as soon as possible in order to have its name added forthwith to the DDT Register. It shall at the same time notify the World Health Organization. 4. Every three years, each Party that uses DDT shall provide to the Secretariat and the World Health Organization information on the amount used, the conditions of such use and its relevance to that Party’s disease management strategy, in a format to be decided by the Conference of the Parties in consultation with the World Health Organization. 5. With the goal of reducing and ultimately eliminating the use of DDT, the Conference of the Parties shall encourage: (a)

Each Party using DDT to develop and implement an action plan as part of the implementation plan specified in Article 7. That action plan shall include: (i)

Development of regulatory and other mechanisms to ensure that DDT use is restricted to disease vector control; (ii) Implementation of suitable alternative products, methods and strategies, including resistance management strategies to ensure the continuing effectiveness of these alternatives; (iii) Measures to strengthen health care and to reduce the incidence of the disease. (b) The Parties, within their capabilities, to promote research and development of safe alternative chemical and non-​chemical products, methods and strategies for Parties using DDT, relevant to the conditions of those countries and with the goal of decreasing the human and economic burden of disease. Factors to be promoted when considering alternatives or combinations of alternatives shall include the human health risks and environmental implications of such alternatives. Viable alternatives to DDT shall pose less risk to human health and the environment, be suitable for disease control based on conditions in the Parties in question and be supported with monitoring data. 6. Commencing at its first meeting, and at least every three years thereafter, the Conference of the Parties shall, in consultation with the World Health Organization, evaluate the

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continued need for DDT for disease vector control on the basis of available scientific, technical, environmental and economic information, including: (a) The production and use of DDT and the conditions set out in paragraph 2; (b) The availability, suitability and implementation of the alternatives to DDT; and (c) Progress in strengthening the capacity of countries to transfer safely to reliance on such alternatives. 7. A Party may, at any time, withdraw its name from the DDT Registry upon written notification to the Secretariat. The withdrawal shall take effect on the date specified in the notification. Annex C UNINTENTIONAL PRODUCTION Part I: Persistent organic pollutants subject to the requirements of Article 5 This Annex applies to the following persistent organic pollutants when formed and released unintentionally from anthropogenic sources:

Chemical Polychlorinated dibenzo-​p-​dioxins and dibenzofurans (PCDD/​PCDF) Hexachlorobenzene (HCB) (CAS No: 118-​74-​1) Polychlorinated biphenyls (PCB)

Part II: Source categories Polychlorinated dibenzo-​ p-​ dioxins and dibenzofurans, hexachlorobenzene and polychlorinated biphenyls are unintentionally formed and released from thermal processes involving organic matter and chlorine as a result of incomplete combustion or chemical reactions. The following industrial source categories have the potential for comparatively high formation and release of these chemicals to the environment: (a) Waste incinerators, including co-​incinerators of municipal, hazardous or medical waste or of sewage sludge; (b) Cement kilns firing hazardous waste; (c) Production of pulp using elemental chlorine or chemicals generating elemental chlorine for bleaching; (d) The following thermal processes in the metallurgical industry: (i) (ii) (iii) (iv)

Secondary copper production; Sinter plants in the iron and steel industry; Secondary aluminium production; Secondary zinc production.

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Part III: Source categories Polychlorinated dibenzo-​ p-​ dioxins and dibenzofurans, hexachlorobenzene and polychlorinated biphenyls may also be unintentionally formed and released from the following source categories, including: (a) (b) (c) (d) (e) (f)

Open burning of waste, including burning of landfill sites; Thermal processes in the metallurgical industry not mentioned in Part II; Residential combustion sources; Fossil fuel-​fired utility an-​d industrial boilers; Firing installations for wood and other biomass fuels; Specific chemical production processes releasing unintentionally formed persistent organic pollutants, especially production of chlorophenols and chloranil; (g) Crematoria; (h) Motor vehicles, particularly those burning leaded gasoline; (i) Destruction of animal carcasses; (j) Textile and leather dyeing (with chloranil) and finishing (with alkaline extraction); (k) Shredder plants for the treatment of end of life vehicles; (l) Smoldering of copper cables; (m) Waste oil refineries.

Part IV: Definitions 1. For the purposes of this Annex: (a)

‘Polychlorinated biphenyls’ means aromatic compounds formed in such a manner that the hydrogen atoms on the biphenyl molecule (two benzene rings bonded together by a single carbon-​carbon bond) may be replaced by up to ten chlorine atoms; and (b) ‘Polychlorinated dibenzo-​ p-​ dioxins’ and ‘polychlorinated dibenzofurans’ are tricyclic, aromatic compounds formed by two benzene rings connected by two oxygen atoms in polychlorinated dibenzo-​p-​dioxins and by one oxygen atom and one carbon-​carbon bond in polychlorinated dibenzofurans and the hydrogen atoms of which may be replaced by up to eight chlorine atoms. 2. In this Annex, the toxicity of polychlorinated dibenzo-​p-​dioxins and dibenzofurans is expressed using the concept of toxic equivalency which measures the relative dioxin-​ like toxic activity of different congeners of polychlorinated dibenzo-​ p-​ dioxins and dibenzofurans and coplanar polychlorinated biphenyls in comparison to 2,3,7,8-​ tetrachlorodibenzo-​ p-​ dioxin. The toxic equivalent factor values to be used for the purposes of this Convention shall be consistent with accepted international standards, commencing with the World Health Organization 1998 mammalian toxic equivalent factor values for polychlorinated dibenzo-​p-​dioxins and dibenzofurans and coplanar polychlorinated biphenyls. Concentrations are expressed in toxic equivalents.

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Part V: General guidance on best available techniques and best environmental practices This Part provides general guidance to Parties on preventing or reducing releases of the chemicals listed in Part I.

A. General prevention measures relating to both best available techniques and best environmental practices Priority should be given to the consideration of approaches to prevent the formation and release of the chemicals listed in Part I. Useful measures could include: (a) The use of low-​waste technology; (b) The use of less hazardous substances; (c) The promotion of the recovery and recycling of waste and of substances generated and used in a process; (d) Replacement of feed materials which are persistent organic pollutants or where there is a direct link between the materials and releases of persistent organic pollutants from the source; (e) Good housekeeping and preventive maintenance programs; (f) Improvements in waste management with the aim of the cessation of open and other uncontrolled burning of wastes, including the burning of landfill sites. When considering proposals to construct new waste disposal facilities, consideration should be given to alternatives such as activities to minimize the generation of municipal and medical waste, including resource recovery, reuse, recycling, waste separation and promoting products that generate less waste. Under this approach, public health concerns should be carefully considered; (g) Minimization of these chemicals as contaminants in products; (h) Avoiding elemental chlorine or chemicals generating elemental chlorine for bleaching.

B. Best available techniques The concept of best available techniques is not aimed at the prescription of any specific technique or technology, but at taking into account the technical characteristics of the installation concerned, its geographical location and the local environmental conditions. Appropriate control techniques to reduce releases of the chemicals listed in Part I are in general the same. In determining best available techniques, special consideration should be given, generally or in specific cases, to the following factors, bearing in mind the likely costs and benefits of a measure and consideration of precaution and prevention: (a) General considerations: (i)

The nature, effects and mass of the releases concerned: techniques may vary depending on source size; (ii) The commissioning dates for new or existing installations; (iii) The time needed to introduce the best available technique;

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(iv) The consumption and nature of raw materials used in the process and its energy efficiency; (v) The need to prevent or reduce to a minimum the overall impact of the releases to the environment and the risks to it; (vi) The need to prevent accidents and to minimize their consequences for the environment; (vii) The need to ensure occupational health and safety at workplaces; (viii) Comparable processes, facilities or methods of operation which have been tried with success on an industrial scale; (ix) Technological advances and changes in scientific knowledge and understanding. (b) General release reduction measures: When considering proposals to construct new facilities or significantly modify existing facilities using processes that release chemicals listed in this Annex, priority consideration should be given to alternative processes, techniques or practices that have similar usefulness but which avoid the formation and release of such chemicals. In cases where such facilities will be constructed or significantly modified, in addition to the prevention measures outlined in section A of Part V the following reduction measures could also be considered in determining best available techniques: (i)

Use of improved methods for flue-​gas cleaning such as thermal or catalytic oxidation, dust precipitation, or adsorption; (ii) Treatment of residuals, wastewater, wastes and sewage sludge by, for example, thermal treatment or rendering them inert or chemical processes that detoxify them; (iii) Process changes that lead to the reduction or elimination of releases, such as moving to closed systems; (iv) Modification of process designs to improve combustion and prevent formation of the chemicals listed in this Annex, through the control of parameters such as incineration temperature or residence time.

C. Best environmental practices The Conference of the Parties may develop guidance with regard to best environmental practices.

Annex D INFORMATION REQUIREMENTS AND SCREENING CRITERIA 1. A Party submitting a proposal to list a chemical in Annexes A, B and/​or C shall identify the chemical in the manner described in subparagraph (a) and provide the information on the chemical, and its transformation products where relevant, relating to the screening criteria set out in subparagraphs (b) to (e): (a)

Chemical identity:

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(i)

Names, including trade name or names, commercial name or names and synonyms, Chemical Abstracts Service (CAS) Registry number, International Union of Pure and Applied Chemistry (IUPAC) name; and (ii) Structure, including specification of isomers, where applicable, and the structure of the chemical class; (b) Persistence: (i)

Evidence that the half-​life of the chemical in water is greater than two months, or that its half-​life in soil is greater than six months, or that its half-​life in sediment is greater than six months; or (ii) Evidence that the chemical is otherwise sufficiently persistent to justify its consideration within the scope of this Convention; (c)

Bio-​accumulation: (i)

Evidence that the bio-​concentration factor or bio-​accumulation factor in aquatic species for the chemical is greater than 5,000 or, in the absence of such data, that the log Kow is greater than 5; (ii) Evidence that a chemical presents other reasons for concern, such as high bio-​accumulation in other species, high toxicity or ecotoxicity; or (iii) Monitoring data in biota indicating that the bio-​accumulation potential of the chemical is sufficient to justify its consideration within the scope of this Convention; (d) Potential for long-​range environmental transport: (i)

Measured levels of the chemical in locations distant from the sources of its release that are of potential concern; (ii) Monitoring data showing that long-​range environmental transport of the chemical, with the potential for transfer to a receiving environment, may have occurred via air, water or migratory species; or (iii) Environmental fate properties and/​ or model results that demonstrate that the chemical has a potential for long-​range environmental transport through air,water or migratory species, with the potential for transfer to a receiving environment in locations distant from the sources of its release. For a chemical that migrates significantly through the air, its half-​life in air should be greater than two days; and (e)

Adverse effects: (i)

Evidence of adverse effects to human health or to the environment that justifies consideration of the chemical within the scope of this Convention; or (ii) Toxicity or ecotoxicity data that indicate the potential for damage to human health or to the environment. 2. The proposing Party shall provide a statement of the reasons for concern including, where possible, a comparison of toxicity or ecotoxicity data with detected or predicted levels of a chemical resulting or anticipated from its long-​range environmental transport, and a short statement indicating the need for global control. 372

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3. The proposing Party shall, to the extent possible and taking into account its capabilities, provide additional information to support the review of the proposal referred to in paragraph 6 of Article 8. In developing such a proposal, a Party may draw on technical expertise from any source.

Annex E INFORMATION REQUIREMENTS FOR THE RISK PROFILE The purpose of the review is to evaluate whether the chemical is likely, as a result of its long-​range environmental transport, to lead to significant adverse human health and/​or environmental effects, such that global action is warranted. For this purpose, a risk profile shall be developed that further elaborates on, and evaluates, the information referred to in Annex D and includes, as far as possible, the following types of information: (a) Sources, including as appropriate: (i) Production data, including quantity and location; (ii) Uses; and (iii) Releases, such as discharges, losses and emissions; (b) Hazard assessment for the endpoint or endpoints of concern, including a consideration of toxicological interactions involving multiple chemicals; (c) Environmental fate, including data and information on the chemical and physical properties of a chemical as well as its persistence and how they are linked to its environmental transport, transfer within and between environmental compartments, degradation and transformation to other chemicals. A determination of the bio-​concentration factor or bioaccumulation factor, based on measured values, shall be available, except when monitoring data are judged to meet this need; d) Monitoring data; (e) Exposure in local areas and, in particular, as a result of long-​range environmental transport, and including information regarding bio-​availability; (f) National and international risk evaluations, assessments or profiles and labelling information and hazard classifications, as available; and (g) Status of the chemical under international conventions. Annex F INFORMATION ON SOCIO-​ECONOMIC CONSIDERATIONS An evaluation should be undertaken regarding possible control measures for chemicals under consideration for inclusion in this Convention, encompassing the full range of options, including management and elimination. For this purpose, relevant information should be provided relating to socio-​economic considerations associated with possible control measures to enable a decision to be taken by the Conference of the Parties. Such information should reflect due regard for the differing capabilities and conditions among the Parties and should include consideration of the following indicative list of items:

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(a) Efficacy and efficiency of possible control measures in meeting risk reduction goals: (i) Technical feasibility; and (ii) Costs, including environmental and health costs; (b) Alternatives (products and processes): (i) (ii) (iii) (iv) (v) (vi)

Technical feasibility; Costs, including environmental and health costs; Efficacy; Risk; Availability; and Accessibility;

(c) Positive and/​or negative impacts on society of implementing possible control measures: (i) (ii) (iii) (iv) (v) (vi)

Health, including public, environmental and occupational health; Agriculture, including aquaculture and forestry; Biota (biodiversity); Economic aspects; Movement towards sustainable development; and Social costs;

(d) Waste and disposal implications (in particular, obsolete stocks of pesticides and clean-​up of contaminated sites): (i) Technical feasibility; and (ii) Cost; (e) Access to information and public education; (f) Status of control and monitoring capacity; and (g) Any national or regional control actions taken, including information on alternatives, and other relevant risk management information. Annex G ARBITRATION AND CONCILIATION PROCEDURES FOR SETTLEMENT OF DISPUTES (Decision SC-​1/​2 of the Conference of the Parties)

Part I: Arbitration procedure The arbitration procedure for purposes of paragraph 2 (a) of Article 18 of the Convention shall be as follows: Article 1 1. A Party may initiate recourse to arbitration in accordance with Article 18 of the Convention by written notification addressed to the other party to the dispute. The notification shall be accompanied by a statement of the claim, together with any supporting 374

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documents, and state the subject-​matter of arbitration and include, in particular, the articles of the Convention the interpretation or application of which are at issue. 2. The claimant party shall notify the Secretariat that the parties are referring a dispute to arbitration pursuant to Article 18. The notification shall be accompanied by the written notification of the claimant party, the statement of claim and the supporting documents referred to in paragraph 1 above. The Secretariat shall forward the information thus received to all Parties. Article 2 1. If a dispute is referred to arbitration in accordance with Article 1 above, an arbitral tribunal shall be established. It shall consist of three members. 2. Each of the parties to the dispute shall appoint an arbitrator and the two arbitrators so appointed shall designate by common agreement the third arbitrator, who shall be the President of the tribunal. The President of the tribunal shall not be a national of one of the parties to the dispute, nor have his or her usual place of residence in the territory of one of those parties, nor be employed by any of them, nor have dealt with the case in any other capacity. 3. In disputes between more than two parties, parties in the same interest shall appoint one arbitrator jointly by agreement. 4. Any vacancy shall be filled in the manner prescribed for the initial appointment. 5. If the parties do not agree on the subject-​matter of the dispute before the President of the arbitral tribunal is designated, the arbitral tribunal shall determine the subject-​matter. Article 3 1. If one of the parties to the dispute does not appoint an arbitrator within two months of the date on which the respondent party receives the notification of the arbitration, the other party may inform the Secretary-​General of the United Nations, who shall make the designation within a further two-​month period. 2. If the President of the arbitral tribunal has not been designated within two months of the date of the appointment of the second arbitrator, the Secretary-​General of the United Nations shall, at the request of a party, designate the President within a further two-​month period. Article 4 The arbitral tribunal shall render its decisions in accordance with the provisions of the Convention and international law. Article 5 Unless the parties to the dispute otherwise agree, the arbitral tribunal shall determine its own rules of procedure. Article 6 The arbitral tribunal may, at the request of one of the parties, indicate essential interim measures of protection.

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Article 7 The parties to the dispute shall facilitate the work of the arbitral tribunal and, in particular, using all means at their disposal, shall: (a) Provide it with all relevant documents, information and facilities; and (b) Enable it, when necessary, to call witnesses or experts and receive their evidence. Article 8 The parties and the arbitrators are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the arbitral tribunal. Article 9 Unless the arbitral tribunal determines otherwise because of the particular circumstances of the case, the costs of the tribunal shall be borne by the parties to the dispute in equal shares. The tribunal shall keep a record of all its costs, and shall furnish a final statement thereof to the parties. Article 10 A party that has an interest of a legal nature in the subject matter of the dispute which may be affected by the decision in the case may intervene in the proceedings with the consent of the tribunal. Article 11 The tribunal may hear and determine counterclaims arising directly out of the subject matter of the dispute. Article 12 Decisions both on procedure and substance of the arbitral tribunal shall be taken by a majority vote of its members. Article 13 1. If one of the parties to the dispute does not appear before the arbitral tribunal or fails to defend its case, the other party may request the tribunal to continue the proceedings and to make its award. Absence of a party or a failure of a party to defend its case shall not constitute a bar to the proceedings. 2. Before rendering its final decision, the arbitral tribunal must satisfy itself that the claim is well founded in fact and law. Article 14 The tribunal shall render its final decision within five months of the date on which it is fully constituted unless it finds it necessary to extend the time limit for a period which should not exceed five more months. Article 15 The final decision of the arbitral tribunal shall be confined to the subject matter of the dispute and shall state the reasons on which it is based. It shall contain the names of the 376

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members who have participated and the date of the final decision. Any member of the tribunal may attach a separate or dissenting opinion to the final decision. Article 16 The award shall be binding on the parties to the dispute. The interpretation of the Convention given by the award shall also be binding upon a Party intervening under Article 10 above insofar as it relates to matters in respect of which that Party intervened. The award shall be without appeal unless the parties to the dispute have agreed in advance to an appellate procedure. Article 17 Any controversy which may arise between those bound by the final decision in accordance with Article 16 above, as regards the interpretation or manner of implementation of that decision, may be submitted by any of them for decision to the arbitral tribunal which rendered it.

Part II: Conciliation procedure The conciliation procedure for purposes of paragraph 6 of Article 18 of the Convention shall be as follows: Article 1 1. A request by a party to a dispute to establish a conciliation commission in consequence of paragraph 6 of Article 18 shall be addressed in writing to the Secretariat. The Secretariat shall forthwith inform all Parties to the Convention accordingly. 2. The conciliation commission shall, unless the parties otherwise agree, be composed of three members, one appointed by each party concerned and a President chosen jointly by those members. Article 2 In disputes between more than two parties, parties in the same interest shall appoint their members of the commission jointly by agreement. Article 3 If any appointments by the parties are not made within two months of the date of receipt by the Secretariat of the written request referred to in Article 1, the Secretary-​General of the United Nations shall, upon request by a party, make those appointments within a further two-​month period. Article 4 If the President of the conciliation commission has not been chosen within two months of the second member of the commission being appointed, the Secretary-​General of the United Nations shall, upon request by a party, designate the President within a further two-​month period.

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Article 5 1. The conciliation commission shall, unless the parties to the dispute otherwise agree, determine its own rules of procedure. 2. The parties and members of the commission are under an obligation to protect the confidentiality of any information they receive in confidence during the proceedings of the commission. Article 6 The conciliation commission shall take its decisions by a majority vote of its members. Article 7 The conciliation commission shall render a report with recommendations for resolution of the dispute within twelve months of being established, which the parties shall consider in good faith. Article 8 Any disagreement as to whether the conciliation commission has competence to consider a matter referred to it shall be decided by the commission. Article 9 The costs of the commission shall be borne by the parties to the dispute in shares agreed by them. The commission shall keep the record of all its costs and shall furnish a final statement thereof to the parties.

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Annexure B X –​10.5: Minamata Convention on Mercury, 2013 www.mercur​ycon​vent​ion.org/​sites/​defa​ult/​files/​2021-​06/​Minam​ata-​Con​vent​ion-​book​let-​ Sep2​019-​EN.pdf

Annex A Mercury-​added products The following products are excluded from this Annex: (a) Products essential for civil protection and military uses; (b) Products for research, calibration of instrumentation, for use as reference standard; (c) Where no feasible mercury-​free alternative for replacement is available, switches and relays, cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for electronic displays, and measuring devices; (d) Products used in traditional or religious practices; and (e) Vaccines containing thiomersal as preservatives.

Part I: Products subject to Article 4, paragraph Mercury-​added products

Date after which the manufacture, import or export of the product shall not be allowed (phase-​out date)

Batteries, except for button zinc silver oxide batteries with a mercury content < 2% and button zinc air batteries with a mercury content < 2%

2020

Switches and relays, except very high accuracy capacitance and loss measurement bridges and high frequency radio frequency switches and relays in monitoring and control instruments with a maximum mercury content of 20 mg per bridge, switch or relay

2020

Compact fluorescent lamps (CFLs) for general lighting purposes that are < 30 watts with a mercury content exceeding 5 mg per lamp burner

2020

Linear fluorescent lamps (LFLs) for general lighting purposes: 1 Triband phosphor < 60 watts with a mercury content exceeding 5 mg per lamp; 2 Halophosphate phosphor s 40 watts with a mercury content exceeding 10 mg per lamp

2020

High pressure mercury vapor lamps (HPMV) for general lighting purposes

2020

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Mercury-​added products

Date after which the manufacture, import or export of the product shall not be allowed (phase-​out date)

Mercury in cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for electronic displays: -​ short length (< 500 mm) with mercury content exceeding 3.5 mg per lamp -​ medium length (> 500 mm and < 1 500 mm) with mercury content exceeding 5 mg per lamp -​ long length (> 1 500 mm) with mercury content exceeding 13 mg per lamp

2020

Cosmetics (with mercury content above 1 ppm), including skin lightening soaps and creams, and not including eye area cosmetics where mercury is used as a preservative and no effective and safe substitute preservatives are available17

2020

Pesticides, biocides and topical antiseptics

2020

The following non-​electronic measuring devices except non-​electronic measuring devices installed in large-​scale equipment or those used for high precision measurement, where no suitable mercury-​free alternative is available: -​ barometers; -​ hygrometers; -​ manometers; -​ thermometers; -​ sphygmomanometers.

2020

1/​The intention is not to cover cosmetics, soaps or creams with trace contaminants of mercury.

Part II: Products subject to Article 4, paragraph 3 Mercury-​added products

Provisions

Dental amalgam

Measures to be taken by a Party to phase down the use of dental amalgam shall take into account the Party’s domestic circumstances and relevant international guidance and shall include two or more of the measures from the following list: (i) Setting national objectives aiming at dental caries prevention and health promotion, thereby minimizing the need for dental restoration; (ii) Setting national objectives aiming at minimizing its use; 380

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Mercury-​added products

Provisions (iii) Promoting the use of cost-​effective and clinically effective mercury-​free alternatives for dental restoration; (iv) Promoting research and development of quality mercury-​free materials for dental restoration; (v) Encouraging representative professional organizations and dental schools to educate and train dental professionals and students on the use of mercury-​free dental restoration alternatives and on promoting best management practices; (vi) Discouraging insurance policies and programs that favour dental amalgam use over mercury-​free dental restoration; (vii) Encouraging insurance policies and programs that favour the use of quality alternatives to dental amalgam for dental restoration; (viii) Restricting the use of dental amalgam to its encapsulated form; (ix) Promoting the use of best environmental practices in dental facilities to reduce releases of mercury and mercury compounds to water and land.

Annex B Manufacturing processes in which mercury or mercury compounds are used Part I: Processes subject to Article 5, paragraph 2 Manufacturing processes using mercury or mercury compounds

Phase-​out date

Chlor-​alkali production

2025

Acetaldehyde production in which mercury or mercury compounds are used as a catalyst

2018

Part II: Processes subject to Article 5, paragraph 3 Mercury using process

Provisions

Vinyl chloride monomer production

Measures to be taken by the Parties shall include but not be limited to: (i) Reduce the use of mercury in terms of per unit production by 50 per cent by the year 2020 against 2010 use; (ii) Promoting measures to reduce the reliance on mercury from primary mining; (iii) Taking measures to reduce emissions and releases of mercury to the environment;

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Mercury using process

Provisions (iv) Supporting research and development in respect of mercury-​free catalysts and processes; (v) Not allowing the use of mercury five years after the Conference of the Parties has established that mercury-​free catalysts based on existing processes have become technically and economically feasible; (vi) Reporting to the Conference of the Parties on its efforts to develop and/​or identify alternatives and phase out mercury use in accordance with Article 21.

Sodium or Potassium Methylate or Ethyl ate

Production of polyurethane using mercury containing catalysts

Measure s to be taken by the Parties shall include but not to be limited to: (i) Measures to reduce the use of mercury aiming at the phase out of this use as fast as possible and within 10 years of the entry into force of the Convention; (ii) Reduce emissions and releases in terms of per unit production by 50 per cent by 2020 compared to 2010; (iii) Prohibiting the use of fresh mercury from primary mining; (iv) Supporting research and development in respect of mercury-​free processes; (v) Not allowing the use of mercury five years after the Conference of the Parties has established that mercury-​free processes have become technically and economically feasible; (vi) Reporting to the Conference of the Parties on its efforts to develop and/​or identify alternatives and phase out mercury use in accordance with Article 21. Measures to be taken by the Parties shall include but not be limited to: (i) Taking measures to reduce the use of mercury, aiming at the phase out of this use as fast as possible, within 10 years of the entry into force of the Convention; (ii) Taking measures to reduce the use of mercury, aiming at the phase out of this use as fast as possible, within 10 years of the entry into force of the Convention; (iii) Taking measures to reduce emissions and releases of mercury to the environment; (iv) Encouraging research and development in respect of mercury-​free catalysts and processes; (v) Taking measures to reduce emissions and releases of mercury to the environment; (vi) Encouraging research and development in respect of mercury-​free catalysts and processes; Paragraph 6 of Article 5 shall not apply to this manufacturing process.

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Annex C Artisanal and small-​scale gold mining National action plans 1. Each Party that is subject to the provisions of paragraph 3 of Article 7 shall include in its national action plan: (a) National objectives and reduction targets; (b) Actions to eliminate: (i) (ii) (iii) (iv)

Whole ore amalgamation; Open burning of amalgam or processed amalgam; Burning of amalgam in residential areas; and Cyanide leaching in sediment, ore or tailings to which mercury has been added without first removing the mercury;

(c) Steps to facilitate the formalization or regulation of the artisanal and small-​scale gold mining sector; (d) Baseline estimates of the quantities of mercury used and the practices employed in artisanal and small-​scale gold mining and processing within its territory; (e) Strategies for promoting the reduction of emissions and releases of, and exposure to, mercury in artisanal and small-​scale gold mining and processing, including mercury-​ free methods; (f) Strategies for managing trade and preventing the diversion of mercury and mercury compounds from both foreign and domestic sources to use in artisanal and small scale gold mining and processing; (g) Strategies for involving stakeholders in the implementation and continuing development of the national action plan; (h) A public health strategy on the exposure of artisanal and small-​scale gold miners and their communities to mercury. Such a strategy should include, inter alia, the gathering of health data, training for health-​care workers and awareness-​raising through health facilities; (i) Strategies to prevent the exposure of vulnerable populations, particularly children and women of child-​bearing age, especially pregnant women, to mercury used in artisanal and small-​scale gold mining; (j) Strategies for providing information to artisanal and small-​ scale gold miners and affected communities; and (k) A schedule for the implementation of the national action plan. 2. Each Party may include in its national action plan additional strategies to achieve its objectives, including the use or introduction of standards for mercury-​free artisanal and small-​scale gold mining and market-​based mechanisms or marketing tools.

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Annex D List of point sources of emissions of mercury and mercury compounds to the atmosphere Point source category: Coal-​fired power plants; Coal-​fired industrial boilers; Smelting and roasting processes used in the production of non-​ferrous metals; 1/​ Waste incineration facilities; Cement clinker production facilities. For the purpose of this Annex, ‘non-​ferrous metals’ refers to lead, zinc copper and industrial gold. 1/​

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XI NEGOTIATIONS FOR PROTECTION OF BIOLOGICAL DIVERSITY

11.1  The State of Biological Diversity Of the 5 to 15 million species that possibly exist on the earth, only 1.7 million have been identified, named, and described. This is merely the tip of the iceberg. Biodiversity or biological diversity is the variety of life on Earth. It incorporates the concepts of distinctiveness at each level of life; from molecules to cells, to individuals, to species, to population, to communities, and ecosystems. It refers to genetic diversity, species diversity, and ecosystem diversity. Biological diversity is often measured in terms of species richness and species diversity. The number of species in a place is the species richness. But how many different species occur in that place its species diversity. Species that evolved in isolation or are surviving as living fossils might carry several distinctive traits to be biologically unique. Take the example of the ginkgo tree of China or the two living species of coelocanth. Ecosystems can range from large geographical biome units to very small discrete units that are geographically distinct and biologically unique. Forests, wetlands, and deserts are easily distinguishable. They are recognizable by some kind of uniformity in primary producers that influences the subsequent higher trophic levels. Sometimes migratory animals create a boundary on the vegetation. The movements of wildebeest, gazelle, and zebra do so in Serengeti-​Mara ecosystem. Even the deep hydrothermal vents sustain sulfur bacteria, tube worms, bivalves, and gastropods. In this modern world, despite noise and rush, we still have deep emotional connections with the wilderness and nature. Both flora and fauna have been our inspiration as can be evidenced in our mythologies, histories, religion, and cultures throughout the world since the hominid evolution. The evolution and extinction of some species is a natural process, but the current form of extinction crisis is entirely our making. As the human footprint increases, biodiversity declines. The extinction of the large-​ bodied vertebrates closely followed the global spread of Homo sapiens. Megafauna became extinct in the Madagascar islands, for example, giant lemurs around 2000 years ago and New Zealand, for example, ten species of Moa, around 1000 years ago after humans set foot there. The most recent extinctions preceding the Industrial Revolution happened in the islands which were linked with the spreading out of global trade via nautical routes.

DOI: 10.4324/9781003440574-13

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A species can also become functionally extinct, for example, the disappearance of birds involved in pollination and seed dispersal before its extinction in the wild. Biological diversity is extremely important to the health of ecosystems and mankind although its spiritual and aesthetic value cannot be ignored. It forms the foundations and boosts ecosystem productivity, where each of the species no matter how small they are playing an important role. It provides us with food and necessary materials and contributes to the economy. Seven thousand plant species are cultivated for our consumption with two hundred as major crops such as rice, maize, sorghum, millets, potatoes, sugarcane, beans, corns, bananas, pulses, and the such as. Tea and coffee are important beverages. A variety of vertebrates and invertebrates form the world’s food supply. Meat is obtained from farm animals and eggs from poultry birds. Thousands of fish species are consumed on a subsistence basis. Molluscs, lobsters, and a variety of insects are also eaten in some parts of the world. Biodiversity provides us with wood, fibers, dyes, tannins, resins, spices, oil, alkaloids, and medicines. WHO lists more than 21 000 plants in traditional health care. We get antibiotics from microorganisms. The rosy periwinkle gives anti-​cancer drugs, vinblastine, and vincristine. Belladonna, atropine, and quinine are all gifts of biodiversity. Nature and wilderness attract tourists from all around the world and this provides good revenue for the nations. Many countries are very dependent on tourism. The majestic and unique wildlife of Africa attracts a lot of tourists every year. Consumptive tourism such as game hunting and sport fishing although frowned on, isalso practiced in some countries to attract tourists. The ecosystem services of biodiversity are often unnoticed and unappreciated. The natural grasslands and catchment areas enable rainwater infiltration resulting in the slow release of clear water into the streams and rivers. This continues the freshwater supply and also mitigates the chances of floods during heavy rain spells. Biodiversity is vital in removing pollutants in soil and water, sequestering carbon dioxide. The decomposers play an important role in nutrient recycling and nutrient replenishment. Biodiversity provides natural pest control, and pollination. The value of bee pollination for eight crops in the USA is more than 3.6 billion dollars. The increase inhuman pressure on the environment led to the decline in biodiversity and the trend continues. This increasing pressure is directly proportional to the long phase of exponential growth in the human population along with a per capita increase in wealth. Poverty aggravates the trend whereby poor people are forced to embrace unsustainable practices. The greatest threats are habitat degradation, overexploitation, exotic species, pollution, and climate change as shown in Figure B XI-​11.1-​1. Land-​use change dynamics fall into three categories: conversion of natural habitats into human-​dominated habitats, intensification of human use of the human-​dominated habitats, and recovery of forests and natural vegetation in places previously cleared by man. Deforestation, fire outbreak, and grazing are closely related to habitat degradation and reduction. Agricultural development had a large-​scale impact on habitat change. Crop domestication of wheat, barley, rye, flax started about 10 000 years. This was complemented with the domestication of animals such as sheep, goats, pigs, and the such as. The WRI reports that by the early 1990s nearly 40% of the Earth’s surface has been converted to agricultural land and pasture mostly at the expense of forests and grasslands. Half of all tropical mangroves have been cleared and the rest is degraded. Less than 50% of the Eastern Arc Mountains of Kenya and Tanzania once rich in endemic species remain. Animals can locomote and are frequently on the move in search of resources such as food, water, or physiological necessities such as mating. Animals also actively seek to defend their territories. The large mammals in the Savannah

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Figure B XI-​11.1-​1 Biological diversity on the brink.

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tend to move out from the lakes and riversides with the onset of rainfall to the dry plains and hills. Many species become vulnerable to anthropogenic development that breaks the natural habitats into small fragments and limits the freedom of the animals. Organisms are interdependent. The ripened figs in the forest attract primates, birds, and other animals from long distances. The fig tree also needs the animals for the dispersal of seeds. Habitat fragmentation may prevent such natural activities. Islandisation results in the isolation of species in discrete fragments. It is reported that small population plants and birds in small islands are more intrinsically susceptible to local extinction than the large populations on larger islands. The small population is easily attacked by predators, diseases, and climatic extremes such as famine and drought. The same is true for the small population of large-​sized animals in narrow geographical ranges with specific ecological requirements. Between 1984 and 2004, the IUCN reported 27 extinctions of which 13 were due to loss of habitat, exotic species invasion, and disease outbreak. Dams also fragment the rivers and prevent the migration and dispersal of an organism according to its ecological and physiological needs. The lotic ecosystem upstream is often converted into alentic ecosystem. Many organisms modify their environment and as a consequence, they increase their fitness and affect the resource availability for other species. This process is referred to as niche construction or ecosystem engineering. Humans are the best example, presently reaping 15% of the world’s terrestrial net primary production. Humans have modified over 35–​40% of the world’s forest and other ice-​free habitats into croplands. Several shifts in species range that are triggered by abiotic factors may not lead to a net biodiversity loss at a global scale. Whenever local scale analysis is done it reflects a different result. Species may locally become extinct in parts of their former range but are found to colonize new places. Hence loss interpretation is also context specific. Depleting trends in natural resources have been accelerated in the last few decades, as a result of rising demand for wildlife products in national and international markets, improved reaping technology, and easy access to remote areas. Destructive practices are quite easily evidenced in the global fishery industries including whaling with the use of explosives and poisons. Capture fishery yield increased during most of the twentieth century but reached a plateau from the eighties at nearly 70 to 80 million tonnes per year. By the mid-​1960s, overexploited fisheries were located in the coastal regions of the Northern Hemisphere, but eighties witnessed fishing far away from the coast. In the terrestrial ecosystem, hunting became a major concern either for meat, for sport or for medicinal purposes. Automatic weapons coupled with vehicles have easily targeted animals along with the use of wire traps. The effects were drastic in Southeast Asia and Central Africa. Most of these k-​selected species have a slow recovery rate. Wildlife is hunted and killed for trade. Notable examples include the demand for tusks in Europe that led to the dwindling African elephant population by the beginning of the 20th century. When East Asian markets for ivory opened, 45% of the continental elephant population collapsed between 1979 and 1988. The CITES provides the legitimate framework for sustainable and international trade in wildlife. Trade Records Analysis of Flora and Fauna in Commerce (TRAFFIC) monitors wildlife crimes with national enforcement authorities. With the increase in access to inaccessible areas, the illegal use of wildlife or bush meat has increased more than before. Apes, monkeys, elephants, duikers, pangolins, crocodiles, artiodactyls, and the like, are often used. Over the years there has been increased homogenization of flora and fauna due to increased biotic exchange that allows exotic species to spread further. The deliberate introduction

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of flora and fauna (invasive species) into new areas is another cause of the extinction of native species. They can either be crop plants, timber-​producing trees, orchids, companion animals, and even pest controllers and predators. Some are accidentally transported. Once they are introduced, they either compete with the native species or predate on them or even may alter the indigenous habitats. For example, invasion by European plants has left only one-​tenth of the native vegetation in the Pampas of Argentina. The invasion of amphibians by chytridiomycosis is an important cause of the global decline. The European rabbit was introduced in Australia in 1859. The rabbits flourished in the absence of any natural predators and their numbers increased to 500 million by 1950. Their increase in numbers implies the decline of indigenous species such as wombats, greater bilby, bettong, and the like. Continental lakes are also isolated. Examples include Lake Malawi which opens into the Zambezi River, Lake Tanganyika opening into the Congo River, and Lake Victoria into the Nile. Each of these lakes was known for its endemic fishes. The haplochromine cichlids speciated into a great variety of forms. Lake Tanganyika has 33 cichlid genera of endemic fishes. There were 500 cichlid species in Lake Malawi within the last 1 million years and 400 in Lake Victoria. The introduction of Nile perch in Lake Victoria in 1962 changed the entire scenario. 90 % of the fishes were haplochromine cichlid in 1973 with 1% Nile perch. By 1985, Nile perch became 80% with 2 to 3 % haplochromines. An added problem is the interbreeding between exotic and native species. In Scotland, the native red deer contains Japanese sika deer genes. Animals translocating beyond their species range also shows variation. Four populations of Giraffe are found in Africa that has varied coat colors and patterns. Population growth, urbanization, and industrial activities spiked the pollution problem. Loads of nutrients are discharged into the land and water bodies that comprise effluents from textile plants, tanneries, paper mills, power plants, breweries, mining facilities, metallurgical industries along with untreated sewage. The algal bloom is seen in many water bodies, both fresh and marine water systems. This results in a turbid stratified water body with very little oxygen at the bottom. Eutrophication is an important driver of the loss of biodiversity both in the inland waters and coastal systems. Lake is more vulnerable to regime shifts that are very difficult to reverse. The land is more affected by pesticides such as DDT and dieldrin. Most of them are persistent and hence called POPs discussed in the previous chapter. Entering algae and bacteria as the base of the food chain, they are then ingested by zooplankton, insects, shrimps, small fishes, and subsequently by fish-​eating birds and man. DDT was proved to reduce the eggshell thickness thereby preventing successful hatching. They are powerful endocrine disruptors and carcinogens. Atmospheric nitrogen deposition from intensive agriculture and fossil fuel burning affects the land ecosystems and this can alter the competitive dynamics of the plants and lichen communities. Increased availability of nitrogen favors the growth of nitrophilous species and the fall of nitrogen-​ sensitive species. Excessive heavy metals are extremely toxic and allow only the resistant species to grow. The soot, smog, and acidic vapors may be drifted to long distances and cause acid rain. Acid precipitation turn may acidify the soil and water bodies resulting in the death of flora and fauna. Another aspect is the release of GHGs such as carbon dioxide, methane, and CFCs that increase the earth’s temperature and produce climate change. Climate changes have already contributed to the high extinction risk of species at high northern latitudes. Also, the Cape region in South Africa and south-​eastern Australia is adversely affected by climate change. Climate change impacts like increasing numbers of

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heatwaves and droughts are driving mass mortality. A single hot day in the year 2014 killed more than 45 000 ‘flying fox’ bats in Australia. This may be due to narrow climatic niche requirements, or they are unable to alter their phenology, physiology, or behavior. The health of our planet is crucial in the emergence of zoonotic diseases. UNEP in 2016 pointed out that 75% of all the emerging contagious diseases are zoonotic. COVID 19 has given the strongest warning to us. Some species adapt to climate change by moving to elevation, changing life history characteristics in time, or by adapting to new conditions in their local range through microevolution or phenotypic plasticity. 20% of the animal breeds out of 7600 registered in FAO’s Global Databank are at risk and 9% have become extinct. This can be due to the wide use of high-​yielding breeds in place of indigenous breeds. Our planet is threatened with human-​ driven loss of nature and biodiversity. This jaw-​dropping abundance of life faces extremes of pressure from the expanding and all-​ consuming humans whose indiscrimination in the form of harvesting and plundering has led us to this present state. According to the Global Assessment Report on Biodiversity and Ecosystem Service 2019, nearly 1 million floral and faunal species are threatened with extinction. The present extinction rate is tens to hundreds of times more than the average rate over the last 10 million years. Since 1900 the native species abundance has fallen on an average by a minimum of 20%. One-​third of corals and more than 33% of all marine mammals are threatened. More than 9% of domesticated mammalian breeds have become extinct by 2016. Thousands more breeds are at risk. The doubling of GHGs emissions since 1980 raised the global temperatures by a minimum of 0.7 °C and this has already affected the species distribution and abundance. The value of crop production has risen by 300%, timber harvest by 45%. Land degradation has reduced the productivity of 23% of the land. There has been a tenfold increase in plastic pollution since 1980. 300–​400 million tons of wastes comprising heavy metals, solvents, sludge are drained into the global water systems. There are more than 400 dead zones in the oceans covering over 2,45,000 sq. kilometers of an area. Based on the current trajectories it seems that the Aichi Biodiversity Targets and the 2030 Agenda for Sustainable Development will not be reached. The trend is ever increasing. Species are becoming extinct at rates much higher than fossil records. The 7 billion-​plus people are only about 0.01% of all living creatures but they alone have caused the loss of 83% of flora and fauna. Anywhere between 200 and 2,000 in the lower limit and 10 000 to 100 000 species at the upper end are going extinct every year. The agricultural and industrial development led to the decline of 85% wetlands, changed 75% of the lands, and affected 66% of the oceans. The biggest threats to the biological diversity as identified by the WWF are given below in Table B XI-​11.1-​1: Table B XI-​11.1-​1 The biggest threats to biological diversity according to WWF

1 2 3 4 5

Threats

The proportion of threats in all the regions (%)

Habitat change Over-​exploitation Exotic species introduction Pollution Climate change

50 24 13 7 6

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Biodiversity is high in the Indo-​ Malayan region, the Andes, Central America, Brazil, Atlantic Forest, and some regions of sub-​Saharan Africa. The prevalence of threatened species is higher in most of Asia, Sahara, Andes, Madagascar, Caribbean, New Zealand, and other islands. Marine vertebrates are highly threatened in the tropics. The IUCN Red List Indices have been prepared for Amphibians, Aves, Mammals, and corals all of which show an increasing trend in threatened species. Corals are particularly threatened due to large-​scale bleaching events between 1996 and 1998. In the Indo-​Pacific live hard coral cover fell from 1997 to 2004. The average coral cover was 22.1% much less than the historic baseline estimates of more than 50% cover. Along with bleaching, disease outbreak, sedimentation, and destructive fishing played an important role. In the past few years, many indicators were developed to evaluate the population abundance dimension of biodiversity. The Living Planet Index (LPI), the European Common Farmland Bird Indicator, and the Wild Bird Index (WBI) that covers North America and Europe, and the European Butterfly Indicator for Grassland Species are worth mentioning. Their concept is to procure the trend in population across a set of species and their populations. The LPI comprises 7190 vertebrate populations from 2301 species in the land, marine, and freshwater realms. The Living Planet Index shows a decline of 31% from 1970 to 2006. The Living Planet Index (LPI) draws on records and evaluates the average relative decline of wildlife population over time. It measures the global biological diversity based on the trends in vertebrate population from monitored sites of both land and aquatic (marine and freshwater) habitats. It was primarily adopted as an indicator in the CBD to evaluate the progress of 2011–​2020 objectives and is playing a crucial role for the post 2020 targets as well. The LPI was conceived by the WWF in 1997. The Wild Bird Index has fallen by 2.6% from 1998 to 2007; the European Common Farmland Bird Indicator by 46% from 1980 to 2006 and the European Butterfly Indicator for grassland species fell (see Table B XI-​11.1-​2) by 70% between 1990 and 2009. The Waterbird Population Status Index that measures the proportion of the shorebird population shows a decline of 18% from 1985 to 2005. The Marine Trophic Index (MTI) that declined in the sixties and eighties shows an increase in the early seventies and nineties. While fall was due to shifting fishing efforts to smaller fishes, a rise is thought to be due to the spatial expansion of the fishing effort. WWF in its Living Planet Report 2020 reported a stark decline in biodiversity worldwide. Between 1970 and 2016, the planet witnessed an average fall of 68% in the number of mammals, birds, fishes, plants, and insects. The rate of decline is not uniform in all habitats. The freshwater diversity is declining faster (with an 84% drop) than that in forests and oceans. Conversion of land for cultivation led to 70% of global biodiversity loss. The latest Living Planet Report 2022 shows an average decline of 69% in species populations since 1970 gathering data from 5268 species and 38427 populations. Freshwater species population was falling by around 83% based on 6617 monitored population of 1398 species. Since the Living Planet Report 2022, 838 new species and 11011 new populations have been added to the dataset. The worldwide abundance of 18 sharks out of 31 fell by 71% in the past 50 years; Whitetip shark declined by 95% in the past three generations. WWF analyzed the crisis in 5 regions –​Europe and Central Asia, Asia Pacific, Latin America and the Caribbean, Africa, and North America, the major findings of which are given below.

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Table B XI-​11.1-​2 Summary of the Living Planet Report 2020 and of 2022 Regions

The average Major findings decline between 1970 and 2016 24%

2 Asia Pacific

45%

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16% habitats and 23% species in good health 18% Out of 15,060 species, 1677 are threatened with extinction. Clams, snails, and fishes are the most endangered ones. Saiga gyrfalcon and Persian leopard facing the risk of extinction in Russia. However, the loggerhead turtle (Caretta caretta) nests increased by 500% along the coastline of Chrysochou Bay in Cyprus. Between 2019 and 2020m Australia’s bushfire 55% killed around 3 billion animals. Over 80% of wetlands in East and Southeast Asia are threatened. Indian river dolphins, Mekong giant catfish, otters, and beavers are in great danger. Especially in India –​3% of birds face extinction, 19% amphibians critically endangered, 12% wild mammals threatened with extinction.

Recovery of some populations observed; positive trends amongst birds and mammals; freshwater fishes, amphibian and reptiles declining. In UK the common crane (Frus grus) became extinct due to hunting and habitat loss. But a small breeding population was reintroduced so that the total population is now around 200. Declining trends in all groups noticed. Australian sea lion (Neophoca cinerea) pup numbers decline by 64% in south and west Australia.

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1 Europe and Central Asia

The average Major findings decline between 1970 and 2018

newgenrtpdf

94%

4 Africa

65%

393 5 North America 33%

Between 2000 and 2013, 613 extremes of 94% climatic and hydro-​meteorological events have taken place. Fishes, amphibians, and reptiles, all show negative trends Chytrid Fungi resulted in declining of 500 amphibian species, 90 are driven towards extinction. Extensive deforestation by more than 30% of what happened in 2018 owing to long spells of the dry season and forest fire outbreak. 76% of freshwater species are threatened with 66% extinction in Lake Victoria. Grauer’s gorilla population declined by 87% in Congo. Mara river basin facing increasing threats to extinction.

3 billion birds lost in the last fifty years. 30% of plant pollination disappeared.

20%

Average declines noticed in all groups, intense in freshwater fishes, amphibians and reptiles. In Mamirauá Sustainable Development Reserve in the Brazilian Amazon, pink river dolphin (Inia geoffrensis) showed a 64% decline.

Decline observed for freshwater fishes and mammals. Habitat degradation and overexploitation being the main cause. In the Virunga mountains in Rwanda, Congo and Uganda, the mountain gorilla (Gorilla beringei beringei) population have grown to 604 from 480 in 2010. Birds are the most stable; others like freshwater fishes, amphibians, reptiles and mammals reveal a negative trend.

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3 Latin America &Caribbean

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Further Reading 1. Lefeber, R. (2012). The legal significance of the Nagoya-​Kuala Lumpur supplementary Protocol: the result of a paradigm evolution. Centre for Environmental Law and Sustainability Research Paper (2012-​02). 2. Nijar, G. S. (2013). The Nagoya–​Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol on Biosafety: An analysis and implementation challenges. International Environmental Agreements: Politics, Law and Economics, 13(3), 271–​290. 3. Telesetsky, A. ASIL Insight The2010Nagoya-​Kuala Lumpur Supplementary Protocol: A New Treaty Assigning Transboundary Liability and Redress for Biodiversity Damage Caused by Genetically Modified Organisms. 4. Lakshmanan, P. K. (2018). Implementation of the Convention on Biological Diversity and Its Protocols in India. In Locating India in the Contemporary International Legal Order (pp. 275–​ 306). Springer, New Delhi. 5. Bala Shanmugam, S., Manchikanti, P., and Subramanian, S. (2015). Liability Aspects Related to Genetically Modified Food under the Food Safety Legislation in India. International Journal of Social, Behavioral, Educational, Economic, Business and Industrial Engineering, 9(12). 6. Sarmah, B. K., and Gupta, R. Biosafety of Genetically Engineered (GE) crops –​Is it a concern?

11.2  Important Negotiations Wildlife or biodiversity is a huge business led by precarious international networks. Plants and animals or their parts are often trafficked like illegal weapons and drugs. Highly destructive deforestation leads to illegal timber trade worth billions and billions but at the same time enables easy poaching and trafficking. Unlike other environmental components, biodiversity faces additional threats from man-​wildlife conflict, habitat encroachment by man, bush meat, and wildlife trading. Unpredictable environmental events, social and economic factors, policy failures, and weak governance are common threats to all environmental components. In the case of biodiversity, negotiations are rather challenging because measuring the population size for species is a herculean task. Species may exhibit migration. Their range may be restricted or wide. So, the States need to develop detailed and harmonized species-​specific frameworks and require local knowledge or rules, their compliance, and enforcement capacity in a myriad of contexts and situations. Wildlife protection and biodiversity conservation laws need consolidation. The huge profits outweigh the low penalties. A kilogram of ivory costs more than USD 2200 but the poachers in developing countries get a sentence of one month usually. Enforcement becomes an issue as authorities are often ill-​equipped to handle organized crime. Moreover, poor people are lured to commit crimes. International treaties provide the backbone for global protection and conservation of wildlife; provide opportunities for cross-​border cooperation to do so. Such negotiations can be further improved by expanding the application of the present negotiations and improving local-​level implementation of the same. A remarkable step was the inclusion of a lion in the Appendices of the CMS at its 12th meeting of the COP (COP 12) in Manila, Philippines in 2017. The following section elaborates on several such landmark treaties for the conservation and protection of wildlife.

11.2.1  International Convention for the Regulation of Whaling (ICRW), Washington, 1946 Whaling probably dates back to around 2200 BC, when they hunted for oil meat, and bones. In 700 A D , the Basques were the first to organize whale hunting followed by the Flemish 394

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and Normans, and thereafter by the British, Dutch, Spain, Norway, and France. Japan and Russia probably initiated whaling in the 12th century while the USA in the 16th century. Early whaling was from the land stations with the use of hand-​thrown harpoons and nets. With the depletion of coastal whales, pelagic whaling began, and new techniques evolved and replaced the land stations. Whales have thereafter been processed onboard factory ships, and nations expanded their horizon of whaling beyond their territorial waters. Shell harpoons replaced the old ones, and tracking was done by sonar devices and helicopters that led to uncontrolled whaling since 1883 and lasted for about 21 years. Such a mass scale whaling between the two World Wars led to two initiatives for its protection, namely the ‘Geneva Convention for Regulation of Whaling’ in 1931, followed by the ‘Agreement for Regulation of Whaling’ in 1937 that proved to be ineffective. It laid the foundation of the future regulation that came up as the ‘International Convention for the Regulation of Whaling’ (ICRW), Washington, 1946. The Government of the USA is the depository for this Convention. There were around eighty-​nine Parties of which a number of them have withdrawn, including Canada, New Zealand, Japan, Iceland, and so forth. This resolution was placed for the signature on 2 December 1946, in Washington DC, USA. It became effective on 10 November 1948. The Convention resolves to make arrangements for the capacity of the International Whaling Commission towards instituting guidelines, ‘such as are necessary to carry out the objectives and purposes of this Convention and to provide for the conservation, development, and optimum utilization of the whale resources.’ Article I states that factory ships, land stations, and whale catchers that belong to the Contracting Parties (nations who have ratified the Convention) along with the entire water bodies where whale operations are sued by those logistics are administered by the requirements of this Convention. Article IV speaks about the Whaling Commission, which in the partnership with or with the aid of autonomous bodies of the contracting nations or civic organizations, or privately-​owned organizations, institutions or establishment can freely engage in: a) Inspiring, endorsing, or if needed, start-​up studying and inquiring involving whales and whaling b) Collecting and analyzing statistical evidence about the present state and tendency of whales as well as the impacts of whaling events c) Studying, appraising, and disseminating info about the approaches of upholding and raising the whale populations. It is for the Commission, either on its own otherwise in partnership with the ‘International Bureau for Whaling Statistics’ at Sandefjord in Norway or new institutions, to make arrangements to publish its reports or other activities as it may seem appropriate. The reports should also include any statistical, scientific, and any additional relevant information connected to whales and whaling. Article V allows the Whaling Commission to make amendments to the provisions whenever required with the drive towards conserving whales and their utilization. The modifications may include safeguarded and un-​safeguarded species, open and closed season for whaling, open and closed zones of oceanic environment inclusive of sanctuaries, size restrictions for species of whales, the time procedures and intensity of whaling, types, and details of the instruments and devices used for whaling, records of catches, and other records

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of statistical and biological relevance. Article VI allows the Commission to create sanctions to any or all of the nations related to whaling, keeping in tune with the objectives set for this Agreement. Agreeing to Article VII, the Contracting Parties need to ensure the quick transmission of statistical information and notifications to the International Bureau of Whaling Statistics, Norway, or to any other designated bodies as suggested by the Commission. The emphasis on whaling during the first twenty years was the commercial aspect. Baleen whales consist of blue, bowhead, sei, right, and gray whales that possess specialized bristle-​ like ‘baleen’ structures in their mouth to sieve the food from the water. Subsequently, with the reduction in the number of essential whale species, the focus was shifted to the ethics of conservation in the 1960s. In the decade of 1970s, the non-​whaling and anti-​whaling countries joined the International Whaling Commission, and their total number won the majority over the number of pro-​whaling States. It is particularly worth noticing that the USA turned into the non-​whaling entity of IWC, which was once considered to be the main whaling drive. These countries joined hands to strive for freezing or stopping whaling, which became effective in 1986. This suspension on whaling for an unspecified period was an endeavor to find out the current state of the whale population and also to allow some time so that the declining population can recuperate back. A three-​year time span was given to slowly phase down and put an end to their practices. Under the freezing, only two types of whaling practice, i.e., subsistence and scientific whaling, were allowable by law. Subsistence whaling is defined as the catching of a restricted number of whales by particular natives for their existence. When the controlled catch is made of non-​threatened whales for research and further study, it is referred to as scientific whaling. Marine sanctuaries have been selected in particular areas of the ocean by the International Whaling Commission, where whale hunting is completely prohibited even when the suspension is lifted. Particularly, the Indian Ocean, a portion of the Pacific Ocean off the Mexican shore, and the bulk of the marine waters of the Southern Hemisphere had been chosen as whale sanctuaries. Such steps have made the recovery of some of the whale species in quite good numbers, yet others are still threatened and uncommon. When it comes to sustainable whaling, it can only apply to minke whales that exist in abundance. This Convention was negotiated more than seventy years back and was primarily based on the 1931 and 1987 agreements set in that time and fails to address the aspects characterizing the current approach to environmental protection. The International Whaling Commission also harbors split opinion and a fundamental difference in attitudes. Some States uphold the right to continuing commercial whaling while many of the non-​whaling nations supported by NGOs regard whaling to be needless and decadent. Usually, two different camps exist. One group (the conservationists) opts for whale conservation for exploitation. The other group (preservationists) sees aesthetics in the natural whale population. The International Whaling Commission failed effective surveillance, and the depletion of the whale population continued. The IWC was forced to declare a complete embargo on commercial whaling in 1982, commonly known as ‘zero quotas.’ Though the embargo was intended to be temporary, due to its effectiveness, it is still in effect. Norway and Iceland opted out of this ban and continued commercial operations. The scientific whaling provisioned in Article VIII is out of the scope of the IWC, making it paralyzed. The Convention has turned out to be a vestigial instrument that calls for revision and needs to hit equilibrium amidst the aspirations of whaling nations and the preservationist countries.

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11.2.1.1  The Indian Context The third National Wildlife Action Plan (2017–​ 2031), announced by the MoEFCC, Government of India, targets an intensive approach to conservation. India has over 700 Protected Areas, including Marine Protected Areas. The Irrawaddy dolphin habitat in Chilka is under review to be declared as a ‘Biodiversity Heritage Site.’ Once upon a time, Whale Sharks (Rhincodon typus) were slaughtered in Gujarat. To prevent such hunting, they were enlisted in Schedule I of the Wildlife Protection Act, 1972. Further, internationally they were protected through their inclusion in Appendix II list of the CITES. Since the launch of the Whale Shark Campaign begun in India by the Wildlife Trust of India, fishers have turned into protectors, and there is a sea change in the attitude of the localities. Since 2008, a formal collaborative effort was initiated by the Gujarat Forest Department, Tata Chemical Limited, and the Wildlife Trust of India (WTI). They conduct scientific studies with the help of photo-​identification, genetic analysis, and satellite imaging. The aim is to gather baseline information on its population, ecology, and migration for long-​term conservation. Australia-​India Council also helps the project in terms of knowledge sharing. WTI has provided the fishermen with more than 1500 cameras for documenting. Around 600 rescues have been possible since 2005, and INR 70 lakhs has been paid to the fishers as compensation. The projects pursue photo identification based on spot patterns, and ECOCEAN maintains the database. Genetic analysis is done to understand the genetic diversity and thereby establish the relationship between various groups. Satellite tagging enables us to study their movement and migration patterns. In India, the dolphin watching industry emphasizes two species –​the humpback whales and the Irrawaddy dolphins. People watch humpback whales on the western coast of India, a limited extent to the coast of Vizag and the east in the Sunderbans Tiger Reserve area. One can see Sousa plumbea along the coast of Goa, Maharastra, Gujarat, Karnataka, and Kerala. Irrawaddy dolphins (Orcaella brevirostris) could be best observed in the Chilka lagoon between October and May. The Ganges River dolphin (Platanista gangetica) is seen in Rajasthan, MP, UP, Bihar, and West Bengal.

Case Study 11.1  Alfaguara Project on the Blue Whale (Balaenoptera musculus) The Alfaguara blue whale Project, a key ‘Centro de Conservacion Cetacea’ (CCC) venture, is steered in north-​western Isla de Chiloe, southern Chile. ‘Centro de Conservacion Cetacea’ (CCC) is a Chile-​based, non-​profit making NGO, which dynamically and effectually tasks towards the fortification of types of cetaceans and their marine habitations in Chile and the Southern Hemisphere. Southern Chile’s Isla de Chiloe represents one of the most important global fjord systems. Its northern extremes are regarded as areas of rich biodiversity and comprise the utmost significant nourishing places in the Southern Hemisphere for blue whales. Marine otter (Lutra felina), endangered, occurs here in maximum density. Chile, besides harboring the chief group of sea lions (Otaria flavescens), also is a collective breeding spot for Humboldt penguins (Spheniscus humboldti) and Magellanic penguins (Spheniscus magellanicus) at Islotes de Punihuil Natural Monument. Humpback whales (Megaptera novaeangliae), Sei whales (Balaenoptera borealis), Southern right whales (Eubalaena australis), Fin whales (Balaenoptera physalus), and Peale’s dolphins (Lagenorhynchus australis) are unscrupulously observed from January to May.

397

Negotiations for Protection of Biological Diversity Blue whales (Balaenoptera musculus) are just colossal, most of which range between 24 meters to 50 meters in length, with a gargantuan 33.5 meters length being the largest ever recorded. Females exceed the male by more than 10 meters in length. The weight of the blue whales can be up to 200 tons in comparison to an adult African elephant, which weighs around 6 tons. These blue whales, the loudest animals on earth recorded, make calls that are louder (reach 188 dB) than that of the sound of a jet engine (reach 140 dB). The blue whales possess a black-​colored row of 300 to 400 baleen plates on either side of the mouth. Their size varies from 50 cm in the front to up to 100 cm at the back in length. Globally, these blue whales turned into the chief objective for whale hunts in the twentieth century. In 1908, the first marketable whale catch happened in the San Carlos, Corral. Around three thousand blue whales were hunted between 1926 to 1971. Out of these, six hundred seventy was taken in the decade of the 1960s. Two types of whales, namely Antarctic blue whales or pygmy blue whales, are found in the Chilean waters. In the past twenty years, the important and subtle environment was experiencing threats due to oceanic pollution, habitat degradation, shore development activities, rigorous commercial fishing, and commercial salmon fishing along with the rising growth of marine traffic. Alfaguara project intends to warrant safeguarding the blue whales, particularly for a long period, to promote liable progress of community base oceanic ecotourism along with effectual preservation of marine and coastline ecosystems in the north-​western Isla de Chiloe. After 7 years of endeavor, the Alfaguara Project was able to provide scientific findings making the blue whale one prominent population in the southern hemisphere, with 365 individuals being spotted through photo identification from 2004 to 2010. Exceptional Protocols were implemented for the responsible viewing of marine animals. The skinny blue whales and their skin lesions have been well documented. The photo-​identification directory of the utmost significant blue whale concentration in the southern hemisphere was also created. A global cooperative blue whale directory was generated, and so are the steps to evade crashes with the large vessels are proceeding. Blue whale safeguarding is a long-​standing effort that is necessary to be addressed intrinsically from an ecosystem management approach and concerning coastline groups on the preservation practice. Suitable managing of hominid actions in terrestrial and suitable coastline ecosystems preservation is necessary. The Alfaguara Project is a long-​standing scheme that shall endure to observe wild animals and employ policies for ensuring the acceptance of solid conservation guidelines in terms of blue whales, their habitat, and the local population.

Case Study 11.2  Whaling Practices in Antarctica On the 31 May 2010, Australia filed actions and sued Japan in the ‘International Court of Justice’ claiming that Japan’s second phase of ‘Japanese Whale Research Program under Special Permit in the Antarctic’ (JARPA II) whaling action intrudes upon ‘obligations assumed by Japan under the International Convention for the Regulation of Whaling (‘ICRW’), as well as its other international obligations for the preservation of marine mammals and the marine environment.’

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Concurrent with the onset of the suspension, Japan introduced the JARPA program in 1987/​ 88 with authorization the taking of four hundred minke whales annually by the ‘Institute of Cetacean Research’ through the issuance of an exceptional license under Article VIII. In 1987 the purposes of JARPA could be summarized as (i) assessment of living (demographic) constraints for improving the stock management of the minke whales in the Southern Hemisphere and (ii) illumination on the roles which the whales play in the Antarctic maritime ecosystem. 1995–​1997 marked the incorporation of two more targets: (iii) clarification of how the Cetacea was impacted by changes in the environment and (iv) revelation of the existing stock arrangement of the minke whales of the Southern Hemisphere for improving stock management. An appraisal of JARPA initiated in 2005 ended in 2006 was thereafter taken up by JARPA II that was proposed in January and started thereof in November. Japan went for the issuance of the license to make an annual catch up to eight hundred fifty minke whales, fifty fin whales, and fifty humpback whales, respectively. The goals of JARPA was somewhat overlapping with that of JARPA II, i.e., surveillance of the ecological system of Antarctica, the formation of the impending objectives by the demonstration of the competition of the whale species, clarification of the changes of whale stock in time and space, and refining management practices for minke whales. Both the programs comprised an amalgamation of observation and management, but JARPA II was not time-​bound, unlike JARPA. According to the Government of Australia, Japan had hunted over 10,000 whales ever since IWC had put a moratorium that was enforced in 1986. Every year, the whale convoy tried to hunt about nine hundred thirty-​five minke whales and fifty fin whales in the Southern Ocean despite objections from the conservation groups and declaration of that region as a Sanctuary. After putting a diplomatic effort and failing to convince Japan to discontinue whaling for almost 25 years, Australia initiated a lawsuit in the International Court of Justice in May 2010. The Court was requested by Australia to instruct Japan for (i) terminating the JARPA II program; (ii) canceling any licenses and permits that allow actions focused on such request; and (iii) providing declarations and warranties for no additional activities under JARPA II or analogous activities till those programs conform international legislation. International Court of Justice (ICJ) came out with a verdict on 31 March 2014, and directed Japan to stop its ongoing whale hunting program in the Southern Ocean. This pronouncement would keep Japan’s whaling program in the northern Pacific unaffected and also does not exclude Japan from all whale hunting in the days to come provided it keeps up following the provision of ICRW. Not only that, the other two countries, Norway and Iceland, engaged in whale hunting programs, Parties to ICRW otherwise, and would also remain unaffected by this decision, hence unbounded from the ban on all whaling operations that it enforces. Three of the ICRW provisions were dishonored by Japan by leading large-​scale whaling operations in its second part of the ‘Japanese Whale Research Program under Special Permit in the Antarctic (JARPA II).’ –​suspension on entire whaling for a commercial purpose. –​suspension on the usage of factory ships for processing whales; and –​ban on whale hunting in the Southern Ocean Sanctuary.

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The International Court of Justice findings indicated Japan to conform with all technical necessities needed for appraisal of licenses by the IWC as per the Schedule of ICRW which calls for Japan to cancel all existing sanctions and permissions to kill whales, to stop treating the whales as per JARPA II and abstain from further granting of licenses in an attempt to pursue JARPA II. The court expected Japan to consider the reasoning and inferences included in the verdict when it would move to evaluate the chances of allotting any permits in the coming days. The verdict of the court was based on the understanding of ICRW: Japan’s whale program lacking any scientific virtue, particularly the failure to justify the deadly sampling on such a large scale and received a lot of criticisms. The court opined not to deliberate on the various international legal theories applicable to the environment and wildlife as forwarded by Australia and New Zealand as an intervener and also not to deliberate on Japan’s query on the scientific basis of the embargo on whaling. The ICRW established the IWC comprising 88 Parties along with a Scientific Committee. With the amendment, the IWC had fixed the catch limits on both commercial and indigenous whale operations, might be a zero catch, and also deals with various facets of research and whaling operations. Parties not agreeing with the amendment are not found to oblige. All three nations, Australia, New Zealand, and Japan are Parties to the Convention. IWC implemented zero catch in 1982 except for indigenous whaling and scientific whaling under extraordinary license under Article 8 of ICRW. IWC later banned all types of whaling and use of factory ships in the Southern Ocean after declaring it as a Sanctuary in 1994. Japan opposed the declaration of Southern Ocean whale sanctuary as well as the suspension on killing minke whales. Japan claimed that two of its whaling operations: JARPA II and the North Pacific Ocean both were justified and fall under a special permit for scientific whaling. Japan hunts 450 minke whales and accomplishes almost 50% of the target of eight fifty along with fifty fin whales and fifty humpback whales on an average. Japan’s whaling problem can only be solved through dialogues and conciliations and not in court. There is an immediate want for innovative regulations that can restrict as well as keep an eye on whaling; suggestions for regulations for the commercial purpose might be able to control and evade commercial whaling. Though Japan’s last official commercial whale operation was in 1986, it continued so under the brand of scientific discourse. Subsequently, with Japan’s withdrawal from the International Whaling Commission, it remains unbounded by the rules.

11.2.2  Convention on Wetlands of International Importance, Especially as Waterfowl Habitat, Ramsar, 1971 or Ramsar Convention The best option to drain the waste is the wetlands –​such is the belief and practice of mankind for centuries of years, and the most obvious use of this place is agriculture. Such continued practice has gone too far in the industrialized countries leading to the disappearance of the wetlands there with serious outcomes, such as loss of groundwater reserves, flash floods, destruction and damage to coastal areas, the disappearance of flora and fauna, accumulation of pollutants, and the like. All of them have catastrophic impacts on ecosystem balance (see Figure B XI-​11.2.2-​1). Slowly the effect dispersed in the developing countries as well. The first call to conserve waterfowl and fish came from developed nations. Several wetlands 400

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Figure B XI-​11.2.2-​1 Wetlands and ecosystem services.

cross the political boundaries and derive water supply from the neighboring States. Fishes spawn in one country, and the adults are harvested in another country. Aquatic fowls migrate thousands and thousands of kilometers away from boundaries for resting, feeding, and breeding. Challenging nature’s biological clock puts a challenge on us. International actions became the conceivable option. The Ramsar Convention, 1971, stands as an inter-​governmental accord which was tasked with the ‘conservation and wise use of all wetlands through local, regional and national actions and international cooperation, as a contribution towards achieving sustainable development throughout the world.’ This resolution was approved on 2 February 1971. It was enforced in the year 1975 after the consent of the 7 Party, Greece. It now has Contracting Parties from all regions throughout the world. As of January 2016, it has 169 Parties to it. Though the keynote remains the inevitability for sustainable usage of wetlands, the ‘flagship’ to this Agreement is the ‘List of Wetlands of International Importance’ or the Ramsar list with 2,341 wetlands with an area of 252 479 417 ha nominated as ‘Ramsar wetlands of international significance with the outlook of persuading the objectives as of the 21 of February 2019 (for details refer www.ram​sar.org/​sites/​defa​ult/​files/​docume​nts/​libr​ary/​sitel​ist.pdf). UNESCO serves as the depository for this Convention but is not a part of the United Nations and United Nations Educational Scientific and Cultural Organization system of environmental accords. Ramsar Convention Secretariat is located in the IUCN headquarters at Gland, Switzerland, and the staff members of the Secretariat are considered as IUCN employees. A wetland is usually a region where the environment, along with its flora and fauna, is regulated primarily by water, generally found where the water table is at or close to the land surface or the land is filled with water. In Article 1, the resolution defines a wetland as ‘areas of marsh, fen, peatland or water, whether natural or artificial, permanent or temporary, with water that is static or flowing, fresh, brackish or salt, including areas

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of marine water the depth of which at low tide does not exceed six meters.’ It also upholds the ecological importance of waterfowl. The wetland services are the outcome of interactions and processes between the principal components of the wetland ecosystem (see Figure B XI-​11.2.2-​2). The primary production of a wetland gives a measure of ecosystem metabolism. The gross primary productivity is quantified by the carbon fixed in the act of photosynthesis. The difference between the gross primary productivity and the energy lost during respiration gives the net primary productivity. Information on the primary production is the key to understanding ecosystem services (see Table B XI-​11.2.2-​ 3). Such regions hold immense significance for the ecological processes and ecosystem homeostasis, and the accord broadly aims to cut down the loss of wetlands along with warranting conservation. Article 2 of the Convention needs the Parties to choose appropriate wetlands inside its jurisdiction with the purpose to include in a ‘List of Wetlands of International Importance’ recognized under Article 8. The basis of such selection shall be based on ecology, zoology, botany, hydrology, limnology, and so forth. Every Party shall be nominating a minimum of 1 wetland to be incorporated in the Ramsar List while putting signature or ratifying. As per Article 3, the Parties are obligated to plan and implement such plans for conserving the enumerated wetlands along with their prudent use. The Article provides the right to information at the earliest regarding any alteration in the ecological characters of the wetland within its jurisdiction that might happen due to any anthropological activities. Article 4 of the Agreement needs the member Parties to establish nature reserves on wetlands for the promotion of the conservation of wetlands and waterfowls, irrespective of its inclusion in the list, and also to engage and encourage research, education, and reciprocation of data and publications along with the promotion of training. Under Article 5, the Contracting Parties are open to any consultations among themselves regarding the operation of the Agreement, particularly concerning transboundary wetlands. Under Article 6, the Parties shall be convening conferences on a need-​based approach to discussing

Figure B XI-​11.2.2-​2 Flow of components, processes, and services in the wetland ecosystem.

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implementation, any additions and alterations, any change in wetland characteristics, any suggestions to the Parties, and report preparations. Article 7 mentions that the representatives of the Parties at such conferences should be experts in the relevant field with wide experience. According to Article 8, the IUCN shoulders the responsibility to continue bureau duties. The subsequent articles include guidelines for signature, ratification, and withdrawal. The Convention recognizes five types of wetlands in addition to artificial wetlands such as a fish pond, farming pond, irrigated land, salt pans, excavations, karst, dams, barrages and reservoirs, canals, and wastewater treatment ponds. i ii. iii. iv. v.

Marine including shoreline lagoons, rocky shore, kelp beds, offshore islands, coral reefs, and seagrass beds Lacustrine Riverine with rivers and streams Estuarine with delta, mangroves, tidal marshy areas, mudflats, Palustrine comprising bogs, swamps, and marshes

These are the international system lying across two or more State boundaries or a portion of river basins. According to UNEP-​WCMC, approximately 570 million ha of Earth’s land area or 6% is covered under wetlands stretching from the Tundra to the Tropics. (For details refer to www.ram​sar.org/​sites/​defa​ult/​files/​docume​nts/​libr​ary/​list​_​of_​tran​sbou​ndar​y_​si​tes.pdf) Ramsar Convention operates in close association with Birdlife International, UNEP, International Water Management Institute (IWMI), Wetlands International, WWF, WCMC, Wildfowl and Wetlands Trust (WWT), UNESCO-​ MAB, and the UNESCO Institute for Water Education (UNESCO-​IHE), Global Terrestrial Observing System (GTOS), European Space Agency, UN-​ FAO, WHO, World Tourism Organization (UNWTO), BIOTRADE Initiative of UNCTAD. It is in synergy with other biodiversity-​related Conventions such as CBD, the Convention on Conservation of Migratory Species of Wild Animals (CMS) or Bonn Convention, UNESCO World Heritage Convention (concerned to protect the cultural and natural heritage sites of the world), Convention on the protection and sustainable development of the Carpathians (to foster protection and sustainable development of the Carpathians through the pursuance of a comprehensive policy, 2006, Lake Chad Basin Commission, Nile Basin Authority, Zambezi Water Course Commission, and so forth. CMS is a global agreement that aims for the conservation of the migratory species in their range of migration. The Contracting Parties are dedicated to working for achieving the 3 pillars of this Agreement. - Guaranteeing the conservation and prudent usage of wetlands, - Inclusion of the sensible utilization of total wetlands in environment planning at the national level as much as conceivable, and - Consultation with other Parties, particularly regarding the transboundary wetlands, joint water systems, and common species about the execution of the Convention. The ‘Montreux Record’ It is a catalog of wetland locations of global significance, which is experiencing or is such as to experience a transformation of ecological characteristics as a result of anthropogenic

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interference. It was started to be the recommendation of the Conference of Contracting Parties in 1990 and the resolution of 1993. The purpose is to recognize the priority sites for drawing optimistic national as well as international responsiveness. As of 2013, there were 48 Ramsar sites enlisted in the Montreux Record (see Table B XI-​11.2.2-​1). The Secretariat holds the responsibility for informing the Parties about any changes in the List or alterations in the wetland character as per Article 8.2. Article 5 calls for consultation between States that involve shared water systems and wetlands. Currently, in India, Loktak Lake in Manipur, and Keoladeo Ghana National Park, Rajasthan is on the Montreux Record. Watching the continuing loss of wetlands and their degradation, the one thing that recurs in our mind is the effectiveness of this Agreement. It is worth mentioning that the Ramsar Convention received worldwide approval and acceptance, after the UNFCCC and the CBD. In this Convention, the respective Parties are accountable for the enactment of the obligations. Though binding, there is a lack of enforcement mechanisms. Not all countries report their progress timely to the Secretariat, and many of the governments of the Contracting Parties make a negligible allocation of funds for wetland conservation and management. This may be due to poorly managed financial resources. The Parties often lack experts and scientists in the fields. Often severe disasters take the progress, if any, into back feet. People in wetlands are typically ignorant and unaware of the significance of wetlands. The conservationists often face a hard-​core challenge from both the government and private sects that turn out to be powerful opponents in the age of development. The Convention needs to address more monitoring and assessment. To address the wetlands issue, the underlined causes of degradation need to be dealt with first, and this may point towards the quality of governance in the countries, a fact which many Parties could avoid. Ramsar Wetlands draw international importance whether inland, marine, coastal, or manmade while the Montreux Record is a subset within the Ramsar list; a comparison is given in Table B XI-​11.2.2-​2 for better understanding. As of 2018, Asia comprises 32% of the global area under wetlands followed by North America at 27%, South America and the Caribbean at 16%, Europe at 13%, Africa at 10%, and Oceania at 3% (see Figure B XI-​11.2.2-​3). Wetlands represent ecosystems exhibiting the highest rate of decline and degradation. Around 35% of wetlands disappeared since 1970 as per the Global Wetlands Outlook 2018 due to conversion in croplands, urbanization, pollution, over-​drafting of water, and other factors. Wetlands are crucial to mankind and nature, with their intrinsic value worth trillions of US dollars per year They are critical for meeting the SDGs especially connected with the eradication of poverty, achieving food security, maintaining good health and well-​being, gender equality, water and improved sanitation, supplying affordable clean energy, innovation and infrastructural development, building resilient cities and communities, protecting marine resources. Conserving biodiversity, mitigating and adapting to climate change to mention a few (see Figure B XI-​11.2.2-​4).

11.2.2.1  The Indian Context India implemented the Ramsar Convention on the 1 of February 1982. India has varied topography and geographical regimes. The wetlands are distributed in various parts of India, ranging from the Himalayas to Kanyakumari in the south. The first scientific mapping was done by the Space Applications Centre (SAC), Ahmedabad, in 1992–​1993 by using satellite data. Based on the Ramsar Convention, the wetlands were estimated to cover 7.6 million

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Negotiations for Protection of Biological Diversity Table B XI-​11.2.2-​1 Ramsar sites in the Montreux record

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48

Country

Ramsar sites

Argentina Austria Belgium Belgium Bulgaria Bulgaria Chile Costa Rica Croatia Czech Republic Czech Republic Czech Republic Czech Republic Congo Denmark Denmark Egypt Egypt Greece Greece Greece Greece Greece Greece Guatemala India India Iran Iran Iran Iran Iran Iran Iraq Jordan Nicaragua Senegal South Africa South Africa Spain Spain Tunisia Uganda UK UK USA Greece

Laguna de Llancanelo Donau March Auen De Ijzerbroeken te Diksmuide en Lo-​Renige Schorren van de Beneden Schelde Durankulak Lake Srebarma Carlos Anwandter Santuary Palo Verde Kopacki Rit Litovelske Pomoravi Nokrady dolnihoPodyji Poodri Trebonnska rybniky Parc national des Mangroves Rinkobing Fjord Wattenmeer, Ostfriesisches Wattenmeer & Dollart Lake Bardawil Lake Burullus Axios, Loudias, Aliakmon delta Kotychi lagoons Lake Vistonis Lake Volvi & Koronia Messolonghi lagoons Nestos delta & adjoining lagoons Laguna del Tigre Keoladeo Loktak Lake Anzali Mordab (Talab) complex Hamin-​e-​Puzak, south end Neyriz lakes & Kamjan marshes Shadegan marshes & mudflats of Khor-​al Amaya & Khor Musa Shurgol, Yadegarlu & Dorgeh Sangeh Lakes Hamun-​e-​Saberi & Hamin-​e-​Helmand Hawizeh Marsh Azraq Oasis Sistema de Humedales de la Bahia de Bluefields Bassin du Ndiadel Blesboksppruit Orange River Mouth Donana Las Tablas de Daimiel Ichkeul Lake George The Dee Estuary Ouse Washes Everglades Amvrakikos gulf

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Negotiations for Protection of Biological Diversity Table B XI-​11.2.2-​2 Difference between Wetlands, Ramsar List and Wetlands in Montreux Record Wetlands

Ramsar Sites

Wetlands in Montreux record

Concept

Wetlands are ‘areas of marsh, fen, peatland or water, whether natural or artificial, permanent or temporary, with water that is static or flowing, fresh, brackish or salt, including areas of marine water the depth of which at low tide does not exceed six metres.’

Those Ramsar wetlands have undergone or are undergoing ecological changes due to technological developments, pollution, or other forms of anthropogenic interference. Chief means under the Ramsar Convention for identifying wetlands sites on a priority basis.

Area

According to UNEP-​WCMC, 570 million hectares approximately six percent of the global land surface comprises: two percent lakes thirty percent bogland twenty-​two percent fens twenty percent swamp fifteen percent floodplain

Comprise of wetlands that are internationally significant in terms of conservation of biodiversity along with sustaining human lives. Collaborate on transboundary wetlands, joint wetland systems, and shared species on a global scale. An area of 256,786,140 hectares (as of September 2023)

2,492 wetlands

48

Number

245 million hectares

Figure B XI-​11.2.2-​3 Distribution of wetland area in percentage after Davidson et al. 2018.

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Negotiations for Protection of Biological Diversity Table B XI-​11.2.2-​3 Primary productivity in different types of wetland ecosystems Serial number

Types of wetland ecosystem

Net primary productivity (gm dry weight/​m2/​year

1 2 3 4 5 6

Freshwater marshes Mangroves Salt marshes Tidal freshwater marshes Forested Northern Peatlands Non-​forested Northern Peatlands

900–​5500 1270–​5400 130–​3700 780–​2300 260–​2000 100–​2000

Source: After Cronk and Fennessy 2001.

Figure B XI-​11.2.2-​4 Relationship between the wetlands and the SDGs.

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hectares, excluding paddy fields, rivers, canals, and irrigation channels. The SAC prepared the National Wetland Atlas 2011. A total of 2,01,503 wetlands were identified along with additional 555 557 wetlands less than 2.25 ha in size. GIS application has further given an estimate of 7,57,060 wetlands with an overall expanse of 15.26 million ha occupying nearly 4.63% of the geographical area. Inland wetlands account for 69%, coastal wetlands 27%, and others for 4%. There is no specific law for the conservation of wetlands. But wetland protection is governed by several other legislation such as the Indian Fisheries Act 1857, Indian Forests Act 1927, Wildlife Protection Act 1972and its amendment 1991, Water Act 1974, Territorial Water, Continental Shelf, Exclusive Economic Zone and Other Marine Zones Act 1976, Water Cess Act 1977, Maritime Zone of India Act 1980, Forest Conservation Act 1980, Coastal Regulation Zone Notification 1991, Biodiversity Act 2002 and Scheduled Tribes and Other Traditional Forest Dwellers Act 2006. Policy measures are practically non-​existent. The conservation effort is initially influenced by the obligations of the Ramsar Convention supported by National Conservation Strategy and Policy Statement on Environment and Development 1992, National Policy and Macro level Action Strategy on Biodiversity 1999, National Water Policy 2002, National Environmental Policy 2006, National Biodiversity Action Plan, Forest Policies, and so forth. Based on the recommendations by the National Forest Commission, the National Environmental Policy 2006 formulated the Wetland (Conservation and Management) Rules 2010 under the Environmental Protection Act 1986. The Central Wetlands Regulatory Authority (CWRA) was constituted along with the Expert Group on Wetlands (EGOW). The Wetland (Conservation and Management) Rules 2017 replaced the earlier Wetland (Conservation and Management) Rules 2010. Out of 22 types of wetlands, India has 17 of them. The scientific analysis says that nearly 47% of Indian flora and fauna are dependent on wetlands. As per the 2010 Wetlands Rules, industrialization, construction activities, and waste dumping activities are regarded as harmful for wetlands. The rules shall apply to the Ramsar sites as well as those wetlands notified by the Central Government, State Government, and the Union Territory Administration. In the 2017 Rules, artificial water bodies such as tanks and salt pans were removed from the scope of wetlands. Management and conservation shall be practiced as determined by the Wetlands Authority as ‘wise use’. Any conversion to non-​ wetland usage, establishing industries and further expansion of existing ones, any dumping of solid wastes or discharge or effluents from industries and municipalities, poaching are prohibited as per the Rules. The rules prohibit any manufacturing, handling, storage, and disposal under the Construction and Demolition Waste Management Rules 2016, harmful materials under Manufacture, Storage and Import of Hazardous Chemical Rules 1989, Rules for Manufacture, Use, Import, Export and Storage of Hazardous Micro-​organisms Genetically engineered organisms or cells 1989, Hazardous Wastes (Management, Handling and Transboundary Movement) Rules 2008 and E-​Wastes Rules, 2016. In terms of wise use, take, for example, the Keoladeo National Park, which shows certain contradictions between the wise use of wetland and strict protection within a National Park under the Wildlife Protection Act 1972. The Bombay Natural History Society (BNHS) scientists pointed out the need for controlled grazing to regulate the profuse growth of aquatic macrophytes in the wetland. So, assigning a Protected Area status and declaring the region under International Convention does not ensure wise use but confusion and contradictions. Experience from this National Park shows that creating a physical or emotional wall to distance the villagers living in the neighboring areas led to the quick degradation of the wetland. 408

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Currently, India has a total of 37 Ramsar sites that covers an area of 1067939 hectares. The Wetlands in India of international significance are Ashtamudi (Kerala), Beas Conservation Reserve (Punjab), Bhitarkanika mangroves (Orissa), Bhoj Wetlands (MP), Chandra Taal (HP), Chilka Lake (Orissa), Deepor Beel (Assam), East Kolkata Wetlands (West Bengal), Harike Wetlands (Punjab), Hokera Wetlands (J&K), Kanjli Wetland (Punjab), Keoladeo National Park (Rajasthan), Keshopur-​Miani Community Reserve (Punjab), Kolleru Lake (AP), Loktak Lake (Manipur), Nalsarovar Bird Sanctuary (Gujarat), Nandur Madhameshwar (Maharastra), Nangal Wildlife Sanctuary (Punjab), Nawabgunj Bird Sanctuary (UP), Parvati Agra Bird Sanctuary (IP), Point Calimere Wildlife and Bird Sanctuary (Tamil Nadu), Pong Dam Lake (Himachal Pradesh), Renuka Lake (HP), Ropar Werland (Punjab), Rudrasagar Lake (Tripura), Samaspur Bird Sancruary (UP), Saman Bird Sanctuary (UP), Sambhar Lake (Rajasthan), Sandi Bird Sanctuary (UP), Sarsai Nawar Jheel (UP), Sasthankotta Lake (Kerala), Surinsar-​Mansar Lakes (J&K), Tsomoriri (J&K), Upper Ganga River (UP), Vembanad Kol Wetland(Kerala), Wular Lake (J&K) and Sunderbans Wetland (West Bengal).

Case Study 11.3  The Significance of Wetlands in Building Urban Resilience The efforts are to transform cities into benign and more flourishing environments for tomorrow. Fast urbanization, rising population, and degradation of land are raising the challenges for the cities; the need for finding adequate solutions for sustainable city development is imminent. For ages, the development mostly takes place along the riverside and shoreline areas; the quick losses of treasured wetland ecosystems turn our cities progressively susceptible to the bearings of extreme weather actions and climate change. With an increasing swing in the direction of implementing blue-​green infrastructures in cities, the achievement of more resilient and sustainable city expansion in the future must be transformed into a reality. As ecological systems –​such as floodplains, marshes, mangroves, and seagrass –​are ruined, the neighboring cities and areas become gradually predisposed to weather extremities and confronted by environmental stressors such as water shortages, urban heat waves, subsiding lands, and droughts. Wetlands are crucial buffers against most climatic odds. On the sea-​facing side, the shorelines are fortified from the sea forces by the coral reefs, the sandbanks, and the barrier islands. The mangroves, the seagrasses, and the salt marshes, on the other hand, accumulate sediments; together with organic matter, they form soil in the intertidal zone. This, in turn, helps to lessen the impacts of the rise in sea level. Dense vegetation growth in this region helps to minimize damage due to wave actions, decreases soil erosion, and in several cases, diminishes the impacts of storm surges. It is to build and blend with the environment that gives significant opportunities in re-​ integrating ecosystems as crucial climatic buffers while making designs and plans for urban areas. • Protection from natural hazards: wetland defends from various types of life-​threatening weather actions such as deluges, storm surges, erosion, and heat waves. • Management of water: it is a known fact that inland, rivers, and their neighboring flood plains, marshy lands help in storing vast amounts of water and recharging the aquifers. Such water holding reduces the risk of dangerous floods, landslides, and subsidence, and buffers drought in the dry periods.

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• Adaptation to Climate change and Mitigation: wetlands offer long-​standing solutions to the problem of climate change and its adaptation and can act as storage of exceedingly great quantity of carbon releases. • Inhabitants assignation: while wetland ecosystems are integrated with urban environments, it crafts habitable milieus for people along with refreshment and recoupling with the wild. • Profitable undertakings: Together with ecotourism, the wetlands are prized for biological diversity and sustenance of fisheries. Conserving the wetlands and integrating with the urban planning and development should be coupled with other activities such as constructing water infrastructure, roadways, and lanes, houses, industries to make habitable and sustainable cities that can show resilience to cope with the climate change phenomenon. Making wetland conservation and rest an integral part of urban development, alongside other measures such as the construction of water infrastructure, roads, housing, and industry, creates livable and sustainable cities which shows resiliency in the aspect of climate change. There were several past experiences in both industrialized and unindustrialized nations that exhibit that eco-​friendly construction wonderfully blends with nature. But it is high time to team public-​private partnerships that would be innovative, sustainable and make sure that the approach becomes fully engrained in urban development trajectories.

Case Study 11.4  The Corredor Azul Program in Brazil Corredor Azul, a program launched on 9 August 2018, is a ten-​year program headed by Wetlands International. The program is on the idea that exclusive biological diversity and the welfare of millions of individuals inhabiting along the Corredor Azul are preserved by a vigorous and well-​linked system of wetland. The project was expected to cover 1 million ha of wetlands under sustainable management and to guide the yield of 3,00 thousand ha under the best production services to avert further degradation and loss of wetlands. Corredor Azul is the 4th largest wetland system of the world stretching 3400 km in length, the soul of which is the Parana River and Paraguay River. The primary focus was on the Pantanal in Brazil, and the Ibera Marshes and Parana delta in Argentina. The natural and scenic beauty, its unique river system, water habitat systems, natural functioning are key to the resilience of this place. It governs the life of nearly 128 million people in South America, and so the health of this wetland is extremely vital. Taming the rivers through dam construction will surely affect the freshwater supply and food in the rural and urban expanses. Dams, along with the increased risk of catastrophic floods, will affect not only the people but also their property. Contrary to looking for short-​term socio-​economic gains that could only bring severe degradation of biological diversity and environmental insecurity, this program acts as an empowering process that brings forth the real values and wise use of natural resources through participatory approaches.

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Case Study 11.5  Community Based Conservation and Restoration of Wetlands in Nigeria’s Niger River Delta Nigeria is gifted with both freshwater and saline wetlands Adiami-​Nguru, Yobe, Batiriya, Komduge, Hydejia and Kirikasama, Lake Chad, Niger Delta, Cross River, and the like. The freshwater wetlands are the gifted River Imo, River Ogun-​Osun, Cross River, Niger Delta, River Benue, as well as Lake Chad and Niger Delta. On the other hand, notable coastal saline wetlands are Qua Iboec river estuary, Cross River estuary, and the like. Apart from that, it is the eighth larger exporter of oil in the world. Well known for species diversity and fossil fuel (mainly, oil and gas) resources, the Niger delta stands out as the biggest wetland in Nigeria, ranking the third largest mangrove forest globally. It is positioned on the Atlantic coastline of southern Nigeria. It emerges as an important site with a high prospect of ecotourism and habitat to approximately 30 million people. Nearly 60% of the local dwellers are provided with services from this place. The total area of the wetland is nearly 70000 sq. Km, of which the delta expanse 20,000 sq. Km formed essentially by deposition of sediments transported from Benue and Niger River. The Niger Delta area comprises Ondo, Edo, Delta, Imo, Bayelsa, Abia, Akwalbom, Cross River, and Rivers. Half of the area forms the freshwater swamp, and the Delta mangrove swamp expanses nearly 1900 sq. Km. The Niger Delta system consists of diverse types of ecological zones such as the seasonal rain forest, freshwater swamp, saline mangroves, and sandy coastal ridge. The region is characterized by a very high concentration of biological diversity with a variety of flora and fauna, cultivable crops, timber yielding trees, and a wide variety of freshwater fishes. Six mangrove species constitute a major part of the forest such as Rhizophora racemosa, Rhizophora harrisonii, Rhizophora mangle, and species belonging to Family Avicenniaceae and Combretaceae. Plants such as Musanga cecropioides, Vitex grandifolia, Alstonia boonei, Alchornea cordifolia are reported to have antimicrobial properties. The wetland ecosystem plays an imperative part in climate change owing to its blue carbon sequestration potential. Niger Delta is also a biodiversity hotspot with high species richness, species endemism, and threat. To name a few, endemic species are Sclater’s guenon (Cercopithecus sclateri), Nigerian white-​throated guenon (Cercopithecus erythrogaster pococki), Nigeria-​ Cameroon chimpanzee (Pan troglodytes), Niger Delta red Colobus monkey (Procolobous epieni) that is CR, Heslop’s pygmy hippopotamus (Hexaprotodon liberiensisheslopi) that has become extinct, and so forth. Several representatives of the genera Silurana, Hylarana, Hoplobatrachus, Chiromantis, Leptopelis, Aubria, Bufo, Conraua, and the like, are reported to inhabit the region. The delta is placed under severe threat on account of the growth of oil and gas resources, laying of pipelines, dredging, and seismic exploration by the companies, deforestation. This has led to an array of environmental and social implications such as pollution, gas flaring, intensive agriculture, inward migration, poverty, overfishing, urbanization, and poorly developed infrastructure. An infestation of alien plant species, mass migration of fishes, water pollution, diminishing wetland area has already been evidenced that have impacted the ecosystem hard and affected the traditional livelihood. For a long time, the revenue generated from oil has never been reinvested in the local communities. People survive under very poor living standards and

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do not have safe access to potable water, education, or medical facilities. People are forced to buy things from outside, which could once be obtained from the wetlands. Despite the ecological significance of the Niger Delta, environment improvement programs have been overlooked and neglected by the oil and gas sector. Maybe this is due to the lack of understanding of the relevance of ecosystem importance to its stakeholders. To experience success and sustainability, awareness to interlink the livelihoods and developments with wetlands should be the aim. To tie a knot and to integrate the livelihoods of native people with ecosystem restoration is the utmost essential. The efficiency of the managing of wetlands is assisted by recognizing the contribution of community wellbeing by the ecological services, by knowing about the temporal and spatial distribution of benefits to stakeholders, and also by their adjustments as a reaction to pressures. The Abobiri, Obia-​yagha, and Opume communities have shifted from their way of managing the wetland environment. They had put an end to the detrimental practices of livelihood and made a shift to eco-​friendly livelihood practices such as farming and rearing of fishes, periwinkle, poultry, and plantation practices. They are adding towards ecosystem restoration through the plantation, clearing waterways clogged by the overgrowth of foreign species, setting up nurseries, and so forth.

Case Study 11.6  Reducing Flood Risk in Panama City through a Wetland System The chances of flood increase manifold in the wet season in Panama, each year, between June to December. Panama, as a nation, ranks first on the Local Disaster Index of Latin America (IDB 2010) with flooding causing 86.9% of the reported economic losses and 34.5% of all mortality (between the years 1990–​2014). The rapid urbanization of Panama City has resulted in most of these risks being concentrated here. Of the 236,006 people living in 75 flood-​prone neighborhoods, 50,932 inhabitants (21.5%) live in the densely populated sub-​ district of Juan Diaz. Since 1990, it has been listed as the country’s most vulnerable area, with adjacent Tocumen and Pacora listed as the fourth and eighth most vulnerable places. The sub-​district of Juan Diaz is a lowland region disjointed from the sea by a large mangrove belt, presently safeguarded as a Ramsar Site of International Importance. A larger river runs through it alongside numerous smaller streams and creeks. Most of them have been encroached upon and channeled into gutters and drainage systems that are poorly maintained and have become urban garbage dumps. Meanwhile, many of the flood plains, wetlands, and neighboring mangroves have been landfilled up to a height of 6 meters. With substantial rainfall, these landfilled areas turn away the water to the adjacent areas of Juan Diaz, where, in the period 1990–​2013, 155 flooding events were recorded, and since 2008 flooding has further intensified. The situation is made worse by upstream urbanization, which has caused deposition of sediments of the streams, rivers, and decreased penetration of the rain waters. Increased surface water runoff and a larger volume of water flowing through rivers and streams with a reduced capacity and nowhere to drain in the lower part of the basin. Additionally, to make

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conditions worse, the area aches from the maintenance of a grave metropolitan drainage system that is further challenged by the disposal of garbage in the canals. One of the key recommendations given to the municipality was to start Water Dialogues. These dialogues would provide a platform to initiate a new process of water management. The main tangible result of this dialogue process was an action plan, which includes (grey and blue green) infrastructural works such as dikes, walls, and wetland reservoirs to reduce the flood risk. To prevent inadequate and unplanned construction in flood risk zones, the action plan details various regulatory adjustments, including municipal agreements, legal tools, and a Risk Zone Map. Importantly, the dialogues restored the trust of affected communities to solve the problem of flooding. Financial support from IDB also allowed the Spanish consultancy IH Cantabria, to design infrastructural works to prevent flooding in the Juan Diaz watershed. Community action to clean existing drainage systems yielded immediate benefits. The heavy rains caused by Hurricane Otto, in November 2016, ended up having a minor impact on the neighborhoods. The Santa Ines neighborhood was the host to a pilot project testing how communities, private developers, and the city government could turn a problem into an opportunity to apply Living with Water principles in the city. At the same time, the Municipality, through a loan granted by the Inter-​ American Development Bank (IDB), will tender the design, build, and maintenance of infrastructural works reducing flood risks, estimated at USD 100 million. An intermediate stakeholder involved ‘intermediate tender design phase’ could significantly reduce tender risks. These require the formation of a consortium with construction companies, urban designers, and social and environmental specialists.

Case Study 11.7  Wastewater Treatment Using Constructed Wetlands Tirana, Albania Albania, an emerging nation, once is presently an intending accession in the European Union (EU), exhibiting marked progress in the sewage sector and water supply. With financial backing extended by BMZ (German Federal Ministry for Economic Cooperation and Development), the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ), and Albanian Ministry of Public Works and Transport (MPWT), the State started a pilot project on wetland ‘Advice on the Decentralization of the Water and Sewerage Sector in Albania.’ This project was initiated to make people aware of a small budget, suitable, decentralized sanitation technology at par with the European Union Standards. The demonstration plant was supposed to be used for drill, demo, study, investigation, and subsequent reproduction in suburban and rural areas of Albania. The wastewater treatment plant and its reuse were launched in 2009 in SOS children’s village in Sauk, a suburban region in the south of Tirana. Around seventy children live permanently with their mothers and aunties. On counting the external visitors, there were roughly

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five hundred people in the village each day. The total amount of wastewater produced by these people was converted to 220 PE (population equivalent) with the flow rate designed at 16.8m3/​ day of household wastewater. The plant covered an area of 1600 square meters. The plant also comprises a vertical flow settling tank’ Dortmund tank’ in combination with another settling tank for pre-​treatments, 2 vertical filter beds for feeding in turn with the help of a pump, and 1 horizontal filter bed. The collection of the discharged effluent was made for reuse purposes. A sludge drying bed was also installed for the treatment of sludge. The plant during operation faced many problems, and thus reconstruction works were carried out in 2010. Site visits and sampling indicate that the plant is working fine presently.

Case Study 11.8  East Kolkata Wetlands as the Lifeline of Kolkata Kolkata’s architecture is unique. It is indeed the miracle of these wetlands that bestows resilience to the city of Kolkata. The wetland lies east of Kolkata, approximately 220 27’ N 880 27’E, it is made up of a huge number of water bodies stretching crosswise North and South 24 Parganas. The area is over 12,500 ha. Supplement to the wetlands, there are 264 sewage-​fed fisheries, cultivated and solid waste farms, several built-​up areas that are true sense is multifunctional. This wetland serves as one of the world’s finest instances of the concept of integrated resource recovery systems along with water recycling utilizing peripheral wetlands around the cities. The city is hardly 5 meters above sea level and is low-​lying. It is aided by two major rivers and bordered by waterways. For the last few years, these wetlands have been under severe threat from the developers encroached by luxury apartments, buildings, houses, and the number is on the rise even when it is protected by law. Of late Kolkata is at risk of increasing sea levels, increased incidence of storms, and cyclones as an effect of climate change. According to the World Bank, a little 20 cm increase in sea level by the year 2050 would make Kolkata the third most susceptible city facing risk to deluging. The wetland systems were initially low-​lying salt marshlands with silt deposits from rivers. It was during the British rule that a Glasgow educated Bengali engineer, designed and constructed gradually arranged channels that transported the city’s wastewater to the Bay of Bengal via these wetlands. So, these wetlands are partly natural and partly anthropogenic. The daily solid waste produced by Kolkata is around 2500 metric tons. The wastes, following their collection, are dumped at selected places in the wetland system. Kolkata never had a treatment plant but never seemed to face such a pollution problem either. It is such a waste that just disappeared. Wastewater comprises 95% water and 5% microorganisms. As the wastewater is transported by long conduits towards the ponds, the effluent was broken by the ultraviolet radiation from the sun. As this nutrient-​rich water is channelized through the ponds, the algae and fishes that live there thrive on these nutrients. Though the fish are sewage-​fed, they are safe. Kolkata’s sewage comprises a low level of heavy metals. In tropical countries, the water treatments for banishing bacteria are usually expensive. But here in Kolkata, the wastewater is cleaned just in 20 days. In traditional water treatment, the blooming algae might

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be problematic. In East Kolkata wetlands, the fishes feed on the algae that are removed by the fishermen. The fish grow so fast that they need no supplementary food. The wetland serves two things that appear to be opposed –​they act as a sewage system and are also a productive aquatic arcade garden. Wastewater is also used in the paddy fields and varieties of vegetables grown on the long, luxuriant banks, appearing low lying hill made up of organic waste. It is this type of waste recycling that makes Kolkata, the most inexpensive city in India to live in. The wetlands yield 10,000 tons of fish annually and nearly 40 to 50% of the green vegetables that are available in the city’s markets. This food is fresh as well as cheap, free from any conveyance expense. And hence the city of Kolkata is subsidized. In the early 20th century, localities started fish farming in this wastewater, and paddy was cultivated in the ponds for rice. Around 15000 metric tons of paddies are produced every year. Thirty thousand people earn their living from the wetlands. Apart from that they also act as a carbon dioxide sink, thus helping the improvement of the air quality and environment. The wetlands serve for absorbing and treating massive bulk of sewage, wastewater along with solid and atmospheric wastes produced by Kolkatans in a most effective, economical, and natural way without spending a penny for it. The wetlands meet the demand for grains, fish, and vegetables considerably. It absorbs the pollutants, thus making the air breathable. The floodwaters and sea waters brought in by the monsoon are absorbed and passed downstream to the creeks. The wetland is a habitat for a large diversity of plants and animals including several endemic species. The biotic component represents an efficient food chain and sustains the micro-​climatic condition of the area, upholding a delicate ecological equilibrium in an environment that is very fragile. It serves as an excellent example of a unique waste of wealth recycling. Above all, it provides a livelihood for thousands and thousands of local people possessing the distinguished skill of growing fish, vegetables, and cereals to keep the stability of this urban fringe. In the nineties, the State Government desired to erect a towering world trade center there. The High Court conveyed a verdict against such desire. It was a long battle fought for getting international recognition for this wetland, which was finally given the Ramsar status in 2002. If Chennai’s experience could be taken as a powerful lesson, East Kolkata wetland certainly is the most indispensable giving free sewage, food defense, and so forth. But the wetland is gradually disappearing owing to urban expansion without any thought of environmental, ecological, and economic benefits. It indeed serves as a lesson that needs to be studied; one requires to connect the science behind the management practices that are evolved by the fishermen themselves. According to Costanza et al. (1997), the worth of the earth’s ecosystem services is seventy-​five percent more valuable than the rivers and lakes, fifteen times more valuable than forests, and sixty-​four times more valuable than grasslands and rangelands.

11.2.3  The World Heritage Convention 1972 The Convention Concerning the Protection of the World Cultural Natural Heritage was approved and accepted at a General UNESCO Conference between 17 October and 21 November 1972 to connect and integrate the notions of nature conservation and the

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preservation of cultural possessions. The principle of the agreement is that the World has several places that have ‘outstanding universal value,’ and so they should be recognized and protected by the global community. The agreement expressed the thought of interdependence of both natural and cultural heritage. It strongly believes that the cultural identities and achievements of different peoples are dependent on their interaction with the surroundings in which they inhabit. Some of the important provisions of this Convention are as follows. As per Article 1, monuments, sculptures, paintings, architectural works, buildings or groups of separate or connected buildings of historical importance, sites of aesthetic, ethnological, or anthropological relevance, habitats of threatened organisms are all regarded as cultural heritage. Article 2 states that geological or physiographical formations, natural features sites with natural beauty or uniqueness, human works are all considered as natural heritage. As per Article 3, the State Parties to this Convention are required to recognize and explain the various properties located in its territory mentioned in Article 1 and Article 2. Article 4 refers to the basic duties of the Parties. The recognition, safeguarding, conservation, and preservation of the heritages located in respective territories, along with handing over to the coming generation, basically lie on each of the State parties. Article 5 ensures the adoption of effective and active measures for fulfilling the objectives of this Convention. This could be done by adopting a general policy for placing the heritage in the community lives and their further integration into different programs; offering protection conservation and preservation of heritage in the areas where such services fail to exist; developing scientific and technical studies to cope with the threats to our heritage; ensuring legislative, scientific, technical, administrative and financial actions for recognizing, protecting and conserving the heritage; fostering the setting up of national and regional centers for training and promote research activities in this field. Article 6 mentions valuing the State sovereignty, which houses the individual cultural and natural heritage, not to prejudice the property rights ensured by the domestic laws but at the same time realizes the importance and cooperation of the global community to protect the world’s natural and cultural heritage. Despite property rights, no State is allowed to take deliberate measures that would put the legacy in jeopardy. Article 7 realizes the creation of international cooperation and assistance mechanisms to back the State Parties for achieving their objectives. Article 8 called for the establishment of the ‘Intergovernmental Committee for the Protection of the World Cultural Natural Heritage of Outstanding Universal Value’ within the UNESCO composed of 15 State Parties to the Convention. However, the number should be increased to 21 subsequently. All the different parts of the world would be equally represented on the committee. The Committee should also comprise a deputed from the ‘International Centre for the Study of the Preservation and Restoration of Cultural Property’ (ICCROM), a deputed from the ‘International Council of Monuments and Sites’ (ICOMOS), and a deputed from the ‘IUCN’ in the capacity of advisors. The ICCROM was established in 1959 solely for the conservation of cultural heritage. The ICOMOS established in 1965 evaluates the cultural properties while the IUCN founded in 1948 gives the technical valuations of the natural properties and mixed properties. Article 9 defines the term of the members that would begin from the end of the General Conference during which they were selected till the termination of the third following ordinary session. Article 10 defines the responsibility of the committee to embrace the rules of procedure. The committee might extend invitations to public or private organizations for consultations.

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As per Article 11, the State Parties are required to give an inventory list of the properties in their jurisdiction of the properties that would be suitable to be included in the natural and cultural heritage. The committee should be publishing up to date the ‘World Heritage List’ based on these submissions. Similarly, the committee should also publish an up to date‘list of World Heritage in Danger’ for which important actions of conservation and assistance are required. The committee also decides on the deletion of properties from the list. Article 12 states that even if the properties are not included in the lists, which does not imply that it has no less outstanding universal value than those which are included. As per Article 13, the committee shall be receiving requests for global help and conduct studies about the properties related to heritage and have the potential to be included. Article 14 provides for the Secretariat to assist the World Heritage Committee. The Secretariat is to be appointed by the Director-​General of UNESCO. The World Heritage Centre set up in 1992 acts as the Secretariat and the focal point within UNESCO. It manages the day-​to-​day activities, organizes technical seminars and conferences, and also organizes the annual meetings of the committee. Article 15 provides for the creation of ‘the World Heritage Fund’ harmonious with the financial regulations o UNESCO. The fund comprises of the compulsory contribution of the State Parties, gifts or contributions of other states, intergovernmental agencies, public or private agencies, and the revenue collected from any organized events, and so on. Article 16 states that the Parties’ contribution is made every two years to the abovementioned fund, A proportion of the contribution is allotted to the Parties, and the amount is fixed by the General Assembly of the State Parties. A Party who becomes a defaulter in making the compulsory contribution for the present year immediately preceding it shall remain ineligible for membership of the World Heritage Committee. Article 17 motes the creation of national and private groups for inviting donations for achieving its aims. Article 18 ensures the State Parties of giving help to the fund-​raising campaigns organized by the World Heritage Fund. Articles 19–​26 mention the conditions and preparations of international aid. Articles 27–​29 mention the educational programs to consolidate the appreciation and reverence for heritage. Articles 30–​38 deal with the final clauses. All the 193 States have ratified this Convention making it one of the most significant and popular international agreements. As of 2020, the list comprises 1121 World Heritage Sites in 167 nations. 869 are cultural heritage sites 213 are natural heritage sites, and 39 places have mixed properties.

11.2.4  The Convention for the Conservation of Antarctic Seals (CCAS) 1972 London As an element of the Antarctic Treaty System, this Agreement is open to accession by the Parties to the Antarctic Treaty only. Antarctic seals have been severely depleted on account of hunting since the 1820s. The first step for conservation in the Antarctic was the ‘Agreed Measures for the Conservation of the Antarctic Fauna and Flora,’ adopted by the Antarctic Treaty Consultative Meeting. The ATCM later drafted the Convention for the Conservation of Antarctic Seals and placed it for signature in 1972 which later was enforced in 1978. The Convention applies to all the seal species in the seas lying south of 60 OS. They are Southern elephant seal (Mirounga leonine), Leopard seal (Hydrurga leptonyx), Weddell seal (Leptonychotes weddelli), Crabeater seal (Lobodon carcinophagus), Ross seal (Ommatophoca rossi), Southern fur seals (Arctocephalus sp.). 417

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The Contracting Parties are in agreement not to slaughter or seize any of the mentioned species within the jurisdiction of the Convention by using their ships carrying their flags except for the permits given in the CCAS. In harmony with the Convention, the Contracting Parties shall approve a licensing system for their citizens and ships. The Contracting Parties are required to approve the specified guidelines that shall also be flexible with any types of amendments for conservation and management of seals concerning their permissible catch, protected species, the open and closed season of sealing, sealing zones, reserves, restrictions connected with sex, age and size of the species, and the like. Special permits regarding seal capture and killing for limited numbers are given for scientific research purposes, cultural or educational purposes, and where it supplies indispensable food to mankind and dogs. The Contracting Parties, abiding by the Convention, shall release licenses allowing restricted capturing or killing of seals for providing nourishment to men and dogs, to promote scientific investigations, and facilitate educational and cultural needs. Between 1 July and 30 June, the Contracting Parties shall be restricting the total number of seal killing or catching as mentioned as permissible catch. The number is 175000 for the Crabeater seals, 12000 for Leopard seals, and 5000 for Weddell seals. Any killing or capturing of Southern elephant seals, Ross seals, and Southern fur seals is prohibited. To maintain a healthy adult breeding stock, any killing and capturing of Weddell seal that is a year old or more between 1 September and 31 January are prohibited. The span between 1 March and 31 August is declared as a closed season while that between 1 September and the last day of February is a sealing season. The Convention also created six sealing zones and announced reserves, which are their breeding regions or places for long-​standing scientific study. (For further details refer to Annexure B XI –​11.2.4)

11.2.5  The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) or Washington Convention, 1973 In the 1960s, there was much discussion about trade in wildlife and their products, along with their impacts on the wildlife populations. CITES was a multilateral environment Covenant conscripted as an outcome of the adoption of a resolution in March 1963 at an assembly of IUCN members (The World Conservation Union). The first draft was formulated in 1964. On 3 March 1973, members from 80 nations agreed to the Convention text in Washington DC, and hence its name the ‘Washington Convention.’ The CITES Secretariat is situated in Geneva, Switzerland. CITES got enforced on 1 July 1975 to guarantee the foundation of international wildlife to be built on sustainable utilization and management of wild and captive populations. The number of Parties by 2019 is 183. CITES is a legally binding agreement in its Member States that provides an outline of conduct that they must comply with by endorsing suitable national laws. Effective enactment depends on collaboration between the government and the successful implementation of national legislation. In recent times, taking internal law and raising it to a global level has been the primary objective of the Convention on International Trade in endangered species of Wild Fauna and Flora and is one of its positive features. CITES is founded on a three-​level permit system to deliver a variable extent of safeguard to the floral and faunal species, and the lists lie in the center of the compliance system of CITES. The Contracting States under CITES acknowledge the aesthetic, scientific, and cultural significance of wild plants and animals as well as their continued decline in numbers and believe that the States are the custodians of their biodiversity, and global participation 418

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is needed to safeguard them and prevent them from overexploitation employing international trade. Article I defines the necessary terms, and Article II outlines the fundamental principles about regulating trade and cataloging of organisms in the 3 lists described below. Every year, global wildlife trading is assessed to value billions of dollars and comprise hundreds of millions of flora and fauna samples. This trading is diversified, varying from living fauna and flora to a huge assortment of wildlife products obtained from them, comprising edible items, outlandish leather possessions, wood-​carved music instruments, lumber, traveler curious, and medicinal products. Some flora and faunal specimens are heavily exploited and traded with. This, along with other factors, results in the loss of habitats that, in turn, depletes the species population, cornering them at the brink of extinction. On the other hand, trade-​in several species of wildlife is not threatening; rather, there should be a mechanism in place to ensure sustainable trade and safeguard these resources for years to come. Such an endeavor requires global participation to protect particular species from being overexploited. The Convention on International Trade in endangered species of Wild Fauna and Flora was comprehended with the essence of such collaboration. Currently, it provides a variable extent of fortification to over 35 thousand species of fauna and flora, if they are transacted as living samples, or as fur coats and desiccated herbs. The Convention on International Trade in endangered species of Wild Fauna and Flora recognizes and registers endangered species. The species registered and identified by CITES falls in 3 Appendices, based on the extent of protection they require. The CITES outline of the listings is known as the Appendices that are annexed to the Convention. Parties can transact in any of the species in these lists, conforming to the articles of the Agreement. Article III specifies the requirements for regulating trade in Appendix I specimens. Any export, import re-​export shall require an earlier issuance of an export license, import permit, or re-​export credential. The Management Authorities and Scientific Authorities of the country, upon satisfaction, deliver such permits and licenses only if the obligations are complied with and are advised that such activities would not be damaging for the species’ survival. Article IV specifies the requirements for regulating trade in Appendix II specimens. Any export of Appendix II species shall require an earlier issuance of an export permit after advice from the Scientific Authority and satisfaction of the Management Authority of the State that the obligations are complied with. Import of any Appendix II specimen involves early presentation of export/​re-​export certificate. Similarly, re-​export entails the prior issuance of a re-​export credential. Article V specifies the requirements for regulating trade in Appendix III specimens. While the export of specimen needs a prior export permit, import in such specimen needs a certificate of origin from the place of import and that the State has included that specimen under Appendix III. Re-​exporting specimen needs a certificate that the processing is carried out in that State. The preliminary basis of cataloging was recognized at COP 1 in 1976 (the Berne Criteria) and later amended at COP 9 in 1994 (the Fort Lauderdale Criteria). There are three levels to the system, Appendices I, II, and III. Crudely 5,800 faunal species and 30,000 floral species receive protection by CITES in contradiction to over-​exploitation routed through transnational trade. The specimens are contained within the 3 Appendix list of CITES. The species were congregated in the Appendix lists the degree of threat they face when subjected to international trade (see Table B XI-​11.2.5-​1). Such listing may comprise some entire 419

Negotiations for Protection of Biological Diversity Table B XI-​11.2.5-​1  Estimated number of species contained within CITES Appendices as of 2 January 2017 Appendix I FAUNA/​ANIMALS Mammalia 318 species (including 13 populations) +​20 subspecies (including 4 populations) Aves 155 species (including 2 populations) +​8 subspecies Reptilis 87 species (including 7 populations) +​5 subspecies Amphibia 24 species Pisces 16 species

Appendix II

Appendix III

513 species (including 17 populations) +​7 subspecies (including 2 populations) 1278 species (including 1 populations) +​4 subspecies 749 species (including 6 populations)

52 species +​11 subspecies

134 species 107 species

27 species

61 species

Invertebrates

69 species +​5 subspecies

2171 species +​ 1subspecies

4 species 24 species (including 15 populations) 22 species +​3 subspecies

TOTAL

669 species +​38 subspecies

4952 species +​12 subspecies

190 species +​14 subspecies

FLORA/​PLANTS

334 species +​4 subspecies

GRAND TOTAL

1003 species +​42 subspecies

29644 species +​ (including 93 populations) 34596 species +​12 subspecies

12 species (including 1 populations) +​1 variety 202 species +​14 subspecies +​1 variety

groups, for instance, the primates, cetaceans (whales, dolphins, and porpoises), sea turtles, parrots, corals, cactus, and orchids, or in certain circumstances only a subspecies or geographical variety of a species (for instance, the species populace of 1 nation only). Appendix I comprises organisms that are jeopardized with extinction. Trading in such individuals of these species is allowable only under extraordinary situations. Appendix I do not permit any commercial trading in these species. (Example of species under Appendix I: tigers, Asian elephants, Himalayan brown bear, elephants, Tibetan antelope, chimpanzees, humpback whales, sun bears, scarlet macaws, sea turtles, Brazilian rosewood, giant tropical pitcher plants, and Asian tropical lady’s slipper orchids. Appendix II comprises the species which aren’t essentially exposed to extermination but necessitate controlled trade to evade their use discordant to their existence. It consists of that list of organisms that may become extinct with uncontrollable trade. Examples of species under Appendix II: Hippopotamus, big-​leaf mahogany, and the gray wolf, American black bears, southern fur seals, Hartmann’s Mountain zebra, toco toucans, green iguanas, Pacific Coast mahogany, triangle palm, and cyclamens. Appendix III contains species that receive protection in a minimum of one country and has requested other Parties to CITES to help in trade controls. Alterations to Appendix 420

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III track a distinctive process from modifications to Appendix I and Appendix II, as every Party is authorized to create unilateral revisions to it. It contains species that a range nation has requested for collaboration from other Parties to assist them in giving improved governance to trade globally in indigenous species. Instances of species enlisted in Appendix III and the nations that have registered them are two-​toed sloths (Costa Rica), African civets (Botswana), African waxbill (Ghana), and bigleaf mahogany (Costa Rica, Brazil, Mexico). (For details refer to https://​cites.org/​sites/​defa​ult/​files/​eng/​app/​ 2019/​E-​App​endi​ces-​2019-​11-​26.pdf) Article VI requires the grant of permits and certificates as per the provisions and format agreed in Appendix IV with identifying stamps of the Management Authority. Any exemptions and special provisions related to trade are given in Article VII. The previous three articles shall not apply to the transportation of specimens across or in the jurisdiction of a Party while it is under the control of the customs, or the specimen is acquired before the enactment of the provisions of the CITES or the specimens that are privately owned or domestic effects. Any captive breeding of Appendix I specimens for commercial purposes shall be considered Appendix II specimens. Article VIII ensures steps to be taken by the Parties in case of violations through enforcing penalties and/​or confiscation of such specimens. A rescue center shall be established for the wellbeing of the living specimens, and the Party is required to keep detailed information about trade concerning the species comprising all the lists and submit the reports biennially or annually to the Secretariat. Article IX provides for the establishment of one or multiple Management Authorities and Scientific Authorities. Every single Party shall be required to propose a national ‘Management Authority’ that will be responsible for the CITES enforcement and oversee the permit system. They shall be guided in turn by single or multiple Scientific Authorities on the influences of business on the position of conservation of a species concerned. Only the Management Authority can represent the Party and can thus grant export and import licenses and also re-​export credentials confirming the requirements of the official listing of the species. Article X requires comparable documentation in matters related to trade with non-​Parties. As per Article XI, the Secretariat should fix the first meeting of the Conference of Parties (COP) within 2 years of the enactment of the CITES. Later on, the Secretariat shall call meetings once in two years. The Parties are at liberty to formulate provisions, suggest amendments, examine the improvement, and so forth. Specialized agencies can participate as observers. Article XII provided for the establishment of a Secretariat with the Executive Director of the UNEP. It arranges the meetings and takes up scientific and technical studies authorized by the COP. In Article XIII, the Secretariat upon receiving information about any species in Appendix I or Appendix II, getting harmed through trading, shall report to the Management Authority of the CITES Party for inquiry. The COP shall then appraise the results of such an inquiry for further recommendations. Article XIV never restricts any Party from taking strict domestic measures in terms of regulating wildlife trade. The obligations provided by CITES in no way prejudice the domestic measures. The contents of the subsequent articles deal with amendments, dispute settlement, signature and ratification requirements, accession, date of entry into force, reservations, withdrawal, and depository details. 421

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CITES is undoubtedly one of the universally accepted agreements. The proponents believed that the Convention has not only remarkably increased the surveillance and regulation of wildlife trade but also contributed to the conservation of many organisms that otherwise could have gone extinct. A positive side of CITES is the steady additions to the listings since it was born. Another factor in the contribution of so-​called success is the application of scientific criteria while considering listings. Implementation of CITES poses the greatest challenge. Some countries have insufficient enforcement mechanisms about some controversial species; some give rise to the complex situation while monitoring, coupled with the least penalties for violation and continued illegal trade. Many countries are yet to implement laws that would cover the main obligations of CITIES such as the creation of management and scientific authority, penalties for violation, a guideline for the confiscation of illegally traded goods. Many countries lack specialized law enforcement officers. Many, if they do exist, ends up in a confrontation with the poachers. Many countries have the absolute least priority for conservation. And in many cases, the government is corrupt. Some States use reservations for availing exemptions from the trade regulation of a particular species. Then that Party for that particular reserved species is treated as a non-​Party and thereafter engages in unrestricted trade with other non-​Parties. Reservations act as loopholes to the effective CITES implementation and cater to the loss of biodiversity. Split-​listing may be an occurrence, and usually, this should be resting on national or regional populaces, rather than subspecies. Split lists may include a few species populations in the Appendices; those who are not placed should not be permissible to trading. The African elephant (Loxodonta africana) is presently split listed, with total inhabitants of Botswana, Namibia, South Africa, and Zimbabwe being enlisted in Appendix II. These republics have used full contention to productively persuade the global public to relax trade sanctions on ivory. All other countries are in Appendix II. One cannot ascribe Africa’s elephants as the ‘national property’ of a particular country. Elephants are continuously mobile and widespread in distribution across the national boundaries of one or more countries. Their role in ecosystem and economy is crucial in Savannah and forest landscapes on local and large scales, demonstrating the necessity for methodologies for conservation that rise above geopolitical boundaries. The ‘Kavango Zambezi Transfrontier Conservation Area (KAZA-​TFCA)’ covers five nations in southern Africa, accommodating 50% of Africa’s elephant population. This landscape spanning 440,000 square kilometers is the biggest residual wilds in Africa, holding the biggest free-​ranging global elephant inhabitants estimating around 216,000 animals. The elephants often wander over a connecting wilderness across the transnational boundaries of Angola (Appendix I), Botswana (Appendix II), a 30 km broad stretch of Namibia (Appendix II), Zambia (Appendix I), and Zimbabwe (Appendix II). Such movement indicates that an elephant roaming in one country in the evening can often be found to occur in another country by the next morning. A sample from the CITES lists can be ‘traded in’ or ‘traded out’ (or re-​exported) from a Party to CITES exclusively if proper documents are furnished. The documents are subjected to approval at the point of entry or exit. There are certain differences in the necessities varying from one to another nation, and it is constantly obligatory to verify with the national legislation that may be stringent. The global wildlife trade except for fisheries) has been projected at the US $5–​50 billion annually. As estimation for the entire CITES-​listed flora fauna and their products stands at the US $20 billion in the global market. Even when 135 commercially significant timber yielding trees are included in the CITES list, their values are worth the US $150 billion. 422

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Many of the CITES applicable trade initiates in range states or producer states where the species are native) mostly in the developing nations of the south and is intended for trade in the developed north such as Japan, the USA, and the EU countries. Some countries such as Australia, China, Indonesia, and South Africa are both producers and consumers. Some species not included in the list are also of substantial concern. Noticeable among these are some commercially valued timber species, whose cataloging has been dynamically battled by timber interest. This overall evasion of commercially valued species exhibits the character of CITES as mostly a conservation-​directed agreement. Though CITES has a tough inclination towards compliance, it lacks enforcement capacity, the capacity to impose penalties. There lies the dilemma. TRAFFIC, jointly founded by WWF and IUCN, officially independent, helps in the enforcement of CITES. Along with the Secretariat, it keeps an eye on and investigates any trading in wildlife with the help of networking offices. WCMC, initially an NGO, operates presently as a semi-​autonomous UNEP unit and maintains the CITES database since its formation. Overall, CITES is viewed as one of the most efficient agreements, eager to progress in all constructive directions. Even if it lacks transparency at times, it provides all the Parties with a platform to express their opinion. The World Wildlife Crime Report, 2020 was based on the UNODC’s database on seizure and that contains just below 180 000 seizures from 149 countries and territories and reporting requirements of CITES illegal trade. CITES is bounded by its limitation. It sets out trading rules for over 36 000 protected species and millions of species are not listed but illegally harvested. CITES regulates illegal international trading and hence cannot exert control on domestic markets and poaching in protected areas that are not transported transboundary. Between 1999 and 2018 almost 6000 species have been seized including reptiles, corals, birds, fishes along with mammals. Between 2009 and 2013, wildlife trade was dominated by rosewood. Rhinoceros horns and pangolins correspond to only 5.5% and 4% of the total respectively. Agar wood also stood at 4 per cent. But between 2014 and2018, rosewood’s dominance went down with a market shift towards new species. Together rhinoceros and pangolins encompass a much bigger share of the total capture than in the earlier period. The principal flow of illegal rosewood harvest is from Africa in the past 4 years. A variety of rosewood namely Pterocarpus erinaceus (kosso) was CITES enlisted since 2017. Nigeria exported around 750 000 cubic m of rosewood in 2017. This comes to around four million trees that required more than 30,000 shipping containers. The substitutes of Pterocarpus erinaceus tree were later exploited when a trade ban was imposed in 2018. The ivory supply witnessed a resurrection around 2007 and increased gradually until around 2011. Its price rose from 2007 in east Africa and Asia and heightened in 2014 but dropped thereafter. Same is the case with rhino horns whose price rose since 2007, peaked in 2015 and then dropped. The simultaneous decline in poaching and in the prices indicates the contraction of the illegal market and supply exceeding demand. All species of pangolins are in the Appendix I list of CITES since 2016. But there is a stark increase in the seizures with time. It also shows a shift from the Asian pangolins towards the African pangolins. Though a seizure from Asia continues, Nigeria and Congo dominate the export with China as the destination and Viet Nam as a conduit. Reptiles are mostly traded for fashion, food, tonics, medicine and pets. Now live specimen trades and seizures exceed the seizures of reptilian skins; tortoises and freshwater turtles exceeding the 423

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list. They are sourced from South, Central and South-​east Asia, East and West Africa. East and South-​East Asia, USA and Europe are their destination. For tigers, the numbers of seizures have increased from 2007 to 2018 with India and Thailand as the primary source followed by Nepal, Bangladesh and Bhutan. The tiger products are mostly sold to the medicinal industries in China. Illegal trading also includes clouded leopard, snow leopard, jaguar, and lion. Another multi-​billion dollar market is of the glass eels in Asia and Europe. The United Nation’s Convention against Transnational Organized Crime (UNTOC) and the United nations Convention against Corruption (UNCAC) Provides with the international legal framework to tackle existing organized crimes, But not many countries implement it. This might be due to a lack of understanding of the crime nature. A strong political will, required to tackle such wildlife trading has led to the London Conference in 2018. Reducing wildlife trafficking is also underlined in the Sustainable Development Agenda, notably 15.7. Despite the failure to follow-​up investigations and seizures, relevant national, regional and international level agencies should record the key facts related to seizures. Such broadcasting of information/​ intelligence may also afford perception to other type of crime and relations to further organized criminal organizations. World Customs Organization’s Customs Enforcement Network database can act as a resource of intelligence for assessment of risk. INTERPOL’s I 24/​7,WCO`s Environet, Wildlife Enforcement Networks (WENs) and a variety of ‘Trade in Wildlife Information eXchange (TWIX)’ networks similar to EU-​TWIX,SADC-​TWIX and Africa-​TWIX, are already in place for sharing information but they remain underutilized.

11.2.5.1  The Indian Context India became a CITES member in 1976 and has a robust legislative ad policy framework to regulate and prohibit wildlife trade. The market dynamics keep on changing, and hence the prevailing regulatory framework falls short for protecting wildlife. Wildlife crimes are getting organized, and since India is one of the world’s most biodiverse nations, it is no exception. In India, the international wildlife trade is under the Wildlife Protection Act 1972, Foreign Trade (Development Regulation) Act 1992, Foreign Trade Policy of the GOI, Customs Act 1962. The WPA 1972 bars more than 1800 flora and fauna from trading. The wildlife trade is regulated and monitored by the international Convention CITES and helped by Wildlife Crime Control Bureau (WCCB), Monitoring the Illegal Killing of Elephants (MIKE), TRAFFIC, ZSI, and the BSI. The Government of India has formed a statutory body called the Wildlife Crime Control Bureau in 2007 by revising the WPA 1972. The Bureau operates under the MoEFCC and assists in the efforts of the state governments and other enforcement agencies. It is multidisciplinary, and the nodal agency for CITES implementation. It functions through 5 offices Delhi, Kolkata, Mumbai, Chennai, and Jabalpur, along with five border units at Ramanathapuram, Gorakhpur, Motihari, Nathula, and Moreh. The WPA 1972 prohibits any harm to the Schedule I species throughout India. Regulated and licensed hunting is permitted for those under Schedule II, Schedule III, and Schedule IV. Hunting is allowed for vermin in Schedule V. Flora of Indian origin counted in the CITES appendix are included in Schedule VI. The faunas in Schedule I and Part II of Schedule II are forbidden from trading. No trade-​in imported ivory, including African elephants, is allowed. Currently, India proposed the protection status of five species at CITES. For Indian 424

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star tortoise, smooth-​coated otter, and small-​clawed otter, Tokay gecko to be upgraded to Appendix I while Indian Rosewood to be removed from Appendix II. The first three were incorporated in Appendix I in 2019. The Foreign Trade (Development Regulation) Act 1992 replaced the Imports and Exports (Control) Act 1947. The central government makes provisions for developing and regulating foreign trade by enabling imports and exports. They also provide for any prohibition, restriction of all, or particular cases. The Ministry of Commerce declares the Foreign Trade Policy periodically, comprising facts and figures related to wildlife and their products. The strategy is agreed upon consulting the management Authority for CITES in India. The Exim Policy permits the export or import of wildlife and their parts for research and exchanges between zoological gardens subject to the authorization of the Director-​ General of Foreign Trade. The export policy allows the re-​export of merchandise as per the obligations of this policy. Prohibited items for export cannot be carried in personal luggage. All forms are banned from exporting, except they are specifically allowed. Peacock feathers earlier allowed are now forbidden. Exotic bids excluding six species under Table B of Schedule II of WPA are also banned. Several plants and their derivatives are also prohibited from exporting. The list gets revised periodically. Importation and exportation are allowed at selected customs spots in Mumbai, Kolkata, Delhi, Chennai, Cochin, Amritsar, and Tuticorin. The consignments are to be inspected by the Regional Deputy Directors of Wildlife Preservation at the customs spots. Article 3.3 of the Foreign Trade (Development Regulation) Act 1992 offers that all wildlife items covered by Import and Export policy should be considered under Article 11 of the 1962 Customs Act.

Case Study 11.9  Illegal Bear Trade with Special Reference to China Bears inhabit all the continents except for African, Antarctica, and Australian regions and are grouped into 8 species together with giant panda (Ailuropoda melanoleuca). The polar bear (Thalarctos maritimus) is the largest; thereafter follows the brown bear (Ursus arctos), American black bear (Ursus americanus), Asiatic black bear (Selenarctos thibetanus), spectacled bear (Tremarctos ornatus), sloth bear (Melursus ursinus), and sun bear (Helarctos malayanus). Each of these eight species is endangered (EN), and 5 are enlisted in Appendix I list of Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), while the other 3 are scheduled in Appendix II (see Table B XI-​11.2.5-​2). China is the leading nation to use bear bile with its gall bladder in conventional remedial produces, and such use was later embraced by Korea and Japan almost a hundred years ago. Currently, the usage of Traditional Chinese Medicine (TCM) is prevalent in Asia as well as all through Asian populations elsewhere in the globe, counting European and American States. Several of these customers buy bear bile produce owing to their belief in its use as traditional medicine, or maybe this stuff is well advertised by native Traditional Chinese Medicine druggists. In Traditional Chinese Medicine, clinically, bear bile use in combating pyrexia, detoxification, swelling, and in the reduction of pain is known. Bear bile is moreover applied in the treatment of carbuncle of heat type, percutaneous ailments, hemorrhoids, seizure produced by the excess of heat, epilepsy, spasm, and soreness of eyes due to liver heat, and the like. Contemporary biochemical research indicates the composition of bear bile to be bile acids, bile pigments, amino

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acids, fats, and a few phospholipids and trace metals. Medicinally, bile acids are considered as the most important components of bear bile for application comprising ursodeoxycholic acid (UDCA), chenodeoxycholic acid (CDCA), and cholic acid (CA). They are generally in the form of conjugates only with taurine in N-​acyl linkage. Ursodeoxycholic acid, chemically 3 alpha, 7 beta-​dihydroxy-​5 beta-​cholan-​24-​oic acid being the chief bile acid secreted in the bear liver. The comparative higher content of ursodeoxycholic acid (1–​39%) in bear bile (Ursidae) made them dissimilar from the groups that originate from pandas, associated carnivores (< 0.5%), and another representative of Vertebrata. In the 7th century, therapeutic instructions written for bear gall bladder were first seen. In traditional medicine, bear parts such as fat, meat, paws, gall bladder, spinal cord, blood, and bones were once used. Experts of traditional Chinese medicine recommend the bear gall bladder for severe liver ailments, cardiac diseases, hemorrhoids, and other diseases. Bile is supposed to have a distinct ability to treat liver, stomach, and varied diseases from fever to peptic disorders. The usage of bear gall bladders has continued despite the western influence of several nations of Asia and the fast upsurge in affluence in some Asian nations such as Taiwan, Japan, South Korea, and China. Bear skins are also prized for sale in certain regions. Costs of bear bile have increased with the decline in the supply of the product and also with the growing affluence of the users (see Table B XI-​11.2.5-​3). This increase in values is documented in contemporary periods by altering money worth, the opening of transnational boundaries, and growing quantities of cultivated bile and fake bile in marketplaces in Asia. Several customers of TCM possess the prosperity to spend a huge sum on such stuff. Bear bile is costly since the wild bears are rare in the Asian States as well as the exertion of procuring bile from wild bears. Moreover, many believed that bile from wild bears is more effective than that of captive ones. Money paid for a single wild bear gallbladder in 1995 widely ranged between 5 to 500 US dollars/​gram (see Table B XI-​11.2.5.3 from Mills et al. 1995). In the marketing ladder, the price of a gall bladder may be US 150 dollars when purchased from the North American stalker and goes up to US 1,200 dollars or even much greater at the retail level in North America. A significant new activity related to trading in bear bile is the profitable bear husbandry for bile manufacture without any requirement for killing the bear. The exercise started in 1984 when North Korean traders prospered in bile extraction from live bears. This practice rapidly blowout to China, which is currently dynamic in the bear husbandry business. As of 1996, reports stated four hundred and eighty-​one bear farmhouses in China were having seven thousand three hundred seventy Asiatic black bears (Ursus thibetanus), two hundred sixty-​three brown bears (Ursus arctos), and nine sun bears (Helarctos malayanus). Rumors say that the Chinese bear husbandry targeted to hold 40,000 bears in dynamic bile abstraction farmhouses. Bile extraction from captive bears comprises surgical insertion of a conduit in the bile duct of the live bear and sapping the bile at regular intervals or unceasingly into a container or plastic pouch. The donor bear needs to be controlled not to remove out the pipe. Such a check is done by enclosing the bear in a squeezing enclosure in such a way that the bear can hardly stand, or show mobility, or revolve about for months to ensure that the pipe is properly placed, and the bile is being drained out. Alternatively, the bear may be fitted with a ‘jacket’ to inhibit it from getting the reach of the part where the pipe comes out of the belly. Such painful treatments can

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create physical and behavioral anomalies in bears, along with systemic infection, pain, discomfort, suffering, and even death. The fact that farmed bile is less valued than wild bear medicinally and financially indicates that there will be continuing demand for bile from bears in nature irrespective of the amount of farmed bile is obtainable, particularly factual for those customers who have enough money to pay for the wild product.

Table B XI-​11.2.5-​2 CITES listing of bear species

1 2 3 4 5 6 7 8 9

10 11 12 13 14

Scientific names

Common names

CITES list

Ailuropoda melanoleuca Helarctos malayanus Melursus ursinus Tremarctos ornatus Ursus americanus Ursus arctos (N. American populations except for U.a.nelsoni) Ursus aelsonelsoni

Giant Panda Sun bear; honey bear Sloth bear Spectacled bear American black bear Brown bear; grizzly bear Mexican grizzly bear

I I I I II II

European brown bear

II

Brown bear

II

Asian brown bear

I

Tibetan blue bear Red bear Polar bear Asiatic black bear

I I II I

EXTINCT Ursus arctos (European populations) Ursus arctos (Asian populations comprising Iraq, Iran, Syria, Turkey, and USSR region except those listed specifically as Appendix 1 Ursus arctos (Bhutan, Chinese, and Mongolia populations) Ursus arctos pruinosus Ursus arctos isabellinus Ursus maritimus Ursus thibetanus

I

Table B XI-​11.2.5-​3 Retail prices of bear bile in Asia in the US $/​gm, 1994–​1995

1 2 3 4 5 6 7 8 9 10

Country

Hong Kong $

Macao $

Korea $

Australia China Europe Hong Kong India Nepal Russia Unknown USA Zoo

-​ 17–​35 -​ -​ -​ -​ 45 21 -​ -​

21 1–​60 52 -​ 27  7 -​   5–​14  5

-​ 10–​167 -​ 63 -​ 50 23–​167 13 33–​100 500

Source: Taken from Mills et al. 1995.

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Case Study 11.10  Illegal Elephant Trade with Special Reference to Africa Perhaps no other wildlife ‘product’ predisposed the luck or bad luck of a whole landmass as did ivory; elephants are amongst the most important wild faunae hunted and poached in hominid history. Ivory was wanted after by the people of India, Rome, Arabs, Persia, China, and later in Portugal, Spain, the Netherlands, and Britain. Ivory expedited and financed bonded slaves in the eighteenth and nineteenth centuries and was a great economic motivation for the foreign rule of Africa. Now, ivory is exactly a noble basis for backing the armed revolutionaries and assassins throughout Africa, starting from Somalia to the central and western African republics. A timeline to exhibit the decline of the elephant’s in Africa: • • • • •

Twenty-​seven million elephants at the beginning of the nineteenth century Five million in the early twentieth century 13 lakhs elephants in 1981 Six lakhs in the year 1990 (the global ban on ivory trade is executed) around 4 lakhs now (with 35,000–​40,000 elephants slain annually)

Overharvesting of wildlife for human consumption is presently the second leading driver of the decline in biodiversity worldwide and species extinction locally. Overexploitation extensively reduces the species occurrence and its density affecting the food chain and food webs along with other ecological processes. The consequences of such exploitation when motivated by illegitimate commercial trade raise concerns about human health and socioeconomic issues with broader implications on national and international security and policy; such unlawful practice drew renewed focus recently due to the extirpation of commercially valuable species populations such as rhinoceros, tigers, and elephants. The CITES prohibited the global trade in elephant species of Asia and Africa by enlisting these animals in Appendix I in 1973 and 1989 in turn because of the significant decline in elephant population in the 1970s and 1980s, mainly their poaching for ivory. Several southern African republics were upset with the ban on African elephants and have continuously debated against it since the mid-​1980s. They believed that their practice of wildlife management is based on sound policies and activities and that they should not be punished for the incapability of other nations to cope with their wildlife management. Additionally, they opined the need for the incomes from ivory and other by-​products sale to fund their conservation exertions. In 1997, with the support of the CITES COP Botswana, Namibia and Zimbabwe were allowed to auction about fifty tonnes of governmental stocks of ivory to Japanese traders on a one-​off experimental basis, which took place in 1999. Opponents to the ivory trade charge that this type of auction enthused ivory demand, increasing elephant poaching. However, in 2002 with the help of the CITES vote, Botswana, Namibia, and South Africa were further permitted to sell another sixty tonnes of ivory after May 2004. Tanzania and Zambia have petitioned the ‘Convention on International Trade in Endangered Species (CITES)’ to ‘downlist’ the protection rank of their elephants to permit the auction of ivory stocks. But, even after two years of the Convention on International Trade in Endangered Species’ imposition of a nine-​ year suspension on upcoming ivory transactions, elephant

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poaching is still scaling up high. The pleading countries are the main sources and channels of illegal ivory trade in Africa. The appeals point out the ivory trade controversy and bigger issues related to the trade decisions of CITES. The ecological impacts include the forfeiture of keystone species, such as elephants jeopardizing the ecosystem’s integrity and their services. The consequences are noticeable in Central Africa, concurring with the most important declines in elephant populations. The indigenous decline of the prime agent for seed dispersal of big plants in Central African jungles may considerably impact the long-​standing sustainability of the second-​best significant carbon capture forestry of the Earth. In Zambia, maintenance of the transition zone that separates the environments of inherently discrete savanna and the forests is by the elephants. Elephants play a key part in Tanzania to shape forest organization of widespread regions, mostly the Selous Game Reserve (SGR) –​the 2nd biggest World Heritage site in the world. Tanzania and Zambia are misusing this limited suspension in their appeals. Sanction necessitates demonstrating the security of their elephant populations, effective implementation of legislation, and that auctions are not damaging to elephants. Until now, Zambia and Tanzania are amongst the biggest foundations of illegitimate ivory transit. The only two sanctioned countries, China and Japan, are also among the three biggest unlawful ivory consumers, failing to regulate illegitimate trade, thus making authorized sales a mask for ivory black markets. Elephant tusk confiscations are one of the most difficult metrics of unlawful ivory bazaars, exemplifying the dimension of a nation’s association. Since the banning of ivory, confiscations of unlawful ivory heightened in the years 2002, 2006, and 2009. Zambia and Tanzania, amongst the utmost deeply tangled in this occupation, pleaded the Convention on International Trade in Endangered Species for downlisting their elephants in those same years. DNA testing exhibits the sole biggest tusk confiscation since the moratorium on its trade (6.5 tons in Singapore) in 2002 to have its origin almost entirely from Zambia. Zambia was unsuccessful in petitioning CITES for downlisting their elephants that year, and many other such as wise confiscations trailed. Tanzania transported 41% of the confiscations in the year 2006 highest (11 of 27 tons). DNA analysis carried out on 260000 grams from Hong Kong and 520000 grams from Taiwan established its origin from the Selous (southern Tanzania) and Niassa (northern Mozambique) Game Reserves complex. Tanzania, though given the appeal for downlisting their elephant population in 2006, ultimately withdrew, only to resubmit in 2009 –​when a further fourteen tons of ivory dispatched from Tanzania were detained. Tanzania has the largest overall confiscation size of any nation as per the Elephant Trade Information System (ETIS) –​launched by the Convention on International Trade in Endangered Species for monitoring tendencies in the illegitimate trade of tusk. These outsized confiscations indicate systematized crimes and propose Tanzania and Zambia’s aptitudes to deal with such encounters to be significantly jeopardized though this may not be the case always. The huge scale of unlawful ivory trade demonstrates Africa’s inadequacy to control and protect elephants. Neither the petitioning countries nor the buyer countries are succeeding in controlling illegal trade responsibly. African elephant populations are declining because of unlawful poaching for ivory, with a projected decrease in 75% of 5 306 studied populations.). The permissible trade of ivory from natural death has been proposed as a way to lessen this problem, as it can deliver a straight

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and steady source of subsidy for elephant conservationists in Africa presently depending on over-​stretched government allocation and allowances from transnational donors to back their work. Such global trade was missing since 2008, but many African nations store their ivory expecting future sales, and several countries outside Africa have authorized domestic markets for ivory qualified as antiques. Such trade can be argued as counter-​productive and should be forbidden because: (i) Present legitimate domestic markets have been overthrown by dishonesty, which is letting unlawful ivory laundering (ii) Decrease of such extent of dishonesty to satisfactory levels within the following few decades is difficult. A cumulative amount of proof on the influences of corruption in conservation comes from elephant projects, as the recent increase in poaching has made this a high-​profile issue, with staff members, administrative officers, and politicians all being involved. Also, this backs the studies from the academic works displaying associations between the trends in elephant population and dishonesty and recording the role of corruption in the unlawful slaughter of elephants for ivory and meat. Both lawful trade and trade embargoes are weakened by the conspiracy of dishonest administrators in the illegitimate slaughtering of elephants and the ivory trafficking from producer to consumer states. Bribery undercuts struggles to fight illegitimate trade and also influences the implementation of legislation against poaching, sustainable hunting, and effective land-​use planning. Chauvinism and discrimination reduce staff aptitudes and the probability of crimes being testified. Misappropriation decreases levels of conservation funding, weakens constructive enticements for community-​based conservation through trophy hunting and ecotourism, leading decision-​makers to focus on the desires of contributors and privileged more than shareholders. Deception also distracts and decreases conservation funding and demoralizes contributor self-​reliance by demanding money for fictional projects or scheming to evade repaying concession fees. The data clearly shows a substantial toll on the illegitimate ivory trade in African elephants and recommends presenting off-​take surpassing the inherent growing ability of the species. It is imperative to understand that the number of elephants illegitimately killed every year is founded on present species estimations that are unreliable. In 2014, the wholesale raw ivory fetched a maximum price of $2100 for every kilogram, which comes to around Euro 1900 in the markets of China. Surprisingly it had dropped to $730 per kilo by the year 2017. At this point, one of the leading domestic markets of the world started falling. Sixty-​seven certified ivory processing facilities are on the way of shutting down by China. This includes twelve of the thirty-​five ivory carving workshops and about twelve of over one hundred thirty ivory retailers according to the notification from State Forestry Administration. It is the State Forestry Administration that supervises trade in wildlife. A decision was taken to seal the rest of such facilities before the completion of the year. The poaching of African elephants is largely driven by the markets in China. The count of elephants has experienced a colossal drop-​in in the current years. Annually, approximately thirty thousand elephants are slaughtered. If the situation does not change, this is just being the rate that can smother African elephants within a period of a few generations.

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The historic announcement in 2015 by the Chinese President and U.S. President to agree on the ‘nearly complete’ moratorium about internal ivory markets seemed quite promising. As a symbol and desire for prestige amongst the middle class and upper-​class people, China puts a huge demand for ivory. Status symbols are exhibited by the possession of ivory carvings and using ivory chopsticks. The use of ivory in jewelry is largely showing one’s wealth. In the USA, the lawful ivory import was permitted for a variety of trophies and antiques before 1990, provided the ivory was procured from the elephants exterminated before 1976. In 2016 the US approved new rules prohibiting the buying and selling of practically all ivory, with exclusions for century-​old antiques and some other categories. At the end of 2016, China also broadcasted that its nearly overall embargo would be in implementation within the next year, but without providing specifics.

Case Study 11.11  Rhinoceros Killing with Special Reference to South Africa and Vietnam There was an estimated number of 5,00,000 Rhinos at the beginning of the twentieth century. Rhino populations were quite copious all through African and Southern Asian nations. Despite all efforts towards conservation, plundering is intensively on the rise, thus pushing and pressing the residual Rhinoceros population nearer and nearer to extermination. In nature, the numbers of rhinos had dropped to 70000 by 1970 and further down to 29000 in 2013, of which around 25,000 remain in African and Asian parts. Commonly abridged to rhino, is one of the odd-​toed ungulates belonging to the family Rhinocerotidae. Of the existing species, two are African natives, while three are natives of Southern Asia. Individual Rhino members can attain a weight of 1 tonne or can surpass this weight. Herbivorous by habit, they either possess one or two horns with a thick shielding skin made from collagen layers. Their capacity for fermenting foodstuff in their hindgut permits their survival on added fibrous vegetal stuff whenever required. The two African Rhino species depend on their lips for pulling the foodstuff since they lack teeth on the frontal part of the mouth. Rhinocerotidae family comprises of 4 surviving genus: Ceratotherium (White rhinoceros), Diceros (Black rhinoceros), Dicerorhinus (Sumatran rhinoceros), and Rhinoceros (Indian and Javan rhinoceros). White Rhino and Black Rhino are the two species of Africa, which differ in the shape of their oral aperture rather than body color–​white rhino possess wide flat lips for browsing whereas black rhino has long pointed lips for masticating vegetation. The Indian rhino and the Javan rhino moved away from each other about ten million years back. The Sumatran rhino remains the lone extant and represents the most primeval assemblage.

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Rhino horns hold a symbol of prestige and are highly valued. Its value also stands apparently for its medicinal use. Rhino horns are easily peddled in Asian countries, especially in Vietnam and in China. It is used as a wholesome treatment, and it can be worth up to $100 000 for every kilogram. The killing of Rhinoceros is gushing throughout the continent of Africa though it seemed quite tough for evaluation of the damages since the African republics do not recurrently bring out information on poaching data. Similarly, the Indian, Sumatran, and Javan rhino, though quite a small population, also faces a similar threat. 73% of the global rhino population is in South Africa, and that makes it a home for 83% of the African rhino also. All the members of the southern subspecies of white rhino Ceratotherium simum simum have evolved out of a vestige group of twenty to fifty animals that happened to take shelter from the year 1895 in Hluhluwe-​iMfolozi Game Reserve. In the recent past, South Africa was able to conserve about 18000 white rhinos which signified about ninety-​five percent of the entire African rhino population. One of the highest conservation achievements of the world is the incredible salvage of the southern white rhino population with the help of ‘Operation Rhino’ of Natal’s Parks Board, which initiated transference of wildlife and various significant administrative approaches. The share of such triumph truly is in the nation’s private sector, which accounts for rising numbers of domestic white rhino inhabitants. The year 2010 approximations specified the private possession of around a quarter of the total white rhino in South Africa. The Southern white rhino population finds its name in the Near-​threatened category of the Red Data Book of IUCN, which correctly makes the South Africans honored. This rhino subspecies is no longer a threatened category even though preservation reliant. Way back in 1968, white rhinos were sport-​hunted in South Africa, which had only 1800 rhinoceros left in the whole country. The numbers of white rhinos amplified in the next forty years. Trophy hunting is widely considered to be the positive driver through contributing to scientific management, range extension, the income generation for management establishments along enticements for wildlife preservation for a wide array of shareholders. About 70000 people from the countryside areas got employed in the angling or hunting industry and ancillary facilities. Numerous wildlife experts sustained about 500 sport hunters and 3000 proficient hunters. The wildlife expert includes game seizure and substitution experts, wildlife veterans, and taxidermists. The rhino forms a crucial element in the sports industry. For example, between the years 2008 and 2011 the auctions of white rhinos generated more than ZAR 236 million for the chief wildlife sales organizations. It comes to around US$ 35.5 million. The two wildlife establishments and one private auction firm represented the chief wildlife sales organizations. The wildlife industry of South Africa is extremely advanced and comprises an energetic and sustainable economic initiative challenging satisfactorily with farming and further methods of land use. The status of the other Rhino species in Africa, commonly known as black rhino (Diceros bicornis), did not show much progress. In the year 1960, before the disastrous poaching of rhino, there was probably 1 lakh black rhino. By the year 1995, the number dropped to 2410 rhinos only. Subsequently, their numbers increased to 4,880 rhinos by 2010, but the species remains in the Critically Endangered (CR) category of IUCN’s Red Data. South Africa unfolds a dissimilar tale.

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The black rhino has increased steadily in numbers since 1980. South Africans preserved a count of 1915 black rhinos protecting nearly forty percent of all native black rhinoceros. Then also the key role in the conservation of black rhinos rests on the private sector which holds around 22% of the present rhino population of South Africa. South Africa became a member of CITES in October 1975. And from 1977, the entire rhino species was enlisted in Appendix I of CITES. Accordingly, no one is allowed to undertake profitable global trade in rhinoceros along with their products and derivatives, and this includes hunting trophies as well. Afterward, in 1994, the population of South African white rhino was shifted to Appendix II with the following comment: ‘for the exclusive purpose of allowing international trade in live animals to appropriate and acceptable destinations and hunting trophies. All other specimens shall be deemed to be specimens of species included in Appendix I and the trade in them shall be regulated accordingly.’ After this resolution, the total of white rhinoceros in South Africa auctioned, and sport-​ hunted had progressively amplified. Heedlessly, the ongoing year-​on-​year upsurge in illegitimately slaughtered rhinoceros signified some exceptional management crunch for South Africa. Between 1995 and 2011, a projected about 1000–​1300 white rhinoceros had been hunted. The rhinos are brutally killed to facilitate illegal trade in rhino horns, which seems to be more shocking. Between 1990 and 2005, rhinoceros fatalities in South Africa averaged 14 animals annually by poaching. The numbers of rhinos were quite high to about 83 in the year 2008 and further increased to 122 in 2009. In 2010, poaching intensified dramatically, nearly tripling the toll and getting 333 rhinos killed. In 2011, an annual record of 448 rhinos was lost. A predicted 532 rhinos have been killed by 2012. Ninety percent of the total rhino population was represented by Kruger National Park along with three provinces of Limpopo, KwaZulu-​Natal, and North West. These rhinos have been unfailingly the toughest hit. As per the Minister of Water and Environmental Affairs, South Africa, the number of rhinos killed was lower in 2017 than that of 2016’s. The figure shows the slaughtering of 1028 rhinos in 2017, whereas 1054 rhinos in 2016, a cut of 26 rhinos (2.5%). Characteristically, AK-​47 assault rifles are often used to shoot rhinos. And lately, yet a rising rhino population had been exterminated with the help of a high-​caliber weapon with a single shot typically utilized by wildlife industry experts only or, sometimes, darted with drugs to immobilize drugs to have their horns removed. The existence of helicopters at the spot of crime signifies a totally ‘new face’ in the field of rhino slaughtering. These patterns of progress underline the beginning of dishonest gaming business insider people into such acts of rhino killing. Reprobate proprietors of gaming farms, proficient stalkers, game capture operatives, aviators, and wildlife veterans together have moved into the rhino poaching catastrophe and got converted into dynamic actors of this business. South Africa is experiencing this exclusive and shocking progress, rigorously defiling the appearance of a crucial shareholder in the rhinoceros calculation even if most private rhinoceros possessors and wildlife business employees continue to be dedicated to safeguarding rhinos and support rhino conservation. Rhinoceros horn use in Viet Nam is partly connected with the practice of traditional Chinese medicine. The government promotes both western and traditional medicine, even though the extent of traditional medicine stays prominent. In history, the use of rhino horn is connected with falling temperature, particularly inner hotness in the blood, and removal of toxic substances from the body and blood. The list of treatments varies from high temperature,

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hallucination, and extreme headache to measles, seizure, epilepsy, and stroke. The rhino horn is endorsed as a cure for life-​threatening illnesses such as cancer. Vietnam government officers have firmly established the seizure of trophy hunting custom in the nation, but the first ten Vietnam rhinoceros hunting in South Africa began in the year 2003. According to the export data of CITES, six hundred and fifty-​seven rhinoceros horns were lawfully distributed from South Africa as medals to Viet Nam from 2003 through 2010, in contrast to the county’s import data that showed 170 rhino horns, signifying undeclared trade of 74%. The Javan rhino (Rhinoceros sondaicus) is a critically endangered animal number ranging from 46 to 66 as of 2019. Viet Nam is a range state for rhinoceros, harbors the lone remaining Javan rhino sub-​population in the continent of Asia. In early 2010, though, the last animal was subjected to poaching on account of its horn. The alleged heart-​breaking elimination of a whole rhinoceros subspecies has vaporized virtually without any acknowledgment of this biological diversity forfeiture by the Vietnam government.

Case Study 11.12  Illegal Poaching of Lions The lion is a species in the family Felidae; IUCN Red List inspectors applied only 2 names of subspecies: Panthera leo leo for populaces of the African lion and Panthera leo persica for the Asiatic lions. Asiatic lion is endangered, counting 523 as of 2015 census number remaining stable, while African lion is vulnerable number ranges between 23,000 and 39,000; the trend is showing a massive decrease in numbers. Hard to think that Africa’s most renowned predator is fronting emergent intimidation. African lions habitually roam across the bulk of the African landmass but are currently confined in the sub-​Saharan African region, with eighty percent of the population in the east or south Africa. Three of the five major groups occur in Tanzania. Lions have vanished from twelve sub-​Saharan nations in current years. Lions remain the topmost predator in their habitat, whether that is grasslands, deserts, or open forests. They play a critical function in maintaining ecological stability of numbers amongst other grazers such as zebra and wildebeest –​which in turn affects the condition of grasslands and forests. The population of African lions has declined by 75% in the last fifty years –​and these numbers may be exaggeratedly hopeful. This fall is entirely driven by humans by terminating their natural habitats, the savannah, faster than we are destroying the tropical rain forests. Over 600 lions are legitimately killed by trophy hunters each year. That is two percent of the total lion population each year, the fully-​grown males being unreasonably besieged. The International Fund for Animal Welfare in 2011 reported that sixty-​four percent of all lions of Africa were slain for sport between 1999 and 2008, were for heads and skins by American tourists’ trophies. In that period, the number of trophies the USA imported annually more than doubled. The 2 people who slew the lion, Cecil, allegedly got 50,000 dollars for their efforts. The ongoing rate is 20,000 to 70,000 dollars every stalk. Currency from such a hunt does not reach the local communities despite the belief of the pro-​hunt associations; just 3% of the

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enormous incomes from stalking reach the local people. Several people practice rearing lions on farms to gunshot them as required. In South Africa, there are about one hundred and sixty lion farms that breed over 5,000 lions annually on a conveyer belt of inhumaneness. It is worrying that so-​called ‘canned hunts’–​to kill farmed lions, often excruciatingly and sluggishly, by poorly proficient shooters –​are frequently concealment for unlawful business in lion skeletons. Long back, the Assyrian kings engaged in lions hunting for political and religious resolutions, to establish their authority. Lions were portrayed as outstanding symbols of royalty. The Masai never consume game meat; rather, use the lion bodies for three products: the mane, tail, and claws. The women folk beaded the mane, give it back to the hunter for wearing over his head on special occasions. The lion’s tail is overextended and unstiffened by the warriors before handing over to the women for beading. The lion is the most recent animal being devastated by the unquenchable and illegitimate trade in wildlife for the medicine markets of Asia. Since the Asian tigers are dwindling and the demand for lions goes increasing, the hunters kill other big cats for their skeleton and the skin. Research demonstrates the selling of lion teeth and claws in the name of tiger parts. Over the last fifty years, the African wild lion population has dwindled from more than 2 lakh to below 20 thousand nowadays. Habitat destruction and decline in the lion’s natural prey population by the people practicing bush meat trade are pushing the lions into precarious contact with humans and their cattle. Lions preying on livestock become the objects of reciprocal slaughters. Chinese, soak lion bones in rice wine, and the Vietnamese and Laos people make a paste with the bones and herbs for treating many diseases. South Africa delivers a huge number of skeletal bones, of lions to Laos, Vietnam, and China. Such trade includes lion breeders and hunters (usually from the USA). Lion bones sell at around 165 dollars per kilogram in South Africa and around 300 to 500 dollars per kilogram in Asia. So, a whole lion skeleton could cost over 10,000 dollars. Over six hundred lions in South Africa in 2012 were slaughtered by trophy hunters: the authorized market only accounts for about half the business, the other half coming from poaching. Despite sound accepted evidence for the decline in lions, there still lay a substantial lawful trophy shooting exertion in several African nations, which expedites the legalizing of poached lions and rouses the call for bones in Asia. The condition is even worse and disastrous in Western Africa. Assessment in 11 Western African republics recorded a projected overall of only 250 adults inhabiting less than 1% of that notable habitat. The lions make simply four isolated population groups: one in Senegal, two in Nigeria, and an additional group on the borders of Benin, Niger, and Burkina Faso with more than 50 lions.

Case Study 11.13  Illegal Tiger Poaching There was a time when the tigers inhabited extensively from the Eastern Anatolia Region in the west to the basin of Amur River, from the Himalayan foothills to Bali (Sundaland’s) in the south. Subsequently, in the early twentieth century, the tiger population has lost a minimum of 93%

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of their earlier range and they have been erased in Western and Central Asia, from Java and Bali islands, and also in vast regions of Southeast and South Asia and China. Presently the range of tigers is patchy, extending from a temperate forest of Siberia forests to subtropical and tropical forests in India and Sumatra. As per the 2015 census, the wild tiger population was projected between 3,062 and 3,948 adult individuals globally. This is down from about 100,000 at the beginning of the 20th century. India has the maximum number of tigers around 2,967 as per the 2018 census, accounting for over half the tiger population globally. Sumatra, in Indonesia, had over 1,000 tigers in 1978. Statistics show their numbers to drop to about 400, and hunters exterminate a minimum of 40 Sumatran tigers annually. Out of 430 wild Amur tigers, most of them live in Russia’s far east. In several of these nations, poaching and deforestation are rapidly driving the tigers into extermination. Hunting, killing, and deforestation have contributed to their status in the IUCN endangered category and drove them towards extinction. Tigers vary adequately across their wide range, and hence the identification and nomenclature of various forms are warranted. There is the ‘typical’ tiger of India, the Bengal tiger (Panthera tigris tigris), the reasonably massive Siberian or Amur tiger in far north-​eastern Asia (Panthera tigris altaica), the west Asian Caspian tiger (Panthera tigris virgata) a South Chinese form with characteristic stripes (Panthera tigris amoyensis), some poorly known forms Malayan tiger (Panthera tigris jacksoni) from mainland Indo-​ Chinese (Panthera tigris corbetti) and the island-​dwellers of south-​east Asia –​the Sumatran tiger (Panthera tigris sumatrae), the Bali tiger (Panthera tigris balica) and the Javan tiger (Panthera tigris sondaica). The Caspian tiger, Javan tiger, and Bali tiger have already become extinct. Tigers are such as mobile gold, valued as a treasure in the black market. Since the demand is colossal, values go skyrocketing. There is a long history in various cultures of Asia to believe the tiger has some supernatural or healing abilities, creating value for all the essential body parts of the animal. There are 13 nations in total shelter wild populations of tigers presently. These ‘Tiger Nations’ are also termed as Tiger Range Countries (TRCs). They take part in multilateral dialogues for conserving tigers, their trade, and also program to introduce tigers again in those nations where they are now practically extinct. Poaching is under the direction of progressively classy and well-​armed felonious groups and is valued at approximately £11 billion every year. This is one of the most direct threats to the tigers in the wild. Tigers are persistently demanded their body parts to be utilized in customary medicines, indigenous therapies, and above all, a symbol of status amongst some cultures in Asia. Tigers are in great demand for wild tiger skins, bones, other parts, and by-​products that culminate illegitimate stealing and wildlife crime, the leading menace for the remaining wild tigers a matter of great concern undoubtedly (see Figure B XI-​11.2.5-​1). Tiger skins are used as a rug or stuffed as luxurious home décor. Such exhibitions of treasure are thought to imply power and prosperity in certain cultures. Tiger skins are valued in traditional Buddhist monasteries and so to modern celebs who wear the skins as incendiary rank symbols. Walker’s Mammals of the World (Novak, R. M.) report that the selling price of tiger skin was roughly $4,250 in 1977, which went up to about $16,880 in 2015. The Environmental Investigation Agency (EIA) reported the peddling of tiger skins in 2004 for up to US 10,000 dollars in Tibet,

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mostly to the tourists from China, Taiwan, and Europe. Bones of the tiger are also extremely wanted for usage in drugs and health boosts. Tiger bones are made to use in the making ‘bone strengthening wine,’ and in the last few years, tiger bone wine has become inquisitive, despite being unlawful. In China, it is used as a tonic (yet to be proven) and as an admired gift. Such wine has been in usage for more than 1000 years in Traditional Chinese Medicine. The wine is thought to heal a variety of illnesses, including arthritis and eczema. Among Chinese customers, tiger bone wine is advertised as a product of male vigor. Despite banning trade in tiger body parts by the Chinese government in 1993, the solid social faith in the therapeutic ability of tiger parts indicates a continuous demand, firing black market trade. A Tiger’s penis in Traditional Chinese Medicine is supposed to be a natural stimulator of male vigor; a preparation was sold for $5,700 in Beijing in 2006. Tiger claws and teeth are extensively used as good luck charms or jewelry across the globe. Apart from that, they also have an exceptional significance to purchasers as a class symbol. Even though China inhabits a low number of wild tigers, TRAFFIC estimated and reported that the country retains thousands of tigers in confinement. The Chinese restaurants assert to get meat and body parts from farmhouses and breeding centers. It is difficult to furnish statistics officially as countries that farm animals, including China and Korea, are hesitant and restrained to acknowledge the basis of tiger meat and parts inside the country, be it from confinement or outside sources. Tiger parts are also being obtained from many European nations, including the Czechoslovakian Republic, which is finally intended for Southeast Asia. India is believed to inhabit the largest wild tiger populations, though this counts for only Bengal subspecies. Countries such as China, Bangladesh, Bhutan, Cambodia, Indonesia, Laos, Malaysia, Myanmar, Nepal, Russia, Thailand, and Vietnam are also inhabited by wild tigers. In October of 2003, the Environmental Investigation Agency (EIA) informed about a consignment of hides, of which five hundred eighty-​one from leopards, thirty-​one from tigers, and seven hundred seventy-​eight from otters directing to Lhasa, Tibet from India to be intercepted at the boundary. An instance, in 2004 –​Kanpur experienced the confiscation of 456 leopard and tiger claws along with $13,000 cash. The above-​mentioned ‘Tiger Nations’ approved to construct a network to share intelligence in an attempt to combat poaching and trafficking in 2015 February. All such incidents enable us to exemplify the magnitude and opportunity of animal trading within Indian jurisdiction. The Wildlife Protection Society of India (WPSI), the government organizations, as well as the NGOs, have ever since functioned to safeguard tigers and inspect their extermination inside the various reserves and in the wild in India. Tigers are generally killed by one of two methods: either they become the victim in the hands of illegal tiger poachers in the wild or are farmed in captivity in China to be killed to fulfill the demands within internal marketplaces. Conventionally, wild tiger products demand a higher price than those in captivity because they are accepted to be more genuine and effective. Hence the products from captivity can never match the demands and please similar to that of wild tigers, boosting the unlawful tiger trade to be a profitable industry. Steel traps are laid down in identified tiger trails to catch a tiger. The animal is allowed to brawl throughout the entire night after getting trapped ultimately gets tired from its desperate

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Figure B XI-​11.2.5-​1 Valued tiger parts for sale.

efforts to breakout free, and a subsequent hit with a heavy stick is adequate to get the animal killed. Poachers often place infected cadavers of their prey to exterminate them. Shallow pools can also be dug and filled with poisoned water to trap and kill tigers.

Case Study 11.14  Government Policy and Culling of Wolves in Finland Even though authorized hunting is certified in Finland, many big predators are unlawfully slaughtered every year. Exclusively the wolves, poaching prevails as the reason for even greater cull than lawful hunting. The reindeer owner practices illegal killing of wolves in the reindeer herding region, and so do hunters in the far south. It is only very exceptional and remote that the poachers do not belong to any of these groups. The reindeer owners kill these predators because they bring damages and loss to reindeer, dogs, and bears, i.e., the economic value of these prey, competition for the same prey base, pursuing adventure, and also because these wolves are seen as a threat to human safety, especially the children. The worldwide estimation of the wolf population is about 3,00,000. A native in the wilderness and remote areas of North America and Eurasia, Canis lupus, is commonly known

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as a grey wolf. In Eurasia, Canis lupus lupus is common. But the Finnish National Resources Institute reports the existence of only 120 to 180 wolves in Finland, and even then, the government grants licenses and permits to hunt them. This number is much below the count of 230 about a year ago. Every year 20 to 30 wolves are killed that have led to its fall. The Finnish government opines in support of wolf killing to reduce the intrusion of wolves on the farmers and remote communities, to protect both. Green groups claimed about the indiscriminate killing, which shows licensing as a matter of controversy. As per the conservation committee, Wolf Action Group of the Finnish Nature League, this is way short of the estimated number of 800 required to maintain a healthy genetic diversity. The scenario had worsened over time as most of the time, the pack leaders and family groups were culled, and packs got diverted. Hunting is one of the conventional methods of checking the natural population of predators such as the wolf and is perennially supported by the most powerful hunting lobbies in nations such as Finland, Norway, and so forth. Conservationists have always warned that such practice will put the wolves at the risk of extinction if not discontinued in the coming years. Wolves are primarily hunted in winter when they leave their footprints in the snow and make it easy for the hunters to follow them and find them. Wolves are also killed along with legal hunting so that the entire pack of 4–​7 gets wiped out. The license, on the other hand, permits killing only one or two wolves. Every year twenty to thirty wolves are hunted as per estimates. By the winter of 2006 to 2007, the number of wolves decreased from 250 to much below 150. This is mostly because of poaching. Several hunters accept the probability of poaching wolves because the hunter group often comprises twelve or more individuals. People have hated wolves ever since and believe that they should be killed by any means. Often the wolves are lured by enticements contaminated with poison or foamed plastic-​covered hooks that are placed in the terrain; once they swallow, they suffer death. Wolves were almost forced to extinction by the mid-​20th century. The wolves jogged back into France and Germany in 1990 and 1998, respectively. Wolves wander in Denmark, Holland, and reached the Belgium-​Luxemburg boundary in the last 118 years. Europe’s population of the wolf is on the rise to around 12000. They are increasing their geographical range, thus starting to intrude in the urban habitats, and this calls for better management of the wolf population, including poaching. Norway planned to kill 70% of the wolf population for protecting their flock of sheep. Tuscan farmers were reported to dump wolf carcasses in the center of the town to protest against the rise of the wolf population. The French farmers demanded the same. Finland has a shared border with Russia, which is the home to more than 50000 wolves, thus raising concern about its management. Whereas in Finland, their future suspends in the balance as to whether they threaten humans or they need protection themselves!

Case Study 11.15  Illegal Logging and Smuggling of Sandalwood African Blackwood (Dalbergia melanoxylon) is the most expensive wood globally, while sandalwood is the second most expensive one. Sandalwood, commercially known as East India sandalwood, is naturally distributed from 20oN to 40oS latitude that spans east-​west from

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Indonesia to Juan Fernandez Islands of Chile and north-​south from Hawaiian island to New Zealand. Sandalwood, being a hemiparasitic plant, is broadly dispersed in India, basically in the Deccan Plateau in 9000 square kilometers of an area. Santalam album, indigenous to and more intensely occurring in southern Indian provinces of Tamil Nadu, Karnataka, and Kerala; out of 9000 square kilometers, 8200 square kilometers lies within Karnataka and Tamil Nadu. India has been a traditional leader of sandalwood oil for over five thousand years used in the perfume and pharmaceutical industries. Tipu Sultan of Mysore had declared a sandalwood tree as a royal tree. The central part of the tree prized for fragrance is the heartwood, whereas the outer sapwood has bot aroma. The heartwood is medium-​hard, hefty, tough, yellow to brown, and bitter to taste. It calls for demand as an exquisite material for wood carving. The sapwood is used for making turnery items and incense sticks. The oil is produced by steam distillation of heartwood and sold in the market by weight. In 2012, 5 gm of oil cost Rs 1500 or Rs 300000 per kg in the government shops of Karnataka. A ton of sandalwood heartwood yields 60 kg of oil. Sandalwood oil is a pale yellow to a yellow viscous liquid that finds usage in cosmetics, aromatherapy, perfumes, pharma industries, and in Ayurveda, Chinese, and Tibetan medicines. Sandalwood is used in the treatment of common cold, bronchial infections, pyrexia, piles, scabies, UTI, swelling, hepatic and biliary complaints. It is also used as an expectorant, stimulant, carminative, gastrointestinal, and muscle relaxant. Its active property against Staphylococcus aureus and Candida sp. has also been reported. Antibacterial activity against Heliobacter pylori may be owing to alpha and beta –​santalol. In 1864, the extraction and disposal of sandalwood trees were brought under the jurisdiction of the Forest Department. Overexploitation without replenishing it has brought sandalwood into a threatened category leading to a shortage of supply and skyrocketing of prices in the market. Santalum album currently falls under the vulnerable (VU) category of IUCN. The removal of the tree is banned, be it on private or public or temple ground unless it attains thirty years of age. At the back, the poachers continue with illegal cutting and smuggling of the tree. They bring both socio-​economic as well as law and order issues in the states and around. The price sharply shot up in the 1930s –​1950s. Four thousand tons of heartwood was produced in 1950, which dropped to 2000 kg in 1990. A sandalwood tree can be harvested when it is at least sixty years old. Though officially restricted, smuggling continued, and in 1993, the biggest hunt for the bandit king Veerappan was launched. Nearly 600 BSF people formed a special task force to cover the forests of Tamil Nadu and Karnataka. His head was priced at Rs 4 million, and he had been chased by the police since he killed his first elephant. He was said to kill 2000 elephants and smuggled sandalwood worth Rs 1 billion. He was always on the move and possessed around 60 camps in the forests (see Figure B XI-​11.2.5-​2). Red sandalwood or Pterocarpus santalinus is commonly known as red sanders, listed in Appendix II of CITES, is endemic to the southern Eastern Ghats grows up to a height of 5 to 8 meters. Red sandalwood fetches demand in China, Japan, Singapore, Hong Kong, Myanmar. In 2013 the Government of India had seized 15000 tonnes of red sander amounting to Rs 5000 crore. Smuggling involves five stages. Firstly, the traders contract the middlemen to identify the trees for cutting. Next, the middlemen hire poor localities and pay them according to the weight to cut and bring the timber logs. Stage three involves transportation by the change of

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Figure B XI-​11.2.5-​2 Smuggling routes for sandalwood. ownership, drivers, and the like. In stage four, the logs are transported in concealment with agricultural products to an intermediate destination. The last stage is transportation to final places inside or outside the country.

It was smuggled mainly from India to China, Japan, UAE, Malaysia and Singapore. Smuggling to China was on road via Nepal. Manipur and Mizoram were also used for smuggling to China and Japan. Chennai port was used as transit for smuggling to Malaysia and Singapore while Mumbai port for UAE.

11.2.6  The Convention to the Conservation of Migratory Species of Wild Animals (CMS Convention), 1979 Bonn Germany Around 8,000 to 10,000 animal species travel some distances and maybe many thousand kilometers periodically from their start point in pursuit of life. These animals are a vital component of the environment and can serve many ecological purposes such as pollinators, indicators, predators, etc., and the key to local and national economies of a country. A change in their behavior can be indicative of alterations in natural conditions, good or bad. Migratory species are susceptible to a variety of intimidations –​such as habitat loss and habitat fragmentation, loss of breeding and nesting sites, degradation of feeding grounds, artificial embankments, hunting while en route migration, etc. (for details of migratory animals refer to www.cms.int/​en/​spec​ies) 441

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Hence a global concern was raised in 1972 UNCHE for the conservation of terrestrial, aquatic, and avian migratory species of wildlife along with their habitat on a global scale. The UNEP was called in 1974 to pursue an international agreement in response to these issues. The same year IUCN’s Commission on Environmental Law was requested to assemble the initial draft text. Both the UNEP and IUCN convened a ministerial meeting in 1976 to define the scope of this agreement. This Convention was then approved at a Diplomatic Conference in Bonn and was opened for signature in 1979 Bonn and thereafter implemented on 1 November 1983 to conserve and manage the migratory species of wild animals that migrate ‘cyclically and predictably’ in their migratory ranges. As of 2019, there are one hundred and twenty-​nine nations as Parties. India ratified the agreement in 1982, the USA, China, and the Russian Federation are some of the important participating non-​Parties to this Convention. According to the Convention to the Conservation of Migratory Species of Wild Animals, a migratory species is ‘the entire population or any geographically separate part of the population of any species or lower taxon of wild animals, a significant proportion of whose members cyclically and predictably cross one or more national jurisdictional boundaries.’ Article II –​The Parties to the Convention, being concerned, convinced, understands, recognized, and are cognizant of the importance of the migratory species. Under the auspices of the UNEP, they agree to initiate all necessary efforts for the conservation of the migratory species along with the habitats to elude any such species from becoming endangered to favorable conservation status. Appendix I list demands immediate protection, while agreements should be reached for the conservation and management of those in Appendix II. The Parties, individually or in the association, are required to promote, support, and work together in research activities related to such species. Article III –​Animals in Appendix I includes a list of migratory species, the status of which is validated with scientific evidence. The names of such animals may be removed from the list once the species is no longer endangered or not such as to be endangered, proved with scientific evidence. The nations that are the Range States of the migratory species shall make all efforts to conserve the habitats that are crucial to the migratory species along with averting the adverse activities, controlling factors that might put the species in danger, and removing the barriers to migration. No one is allowed to acquire the animals except for extraordinary circumstances, scientific purposes, increasing through propagation, or for the need of traditional subsistence users. Article IV –​For the Appendix II list of migratory species whose conservation status is unfavorable conservation status, global treaties are needed to conserve and manage them. A migratory species can be placed in both lists if need be. The Parties that serve as the Range States to a migratory species shall work for an agreement that shall offer benefit to that species. Article V –​This Article sketches the guidelines for agreement. The agreement shall be able to confer a favorable conservation status to the migratory species. Every such agreement shall cover the entire home range of the migratory species and shall be available to access by every other Range States of that species. An Agreement may handle multiple migratory species. Each of the contracts requires identification of the species along with the description of its range and migratory route. The Agreement shall comprise the appropriate machinery to fulfill the aims of the Agreement. The respective and nominated national authority should be accountable for implementing the contract, along with effective monitoring and

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preparation of reports. Procedures for dispute settlements are laid down in the contract. A periodic review should be carried out to check the conservation status of the migratory species along with the adverse factors, collaborative efforts for conservation and management plans, research, information exchange shall be ensured wherever possible. Original habitats should be restored, and new habitats should be established. Possibly migratory species can be reintroduced in the new habitat. Any obstacle or hindrance to such species should be eliminated or minimized. Unlawful trafficking should not be allowed, and emergency measures to strengthen and speed up the conservation efforts for severely affected species should be taken. Article VI needs the Secretariat for maintaining an updated list of Range States concerning all the listed species in Appendix I and Appendix II with relevant information received from the Parties. Parties should keep the Secretariat updated and pass relevant information to the Conference of Parties through the Secretariat at least six months before the ordinary meeting. Articles VII, VIII, and IX outline the establishment and functions of the Conference of Parties, the Scientific Council, and the Secretariat, respectively, that enable the smooth operation of the Convention. The COP is the decision-​making body that should meet once at least no more than 2 years. The COP was needed to establish a Scientific Council in its very first meeting to advise on scientific issues. The Conference of Parties is required to review the enactment of the Conventions, assess the conservation status, review the progress towards conservation, and provide necessary provisions and guidance to the Scientific Council. The Convention and the Appendices can be subjected to amendments in the meetings of the COP. Until now, there are seven Agreements under the Bonn Convention to the Conservation of Migratory Species of Wild Animals, along with several MOUs. The Agreements and the Memorandum of Understanding (MOUs) are on: - - - - - - - - - - - - - -

Populations of European Bats Small Cetaceans of the Baltic, North East Atlantic, Irish, and North Seas Seals in the Wadden Sea African-​Eurasian Migratory Waterbirds Albatrosses and Petrels Gorillas and their Habitats Cetaceans of the Black Sea, Mediterranean Sea and Contiguous Atlantic Area Memorandum of Understanding concerning Conservation Measures for the Siberian Crane Effective since 1998 Memorandum of Understanding concerning Conservation Measures for the Slender-​ billed Curlew Memorandum of Understanding concerning Conservation Measures for Marine Turtles of the Atlantic Coast of Africa Memorandum of Understanding on the Conservation and Management of the Middle European Population of the Great Bustard Memorandum of Understanding concerning Conservation Measures for Marine Turtles of the Indian Ocean and South-​East Asia (IOSEA) Memorandum of Understanding concerning Conservation and Restoration of the Bukhara Deer Memorandum of Understanding concerning Conservation Measures for the Aquatic Warbler. 443

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11.2.6.1  The Concept of Flyways At COP 9, the CMS created a broad working group on international bird flyways, also referred to as the ‘Flyways Working Group under the Scientific Council.’ According to Boere and Stroud (2006), a flyway is ‘… the entire range of a migratory bird species (or groups of related species or distinct populations of a single species) through which it moves on an annual basis from the breeding grounds to non-​breeding areas, including intermediate resting and feeding places as well as the area within which the birds migrate.’ So, these are geographical regions where a migratory species complete all activities of its life, such as breeding, molting, staging, non-​breeding, and so on. Flyways are broad aerial corridors or highways regularly flown by migratory birds. Sometimes flyways are narrow and well defined, or they may be dispersed. Many flyways are oriented longitudinally for exploiting longer days and plenty of food resources. 4 major passages are identified in Europe and Asia and 4 in North America (Atlantic, Mississippi, Central and Pacific converging at Panama) (see Figure B XI-​11.2.6-​1). Further, they split into alternative routes, and several species may cross from one to another. A variety of birds fly the entire pathway while many of them take rest at intervals at stopovers involving significant detours. Although this concept is mostly applicable to birds, bats and butterflies can also use flyways. Presently CMS has streamlined the waterbirds flyways globally to five (Central Pacific Flyway, the American flyways, African/​west Eurasian hlyways, Central Asian flyways, and East Asian/​ Australasian flyways).

11.2.6.2  The Indian Context India is a Party to the Bonn Convention since 1983. According to the MoEFCC, India acts as a temporary habitat for numerous animals, including birds. Notable among them are Amur falcon, Bar-​headed geese, black-​necked crane, marine turtles, dugong, humpbacked whale, and the like. The sub-​continent of India comprises a major flyway network –​the Central Asian Flyway (CAF) that stretches from the Arctic to the Indian Ocean. Around 279 populations of 192 migratory aquatic birds, of which 29 are threatened, use this passage. India signed the Raptors MOU on the Conservation of Migratory Birds of Prey in Africa and Eurasia in March 2016. More than 50 migratory raptor species occur in India. Nagaland is the stop-​over site for a minimum of 1 million Amur falcons. They usually migrate from their breeding sites in Russia and China to their wintering sites in South Africa. Other MOUs with India includes the conservation of Siberian cranes in 1998, marine turtles in 2007, and dugongs in 2008. Proposals were placed to include Jaguar, Whitetip shark, Little Bustard, Urial, Antipodean, Albatross, Tope shark, and smooth hammerhead shark under CMS protection by various nations. India hosted the 13th COP to Bonn Convention with the theme ‘Migratory species connect the planet, and we welcome them home,’ between 17 and 22 February 2020 in Gandhinagar, Gujarat. The mascot for this COP is the ‘Gibi –​the Great Indian Bustard.’ India proposed to incorporate the Asian elephant, Great Indian Bustard, and the Bengal florican in Appendix I of the Bonn Convention and was unanimously accepted. Such inclusion of Asian elephants ensures safe passage and free intermixing with adjacent subpopulations in Nepal, Bangladesh, Bhutan, Burma to broaden the genetic base and to lessen man-​wildlife conflicts. The Great Indian Bustard exhibits transboundary movement and falls prey to hunting in the Indo-​Pakistan border and also to electrical shocks by culling

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445 Figure B XI-​11.2.6-​1 Schematic diagram of the major migratory waterbird flyways.

Negotiations for Protection of Biological Diversity Table B XI-​11.2.6-​1 The Agreements under the CMS family 1990 1991 1992

Wadden Sea Seals EUROBATS ASCOBANS

1995

AEWA

1996

ACCOBAMS

2001 2007

ACAP Gorilla Agreement

Agreement on the Conservation of Seals in the Wadden Sea Agreement on the Conservation of Populations of European Bats Agreement on the Conservation of Small Cetaceans in the Baltic, Northeast Atlantic, Irish, and North Seas Agreement on the Conservation of African Eurasian Migratory Waterbirds Agreement on the Conservation of Cetaceans of the Black Seas, Mediterranean and Contiguous Atlantic Area Agreement on the Conservation of Albatrosses and Petrels Agreement on the Conservation of Gorillas and their Habitats

with power lines. There are only 100–​150 birds left in the Thar region. Bengal florican faces the same fate in the Indo-​Nepal borders and is also a victim of habitat changes. To cater to a better understanding a list of agreements under CMS, is given in the Table B XI-​11.2.6-​1.

11.2.6.3  Agreement on the Conservation of Seals in the Wadden Sea, 1990 This is a trilateral Agreement between Denmark, Germany, and the Netherlands, on 16 October 1990 at Bonn Germany, for achieving and maintaining a favorable conservation status for the harbor seal population (Phoca vitulina vitulina) in the Wadden Sea and implemented one year later. The population of harbor seals dropped by 60% in 1988 and further by 47% in 2002. Such a decline was because of the two fatal Phocine Distemper Virus. The Secretariat for the Agreement is the Common Wadden Sea Secretariat at Wilhelmshaven, Germany. The Parties shall be developing a scientific knowledge base for conservation and management of the seal population along with coordinated research and monitoring programs such as aerial surveys, the study of migration, and other parameters. No acquiring of such seals is permitted except for the purposed mentioned in the Agreement. All essential measures should be taken to protect the habitat and for the prevention and control of pollution. Since the breakdown of epizootic 2002, conditions have improved with a count of 26220 seals in 2012.

11.2.6.4  Agreement on the Conservation of Populations of European Bats, EUROBATS, 1991 London (under the Framework of the Bonn Convention) This international agreement was opened for signature in 1991 in London under the 1979 Convention to the conservation of migratory species of wild animals, and to thirty-​seven of the sixty-​three Range States implemented in 1994. This basic objective is to provide a framework for the conservation of the Chiropteran population in Europe and the non-​European Range States. The agreement title clearly states that the bio-​geographical area and not the political boundaries define the agreement area since many of the native species migrate; some of the movements may be local while others may travel thousands of miles and cross the national boundaries. Over the past few years, their population has dropped significantly due to the loss of roosts, feeding regions, or poisoning due to pesticides. 446

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Each Party is required to prohibit any means of deliberate capture, possessing, or killing of bats without a permit. The Parties are required to locate the shelter places and feeding areas of the bats within its jurisdiction and take necessary measures to safeguard these places from damage and disturbance. The Parties, while assessing the pesticides for usage, should also take into account the effects of such pesticides on the bat population. The Parties shall endeavor to promote public awareness, exchange information, and support research programs associated with the conservation and management of bats.

11.2.6.5  Agreement on the Conservation of Small Cetaceans of the Baltic, North East Atlantic, Irish and North Seas, 1991 New York (ASCOBANS) (under the Framework of the Bonn Convention) This was a regional agreement opened for signature in Geneva in 1991 and UN Headquarters in 1992 and thereafter was implemented in 1994 under the patronage of the UNEP the 1979 Convention to the conservation of migratory species of wild animals. There are ten Parties to this Agreement, including Belgium, Denmark, the EU, Finland, France, Germany, Lithuania, Poland, Sweden, the UK, and the Netherlands. Cetaceans are migratory and hence confront threats from anthropogenic activities. This Agreement is one of the binding environmental agreements. It comprised individual conservation and management plans for whales, dolphins, and porpoises. The name, Agreement on the Conservation of Small Cetaceans of the Baltic, North East Atlantic, Irish and North Seas (ASCOBANS) was adopted in 2003 from the earlier name Agreement on the Conservation of Small Cetaceans of the Baltic and North Seas with the extension of the area covered. The Parties remembered the overall values of conservation and sustainable utilization of the natural resources as mirrored in the World Conservation Strategy. The Parties were concerned and aware of the declining status of the small cetaceans in the Baltic and North Seas and recognized that they are a vital component of the oceanic ecosystem. The Parties agreed to work together to reach a favorable conservation status for these small cetaceans. Each Party shall, within its jurisdictional limits and also complying with the international norms, take measures for conservation, management, and research activities. Several species like the harbor porpoise, bottlenose dolphin, common dolphin, white-​ beaked dolphin, Atlantic white-​sided dolphin, striped dolphin, Risso’s dolphin, long-​finned pilot whale, northern bottle-​nosed whale, killer whales are protected under this agreement. The harbor porpoise is the flagship species of this agreement as it is the only indigenous cetacean of the Baltic Sea. Small cetaceans refer to the species, subspecies, and populations of toothed whales Odontoceti, except the sperm whales. Some of the key species protected are Delphinus delphis, Lagenorynchus acutus, L. albirostris, Stenella coeruleoalba, Phocoena phocoena, Tursiops truncates, Orcinus orca, Hyperoodon ampullatus, and so forth. The ‘Area of the Agreement’ includes the marine areas of ‘the Baltic and North Seas and contiguous area of the North-​East Atlantic, as delimited by the shores of the Gulfs of Bothnia and Finland; to the south-​east by latitude 36°N, where this line of latitude meets the line joining the lighthouses of Cape St. Vincent (Portugal) and Casablanca (Morocco); to the south-​west by latitude 36°N and longitude 15°W; to the north-​west by longitude 15°and a line drawn through the following points: latitude 59°N/​longitude 15°W, latitude 60°N/​ longitude 05°W, latitude, 61°N/​longitude 4W; latitude 62N/​longitude 3W; to the north by latitude 62°N; and including the Kattegat and the Sound and Belt passages.’ 447

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The Parties were required to create a Secretariat and Advisory Committee in their first meeting and should brand a Coordinating Authority for activities under the ASCOBANS. An annual report is required to be given by each Party to the Secretariat by 31 March. The Coordinating Authority is to function as a contact point for the Secretariat and the Advisory Committee. The coordinating body is the ASCOBANS Secretariat at Bonn. It disseminates information to the Meeting of the Parties and the Advisory Committees, gathers information, and raises awareness. The Advisory Committee established various working groups like the Jastarnia Group, North Sea Group, Bycatch Working Group, Noise Working Group, etc that look after the issues of bycatch, underwater noise, pollution, marine debris, extension area, large cetaceans, and others.

11.2.6.6  Agreement on the Conservation of African-​Eurasian Migratory Waterbirds (AEWA), 1995 The Hague (under the Framework of the Bonn Convention) A multilateral agreement was presented for signature in 1995 at the Hague under the patronage of the UNEP –​the 1979 Convention to the Conservation of Migratory Species of Wild Animals and implemented in the year 1999. The objective of the Agreement is to maintain a promising conservation status of the African-​Eurasian migratory waterbird species. Almost 255 species of water birds are covered under this Agreement covering 118 nations. The Contracting Parties contemplate migratory birds to be an integral component of global biodiversity, recognize the urgency to prevent its declining population, aware of the fact that these birds are especially vulnerable owing to their migratory habits, as well as of their socio-​economic, cultural, and recreational values. The Area of Agreement is the area of migration of these birds, roughly stretching from the Arctic to South Africa, including Russia, the Canadian archipelago, Middle East, Europe, and Asia. The Area of Agreement is demarcated in Annex I to the AEWA and covers one hundred and nineteen Range States. The Seventy-​nine States, out of these are Contracting Parties to the Agreement. ‘Waterbirds’ refer to the avian species biologically reliant on wetlands for at least a portion of their life cycle. The Parties are required to ensure all collaborative measures applicable within the parameters of their national jurisdiction for restoration of these birds to favorable conservation status. Special attention is needed to be given to the endangered waterbirds and those with unfavorable conservation status. For this purpose, the Parties should be able to recognize their habitats in their respective territory and promote the safeguard, management, rehabilitation, and re-​establishment of these places. Each Party is required to examine the problems that arise out of anthropogenic activities and attempt to implement the remedial measures. Any utilization of these species should be sustainable and supported by the best available knowledge. The parties are required to cooperate in emergencies that call for combined and rigorous exercise at a global level. The Agreement prohibits any deliberate introduction of alien species of waterbirds as well as take preventive measures to stop any such unintentional introduction. The Agreement provides for initiating or supporting research into the ecology and biology of these birds along with monitoring methods. The Parties should organize awareness programs and exchange information with each other regarding research, monitoring, conservation, and educational programs. The Agreement draws out an Action Plan that focuses on conservation of species along with their habitats, research, monitoring, information and education, management of 448

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anthropogenic activities, and implementation of the measures. The Action Plan is reviewed at the Meeting of the Parties (MOP) in compliance with the conservation strategies, and any revision suggested is to be adopted by the Meeting of the Parties.

11.2.6.7  1996 Agreement on the Conservation of Cetaceans of the Black Sea, Mediterranean Sea and Contiguous Atlantic Area (ACCOBAMS) This legally binding agreement was negotiated in Monaco on 11 November 1996 and got implemented on 1 June 2001. The Agreement emphasizes the conservation of Odontoceti or Mysticeti. The Parties shall take all necessary measures for attaining and upholding a favorable conservation status for the cetaceans. No acquiring of the animals is permitted. The Parties shall maintain a grid of specially protected areas for the conservation of the cetaceans. Exceptions to prohibitions in acquiring include emergencies and non-​lethal in situ research. The text was further amended in 2001 to widen the scope. The Agreement has a detailed conservation plan in Annex 2 to the Agreement.

11.2.6.8  Agreement on the Conservation of Albatrosses and Petrels (ACAP), 2001 The Agreement was negotiated in Canberra 2001 and enforced in 2004; it emphasized the safeguarding of the populations, subspecies, and species of albatrosses and petrels to attain and uphold a favorable conservation status. It protects around 30 different species of albatross and petrels: all the 22 species of albatross belonging to 4 genera and the species of petrels from Macronectes, Procellaria, and Puffinus under the Order Procellariiformes. Twenty of the enlisted species are globally threatened. For achieving the objective, the Parties shall take the individual as well as collective measures. To conserve the animals, the Agreement calls for restoration of their habitats, elimination of alien species, capacity building, encouraging research and monitoring, exchange information, education, and public awareness, and employing actions to remove or minimize adverse activities on these groups. The Secretariat of this Agreement is located in Hobart, Tasmania comprising an Executive Secretary, a Science Officer, and an honorary Information Officer.

11.2.6.9  Agreement on the Conservation of the Gorillas and Their Habitats, 2007 The multilateral agreement was negotiated in 2007 in Paris and enforced on 1 June 2008 and covers ten gorilla Range States. They are Angola, Cameroon, Congo Republic, Democratic Republic of Congo, Central African Republic, Equatorial Guinea, Gabon, Nigeria, Rwanda, Uganda. The objective of this Agreement was to ensure all necessary efforts to conserve and sustain a favorable conservation status of all populations of the gorilla. The Parties shall identify the gorilla habitats and establish measures for ensuring a grid system of befitting habitats throughout the Range States. The Parties shall also try to eliminate activities related to poaching, enforce stricter laws, develop corridor, man-​wildlife conflict implements efficient monitoring, especially in transboundary habitats, support capacity building, investigate the problems caused by human activities, support research activities, develop programs on education and awareness, exchange information, and so forth.

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The Agreement comprises the Meeting of Parties (MOP) and the Technical Committee. The MOP is the decision-​making body advised by the Technical Committee. The designated authorities shall be undertaking cross-​sectoral coordination of actions and events that might have a bearing on the conservation status of gorillas. The four gorilla subspecies (i.e., the Western Lowland gorilla –​Gorilla gorilla gorilla, the Cross River gorilla –​Gorilla gorilla diehli, the Eastern Lowland gorilla –​Gorilla beringei graveri, and the Mountain gorilla –​ Gorilla beringei beringei) show variation in terms of threat and demand variable conservation needs. So, there are different Action Plans available for each group. The Agreement is overseen by the CMS Secretariat that works in close cooperation with the UNEP Great Apes Survival Partnership (GRASP), CITES and the Primate Specialist Group of the Species Survival Commission of IUCN.

11.2.7  The Convention to the Conservation of European Wildlife and Natural Habitats (Bern Convention, 1979) Bern, Switzerland The role of wildlife is well recognized along with the scientific, the economic, cultural, recreational, and aesthetic value of these wild plants and animals and also their role in ecosystem homeostasis. It was also noted that such numbers have been on a decline in the past years, and conservation seemed imminent; it recognizes the utmost need for national programs and international cooperation in protecting those species. The Council of Europe drew up the ‘Convention to the conservation of European Wildlife and Natural Habitats,’ which was drafted by the ad hoc Committee for the Protection of Wildlife and thereafter accepted by the Committee of Ministers to formulate an environmental policy for the pan European regions. This Convention aims to conserve the natural habitats together with European wild plants and animals with special emphasis on the endangered and vulnerable category, including the migratory species in Europe. The Convention is a legally binding multilateral Agreement opened for signature in 1979, Bern. This took place at the third European Ministerial Conference on the Environment by the Member States of the Council of Europe as well as the Non-​member States that have contributed to the expansion and by the EEC. The Convention was implemented in the year 1982. The Convention received widespread acceptance over the years with 51 Parties from most of the States of the European region, including the European Union and States that are non-​members of the Council of Europe, Belarus, Burkina Faso, Morocco, Senegal, and Tunisia. Article 1 states that the Member States of the Council of Europe ought to seek better unity and cooperation amongst the States in the matters related to the conservation of wild plants and animals along with the natural habitats. Exceptional consideration should be given to the endangered and vulnerable category, including the migratory species. Despite scarcity, emphasis should be given to conserving flora and fauna in their native habitats. The term ‘Europe’/​‘European’ is deliberately left out as many of the European species occur outside Europe, and there can be visiting migratory animals. The Convention aims to conserve natural habitats and the European wild plants and animals with special emphasis on the endangered and vulnerable category, including the migratory species. Article 2 follows the principal obligation that follows from the objective stated in Article 1. All essential measures need to be taken not only to ensure a corresponding population of natural plants and animals corresponding to the ecosystem’s scientific and cultural necessities but also in tune with economic and recreational necessities. To keep in tune with the objectives, Article 3 outlines the overall commitment for the Contracting Parties, that is, to 450

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take necessary individual measures through promoting in the national policies, placing concern for conservation in regional policies and pollution control, and by encouraging edification and information. Article 4 emphasizes that in doing so, the Parties should conserve and protect the habitats, including wetlands and biogenetic reserves. Special emphasis should be given to the regions that are crucial to the migratory animals mentioned in Appendices II and III, including their migratory paths. Article 5 sets out the guidelines for the Parties to especially safeguard the plants in Appendix I. The Parties should take the necessary legal and administrative steps for protecting the wild plant species in Appendix I list and prohibits any deliberate picking, collection, cutting, or uprooting of the species. The provision regulates any internal trade in endangered species, excluding the regulation of CITES. Article 6 contains the guidelines for the Parties to confer special security to the animals in Appendix II and the habitats from any adverse impacts. Any type of deliberate activities such as capturing, keeping disturbing during breeding rearing and hibernation, destructing of their eggs, or even damaging their breeding sites are prohibited by law. The prohibition does not apply to possess animals, living or dead, and their body parts for internal trading purposes. There should not be any contradictions with other international instruments. It prohibits any type of disturbance to wild animals. The Convention provides for regulated use of wild animals mentioned in Appendix III list under Article 7. The Convention also provides for exceptions to the aforesaid provisions as long as it is not harmful to the existence of the population concerned. There can be some extent of legitimate exploitation in a particular State, but such shall not threaten or jeopardize the concerned animal population. Any capture and killing of animals on a large scale and non-​selective fashion are banned under Article 8, excluding exceptions. Under Article 9, exceptions are considered when killed for humanitarian reasons or in a case of emergency without any viable options. Exceptions stand valid when there is no other alternative left with, for instance, protection of crops, livestock, forests, fisheries, for the sake of public health safety, for research and education, for judicious exploitation of specific wild flora and fauna. Article 10 places a special focus on the safeguarding of migratory species. Parties are required to promote inter-State cooperation, research activities, and re-​ introduction of species under Article 11. The ad hoc committee ensures an explicit relation between the Bern Convention and the domestic legislation and other international agreements under Article 12. In Article 13, the Parties expressed the necessity for regular meetings in order to develop a common and harmonized program. A Standing Committee is required to be established for the proper functioning of the Convention on the conservation of European Wildlife and Natural Habitats. The Member States that are non-​Party can participate as an observer, although the decision for the admittance of such lies with the Contracting Parties. Article 13 reminds the main purpose of the Standing Committee, i.e., to ensure the provisions and appendices of the Convention. Article 15 briefs about the creation of the Committees in the framework of Council of Europe Conventions to make reporting to the Committee of Ministers. Any amendments to the articles suggested by the Contracting Parties shall be passed to all signatories, Parties, and the Member States of the Council of Europe through correspondence, as mentioned in Article 16. Substantive provisions must be adopted by the Standing Committee, whereas operational provisions are adopted by the Committee of Ministers. Article 17 states that amendments to the appendices may be proposed by the Contracting Parties or by the Committee of Ministers. It shall only be adopted if it receives a 2/​3rd majority of the Contracting Parties in the 451

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Standing Committee. Article 18 throws light on ways of settling disagreements. Article 19 –​24 deals with the final provisions, accession to non-​Members, signature and ratification requirements, depository, withdrawal, and so forth. (for detailed reference go to Annexure B XI –​11.2.7)

11.2.8  The Convention for the Conservation of Antarctic Marine Living Resources (CCAMLR), Canberra, 1980 The Antarctic ecosystems over the past few decades were facing an increasing threat owing to the exponential commercial increase in interest in its fisheries, especially the krill. It was indeed a multifaceted reaction to anxieties that uncontrolled rises in krill catches in the Southern Ocean might be damaging for Antarctica oceanic ecosystems, predominantly for seabirds, seals, whales, and the fishes that are dependent on these krill for sustenance. The Antarctic Treaty Consultative Meeting being advised by the Scientific Committee on Antarctic Research hosted a ‘Conference on the Conservation of Antarctic Marine Living Resources,’ the outcome of which is the Convention for the Conservation of Antarctic Marine Living Resources (CCAMLR). The CCAMLR is a multilateral worldwide Agreement approved at the meet at Canberra, Australia, 7–​20 May 1980. The Convention for the Antarctic Marine Living Resources comprises of: - thirty-​three Articles, - an annex, connected to an adjudication court. Article 1 –​The Antarctic Marine Living Resources Convention applies to the area lying south of 60OS latitude and the living organisms lying between this latitude and the Antarctic Convergence. It comprises the waters neighboring to Kerguelen and Crozet Islands on which the French government takes control, and to waters neighboring to additional islands within the expanse to which the agreement is applicable, on which the presence of State dominion is acknowledged by each of the Contracting Parties. The agreement applies to the entire Antarctica finfishes, mollusks, crustaceans, and seabirds population occurring south of the Antarctic Convergence (the Convention Area). Marine resources such as whales and seals are specifically excluded since they are included under other agreements –​explicitly, the ‘International Convention for the Regulation of Whaling’ and the ‘Convention for the Conservation of Antarctic Seals.’ Article 2 –​The Convention aims to conserve and make rational use of maritime resources in Antarctica. Harvesting and relevant activities are permissible as per the provisions. Permissible limits are set to avert the reduction in the magnitude of the harvested population below a certain level. Restricted harvesting guarantees the maximum net yearly increase and its stable recruitment. Harvesting activities should not disturb the ecological relationship between the harvested and dependent and related populations of the oceanic resources of the Antarctic. Article 3 –​The Contracting Parties, irrespective of being non-​Parties to the Antarctic Treaty, agreed not to pursue any activities or engage in any such violations in the Antarctic Treaty area that goes against the values and resolutions of the Antarctic Treaty as well as their interrelationship. The Contracting Parties are devoted to the provisions given in Article I and Article V of the Antarctic Treaty.

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Article 4 –​All Contracting Parties, including those who are non-​Parties to the Antarctic Treaty, are obliged by Article IV and Article VI of the Antarctic Treaty concerning one another. There shall be no activities under this Convention to assert, support, or refute a privilege to the regional authority in the Antarctic Treaty area or declare any constitutional privileges of dominion in the Antarctic Treaty area. Article 5 –​The Contracting Parties that are non-​Parties to the Antarctic Treaty accept exceptional commitments and accountabilities of the ‘Antarctic Treaty Consultative Parties’ to protect and conserve the Antarctic Treaty area. Such Parties that are non-​Parties to the Antarctic Treaty agreed that they should be observing the ‘Agreed Measures for the Conservation of Antarctic Fauna and Flora’ that have been suggested by the ‘Antarctic Treaty Consultative Parties,’ appropriately to fulfill their duty towards the protecting the Antarctic environment. Article 6 –​The Convention contains no such provisions that prejudice the privileges and commitments of the Contracting Parties under the ‘International Convention for the Regulation of Whaling’ and the ‘Convention for the Conservation of Antarctic Seals.’ Article 7 –​The Contracting Parties come to an understanding to establish the ‘Commission for the Conservation of Antarctic Marine Living Resources.’ Article 8 –​The Commission for the Conservation of Antarctic Marine Living Resources possesses the legitimate capacity, and this commission, along with its staff, enjoys the rights and immunities in the territory of a State Party according to the settlement amongst the Commission and the concerned State Party. Article 9 –​defines the tasks of this Commission for the fulfillment of the obligations of this commission. The services include the promotion of research and comprehensive studies of the Antarctic oceanic ecosystem and its resources, a compilation of data on the status and any change in the marine resources, dissemination, and publication of information and record, identifying the conservation requirements, and analysis of the efficacy of conservation efforts, formulating, revising and adopting of new steps, and so forth. Article 10 –​The Commission shall be drawing the thoughtfulness of any State that are non-​Parties to this Convention. This shall be regarding any activities by their citizens or ships, so as to affect the enforcement of the objective of the Commission. The Commission shall also be drawing the attention of any Contracting Parties regarding any activities of their citizens or their ships that might affect the enforcement of the objective of the Commission. Article 11 –​The Commission looks for the participation of the Contracting Parties in subjects linked to the protection of related species and their stocks both in the regions that lie in the adjoining areas where the Parties have jurisdictional control and to the area covered under this Convention. Article 12 –​The Commission shall take the decision either based on unanimity or by a simple majority of the members of the Commission as the case might be and also in harmony with the provisions. Article 13 –​Hobart, Tasmania shall be the headquarters of the Commission. Regular meetings are to be held with the first meeting to be summoned by the Depository. Article 14 –​The Contracting Parties should be establishing a ‘Scientific Committee for the Conservation of Antarctic Marine Resources’ that shall be acting as a counseling body to the Commission. In cases, the commission might seek advice from other experts on an ad hoc basis. 453

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Article 15 –​The Scientific Committee shall be the platform for discussion and participation related to any studies, information sharing of the oceanic living resources. They are responsible for developing standards and procedures of conservation, analysis of data, appraising the impacts of any proposed changes, evaluating the trends in the stock of Antarctic oceanic life, reporting to the Commission, conceiving international and national plans of research programs in such resources, and so forth. The subsequent articles mostly deal with meeting of the committee, their modes of appointments of the chair, the languages of communication, the budget and financial activities, reporting of information from the Parties to the committee via the Commission, violation, consultation, and participation with Antarctic Treaty Consultative Parties of any matters, the system of observation and surveillance, settlement of any disagreements, signature, approval, ratification and implementation requisites, accession, amendments, withdrawal, and so forth.

11.2.8.1  The Indian Context The Convention for the Conservation of Antarctic Marine Living Resources is a component of the Antarctic Treaty system and ratified by 35 States, including India. India held the meeting of the Working Group on Ecosystem Monitoring and Management of the CCAMLR in 1998 at Kochi. The working group applauded the activities of the Indian scientists during their first Indian Krill Expedition for Sagar Sampada in the Antarctic waters.

11.2.9  The International Tropical Timber Agreement (Expired), 1983 The International Tropical Timber Agreement (ITTA, 1983) is a contract to deliver an operative basis for collaboration amongst the tropical timber producers and customers and to reassure the improvement of national strategies meant for using sustainably and conserving tropical woodlands and their genomic properties. The ‘International Tropical Timber Organization’ was established under this treaty. It was put into force on April 1, 1985; this contract terminated with the enforcement of the International Tropical Timber Agreement, 1994.

11.2.10  The Convention on Biological Diversity (CBD) or Biodiversity Convention, Nairobi, 1992 The rich biodiversity is intrinsic to our economic and social wellbeing, and it is our growing concern that such wealth is under severe threat mostly caused by human activities. Each and every species is distinctive and serves as a unique evolutionary milepost that is irreplaceable once it becomes extinct. By the eighties, it was realized that existing environmental policies were insufficient to cope with the magnitude of issues related to biodiversity. In 1988, the UNEP organized the meeting of the Ad Hoc Working Group of Experts on Biological Diversity in pursuit of the need for a global instrument on biodiversity. Sooner, in 1988, the UNEP formed the Ad Hoc Working Group of Technical and Legal Experts for drafting an international instrument, which later emanated to be recognized as the Intergovernmental Negotiating Committee in 1991. Their effort took the form of the draft of the Convention 454

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on Biological Diversity that was adopted at the ‘Nairobi Conference for the Adoption of the Agreed Text of the Convention on Biological Diversity.’ The Convention was released for signature on 5 June 1992 at the United Nations Conference on Environment and Development (the Rio ‘Earth Summit’) and UN headquarters, New York, from 15 June 1992 to 4 June 1993. The Convention on Biological Diversity (CBD) got implemented on 29 December 1993 with its Secretariat in Montreal, Canada. Currently, there are 193 Parties. The Parties adopted a Strategic Plan, a ten-​year program (2011-​2020) in 2010 applicable to all stakeholders and the countries to protect biological diversity along with the benefits it provides us. Article 1, the CBD pursues 3 core purposes: * The conservation of biodiversity * The sustainable use of the constituents of biodiversity * The fair and equitable sharing of the benefits arising out of the utilization of genetic resources that comprises suitable accessibility to genetic resources along with transference of suitable technologies considering complete rights on resources and technologies and proper funding. Article 2 provides the necessary definitions of the terms used in the text. Article 3 states the principle of CBD. The States possess their sovereign rights for exploiting their resources within their policies in a way not damaging to the environment within their authority and beyond. Article 4 states the scope of authority of the Contracting Parties, which is the national jurisdiction for the biodiversity components and extends beyond the jurisdictional control for any processes and activities. Article 5 seeks cooperation between the Contracting Parties for achieving the aims. Article 6 outlines the general measures and requires the Parties to develop plans, programs, and tactics nationwide, pursuant to the aims and additionally want its integration into cross-​sectoral plans. Article 8 seeks the Parties to recognize the components, perform sampling and surveillance, and mark the processes expected to exert undesirable effects on the conservation and sustainable use of biological diversity. Article 8 emphasizes in situ conservation requiring the Parties to the Convention to declare a system of protected areas with distinct steps to be ensured for conserving biodiversity; necessitate the development of guidelines for selecting, establishing, and managing such areas. It provides for appropriately planning for the important biological resources to be conserved, safeguarding of natural ecosystems and habitats for the viability of species, rehabilitation, and restoration of ruined habitats to salvage endangered species, deterrence to the introduction of alien species that might threaten the ecosystem, safeguarding and respecting the traditional knowledge, techniques of indigenous people subject to the national laws with proper funding to promote in situ conservation. Article 9 comprises the provisions for ex situ conservation wherein each Party to the Convention in order to complement in situ steps must ensure the conservation of biodiversity outside their natural habitats in their country of origin with the provision of suitable facilities to do so along with research; it initiates steps for recovering and rehabilitating the endangered organisms along with their reintroduction into their natural habitats.

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Article 10 emphasizes the adoption of measures ensuring sustainable use of biodiversity components, safeguard, and facilitate its use in tune with traditional cultural practices. Article 11 directs the Parties for the adoption of sound socio-​economic means that might work out as enticements for conservation and sustainable use. Article 12 encourages extensive research and training programs. Article 13 encourages community edification and awareness to make them understand the significance of conservation and the sustainable benefits to be received out of biodiversity. Article 14 calls for the need for EIA in proposed projects that can affect biodiversity. Article 15 recognizes the rights of the States over their natural resources and also their access to genetic resources within the purview of national laws. The Convention provides for promoting the accessibility to genetic resources by other Parties for environmentally sound utilization based on reciprocally fixed terms. Article 16 –​The Parties should recognize biotechnology as a means of technology and also accept the attainment of the Convention aims through access to and transfer of technology between the Parties. The Developing nations are to receive the technology transfer on mutually agreeable, justifiable, and suitable conditions, including subsidies and favorable terms. Any technology transfer related to patents and IPRs should be done accordingly to protect the IPRs. Parties should ensure mutually supportive objectives instead of being counteractive in case IPRs affect the enforcement of the Convention in keeping with national and international laws. Each Party in keeping with legal and strategic measures facilitates collaboration and technology transfer between the government organization and private sectors. Article 17 –​The Parties should encourage information interchange from available open sources meant for biodiversity conservation and sustainability, keeping in mind the special requirement of the developing countries. The information should comprise of technological, social, and economic research and also any relevant information about the scientific investigation, training, specific information, native and traditional knowledge. Article 18 –​provides for the promotion of global technical and scientific collaboration through proper global and national establishments with special emphasis on developing nations through consolidation of national capabilities, human resource development, institution building, involving traditional and native processes, in keeping with the national laws and policies. The establishment of joint research programs and projects for technology development should be based on mutually agreeable terms and conditions. Article 19 –​provides for the Parties, especially the developing nations that furnish genetic resources for research, to seek lawful, strategic steps for providing operative participation in activities related to biotechnological research. The Parties shall confirm all steps for the promotion and advancement, on a reasonable and justifiable basis, and also to the consequences and advantages that arise out of activities in biotechnology. Parties are needed to ponder the requisite for and modalities of the Protocol to establish suitable steps in the field of safe transfer, handling, and use of LMOs ensuing from biotechnology. Articles 20 and 21 deal with financial resources and financial mechanisms, respectively. Article 22 states its relationship with other international Conventions. Article 23 provides for the establishment of the COP, Article 24, for the Secretariat. For providing advice to the COP, Article 25 provides for the creation of the Subsidiary Body on scientific, Technical and Technological Advice. The subsequent articles deal with reporting, settlement of disputes, amendments, and its adoption, right to voting, association with its Protocols, requirements 456

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for signature, ratification, accession, implementation, reservations, withdrawal, interim arrangements, depository, and so forth. The first treaty on wildlife was in 1902 known as the Convention for the Protection of Birds Useful to Agriculture. Various organizations such as the WCU and the WWF have long been trying hard to recognize the endangered species and establish policies for solving this problem. In the 1980s, scientists, lawyers, and activists played a crucial part in placing the protection of biodiversity in the international platform where they pushed through the window and favored global solutions. Though the IUCN and WRI tried promoting a biodiversity treaty, the UNEP finally resolved to create it. The drafting is contemporary to that of UNFCC. Such a rapid process resulted in an unmanageable agenda with conflicting objectives and priorities –​first, the goals. For developed nations, it was conservation, and for developing nations, it was sustainable utilization of biological resources. This resulted in North-​South discord. The Rio 1992 deadline left little time for compromises. The USA refused to sign. The negotiating session followed after a crowded number of issues to the satisfaction of the USA with ambiguous commitments and vague phrasing. The CBD gained popularity due to USA refusal. The biodiversity-​rich nations visualize the CBD as their sovereign right to their genetic resources and to facilitate impartial sharing of benefits arising out of biodiversity. Of the first thirty ratifications needed, all were developing nations except Japan. On the other hand, the CBD’s ecosystem-​based approach reaffirms State’s control on its resources and notes that biodiversity is a common concern of everybody. The tone is aspirational, with no targets and deadlines to be achieved. All Parties are obligated to formulate national policies to conserve and sustainably use the resources that could focus on setting priorities as per need. The Jakarta Mandate draws our attention to the crucial issue of marine biodiversity. Being an instrument, the CBD faces problems at principle and implementation levels due to the existence of several wildlife boards, the fact that biodiversity loss is invisible, and it is masked by the dominating UNFCCC.

11.2.10.1  The Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from Their Utilization (Nagoya Protocol, 2010) The Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their use to the CBD is a global contract that targets at: ‘fair and equitable sharing of the benefits arising from the utilization of genetic resources, including by appropriate access to genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and to technologies, and by appropriate funding, thereby contributing to the conservation of biological diversity and the sustainable use of its components.’ The Nagoya Protocol was adopted by the COP to the CBD on 29 October in 2010, Nagoya Japan at its tenth meeting and was placed for signature at UN Headquarters from 2 February 2011 and implemented on 12 October 2014, ninety days after the date of deposit of the fiftieth instrument of ratification. The Protocol also protects traditional knowledge-​ related genetic resources that are covered under CBD. Article 5 –​The benefits arising out of the use of genetic resources, together with its application and commercialization, should be shared in reasonable and justifiable ways with the country that offers the resource or is the state of origin. The shared benefits can be monetary or non-​monetary. Such benefits are also to be shared with the indigenous and local 457

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communities if such knowledge is traditional on mutually agreeable terms ensuring all legal and strategic procedures. Article 6 –​To protect the sovereign rights about local access and benefit-​sharing laws, the use of genetic resources requires an advanced, informed agreement of the country that is supplying the genetic resources. As per Article 29, the Parties need to monitor and report the enactment of the commitments of the Protocol. Article 30 requires the promotion of compliance in harmony with the provisions of the Protocol as per the approved procedures and institutional mechanisms. Article 31 affords an evaluation of the efficacy of the Protocol post 4 years of its enforcement. At Nagoya, the ‘Aichi target’ was adopted by the CBD, which is a short-​term strategic plan for biodiversity and comprises twenty time-​bound, measurable objectives to be achieved by 2020. Strategic Goal A: Addressing the fundamental reasons for loss of biodiversity by mainstreaming biological diversity across governments and societies. i. People to be made aware of biodiversity values. ii. Development should integrate biodiversity values along with poverty reduction proposals. iii. Elimination or phasing-​out or reforming of subsidizations that are detrimental to biological diversity. iv. Production and consumption to be sustainable. Strategic Goal B: Decreasing direct pressure on biological diversity and endorsing sustainable utilization. v. vi. vii. viii. ix. x.

Reducing the rate of natural habitat loss and forest by a minimum of 50%. Overfishing to be reduced. Agriculture, aquaculture, and forestry practices to be sustainable. Reducing the pollution and extreme usage of fertilizer. Averting invasive alien species. Decreasing choral reflow annihilation and ocean acidification.

Strategic Goal C: Protecting the genetic, species and ecosystem diversity to enhance the biodiversity status. xi. Conservation of terrestrial areas and water bodies –​inland, coastal and oceanic area. xii. Averting threatened species extermination. xiii. Maintaining genetic diversity of ago-​plants, domesticated animals, and minimizing genetic erosion. Strategic Goal D: Improving benefits for all from biodiversity and ecosystem services. xiv. xv. xvi.

Fortifying ecosystems for women, tribal people, and poor people. Combating desertification and restoration of degraded ecosystem. To make Nagoya Protocol operational through the enactment of national laws.

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Strategic Goal E: Improve enforcement through participatory planning, knowledge management and capacity building. xvii. xviii. xix. xx.

Updating National Biodiversity strategy and action plans for involvement. Integrating the information of tribal communities. Sharing scientific and technological knowledge. Mobilization of financial resources.

11.2.10.2  The Indian Context India is one of the 17 megadiversity hotspots of the world, with 10 biogeographical regions and 25 provinces. It holds 7 to 8% of globally recorded species in 2.4% of the geographical area. Around 96000 faunal species and 47000 floral species have been identified. 33% of plants are endemic to India. Nearly 1500 plants out of 15000 flowering plants are endangered. It is the home of around 60000 insects, 2456 fishes, 1230 avians, 372 mammalian species. Its unique climatic conditions harbor over 440 reptiles and 200 amphibians. It also has wide livestock varieties of cattle, goats, sheep, and so forth. Biodiversity in India is mainly ensured through the enactment of the Wildlife Protection Act 1972 and the Biodiversity Act 2002. Living organisms can be safe and secure when their habitat and physical environments influencing them is optimal. Hence these two Acts are supported by many other Acts. Way back in 1897, the Indian Fisheries Act was enacted to protect fish resources against poisoning, explosives, and dynamites. The fish size, mesh size, and the catch is also specified in this Act. The 1927 Indian Forest Act was a colonial Act. The 1978 Coast Guards Act provided armed coast guards for guaranteed security of the Indian maritime zones to protect it, including artificial islands, terminals, fishermen, and marine environment. The Act calls for substantial penalties for polluting the port waters. The Coast Guard operates under the Ministry of Defense to fight oceanic pollution. Ship-​ related oil pollution and offshore pollution could be detrimental to marine organisms and are partly regulated by the 1958 Merchant Shipping Act and its revisions. One of the most significant and earliest direct efforts by the Indian parliament was the Wildlife Protection Act 1972 to afford protection to wild animals, birds, and plants to the whole of India except Jammu and Kashmir. The Act comprises 6 schedules to offer varying degrees of protection. Absolute protection is given to Schedule I and part II of Schedule II. Schedules III and IV also receive protection, but penalties for violation are considerably low. Schedule V animals are permitted for hunting. Schedule VI comprises endemic plants that are not allowed for cultivation. It arranges for the establishment of Protected Areas in the form of sanctuaries, national parks, conservation reserves, community reserves, and so forth. WPA provisions for penalties for the hunting of specified fauna are mentioned in Schedules I to IV. The WPA 1972 had set up a National Board of Wildlife that performs an advisory role to the Central and State governments. It is meant for promoting conservation, giving suggestions for protected areas, and controlling poaching illegal trading of wildlife and its products. The Wildlife Crime Control Bureau was set up to regulate illegal wildlife trade, including endangered species. The National Tiger Conservation Authority (NTCA) is the custodian for tiger conservation in India. Before the WPA 1972, the government had enacted the Mining and Mineral Development Regulation Act 1957 and Prevention of Cruelty to animals in 1960.

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To prevent and control water pollution and air pollution, the Water Act 1974 and the Air Act 1981 were passed respectively. Having the 18 largest EEZ, India passed the ‘Territorial Waters, Continental Shelf, Exclusive Economic Zone and Other Maritime Zones Act’ in 1976 but the 1981 Maritime Zones of India (Regulation of fishing by foreign vessels) Act forbids fishing by foreign vessels within EEZ without a permit. The Forest Conservation Act of 1980 provides for the conservation and protection of forests and control deforestation. Forests are a habitat for wildlife. The Environmental Protection Act of 1986 is an umbrella Act providing for the protection and improvement of the environment. Under the EPA 1986, the Coastal Regulation Zone Notification of 1991 classified the coastal zone into 4 categories to specify activities permissible and forbidden in those areas. The CRZ Notification was revised in 2018. The Deep Sea Fishing Policy of 1991 envisioned joint venture, test fishing, and leasing. It permitted vessels leased under the 1986 policy to continue until validity. No one is allowed to avail the actual catch of the offshore industrial vessels that are functioned by Indian companies under full foreign ownership. The 1995 Land-​Ocean Interaction in the Coastal Zone (LOICZ) Project is an international research program targeted to forestall and respond to the interface of global changes and local pressures that influence coastal change. In 1996, the Supreme Court intervened and urged all coastal states to prepare Coastal Zone Management Plans (CZMPs). The Orissa High Court in 1998 made fish trawlers with mandatory Turtle Exclusion Devices (TED) in Orissa. The Ocean Observation and Information Services (OOIS) 1997–​1998 generate reliable oceanographic data. The Integrated Coastal and Marine Area Management Project (ICMAM), 1998, under the Ministry of Earth Sciences (MOES) aimed at integrated management of 11 critical habitats and developed model plans for Chennai, Goa, and Gulf of Kutch, and the like. One of the main activities is the usage of GIS as a ‘Decision Support System’ in managing critical habitats such as mangroves, coral reefs, and so forth. The Biodiversity Act 2002 protects and conserves the Indian biodiversity, delivering ways for equitable sharing of benefits that arise out of using indigenous knowledge. The law provides for the establishment of the National Biodiversity Authority (headquartered in Chennai) and State Biodiversity Boards. The Wetland (Conservation and Management) Rules 2010 offers guidelines for wetland protection, further revised in 2017. This is added with a National Plan for Conservation of Aquatic Eco-​System, which started in 2013, extends assistance to the states to deliver holistic conservation and restoration of lakes and wetlands, including the Ramsar sites. This plan was formed by merging the National Lake Conservation Plan and National Wetlands Conservation Program to prevent administrative overlapping. Apart from this, the National Environmental Policy 2006 is backed up by the National Forest Policy 1952 and 1988, the National Conservation Strategy and Policy Statement on Environment and Development 1992, the National Biodiversity Action Plan, the National Agricultural Policy 2000, and the National Water Policy 2002 and 2012. To comply with the obligations under the CBD, India needed to prepare a National Biodiversity Strategy and Action Plan for enforcing; hence established a National Policy and macro-​level action strategy on Biodiversity 1999. The Bombay Natural History Society (BNHS) and Salim Ali Centre for Ornithology and Natural History are research organizations on wildlife conservation. Vulture Breeding Programs have been started at Pinjore, Buxa, and Guwahati by BNHS. The ‘Integrated Development of Wildlife Habitats’ is a scheme to assist the development of national parks and sanctuaries and has undergone modification to include ‘Recovery of

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Endangered Species.’ The program has undertaken 16 species for recovery –​snow leopard, hangul, Nilgiri tahr, Asian wild buffalo, Manipur brow-​antlered deer, Asiatic lion, Indian rhino, swamp deer, Jerdon’s Courser, dolphin, marine turtles, dugong, edible nest swiftlet, Nicobar megapode, vultures, and Malabar civet.

11.2.10.3  Cartagena Protocol on Biosafety, 2000 The COP1 to the CBD was organized in Nassau Bahamas in 1994. It considered the stipulation of and modalities of a Protocol to deal with issues of biosafety. A panel of experts met in 1995 in Cairo. Later, an Ad Hoc Group on Biosafety attended the meet in 1995 Madrid and backed the making of a biosafety Protocol. In the same year, 1995, the COP deliberated the outcome of the experts’ work and concluded to form an open-​ ended Ad Hoc Working Group on Biosafety (BSWG) to formulate a biosafety Protocol. The BSWG met six times between 1996 and 1999, with a lot of disagreements. Just after the sixth meeting of BSWG in Cartagena 1999, an Extraordinary Meeting of the COP (Ex COP) to the CBD was held where they failed to agree on the text of the Protocol. It was observed that five negotiating groups of nations emerged during the span of these meetings. Each of these groups varied in their opinions related to core issues. They are the Miami Group, the Such as-​minded Group, the EU, the Central and Eastern Europe Group, and the Compromise Group. i.

ii.

iii.

iv. v.

The Miami group (Argentina, Chile, Uruguay, Canada, USA, and Australia –​these countries being the major exporters of GM seeds and crops, interested in free trade without any burden of administrative approval procedures and trade barriers. They wished to retain LMO-​FFPs outside the ambit of the Advanced Informed Agreement procedure. This group backed the ‘savings’ clause and restricted the precautionary principle –​for instance, the USA and Canada’s win against the EU on hormone-​treated beef banning. While the USA and Canada argued on scientific evidence, the EU justified it by the precautionary principle. The Like-​Minded Group comprises the bulk of G77 nations except the 3 in the Miami Group –​they represent the largest block that advocated for a solid Protocol in the context of unidentified impacts of the Living Modified Organisms on health and environment. They wanted to include the LMO-​FFPs under the AIA procedure with identification and documentation requirements based on the precautionary principle. They argued in favor of growing LMOs for consumption in many developing nations. The EU vouched for a rough Protocol that covers the risks to human health, considering the instances of mad cow disease, dioxin-​contaminated chicken, and the like. They strove hard for including LMO-​FFPs under AIA procedure and wanted alternate considerations for controlled use, transit, and pharmaceuticals. The Compromise Group of Japan, Mexico, Norway, Singapore, South Korea, Switzerland, and New Zealand intended to bridge the major gaps between the negotiators by establishing alternating formulations. The Central and the Eastern European bloc (CEE) –​with support for the precautionary principle, references of other global agreements in the preamble, the inclusion of LMO-​FFPs in AIA, emphasized mainly on reasonability and applicability of the various proposals.

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Two informal meetings were held –​one in Vienna in 1999 and another in Montreal in 2000. The crucial and central concerns were discussed, especially the range of this Protocol, the matters of ‘Living Modified Organisms intended for direct use as food or feed, or for processing (LMO-​FFP),’ requirements for documentation, and relationship with other global agreements (e.g., the WTO). Finally, the core issues were resolved in the continued Ex COP. Immediately an informal meeting was organized in Montreal 2000. More than 30 Ministers met, reached a compromise, and the Protocol was approved on 29 January 2000. There was always a debate and uncertainty if the trade-​related obligations of the MEAs were challenged by WTO! The members of the WTO Agreements were bound by several commitments that restrict their rights to limit imports. The State that joined the World Trade Organization turns into a Party to the array of multilateral contracts such as the General Agreement on Tariffs and Trade (GATT), Agreement on the Application of Sanitary and Phytosanitary Measures (SPS), and the Agreement on Technical Barriers to Trade (TBT). The supporters of WTO are concerned with protectionism masked environmental protection setting a hard-​hitting standard for environmental regulations that seek to confine trade. Whereas negotiators of the MEAs do not prefer the trade lawyers to sit and judge environmental regulations. The negotiators included a ‘savings’ clause that implies that nothing contained in this Protocol can change the privileges and commitments of the Parties under prevailing international law. The WTO shall outplay over the MEA in case of conflicting situations. The Cartagena Protocol reaffirms the precautionary principle of the Rio Conference, accepts trade and environment to be reciprocally supportive. Being conscious of the fast advancement in biotechnology also acknowledges the significance of the centers of origin of biodiversity to humanity and its preservation. It ascertains the potential benefits to mankind of modern biotechnology if used with necessary precautions. The Protocol considered the restricted capacity of the developing nations to bear with the magnitude of possible hazards linked with the LMOs. The Protocol comprises 40 Articles and three Annexes. The most important ones are discussed as follows. (For further reference go to www.cbd.int/​doc/​ legal/​cartag​ena-​proto​col-​en.pdf) (For further information see Annexure B XI –​11.2.10.3) Article 1 –​the Protocol aims to ensure a sufficient level of fortification in the arena of safe transfer, handling, and use of the Living Modified Organisms that result from biotechnology. This is because such LMOs might exert adversities in conservation and sustainable use of biodiversity, considering the risks to human health. This Protocol especially focuses on the transboundary movement of the LMOs. Article 2 –​necessitates all Parties to take required legal, administrative measures for the enactment of the commitments under the Cartagena Protocol. Any development, handling, transportation, utilization, transference, and release of LMOs should be done in a way to prevent or lessen the menaces to biodiversity and human health. The autonomy of the Parties regarding their territorial sea should not be affected by the content of this Protocol. The Parties are allowed to take more protective action for conservation and sustainability and are not understood to be restricted by the Agreement. The protocol inspires the Parties to the necessary expertise, tools accepted in global forums with proficiency. Article 3 –​deals with important definitions. Any biological entity that can transfer or replicate genetic material is a ‘living organism.’ It comprises viruses, viroids, and sterile

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organisms. The Protocol defines ‘LMO’ as any living organism possessing a unique genetic combination that is achieved through the use of contemporary biotechnology. Here ‘modern biotechnology’ implies in vitro recombinant DNA technology and cell fusion overcoming the natural physiological barriers and outside the taxonomic family. Article 4 –​The Protocol applies to the transboundary movement, passage, handling, and usage of LMOs that might adversely affect the conservation and sustainability of biodiversity along with probable health hazards to human health. Article 5 –​Any LMOs that serve as pharmaceuticals for humans and spoken by relevant global agreements and organizations are beyond the scope of the Protocol. Article 6 –​the AIA procedure of this Agreement does not apply to the LMOs in transit and contained use. Article 7 –​The AIA procedure in Article 8, Article 10, and Article 12 is applicable before the first intended transboundary movement of the LMOs, but the LMOs meant for direct usage of food or feed, or processing (LMO-​FFPs) is excluded from AIA measures. In the case of the LMO-​FFPs, Article 11 is applicable before the first transboundary movement. The AIA procedure is also excluded for any LMOs recognized by the COP/​ MOP as unlikely to have harmful impacts on conservation and sustainability on biodiversity along with potential health hazards. Article 8 –​The Parties of export or exporter need to inform the competent authority of the Party of the importer in writing before any intended transboundary movement of the LMOs. The information should be following the specifications given in Annex I of the Agreement. The Party of export should verify the legitimate requirement about the correctness of the information given by the exporter. Article 9 –​The importing Party should admit the receipt of the information within 90 days of receiving such notification in writing mentioning the date of receipt of information, its adequateness as per Article 8. The parties might continue as per domestic regulation or according to the guidelines given in Article 10. The domestic regulation should be in tune with the Protocol. Article 10 –​outlines the steps the Party of import needs to follow in deciding on whether they would permit the first transboundary movement of the Living Modified Organisms into their jurisdiction for intended release into their environment. Parties of import are to report to and give consent to the Party of export within 90 days of receiving such notification in writing on if the intentional transboundary movement can progress only after the importing Party has consented in writing or subsequently within 90 days without written consent. The Party of import decides as per the provision in Article 15, i.e., risk assessment. The decision could be based on the precautionary principle and considering social and economic situations. The Party of importation needs to inform the notifier and the BCH about its decision within 270 days of the receipt of notification. Such import cannot progress in the absence of the Party’s communication. The Parties of import might decide the approval of import with/​without conditions, ban the import, request supplementary information, or even prolong the period for making decisions. Lack of adequate scientific evidence and information regarding the negative impacts of the LMO should not be a barrier for the importing Party to make decisions. Article 11 –​This Article is regarding a Party’s final decision on the LMO about commercial growing or placing on the market at the domestic level or exporting the Living Modified Organisms for direct use as food or feed or processing. The final decision should be informed in writing to the Parties and BCH within 15 days of arriving at a 463

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decision. Where needed, the communication should be made with competent national authorities of the Parties. The least possible information that has to be given is per the specifications in Annex II. The Party that takes the decision should be sure about the authenticity of the information given by the applicant. Supplementary information could be sought from authorities by any Party based on Annex II. The decision to import LMO-​FFPs could be taken by the Party based on domestic regulations harmonious with the Agreement targets. Copies of national legislation and guidelines relevant to LMO importation should be sent to the BCH. An emerging nation or EIT without any domestic regulations should give a declaration in advance to the BCH before the first importing any LMO-​FFPs within 270 days and based on risk assessment as per Annex III. Scientific uncertainty would not prevent the Party from deciding about the importation of LMO-​FFP. Article 12 –​Under this Article, the Party of importation might undertake a review and modify the decision regarding transboundary movements across international borders in the context of new scientific information about its impacts. In such cases, the Party should be enlightening the notifier and the BCH in writing justified by reasons within thirty days. The notifier or the Party of exportation might request the Party of importation to look into its decision under Article 10, considering an alteration in the circumstances, availability of pertinent scientific information. The importing Party should send a written response within 90 days, giving valid reasons for its decision. Article 13 –​The importing Party should notify the BCH in advance in situations where premeditated transboundary movements might take place and in cases where imports of LMOs are to be excluded from the AIA process. Article 14 –​Parties could take part in bilateral, regional, and multilateral contracts and measures that relate to premeditated transboundary movements of the LMOs provided it is harmonious with the goal of the Cartagena Protocol. Such information should also be communicated with each other through the BCH. Article 15 –​Risk assessments are to be carried out scientifically, as mentioned in Annex III. Article 16 –​The Parties must institute and uphold suitable procedures, actions, and plans for regulation, management, and controlling the threats recognized in the risk evaluation provisions of this Agreement. Article 17 –​the Parties should ensure all possible steps to inform the affected or possibly affected countries, the BCH, and suitable IOs when it comes to knowing about the release that has occurred in its territory and might result in an unintentional transboundary movement of an LMO likely to harmfully affect the conservation and sustainable utilization of biodiversity considering the threats to health and the environment. Article 18 –​To avoid any harmful impacts of the LMO on health and the environment, the Parties must take all necessary safety steps for handling, packaging, and transportation of the LMOs that should be consistent with applicable international rules and regulations. Proper documentation should accompany the LMO-​ FFPs that are not meant for deliberate release into the environment. Their in-​depth specifications, along with identification, are to be made by the COM/​MOP within 2 years of the implementation of the Protocol. For the LMOs for contained use, all specifications regarding handling, storing, transportation, and usage together with communication point information comprising the name, address of the person or organization to whom the consignment was assigned. For the LMOs meant for deliberate release, all specifications mentioned earlier together with the description of the traits of the LMO, details of the exporter 464

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and importers, and a pronouncement to confirm that the movement is in tune with the provisions of the Protocol. Article 19 –​All the Parties are required to announce one nationwide focal point, which should act as a connection with the Secretariat. Parties are also needed to nominate one or multiple competent national authorities that are liable to accomplish the administrative jobs needed by the Protocol. Article 20 –​This Article mentions the creation of a Biosafety Clearing House (BCH) under Article 18 for facilitating the interchange of scientific, technical, environmental, and legal information. The BCH should be helping the Parties for the enforcement of the Protocol, especially the requirements of the emerging nations. All the Parties should make the availability of any information that is needed to be made obtainable under this Agreement. This might include prevailing rules and legislations for the enactment of the Protocol, the information needed AIA process, synopses of risk evaluation of the LMOs, the final decision regarding any import, and reports submitted. Article 21 –​The importing Parties should allow the notifier to recognize the information submitted under the Protocol. The Parties are required to safeguard the confidentiality of the information received regarding the AIA process of the Protocol. The importing Party is required to refer to the notifier if any information does not qualify to be treated as confidential, but the notifier identifies it as confidential. The decision should be conveyed to the notifier before any disclosure and supported by justification and opportunities for further discussion. No Party of importation could use that private information for commercial purposes without the permission of the notifier in writing. The details of the notifier, the overall description of the LMOs, the summary of risk evaluation about the impacts on conservation and sustainability of biodiversity, emergency planning, and so forth, are not to be regarded as confidential. Article 22 –​Cooperation of all the Parties is needed for reinforcement of the human resources and organizational capacities in biosafety meant for efficient enforcement of the Agreement. The requirements of the LDCs and SIDs for finances and the accessibility to technology transfer should be entirely taken care of as per the requirements of the Convention. Article 23 –​the Parties are required to assist community awareness, impart knowledge, and endorse involvement that involves safe transference, handling, and usage of the LMOs. Article 24 –​Any transfer of the LMOs between Parties and non-​Parties should be in harmony with the objectives of this Protocol. Article 25 –​Every Party is required to adopt necessary internal action to avert and, if required, to penalize any illegal transboundary movements of the LMOs that infringe on its domestic actions for enforcing the Protocol. The affected Party might ask the Party of origin to arrange for deportation or destruction of the LMOs and bear all expenses. Article 26 –​To decide on importing under the Protocol provisions or under domestic measures, the Parties might consider the social and economic circumstances that might arise from the impacts of LMOs on the conservation and sustainability of biodiversity. All Parties are enthused to participate in the exchange of information and research activities on the impacts of the LMOs on any social and economic settings, especially on the native and local communities. Article 27 –​In the first meeting, the COP/​MOP should approve the processes for a suitable explanation of the instructions and ways in the arena of accountability and compensation for the damage that arises out of the transboundary movements of the LMOs. 465

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Article 28 –​The Article requires the Parties to consider Article 20 of the CBD for implementing this Protocol. It regulates the creation and functional aspects of the finance mechanism by establishing the institutional structure. In this Protocol, the Institutional structure is the GEF, which is also the same for CBD. The Article develops a linkage between the finance mechanism and the provisions on capacity building and understands the particular needs of some Parties. Emerging nations and those with EIT could also receive fiscal help and technological means from the industrialized nations through various types of contracts for implementing this Agreement. Article 29 –​The COP will function as the Meeting of the Parties. The Parties to the Convention on Biological Diversity, which are non-​Parties of the Cartagena Protocol, might take part as observers in the COP/​MOP. They are entitled to discuss, intervene, and give proposals. The COP/​CMP bureau guides the Secretariat, should appraise the enforcement of the Protocol regularly, make suggestions and consider amendments, establish subsidiary groups conveying information periodically as per Article 33 of this Protocol. The COP/​MOP meeting should be in combination with the ordinary COP meetings. And any extraordinary meetings of the COP/​MOP should be organized as they would be considered by the COP. Article 30 –​The subsidiary bodies would be given tasks by the COP/​MOP, such as the SBSTA. In this case, consent from the COP of the CBD is not required for assigning tasks to the SBSTA. Article 31 –​The CBD Secretariat should be functioning as the Secretariat of this Protocol. Article 32 –​Any relevant obligations under the CBD should also apply to this Protocol. Article 33 –​The Parties are required to monitor the enforcement of the provisions of this Protocol periodically and inform the COP/​MOP. Article 34 –​the COP/​MOP should be approving collaborative actions and institutional processes to endorse compliance with the obligations of the Cartagena Protocol and also report any case of non-​compliance. Article 35 –​the effectiveness of the Protocol should have been evaluated 5 years after the enforcement of the Agreement and after that at an interval of every 5 years minimum. Article 36–​40 –​The Agreement was open for signature between 15 May and 26 May 2000 at UNO at Nairobi and then in New York between 5 June 2000 and 4 June 2001. The subsequent Articles mention the enforcement mechanism, reservations, withdrawal mechanism, and language of the authentic texts. The Protocol was implemented in 2003 and presently has approximately 172 Parties to it. 11.2.10.3.1  GENETICALLY MODIFIED FOODS

Genetic modification is alternatively known as genetic engineering. With various in vitro nucleic acid methods, genes are isolated from one or many microbes, plants, animals and then inserted into the genetic material of the cell in other organisms. The technique has evolved since 1970. Once successfully inserted, the genes can thereafter be passed on to the offspring of the modified individual by normal reproduction. The new technology was applied to develop medicine and industries as factories. The first genetically modified whole food was ‘Flavr Savr’ tomatoes that got entry into the marketplace in 1994 in America. These methods cross the evolutionary barriers to moving one or multiple genes between the organisms. The commercial application of GMOs in agriculture is restricted to four crops soybeans, corn, canola, and cotton. Till 2001 four countries were growing 99% of all the 466

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GMO crops with approximately 68% in America, 22% in Argentina, 6% in Canada, and 3% in China. Over the years, the number of crops has increased. Fifty-​two varieties were approved in the US, 43 in Japan, 12 in Australia and NZ, 5 in the EU, 4 in South Africa. Genome modification is a contested issue. Agenda 21 of 1992 UNCED stated the potential significant contribution of modern biotechnology to improve healthcare, food crisis, supplying drinking water, detoxification of hazardous wastes, and efficient industrial development processes. Despite these benefits, there remain ethical issues about risks to health, environment, and socio-​economic grounds. Multinational corporations such as the Dow Chemical Company, Dupont, Syngenta, Monsanto produce not only GM seeds but also regulate the entire system of crop yields. Not only do they stop making a profit by selling one product to the farmers but add up even more profit by creating a product system that is designed to work together, for instance, linking the seeds to specific chemicals. Monsanto Roundup seeds are engineered with Roundup herbicides. So, farmers can no longer use the seeds only but use them with the tagged weedicide as well. GM crops fail to do what it claims to be in several ways. It is observed that it is organic farming and not the GM crops that could match in terms of yields. In terms of nutrition, taking the example of ‘golden rice,’ which is supposed to supplement the Vitamin A requirement. The product claims to heal the Vitamin A deficiency in the emerging world but fails to do so in reality. The body simply can’t absorb it without the necessary fats and oils. Another concern is the safety issue regarding its use. Lots and lots of research have been conducted, and they are mostly funded by biotech companies. So, the question remains regarding the 1.1unbiasedness of the results. 11.2.10.3.1.1  The Indian Context  The MOEF in 1989 used the comprehensive definition of an ‘environmental pollutant’ to issue the rules that manage the usage of GMOs under the EPA 1986. So, the GMOs in India are basically under the purview of the Environmental Protection Act 1986. The ‘Rules for the Manufacture, Use, Import, Export and Storage of Hazardous Microorganisms, Genetically Engineered Organisms or Cells’ 1989 delivers the legally binding supervisory structure for the GMOs in India. It is quite apparent that the GMOs are placed in the same group as hazardous microorganisms owing to their suspected possibility of being dangerous. The 1989 Rules demanded the development of guidelines, and the Department of Biotechnology under the Ministry of Science and Technology prepared the necessary guidelines in 1990. The biosafety regulatory framework comprised the 1989 Rules (MOEF) and was revised in 1990, 1994, and 1998 in tune with the guidelines issued by the Department of Biotechnology, covering an array of activities connected to GMOs. It also includes GMO-​related research activities, genetic alterations of green plants, rDNA technology in vaccine development, mass-​scale production, and unintentional release of organisms in the environment, flora, fauna, and products derived from rDNA technology, manufacturing services such as distilleries and tanneries using GMOs. Both the 1990 ‘Recombinant DNA Safety Guidelines’ together with 1994 ‘Revised Guidelines for Safety in Biotechnology’ delivered exhaustive instructions on containment and safe laboratory practices for the genetically modified organisms in agronomic and pharmacological sectors. These guidelines incorporated some significant changes differing from the 1989 Rules in the field of treatment and deliberate release of the GMOs. It is to recall that the 1989 Rules strictly prohibited such discharges except for some special

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circumstances. But the 1990 Guidelines allow releases that come along with a move in emphasis, subject to assessment and management of the environmental and health risks that might happen out of it. The 1998 ‘Revised Guidelines for Research in Transgenic Plants and Guidelines for Toxicity and Allergenicity Evaluation of Transgenic Seeds, Plants, and Plant Parts’ is valid only for transgenics for its utilization in agriculture. Indian assessment basis is not significantly different from the risk evaluation elsewhere but has an additional condition in safety measures. This includes an agricultural assessment of the transgenic crop to decide economic benefits to farmers. This added condition, along with the 1998 Rules, becomes an integral part of technical risk assessment and assessment of environmental and health safety. It was observed that socio-​economic data and dimensions were well reflected in the 2000 July decision for allowing large-​scale field trials of Bt cotton in India. The authority to control genetically modified organisms is shared between the Ministry of Science and Technology and the Ministry of Environment and Forests according to the 1989 Biosafety Rules. The Review Committee on Genetic Manipulation (RCGM) under the Department of Biotechnology of the Ministry of Science and Technology oversees the research. The Genetic Engineering Approval Committee (GEAC) under the MOEF looks after the deliberate release and commercialization. This often leads to controversy centered around the limits between research and intentional releases. The matter of whether field trials should be considered as a research activity or intentional release into the environment has led to disputes. At the organization level, every institute engaged in research activities in genetic engineering need to set up an Institutional Biosafety Committee. The State Biotechnology Coordination Committees and District Level Committees were established to promote the exchange of information between the centers and states. A Monitoring and Evaluation Committee was set up to look after the agricultural assessment of the transgenic crops during field trials. A Recombinant DNA Advisory Committee was established to appraise the developments in biotechnology on the national and international front and suggest necessary biosafety regulations in India. The roles of other ministries in controlling biosafety such as agriculture and health remain unclear. It is uncertain whether biosafety rules will govern the transgenic seeds alone, or they should also come under the purview of the 1966 Indian Seed Act. A concern that always stands up is to ensure the usage of transgenic seeds in a way not contaminate the regular seed lines. This concern is very much within the purview of the Ministry of Agriculture. But it is outside the scope of both the Department of Biotechnology and the MOEF. Whether the transgenic seeds are to be considered as regular seeds or they would need separate seed varietal registration measures from those in place for non-​transgenic seeds once they are deregulated is another crucial matter. Presently there are two ways to varietal registration mechanisms for introducing a new seed in the market. One is seed testing and certifying efficacy done with ‘all India coordinated trials’ that are directed by the public sector agricultural research scheme. The other choice is the ‘truthful labeling’ option. The second option is the preferred choice of the private sector that permits speedy market entry. There is hardly any clarity about the jurisdictional authority for human well-​being and food safety. The Prevention of Food Adulteration Act 1954 does not cover transgenic products mainly. It mostly depends on how largely food adulteration is comprehended. That is if transgenic food additives would be regarded as adulteration. Generally, the Ministry of Health is primarily accountable to negotiate labeling necessities for GM foods under the

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Codex Alimentarius Commission. This is a United Nations body for setting standards. It was created by the FAO and the WHO together. This body is not responsible for GMOs regulation under the purview of the Cartagena Protocol. To date, the use of GMOs has taken place under contained conditions with few intentional releases in the form of experimental field tests. There were no requirements for GMO commercialization or food safety assessments. Knowingly, no transgenic products have been imported in India for profitable applications. Hence the biosafety regulatory framework operation is still in the stage of evolution and development. The question that arises then is how sound this regulatory framework can work in India? A PIL was filed in the Supreme Court against the DBT, MOEF, Ministry of Agriculture, Maharastra Hybrid Seeds Company (Mahyco), and Mahyco-​ Monsanto Biotech India Limited. The litigation was filed by the ‘Research Foundation for Science, Technology and Ecology’ (RFSTE) stating the field trials of transgenic Bt Cotton of Monsanto/​Mahyco was not duly authorized. They also alleged that the prevailing biosafety regulations were inadequate to safeguard against harmful ecological and human health effects. Mahyco availed the Bt toxin gene in 1995 from Monsanto. It backcrossed it into Indian cotton crop varieties. It then made a request for field trial approval of the transgenic Bt cotton seed. Those days Monsanto acquired a 26% stake in Mahyco. The DBT granted a permit to conduct 40 field tests in 9 states in 1998. The Research Foundation for Science, Technology and Ecology (RSFTE) also alleged that field trials involve intentional releases in the environment, and thus its permission should be coming from the MOEF and not the DBT. The approvers and the concerned private sectors perceived field trials as ‘experimental research under controlled conditions’ instead of deliberate release. This controversy led to an amendment in the biosafety guidelines. It states that the DBT’s Review Committee on Genetic Manipulation committee has the right for approving ‘small experimental field trials.’ The size is restricted to an overall area of 20 acres in multiple locations in one crop season, provided the size of a single site does not exceed 1 acre. If the trials surpass these limits, then they should be considered as large-​scale releases and then need permission from the MOEF. The DBT’s authority to approve field trials was contested in the Supreme Court when it approved field tests that were regarded as Monsanto’s Bt cotton. Before this, the Review Committee on Genetic Manipulation’s consent to test domestically produced transgenic crops in the field was never contested. Another allegation raised in the court was that the central government had approved field trials without any consultations with the state and local governments. In 1998 and 1999, another dispute was regarding the testing of ‘terminator technology’ in India. The developer named it a ‘gene protection system.’ This technology alters the crop to produce sterile seeds. This was done to prevent the farmers from saving the transgenic seed to use next year. The proponents, however, envisage it as a necessary method for protecting intellectual property. The opponents were of the view that such technology deprives the farmers of their rights to save, share, and exchange seeds. This allegation was also tied up to the protests that involved field trials of transgenic Bt cotton. There was a similarity in timing between these field tests and Monsanto’s move in the USA to take over Delta Pine Land and Co. (seed company) that held a patent on ‘terminator technology.’ The farmers protested by uprooting the crops in Andhra Pradesh and Karnataka after the accusations that Bt Cotton that was being field-​tested contained terminator genes. In response to unrest and controversies, Monsanto had to issue a ‘Statement in the Public Interest’ in the national newspapers to explain what they called misunderstandings about 469

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‘terminator technology.’ Their statement said that ‘terminator technology’ is not a reality anywhere, including India. In the case of Bt cotton, the Bt gene was inserted into Indian cotton varieties to induce resistance against bollworms. This controversy was enough to raise concerns on the social and economic impacts of the uses of biotechnology in agriculture in emerging countries. After all these incidents, biosafety regulation in India calls for one compulsory entry point in India for all importation of transgenic materials irrespective of its use in research, field trials, or commercial use. That entry point is the National Bureau of Plant Genetic Resources (NBPGR). It operates under the Indian Council for Agricultural Research. Originally the NBPGR was accountable for quarantine mechanisms for the importation of non-​transgenic live organisms. The government has asked the NBPGR to develop probes for detecting the occurrence of terminator genes, even though the multinational corporations (MNC) have promised not to import this ‘terminator technology in India.

11.2.10.4  Nagoya –​Kuala Lumpur Supplementary Protocol on Liability and Redress to the Cartagena Protocol on Biosafety (2010) The concept of LMOs makes both the environmentalist and policymakers nervous. Crops and livestock have been bred but gene by gene modification of species is relatively new. Over the years scientists have raised their voices to show their concern related to unknown risks that might be associated with the large-​scale application of the LMOs. The supporters in contrast favor support in developing and distributing LMOs through transboundary trade that would not be environmentally harmful but rather bring about positive externalities. The Cartagena Biosafety Protocol was negotiated under Article 19 of the CBD to emphasize on safe transfer, handling, and use of any LMOs resulting from biotechnology that may have harmful impacts on the conservation and sustainable use of biodiversity. Drafters for the Protocol establish the procedure for some categories of LMOs to require AIA between the States and the foreign biotech Corps. However, the biotech companies don’t need to abide by Advanced Informed Agreements (AIA) and inform the importers. Rather they can simply inform the States about their intent to introduce into a market through Biosafety Clearing House (BCH). The States may exercise a precautionary approach and decline such importation. Article 27 of the Biosafety Protocol recognized the need for an international legal regime for the LMOs that may damage or adversely affect a state’s biodiversity. Article 27 of the Biosafety Protocol had set the stage for establishing a formal process for considering the issue of liability and redress for damage resulting from the transboundary movement of the LMOs within a given time limit. The Article also required the COP to the CBD that is functioning as the MOP to develop and elaborate suitable international rules and regulations to tackle the above-​said issue at their first meeting. Hence in the first meeting of the COP to the Biosafety Protocol, an Ad Hoc Open-​ended Working Group of Legal and Technical Experts on Liability and Redress was set up in 2004 for the same purpose. After years of negotiation, the Nagoya –​Kuala Lumpur Supplementary Protocol (the N-​KL Protocol) was finalized and adopted in 2010 at the 15th meeting of the COPs serving as MOP to the Biosafety Protocol. The process that led to the evolution of this Supplementary Protocol was lengthy and quite difficult. It was opened for signature at the UN Headquarters from 2011 to 2012 March as per Article 17. The Supplementary Protocol has 21 Articles. The 470

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Parties reaffirmed the precautionary approach of the Rio Principle 15 and recognized the need for provisioning suitable steps in case of damage or likelihood of damage. Article 1 states the objective of the Supplementary Protocol which is to provide for international rules and regulations in the field of liability and redress for damage resulting from the LMOs thereby contributing to the conservation and sustainable use of biodiversity considering the risks to human health. The terms were defined in Article 2. Article 3 defines the scope whereby the Supplementary Protocol applies to damages resulting from the LMOs on the way of transboundary movement. The LMOs are those that are intended for use as food or feed directly or subject to processing or destined for contained utilization or and intended for deliberate introduction to the environment. The supplementary Protocol applies to adverse impacts resulting from deliberate transboundary movements, unintentional transboundary movements as well as illegal transboundary movements of the LMOs. For adverse impacts resulting from deliberate transboundary movements of LMOs, the Supplementary Protocol covers the region within the national jurisdiction of the Parties, and such stands applicable after the Supplementary Protocol is enforced. Parties might utilize the criteria set out in their domestic law to address such damage within their respective national jurisdiction and such legislation is also applicable to adverse impacts resulting from transboundary movements of the LMOs from non-​Parties. A causal connection is supposed to be established as per the national legislation between the adverse impacts and the LMOs as mentioned in Article 4. The response measures were stated in Article 5. In case of any damage, the operators were required to inform the competent authority immediately, assess the damage, and initiate suitable response measures. It is the responsibility of the competent authority to identify the operator that caused damage, evaluate the damage, and then establish the response measures. In case the scientific information indicating the adequate possibility of damage without timely response is available in the BCH, the operator is supposed to ensure necessary response measures to avert such adverse impacts. Necessary response measures might be implemented by the competent authority in case the operator fails to do so, and the competent authority has the authority to recover the charge and expenditure for such from the operator. The response measures to be implemented should be as per the domestic laws and the competent authority should convey their reasonable decisions concerning taking suitable measures to the operator. Exemptions for domestic law are provisioned in Article 6 which comprises an act of God and any act of war or civil unrest. Article 7 provides relative or absolute time limits that are to be provided by the Parties. In Article 8 the Parties are to provide for financial limits for recovering the expenditures linked to response measures. Article 8 and Article 10 state the right of recourse and financial security respectively. In Article 11, the Supplementary Protocol shall not affect the privileges and responsibility of the States concerning their obligations for internationally wrongful acts under the international laws. One of the most important aspects of the Supplementary Protocol is contained in Article 12. It speaks about the implementation and relation to civil liability. The Parties are to provide for rules and procedures that shall address adverse impacts in their domestic laws. They are also to provide for suitable response measures in tune with the Supplementary Protocol which could be the application of existing general rules of domestic laws, or application and developing specific civil liability rules, or even combining both. While forming the civil liability law, the Parties should address the elements such as damage, the standard of liability (strict or fault-​based), channelization of liability, and right for claims. 471

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The Supplementary Protocol sought to deal with adverse impacts on biodiversity as well as related traditional matters or personal damage. It outlines 2 pathways to deal with such adverse impacts. One is the administrative approach whereby the competent authority tackles the matter administratively without moving into courts and secondly a civil liability that requires litigants to look for personal legislation solutions through domestic legal systems. The administrative approach origin can be traced back to the Comprehensive Environmental Responsibility and Compensation and Liability Act of the US legislation. This approach is based on the polluter pays principle that requires the polluter to take remedial measures to address the damage. The administrative approach holds strict liability. Hence there is no need to go through the court processes to establish liability before taking the necessary response measures. This approach seems suitable in case of diffused damage, where identifying the wrongdoer is difficult. In case of lack of ownership of the affected subject matter such as the air, water, biodiversity, the administrative approach seems suitable. The approach also channels the responsibility to the operator, the one who is responsible for damages. In the Supplementary Protocol, the operator is obliged to take action in 2 situations –​when damage is probable and also where the damage takes place. The action comprises of informing the authority, evaluating damage and taking necessary response measures. The authority enforces suitable measures in case the operator fails to do so. The response measures comprise of actions that range from preventive to restorative, i.e., averting, minimizing, containing, or mitigating damage, and restoring biodiversity. The Supplementary Protocol seems to be elaborative and comprehensive but comprises only one article on civil liability. It includes connecting responsibility for any damage through the civil process that is quite distinct from criminal or administrative process. The remedy sought is either monetary compensation or injunctive relief to stop or remove the source of damage. The law provides the person with the right to recourse against the responsible person for damage. In the case of the LMOs, a connection should be recognized between the damage and the source of damage. The Supplementary Protocol obliges the Parties to afford general or specific regulations and measures or a combination of both in their national laws to tackle any adverse impacts. The civil liability regime is ineffective in the N-​KL Protocol and leaves with the Parties to enforce their existing laws or develop new laws to rake response measures. It is quite difficult to identify ‘associated’ damage and there remain problems of interpretation of the term associated damage. The Supplementary Protocol seems to reconcile the economic interest of the growing biotech industries and the environmental concerns. The failure to attract ratifications from the major biotech producing States raises questions about the legitimacy of this Supplementary Protocol to act as an instrument for ensuring suitable liability and redressing ecological damage and human health impacts. As seen later, the private sector has commenced certain steps to guarantee recourse in the event of environmental damage. Though it is also said that the leadership of the private biotech sector only made the States accept the present Supplementary Protocol. The Bayer CropScience, Dow AgroSciences, DuPont, Monsanto, BASF, and Syngenta were signatories to ‘The Compact: A Contractual Mechanism for Response in the Event of Damage to Biological Diversity Caused by the Release of a Living Modified Organism’ in 2010. The members of the Compact decided to a binding negotiation under the auspices of the Permanent Court of Arbitration if any company releases an LMO that is suspected to cause harm to biodiversity. They also expect the members to be properly insured to absorb potential financial losses. Contrasting to the N-​KL Protocol, the Compact members offered specific detailed legal standards and industries contract to 472

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restrict Parties’ liability. The N-​KL Protocol applies to both intentional and unintentional transboundary movements of the LMOs, but the Compact members restrict the member liability to misuse due to transboundary movements of LMOs. The N-​KL Protocol gives an open-​ended definition for significant adverse impacts while the Compact members restrict it to compensable environmental damage and do not properly address the harmful effects on humans.

11.2.11  The 1994 and 2006 International Tropical Timber Agreement (ITTA), Geneva Switzerland The International Tropical Timber Agreement was settled under the patronages of the United Nations Conference on Trade and Development (UNCTAD) and opened for signature in 1994. The Agreement was implemented on 1 January 1997 and had 45 Parties to it. The UN Secretary-​General is the designated depository of the International Tropical Timber Agreement. The ITTA adopted earlier in 1983 was implemented in 1985 and was prospered by the ITTA 1994. The International Tropical Timber Agreement of 1983 worked for providing a base for consultation, cooperation between the member nations that are producers and consumers of tropical timber to expand international trade. The International Tropical Timber Agreement 1994 comprised broader provisions for information sharing, strategic conservation, and sustainable management of tropical timber and timber products. The International Tropical Timber Organization that was earlier formed by the 1983 International Tropical Timber Agreement continues to be responsible for administering the provisions of this Agreement along with supervision and functions through the Council. The Headquarters of the International Tropical Timber Organization was decided in Yokohama, Japan. The International Tropical Timber Council is the topmost authority comprising all members of the Organization. This Council makes necessary arrangements for consulting and cooperating with the UNO such as the United Nations Conference on Trade and Development, the Commission on Sustainable Development, and other intergovernmental organizations (IGOs) , and also in tune with treaties such as the General Agreement on Tariffs and Trade and the Convention on International Trade in Endangered Species of Wild Fauna and Flora. The 1994 International Tropical Timber Agreement does not intend to limit or put an embargo on international trade, specifically the import and use of timber and timber products. Its aim was the provisioning of an operational framework for dialogue, global cooperation, and policy development amongst the member nations with respect to the facets of timber economy; forming a consulting forum for the promotion of unprejudiced, impartial timber trade practices; contributing towards sustainable development; enhancing the members’ capacity for implementing a sustainable strategy for achieving exports by the year 2000; promoting the development and divergence of global trade in tropical timber in the way of improving the structural conditions such as global markets and access to, continual supply, sustained consumption, remunerative prices, and the like; promoting research and development to improve the forest management and efficient wood utilization; providing mechanisms for providing additional financial resources; improving market intelligence to ensure greater transparency in the global timber market by collecting, compiling and dissemination of trade-​related data; increasing the processing of tropical timber and promoting industrialization to create more employment opportunities; encouraging the members for supporting industrial tropical timber reforestation, rehabilitation of degraded forest land keeping in mind the interest of the local people and their dependence; improving 473

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marketing and distribution of such timber exportation from sustainable resources; encouraging the Parties in evolving State policies to conserve and sustainably use the timber yielding forests along with their genetic resources; and promoting entree to, transference of technologies and technical collaboration for the enforcement of objectives, and encouraging sharing of information. In case the actions taken adversely affect the attention of the import members such as the Least Developed Countries, the Council might call for differential and remedial measures according to the provision of this Agreement. The 2006 International Tropical Timber Agreement that was enforced in 2011, also aims in the sustainable management of tropical forests in the context of tropical forest deforestation at a proportion of 15 million ha per annum that raises global concerns about global warming. Though more emphasis was given on sustainability, it is the timber and not forest that drew focus. It calls for strengthening the members’ capacity for improving forest laws and their implementation by addressing the issues of illegal logging. It recalled the Johannesburg Declaration and Plan of Implementation from the 2002 WSSD, the principles and objectives of the 2000 United Nations Forum on Forests and Collaborative Partnership on Forests, the Rio Declaration, and the associated chapters of Agenda 21 from 1992 UNCED, the UNFCCC, the CBD, and the UNCCD. The Agreement recognized the importance of the forest services at global and local levels in poverty alleviation through harvesting and trade of tropical timber, noting timber as an energy-​efficient, renewable raw material. The Agreement noted the need to promote indicators for Sustainable Forest Management (SFM) through information sharing, transfer of technologies, and the establishment of voluntary certification mechanisms. It endeavors to strike a balance between the producers and consumers (see Table B XI-​11.2.11-​1) in the context of biodiversity loss and various environmental issues. This new Agreement had pieces of new sections added both to the preamble and Article. It reiterates the autonomous rights of the States for exploiting their resources within their national jurisdiction that prevents the global regime from interfering with the destruction of the tropical forests. The individual States can cite the above to curb all outside interference and continue with their exploitative practices. This seems to be a drawback when the Agreement has capitalized on the economic interest of the producer states at the expense of sound forestry practices. So, it requires the Member States to draft domestic policies for the conservation of the timber-​producing forests.

11.2.11.1  The Indian Context Effective forest cover in India is around 64.1 million ha, of which 31.5 million ha is natural for cover and agroforestry as per the FAO 2005. The figure is somewhat different as per the FSI 2003 that puts the estimated forest as 76.8 million ha. Of course, the estimate includes significant portions without forest cover. In India, considerable forest exists in the north of the Tropic of Cancer, and that is not considered to be tropical as per the International Tropical Timber Organization (ITTO). FAO 2001 also categorized 60% of forests as closed and the remaining 40% as open. Tropical wet evergreen forest mainly stretches in the south, north-​eastern India, and Andaman Nicobar Islands. Dipterocarpus, Hopea, Callophyllum, Syzium, and the like, are widely present. Tropical moist deciduous forest prevails with monsoon rainfall. The Teak and Sal are quite common, along with mangroves. The Forest Policies of India embeds three primary objectives overtime –​production, restoration, and conservation. In India, the Forest Act of 1865, 1878, and 1927 emphasized timber production and logging for generating revenue. It was in 1988 when the National 474

Negotiations for Protection of Biological Diversity Table B XI-​11.2.11-​1 List of the producing and consuming nations with tropical forest resources Producing nations

Consuming nations

Bolivia Brazil Cameroon Colombia Congo Costa Rica Côte d’Ivoire Dominican Republic Ecuador El Salvador Equatorial Guinea Gabon Ghana Guyana Honduras India Indonesia Liberia Malaysia Mexico Myanmar Panama Papua New Guinea Paraguay Peru Philippines Tanzania Thailand Togo Trinidad & Tobago Venezuela Zaire

Afghanistan Algeria Australia Austria Bahrain Bulgaria Canada Chile China Egypt European Community Belgium/​Luxembourg Denmark France Germany Greece Ireland Italy Netherlands Portugal Spain United Kingdom Finland Japan Nepal New Zealand Norway Republic of Korea Russian Federation Slovakia Sweden Switzerland United States of America

Forest Policy had put biodiversity conservation issues ahead of timber logging. During the nineties, timber demand escalated mostly due to population growth, economic growth, industrialization, and infrastructural development. India experienced a seven-​fold increase in imports. The opportunity of amplified timber production from trees outside forests (TOFs) also gained prominence. As per FAO, TOFs are the trees on land not notified as forests or wooden land with a size less than 0.5 ha. It comprises cultivable lands, agroforestry systems, household gardens, orchards, urban landscapes, and the like. Typically, in India, they are trees outside the record of government forest areas. The Forest Survey of India (FSI) reports two types of TOFs –​the tree cover and the growing stock. Tree covers are the patches of areas ranging between 0.1 and 1 ha. Those areas that are more than 1 ha are reported under forest cover. The India State of Forest Report 2011 valued the timber 475

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production from government forests to be 3.17 million cubic meters, and the projected timber production from the TOFs (industrial production, social forestry, and farm forestry) to be around 42.77 million cubic meters. The demand is enormous, and this created a gap between demand and supply, leading to the importation of timber. An upsurge in timber production from the governmental regional forest agreements (RFAs) and TORs could help to curb both the gap in demand and supply as well as in carbon sequestration. According to the ITTO 2004 and 2005, the overall tropical log production in India was around 14 million cubic meters in 1999 and 13.5 million cubic meters in 2003. A decline in the production of tropical sawn wood was noticed in that period. But the production of tropical veneer rose from 15000 cubic meters to 246000 cubic meters while that of tropical plywood rose from 300000 cubic meters to 1.75 million cubic meters in 1999 and 2003, respectively. Out of 68 members of ITTO, 34 nations are regarded as log producers. As per the 2016 World Bank report, ITTO has recognized the leading timber producers of the world with Burma, Brazil, Indonesia, and India, with 46.1%, 59.3%, 51%, and 23.7% of forest areas respectively. Even though India is a log producer, it greatly imports timbers from Burma, Malaysia, New Zealand, China, Germany, Thailand, Papua New Guinea, Ghana, and Ecuador. With an increase in internal demand, timber import has also increased. It is the third biggest importer with a figure of 2.69 million cubic meters in 2003. According to 2005 ITTO reports, in 2003, the imported primary forest-​based product was worth USD 596 million. Many of the exporting countries have diverted towards conservation after realizing the multiple benefits of the forests. The Imperial Forest Department was set up in 1864. The Colonial period used forests as an essential source of revenue. The forest policies of that period reflect forest utilization to serve railways and military purposes and also to earn income by transforming forest land into cultivable land. The Forest Act of 1865 encouraged income generation from timber sales and forest produce. The Forest Act 1878 categorized forests as reserved, protected, and village-​type. The classification was done based on use and access or rights over forest and forest produce. The colonial government adopted the Forest Policy in 1894, focusing on necessary forest cover to increase income generation. The India Forest Act 1927 emphasized mainly timber and other forest produce control in transit, implementation of fines, and penalties in case of offenses. The central government enjoyed enormous powers for imposing duties. Reports say that during World War I, nearly 2,28,076 tonnes of logs were delivered from these forests between April 1917 and October 1918. The British Government exported around 1.7 million ft3 timber from 1914 to 1919. Post-​independence, as India entered into infrastructural development, timber demand increased as most of the communication network is dependent on woods. The demand further escalated after World War II. As forestry was under the Ministry of Agriculture, it was treated as agricultural products, basically meant to meet the growing demands of the ever-​increasing population and generate revenue. The NFP of 1952 was directed towards a balanced approach and complementary land use. It suggested a target of 33% forest cover. Though it focused on the protective role of the forests in the ways of wildlife conservation, watershed management, improving soil quality, maintaining 33% of forest cover, and so forth, it lacked any intensive efforts. The 5-​year plans encouraged commercial schemes for cultivating fast-​growing species to meet the log demand. The first four 5-​year plans stressed the economic and competent use of forest products. The fourth 5-​year plan specifically emphasized timber export. The industrial round wood yield increased steadily after this period and demands even more to create a gap between demand and supply. 476

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The National Commission on Agriculture (NCA) advised a revision of the existing policy in 1976, intended for maximization of forest productivity. Such an increase could meet the rising demand for industrial raw wood, requirements of defense, communications, and household needs. The Commission placed production above conservation. It further put a proposal for launching a forest corporation for reaping forest products. It also suggested the functional classification of the forests into protected, productive, and social forests. It opined that social forestry could bridge the gap between the supply and demand of timber. That same year witnessed a change in forest administration. The subject of Forests was brought under the Concurrent List from the state list. At the time when India was rooting on forest productivity, the world was gradually tilting towards biodiversity conservation, as was witnessed in the United Nations Conference on Human Environment 1972 Stockholm and further with the creation of UNEP. In India, conservation came into prominence with the enactment of the Wildlife Protection Act 1972. Protected areas in the form of national parks, sanctuaries, conservation reserves, community reserves, and the like, were formed declared with restricted resource exploitation and human occupation. The GOI took a step ahead in 1980 and passed the Forest Conservation Act 1980. The Act forbids the state governments to use the forest areas for any other purposes without the prior consent of the central government. The amendment of the FCA in 1988 and 2003 puts regulation to using forest areas for non-​forest purposes such as mining, roads, dams, industries and the like, The law also included a provision on compensatory afforestation especially in the non-​forest areas. It is worth mentioning that between 1951 and 1980, approximately 4.33 million hectares of forest were transformed into non-​forest regions; the annual loss estimated to be 150000 hectares. Some other legislation relevant to the forestry practices are the Mines Act 1952, the Forest Conservation Rules 2003, the Environmental Protection Act 1986, and the Biodiversity Act 2002. With the recommendation of the National Commission on Agriculture, the Forest Survey of India (FSI) was established in 1981. The FSI was formed to conduct a thorough survey of all the forest resources regularly and periodically. The Ministry of Environment and Forest was formed in 1985 for planning, promoting, supervising, and coordinating the environmental and forestry policies. The functions of the state and central governments were clearly defined. The central government functions more as an advisor and guide while the state governments are authorities and guardians of the public forest. As an enterprise, they often take part in the production, processing, and trade. India has established forest corporations that are accountable for public forest production. Being autonomous, they work as forest department extensions. The Moe is also tied up with the Indian Council of Forestry Research and Education (ICFRE), the Indian Institute of Forest Management (ICFR), the Indira Gandhi National Forest Academy, the Wildlife Institute of India (WII), and the Forest Survey of India (FSI). The National Forest Policy (NFP) of 1988 placed more emphasis on environmental and biodiversity conservation that India committed to doing in the UNCHE. The NFP 1988 made a shift from a regulatory to a participatory approach. It ensured environmental sustainability through preservation, restoration of ecosystem homeostasis, and conservation of natural heritage. The new policy promoted afforestation and plantation of the TOFs, terminated subsidies on the supply of raw materials to wood industries. Forest-​based industries were invigorated to avail themselves of raw materials to meet their requirements. The concessions from the forests were basically to meet the authentic use of the tribal communities living in the fringes of the forests. The GOI in 1990 also introduced people-​oriented 477

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Joint Forest management. The forest departments, with the active participation of the villagers, were involved in forest management. They protect and manage the forests and share responsibilities and benefits. As per IIFM 2000, the JFM covered 17 million ha of forest in India. The GOI also notifies to incorporate 50% of women in JRM as mandatory. The 73rd Constitutional Amendment provided for the shift of ownership of the NWFPs with large tribal populations to the Gram Sabhas or Panchayats. All the Acts such as the WPA 1972, FCA 1980, and the NFP 1988 focused on protection, yet they were unable to control nationwide timber logging. The definition of the term ‘forest’ was unclear to many until the Supreme Court interpreted the meaning of ‘forest’ in 1996. The Supreme Court of India in 1996 completely banned any unregulated timber felling in the government forest areas, excluding those areas whose action plans have been prepared by the state government and duly approved by the central government. All sawmills and mining facilities without formal permission from the central government were shut down. The state governments were directed to conduct a thorough survey of the logging industries to evaluate the degree of sustainability. A total ban on felling trees was directed by the court in 3 states and a partial ban in 4 north-​eastern states along with an embargo on exports. Such a ban affected not only the livelihoods but also a shortage of timber production. Conservation was also advocated in the 1992 Rio UNCED. After the Supreme Court’s order in 1996, the GOI launched two national programs, the National Forestry Action Program 1999 and the National Afforestation Program (NAP) 2002. The aim was to increase forest cover and uphold forest conservation. The NAP combined all the earlier centrally sponsored projects, excluding the parks and wildlife conservation. The NAP is enforced through forest development agencies (FDAs). India lacks a complete Sustainable Forest management (SFM) framework for all types of forestry. The Indian Institute of Forest Management has developed a set of criteria and indicators for sustainable management of dry zone forests in India in 1998 under the Bhopal-​India Process. A similar process is underway for the tropical forests as well. In 2004, the MoEF directed the Compensatory Afforestation Fund Management and Planning Authority (CAMPA) to oversee that compensatory afforestation fund was utilized for forest regeneration, management, and protection by collecting funds from agencies. The National Forest Commission in 2006 reports no further need to revise the National Forest Policy. The production of industrial roundwood fell from 24.4 million cubic meters to 1.5 million cubic meters from 1990 to 2000. After the Supreme Court order, the TOFs became exceedingly important. As logging became controlled, imports increased. India is one of the leading nations in private plantations. It has the prospects for farm forestry, private plantations, and community forestry to meet the internal demand. The MoEFCC emphasizes TOFs management, and the National Agroforestry Policy 2014 identifies agroforestry as an essential timber source.

11.2.12  The Agreement on Trade-​Related Aspects of Intellectual Property Rights, 1994 Intellectual properties are known as the creation of our minds, and IP rights are exclusive rights given to the creator of this creation for a specified time during which any unpermitted reproduction of such work calls for liability. Such rights are given by individual nations to their citizens. They are statutory and not constitutional rights. Before 1995, the GATT 478

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was the only international Agreement covering world trade. The Uruguay Round of the GATT from 1986 to 1994 held dialogue regarding trade in agriculture, services, and intellectual properties for the first time. WTO took over GATT and undertook the accountability of negotiating and implementing fresh trade agreements. Out of several agreements, the TRIPS marks to be one of the most important ones that have been enacted since 1995. TRIPS sets down the minimum standards for the various types of IPs to be obliged by all its member States. The TRIPS text comprises 73 articles segmented into seven parts as stated below (see Table B XI-​11.2.12-​1). The members should be implementing the requirements of this Agreement and are free for determining the suitable way of enacting within their respective legislation and exercise. TRIPs mention minimum standards, whereas the member countries can raise extensive protection at national levels. The IPs under the TRIPs broadly cover copyrights, trademarks, geographical indication, industrial designs, patents, layout designs, and undisclosed information. The IPRs acquired in one nation are inapplicable in other nations. Nothing in the TRIPs prejudice the Paris Convention, Bern Convention, Rome Convention, and the Treaty on Intellectual Property in Respect of Integrated Circuits. The provisions are non-​ discriminatory. The treatments accorded by a member to the citizens of other members should be the same as that accorded to its citizens concerning IPR protection. Exceptions to this are already given in the aforesaid Conventions. But TRIPS apply strictly only to the performers, producers of phonograms, and broadcasting organizations. In the case of IPR protections, any benefits, favor, privilege, or immunity granted to the nationals by a member of one country automatically extend to the nationals of other members other than the exceptions specified. The provisions under Articles 3 and 4 remain nonapplicable to the procedures given in the multilateral agreements negotiated under the WIPO. The TRIPs aim to contribute to the advancement of technological invention, the transmission of information about technology to mutually benefit the creators and consumers of technological knowledge in a way favorable to socio-​economic prosperity, as well as to strike equilibrium between the privileges and commitments. In such an effort, the members need the adoption of necessary measures that are required to safeguard public health, nutrition and encourage public interest in the divisions of vital significance. Part II (Articles 9–​39) of this Agreement deals with standards for various IPs. In the case of copyrights (Articles 9–​14), protection is extended to expressions and not to the ideas, procedures, operational methods, and mathematical concepts. The copyright protection covers computer programs in source or object code. The authors and their successors have the right to permit or forbid the renting of originals or copies of computer programs Table B XI-​11.2.12-​1 Components of Trade-​Related Aspects of Intellectual Property Rights (TRIPS) Sections

Articles

Components

Part I Part II Part III Part IV Part V Part VI Part VII

1–​8 9–​40 41–​61 62 63–​64 65–​67 68–​73

General Principles and Basic Principles Stands concerning the availability, scope, and use of IPRS Enforcement of IPRs Acquisition and Maintenance of IPRs and related Inter-​parties Procedures Dispute Prevention and Settlement Translational Arrangements Institutional arrangements, Final Provisions

479

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and cinematographic works for commercial purposes. The term of protection is a minimum of 50 years except for photography or applied art. Performers of phonograms and broadcasting organizations also have the authority to protect their work in a way that fixation of unfixed performances/​reproduction of such fixation/​broadcasting through wireless means and communication of live performance to the public without permission, calls for liability. Trademarks (Articles 15–​21) refer to any sign or its combination, sufficient enough to distinguish goods and services provided by one from the others. The signs can be personal names, alphabets, numerals, figurative elements, colors, or combinations. In the case where the signs are not distinct, the registration depends on uniqueness acquired through use. To the members, the visual perceptibility of the signs may be a condition required for registration. The registration of the trademark cannot be barred based on the nature of goods and services. Trademarks should be published either before or just after registration is done. There is always an opportunity for opposing the registration of a trademark. The owner enjoys the right to prevent other parties from using such marks for similar types or identical goods or services without the owner’s permission. The term of protection is seven years, indefinitely renewable. Where the registration is required to be maintained, it might be canceled on the grounds of continued non-​use by the owner unless provided with solid evidence for the reasons. A geographical indication (Articles 22–​24) identifies a product originating in the region of a Member State to owe its attributes, qualities, and reputation necessarily attributed to its place of origin. Each Member State should legally stop the interested Parties from using the geographical indication to recognize and classify wines and spirits that were not originating in the place as pointed to by the geographical indication. Any registration of the trademark of wines or spirits that bear a false or misleading geographical indication to identify wines and spirits stands invalid. Protection for the homonymous geographical indication of wines or spirits should be done accordingly and practicably for each of the indications to provide equitable treatment to the producers and not to mislead the consumers. There are no fixed terms of protection for the geographical indication. New and original industrial designs (Articles 25–​26) should be protected by the Member States. But such could be denied if otherwise or does not markedly differ from known design and combinations of known designs. The owner of such design possesses the authority to forbid any other Parties from using creating, marketing, or importing goods that bear or embody a design that is a duplicate of the protected design without the approval of the owner. The term of protection for industrial designs is a minimum of 10 years. Patents (Articles 27–​34) are given for any invention of products or processes in all technological fields on the condition that they are novel, contain an innovative step, and can be employed in large-​scale industrial applications. Rights to patents are non-​discriminatory concerning the place of invention, technological fields, and locally made or imported products. The members possess the right to exclude patentable innovations in their regions of commercial exploitation for those products which are indispensable to protect public policy, principles, ethics, counting those for protecting the lives of humans, animals, plants, health, or to evade grave prejudice to the environment. Such exceptions stand true only when they are not provisioned since their use is legally forbidden. Any methods used for diagnosis, treatment, and surgery in animals and individuals are also excluded. Floras and faunas (except microorganisms) and fundamental biological processes for the creation of plants and animals except for non-​biological and microbiological processes are also excluded 480

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from patentability. But floral varieties can either be protected by the ‘sui generis system’ or patents or by a combination of both. In the case of a product, the owner gets exclusive rights for preventing any third party from manufacturing, utilizing, selling, or importing that product. In the case of a process, the owner gets exclusive rights for preventing any third Parties from utilizing the process along with its use, selling, or importing of that process without his consent. The owners enjoy the privilege of assigning or transferring a succession of patent rights. While filing for patent rights that patent applicants should make a thorough disclosure of the invention flawlessly so that such can be executed by a person having the expertise in the art. Restricted exceptions are available for patent rights if such exclusions do not encounter the usual exploitation and also do not affect the lawful interest of the patent owners and also consider the lawful interest of the third parties. The term of patent protection is not less than 20 years calculated since the date of filing. If other uses of the subjects are permitted legitimately by the Government or anyone sanctioned by the government, but without the consent of the rightful owner, then specific conditions are to be met. The most important ones are stated here. Consideration of authorization should be based on individual merits. The use might be allowed if the proposed user has made efforts to get permissions on reasonable commercial terms before using and failed to get so within a period. Such a requirement could be rejected or held up by a member in case of domestic crisis or urgency for use in public non-​commercial purposes. The time for such use is restricted and should be used only for public non-​commercial purposes. The uses are non-​exclusive and non-​assignable, mainly allowed by the authorizing members meant for the domestic market. The true owner should get acceptable payment as per the economic worth of such authorization, and such decisions of remuneration should be subjected to jurisdictive review. The legal validity of decisions related to authorization should also be subjected to jurisdictive review. The Members agreed to protect the layout designs (Articles 35–​38) of integrated circuits, and any import, sale, or distribution for commercial use of such designs or its unlawful reproduction is forbidden without proper authorization of the right holder. The term of protection is 10 years from the date of filing, and the Member States can restrict the protection for 15 years from the date of the creation of the layout design. Members should protect undisclosed information (Article 39) and prevent any possibility of information from getting disclosed or acquired or used by others unlawfully without permission if such secret information is precisely a configuration or assembly of components, have commercial value, or the person legitimately have the right to maintain its secrecy. The members are in Agreement that several licensing practices for the IPRs that prevent competition might have adversities on trading by impeding the broadcasting and transfer of technology. Part III of the Agreement lays down the guidelines for enforcement (Articles 41–​61). Members need to guarantee enforcement procedures under their national legislation along with efficient means of action against any case of infringement of the IPRs. The enforcement procedures should avoid any creation of obstructions that might affect trade, should be impartial and equitable, and not essentially complex, irrational, and costly. The decisions regarding the merits of a case should be in writing made available to the Parties involved without unnecessary delay supported by evidence. The Parties to the proceeding should get the chance to review by a judicial authority. The right holders should be made avail of the civil judicial procedures regarding the enforcement of IPRs by the Members. And 481

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the defendants should have the right to detailed and timely notification in writing. The Parties are permitted to be represented by independent legal counsel with no imposition for compulsory personal appearances. All the Parties have the right to substantiate their claims along with evidence. The enforcement procedures should have a way to safeguard and recognize confidential information unless it contradicts constitutional needs. For any evidence lying in control of the opposing party, the judicial body has the power to instruct the opposing Party to present the evidence. The judicial body also has the power to instruct a Party from ceasing any form of infringement or preventing the admittance of imported goods involving infringements of IP in their territory. The judicial body also has the power to instruct the infringer to pay suitable compensation, including the attorney’s fee to the right holder for damages. The judicial body also has the power to instruct the dumping of infringed goods out of the scope of the trade to evade any damage to the right holder. The judicial body also has the power to instruct the infringer about revealing his/​her identity to the right holder. The member should be held for criminal procedures and penalties that are applicable in case of willful trademark faking or copyright piracy on a commercial scale. Part IV (Article 62) deals with the acquisition and maintenance of the IPRs and related inter-​parties procedure, whereby the members must comply with the procedures and formalities in tune with the TRIPs Agreement. Part V (Articles 63–​64) deals with the settlement of disputes. Firstly, the Agreement calls for transparency where the Member States should be obliged to make the laws and the decisions publicly available. The Members should inform about the laws and regulations to the Council. Any dispute is settled through the TRIPs Council. The modalities of the complaints are scrutinized by the Council, and then their recommendations are submitted to the Ministerial Conference for consent. Any decision of the Ministerial Conference is based on consensus. Part VI (Articles 65–​67) gives the guidelines for translational arrangements. The members are not obligated to apply the requirements of TRIPs before the end of 1 year after the date of WTO enforcement. Except for Articles 3, 4, and 5, the emerging nations can delay the period by an additional four years, whereas the LDCs can delay the period by a period of ten years. Part VII (Articles 68–​73) provides for the institutional arrangements such as the establishment of TRIPs Council, international cooperation, reviewing, amendments, reservations, security exceptions, and so forth. The world has become connected and come within grip through globalization. Technology transfer has accelerated at an unprecedented rate; hence tightening of the IPRs seems to be one of the options to keep misuse under control. The WTO’s TRIPs Agreement of 1994 sought to make a balance by implementing a set of principles and guidelines uniformly to all of its Member States attempting to deliver better stability and international economic relations. The entry of this Agreement in the unindustrialized nations and the LDCs has come with a price. It has imposed an excessive burden of obligations on these countries to enforce a high standard of IP protection. One of the sectors where the impact has hit a hard blow is access to affordable healthcare and drugs for the treatment of diseases such as cancer, HIV, and the like. The Uruguay Round overlooked the plight, and the Doha Declaration failed to address their issues. Intelligent enough, the rich nations used the Agreement as a shield to create much higher protection by introducing TRIPs-​plus provisions in the developing countries through bilateral and multilateral agreements. The players in this game are the pharma companies, software companies, media houses, biotech 482

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houses, and the like. The rich countries promised the poorer countries technology transfer, but it comes with a very high cost.

11.2.12.1  The Indian Context India’s National Intellectual Property Rights Policy 2016 is a significant leap to spur creativity and ignite innovation and has laid down the roadmap for the future of IPRs in India. The policy is in tune with the Doha Development Rounds and TRIPS Agreement. The policy puts all IPRs on a single platform considering all interconnections and thus aims to create a synergy amongst them. The policy established a Cell for IPR Promotion and Management (CIPAM) under the guidance of the Department for Industrial Property and Promotion (DIPP), now known as the Department for Promotion of Industry and Internal Trade (DPIIT). The vision of this policy is the promotion of science and technology, arts and culture, and traditional knowledge through the IPRs. The mission is to foster creativity and innovation that can bring about holistic development with an emphasis on healthcare, entrepreneurship, environmental protection, social, cultural, and economic development through pursuing 7 objectives. The objectives are: i.

IPR awareness: outreach and promotion –​creating awareness about the various welfares across societies ii. Generation of IPRs iii. Legal and legislative framework –​having a robust IPR legislative system to strike an equilibrium between the rightful owners and the public interest. iv. Administration and management –​to advance service-​oriented administration of IPR. v. Commercialization of IPR-​getting value for the IPs through marketing. vi. Enforcement and adjudication –​to consolidate implementations and fight infringements vii. Human capital development –​expansion of human resources, capacity building for teaching, training, research, and building skills. The policy illuminates the ownership of the IPs. The IP related to patents, trademarks, industrial designs, semiconductor ICs and plant varieties, irrespective of have been created by the students, researchers, or faculties by utilizing the facilities and funds of the academic institutions, shall belong to the educational institutions. The institutions are at liberty to decide whether these IPs were developed by individuals in their own time and independent of institutional responsibilities. In that case, the person shall hold the IPR. Rights under copyright are quite different. The author owns the rights for any scholarly and academic works, even if facilities of the academic institutions are utilized. The institution is the owner of lecture videos, Massive Open Online Courses (MOOCs), films, plays, and musical works. The authors duly receive their credit for their creativity. In the case of commercialization of the IPs, licensing, and assigning of the IPRs to a third party are the most common ways but with a difference. The assignment involves the transfer of ownership while licensing is restricted to allow certain uses. So, to retain ownership rights, academic institutions allow licensing rather than assigning. India owns memberships in the Berne Convention 1886, the Universal Copyright Convention 1951, the Rome Convention 1961, and the TRIPS. Earlier, India did not hold memberships in the WIPO Copyright Treaty (WCT) and the WIPO Performances and 483

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Phonograms Treaty (WPPT) but finally moved into the agreements in 2013. The first Indian Copyright Act was way back in 1914 and was based on the Imperial Copyright Act 1911. After independence, the government enacted The Copyright Act 1957 that was implemented in 1958. The Copyright Act was revised several times, the most recent being in 2012. All original literary works, dramatic, musical, artistic works, sound recordings, and cinematographic works come within the purview of the Copyright Act. The Act provides for copyright, moral rights, neighboring rights, and economic rights. Moral rights are perpetual and conferred to authors and their lawful representatives. Copyrights are enforceable in both civil and criminal courts. The Act provides for the establishment of the Copyright Board, which acts as an alternative platform for deciding restricted disputes such as royalty payments. Any infringed copies of copyright are treated as prohibitory goods and are confiscated by the customs department supervised by the commissioner of customs under applied conditions. In 2017, the GOI passed the Finance Bill by which the copyright board has been fused with the Intellectual Property Appellate Board (IPAB). The 2012 amendment covers protection for digital platforms, and safeguards digital piracy, such as satellite televisions and the internet. The Copyright Rules 2013 were enforced in 2013. It provides for the mechanisms to be embraced for the relinquishment of copyright, compulsory license statutory licenses, voluntary licenses, registration, membership and societal administrative affairs, and the like. The Act possesses extraterritorial application to tackle foreign-​owned or operated websites that act to infringe the copyrights. Since 2016, the copyright policy was shifted to the Ministry of Commerce and Industry, and the Department for Industrial Property and Promotion (DIPP)now administers all intellectual property rights. The Patents Act 1970 and the Patents Rules 1972 were implemented in 1972 and replaced the Indian Patents and Designs Act 1911. India had signed the Paris Convention and the Patents Cooperation Treaty in 1998. Thereafter it is a signatory to the Budapest Treaty on the International Recognition of the Deposit of Microorganisms for the Purposes of Patent Procedure in 2001. India’s membership in TRIPS makes it obligatory to abide by the provisions of TRIPs. The Patents (Amendment) Act 1999 was enforced retrospectively, duly effective from 1995. The Act provides for filing patent applications for drugs, medicines, and agro-​chemicals. The requests were retained in the mailbox/​black box as pending. They were supposed to be opened in 2005. The law also provided for Exclusive Marketing Rights (EMR), thus conferring pipeline protection to the pharmaceutical and agro-​chemical companies whose requests were lying in the black box. Indian residents were also enabled to file patent applications inside as well as outside India at the same time. The Patents (Amendment) Act 1999 was further revised as the Patents (Amendment) Act 2002 that got implemented in 2003. The patent protection was drawn out from 14 to 20 years counted from the date of filing of the complete specification. The definition of the term ‘invention’ was broadened to include the concept of ‘inventive step’ keeping parity with the TRIPS. Microorganisms could be patented, whereas any invention connected to traditional knowledge was in place in the list ‘what are not inventions.’ Again, Indian residents were not allowed to file applications abroad without prior permission or before filing in India. Appeals against the decision of the controller could be made to the Appellate Board that was formed. The last amendment came in the form of the Patents (Amendment) Ordinance 2004, later replaced by the Patent (Amendment) Act 2005 and the Patents (Amendment) Rules 2006. This got implemented in 2005 retrospectively. The law deleted Section 5, namely, opening the mailbox and granting product patents with the elimination 484

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of Exclusive Marketing Rights (EMRs). The patent office is headquartered in Kolkata. The Controller General of Patents, Designs, and Trademarks, and geographical indications administers the patent system in India. Indian industrial designs are registered and safeguarded under the Designs Act 2000 and the Designs Rules 2001 which had been implemented since 2001. The Act was revised to be known as Designs (Amendment) Act 2008 and Designs (Amendment) Rules 2014. The new version came up as Designs (Amendment) Rules 2014. The industrial design recognizes novel features of shape, configuration, surface patterns, ornamentations, and the like, which appeals to the eye when complete. The Act is implemented by the Department of Industry Policy and Promotion under the Ministry of Commerce and Industry. After registration, the applicant gets the protection for 10 years which is extendable by 5 years. India is a member of the 1883 Paris Convention for the Protection of Industrial Property, the 1981 Nairobi Treaty on the Protection of the Olympic Symbol, and the 1891 Protocol Relating to the Madrid Agreement Concerning the International Registration of Marks. The trademarks in India are protected under the Trademark Act 1999. This is provided for the distinguishing recognition marks for service trademarks for goods. India has been pursuing the international classification of goods and services under the Nice Agreement and incorporated the same under the Trade Mark Rules 2002. The Fourth Schedule of the amendment was revised again in 2010 to add three additional classes. The list of 42 becomes 45. After the Trademarks Act was revised in 2010, a chapter was incorporated to include provisions linked with the protection of trademarks through international registration under the Madrid Protocol. Indian entity can register their trademarks in 97 countries through a single application similar to other countries. India has enforced the Madrid Protocol since 2013. The term of protection is 10 years. The registration should be renewed one year before the expiry of the registration. New Trademark Rules came in 2017 that intended to simplify the registration process. 3D marks can be registered. A separate fee structure is made for individuals or start-​ups or small enterprises or others. Hearings via video conferencing is made possible.

Case Study 11.16  The Case of Novartis The Indian pharma industry is possible the third largest in the world. Despite this, better access to medicine remains a question. The market is dominated by generic pharmaceutical manufacturers that count for 90% of the items sold. India is the second leading supplier of medicines distributed by UNICEF in third world nations. Novartis, a Swiss-​based pharmaceutical giant, manufactures Glivec, a medicine for the treatment of Chronic Myeloid Leukemia (CML) and Gastrointestinal Stromal Tumors (GIST). Novartis had the patent rights for Glivec in around thirty-​five countries across the world. Accordingly, this drug has ten times more efficacy than conventional interferon therapy. Glivec does not provide a permanent cure for cancer but can arrest the progression. The medicine is to be used lifelong. The number of people who have cancer is enormous and is ever-​increasing. In India, 95% of the inhabitants cannot afford private healthcare services. In such a case, the price of medicine is very crucial for continuous access to Glivec lifelong. A significant price difference exists

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between Glivec and generic drugs. The monthly expense for Glivec is somewhat around 5000 US dollars against the monthly expense of the generic drug of 200 US dollars in India. The Indian Patent Office rejected the patent application for Novartis for Glivec in the year 2006. The office stated that Glivec was a mere modification of the precursor medicine ‘Imatinib.’ They also argued that re-​formulation failed to improve the effectiveness of the drug. Hence it did not qualify for extended patents and was a case of evergreening of patents. The Indian Patent Law has no definition of the term ‘efficacy,’ and thus, this word becomes crucial for the situation. Novartis had earlier patented Imatinib worldwide, the predecessor to Glivec. In those days, India had no provisions for the protection of product patents. Novartis claimed that the β-​crystalline form of Imatinib mesylate possesses 30% more bioavailability than Imatinib. Novartis made an application for the second round of applications, including India. The manufacturers of generic medicine in India were selling the drug at less than 10% of that of Glivec. Novartis forced the Indian Government to make a standpoint on the protection of IP. Novartis was approved with Exclusive Marketing Rights (EMR) until the review process. In protest, various non-​profit organizations such as the Cancer Patients Aid Association filed a case against the EMR status of Novartis, which was due for examination in 2005. In 2006 the patent application for Glivec was rejected, stating that the drug has no therapeutic efficacy over its precursor. In reply, Novartis filed two cases against the Indian government that year, one contesting the patent rejection and the other being litigation to claim India’s non-​compliance with TRIPs. The Madras High Court ruled against the company’s attempt to reverse the non-​compliance matter in 2007. This judgment was followed by another rejection of the appeal for rejecting the patent application by the Indian Intellectual Property Appellate Board in 2009. Novartis filed a fresh case with the Supreme Court of India debating the basis of decisions. The final verdict was out in 2013. India, in reply, stated its actions to be completely legitimate under the Doha Declaration and Public Health. The Doha Declaration intends to enforce TRIPs in a way that permits Member safeguard public health, especially promoting access to medicines for all. Though not explicitly mentioned in Section 3(d) of the Indian Patents Act, it permits clarification in support of national public health. Indian Patent Law is constitutional and abides by the TRIPs Agreement. The case which commenced in 2006 reached its conclusion in 2013 with the landmark judgment of the Supreme Court of India. The court found the β crystalline form of Glivec non-​patentable and also points towards additional therapeutic efficacy to be considered for patenting. The verdict highlights the right of the Indian Parliament to enact safeguards against public health provisioned under the TRIPs Agreement and also serves as a future model for third world countries in how to choose to understand and enforce this agreement to ensure domestic needs and at the same time respect international obligations.

11.2.13  The International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA), 2001 This Agreement in synchronization with the CBD aims to conserve and sustainably utilize and exchange the ‘plant genetic resources’ for foodstuff and agronomy along with 486

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reasonable and impartial sharing of benefits that arise out of their usage intending to guarantee sustainable agriculture and food security. The Agreement was negotiated by the Commission on Genetic Resources for Food and Agriculture (CGRFA) of the United Nations Food and Agriculture Organization and accepted on 3 November 2001 at the 31 session of the Conference of the UNFAO. It recognizes the colossal effort and contribution by the farmers to crop biodiversity that feeds the whole world. It creates a system to provide entry to the plant genetic materials by the agrarians, plant breeders, and experts on a global platform as well as ensure the share of benefits to the recipients that are the outcomes of the utilization of these genetic materials with the countries of origin. The accomplishment of the objectives is done by establishing a connection between the FAO and the CBD. All Contracting Parties should be developing necessary policy and legal measures for the promotion of a comprehensive method to explore, conserve, and sustainable use of the plant genetic resources for foodstuff and farming. The measures comprise consolidating research activities to enhance and conserve the biodiversity by exploiting and capitalizing intraspecific and interspecific variants for the advantage of agrarians, the promotion of plant breeding through the farmers’ help for developing varieties in the developing nations to suit their socio-​economic and ecological conditions, to increase the available array of genetic diversity to the agrarians, to promote the increased usage of locally modified, underutilized harvests and variations, to support on-​farm management, conservation and larger use of varieties to decrease the chance of genetic erosion and crop vulnerability. The Parties must on their own or by the mediation of the FAO, and other global agencies cooperate with other such Parties to conserve and sustainably utilize plant genetic resources through strengthening the capacities of developing and EIT nations, strengthening institutional arrangements, increasing activities such as plant breeding, seed proliferation, genetic enhancement, documentation, assessment, and exchange. Article 9 of this Agreement speaks about the Farmers’ Rights. The Agreement recognizes the huge contribution made and shall be made in the future by the nearby and native farmers across the sections of the Earth that are centers of crop origin and diversity. Each of the Contracting Parties approves for the understanding of the ‘Farmers’ Rights’ in compliance with its state legislation and ensure adequate measure to safeguard and promote it. This includes the protection of traditional knowledge, their right to rightfully and impartially take part in benefit-​sharing, and also their rights to take part in decision-​making connected to the preservation and sustainable usage of plant genetic resources for foodstuff and agronomy. The content of this Article shall not be interpreted to restrict the farmer’s right to protect, utilize, exchange, and vend seeds saved from croplands or other propagation material under the State law. In the matters of the Multilateral System of Access and Benefit-​sharing (MLS) focused on Article 10, the Parties recognize the privileges of the Countries over their plant genetic resources for foodstuff and agronomy. This includes the rights reserved with the national governments’ to have the command to determine the entree to the resources as per the national law. The parties approved to establish an effectual, operative, and transparent multilateral structure to promote entree to and also to share the benefits by the usage of the plant genetic resources reasonably and impartially. The Multilateral System (MLS) comprising the plant genetic resources is given in the Annex I list of the Agreement based on the principles of food security and interdependence (see Table B XI-​11.2.13-​1). The MLS shall include Annex I plant generic resources and be held 487

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in ex-​situ assemblages of the ‘International Agricultural Research Centers (IARC) of the Consultative Group on International Agricultural Research’ (CGIAR). Article 12 stipulates that the Parties shall ensure adequate legal or other steps to provide entree to the plant genetic resources through the MLS. Access is expeditious, free of charge, or with a minimal charge and solely for research, breeding, and training for foodstuff and agronomy. It excludes any usage in chemical, pharmacological, and non-​ food-​ based engineering resolutions. All non-​classified and detailed facts are to be made accessible as per the applicable law. Receivers must not be claiming any intellectual property rights (IPRs) on the plant genetic resources. The access guarded by the IPRs must be in tune with global covenants and applicable State legislation. The developer can use discretionary powers to entrée the plant genetic resources throughout the developing period, such as those developed by the farmers. In case of any emergency, the Parties shall provide expedited entrée to the necessary plant genetic resources in the MLS to contribute towards the reestablishment of the agricultural systems. Another interesting feature is the issues of benefit-​sharing covered in Article 13. The Parties approve to the reasonable and impartial sharing of benefits that arise from the usage, including commercial use of the plant genetic resources under the MLS, and extends to information exchange, technology transfer, capacity building, monetary, and other advantages from commercialization. Information can be exchanged related to inventories, technical, scientific, social, and economic research, characterizations, utilization, evaluation, and the like. Further, the Parties shall be promoting effective implementation through both national and international efforts to provide a coherent framework identifying the significance of the Global Plan of Action. The Contract recognizes the significance of the ex-​situ assemblages of the plant genetic resources for foodstuff and agronomy retained in the trust by the ‘International Agricultural Research Centers (IARC) of the Consultative Group on International Agricultural Research’ (CGIAR). The Parties request the IARC to negotiate contracts related to the ex-​situ collections and make the plant genetic resources mentioned in Annex I available in harmony with the requirements of the Agreements. All the scientific and technical facilities where ex-​situ assemblages are well-​looked-​after shall be under the supervision of the IARC. The Parties shall be cooperating to develop and strengthen a global information system to promote the sharing of facts based on the existing information systems. Such development shall be seeking the assistance of the Clearing House Mechanism of the CBD. The Agreement provides for the creation of a Governing Body represented by all the Contracting Parties, which is a decision-​making body. Decisions are taken based on consensus. The Governing Body provides policy directions, offers guidance to monitoring, and makes amendments and recommendations that are indispensable for the implementation of the provisions.

11.2.13.1  The Indian Context India being a Contracting Party to the International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA), 2001, must offer expedited right to use the PGRFA that are managed and controlled by the Contracting Parties. India ratified the Treaty in 2002. Such expedited entree to the Plant Genetic Resources for Food and Agriculture (PGRFA) has to be given under the settings of Standard Material Transfer Agreement (SMTA) adopted and agreed by the Governing Body of the Treaty to exclude the possibility of any 488

Negotiations for Protection of Biological Diversity Table B XI-​11.2.13-​1 List of the crops under the MLS (Annex I) CROPS

GENUS

OBSERVATIONS

Breadfruit Asparagus Oat Beet Brassica complex

Artocarpus Asparagus Avena Beta Brassica et al.

Breadfruit only.

Pigeon Pea Chickpea Citrus

Cajanus Cicer Citrus

Coconut Major aroids

Carrot Yams Finger Millet Strawberry Sunflower Barley Sweet Potato Grass pea Lentil Apple Cassava Banana /​Plantain Rice Pearl Millet Beans Pea Rye Potato

Cocos Colocasia, Xanthosoma and Daucus Dioscorea Eleusine Fragaria Helianthus Hordeum Ipomoea Lathyrus Lens Malus Manihot Musa Oryza Pennisetum Phaseolus Pisum Secale Solanum

Eggplant Sorghum Triticale Wheat

Solanum Sorghum Triticosecale Triticum et al.

Faba Bean /​Vetch Cowpea et al.

Vicia Vigna

Genera included are –​Brassica, Armoracia, Barbarea, Camelina, Crambe, Diplotaxis, Eruca, Isatis, Lepidium, Raphanobrassica, Raphanus, Rorippa, and Sinapis. This comprises oilseed and vegetable crops such as cabbage, rapeseed, mustard, cress, rocket, radish, and turnip. The species Lepidium meyenii (maca) is excluded.

Genera Poncirus and Fortunella are included as rootstock. Major aroids include taro, cocoyam, dasheen tannia.

Manihot esculenta only. Except for Musa textilis.

Except for Phaseolus polyanthus.

Section tuberosa included, except Solanum phureja. Section melongena included. Including Agropyron, Elymus, and Secale.

(Continued)

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Negotiations for Protection of Biological Diversity Table B XI-11.2.13-1 (Continued) CROPS

GENUS

OBSERVATIONS

Maize

Zea

Excluding Zea perennis, Zea diploperennis, and Zea luxurians.

LEGUME FORAGES Genera Astragalus Canavalia Coronilla Hedysarum Lathyrus Lespedeza Lotus Lupinus Medicago Melilotus Onobrychis Ornitnopus Prosopis Pueraria Trifolium

species chinensis, cicer, arenarius ensiformis varia coronarium cicera, ciliolatus, hirsutus, ochrus, odoratus, sativus cuneata, striata, stipulacea corniculatus, subbiflorus, uliginosus albus, angustifolius, luteus arborea, falcata, sativa, scutellata, rigidula, truncatula albus, officinalis viciifolia affinis, alba, chilensis, nigra, pallida phaseoloides alexandrinum, alpestre, ambiguum, angustifolium, arvense, agrocicerum, hybridum, incarnatum, pratense, repens, resupinatum, rueppellianum, semipilosum, subterraneum, vesiculosum

GRASS FORAGES Andropogon Agropyron Agrostis Alopecurus Arrhenatherum Dactyl is Festuca

Phalaris Phleum Poa Tripsacum

gayanus cristatum, desertorum stolonifera, tenuis pratensis elatius glomerata arundinacea, gigantea, heterophylla, ovina, pratensis, rubra hybridum, multiflorum, perenne, rigidum, temulentum aquatica, arundinacea pratense alpina, annua, pratensis laxum

OTHER FORAGES Atriplex Salsola

halimus, nummularia vermiculata

Lolium

IPRs claim. India is also a Party to the CBD and has ratified the Nagoya Protocol. The Government of India enacted the Protection of Plant Varieties and Farmers’ Rights (PPV and FR) Act in 2001 to safeguard the Farmers and Breeders rights, whereby the farmer has the prerogative for saving, sowing, exchanging, sharing, and selling their respective farmhouse harvest including seed of a variety. The nodal agency for managing and exchanging the PGR for research purposes in India is the National Bureau of Plant Genetic Resources (NBPGR). The NBPGR consults with 490

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pertinent research organizations of the country and coordinates the supply of Annex I specified crops for the Agreement. The MLS also includes crops other than those in Annex I that are kept in ex situ methods in the IARCs and CGIAR. The Plant Genetic Resources for Food and Agriculture obtained before 1993 are also made accessible as per the provisions. India currently informed 26563 accessions that belong to nine crops of the Annex I list. The National Focal Point (NFP) of the GOI is the Department of Agriculture and Cooperation (DAC). The DAC acts as a Competent Authority to make decisions on any requests put forth by the Contracting Parties. These requests are regarding the right of entry to the Plant Genetic Resources for Food and Agriculture of designated accessions in tune with the obligations of various international contracts to which India is a Party. Any germplasm having Indian origin already present with the IARC procured before 1993 is also accessible. The NBPGR (ICAR) is also the nodal agency for the importation, exportation, and quarantine of plant germplasm in India. Contracting Party on request will get only a specified quantity of the Plant Genetic Resources for Food and Agriculture as per details given in Annex 1. For export, access is allowed for the PGRFA that India notified under the MLS (see Table B XI-​11.2.13-​2). Requests should be made to the NFP, which would be subject to their approval. The Germplasm Export Facilitation Committee (GEFC) examines the application on a case-​to-​case basis and gives its suggestions to the National Focal Point (NFP). The National Bureau of Plant Genetic Resources coordinates the supply only after receiving approval. The Import Permit (IP) of the Party of importation is required by the PGFRA for the NBPGR to issue the required phytosanitary certificate (PSC). Regarding any imports, under MLS, any natural or legal person could apply to the relevant Contracting Party. The application is meant to be processed as per the existing domestic legislation. In this case, the IP is issued by the Director of the NBPGR, according to Plant Quarantine (Regulation of Import into India) Order 2003. The exporting Party is obligated to deliver the PSC. The benefit-​ sharing mechanisms that arise out of the commercialization of the PGRFA that are exported from India are entirely contained in the Standard Material Transfer Agreement (SMTA). Under this agreement, all signatory nations could access the PGRFA.

Table B XI-​11.2.13-​2 Maximum quantity of seeds or planting material allowed for export

i

ii.

Seeds:

Amount in grams

a. Zea mays, Helianthus spp., Phaseolus spp., Pisum sativum, Cajanus cajan, Cicer spp., Vicia spp., etc., b. Brassica spp., Solanum melongena, and Solanum spp., Daucus carota, Secale spp., Pennisetum spp., Sorghum spp., small millets c. Other species of plants such as Oryza spp., Triticum spp., Hordeum spp., Lens spp. Vegetable propagules: a. Number of rooted cuttings/​plants per sample b. Number of other vegetative propagules per sample

1000

491

200 500

25 50

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Annexure: Negotiations for Protection of Biological Diversity Annexure B XI –​11.2.4: Convention for the Conservation of Antarctic Seals (CCAS) 1972 London https://​2009-​2017.state.gov/​docume​nts/​organ​izat​ion/​15280.pdf

ANNEX1 Text as amended in the CCAS Review Meeting (London, 12–​16 September 1988). The amendments became effective on 27 March 1990 1:

1. Permissible Catch The Contracting Parties shall in any one year, which shall run from 1 March to the last day in February inclusive, restrict the total number of seals of each species killed or captured to the numbers specified below. These numbers are subject to review in the light of scientific assessments: a. b. c.

in the case of Crabeater seals Lobodon carcinophagus, 175,000; in the case of Leopard seals Hydrurga leptonyx, 12,000; in the case of Weddell seals Leptonychotes weddelli, 5,000.

2. Protected Species a. b.

It is forbidden to kill or capture Ross seals Ommatophoca rossi, Southern elephant seals Miroungaleonina, or fur seals of the genus Arctocephalus. In order to protect the adult breeding stock during the period when it is most concentrated and vulnerable, it is forbidden to kill or capture any Weddell seal Leptonychotes weddelli between 1 September and 31 January inclusive.

3. Closed Season and Sealing Season The period between 1 March and 31 August inclusive is a Closed Season, during which the killing or capturing of seals is forbidden. The period 1 September to the last day in February constitutes the Sealing Season. 4. Sealing Zones Each of the sealing zones listed in this paragraph shall be closed in numerical sequence to all sealing operations for the seal species listed in paragraph 1 of this Annex for the period 1 September to the last day of February inclusive. Such closures shall begin with the same zone as is closed under paragraph 2 of Annex B to Annex 1 of the Report of the Fifth Antarctic Treaty Consultative Meeting at the moment the Convention enters into force. Upon the expiration of each closed period, the affected zone shall reopen: Zone 1 –​between 60° and 120° West Longitude Zone 2 –​between 0° and 60° West Longitude, together with that part of the Weddell Sea lying westward of 60° West Longitude Zone 3 –​between 0° and 70° East Longitude Zone 4 –​between 70° and 130° East Longitude Zone 5 –​between 130° East Longitude and 170° West Longitude Zone 6 –​between 120° and 170° West Longitude.

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5. Seal Reserves It is forbidden to kill or capture seals in the following reserves, which are seal breeding areas or the site of long-​term scientific research: (a)

The area around the South Orkney Islands between 60°20’ and 60°56’ South Latitude and 44°05’ and 46°25’ West Longitude. (b) The area of the southwestern Ross Sea south of 76° South Latitude and west of 170° East Longitude. (c) The area of Edisto Inlet south and west of a line drawn between Cape Hallett at 72°19’ South Latitude, 170°18’ East Longitude, and Helm Point, at 72°11’ South Latitude, 170°00’ East Longitude. 6. Exchange of Information (a)

Contracting Parties shall provide before 30 June each year to other Contracting Parties and to SCAR a summary of statistical information on all seals killed or captured by their nationals and vessels under their respective flags in the Convention area, in respect of the preceding period 1 March to the last day in February. This information shall include by zones and months: (i)

The gross and net tonnage, brake horse-​power, number of crew, and number of days’ operation of vessels under the flag of the Contracting Party; (ii) The number of adult individuals and pups of each species taken. When specially requested, this information shall be provided in respect of each ship, together with its daily position at noon each operating day and the catch on that day. (b) When an industry has started, reports of the number of seals of each species killed or captured in each zone shall be made to SCAR in the form and at the intervals (not shorter than one week) requested by that body. (c)

Contracting Parties shall provide to SCAR biological information, in particular: (i) Sex (ii) Reproductive condition (iii) Age SCAR may request additional information or material with the approval of the Contracting Parties.

(d) Contracting Parties shall provide to other Contracting Parties and to SCAR at least 30 days in advance of departure from their home ports, information on proposed sealing expeditions. 7. Sealing Methods (a)

SCAR is invited to report on methods of sealing and to make recommendations with a view to ensuring that the killing or capturing of seals is quick, painless and efficient. Contracting Parties, as appropriate, shall adopt rules for their nationals and vessels under their respective flags engaged in the killing and capturing of seals, giving due consideration to the views of SCAR.

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(b) In the light of the available scientific and technical data, Contracting Parties agree to take appropriate steps to ensure that their nationals and vessels under their respective flags refrain from killing or capturing seals in the water, except in limited quantities to provide for scientific research in conformity with the objectives and principles of this Convention. Such research shall include studies as to the effectiveness of methods of sealing from the viewpoint of the management and humane and rational utilization of the Antarctic seal resources for conservation purposes. The undertaking and the results of any such scientific research programme shall be communicated to SCAR and the Depositary which shall transmit them to the Contracting Parties. 8. Cooperation The Contracting Parties to this Convention shall, as appropriate, cooperate and exchange information with the other Contracting Parties to the other international instruments within the Antarctic Treaty System and their respective institutions.

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Annexure B XI –​11.2.7: Convention on the Conservation of European Wildlife and Natural Habitats (Bern Convention, 1979) http://www2.ecolex.org/server2neu.php/libcat/docs/TRE/Full/En/TRE-000473.txt https://rm.coe.int/16800ca431 and https://rm.coe.int/168097eb56 D. Appendices 68. The lists in the appendices include only those indigenous species on which general agreement could be obtained. Rather than attempting to reach agreement on all those species that merit strict protection under this Convention it seemed preferable at this stage to confine recommendations to generally acceptable species, thereby facilitating accession to the Convention, which could thus come into force without undue delay. The lists could be developed further by the Standing Committee, where there would be the opportunity for States to deepen their mutual understanding by working closely together and thus accelerate the effective working of the Convention. 69. It was decided for practical reasons to confine the flora and fauna listed in Appendices I, II and III to the taxonomic level of the species, excluding mention of sub-​species, varieties and other taxonomic subordinate levels (one exception being made in Appendix II, see paragraph 78), and essentially those species occurring on the territories of the States that had elaborated this Convention. 70. It was agreed that the Standing Committee should extend the appendices to other groups of flora and fauna (e.g. invertebrate and fish species) at a later date. 71. The lists of species in Appendices II and III are, with some exceptions, based on the following authorities: - Mammals: “A field guide to the mammals of Britain and Europe”, by F. H. van den Brink, Collins, London, 3rd edition, 1973. - Birds: “Guide des oiseauxd’ Europe”, by Peterson, Mountfort, Hollom, Geroudet, Delachaux and Niestle, Neuchatel, 6th edition, 1972. - Amphibians and reptiles: “A field guide to the reptiles and amphibians of Britain and Europe”, by E. N. Arnold and J. A. Burton, Collins, London, 1978. 72. Several marine mammal species listed in Appendices II or III are subject to international agreements, the compatibility of which with the provisions in this convention has been provided for in Article 12(1). Resolution (77) 7 on the protection of threatened mammals in Europe. Resolution (73) 31 on birds in need of special protection in Europe. Resolution (78) 22 on threatened amphibians and reptiles in Europe. (1)

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Appendix I -​STRICTLY PROTECTED FLORA SPECIES (Med.) =​in the Mediterranean 73. In accordance with Article 5, flora species appearing in Appendix I are to be specially protected. Exceptions from this provision may only be made under the strict conditions set out in Article 9. 74. Appendix I is based on the list of species endangered in the region covered by the Council of Europe, established, at the request of the ad hoc committee, by lUCN’s Threatened Plants Committee. • PTERIDOPHYTA • GYMNOSPERMAE • ANGIOSPERMAE • BRYOPHYTA o BRYOPSIDA: ANTHOCEROTAE o BRYOPSIDA: HEPATICAE o BRYOPSIDA: MUSCI • ALGAE ENDEMIC SPECIES OF THE MACARONESIAN REGION • PTERIDOPHYTA • GYMNOSPERMAE • ANGIOSPERMAE • BRYOPHYTA (*) Status in force since 4 March 2000. Appendices are regularly revised by the Standing Committee. PTERIDOPHYTA

HYMENOPHYLLACEAE

ASPLENIACEAE

Trichomanes speciosum Willd.

Asplenium hemionitis L. Asplenium jahandiezii (Litard.) Rouy

ISOETACEAE

BLECHNACEAE Woodwardia radicans (L.) Sm. DICKSONIACEAE

Isoetes boryana Durieu Isoetes malinverniana Ces. & De Not. MARSILEACEAE Marsilea batardae Launert Marsilea quadrifolia L. Marsilea strigosa Willd.

Culcita macrocarpa C.Presl DRYOPTERIDACEAE Dryopteris corleyi Fraser-​Jenk.

OPHIOGLOSSACEAE Botrychium matricariifolium A. Braun ex Koch

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Botrychium multifidum (S. G. Gmelin) Rupr. Botrychium simplex Hitchc. Ophioglossum polyphyllum A.Braun SALVINIACEAE Salvinia natans (L.) All. GYMNOSPERMAE CUPRESSACEAE Tetraclinis articulata (Vahl) Masters PINACEAE Abies nebrodensis (Lojac.) Mattei

BORAGINACEAE Alkanna pinardii Boiss. Anchusa crispa Viv. (inclu. A. litoreae) Lithodora nitida (H.Ern) R.Fernandes Myosotis praecox Hulphers Myosotis rehsteineri Wartm. Omphalodes kuzinskyana Willk. Omphalodes littoralis Lehm. Onosma halophilum Boiss. & Heldr. Onosma polyphylla Lebed. Onosma proponticum Aznav. Onosma tornensis Javorka Onosma troodi Kotschy Solenanthus albanicus (Degen et al.) Degen & Baldacci Symphytum cycladense Pawl.

ANGIOSPERMAE ALISMATACEAE Alisma wahlenbergii (O.R.Holmb.) Juz. Caldesia parnassifolia (L.) Parl. Luronium natans (L.) Raf. AMARYLLIDACEAE Leucojum nicaeense Ard. Narcissus angustifolius Curt. Narcissus longispathus Pugsley Narcissus nevadensis Pugsley Narcissus scaberulus Henriq. Narcissus triandrus L. Narcissus viridiflorus Schousboe Sternbergia candida B.Mathew & Baytop APOCYNACEAE Rhazya orientalis (Decaisne) A.DC. ARACEAE Arum purpureospathum Boyce ARISTOLOCHIACEAE Aristolochia samsunensis Davis ASCLEPIADACEAE Vincetoxicum pannonicum (Borhidi) Holub

CAMPANULACEAE Asyneuma giganteum (Boiss.) Bornm. Campanula abietina Griseb. et Schenk. Campanula damboldtiana Davis Campanula gelida Kovanda Campanula lanata Friv. Campanula lycica Sorger & Kit Tan Campanula morettiana Reichenb. Campanula romanica Savul. Campanula sabatia De Not. Jasione lusitanica A.DC. Physoplexis comosa (L.) Schur Trachelium asperuloides Boiss. & Orph. CARYOPHYLLACEAE Arenaria nevadensis Boiss. & Reuter Arenaria provincialis Chater & Halliday Cerastium alsinifolium Tausch Dianthus hypanicus Andrz. Dianthus nitidus Waldst. et Kit. Dianthus rupicola Biv. Dianthus serotinus Waldst. et Kit. Dianthus urumoffii Stoj. et Acht. Gypsophila papillosa P.Porta Herniaria algarvica Chaudri Herniaria maritima Link Minuartia smejkalii Dvorakova Moehringia fontqueri Pau Moehringia hypanica Grynj. et Klok.

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Moehringia jankae Griseb. ex Janka Moehringia tommasinii Marches. Petrocoptis grandiflora Rothm. Petrocoptis montsicciana O.Bolos Rivas Mart. Petrocoptis pseudoviscosa Fernandez Casas Saponaria halophila Hedge & Hub.-​Mor. Silene cretacea Fisch. ex Spreng. Silene furcata Raf. subsp. angustiflora (Rupr.) Walters Silene haussknechtii Heldr. ex Hausskn. Silene hifacensis Rouy ex Willk. Silene holzmannii Heldr. ex Boiss. Silene mariana Pau Silene orphanidis Boiss. Silene pompeiopolitana Gay ex Boiss. Silene rothmaleri Pinto da Silva Silene salsuginea Hub.-​Mor. Silene sangaria Coode & Cullen Silene velutina Pourret ex Loisel. CHENOPODIACEAE Beta adanensis Pamuk. apud Aellen Beta trojana Pamuk. apud Aellen Cremnophyton lanfrancoi Brullo et Pavone Kalidiopsis wagenitzii Aellen Kochia saxicola Guss. Microcnemum coralloides (Loscos & Pardo) Font Quer subsp.anatolicum Wagenitz Salicornia veneta Pignatti & Lausi Salsola anatolica Aellen Suaeda cucullata Aellen CISTACEAE Helianthemum alypoides Losa & Rivas Goday Helianthemum arcticum (Grosser) Janch. Helianthemum caput-​felis Boiss. Tuberaria major (Willk.) Pinto da Silva & Roseira COMPOSITAE Achillea glaberrima Klok. Achillea thracica Velen. Anacyclus latealatus Hub.-​Mor.

Andryala levitomentosa (E. I. Nayardy) P. D. Sell Anthemis glaberrima (Rech.f.) Greuter Anthemis halophila Boiss. & Bal. Anthemis trotzkiana Claus ex Bunge. Artemisia granatensis Boiss. Artemisia insipida Vill. Artemisia laciniata Willd. Artemisia pancicii (Janka) Ronn. Aster pyrenaeus Desf. ex DC. Aster sibiricus L. Carduus myriacanthus Salzm. ex DC. Carlina diae (Rech.f.) Meusel & Kastener Carlina onopordifolia Besser Centaurea alba L. subsp. heldreichii (Halacsy) Dostal (Centaurea heldreichii Halacsy) Centaurea alba L. subsp. princeps (Boiss. & Heldr.) Gugler (Centaurea princeps Boiss. & Heldr.) Centaurea akamatis Th. Georgiades & G. Chatzikiriakou Centaurea attica Nyman subsp. megarensis (Halacsy & Hayek) Dostal (Centaurea megarensis Halacsy & Hayek) Centaurea balearica J.D.Rodriguez Centaurea borjae Valdes-​Berm. & Rivas Goday Centaurea citricolor Font Quer Centaurea corymbosa Pourret Centaurea dubjanskyi Iljin. Centaurea hermannii F.Hermann Centaurea horrida Badaro Centaurea jankae Brandza Centaurea kalambakensis Freyn & Sint. Centaurea kartschiana Scop. Centaurea lactiflora Halacsy Centaurea niederi Heldr. Centaurea peucedanifolia Boiss. & Orph. Centaurea pineticola Iljin. Centaurea pinnata Pau Centaurea pontica Prodan & E. I. Nayardy Centaurea pseudoleucolepis Kleop Centaurea pulvinata (G.Blanca) G.Blanca Centaurea tchihatcheffii Fich. & Mey. Crepis crocifolia Boiss. & Heldr.

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Crepis granatensis (Willk.) G.Blanca & M.Cueto Crepis purpurea Willd. Bieb. Dendranthema zawadskyi (Herb.) Tzvel. Erigeron frigidus Boiss. ex DC. Helichrysum melitense (Pignatti) Brulo, Lanfronco, Pavone et Ronsisvalle Helichrysum sibthorpii Rouy Hymenostemma pseudanthemis (Kunze) Willd. Jurinea cyanoides (L.) Reichenb. Jurinea fontqueri Cuatrec. Lagoseris purpurea (Willd.) Boiss. Lamyropsis microcephala (Moris) Dittrich & Greuter Leontodon boryi Boiss. ex DC. Leontodon microcephalus (Boiss. ex DC.) Boiss. Leontodon siculus (Guss.) Finch & Sell Ligularia sibirica (L.) Cass. Palaeocyanus crassifolius (Bertoloni) Dostal Picris willkommii (Schultz Bip.) Nyman Santolina elegans Boiss. ex DC. Senecio elodes Boiss. ex DC. Senecio nevadensis Boiss. & Reuter Serratula tanaitica P. Smirn. Sonchus erzincanicus Matthews Wagenitzia lancifolia (Sieber ex Sprengel) Dostal CONVOLVULACEAE Convolvulus argyrothamnos Greuter Convolvulus pulvinatus Sa’ad CRUCIFERAE Alyssum akamasicum B.L.Burtt Alyssum borzaeanum E. I. Nayardy Alyssum pyrenaicum Lapeyr. (Ptilotrichum pyrenaicum (Lapeyr.) Boiss.) Arabis kennedyae Meikle Armoracia macrocarpa (Waldst. & Kit.) Kit. ex Baumg. Aurinia uechtritziana (Bornm.) Cullen et T. R. Dudley Biscutella neustriaca Bonnet Boleum asperum (Pers.) Desvaux

Brassica glabrescens Poldini Brassica hilarionis Post Brassica insularis Moris Brassica macrocarpa Guss. Brassica sylvestris (l.) Mill. subsp. taurica Tzvel. Braya purpurasceus (R.Br.) Bunge Cochlearia polonica Frohlich Coincya rupestris Rouy (Hutera rupestris P. Porta) Coronopus navasii Pau Crambe koktebelica (Junge) N. Busch. Crambe litwinonowii K. Gross. Diplotaxis ibicensis (Pau) Gomez-​Campo Diplotaxis siettiana Maire Draba dorneri Heuffel Erucastrum palustre (Pirona) Vis. Erysimum pieninicum (Zapal.) Pawl. Iberis arbuscula Runemark Ionopsidium acaule (Desf.) Reichemb. Ionopsidium savianum (Caruel) Ball ex Arcang. Lepidium turczaninowii Lipsky. Murbeckiella sousae Rothm. Schivereckia podolica (Besser) Andrz. Sisymbrium cavanillesianum Valdes & Castroviejo (S. matritense P.W.Ball & Heywood) Sisymbrium confertum Stev. Sisymbrium supinum L. Thlaspi cariense A.Carlstrom Thlaspi jankae A. Kern CYPERACEAE Carex secalina Willd. ex Wahlenb. Eleocharis carniolica Koch DIOSCOREACEAE Borderea chouardii (Gaussen) Heslot DIPSACACEAE Dipsacus cephalarioides Mathews & Kupicha DROSERACEAE Aldrovanda vesiculosa L.

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ERICACEAE Vaccinium arctostaphylos L. EUPHORBIACEAE Euphorbia margalidiana Kuhbier & Lewejohann Euphorbia nevadensis Boiss. & Reuter GENTIANACEAE Centaurium rigualii Esteve Chueca Centaurium somedanum Lainz Gentiana ligustica R. de Vilm. Chopinet Gentianella anglica (Pugsley) E.F.Warburg GERANIACEAE Erodium astragaloides Boiss. & Reuter Erodium chrysanthum L’Herit. ex DC. Erodium paularense Fernandez-​Gonzalez & Izco Erodium rupicola Boiss. GESNERIACEAE Haberlea rhodopensis Friv. Jankaea heldreichii (Boiss.) Boiss. Ramonda serbica Pancic GRAMINEAE Avenula hackelii (Henriq.) Holub Bromus bromoideus (Lej.) Crepin Bromus grossus Desf. ex DC. Bromus interruptus (Hackel) Druce Bromus moesiacus Velen. Bromus psammophilus P.M.Smith Coleanthus subtilis (Tratt.) Seidl Eremopoa mardinensis R.Mill Gaudinia hispanica Stace & Tutin Micropyropsis tuberosa Romero-​Zarco Cabezudo Poa granitica Br.-​Bl. Poa riphaea (Ascherson et Graebner) Fritsch Puccinellia pungens (Pau) Paunero Stipa austroitalica Martinovsky Stipa bavarica Martinovsky & H.Scholz Stipa danubialis Dihoru & Roman

Stipa styriaca Martinovsky Stipa syreistschikowii P. Smirn. Trisetum subalpestre (Hartm.) Neuman GROSSULARIACEAE Ribes sardoum Martelli HYPERICACEAE Hypericum aciferum (Greuter) N.K.B.Robson Hypericum salsugineum Robson & Hub.-​Mor. IRIDACEAE Crocus abantensis T.Baytop & Mathew Crocus cyprius Boiss. & Kotschy Crocus etruscus Parl. Crocus hartmannianus Holmboe Crocus robertianus C.D. Brickell Gladiolus felicis Mirek Iris marsica Ricci & Colasante LABIATAE Dracocephalum austriacum L. Dracocephalum ruyschiana L. Micromeria taygetea P.H.Davis Nepeta dirphya (Boiss.) Heldr. ex Halacsy Nepeta sphaciotica P.H.Davis Origanum cordifolium (Auch. & Montbr.) Vogel (Amaracus cordifolium Montr. & Auch.) Origanum dictamnus L. Origanum scabrum Boiss. & Heldr Phlomis brevibracteata Turrill Phlomis cypria Post Rosmarinus tomentosus Hub.-​Mor. & Maire Salvia crassifolia Sibth. & Smith Sideritis cypria Post Sideritis incana L. subsp. glauca (Cav.) Malagarriga Sideritis javalambrensis Pau Sideritis serrata Cav. ex Lag. Teucrium charidemi Sandwith Teucrium lamiifolium D’Urv. Teucrium lepicephalum Pau

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Teucrium turredanum Losa & Rivas Goday Thymus aznavourii Velen. Thymus camphoratus Hoffmanns. & Link Thymus carnosus Boiss. Thymus cephalotos L. LEGUMINOSAE Anthyllis hystrix Cardona, Contandr. & E.Sierra Astragalus aitosensis Ivanisch. Astragalus algarbiensis Coss. ex Bunge Astragalus aquilanus Anzalone Astragalus centralpinus Braun-​Blanquet Astragalus kungurensis Boriss. Astragalus macrocarpus DC. subsp. lefkarensis Agerer-​Kirchoff & Meikle Astragalus maritimus Moris Astragalus peterfii Jav. Astragalus physocalyx Fischer Astragalus psedopurpureus Gusul. Astragalus setosulus Gontsch. Astragalus tanaiticus C. Koch. Astragalus tremolsianus Pau Astragalus verrucosus Moris Cytisus aeolicus Guss. ex Lindl. Genista dorycnifolia Font Quer Genista holopetala (Fleischm. ex Koch) Baldacci Genista tetragona Bess. Glycyrrhiza iconica Hub.-​Mor. Hedysarum razoumovianum Fisch. et Helm. Ononis maweana Ball Oxytropis deflexa (Pallas) DC. subsp. norvegica Nordh. Sphaerophysa kotschyana Boiss. Thermopsis turcica Kit Tan, Vural & Kugukodu Trifolium banaticum (Heuffel) Majovsky Trifolium pachycalyx Zoh. Trifolium saxatile All. Trigonella arenicola Hub.-​Mor. Trigonella halophila Boiss. Trigonella polycarpa Boiss. & Heldr. Vicia bifoliolata J.D.Rodriguez

LENTIBULARIACEAE Pinguicula crystallina Sibth. & Sm. Pinguicula nevadensis (Lindb.) Casper LILIACEAE Allium grosii Font Quer Allium regelianum A. Beck. Allium vuralii Kit Tan Androcymbium europaeum (Lange) K.Richter Androcymbium rechingeri Greuter Asparagus lycaonicus Davis Asphodelus bento-​rainhae Pinto da Silva Chionodoxa lochiae Meikle Chionodoxa luciliae Boiss. Colchicum arenarium Waldst. & Kit. Colchicum corsicum Baker Colchicum cousturieri Greuter Colchicum davidovii Stef. Colchicum fominii Bordz. Colchicum micranthum Boiss. Fritillaria conica Boiss. Fritillaria drenovskii Degen & Stoy. Fritillaria epirotica Turrill ex Rix Fritillaria euboeica Rix Fritillaria graeca Boiss. Fritillaria gussichiae (Degen & Doerfler) Rix Fritillaria montana Hoppe. Fritillaria obliqua Ker-​Gawl. Fritillaria rhodocanakis Orph. ex Baker Fritillaria tuntasia Heldr. ex Halacsy Lilium jankae A. Kerner Lilium rhodopaeum Delip. Muscari gussonei (Parl.) Tod. Ornithogalum reverchonii Lange Scilla morrisii Meikle Scilla odorata Link Tulipa cypria Stapf Tulipa goulimyi Sealy & Turrill Tulipa hungarica Borbas Tulipa praecox Ten. Tulipa sprengeri Baker

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LINACEAE Linum dolomiticum Borbas

PAEONIACEAE Paeonia cambessedesii (Willk.) Willk. Paeonia clusii F.C.Stern (Stern) subsp. rhodia (Stearn) Tzanoudakis Paeonia officinalis L. subsp. banatica (Rochel) Soo Paeonia parnassica Tzanoudakis Paeonia tenuifolia L.

LYTHRACEAE Lythrum flexuosum Lag. Lythrum thesioides M.Bieb. MALVACEAE Kosteletzkya pentacarpos (L.) Ledeb.

PALMAE Phoenix theophrasti Greuter

NAJADACEAE Caulinia tenuissima (A. br. ex Magnus) Tzvel. Najas flexilis (Willd.) Rostk. & W.L.Schmidt Najas tenuissima (A.Braun) Magnus

PAPAVERACEAE Papaver lapponicum (Tolm.) Nordh. Rupicapnos africana (Lam.) Pomel

OLEACEAE Syringa josikaea Jacq. fil. ORCHIDACEAE Cephalanthera cucullata Boiss. & Heldr. Comperia comperiana (Steven) Aschers. & Graebner Cypripedium calceolus L. Dactylorhiza chuhensis Renz & Taub. Himantoglossum caprinum (Bieb.) C. Koch Liparis loeselii (L.) Rich. Ophrys argolica Fleischm. Ophrys isaura Renz & Taub. Ophrys kotschyi Fleischm. & Soo Ophrys lunulata Parl. Ophrys lycia Renz & Taub. Ophrys oestrifera Bieb. Ophrys taurica (Aggeenko) Nevski. Orchis provincialis Balb. Orchis punctulata Stev. ex Lindl. Platanthera obtusata (Pursh) Lindl. subsp. oligantha (Turcz.) Hulten Spiranthes aestivalis (Poiret) L.C.M. Richard Steveniella satyrioides (Stev.) Schlechter.

PLUMBAGINACEAE Armeria pseudarmeria (Murray) Mansfeld Armeria rouyana Daveau Armeria soleirolii (Duby) Godron Armeria velutina Welv. ex Boiss. & Reuter Limonium anatolicum Hedge Limonium tamaricoides Bokhari POLEMONIACEAE Polemonium boreale Adams POLYGONACEAE Polygonum praelongum Coode & Cullen Rheum rhaponticum L. Rumex rupestris Le Gall POSIDONIACEA Posidonia oceanica (L.) Delile (Med.) PRIMULACEAE Androsace cylindrica DC. Androsace mathildae Levier Androsace pyrenaica Lam. Cyclamen coum Mill. Cyclamen kuznetzovii Kotov et Czernova. Cyclamen mirabile Hildebr. Lysimachia minoricensis J.D.Rodriguez Primula apennina Widmer

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Primula deorum Velen. Primula frondosa Janka Primula egaliksensis Wormsk. Primula glaucescens Moretti Primula palinuri Petagna Primula spectabilis Tratt. Primula wulfeniana Scot subsp. baumgarteniana (Degen & Moesz) Ludi Soldanella villosa Darracq RANUNCULACEAE Aconitum corsicum Gayer Aconitum flerovii Steinb. Aconitum lasiocarpum (Reichenb.) Gayer Adonis cyllenea Boiss., Heldr. & Orph. Adonis distorta Ten. Anemone uralensis Fisch. ex DC. Aquilegia bertolonii Schott Aquilegia kitaibelii Schott Aquilegia ottonis Orph. ex Boiss. subsp. taygetea (Orph.) Strid Aquilegia pyrenaica DC. subsp. cazorlensis (Heywood) Galiano & Rivas Martinez (Aquilegia cazorlensis Heywood) Consolida samia P.H.Davis Delphinium caseyi B.L.Burtt Pulsatilla grandis Wend. (Pulsatilla vulgaris subsp. grandis (Wend.) Zamels Pulsatilla patens (L.) Miller Pulsatilla slavica G. Reuss Ranunculus fontanus C. Presl Ranunculus kykkoensis Meikle Ranunculus weyleri Mares

Galium globuliferum Hub.-​Mor. & Reese Galium litorale Guss. Galium moldavicum (Dobrescu) Franco Galium rhodopeum Velen. Galium viridiflorum Boiss. & Reuter SANTALACEAE Thesium ebracteatum Hayne SAXIFRAGACEAE Saxifraga berica (Beguinot) D.A.Webb Saxifraga cintrana Kuzinsky ex Willk. Saxifraga florulenta Moretti Saxifraga hirculus L. Saxifraga presolanensis Engl. Saxifraga tombeanensis Boiss. ex Engl. Saxifraga valdensis DC. Saxifraga vayredana Luizet

ROSACEAE Crataegus dikmensis Pojark Geum bulgaricum Panc. Potentilla delphinensis Gren. & Godron Potentilla emilii-​popii E. I. Nayardy Potentilla silesiaca Uechtr. Pyrus anatolica Browicz

SCROPHULARIACEAE Antirrhinum charidemi Lange Euphrasia marchesettii Wettst. ex Marches. Linaria algarviana Chav. Linaria ficalhoana Rouy Linaria flava (Poiret) Desf. Linaria hellenica Turril Linaria loeselii Schweigger Linaria pseudolaxiflora Lojacono Linaria ricardoi Cout. Linaria tursica B.Valdes & Cabezudo Lindernia procumbens (Krocker) Philcox Odontites granatensis Boiss. Pedicularis sudetica Willd. Verbascum afyonense Hub.-​Mor. Verbascum basivelatum Hub.-​Mor. Verbascum cylleneum (Boiss. & Heldr.) Kuntze Verbascum degenii Hal. Verbascum purpureum (Janka) Hub.-​Mor. Verbascum stepporum Hub.-​Mor. Veronica euxina Turrill Veronica oetaea L.-​A.Gustavsson Veronica turrilliana Stoj. et Stef.

RUBIACEAE Galium cracoviense Ehrend.

SELAGINACEAE Globularia stygia Orph. ex Boiss.

RESEDACEAE Reseda decursiva Forssk.

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SOLANACEAE Atropa baetica Willk. Mandragora officinarum L. THYMELAEACEAE Daphne arbuscula Celak. Daphne petraea Leybold Daphne rodriguezii Texidor Thymelea broterana Coutinho TRAPACEAE Trapa natans L. TYPHACEAE Typha minima Funk Typha shuttleworthii Koch & Sonder ULMACEAE Zelkova abelicea (Lam.) Boiss. UMBELLIFERAE Angelica heterocarpa Lloyd Angelica palustris (Besser) Hoffman Apium bermejoi Llorens Apium repens (Jacq.) Lag. Athamanta cortiana Ferrarini Bupleurum capillare Boiss. & Heldr. Bupleurum dianthifolium Guss. Bupleurum kakiskalae Greuter Eryngium alpinum L. Eryngium viviparum Gay Ferula halophila H.Pesmen Ferula orientalis L. Ferula sadleriana Ledebour Laserpitium longiradium Boiss. Naufraga balearica Constance & Cannon Oenanthe conioides Lange Petagnia saniculifolia Guss. Rouya polygama (Desf.) Coincy Seseli intricatum Boiss. Thorella verticillatinundata (Thore) Briq. VALERIANACEAE Centranthus kellererii (Stoj., Stef. et Georg.) J.K.B. Richardson. Centranthus trinervis (Viv.) Beguinot

VIOLACEAE Viola athois W.Becker Viola cazorlensis Gandoger Viola cryana Gillot Viola delphinantha Boiss. Viola hispida Lam. Viola jaubertiana Mares & Vigineix ZANNICHELLIACEAE Cymodocea nodosa (Ucria) Ascherson (Med.) ZOSTERACEAE Zostera marina L. (Med.) BRYOPHYTA BRYOPSIDA: ANTHOCEROTAE ANTHOCEROTACEAE Notothylas orbicularis (Schwein.) Sull. BRYOPSIDA: HEPATICAE AYTONIACEAE Mannia triandra (Scop.) Grolle CEPHALOZIACEAE Cephalozia macounii (Aust.) Aust. CODONIACEAE Petalophyllum ralfsii (Wils.) Nees et Gott. ex Lehm. FRULLANIACEAE Frullania parvistipula Steph. GYMNOMITRIACEAE Marsupella profunda Lindb. JUNGERMANNIACEAE Jungermannia handelii (Schiffn.) Amak. RICCIACEAE Riccia breidleri Jur. ex Steph.

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RIELLACEAE Riella helicophylla (Mont.) Hook.

ORTHOTRICHACEAE Orthotrichum rogeri Brid.

SCAPANIACEAE Scapania massalongi (K.Muell.) K.Muell.

SPHAGNACEAE Sphagnum pylaisii Brid.

BRYOPSIDA: MUSCI

SPLACHNACEAE Tayloria rudolphiana (Garov.) Bruch & Schimper

AMBLYSTEGIACEAE Drepanocladus vernicosus (Mitt.) Warnst.

ALGAE BRUCHIACEAE Bruchia vogesiaca Schwaegr.

CHLOROPHYTA Caulerpa ollivieri (Med.)

BUXBAUMIACEAE Buxbaumia viridis (Moug. ex Lam. & DC.) Brid. ex Moug. & Nestl. DICRANACEAE Atractylocarpus alpinus (Schimp. ex Milde) Lindb. Cynodontium suecicum (H.Arn. & C.Jens.) I.Hag. Dicranum viride (Sull. & Lesq.) Lindb. FONTINALACEAE Dichelyma capillaceum (With.) Myr. FUNARIACEAE Pyramidula tetragona (Brid.) Brid. HOOKERIACEAE Distichophyllum carinatum Dix. & Nich.

FUCOPHYCEA Cystoseira amentacea (inclus var. stricta et var. spicata) (Med.) Cystoseira mediterranea (Med.) Cystoseira sedoides (Med.) Cystoseira spinosa (inclus C. adriatica) (Med.) Cystoseira zosteroides (Med.) Laminaria rodriguezii (Med.) Laminaria ochroleuca (Med.) RHODOPHYTA Goniolithon byssoides (Med.) Lithophyllum lichenoides (Med.) Ptilophora mediterranea (Med.) Schimmelmannia schousboei =​S. ornata (Med.)

MEESIACEAE Meesia longiseta Hedw.

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ENDEMIC SPECIES OF THE MACARONESIAN REGION

CAMPANULACEAE Azorina vidalii (H.C.Watson) Feer Musschia aurea (L.f.) DC. Musschia wollastonii Lowe

PTERIDOPHYTA ASPLENIACEAE Asplenium azoricum Lovis, Rasbach & Reichstein

CAPRIFOLIACEAE Sambucus palmensis Link CARYOPHYLLACEAE Cerastium azoricum Hochst. Silene nocteolens Webb et Berth

DRYOPTERIDACEAE Polystichum drepanum (Swartz) C.Presl HYM ENOPHYLLACEAE Hymenophyllum maderensis Gibby & Lowis ISOETACEAE Isoetes azorica Durieu ex Milde LYCOPODIACEAE Diphasium maderense (Wilce.) Rothm. MARSILEACEAE Marsilea azorica Launert GYMNOSPERMAE CUPRESACEAE Juniperus brevifolia (Seub.) Antoine ANGIOSPERMAE AGAVACEAE Dracaena draco (L.) L. ASCLEPIADACEAE Caralluma burchardii N.E.Brown Ceropegia chrysantha Svent. BERBERIDACEAE Berberis maderensis Lowe BORAGINACEAE Echium gentianoides Webb ex Coincy Echium handiense Svent. Echium pininana Webb et Berth. Myosotis azorica H.C.Watson Myosotis maritima Hochst. ex Seub.

CISTACEAE Cistus chinamadensis Banares & Romero Helianthemum bystropogophyllum Svent. Helianthemum teneriffae Cosson COMPOSITAE Andryala crithmifolia Ait. Argyranthemum lidii Humphries Argyranthemum pinnatifidum (L.F.) Lowe subsp. succulentum (Lowe) Humphries Argyranthemum winterii (Svent.) Humphries Atractylis arbuscula Svent. & Michaelis Atractylis preauxiana Schultz Bip. Bellis azorica Hochst. ex Seub. Calendula maderensis Dc. Cheirolophus duranii (Burchard) Holub Cheirolophus falsisectus Montelongo et Moraleda Cheirolophus ghomerythus (Svent.) Holub Cheirolophus junonianus (Svent.) Holub Cheirolophus metlesicsii Montelongo Cheirolophus santosabreui Santos Cheirolophus satarataensis (Svent.) Holub Cheirolophus tagananensis (Svent.) Holub Helichrysum monogynum B.L. Burth. & Sunding Helichrysum gossypinum Webb Hypochoeris oligocephala (Svent. & D.Bramwell) Lack Lactuca watsoniana Trelease Leontodon filii (Hochst. ex Seub.) Paiva & Orm. Onopordum carduelinum Bolle Onopordum nogalesii Svent. Pericallis hadrosoma Svent.

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Pericallis malvifolia (L’Her) B. Nord. Phagnalon benetii Lowe Senecio hermosae Pitard Sonchus gandogeri Pitard Stemmacantha cynaroides (C. Smith in Bruch) Dittrich Sventenia bupleuroides Font Quer Tanacetum o’shanahanii Febles. Marrero et Suarez Tanacetum ptarmiciflorum (Webb) Schultz Bip. Tolpis glabrescens Kammer CONVOLVULACEAE Convolvulus caput-​medusae Lowe Convolvulus lopez-​socasi Svent. Convolvulus massonii A.Dietr. Pharbitis preauxii Webb CRASSULACEAE Aeonium balsamiferum Webb et Berth. Aeonium gomeraense Praeger Aeonium saundersii Bolle Aichrysum dumosum (Lowe) Praeg. Monanthes wildpretii Banares & Scholz CRUCIFERAE Crambe arborea Webb ex Christ Crambe laevigata DC. ex Christ Crambe scoparia Svent. Crambe sventenii B.Petters. ex Bramw. & Sunding Parolinia schizogynoides Svent. Sinapidendron sempervivifolium Mnzs. CYPERACEAE Carex malato-​belizii Raymond DIPSACACEAE Scabiosa nitens Roem. & Schult. ERICACEAE Daboecia azorica Tutin & Warb. Erica scoparia L. subsp. azorica (Hochst.) D.A.Webb EUPHORBIACEAE Euphorbia bourgaeana Gay ex Boiss.

Euphorbia handiensis Burchard Euphorbia lambii Svent. Euphorbia stygiana H.C.Watson GERANIACEAE Geranium maderense Yeo GRAMINEAE Agrostis gracililaxa Franco Deschampsia maderensis (Hack. et Bornm.) Buschm. Phalaris maderensis (Mnzs.) Mnzs. LABIATAE Micromeria glomerata P. Perez Micromeria leucantha Svent. ex Perez Salvia herbanica Santos et Fernandez Sideritis cystosiphon Svent. Sideritis discolor (Webb ex de Noe) Bolle Sideritis infernalis Bolle Sideritis marmorea Bolle. Teucrium abutiloides l’Her. LEGUMINOSAE Adenocarpus ombriosus Ceb. & Ort. Anthyllis lemanniana Lowe Anagyris latifolia Brouss. ex Willd. Cicer canariensis Santos & Gweil Dorycnium spectabile Webb & Berthel. Genista benehoavensis (Bolle ex Svent.) Del Arco Lotus azoricus P.W.Ball Lotus callis-​viridis D.Bramwell & D.H.Davis Lotus eremiticus Santos Lotus kunkelii (Esteve) D.Bramwell & D.H. Davis Lotus maculatus Breitfeld Lotus pyranthus P. Perez Teline nervosa (Esteve) A. Hansen et Sund. Teline rosmarinifolia Webb & Berthel. Teline salsoloides Arco & Acebes. Vicia dennesiana H.C.Watson LILIACEAE Androcymbium psammophilum Svent. Smilax divaricata Sol. ex Wats. Smilax divaricata Sol. ex Wats. 507

Negotiations for Protection of Biological Diversity

MYRICACEAE Myrica rivas-​martinezii Santos. Myrica rivas-​martinezii Santos. OLEACEAE Jasminum azoricum L. Picconia azorica (Tutin) Knbol.

SANTALACEAE Kunkeliella canariensis Stearn Kunkeliella psilotoclada (Svent.) Stearn Kunkeliella subsucculenta Kammer SAPOTACEAE Sideroxylon marmulano Banks ex Lowe SAXIFRAGACEAE Saxifraga portosanctana Boiss.

ORCHIDACEAE Barlia metlesicsiaca Teschner Goodyera macrophylla Lowe Orchis scopulorum Summerh. PITTOSPORACEAE Pittosporum coriaceum Dryander ex Aiton

SCROPHULARIACEAE Euphrasia azorica H.C.Watson Euphrasia grandiflora Hochst. Isoplexis chalcantha Svent. & O’Shanahan Isoplexis isabelliana (Webb & Berthel.) Masferrer

PLANTAGINACEAE Plantago famarae Svent. Plantago malato-​belizii Lawalree

SELAGINACEAE Globularia ascanii D.Bramwell & Kunkel Globularia sarcophylla Svent.

PLUMBAGINACEAE Limonium arborescens (Brouss.) Kuntze Limonium dendroides Svent. Limonium fruticans (Webb) O. Kuntze Limonium perezii (Stapf) Hubb. Limonium preauxii (Webb et Berth.) O. Kuntze Limonium spectabile (Svent.) Kunkel & Sunding Limonium sventenii Santos & Fernandez Galvan

SOLANACEAE Solanum lidii Sunding

POLYGONACEAE Rumex azoricus Rech.

UMBELLIFERAE Ammi trifoliatum (Wats.) Trel. Bunium brevifolium Lowe Bupleurum handiense (Bolle) Kunkel Chaerophylum azoricum Trel. Monizia edulis Lowe Ferula latipinna Santos Sanicula azorica Gunthn. ex Seub.

RHAMNACEAE Frangula azorica Tutin

VIOLACEAE Viola paradoxa Lowe

ROSACEAE Bencomia brachystachya Svent. Bencomia exstipulata Svent. Bencomia sphaerocarpa Svent. Chamaemeles coriacea Lindl. Dendriopoterium pulidoi Svent. Marcetella maderensis (Bornm.) Svent. Prunus lusitanica subsp. azorica (Moui.) Franco

BRYOPHYTA

RUTACEAE Ruta microcarpa Svent. Ruta microcarpa Svent.

BRYOPSIDA: MUSCI ECHINODIACEAE Echinodium spinosum (Mitt.) Jur. POTTIACEAE Bryoerythrophyllum machadoanum (Sergio) M.Hill THAMNIACEAE Thamnobryum fernandesii Sergio

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Appendix II -​STRICTLY PROTECTED FAUNA SPECIES (Med.) =​in the Mediterranean 75. In accordance with Article 6, fauna species appearing in Appendix II are to be specially protected. Exceptions to this provision may only be made under the strict conditions set out in Article 9. 76. In establishing Appendix II, account was taken of the lists of mammals, birds, amphibians and reptiles threatened in Europe drawn up by the European Committee for the Conservation of Nature and Natural Resources and subject to various resolutions adopted by the Committee of Ministers of the Council of Europe(1). 77. It was decided to include in Appendix III all European bats (Chiroptera) with the exception of Pipistrellus pipistrellus. 78. It was agreed to include in Appendix III one sub-​species: Rupicapra rupicapra ornata. 79. Following the request of the Second Ministerial Conference to make particular reference to migratory birds, nearly all European migratory song-​birds (Passeriformes) have been included in Appendixll, regardless of their conservation status. VERTEBRATES/​VERTEBRES • Mammals/​Mammiferes • Birds/​Oiseaux • Reptiles • Amphibians/​Amphibiens • Fish/​Poissons INVERTEBRATES/​INVERTEBRES • Arthropods/​Arthropodes • Molluscs/​Mollusques • Echinoderms/​Echinodermes • Cnidarians/​Cnidaires • Sponges/​Eponges Notes to Appendix II /​Notes a l’annexe II (*) Status in force since 8 March 2018. Appendices are regularly revised by the Standing Committee. VERTEBRATES/​VERTEBRES Mammals/​Mammiferes INSECTIVORA Erinaceidae * Atelerix algirus (Erinaceus algirus)

Soricidae * Crocidura suaveolens ariadne (Crodidura ariadne) * Crocidura russula cypria (Crocidura cypria) Crocidura canariensis

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Talpidae Desmana moschata Galemys pyrenaicus (Desmana pyrenaica) MICROCHIROPTERA all species except Pipistrellus pipistrellus toutes les especes a l’exception de Pipistrellus pipistrellus RODENTIA Sciuridae Pteromys volans (Sciuropterus russicus) Sciurus anomalus * Spermophilus citellus (Citellus citellus) Spermophilus suslicus (Citellus suslicus) Muridae Cricetus cricetus Mesocricetus newtoni * Microtus bavaricus (Pitymys bavaricus) Microtus cabrerae Microtus tatricus Spalax graecus Gliridae Dryomis laniger Myomimus roachi (Myomimus bulgaricus) Zapodidae Sicista betulina Sicista subtilis Hystricidae Hystrix cristata

Mustelidae Gulo gulo Mustela eversmannii Mustela lutreola (Lutreola lutreola) Lutra lutra Vormela peregusna Felidae Caracal caracal Felis silvestris Lynx lynx balcanicus * Lynx pardinus (Lynx pardina) Panthera pardus Panthera tigris Odobenidae Odobenus rosmarus Phocidae Monachus monachus Phoca hispida saimensis Phoca hispida ladogensis ARTIODACTYLA Cervidae Cervus elaphus corsicanus Bovidae Capra aegagrus Capra pyrenaica pyrenaica Gazella subgutturosa Gazella dorcas Ovibos moschatus Rupicapra rupicapra ornata CETACEA

CARNIVORA Canidae Alopex lagopus Canis lupus Cuon alpinus Ursidae all species/​toutes les especes

Monodontidae Monodon monoceros Delphinidae Delphinus delphis Globicephala macrorhynchus Globicephala melas Grampus griseus Lagenorhynchus acutus 510

Negotiations for Protection of Biological Diversity

Lagenorhynchus albirostris Orcinus orca Pseudorca crassidens Steno bredanensis Stenella coeruleoalba Stenella frontalis Tursiops truncatus (tursio) Phocaenidae Phocoena phocoena Physeteridae Kogia breviceps Kogia simus (Med.) Physeter macrocephalus (Med.) Ziphiidae Hyperoodon rostratus Mesoplodon bidens Mesoplodon densirostris (Med.) Mesoplodon mirus Ziphius cavirostris Balaenopteridae Bal^noptera acutorostrata (Med.) Bal^noptera borealis (Med.) Balaenoptera edeni Balaenoptera physalus Megaptera novaeangliae (longimana, nodosa) Sibbaldus (Balaenoptera) musculus Balaenidae Balaena mysticetus Eubalaena glacialis Birds/​Oiseaux GAVIIFORMES Gaviidae all species/​toutes les especes

Podiceps grisegena Podiceps nigricollis (caspicus) Podiceps ruficollis PROCELLARIIFORMES Hydrobatidae all species/​toutes les especes Procellariidae Bulweria bulwerii Procellaria diomedea Pterodroma madeira Pterodroma feae Puffinus assimilis baroli Puffinus puffinus Puffinus yelkouan PELECANIFORMES Phalacrocoracidae Phalacrocorax aristotelis (Med.) Phalacrocorax pygmaeus Pelecanidae all species/​toutes les especes CICONIIFORMES Ardeidae Ardea purpurea Ardeola ralloides Botaurus stellaris Bulbucus (Ardeola) ibis Casmerodius albus (Egretta alba) Egretta garzetta Ixobrychus minutus Nycticorax nycticorax Ciconiidae all species/​toutes les especes Threskiornithidae all species/​toutes les especes

PODICIPEDIFORMES Podicipedidae Podiceps auritus

Phoenicopteridae Phoenicopterus ruber

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ANSERIFORMES

CHARADRIIFORMES

Anatidae Anser erythropus Branta leucopsis Branta ruficollis Bucephala islandica Cygnus cygnus Cygnus bewickii (columbianus) Histrionicus histrionicus Marmaronetta (Anas) angustirostris Mergus albellus Oxyura leucocephala Polysticta stelleri Somateria spectabilis Tadorna tadorna Tadorna ferruginea

Charadriidae Arenaria interpres Charadrius alexandrinus Charadrius dubius Charadrius hiaticula Charadrius leschenaulti Eudromias morinellus Hoplopterus spinosus

FALCONIFORMES all species/​toutes les especes GALLIFORMES Tetraonidae Tetrao urogallus cantabricus GRUIFORMES Turnicidae Turnix sylvatica Gruidae all species/​toutes les especes Rallidae Crex crex Fulica cristata Porphyrio porphyrio Porzana porzana Porzana pusilla Porzana parva Otididae all species/​toutes les especes

Scolopacidae Calidris alba Calidris alpina Calidris ferruginea Calidris maritima Calidris minuta Calidris temminckii Gallinago media Limicola falcinellus Numenius tenuirostris Tringa cinerea Tringa glareola Tringa hypoleucos Tringa ochropus Tringa stagnatilis Recurvirostridae all species/​toutes les especes Phalaropodidae all species/​toutes les especes Burhinidae Burhinus oedicnemus Glareolidae all species/​toutes les especes Laridae Chlidonias hybrida Chlidonias leucopterus Chlidonias niger Gelochelidon nilotica Hydroprogne caspia Larus audouinii

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Larus genei Larus melanocephalus Larus minutus Larus (Xenia) sabini Pagophila eburnea Sterna albifrons Sterna dougallii Sterna hirundo Sterna paradisaea (macrura) Sterna sandvicensis

Meropidae Merops apiaster

COLUMBIFORMES

all species/​toutes les especes

Pteroclididae all species/​toutes les especes Columbidae Columba bollii Columba junoniae

PASSERIFORMES

CUCULIFORMES Cuculidae Clamator glandarius STRIGIFORMES all species/​toutes les especes

Coraciidae Coracias garrulus Upopidae Upopa epops PICIFORMES

Alaudidae Calandrella brachydactyla Calandrella rufescens Chersophilus duponti Eremophila alpestris Galerida theklae Melanocorypha bimaculata Melanocorypha calandra Melanocorypha leucoptera Melanocorypha yeltoniensis

CAPRIMULGIFORMES

Hirundinidae all species/​toutes les especes

Caprimulgidae all species/​toutes les especes

Motacillidae all species/​toutes les especes

APODIFORMES

Pycnonotidae Pycnonotus barbatus

Apodidae Apus caffer Apus melba Apus pallidus Apus unicolor

Laniidae all species/​toutes les especes Bombycillidae Bombycilla garrulus

CORACIIFORMES Alcedinidae Alcedo atthis Ceryle rudis Halcyon smyrnensis

Cinclidae Cinclus cinclus Troglodytidae Troglodytes troglodytes

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Prunellidae all species/​toutes les especes Turdinae Cercotrichas galactotes Erithacus rubecula Irania gutturalis Luscinia luscinia Luscinia megarhynchos Luscinia (Cyanosylvia) svecica Monticola saxatilis Monticola solitarius Oenanthe finischii Oenanthe hispanica Oenanthe isabellina Oenanthe leucura Oenanthe oenanthe Oenanthe pleschanka (leucomela) Phoenicurus ochruros Phoenicurus phoenicurus Saxicola dacotiae Saxicola rubetra Saxicola torquata Tarsiger cyanurus Turdus torquatus Sylviinae all species/​toutes les especes Regulinae all species/​toutes les especes Muscicapinae all species/​toutes les especes Timaliinae Panurus biarmicus Paridae all species/​toutes les especes

Emberizidae Calcarius lapponicus Emberiza aureola Emberiza caesia Emberiza cia Emberiza cineracea Emberiza cirlus Emberiza citrinella Emberiza leucocephala Emberiza melanocephala Emberiza pusilla Emberiza rustica Emberiza schoeniclus Plectrophenax nivalis Fringillidae Carduelis cannabina Carduelis carduelis Carduelis chloris Carduelis flammea Carduelis flavirostris Carduelis hornemanni Carduelis spinus Carpodacus erythrinus Coccothraustes coccothraustes Fringilla teydea Loxia curvirostra Loxia leucoptera Loxia pityopsittacus Loxia scotica Pinicola enucleator Rhodopechys githaginea Serinus citrinella Serinus pusillus Serinus serinus Ploceidae Montrifringilla nivalis Petronia petronia

Sittidae all species/​toutes les especes

Sturnidae Sturnus roseus Sturnus unicolor

Certhiidae all species/​toutes les especes

Oriolidae Oriolus oriolus

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Corvidae Cyanopica cyanus Nucifraga caryocatactes Perisoreus infaustus Pyrrhocorax graculus Pyrrhocorax pyrrhocorax Reptiles TESTUDINES Testudinidae Testudo graeca Testudo hermanni Testudo marginata Emydidae Emys orbicularis * Mauremys caspica1 Dermochelyidae Dermochelys coriacea Cheloniidae Caretta caretta Chelonia mydas Eretmochelys imbricata Lepidochelys kempii Trionychidae Rafetus euphraticus Trionyx triunguis SAURIA Gekkonidae Cyrtodactylus kotschyi Tarentola angustimentalis Tarentola boettgeri Tarentola delalandii Tarentola gomerensis Phyllodactylus europaeus Agamidae * Stellio stellio (Agama stellio) Chamaeleontidae Chamaeleo chamaeleon

Lacertidae Algyroides fitzingeri Algyroides marchi Algyroides moreoticus Algyroides nigropunctatus * Archaeolacerta bedriagae (Lacerta bedriagae) * Archaeolacerta monticola (Lacerta monticola) Gallotia galloti * Gallotia simonyi (Lacerta simonyi) Gallotia stehlini Lacerta agilis Lacerta clarkorum Lacerta dugesii Lacerta graeca Lacerta horvathi Lacerta lepida Lacerta parva Lacerta princeps Lacerta schreiberi Lacerta trilineata Lacerta viridis Ophisops elegans Podarcis erhardii Podarcis filfolensis Podarcis lilfordi Podarcis melisellensis Podarcis milensis Podarcis muralis Podarcis peloponnesiaca Podarcis pityusensis Podarcis sicula Podarcis taurica Podarcis tiliguerta Podarcis wagleriana Anguidae Ophisaurus apodus Scincidae Ablepharus kitaibelii Chalcides bedriagai Chalcides ocellatus Chalcides sexlineatus

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* Chalcides simonyi (Chalcides occidentalis) Chalcides viridianus Ophiomorus punctatissimus

Salamandrina terdigitata Triturus carnifex Triturus cristatus Triturus dobrogicus Triturus italicus Triturus karelinii Triturus montandoni

OPHIDIA Colubridae Coluber cypriensis Coluber gemonensis Coluber hippocrepis * Coluber jugularis 2 * Coluber najadum 3 Coluber viridiflavus Coronella austriaca Elaphe longissima Elaphe quatuorlineata Elaphe situla Natrix megalocephala Natrix tessellata Telescopus fallax

Plethodontidae * Speleomantes flavus (Hydromantes flavus) * Speleomantes genei (Hydromantes genei) * Speleomantes imperialis (Hydromantes imperialis) * Speleomantes italicus (Hydromantes italicus) * Speleomantes supramontis (Hydromantes supramontis) Proteidae Proteus anguinus ANURA

Viperidae Vipera albizona Vipera ammodytes Vipera barani Vipera kaznakovi Vipera latasti * Vipera lebetina 4 Vipera pontica Vipera ursinii Vipera wagneri Vipera xanthina

Discoglossidae Alytes cisternasii Alytes muletensis Alytes obstetricans Bombina bombina Bombina variegata Discoglossus galganoi Discoglossus jeanneae Discoglossus montalentii Discoglossus pictus Discoglossus sardus

Amphibians/​Amphibiens CAUDATA Salamandridae Chioglossa lusitanica Euproctus asper Euproctus montanus Euproctus platycephalus * Mertensiella luschani (Salamandra luschani) Neurergus crocatus Neurergus strauchii * Salamandra atra 5

Pelobatidae Pelobates cultripes Pelobates fuscus Pelobates syriacus Pelodytes caucasicus Bufonidae Bufo calamita Bufo viridis Hylidae Hyla arborea

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Hyla meridionalis Hyla sarda Ranidae Rana arvalis Rana dalmatina Rana holtzi Rana iberica Rana italica Rana latastei

Umbra krameri ATHERINIFORMES Cyprinodontidae Aphanius fasciatus (Med.) Aphanius iberus (Med.) Valencia hispanica Valencia leutourneuxi GASTEROSTEIFORMES

Fish/​Poissons AGNATA

Syngnathidae Hippocampus hippocampus (Med.) Hippocampus ramulosus (Med.)

PETROMYZONIFORMES PERCIFORMES Petromyzonidae Lethenteron zanandrai (Med.) CHONDRICHTHYES LAMNIFORMES Cetorhinidae Cetorhinus maximus (Med.)

Percidae Romanichthys valsanicola Zingel asper Gobiidae Pomatoschistus canestrinii (Med.) Pomatoschistus tortonesei (Med.) INVERTEBRATES/​INVERTEBRES

Lamnidae Carcharodon carcharias (Med.)

Arthropods/​Arthropodes

RAJIFORMES

INSECTA

Myliobatidae Mobula mobular (Med.)

Mantodea Apteromantis aptera

OSTEICHTHYES (ACTINOPTERYGII)

Ephemenoptera Palingenia longicauda

ACIPENSERIFORMES Acipenseridae Acipenser naccarii Acipenser sturio Huso huso (Med.) ESOCIFORMES Umbridae

Odonata Aeshna viridis Brachythemis fuscopalliata Calopteryx syriaca Coenagrion freyi Coenagrion mercuriale Cordulegaster trinacriae Gomphus graslinii Leucorrhinia albifrons

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Leucorrhinia caudalis Leucorrhinia pectoralis Lindenia tetraphylla Macromia splendens Ophiogomphus cecilia Oxygastra curtisii Stylurus (=​Gomphus) flavipes Sympecma braueri

Parnassius mnemosyne Plebicula golgus Polyommatus galloi Polyommatus humedasae Proserpinus prosperpina Zerynthia polyxena

Orthoptera Baetica ustulata Saga pedo

Araneae Macrothele calpeiana

ARACHNIDA

CRUSTACEA Coleoptera Buprestis splendens Carabus bessarabicus Carabus hungaricus Carabus olympiae Cerambyx cerdo Cucujus cinnaberinus Dytiscus latissimus Graphoderus bilineatus Osmoderma eremita Rosalia alpina Lepidoptera Apatura metis Coenonympha hero Coenonympha oedippus Erebia calcaria Erebia christi Erebia sudetica Eriogaster catax Euphydryas (Eurodryas) aurinia Fabriciana elisa Hyles hippophaes Hypodryas maturna Lopinga achine Lycaena dispar Maculinea arion Maculinea nausithous Maculinea teleius Melanargia arge Papilio alexanor Papilio hospiton Parnassius apollo

Decapoda Ocypode cursor (Med.) Pachyplasma giganteum (Med.) Molluscs/​Mollusques GASTROPODA Dyotocardia Gibbula nivosa (Med.) Patella ferruginea (Med.) Patella nigra (Med.) Monotocardia Charonia rubicunda (=​ C. lampas =​C. nodiferum) (Med.) Charonia tritonis (=​C. seguenziae) (Med.) Dendropoma petr^um (Med.) Erosaria spurca (Med.) Luria lurida (=​Cypr&a lurida) (Med.) Mitra zonata (Med.) Ranella olearia (Med.) Schilderia achatidea (Med.) Tonna galea (Med.) Zonaria pyrum (Med.) Stylommatophora Caseolus calculus Caseolus commixta Caseolus sphaerula * Discus defloratus 6 Discus guerinianus

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Discula leacockiana Discula tabellata Discula testudinalis Discula turricula Elona quimperiana Geomalacus maculosus Geomitra moniziana Helix subplicata Leiostyla abbreviata Leiostyla cassida Leiostyla corneocostata Leiostyla gibba Leiostyla lamellosa

Echinoderms/​ Echinodermes

BIVALVIA

HYDROZOA

Unionoida Margaritifera auricularia

Errina aspera (Med.)

ASTERIDAE Asterina pancerii (Med.) Ophidiaster ophidianus (Med.) ECHINIDAE Centrostephanus longispinus (Med.) Cnidarians/​Cnidaires

ANTHOZOA Mytiloida Lithophaga lithophaga (Med.) Pinna pernula (Med.)

Astroides calycularis (Med.) Gerardia savaglia (Med.) Sponges/​Eponges

Myoida PORIFERA Pholas dactylus (Med.) Aplysina cavernicola (Med.) Asbestopluma hypogea (Med.) Axinelle polyploides (Med.) Petrobiona massiliana (Med.)

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Notes to Appendix II On 3 December 1993 the Standing Committee to the Convention adopted the following Recommendation (No. 39 (1993)): The Standing Committee of the Convention on the Conservation of European Wildlife and Natural Habitats, acting under the terms of Article 14 of the Convention Recommends that Contracting Parties take into consideration the following technical notes while implementing the Convention. Asterisks have been written where the name of the species has been changed to a more recent one, but the old name is kept in brackets. Footnotes have been used to update taxonomically some taxa. Mauremys caspica has been divided into two new species: . Mauremys caspica . Mauremys leprosa (Mauremys caspica leprosa) 1

Coluber jugularis has been divided into two new species: . Coluber jugularis . Coluber caspius (Coluber jugularis caspius) 2

Coluber najadum has been divided into two new species: . Coluber najadum . Coluber rubriceps (Coluber najadum rubriceps) 3

Vipera lebetina has been divided into two new species: . Vipera lebetina . Vipera schweizeri (Vipera lebetina schweizeri) 4

Salamandra atra has been divided into two new species: . Salamandra atra . Salamandra lanzai (Salamandra atra lanzai) 5

6

Discus defloratus: This species is no longer recognised as a taxonomically valid species as it was described from a few specimens, now recognised as belonging to a different species of Discus.

Appendix III -​PROTECTED FAUNA SPECIES (Med.) =​in the Mediterranean 80. In accordance with Article 7, fauna species appearing in Appendix III are to protected, but a certain exploitation is possible if the population level permits. 81. All species of birds (with the exception of eleven species), amphibians and reptiles occurring on the territories of the States that had elaborated the Convention and not covered by Appendix II have been included in this appendix.

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VERTEBRATES/​VERTEBRES • Mammals • Birds • Reptiles • Amphibians • Fish INVERTEBRATES • Arthropods • Molluscs • Annelids • Echinoderms • Cnidarians • Sponges (*) Status in force since 6 March 1998. Appendices are regularly revised by the Standing Committee. VERTEBRATES/​VERTEBRES

INSECTIVORA

Sciuridae Mamota mamota Sciurus vulgaris

Erinaceidae Erinaceus europaeus

Castoridae Castor fiber

Soricidae all species/​toutes les especes

Muridae Microtus nivalis (lebrunii) Microtus ratticeps (oeconomus)

Mammals

MICROCHIROPTERA Vespertilionidae Pipistrellus pipistrellus DUPLICIDENTATA Leporidae Lepus capensis (europaeus) Lepus timidus RODENTIA

Gliridae all species/​toutes les especes CETACEA All species not mentioned in Appendix II CARNIVORA Mustelidae Martes foina Martes martes Meles meles

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Mustela erminea Mustela nivalis Putorius (Mustela) putorius

Sturnus vulgaris Pica pica Reptiles

Viverridae all species/​toutes les especes Felidae Lynx lynx

All species not included in Appendix II Amphibians/​Amphibiens All species not included in Appendix II

Phocidae Cystophora cristata Erignathus barbatus Pagophilus groenlandicus (Phoca groenlandica) Phoca vitulina Phoca hispida (Pusa hispida) Halichoerus grypus

Fish/​Poissons CHONDRICHTHYES PLEUROTREMATA

ARTIODACTYLA

Lamnidae Isurus oxyrinchus (Med.) Lamna nasus (Med.)

Suidae Sus scrofa meridionalis Cervidae all species/​toutes les especes

Carcharhinidae Prionace glauca (Med.) Squatinidae Squatina squatina (Med.)

Bovidae Bison bonasus Capra ibex Capra pyrenaica Ovis aries (musimon, ammon) Rupicapra rupicapra

HYPOTREMATA

Birds/​Oiseaux

PETROMYZONIFORM ES

All species not included in Appendix II with the exception of: Columba palumbus Corvus corone (corone and/​et cornix) Corvus frugilegus Corvus monedula Garrulus glandarius Larus argentatus Larus fuscus Larus marinus Passer domesticus

Petromyzonidae Eudontomyzon hellenicum Eudontomyzon mariae Eudontomyzon vladykovi Lampetra fluviatilis Lampetra planeri Lampetra zanandreai Petromyzon marinus

Rajidae Raja alba (Med.) OSTEICHTYES

ACIPENSERIFORMES

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Acipenseridae Acipenser ruthenus Acipenser stellatus Huso huso CLUPEIFORMES Clupeidae Alosa alosa Alosa fallox Alosa pontica SALMONIFORMES Coregonidae Coregonus all species/​toutes les especes Thymallidae Thymallus thymallus Salmonidae Hucho hucho Salmo salar (*) (*) The provisions for this appendix shall not apply to salmon in sea waters. CYPRINIFORMES Cyprinidae Abramis ballerus Abramis sapa Abramis vimba Alburnoides bipunctatus Alburnus albidus Aspius aspius Barbus bocagei Barbus comiza Barbus meridionalis Barbus microcephalus Barbus peloponesis Barbus plebejus Barbus sclateri Barbus steindachneri Chalcalburnus chalcoides Chondrostoma genei

Chondrostoma kneri Chondrostoma lemingi Chondrostoma lusitanicum Chondrostoma nasus Chondrostoma phoxinus Chondrostoma polylepis Chondrostoma soetta Chondrostoma toxostoma Chondrostoma willkommi Gobio albipinnatus Gobio kessleri Gobio uranoscopus Leucaspius delineatus Leucaspius stymphalicus Leuciscus illyricus Leuciscus lucumotis Leuciscus microlepis Leuciscus polylepis Leuciscus pyrenaicus Leuciscus soufia Leuciscus svallize Leuciscus turskyi Leuciscus ukliva Pachychilon pictum Pelecus cultratus Phoxinellus adspersus Phoxinellus hispanicus Pseudophoxinus marathonicus Pseudophoxinus stymphalicus Rhodeus sericeus Rutilus alburnoides Rutilus arcasii Rutilus frisii Rutilus graecus Rutilus lemmingii Rutilus macedonicus Rutilus macrolepidotus Rutilus pigus Rutilus racovitzai Rutilus rubilio Cobitidae Cobitis elongata Cobitis hassi Cobitis larvata Cobitis paludicola Cobitis taenia 523

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Cobitis trichonica Misgurnis fossilis Sabanejewia aurata Sabanejewia calderoni

Zingel streber Zingel zingel Blenniidae Blennius fluviatilis

SILURIFORMES Siluridae Siluris aristotelis Siluris glanis ATHERINIFORMES Cyprinodontidae Aphanius fasciatus Aphanius iberus GASTEROSTEIFORMES Syngnathidae Syngnathus abaster Syngnathus nigrolineatus

Gobiidae Gobius fluviatilis Gobius kessleri Gobius nigricans Gobius ophiocephalus Gobius syrman Gobius thressalus Padogobius martensi Padogobius panizzai Pomatoschistus canestrini Pomatoschistus microps Pomatoschistus minutus Proterorhinus marmoratus Arthropods INVERTEBRATES

Gasterosteidae Pungitius hellenicus Tuntitius platygaster

Arthropods/ Arthropodes

SCORPAENIFORMES

INSECTA

Cottidae Cottus poecilopus Myoxocephalus quadricornis

Coleoptera Lucanus cervus

PERCIFORMES Serranidae Epinephelus marginatus (Med.) Sciaenidae Sci^na umbra (Med.) Umbrina cirrosa (Med.) Percidae Gymnocephalus baloni Gymnocephalus schraetzer Stizostedion volgense

Lepidoptera Graellsia isabellae CRUSTACEA Decapoda Astacus astacus Austropotamobius pallipes Austropotamobius torrentium Homarus gammarus (Med.) Maja squinado (Med.) Palinurus elephas (Med.) Scyllarides latus (Med.) Scyllarides pigmaeus (Med.)

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Scyllarides arctus (Med.)

Echinoderms

Molluscs

ECHINOIDEA

GASTROPODA

Paracentrotus lividus (Med.)

Stylommatophora Helix pomatia

Cnidarians/​Cnidaires HEXACORALLIA

BIVALVIA Unionoida Margaritifera margaritifera Microcondymaea compressa Unio elongatulus

Antipathes sp. plur. (Med.) ALCIONARIA Corallium rubrun (Med.) Sponges

Annelids PORIFERA HIRUDINEA Arhynchobdellae Hirudo medicinalis

Hippospongia communis (Med.) Spongia agaricina (Med.) Spongia officinalis (Med.) Spongia zimocca (Med)

Appendix IV -​Prohibited means and methods of killing, capture and other forms of exploitation 82. In listing the means capable of causing local disappearance of or serious disturbance to populations of a species, prohibited in Article 8, special attention was given to avoiding contradiction with parallel provisions in other international legal instruments. 83. An exception on the prohibition of using explosives was made in the case of whale-​ hunting. Similarly, the prohibition of the use of certain means and methods was limited to those applied for large-​scale and/​or non-​selective capture or killing. 84. For the purposes of the Convention, weapons with a magazine capable of holding more than two rounds of ammunition were defined as weapons which can fire more than three rounds without being reloaded. 85. It was agreed not to prohibit the use of snares if applied for the capture of the species Lagopus north of latitude 58°N.

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MAMMALS Snares Live animals used as decoys which are blind or mutilated Tape recorders Electrical devices capable of killing and stunning Artificial light sources Mirrors and other dazzling devices Devices for illuminating targets Sighting devices for night shooting comprising an electronic image magnifier or image converter Explosives (1) Nets (2) Traps (2) Poison and poisoned or anaesthetic bait Gassing or smoking out Semi-​automatic or automatic weapons with a magazine capable of holding more than two rounds of ammunition Aircraft Motor vehicles in motion (1)  Except for whale hunting/​excepte pour la chasse aux baleines. (2) If applied for large scale or non-​selective capture or killing/​si applique pour la capture ou la mise a mort massive ou non selective. (*) Status in force since 25 June 1995. Appendices are regularly revised by the Standing Committee. BIRDS Snares (1) Limes Hooks Live birds used as decoys which are blind or mutilated Tape recorders Electrical devices capable of killing and stunning Artificial light sources Mirrors and other dazzling devices Devices for illuminating targets Sighting devices for night shooting comprising an electronic image magnifier or image converter Explosives Nets Traps Poison and poisoned or anaesthetic bait Gassing or smoking out

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Semi-​automatic or automatic weapons with a magazine capable of holding more than two rounds of ammunition Aircraft Motor vehicles in motion (1) Except Lagopus north of latitude 58°N /​excepte Lagopus nord du latitude 58°N. FRESHWATER FISH Explosives Firearms Poisons Anaesthetics Gassing or smoking out Electricity with alternating current Artificial light sources CRAYFISH (Decapoda) Explosives Poisons Note: (1) Appendix II: Thalassarctos maritimus, Sibbaldus musculus, Megaptera novaeangliae, Eubalaena glacialis, Balaerla mysticetus. Appendix III: Pagophilus groenlandicus, Erignathus barbatus, Cystophora cristata. All whales covered by the International Whaling Convention. (2) Resolution (77) 7 on the protection of threatened mammals in Europe. Resolution (73) 31 on birds in need of special protection in Europe. Resolution (78) 22 on threatened amphibians and reptiles in Europe.

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Annexure B XI –​11.2.10.3: Cartagena Protocol on Biosafety, 2000 www.cbd.int/​doc/​legal/​cartag​ena-​proto​col-​en.pdf Annex I INFORMATION REQUIRED IN NOTIFICATIONS UNDER ARTICLES 8, 10 AND 13 (a) Name, address and contact details of the exporter. (b) Name, address and contact details of the importer. (c) Name and identity of the living modified organism, as well as the domestic classification, if any, of the biosafety level of the living modified organism in the State of export. (d) Intended date or dates of the transboundary movement, if known. (e) Taxonomic status, common name, point of collection or acquisition, and characteristics of recipient organism or parental organisms related to biosafety. (f) Centres of origin and centres of genetic diversity, if known, of the recipient organism and/​or the parental organisms and a description of the habitats where the organisms may persist or proliferate. (g) Taxonomic status, common name, point of collection or acquisition, and characteristics of the donor organism or organisms related to biosafety. (h) Description of the nucleic acid or the modification introduced, the technique used, and the resulting characteristics of the living modified organism. (i) Intended use of the living modified organism or products thereof, namely, processed materials that are of living modified organism origin, containing detectable novel combinations of replicable genetic material obtained through the use of modern biotechnology. (j) Quantity or volume of the living modified organism to be transferred. (k) A previous and existing risk assessment report consistent with Annex III. (l) Suggested methods for the safe handling, storage, transport and use, including packaging, labelling, documentation, disposal and contingency procedures, where appropriate. (m) Regulatory status of the living modified organism within the State of export (for example, whether it is prohibited in the State of export, whether there are other restrictions, or whether it has been approved for general release) and, if the living modified organism is banned in the State of export, the reason or reasons for the ban. (n) Result and purpose of any notification by the exporter to other States regarding the living modified organism to be transferred. (o) A declaration that the above-​mentioned information is factually correct. Annex II INFORMATION REQUIRED CONCERNING LIVING MODIFIED ORGANISMS INTENDED FOR DIRECT USE AS FOOD OR FEED, OR FOR PROCESSING UNDER ARTICLE 11 (a) The name and contact details of the applicant for a decision for domestic use. (b) The name and contact details of the authority responsible for the decision. (c) Name and identity of the living modified organism.

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(d) Description of the gene modification, the technique used, and the resulting characteristics of the living modified organisI (e) Any unique identification of the living modified organism. (f) Taxonomic status, common name, point of collection or acquisition, and characteristics of recipient organism or parental organisms related to biosafety. (g) Centres of origin and centres of genetic diversity, if known, of the recipient organism and/​or the parental organisms and a description of the habitats where the organisms may persist or proliferate. (h) Taxonomic status, common name, point of collection or acquisition, and characteristics of the donor organism or organisms related to biosafety. (i) Approved uses of the living modified organism, (j) A risk assessment report consistent with Annex III. (k) Suggested methods for the safe handling, storage, transport and use, including packaging, labelling, documentation, disposal and contingency procedures, where appropriate. Annex III RISK ASSESSMENT Objective 1. The objective of risk assessment, under this Protocol, is to identify and evaluate the potential adverse effects of living modified organisms on the conservation and sustainable use of biological diversity in the likely potential receiving environment, taking also into account risks to human health. Use of risk assessment 2. Risk assessment is, inter alia, used by competent authorities to make informed decisions regarding living modified organisms. General principles 3. Risk assessment should be carried out in a scientifically sound and transparent manner, and can consider expert advice of, and guidelines developed by, relevant international organizations. 4. Lack of scientific knowledge or scientific consensus should not necessarily be interpreted as indicating a particular level of risk, an absence of risk, or an acceptable risk. 5. Risks associated with living modified organisms or products thereof, namely, processed materials that are of living modified organism origin, containing detectable novel combinations of replicable genetic material obtained through the use of modern biotechnology, should be considered in the context of the risks posed by the non-​modified recipients or parental organisms in the likely potential receiving environment. 6. Risk assessment should be carried out on a case-​by-​case basis. The required information may vary in nature and level of detail from case to case, depending on the living modified organism concerned, its intended use and the likely potential receiving environment.

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Methodology 7. The process of risk assessment may on the one hand give rise to a need for further information about specific subjects, which may be identified and requested during the assessment process, while on the other hand information on other subjects may not be relevant in some instances. 8. To fulfil its objective, risk assessment entails, as appropriate, the following steps: (a)

An identification of any novel genotypic and phenotypic characteristics associated with the living modified organism that may have adverse effects on biological diversity in the likely potential receiving environment, taking also into account risks to human health; (b) An evaluation of the likelihood of these adverse effects being realized, considering the level and kind of exposure of the likely potential receiving environment to the living modified organism; (c) An evaluation of the consequences should these adverse effects be realized; (d) An estimation of the overall risk posed by the living modified organism based on the evaluation of the likelihood and consequences of the identified adverse effects being realized; (e) A recommendation as to whether or not the risks are acceptable or manageable, including, where necessary, identification of strategies to manage these risks; and (f) Where there is uncertainty regarding the level of risk, it may be addressed by requesting further information on the specific issues of concern or by implementing appropriate risk management strategies and/​or monitoring the living modified organism in the receiving environment. Points to consider 9. Depending on the case, risk assessment considers the relevant technical and scientific details regarding the characteristics of the following subjects: (a)

Recipient organism or parental organisms. The biological characteristics of the recipient organism or parental organisms, including information on taxonomic status, common name, origin, centres of origin and centres of genetic diversity, if known, and a description of the habitat where the organisms may persist or proliferate; (b) Donor organism or organisms. Taxonomic status and common name, source, and the relevant biological characteristics of the donor organisms; (c) Vector. Characteristics of the vector, including its identity, if any, and its source or origin, and its host range; (d) Insert or inserts and/​or characteristics of modification. Genetic characteristics of the inserted nucleic acid and the function it specifies, and/​or characteristics of the modification introduced; (e) Living modified organism. Identity of the living modified organism, and the differences between the biological characteristics of the living modified organism and those of the recipient organism or parental organisms; (f) Detection and identification of the living modified organism. Suggested detection and identification methods and their specificity, sensitivity and reliability;

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Information relating to the intended use. Information relating to the intended use of the living modified organism, including new or changed use compared to the recipient organism or parental organisms; and (h) Receiving environment. Information on the location, geographical, climatic and ecological characteristics, including relevant information on biological diversity and centres of origin of the likely potential receiving environment. (g)

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XII NEGOTIATIONS FOR PROTECTION AGAINST CHEMICALS AND WASTES

12.1  Chemicals and Waste Scenarios The universe is comprised of chemicals and so are human beings. The chemical substance can be an element such as zinc, copper, gold, platinum, iron, or a compound (both inorganic and organic) comprising many elements in combination such as water, glucose, albumin, hemoglobin, fatty acids, and the like. Chemicals can be natural or manmade. The environment comprises of physical, chemical, and biological entities that are always interactive with each other. It is quite known that we affect our environment, and the environment affects us. Not all chemicals are harmful, yet some of these interactions expose us to environmental health hazards that may result in injuries, diseases, and even death. On one hand, common salt, baking powder, aspirin are used regularly, whereas, on the other hand, mercury, formaldehyde, lead, cadmium, arsenic have toxicity. Chemicals form an integral part of our lives and contribute substantially towards economic growth and human well-​being. These chemicals are a threat to us when they are released in large quantities, persist in the environment, and enter the food chain. They target living creatures where they can magnify in concentration or are metabolized and transformed into more toxic substances. The WHO stated that around 1.6 million lives and 45 million disability-​adjusted life years were lost in 2016 through exposure to selected chemicals. Out of one million deaths that result from unintentional poisoning, 78 000 could be prevented. The production of synthetic chemicals has increased remarkably since the beginning of the late 19th century and mostly after the Second World War. The USA alone uses around 72 000 chemicals in commerce and that figure doesn’t include food additives, drugs, cosmetics, and pesticides. Most of these chemicals have received limited testing for their impacts. This is partially driven by the technology and innovation around the petrochemical industry. Thousands and thousands of products enter the market and most of them have never been tested for health impacts. Out of nearly 3000 high production volume chemicals in the market presently, only a small fraction have been studied for possible health impacts (see Figure B XII-​12.1-​1). The Toxic Substances Control Act of 1976 which governed chemicals in commerce in the USA is generally known to be weak and ineffective and needs fixing. The manufacturers rarely are required to do the test for their impacts

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DOI: 10.4324/9781003440574-14

Negotiations for Protection against Chemicals and Wastes

Figure B XII-​12.1-​1 Proportion of commercial chemicals tested for impacts.

and provide information to the federal government before they enter the market. Once the chemicals are made in use, the EPA is heavily burdened but could only succeed in banning a few substances. In many of the cases, crisis draws attention to how little the government knows about industrial chemicals. The common properties that define chemicals are their state, color, odor, solubility, vapor pressure, density, evaporation rate, boiling point, melting point, freezing point, and so forth. The properties that deserve to be mentioned here are their hazardous properties. Hence, sound knowledge is required to handle and manage such substances. This section especially deals with the hazards related to chemicals and waste. All activities produce some kinds of waste in the environment. We get garbage from houses. Vehicles release exhaust gases such as CO, NOx, SOx, benzene, and the like, while running on roads. Industries and manufacturing units release a host of solid, liquid, and gaseous substances that are hazardous. They are either treated in waste treatment plants or are directly dumped in landfills. People can be exposed to chemicals in solid, liquid, or gaseous states. They might experience acute health impacts with a rapid and immediate onset when consumed in large quantities in a single dose, or chronic health impacts with long-​term health effects if taken in small doses for a prolonged period. The impact of these chemicals depends on the nature of the chemical, the dose, the duration of exposure, and the frequency. A contaminant is a substance that is unwanted in the environment and a pollutant is a harmful contaminant. Ozone, carbon monoxide, nitrogen oxides, sulfur oxides, pesticides, solvents, acids, heavy metals, and drugs are potential pollutants. These chemicals can be explosive, toxic, corrosive, inflammable, and combustible, and might be hazardous on inhalation, ingestion, and absorption through different routes. These are produced from agricultural land and agro-​based industries, residential, industrial, commercial, institutional, hospital, mining, and mineral processing sites, municipal and recreational activities, solid waste disposal sites, contaminated places, building materials, to name a few. They can be batteries, waste oil, solvents, thinners, acids, bases, alkalis, paints, varnishes, chlorinated solvents, heavy metals, peroxides, pesticides, and sludge as well. Nuclear reactors and nuclear activities are also increasing throughout the world, producing radionuclides at levels greater than the 533

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clearance levels set by the regulatory bodies. Global fallout from weapon testing, discharge from nuclear installations, and disposal of spent fuel also pose serious issues. The hazards are also encountered at home, in the community, and in workplaces via the pathways of air, water, soil, food, and dermal absorption. Hazardous substances in the atmosphere, hydrosphere, food, and other consumer products in the house and occupational environment may trigger a variety of ailments involving respiratory, cardiac, nervous, urinary, and endocrine organs and systems along with teratogenicity and birth defects. Children are particularly susceptible and some of the diseases manifest later in life, while some manifest during critical times of development, and some are passed across generations. Hazardous chemicals cause a major threat if they are not used and managed carefully. Hence it is essential to classify such chemicals based on their chemical nature to facilitate their identification so that proper preventative measures can be taken. The need for such classification was discussed first in the Rio Summit, 1992 followed by WSSD, 2002. The need for developing a globally harmonized classification with a compatible labeling system was agreed upon by the International Labour Organization, the OECD, several governments, and the stakeholders. Thereafter the UNO realized the significance of a uniform labeling framework and the need for national rules and thereby adopted the ‘Globally Harmonized System for Classification and labelling of Chemicals’ in response to the ever-​increasing international market, to promote trade and also to save the lives of the people from hazards. Adopted in the year 2002, it was published in 2003. It has undergone several revisions with the latest version in the 2019 revision. The classification followed synchronized criteria for the classification of chemicals based on their health, environmental and physical hazards along with a synchronized system for communication through pictograms, labels, symbols, and the like. Further, as per the ‘International Hazard Communication Standard (HCS),’ the chemical manufacturers are required to provide a Safety Data Sheet to the chemical handlers to communicate the hazard-​related information on a chemical. The latest GHS revision comprises of four parts: physical hazard, health hazard, environmental hazard, and 11 annexes. Since 1965, with the formation of the first international intergovernmental organization, namely, the International Telecommunication Union, they (IO) have always tried to take up international agendas to fight the problems plaguing the world. Their contributions in tackling social, political, cultural, economic, and environmental issues have been remarkable. The UNEP hosted a unique sub-​program named ‘Harmful Substances and Hazardous Waste’ with four objectives. These objectives are scientific assessments, legal instruments, monitoring and evaluation, and national implementation. The UNEP aided the regions and the nations in the management of the life cycles of such substances as well as minimizing the risks from mercury, pesticides, POPs, heavy metals, hospital waste, e-​wastes, carcinogens, mutagens, and other substances. The UNEP initiated the signing of various agreements such as the Basel Convention, the Rotterdam Convention, the Stockholm Convention, and the Global Programme of Action for the Protection of the Marine Environment from Land-​ based Activities. One of the recent activities is the Chemicals in Products (CiP) Programme that started in 2008 and was welcomed by the Strategic Approach to International Chemicals Management (SAICM) in 2015 at the International Conference on Chemical Management (ICCM4). The purpose is to broaden the access to information that the players use throughout the entire process of making the product. Along with the WHO, it launched the Global Alliance to Eliminate Lead Paint to avert lead exposure. It campaigned for the

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ending of the use of lead-​free paints. Its advisory group comprised representation from Columbia, Kenya, Moldova, Thailand, International POPs Elimination Network (IPEN), Health and Environmental Alliance (HEAL), International Paint and Print Ink Council (IPPIC), Akzo Nobel, UNIDO and was chaired by the USA through its EPA. The Integrated Vector management (IVM), the Integrated Pest Management (IPM), the UN Environment Chemicals and Health Branch have engaged in different collaboration at various levels and also with the Multi Environment Agreements (MEA) Secretariats to publicize sound management of chemicals. The OECD Council in 2004 enforced a Recommendation on the Environmentally Sound Management of Waste that confronted a few drawbacks. This is due to the variation in Environmentally Sound Management (ESM), different environmental controls, health standards, and safety levels in different member nations. There always remained a loophole for exporters, importers, and waste managers to redirect waste consignments into OECD nations that are designated for recovery. As a consequence, in 1999, the members started to work towards a set of global ESM Guidelines for waste recovery facilities. The Global Environment Facility (GEF) has worked for the safe disposal of hazardous chemicals and their endeavor has led to the phasing out of 29 000 ozone depleting potential culprits. They also have securely disposed of over two lakh tonnes of POPs in the unindustrialized nations. The Stockholm Convention on POPs, the Minamata Convention, and the Montreal Protocol cover many of these chemicals. They also extended their help to the SAICM for the larger accomplishment of these goals. The function of the GER focuses on strategic goals and four prominent programs in GEF-​7 (see Figure B XII-​ 12.1-​2 and Figure B XII-​12.1-​3). The donor states to GEF have pledged 600 million US dollars to get rid of hazardous waste under GER-​7. From 2001 to 2018, the GEF has a total investment of 1.2 billion US dollars for the support of the Stockholm Convention. The International Maritime Organization (IMO),being responsible for setting the standards and rules for safety, security and sound environmental performance in the field of international shipping, is also accountable for the updating of the International Maritime Dangerous Goods Code (IMDG Code). The IMO governs a broad variety of hazardous waste shipments by the way of water. The code is essentially based on the UN Model Regulations even though several items are not in the UN Model Regulations, for example, the requisites for ship safety, safeguarding the oceanic environment, stock room, assortment, and process of loading the cargo containers, and the like. The responsibility for upkeeping and revising the International Maritime Dangerous Goods Code (IMDG Code) rests on the IMO’s Carriage of Cargoes and Containers (CCC) Sub-​Committee. The IMO is also obliged to enforce the IMDG code under the SOLAS and MARPOL. Currently, the total merchant fleet from a minimum of 150 nations uses the IMDG code and amounts to over 98% of the world’s gross tonnage. Recommended by the UN Rio Earth Summit 1992, the Inter-​organization Programme for the Sound Management of Chemicals (IOMC) was set up. The IOMC brought nine organizations together: UNEP, FAO, ILO, UNDP, WHO, OECD, UNITAR, UNIDO, and the World Bank. The IOMC with the help of concerted actions worldwide aims for sound life cycle management of chemicals and waste to improve the health and environment thereby achieving a sustainable future. One of the most important UNDP concerns is the effective management of chemicals and waste to accomplish sustainable and resilient human development along with the SDGs. It recommends the integration of chemical management into national environmental planning and poverty reduction planning. UNDP is an expert in the field management of

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Figure B XII-12.1-2 Two strategic goals of GEF.

POPs, ODCs, mercury, lead, and heavy metals. It is an advocator of innovative application of technology in the safe and effective management of biomedical waste. It assists the various nations in averting waste generation, reuse or recycling, treatment, and disposal. The UNDP collaborates with the GEF, IOMC, Secretariat of the Stockholm Convention on POPs, Secretariat of the Minamata Convention on Mercury, and the Multilateral Fund for the Implementation of the Montreal Protocol (MLF) in the field of chemicals and waste management. The United Nations Industrial Development Organization (UNIDO) is a specialized organization that helps the unindustrialized nations that are signatories to the Montreal Protocol to comply with the requirements, namely, to transfer the ODC based technologies to Article 5 nations to reach their established goals. Additionally, UNIDO-​GEF helps 13 South American nations with awareness, capacity building, e-​waste regulations, suitable management technologies, business models, both with technology and finance under the 2014 approved program, ‘Strengthening of National Initiatives and Enhancement of Regional Cooperation for the Environmentally Sound Management of POPs in Waste of Electrical Equipment (WEEE).’ The United Nations Institute for Training and Research (UNITAR) contributes towards capacity building and training activities, it focuses on the unindustrialized nations with more emphasis on the LDCs and the SIDS. Together with the International Environmental Technology Centre of the UNEP (IETC), the UNITAR developed the ‘Guidelines for National Waste Management Strategies: Moving from Challenges to Opportunities.’ This aided both the national enforcement of integrated waste management and also the Rio+​20 initiative to develop all-​inclusive national waste management strategies. The UNITAR established a fresh component on gender, chemicals, and waste at ‘Integrating Gender into Sound Management of Chemicals and Waste’ in 2019. The World Bank, the WHO, and the UNEP prepared and issued a handbook on the Safe Disposal of Hazardous Waste to facilitate the administrators and technical staff bearing the accountability for managing waste along with protecting health and the environment. Counting from the year 2000 the World Bank has funded more than 4.7 billion dollars in over 340 solid waste management (SWM) programs. At the regional level, the European Union (EU) is worth mentioning. It has drawn up a waste management plan as per Article 28 of the Waste Framework Directive. The European environment policy, extended from 2020 to 2050, was guided by the seventh Environmental Action Programme and establishes several targets for EU waste policy. The targets include reduction in the amount of waste production, maximization of recycling and reuse, restricting incineration only for non-​recyclable substances, phasing out landfill options for non-​recyclable and non-​recoverable waste, and guaranteeing total enforcement of waste policy goals by the member nations. The 2015 record states that the plastic requirement for packaging, construction activities, automotive, and other 536

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Figure B XII-​12.1-​3 Major areas of program under GEF.

needs is about 49 million tonnes and produces 25.8 million tonnes of plastic annually. The policy suggested enhancing the economics and quality of plastic recycling. This can be achieved through increasing demands for recycled products, designing synchronized assortment and collection of plastics along with more stress on recyclable designs. Of all the initiatives taken by the African Union (AU), the most remarkable was the Bamako Convention, as a reaction to the Basel Convention, which drives members to engage in bilateral, multilateral, and regional agreements to decide on hazardous waste. In the Pacific region, the governments and administrators established the Secretariat of the Pacific Region Environment Programme. Its third priority is ‘Effective Waste Management and Pollution Control.’ The Waigani Convention, similar to the Bamako Convention, was the most important step of the SPREP that commenced in 2001. It practically launched international hazardous waste control at the regional level and is shaped according to the Basel Convention, the Rotterdam Convention, and the Stockholm Convention. It ensures the protection of any Pacific State and Antarctica from hazardous waste sent there from Australia or New Zealand. The North American Agreement on Environmental Cooperation (NAAEC) was established by Canada, Mexico, and the USA to safeguard the North American environment which further launched the Commission for Environmental Cooperation (CEC). It boosts cooperation between the NAFTA members in tackling environmental issues. Currently, it has undertaken programs such as the Action Plan to Enhance the Comparability of Pollutant Release and Transfer Registers (PRTRs) in North America, and the modernizing of the data exchange system for hazardous waste transfers, and so

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forth. The CEC prepared a Notice and Consent Electronic Data Exchange (NCEDE) that provides communiqué without hassle for legitimate and environmentally sound transportation of hazardous waste across borders. According to USEPA, over 40 million people live within four miles of the ‘Superfund’ site with 4 million residents within one mile. A superfund site is a hazardous waste site designated by the USEPA that poses a threat to human health. Places may include leaking underground storage tanks, inactive municipal dump sites, and contaminated mines or factories. Hence people have a high risk of exposure to these substances in potable water, gardens, playgrounds, and the like. The 3R’s (reduce, reuse, and recycle) are usually applied in waste optimization along with principles such as the precautionary principle, the cradle to grave approach, and the polluter pays principle. Hazardous waste is treated by physical, thermal, chemical, and biological methods. Ion exchange, precipitation, and oxide reduction methods are common chemical methods. Fluidized bed incinerators, multiple hearth furnaces, rotary kilns, and liquid injection incinerators are commonly used and are thermal methods that produce the variable extent of atmospheric pollution. Biological methods are mostly employed for organic waste either through land farming or by using genetically engineered species. Physical methods are generally to concentrate, solidify, and reduce the volume of hazardous waste. The methods include evaporation, sedimentation, flotation, filtration, encapsulation, and the like. The waste that is practically indestructible is disposed of and stored through landfilling and underground injection methods (see Figure B XII-​12.1-​4). A disposal site should have an impervious base to prevent leaching and groundwater and soil contamination. Any wind dispersion should also be prevented. Monitoring and control methods are thus very important. All precautionary measures against fire outbreaks, seismic damage, and damage by storms and rainfall should be considered. Unintentional poisoning is a public health concern throughout the globe. In the year 2019 alone, WHO reported 84278 global deaths from unintentional poisoning. As per WHO the mortality due to unintentional poisoning is high in men and is 1.4 deaths /​ 100000 persons. The majority of poisoning is accidental or unintentional that can gain entry though ingestion, injection, inhalation, absorption, and so on. It can be caused by general, environmental, occupational, therapeutic, food poisoning, animal bites and stings, pesticide exposure through food, CO and other household products. Most of the pesticides are endocrine disruptors and carcinogens. Apart from DDT, over 100 chemicals were listed including 2,4-​D, acetochlor, aldicarb, aldrin, captan, carbofuran, diazinon, endosulfan, to name a few. In 1990 WHO estimated the annual unintentional poisoning by pesticide to be 1 million. A study from childhood poisoning in Morocco observed the average direct medical costs were USD 127 and average direct non-​medical costs for poison treatment were USD 30 per child totalling to USD 157, quite an amount as compared to the per month salary. Hence poisonings are related to significant economic burden. The average direct and indirect cost for treating one child is around USD 1780 in the USA. After the establishment of the first poisons information centre in Netherlands in 1949, such centres expanded in the developed countries mostly driven by the discovery of new and new chemicals and drugs after the World War II. Setting up of poison centres was a priority need in Agenda 21 of the 1992 UNCED and also in the Global Plan of Action agreed upon by the International Conference on Chemicals Management, 2007 for the Strategic Approach to International Chemicals Management (SAICM), a policy

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Figure B XII-​12.1-​4 Storage of hazardous waste.

framework for promoting safe and sound use of chemicals throughout its life cycle all around the world. The activities include risk assessment of chemicals; harmonized labelling for handling outdated and stockpiled chemicals. To help the developing countries it aims in setting up of national centres, offer training to the staff members in chemical safety and deal with accidents and spill out. The 70th World Health Assembly also approved the establishment of poison centres as priority action in the Roadmap to improve health sector engagement. The WHO representatives of the WHO European Region Member States at the Sixth Ministerial Conference on Environment and Health in Ostrava, 2017 recognized ‘chemical safety’ to be one of the main areas that needed to be focused upon with commitment to action to mitigate the negative impacts of chemicals on health and the environment. The following areas have been focused upon to reach the objective set by the World Health Assembly 2020. They are: • To develop and implement various evidence-​based policies that would especially safeguard the vulnerable population groups 539

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• To improve the health monitoring and surveillance of the chemicals in the environment, food, and workplaces • To promote risk assessment and collection of evidence • To build capacity at national and regional levels and to consolidate institutional and human resources • To guarantee financial support • To facilitate scientific research to provide better recommendations that can be translated to policies. The volume of this waste is ever-​increasing, and the range is widening. Inadequate management affects all the spheres of the environment that affect the health of the people directly. The issue of hazardous waste management has become a specialized discipline owing to the complexity of the problem. Any slight mistake or mismanagement can have a disastrous impact. Some of the incidents of this are listed in Table B XII-​12.1-​1 below. The United Nations has provided characteristics of hazardous substances as a part of its recommendations related to their transport. They are explosives, flammable substances, oxidizing substances, poisonous or infectious substances, radioactive materials, corrosive substances, and toxic substances. Domestic waste produced a proportionately lesser quantity of oil-​based paints, thinners, wood preservatives, insecticides, household cleaners, motor oil, antifreeze chemicals, batteries, and e-​waste. Industrialized nations produce more household waste than developing countries. Hospital waste poses great health hazards to healthcare personnel who deal with such waste at the point of generation and also the people involved in its management. This waste can range from surgically removed organs and body parts, microbial and tissue cultures, sharp instruments, expired and cytotoxic drugs, to fomites and dressings, rubber tubing, infusion sets, chemicals, radioactive substances, and imaging tools. It can also contain heavy metals such as mercury, cadmium, and the like. The priority on hazardous waste management is given to source reduction, reuse, recycling, and so forth, summarized as follows (see Figure B XII-​12.1-​5). Radioactive waste management involves more safety , not only for the here and now, but also for the future. Contiguous surveillance, immobilization of waste over centuries, and deposition in safe repositories is of greater significance and meaning. It involves sorting, treatment, conditioning, storing, transportation, and final disposal. Every nuclear facility is likely to have a nuclear waste minimization program to reduce the quantity of generated waste in keeping with organizational, technological, and economic aspects. The IAEA defines nuclear waste disposal as ‘emplacement of waste in an approved specific facility that is intended to isolate the waste from human and environment and to prevent or limit a release of potentially harmful substances such that human health and the environment are protected.’

12.1.1  The Indian Context India’s chemical sector is highly diversified, comprising of more than 80 000 commercial products. It accounts for 3% of the international chemical market. The chemical sector contributed a total of 2.1% to the GDP of India in the financial year 2017–​18. It accounted for 15.95% of India’s manufacturing sector. The Index of Industrial Production (IIP) for Chemicals and Chemical products reported a 1.18% increase in 2018–​19 as compared to the previous year. This sector also has high employment accommodation capacity 540

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Table B XII-​12.1-​1 Summary of the major accidents caused due to hazardous waste Place

Incident

Symptoms and effects

Approximate number affected

1947

S.S. Grandcamp (USA) French registered ship called the S.S.Grandcamp carrying 2100 metric tonnes of ammonium nitrate caught fire. It hit the neighbouring ships and oil storing facilities with fire and explosions too.

1950

Toyama, Japan

Cadmium contamination of rice

Renal disease (itai-​itai)

Affected 200 severely, many more moderately

1952

London, UK

Reducing smog by SO2 and SPM

Eye and respiratory irritation, cardiac ailments

Approx. 4000 deaths; numerous ill

1955

Southeast Turkey

HCB in seed grains

Neurological diseases, porphyria

3000

1956

Minamata, Japan

Fishes contaminated with methylmercury

A neurological disease called Minamata disease

200 severely affected, few thousands suspected

1968

Fukuoka, Japan

PCB in edible oil

Shin diseases

Several thousand

1960-​the USA 70s

Lead in paints

Neurological diseases

Many thousands affected

1971

Georgia (Thiokol) –​ Thiokol Woodbine explosion

The conveyor belt catching fire rapidly spread to the storage facility containing 5 tonnes of processed materials and over 50000 assembled flares. The basic chemical used to make flare is magnesium.

Burnt bodies, injuries. Bodies hurled To a height of 400 ft; debris found at more than 4000 ft distance from the building; three nearby buildings damaged. And the neighbouring stretch of pine trees caught fire.

24 employees were killed immediately and 5 died later; A minimum of 50 people suffered debilitating injuries

1972

Iraq

Methylmercury in seed grains

Neurological diseases

500 died and approx. 6500 hospitalized

581 people died immediately.

(Continued)

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541

Time

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Table B XII-12.1-1 (Continued) Place

Incident

Symptoms and effects

Approximate number affected

1975

Chasnala, Dhanbad, India –​Chasnala mining disaster

Blast from coal dust explosion destroyed Drowning and emission of methane in 372 people were killed. the roof of the deep mine leading to the air flooding and explosion

1976

Milan, Italy (the Seveso disaster)

Exposure to tetrachloridebenzo-​p-​ dioxin (TCDD) from the ICMESA company, a subsidiary of Givaudan and further Hoffmann-​La Roche, due to an exothermic reaction leading to mismanagement.

Skin inflammation in children; skin disease –​Chloracne in adults. The chronic study revealed dioxin to be carcinogenic and connected with cardio-​vascular, hormonal diseases, and breast cancer

Many dead animals including poultry and rabbit. Innumerable children were hospitalized; 447 people reported with chloracne;

1981

Madrid, Spain

Aniline in food oil

Multiple symptoms

20000 cases were reported with 340 deaths

1983

New Mexico, USA –​Atari video game burial.

The mass burial of unsold video game cartridges, consoles, and computers

1984

Bhopal. India

Methyl isocyanate leakage in air

Acute lung disorders

2000 deaths and 200000 severely affected

1985

California, USA

Carbamate in watermelons

Affected both the CNS and ANS

1376 reported severely ill

1986

Chernobyl, Ukraine

Reactor explosion with release of radioactive iodine and caesium

Radiation sickness with increased incidence of cancer and thyroid diseases

28 deaths within 3 months, 300 affected, over 600 thyroid cancer cases

1986

Gonaives, Haiti, Atlantic and Indian Ocean –​Khian Sea, the cargo ship of Liberia.

Loaded with 14000 tonnes of incinerator ash from Philadelphia, dumped 4000 tonnes in Gonaives, Haiti; the rest of the ash disappeared en route from Singapore to Sri Lanka. 10000 tonnes disposed of in Atlantic and the Indian Ocean

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542

Time

Goiania, Brazil

Cs-​137 from abandoned cancer therapy machine

Radiation sickness

1989

Pasadena (Texas) –​ Philips disaster

Flammable gases instead of released The explosion led to burns outside the factory accumulated inside due to dysfunctional safety valves.

23 killed and 314 seriously injured

2002

Ranoli, Vadodara, Gujarat –​Gujarat Alkalies Chemicals Limited (GACL)

The explosion happened when Injuries include face and eyesight the container with traces of damage. monochloroacetic acid and acetic acid reacted with the chlorine that was being filled up. Their contact led to an exothermic reaction.

3 employees were killed and 17 injured

2005

Medak, Andhra Pradesh –​Matrix Laboratory

The chemical reactor exploded during the mixing of sodium hydride and esitophin

8 people killed

2006

Ivory Coast –​Ivory Coast toxic waste dump

Coker gasoline was treated with caustic Skin burns, lung burning, headache, soda to produce naphtha which was vomiting sold by Trafigura. Waste resulting from such a process contained sodium hydroxide, sodium sulfide, and phenols. Probo Koala, a ship, was destined to dispose of this chemical mixture of 500 tonnes of fuel, caustic soda, and hydrogen sulfide planned to be disposed of at Amsterdam. Partly emptied there and then departed after being refused by the Amsterdam Port Services. Ultimately the Probo Koala ship unloaded 500 tonnes of toxic waste at the Port of Abidjan.

Charred bodies

2 died and around 240 exposed

7 died, 20 injured, 26,000 individuals poisoned; after dumping almost a lakh people sought medical assistance.

(Continued)

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543

1987

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Table B XII-12.1-1 (Continued) Place

Incident

Symptoms and effects

Approximate number affected

2010

Mayapuri Industrial Area, Delhi

Radioactive emissions and exposure to Co-​60 after a heavy machine was brought from the Delhi University to the scrap market and dismantled.

Skin burns, acute radiation sickness, and deaths

1 died and 8 injured

2013

Geismar, Lousiana Williams Olefins Plant Explosion

The petrochemical plant produces The explosion led to burns ethylene, propylene, and other products for use in plastic industries. The reboiler shell ruptured catastrophically releasing benzene and propane and 30000 lbs of flammable HCs such as VOCs, propylene, ethylene, and so forth, catching fire.

2 killed 114 injured

2016

Dombivili, Mumbai –​Probace Chemical Factory

Explosion and fire; cause still mysterious; factory container contained propargyl alcohol, a toxic liquid to ingest and inhale; The liquid catches fire in contact with air, but it is not enough volatile to cause an explosion. Release of hexane

11 people were killed and over 100 injured

Corrosive to skin

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544

Time

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Figure B XII-​12.1-​5 Priority approaches in hazardous waste management.

for both skilled and unskilled labor. The establishment of a Petroleum, Chemicals, and Petrochemicals Investment Region and plastic parks promotes employment even more. The proportion of wages paid is also cheap. The chemical sector is worth US 4.7 trillion dollars while India’s chemical sector is worth US 163 billion dollars. India’s position in chemical production is 6th globally and in agrochemicals it is 4th. India ranks 8th in imports and 14th in the export of chemicals. The chemical sector is also an integral part of the ‘Make in India’ initiative led by the Department of Industrial Policy and Promotion (DIPP) and the Ministry of Commerce and Industry. There is a proposal to establish Petroleum, Chemicals, and Petrochemicals Investment Regions in four notified areas in India which have the potential to generate 33.96 lakh people. The intellectual property system is also supportive of a structure that promotes manufacturers to go for innovation in the case of chemical products. On the other side, India generates around 74.6 lakh tonnes of hazardous waste annually. Only 34.1 lakh tonnes qualify to be disposed of in landfill. 45% of this waste is recyclable. There is a lack of basic recycling facilities. India continued to import such waste from Malaysia and Saudi Arabia in the name of reprocessing and recycling until the implementation of the 2016 rules. Over the years, India has had only 17 disposal facilities including secured landfills and incinerators with no new facilities being built. India’s solid plastic waste multiplied four times from 2016–​17 to 2017–​18. India banned the import of plastic waste, especially PET bottles in the year 2015 as it is not able to recycle these. However, the SEZ had permitted them through the center to import, which was a legal loophole in the 2016 Rules. India is 5th in terms of e-​waste production. Nearly 2 million tonnes of e-​waste are produced annually. India, being a Party to the Basel Convention, introduced the Hazardous Waste (Management and Handling) Rules, 1989 under the EPA 1986. The rules were replaced by the 2008 Hazardous Waste (Management and Handling) Rules, subsequently amended four times, and again replaced by Hazardous Waste (Management and Handling) Rules, 2016. This was also amended again in 2019. In 2017, India released a National Hazardous Waste Management Strategy. Against ship scrapping engaged in the oil spill, the Supreme Court in 2012 instructed the government to ban all such imports

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under the Basel Convention and further amended Articles 21, 47, and 48-​A of the hazardous waste rules. India, to oblige the Rotterdam Convention, has announced its Designated National Authorities already discussed in Chapter XI: Protection of Atmosphere and Climate. As a Party to the Stockholm Convention, also discussed in the same chapter, India also issued a national implementation plan to accommodate Article 7 of the Convention. India opted to stick to the ban on 12 POPs designated as the dirty dozen. India took full advantage of the rules and chose to do nothing to the new listing of new POPs for 12 years. The NIP also failed miserably to include any newly banned chemicals except that, in 2018 the Regulation of POPs Rules banned seven out of fourteen newly enlisted chemicals. India is yet to fully comply with the regulations and is reluctant to impose a ban on all the listed chemicals in the Stockholm Convention. The application of agricultural pesticides has long been prohibited in India since 1983. By changing their names to ‘insecticides,’ they regained a new life and continue to be produced until the present day. India acceded to SAICM in 2006 under which India was to develop a National Chemical Management Profile. With the help of the UNITAR, the MoEF and the CPCB of India prepared such profile. The National Chemical Coordination Committee was set up. Upon analysis of the Indian chemical industries with respect to production, import, export and uses, it was found that Gujarat and Maharashtra houses most of the industries along with other states like Andhra Pradesh, Tamil Nadu, Karnataka, and West Bengal. Hence these are the most hazardous chemicals generating sites. The E-​waste rules were introduced in 2011. India prepared the draft Dangerous Goods (Classification, Packaging, and Labelling) Rules, 2013 in tune with the GHS. A study conducted by the Centre for Science and Environment in the years 2008 and 2009 revealed a high percentage of lead in most of the popular paint brands exceeding 1000 ppm. The standards are fixed at 1000 ppm by the BIS and were to continue until 2004. The BIS revised the standards to 90 ppm as per IS 133:2013. These are also the standards for the USA, Canada, and China. Since paint manufacturers are not compelled to abide by BIS standards, they continue to cross the lead limit as was reported by the Toxics Link in 2009 and 2011. Finally, the Indian Government issued the ‘Regulation on Lead contents in Household and Decorative Paints Rules, 2016 to comply with the SAICM goals. The International Conference on Chemicals Management (ICCM) in its 4th session declared the Chemicals in Products Programme (CiP) for the sound management of hazardous chemicals. India prepared a draft National Action Plan for Chemicals (NAPC) with the support of the World Bank, for capacity building for industrial pollution management. Another important area under the SAICM was accepting green and sustainable chemistry. All chemists are obliged to take a full-​year course in green chemistry through the Ministry of Education. The UNIDO working with the secretariats of the Basel, the Rotterdam, the Stockholm Conventions, and the UNEP International Environmental Technology Centre, led the program on Hazardous Substances within the Life cycles of Electrical and Electronic Products (HSLEEP). It deals with Pb, Hg, Cd, Zn, Cr, Be, Ni, Sn, yttrium, antimony trioxide, PVC, phthalates, brominated flame retardants, and halogenated flame retardants. India is on the rise in discarding personal computers and other electronic goods from government departments, public and private sectors, domestic units, secondary markets, and so forth. Hence the E-​Waste Rules of 2011 were replaced by the 2016 Rules. The Indian scientists also prepared a detailed database on Endocrine Disrupting Chemicals (EDC) and furnished a discussion paper on the Uniform Risk Management approach in EDCs in Food at the joint FAO/​WHO Food Standards Programme Codex Committee on Pesticide Residue at its 546

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50th session. India has a vibrant pharmaceutical industry. High concentrations of drugs are detected in rivers and sewerage systems. India should frame stringent policies for handling this issue to comply with the SAICM regulatory bodies such as the Central Drugs Standard Control Organization (CDSCO), along with the National Pharmaceutical Pricing Authority (NPPA) and the Water Act. Apart from devices, electronics, batteries, paints, cosmetics, and drugs, mercury is also used in Ayurvedic and Siddha medicine and the chlor-​alkali industries in India. Funded by the GEF and enforced by the UNDP, the MoEFCC undertook the Improvement of Mercury Management (IMMI) initiative. Still, the measures to control and manage the waste seem insufficient globally. In this regard, a MoU was signed by the Brazil, Russia, India, China, and South Africa (BRICS) nations towards sound management of waste to achieve the SDGs. In terms of economics and finance international trade in chemicals and waste seems to be good. And over the years loopholes and spineless policies led to waste dumping in the global South from the global North. But the burden of health and environmental impacts is beyond control.

Further Reading 1. https:// ​ a pps.who.int/​ i ris/​ b itstr​ e am/​ h an​ d le/​ 1 0665/​ 3 40​ 8 28/​ W HO-​ E URO-​ 2 017-​ 2 372-​ 4 2127-​ 58020-​eng.pdf?seque​nce=​1&isAllo​wed=​y 2. Babu, B. V., and Ramakrishna, V. Hazardous waste management in India. Birla Institute of Technology and Science Pilani, 333, 31, 2012. 3. Blackman, Jr, W.C. Basic hazardous waste management. CRC press, 2016. 4. Devi, K. S., Sujana, O., and Singh, T. C. Hazardous waste management in India –​a review. International Journal of Creative Research Thoughts, 6(1), 1547–​1555, 2018. 5. Dutta, S. K., Upadhyay, V. P., and Sridharan, U. Environmental management of industrial hazardous waste in India. Journal of Environmental Science and Engineering, 48(2), 143,2006. 6. Samant, M., Pandey, S. C., and Pandey, A. Impact of hazardous waste material on environment and their management strategies. In Microbial biotechnology in environmental monitoring and cleanup (pp. 175–​192). IGI Global, 2018. 7. Santosh Vani, S. V., Bhaumik, S., Nandan, A., and Siddiqui, N. A.Hazardous Waste-​Impact on health and Environment for sustainable development in India. World Scientific News, 70(2), 158–​172,2017.

12.2  Important Negotiations Treaties are official and written accord. They are the earliest manifestation of international relations, usually legally binding. The UN is experienced and possesses wide-​ranging power to enact such multilateral agreements that are implemented on the sovereign states for achieving specific goals. The treaties related to chemicals and wastes aim to prevent or reduce the uncontrollable discharge of such substances into the environment which otherwise can be hazardous to ecosystems and toxic to human health. Such substances can be a source of resources and hence several agreements emphasize their recovery and recycling. The present section takes up a few such negotiations relevant and applicable in the contemporary context.

12.2.1  Basel Convention on the Control of Transboundary Movements of Hazardous Waste and Their Disposal, 1989 Throughout the mid-​1980s, the political dialogue about the general concern related to the global transportation of hazardous waste, and also illegitimate transboundary 547

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trafficking of such waste precisely, gained impetus, reached its zenith in 1988 in commonly broadcasted news on events concerning the unlawful abandoning of toxic waste from developed countries to the developing nations. Such issues were considered by the governmental, non-​governmental and inter-​governmental groups both at national and international levels. Quite a few third world nations led by the members of the Organization of African Unity (OAU), who preceded the African Union, considered this discussion as a chance to express their unity, to refuse to allow their land to be used as toxic waste disposal grounds, especially from the wealthy industrialized nations of the world. The environmental groups intensely backed this demand for the creating of a total ban on transboundary movements. On the contrary, several industrialized nations looking for regulated trafficking of waste were quite unprepared to approve any suggested measures that might impost too much of controls on waste trade, especially the economically valued recyclable waste. The Basel Convention on the Control of Transboundary Movements of Hazardous Waste and its Disposal was opened for signature by the UN Council for Namibia in Basel, Switzerland on 22 March 1989, at the UN Headquarters, New York, from 1 July 1989 to 22 March 1990 in response to a civic commotion after the detection, in Africa, in the 1980s, and further parts of the developing countries, of toxic waste deposits, brought in from overseas. It was implemented on 5 May 1992. From the standpoint of the environment, the adoption of the UNEP for a total ban on hazardous waste transport globally might not be the best answer to resolve this issue, because it would prevent transportation for any environmentally sound waste dumping in a state other than the state of origin. The Convention aims to protect human health and the environment against the detrimental impacts of harmful waste. The agreement encompasses a variety of so-​called ‘hazardous waste’ based on origin, constituents, and features, and also other waste (Annex II) such as household waste and incinerator waste. Hence the agreement targets: • Minimizing the production of hazardous waste, keeping in tune with societal, technological, and economic perspectives • Ensuring accessibility of disposal services supporting efficient and environmental sound management of such waste wherever it is to be disposed of • Ensuring adequate precautionary steps to prevent pollution during the management of hazardous and other wastes • Minimum transboundary movements of hazardous and other waste and regulating a system to apply for allowable transboundary movement of such wastes • Preventing the importation of hazardous and other waste in an environmentally unsound manner. Article 1 gives the scope of the Basel Convention that should restrict the transboundary movement of the ‘hazardous waste’ that is listed in Annex I and does not bear any characteristics of Annex III. The article also states that any substances mentioned in Annex II should be treated as ‘other waste.’ Any radioactive waste and waste from vessels and their discharges subject to international control by international agreements, are exempted from any consideration under the Basel Convention. Article 2 defines all of the relevant terms. As per the Convention ‘Wastes are substances or objects which are disposed of or are intended to be disposed of or are required to be disposed of by the provisions of national 548

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law’and‘Management means the collection, transport, and disposal of hazardous waste or other waste, including after-​care of disposal sites.’ Disposal refers to any process listed in Annex IV to the Basel Convention. Transboundary movement refers to the movement of the wastes from the area under national jurisdiction of one state to another area under national jurisdiction of another state. Approved site or facility refers to an authorized disposal site for hazardous wastes. Under Article 3, the Parties were required to notify the secretariat about hazardous waste that is included in their respective national laws along with their transboundary movement necessities other than those listed in Annex I and Annex II of this Agreement within six months of becoming a Party. Any changes in the future should also be notified. The secretariat should pass the information to all other Parties. Article 4 details the general obligations of the Parties. Parties using their rights to forbid any importing of waste should inform the other Parties. No Parties are allowed to export waste to the Parties that have banned the importing of such waste. Parties are not supposed to export to the importing states without their written consent to specific imports. All the Parties to the Convention should ensure suitable measures to minimize the generation of hazardous and other waste, and provide suitable disposal facilities ensuring the safety and security of the environment. People engaged with such management should make all efforts to avert any pollution. The minimization of waste also applies to the waste meant for transboundary movement. The article does not permit the exportation of such waste to a country to any economic or political congregation of states that have banned any such import through their national laws. Any importation of hazardous and other waste is banned on the grounds of lacking a sound management system. Parties should extend cooperation to other Parties in the spreading of information related to the Convention along with information related to the improvement of waste management and measures for the prevention of illegal trafficking of such waste. In case of any violation, the Parties should ensure steps to stop such activities and impose punishments. The Convention does not allow a Party to export to or import from any non-​Party states. No such waste can be exported for disposal in the Antarctic Treaty area. The law disallows any transport and disposal of such waste by unauthorized persons. Waste considered for transboundary movements should be appropriately packaged, labeled, and transported, consistent with the relevant international rules and guidelines along with proper documentation. The Convention permits the transboundary movement of hazardous and other waste under circumstances such as an exporting State lacking technical capacity and facilities, or disposal sites needed. The waste serves as the raw material for recycling and recovery by the importing states. The transboundary movement guidelines are in tune with the objectives of the agreement. If need be, the Parties are allowed to impose supplementary requirements in tune with the Basel Convention. Article 5 allows for the establishment of one or more competent authorities and one focal point. Parties were to give their details to the Secretariat within three months of the implementation of the Convention. As per Article 6, the country of export or the generator/​exporter of waste is required to issue a notification in writing through its proper competent state authority about any anticipated transboundary movement of toxic waste with relevant information and declarations as specified in Annex VA. The language of the notification should be approved by the importing state. Similarly, the country importing such waste, whether a Party or a non-​Party, is required to reply in writing either giving consent to such movement with or without conditions, or rejecting such permission, or requesting supplementary information. No transboundary movement can begin without any written approval. The state of 549

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transit should also approve the receipt of notification and send a written reply within 60 days mentioning consent, rejection, or seeking supplementary information. Under Article 7, the transboundary movement of such waste from Parties to non-​Parties is based on mutatis mutandis as mentioned in the first six paragraphs of the previous article. Article 8 emphasizes the accountability of the state of export to take back the waste into the state of export, if it fails to comply according to the conditions of the contract, within 90 days of receiving information from the state of import. Any such transboundary movement without proper notification, consent, and compliance to the necessary terms or attempting deliberate dumping of hazardous waste is illegitimate under Article 9 and should be taken back or disposed of as per the Convention provisions within 30 days of receiving the information from the State of import. (For detailed reference go to Annexure B XII –​12.2.1). Under Article 10, the Parties to this Convention should try to develop improvements and sound hazardous waste management as per their respective national legislation, strategies, monitoring, improving technical standards, innovating improved low waste technology as much as possible to achieve environmentally sound hazardous waste management. Article 11 states that any bilateral, multilateral, and regional arrangements should be consistent with the provisions of the agreement. Article 12 states the rules for liabilities and compensation in matters of damages experienced during transboundary movements. Article13 ensures dissemination of information between the Parties through the secretariat about any accidents occurring during the transit of hazardous waste, which might pose health and environmental risks, any alteration in the designation of competent authorities or national definitions of hazardous waste. Parties are also required to submit an annual report on any information about such waste regarding its amount, origin, features, and disposal methods. Article 14 deals with the financial aspects under which the Parties were to set up centres for training and technology transfers along with a voluntary funding mechanism according to the specific need of various regions and sub regions. A COP was established under Article 15; the first meeting was chaired by the Executive Director of UNEP within one year of enforcements. The COP could establish any subsidiary bodies, adopt procedural and financial rules, review and evaluate the effective implementation of the Convention consider amendments and seek additional measures as deemed necessary. A Secretariat was formed under the provision of Article 16, who would set up service meetings, compile information, prepare reports, ensure international coordination, and receive and transmit information between the Parties, etc. Article 17 deals with amendments which might be proposed by any Party but adopted by a meeting of the COP by a consensus as stated in the article. Instruments of ratification, approval and confirmation and acceptance of amendments should be deposited with the Depository. Article 18 treats any annexes to be an integral part of the Convention and to Protocol and their adoption and amendments should also be according to what is stated in the Article 17. If any Party suspects another Party of breaching, such may be immediately informed to the Secretariat along with relevant information under Article 19. Under Article 20, any disputes between the Parties should be settled through negotiation or peaceful means of their choice. Failing of which, the matter will be taken to the International Court of Justice. Article 21–​29 provide details about signature, ratification, acceptance, formal approval, accession, voting rights, implementation, reservations and declarations, withdrawal, Depository and authentic texts. The impending threats posed by particular categories of waste are not yet completely acknowledged, and evidence for defining the quantitative threats is non-​existent. Extensive scientific study and investigation are essential for developing ways to illustrate the probable 550

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hazards from these waste materials that could affect mankind and the environment. Several nations have established domestic trials that can apply to the substances mentioned in Annex I list to conclude whether these substances reveal any hazardous aspects or not. The COP established under Article 15 of this Convention is the governing body. The COP usually meets every year to review and evaluate the implementation of this Convention as well as consider revisions and amendments to this Convention. The COP further established two subsidiary bodies namely the ‘Open-​ended Working Group’ and the ‘Committee for Administering the Mechanism for Promoting Implementation and Compliance’ see Table B XII-​12.2.1-​1.

12.2.1.1  The Indian Context India was one of the first nations to sign this Convention and subsequently ratified the Basel Convention on 24 June 1992. Being a developing nation, India became one of the leading importers of waste and thereby turned itself into a dumping ground for the industrialized countries. Ratification had hardly changed this fact. The explosion of the information technology industry in India fuelled economic growth undoubtedly but has also caused the boom of hazardous activity such as recycling of e-​waste and recycling. However, we have no concept about how to handle it. India along with other nations in the COP1 voiced that the rich countries should contain their waste instead of disposing of it in other unindustrialized nations. Stern in its attitude, India sowed the seeds for the enforcement of the Ban Amendment to Basel Convention. India gradually changed its attitude until COP 9 where it stated hazardous materials to be recycling materials. Hence it continues to be one of the leading waste importers. The COP 8 at Nairobi sought ways to regulate the transboundary movement of hazardous waste and their disposal. It laid down standards for e-​waste management and trading. Though India is a Party to the Basel Convention, it is yet to ratify the 1994 agreement. The amendment is also known as the Ban amendment. The amendment forbids all types of hazardous waste exports from the 29 richest countries of the OECD to the non-​OECD nations. This is especially the effort of the African group of nations with other emerging countries. The revision was strongly opposed by the USA, Australia, Germany, Canada, Japan, and the United Kingdom. The 1994 agreement did not become legally binding until 1995 when it was brought up as an amendment. The Basel Convention prohibits the export and import of e-​waste for the purpose of disposal, but the amendment goes further to forbid such import and export for recycling as well. India is quite hesitant to do so. In 1997, the Supreme Court directed India to pursue the Basel Convention and its amendments, yet no decision has been taken. In 2006, the MoEF formed an expert committee to study the impact of asbestos on shipbreaking workers. The report said one out of six people die, and yet no strong action has been taken. This activity in India requires environmental clearance from the MoEF and should be carried out as per the directives of the Central Pollution Control Board. There are no checks on the dismantling of foreign ships on Indian shores. India was firm in COP 1 about developed nations keeping their hazardous waste. A similar position was held in COP 2 where India encouraged the prohibition of all hazardous waste exports from OECD nations to non-​OECD countries. Surprisingly, it changed its tune in COP 3 where it stated that it was against any non-​eco-​friendly recycling but not against the movement of the waste to recipients with the necessary facilities and equipment 551

Negotiations for Protection against Chemicals and Wastes Table B XII-​12.2.1-​1 Follow-​up of the Basel Convention Meetings Year

Place

Highlights

COP 1

1992

Piriapolis, Uruguay

COP 2

1994

Geneva, Switzerland

COP 3

1995

Geneva, Switzerland

COP 4

1998

Kuching, Malaysia

COP 5

1999

COP 6

2002

COP 7

2004

Basel, Switzerland Geneva, Switzerland Geneva, Switzerland

COP 8

2006

Nairobi, Kenya

COP 9

2008

Bali, Indonesia

COP 10

2011

COP 11

2013

Cartagena, Columbia Geneva, Switzerland

COP 12

2015

Geneva, Switzerland

COP 13

2017

Geneva, Switzerland

Industrialized nations are to forbid transboundary movements of hazardous wastes to the developing nations for dumping. Parties approved to immediately prohibit the exportation of hazardous waste from OECD to non-​OECD nations for ultimate disposal. This ban was embraced as an amendment to the Basel Convention. A Technical Working Group, to continue hazardous wastes characterization. Adoption of several issues connected to the Ban Amendment and Annex VII. A decision was taken to include List A hazardous wastes as Annex VIII and List B non-​hazardous wastes as Annex IX. Adoption of the Protocol on Liability and Compensation along with Basel Declaration. Adopted decisions related to enforcement of the Convention and its amendment. Consideration of Basel Convention Regional Centers, Basel Convention Partnership Program, Ban Amendment, Basel Protocol on Liability and Compensation, institutional arrangements, guiding principles for bilateral, multilateral, and regional agreements, and follow-​up go WSSD. Adoption of the declaration on e-​wastes, e-​wastes and end-​of-​life equipment, ship dismantling, POPs, and environmentally sound management. Bali Declaration on Waste Management for Human Health and livelihood adopted; agreed on enhanced collaboration and synchronization amongst Basel, Rotterdam, and Stockholm conventions. Adopted considerably similar decisions collectively known as ‘synergies decisions.’ The theme was ‘Prevention, minimization, and recovery of wastes.’ Adopted the terms of References for the Environmental Network for Optimizing Regulatory Compliance on Illegal Traffic (ENFORCE) as a constituent of the conclusion on the Implementation and Compliance Committee (ICC). The 12th Cop meeting to the Basel Convention, 7th meeting of the COP to Rotterdam Convention, and 7th meeting of the COP to Stockholm Convention started back to back. Back-​to-​back meeting of the COP of the BRS (Basel, Rotterdam, and Stockholm) with the ‘A future detoxified: sound management of chemicals and waste.’ The COP adopted 26 decisions like Indonesian-​Swiss country-​led initiative, Cartagena Declaration, national reporting, Implementation and Compliance Committee, etc.

552

Negotiations for Protection against Chemicals and Wastes Table B XII-12.2.1-1 (Continued) Meetings Year

Place

Highlights

COP 14

2019

Geneva, Switzerland

COP 15

2021online Geneva, segment Switzerland from 26 to 30 July 2021 and 2022 face to face segment from 6 June to 17 June.

The theme was ‘Clean Planet, Healthy People: Sound Management of Chemicals and Waste.’ Annexes to Basel Convention were revised to include Plastic waste, temporary adoption of the technical guidelines on transboundary movements of electrical and electronic waste and used electrical and electronic equipment; the prior informed consent (PIC) procedure, etc. The theme was ‘Global Agreements for a Healthy Planet: Sound management of chemicals and waste.’ The online and face-​to-​face segments were graced by over 160 Parties and 1,500 participants. The COP approved an interim programme of work as well as the budget of the 2022 Convention. Upon receiving the proposal by Ghana and Switzerland, the COP adopted amendments to Annexes II, VII and IX of the Convention, subjecting all transboundary movements of electronic wastes(hazardous and others), to the prior informed consent (PIC) procedure of the Convention. The COP also adopted technical guidelines on mercury wastes, on POP wastes, and environmentally sound incineration of hazardous and other wastes as covered by disposal operations D10 and R1, on specially engineered landfill (D5), as well as two guidance documents prepared by the Implementation and Compliance Committee –​ i. on transit transboundary movements and ii. the other on insurance, bond and guarantee.

COP 16

2023

Geneva, Switzerland

The COP resolute to update the technical guidelines on the environmentally sound management of waste lead-​ acid batteries, and other waste batteries. The COP adopted 28 decisions. Eight decisions are joint to two or three of the conventions, for example on improved cooperation with other bodies, technical support, averting and fighting illegal trafficking and trade and the clearing-​house mechanism. The highlight comprises of the adopting of updated technical guidelines on the environmentally sound management of plastic wastes POPs wastes and e-​wastes.

to handle it. Probably, India was swayed by the USA and Australia. More surprisingly when at COP 9, the Indian representative stated that hazardous waste was perceived as a recyclable material. This was thought to be a statement under pressure from the Ministry of Commerce that supported free trade in toxic waste ignoring environmental and human costs. At COP 14, India expressed major reservations concerned with the provisions in the 553

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name of reuse, repairing, restoration, and failure analysis that there would be a chance of disposal to the developing countries. So, there was a firm opposition from India to the proposed guidelines as it is already committed to phase-​out single-​use plastic. It is worth mentioning that the resolution meant that the requirement of PIC from recipient nations for most plastic mixes before any trading excluding the combinations of polyethylene, polypropylene, and polyethylene terephthalate. The Environmental Protection Act 1986 affords protection and improvement of the environment and permits central government to control all types of waste. The Hazardous Waste (Management and Handling) Rules 1989 was enacted under the Environmental Protection Act (EPA) 1986 and further amended in 2003 and replaced by the Hazardous Waste(Management, Handling and Transboundary Movement) Rules, 2008. It covers all types of hazardous waste except wastewater, exhaust gas, nuclear waste, hospital waste, municipal solid waste, and lead-​acid batteries because this kind of waste is covered under other separate acts. By definition, hazardous waste can be any physical, chemical, toxic, inflammable, explosive, corrosive substances that are dangerous or likely to be dangerous to the health or environment either alone or in combination. The 2003 Rules referred to 36 industrial processes that produce hazardous waste. The responsibility for collection, treatment, storage, and disposal of lies with the occupier and generator, and should be carried out in authorized facilities designated by the SPCB. In case the occupier or recycler lacks treatment and disposal facilities, it should be carried out in the ‘Common Treatment, Storage and Disposal Facility’ (TSDF) with proper authorization through becoming a member. The occupier should pass all necessary information to the operator that was determined by the SPCB. On the grounds of non-​compliance, the SPCB has the authority to cancel the permit issued to the occupier. Packaging, labeling, and transporting such waste should be undertaken according to the rules prepared by the CPCB. The packaging and labeling should be visible and should be able to withstand physical sheer and climatic stress. The transport is at par with the central government rules under the Motor Vehicles Act 1988. For final disposal, a NOC from the SPCB is required. The occupier, recyclers, re-​processors, re-​users, and operators might store the waste for a period not exceeding 90 days and keep a register of details of any sales, transfer, storage, recycling, and reprocessing of such waste. The records should be available for inspection. An EIA is necessary for the selected disposal site. The operation facility is set up under the regular supervision of the SPCB. The law forbids any import/​export of waste for dumping. However, such import is allowed if processed and reused as a raw material for reuse and recycling provided it receives permission from the MoEF. An occupier seeking to import hazardous waste must apply at least 120 days in advance. The SPCB should conduct a review within 30 days and forward the recommendation to the MoEF. The MoEF reviews the application and recommendations and gives permission provided all requirements are fulfilled. A copy of that permission is forwarded to the Central Pollution Control Board, the State Pollution Control Board and Port and Customs authorities. The Directorate General of Foreign Trade for imports should also be notified. The MoEF is the nodal ministry for transboundary shipment of such waste. The law bans any type of importation except for recycling or recovery or reuse. Likewise, exportation is allowable with the Prior Informed Consent (PIC) of the importing nation. Schedule VI items are completely prohibited from any type of export and import. The new rule is known as Hazardous and Other Waste (Management & Transboundary Movement) Rules, 2016 further amended in 2019. The Rules incorporated other waste such as waste tires, metal scrap, paper waste, and so forth. The waste management 554

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hierarchy follows a priority sequence: prevention, minimization, reuse, recycling, recovery, co-​processing, and disposal. A more stringent procedure is followed. The import and export process has been streamlined and document based. Many specified wastes are forbidden from import. The import of solid plastic waste into the country including Special Economic Zones (SEZ) and Export Oriented Units (EOU) is banned. An exemption is given to the export of silk waste from procuring MoEF permission. Any electrical and electronic components and assemblies made in India and exported can be imported back within a year of export without MoEF’s approval if found defective. The other legislation that governs the use and management of hazardous chemicals are the Environment Protection Rules 1986, the Chemical Accidents (Emergency Planning, Preparedness and Response) Rules 1996, the Municipal Solid waste Rules, 2000, the Bio-​medical Waste (Management and Handling) Rules, 1998 and 2016, the Batteries (Management and Handling) Rules 2001, the Ozone Depleting Substances (Regulation and Control) Rules, 2000 and amended up to 2014, the Plastic Waste Management Rules, 2016, and the Steel Scrap Recycling Policy, 2019. Hospital waste can potentially contain infectious agents and hence needs to be handled, treated, and disposed of with special care. The 2016 Rules try to phase out the use of chlorinated products within the stipulated time. They also emphasize on-​site treatment of microbial waste, blood samples, blood bags, a bar code system for disposal containers, more stringent criteria for incinerators, and the like. There are four categories of biomedical waste instead of ten in the 1998 Rules. India is a Party to the Vienna Convention and Montreal Protocol and has ratified all its subsequent amendments. India finalized a national program to phase out and control the use of ODS with the help of UNDP and the TERI. Until 2010 46 582 ozone depleting potentials have been phased out. The MoEFCC has launched a special ‘ozone cell’ that is the National Ozone Unit (NOU), and which helps and supervises the effective implementation of the MP to reach its target. The Plastic Waste Management Rules, 2016 increased the thickness of the plastic carry bags from 40 to 50 microns and to 75 microns from September 2021. Additional governmental directives were issued at all levels to increase the thickness further to 120 microns from December 2022. Out of 15 000 tonnes of plastic waste produced/​day, only 9000 tonnes are collected and treated, and the rest are just left out. The rules also provide guidelines for colorants that can be used in plastics as per IS9833:1981. The 2016 amendment focused on phasing out the use of Multi-​layered Plastics (MLP). The Batteries (Management and Handling) Rules 2001 apply to the production, processing, buying, selling, and use of batteries. Plastic Waste Management (Amendment) Rules, 2021 prohibits the manufacture, import, stocking, distribution, sale, and use of single use plastic, including polystyrene and expanded polystyrene, commodities from July 1, 2022. Plates, cups, glasses, cutlery such as forks, spoons, knives, straw, trays, wrapping or packing films around sweet boxes, invitation cards, and cigarette packets, plastic, or PVC banners less than 100 micron are included. Plastic Waste Management (Amendment) Rules, 2022 inserted Schedule II, Guidelines on Extended Producer Responsibility for Plastic Packaging whereby the Producers, Importers and Brand Owners (“PIBO’s”) owes the responsibility to ensure responsible collection channelization, treatment and/or disposal of plastic waste. The new rules will also require manufacturers to utilize 40% recycled plastic at least in their products. All lead-​acid batteries should be collected against any new batteries sold, utmost care to be taken during transportation. The consumer is also not allowed to dispose of anywhere other than authorized designated facilities. The illegal trafficking of waste is dealt with under the Hazardous Waste (Management and Handling) Rules, 2016. The importer is bound to re-​export the hazardous waste 555

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within 90 days of its entry to India. The customs department has the right to sell to any authorized person or send it to the SPCB in case the importer is untraceable. Although e-​ wastes were managed under the existing Hazardous Waste Rules, the E-​Waste (Management and Handling) Rules were enforced in 2012 to recycle the e-​waste and conserve useable materials. One prominent feature of this rule is the concept of Extended Producer Responsibility (EPR) making the manufacturers responsible for the safe disposal of waste produced during production and also after consumption. The replacement of these rules by the E-​Waste (Management and Handling) Rules, 2016 introduced a significant change by proposing a buy-​back scheme to boost the EPR policy. The producer would buy the product back at disposal time. This acts as an incentive to the consumers to dispose lawfully instead of disposing of irresponsibly. The introduction of the idea of Producer Responsibility Organizations (PROs) increases the feasibility of the EPR policy. The E-​Waste (Management and Handling) Rules, 2016 were further amended in 2018 with the most important revision being the collection targets for the producers. The collection targets started with 30% of the waste produced and increased to 70% after seven years in the 2016 Rules. But with the amendment, it started with 10% and went up to 70% in the seventh year. The Indian Foreign Trade Policy (2015–​20) emphasizes chemical markets. Through the signing of the Trade and Economic Partnership Agreement (TEPA) and the European Free Trade Association (EFTA countries –​Iceland, Norway, Switzerland, and Liechtenstein) it has plans to enter into organic chemical trade with Turkey, Visegrad-​4 (Czech, Hungary, Poland, Slovakia) and other non-​EU nations. The policy points out the preferential importation of intermediary goods into India through the Foreign Trade Agreements (FTA). As per the Foreign Trade (Development and Regulation) Act, 1992 The Directorate General of Foreign Trade is accountable for enforcing the Exim or the Foreign Trade Policy. It has the power to regulate chemical trade between India and other nations. The Hazardous Waste Rules 2016specifically mentions the list of substances that can be imported with prior consent. This list is exempt from prior consent. It also has the list of substances that are banned from import into India. Hence the matters of verification lie with the customs authority. The MoEFCC gives permission to the exporters and importers. The SPCB scrutinizes the applications of the importers and the Directorate General of Foreign Trade grants the licenses for importing. There are several past instances to reflect India’s sensible approach. For example, the Directorate General of Trade Remedies under the Department of Commerce, Ministry of Commerce and Industry, in 2017, had taxed at the rate of 60.35 dollars per tonne anti-​dumping duty for five years to safeguard the national players from dumping ammonium nitrate from Iran, Russia, Georgia, and Indonesia. The Ministry of Commerce continued similar duty on methyl chloride imports from the USA and EU nations in 2018.

Case Study 12.1  Toxic ‘E-​waste’ Dumping in Poor Countries Reported by the United Nations Countless numbers of electronic and electrical gadgets such as mobiles, laptops, toys, cameras, and tablets bought every year creates a high tide of perilous e-​wastes that are either dumped or intended to be dumped of unlawfully in the third world nations according to United Nations.

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UN’s Step initiative was established to handle the ever-​increasing e-​waste of the world; it reports that the bulk of e-​waste is expected to rise by 33% in the coming four years, whose weight will be almost equal to the weight of eight pyramids of Egypt. Estimate says that the per capita generation of e-​waste is about 7 kg in the past year, which totals about 7 million tonnes of electronic waste, composed of an array of different substances along with heavy metals such as lead, cadmium, mercury, arsenic, flame retardants, and the like. Just to apprehend the extent of the hazard, a cathode ray tube computer screen can have up to 3 kg of lead. Once this waste is disposed of in landfill, the most harmful components begin seeping into nature, contaminating land, air, and water. Most of the time, dismantling of the components is by crude unscientific methods, and hence workers exposed to these materials often suffer from ailments. Interpol may reveal the shipment of e-​waste to the developing nations, and sometimes the companies involved are put under criminal investigation. There is always a boom even without much technical innovation and televisions, mobiles, computers, domestic gadgets such as refrigerators, washing machines, dishwashers, and even motorized toothbrushes are undergoing replacement at very short intervals shortening the lifespan of the products. Last year China led in production with 11.1million tonnes, followed by the USA at 10 million tonnes. Taking per capita, it was 29.5 kg for an American while lower than 5 kg for a Chinese on average. According to Kuehr, Head of the UN University for Sustainability and Peace, the expected bulk of end-​of-​life electronic and electrical products including TV, mobiles, e-​toys, and the like, is sufficient to fill a 15 000-​mile line of 40-​tonne trucks. As a European nation, Germany dumps most of the e-​waste collectively, but taken per capita, Norway and Liechtenstein are ahead of Germany. Britain ranks seventh in the world in terms of production, which is 21 kg per capita, totaling 1.37 million tonnes. No data is yet available for the exported quantity for the industries and government. The law provides for the export of discarded products to developing nations if they can be proved to be of reuse, most of this is exported to African and Asian countries with a false fabrication because most of these used products are non-​functional in reality. The goods are often black marketed, disguised as used goods to avert the investment required for lawful recycling. Treatment is often undertaken by the informal sector resulting in environmental pollution and health threats to the local population. Realizing the magnitude of the problem is of concern since there is no tracking of e-​waste properly. Records from the European Environment Agency say that used electronic goods amounting to 2.5 lakh tonnes and 1.3 million tonnes are shipped to West Africa and Asia respectively every year. When these goods are processed unscientifically and inefficiently, it damages the nature and health of localities. A study conducted by MIT reveals that 66% of goods are recycled out of 258.2 million discarded goods. Around 120 million phones collected were sent to Hong Kong, South America, and Caribbean countries. Currently, the shelf life of a mobile is not even two years. In the USA, 120 million mobiles are bought, and 12 million mobiles gathered for recycling. While the fresh mobiles are racing fast into the market, the old ones finally end up in landfills. Since most of these phones contain copper, gold, zinc, beryllium, tantalum, lead, lithium, and so forth, the fiasco of recycling the mobiles and other goods leads to scarcity of rare earth minerals to make the ready supply of electronic goods difficult for future generations.

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Case Study 12.2  A Toxic Journey by Trafigura Beheer BV in the Abidjan, Ivory Coast The density and intensity of present-​day crimes are the outcomes of the intersection of state and corporate activities. Though they were seen as separate units, the perspective has changed over time, and the collective actions between the governments and businesses have given birth to the most dangerous and extensive crimes. Such a state/​corporate offense is an accident between political and economic powers that are driven by the same set of interests culminating in complex and sophisticated delinquency. Yet looking at the gravity of the offense and the extent of damage inflicted by them, the reaction has been minimal. The study deals with a bitter incident that happened in Abidjan, Ivory Coast way back in August 2006, infamously known as the Probo Koala case, which was a crime involving a violation of the law, nonconformity, and damage to society defining state facilitated the state-​ corporate crime. ‘State-​facilitated state-​corporate crime is defined as the failure of the governmental regulatory agencies to restrain ‘deviant’ business activities.’ This case states how the Ivory Coast started corporate deviation by Trafigura and Tommy, a deliberate slip of actions by the state authorities to defend environmental legislation and global human rights, death of humans, and finally, the failure of the government in safeguarding its people and environment. It involved the toxic voyage of the cargo ship, Probo Koala, that led to the dumping of toxic waste at the end of a four-​month-​long journey. The Panamanian flag-​bearing vessel, Probo Koala, dropped off over 500 tonnes of toxic waste in the Abidjan port that was produced by a Dutch-​based merchandise trading corporate called Trafigura Beheer BV (commonly Trafigura). Trafigura is best said a Dutch, Curacao, British, or Switzerland-​based global corporate operating throughout borders in at least 44 nations. It generated the waste by a process called ‘caustic washing’ in the act of refining sulfurous Cokernaphtha to mix with gasoline and then peddle it as petrol to be sold in West African countries to make a profit of US $7 million in each shipment. Caustic washing produces a severely harmful product called spent caustic, which can be properly dealt with in very few specialist facilities. Trafigura cleaned three shipments of Cokernaphtha on board the same year between April and June, and then for the first time, it carried out the process at sea that produced over 500 tonnes of hazardous waste. Trafigura was very well aware of the toxicity of the waste but not definite about the methods of its safe disposal. So Trafigura hired a local company called ‘Compagnie Tommy’ that unloaded the toxic waste at 18 different spots around Abidjan, mostly in the vicinity of human settlements that killed 15 and left more than 100 000 appallingly sick seeking medical help. The magnitude of waste dumping resulted in world headline news all over the world. Victims showed symptoms of severe respiratory distress, skin irritation, abdominal pain, and digestive problems after being exposed to the waste chemicals that were dumped illegally. Trafigura preserved the information undisclosed about the nature of the hazardous waste. Inhabitants were left in darkness about the range and type of pollution and its long-​term health impacts, thus creating a climate of terror and insecurity. Their refusal to disclose the waste hindered the clean-​up operation and medical response. To some extent, the contents of the waste came to be known from the test conducted by the governmental agency in Amsterdam a few weeks before the disposal of waste.

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Earlier, Trafigura’s attempt to dump the waste in Malta, Italy, Gibraltar, The Netherlands, and Nigeria failed. Its effort to dispose of it in Amsterdam ignited an incident when people protested about the odor, headache, dizziness, nausea after it discharged some waste. A disposal company asked for US $620 000 for safe and secure disposal of the waste in The Netherlands which Trafigura refused to pay because of the high cost, and the waste was reloaded back onto Probo Koala. Attempts were made in Estonia, Lagos, Nigeria, where it failed and was finally accepted by the Ivory Coast. The disposal was made by a local company for a price of just US $17 000. The Parties involved in this incident simply violated the rules and regulations that exist through its disregard for lack of enforcement and a motive for making their profit. The national law of the Ivory Coast requires prior permission to the dock before entering. To dump this waste, Trafigura hired the ‘Compagnie Tommy, ’ which was incompetent in terms of expertise and human means. The customs services of the country in a meeting should have to decide whether to grant a dumping license to Tommy as to undertake such action Tommy needed a government-​sanctioned license. The meeting never happened, and Tommy was given a probationary license without any reference to the license commission to carry out the job. This license allowed Tommy to be a marine chandler expert in maintenance and refueling ships in Abidjan Port. The Ivory Coast Authorities permitted the entry of the Probo Koala ship without investigating the type of waste. The waste disposal falls under Annex II of MARPOL and necessitates the slop of waste in a suitable reception facility for the safety and security of people and the environment. Notably, the MARPOL Convention furnishes a list of waste receiving facilities, and the Ivory Coast is not included in such a list. The import of toxic waste in Abidjan and its dumping breached the Basel Convention. Trafigura was connected to Greece, The Netherlands, the UK, Switzerland, and Panama, all of which are Parties to the Basel Convention. It seemed profitable to dump toxic waste in Africa rather than in Europe because of more exorbitant disposal costs and stringent environmental laws. Trafigura was attracted by the low cost of transportation of waste against the exorbitantly high cost of dumping in industrialized countries and looked for the opportunity for a profitable deal. This was supplemented by incompetent, corrupt government officials tempted by greed that placed people’s life and health in jeopardy. To cover up the tragic incident, a National commission of enquiry was established, and justice was persuaded by the state prosecutor against offenses such as poisoning, breach of public health and environmental legislation, and the domestic laws on the Basel Convention. Then also no charge could be placed against the corporate bodies as Trafigura denied any fault on its part. In 2997, Trafigura decided to pay a fine of US $200 million to the government to bargain for its exemption from any trial. And this settlement became a hindrance to the victim’s quest for justice. The transference of harmful waste from the Western civilization to the Third World is a characteristic of globalization. The deprived and minorities stand the impact of waste slop practices. More often, the people of color and native people. The phenomenon is commonly termed ‘environmental racism.’ These marginalized sects are pushed to live with toxic chemicals and unfavorable environmental situations that may or will, directly or indirectly, lawfully, or unlawfully, affect their health and living conditions. In this case, a quantity of waste was

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slopped in Akouedo (an open dumping ground for municipal waste) very much in the residential places of Abidjan. The dumpsite was shut down owing to the noxious odors and thereafter unloaded at sporadic sites around the city in close vicinity to school fields, buildings, and so forth.

Case Study 12.3  Koko, Nigeria, a Dumping Site During the middle of the 1980s, only 20% of the hazardous waste produced by Italy was processed, and the remainder was shipped outside silently. Koko, a small fishing village in Nigeria, grew famous in the global media when approximately eighteen thousand drums of toxic waste were planned to be stored in Koko by two Italian firms. These drums were disguised as building materials and placed in a resident’s vacant location for a rent of $100 a month. By the time the authorities realized, people had become sick because of leakages. Investigated by a Nigerian newspaper, more than 2000 containers, labeled R were discovered. The site owner validated the fact that he had agreed to the importers utilizing his plot at $100/​month which started with an initial bargain of $200/​month. After the arrival of four shipments, more were in the queue. The incident shocked the Nigerian Government who ordered the seizure and detention of the boarded ship at Lagos. Italian authorities claimed the chemicals to be non-​hazardous coal tar, waste paints, and industrial solvents. Analysis of these waste reveals 28% of the waste to be PCB that could generate dioxin on incineration along with dimethyl formaldehyde, asbestos fibers, and so forth. Agreeing to waste removal, Italy collected the defective and leaky containers in a barge called Karin B to reload 2100 tonnes of toxic waste with the assistance of Nigerian workers and sailed for international waters, probably Ravenna, Italy who rejected the waste. The crew members started complaining about chest pain soon after the barge attempted to board at the four European ports of France, Britain, Spain, and West Germany, all of whom refused entry. In the meantime, Italy instructed six of its own dock-​based cities to stay vigilant for receiving the cargo whereafter the ports professed a state of pre-​alarm and stated trade negotiation to keep the ports clear of the waste. After nine weeks of the voyage, Karin B was granted a permit to land from Livorno, Italy. It was the Nigerian-​based Italian importer, Gianfranco Raffaelli, who was in the practice of diverting such container ships from their lawful destinations to small cities in order to evade inspections. On being exposed, he managed to escape the country. The prompt action of the Nigerian government not only commanded Italy to take back the waste but also arrested 14 Nigerian smugglers. As the neighboring areas surrounding the disposal ground became unsafe for use, the authorities ordered an evacuation of 5000 Koko inhabitants though some expressed their refusal. Nigerians exposed to such perilous waste suffered from queasiness, paralysis, and premature childbirth. The landowner died of throat cancer. The workers who assisted in the reloading of waste suffered chemical

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burns despite wearing protective outfits. It was a legal fight for twenty-​one long years against the Nigerian Port Authority before 94 victims received total compensation of $264 666. In February 2017, almost after thirty years, reports were made by the residents of Koko of another colossal dumping approaching in barges by a global oil company. The representative of Ebenco Global Lint Ltd, the company being accused, stated that the selection of Koko is simply for recycling purposes, which was non-​toxic and instead could generate wealth out of recycling. It is a real worry that even under the observant eyes of natives, residents, leaders, authorities, such types of hazardous waste can slip through the cities or towns of Nigeria over and over again. To speak honestly, this calls for introspection and investigation without any further delay. There are standardized approaches to handling and managing industrial waste all over the globe. Taking the USA into account where the disposal sites are carefully chosen, stricter rules and regulations are implemented on the storage and handling of such waste. Handlers are specifically selected and trained to deal with industrial waste, proper kits are provided to prevent contamination. Such actions are an eye-​opener for the Southern block countries, and they need to just adopt such rigorous processes through appropriate laws. Such practices of ‘toxic colonialism’ involving slop of industrial waste going to the poor nations (Africa being considered as the sink of wastes) by the rich ones should immediately stop and can be achieved education and awareness programs.

Case Study 12.4  Khian Sea Garbage Barge Waste Disposal Incident On 31 August 1986, the Liberian registered freight ship, the Khian Sea, filled with over 14 000 tonnes of incineration ash from Philadelphia, Pennsylvania, headed towards New Jersey, but Gloucester County, New Jersey, declined acceptance of the waste after 1984. Such odyssey of ash transport has continued since 1970. When New Jersey became aware that the ash content included lead, mercury, cadmium, arsenic, dioxin, they rejected such acceptance further. After a series of rejections, Philadelphia was in a predicament as to how to manage such an enormous amount of waste every year! The handler of that waste was Joseph Paulino and Sons, who gave the subcontract to the Amalgamated Shipping Corp and Coastal Carrier Inc. Coastal Carrier Inc. intended to dispose of the ash in the Bahamas, which the government refused too. The Khian Sea was searched extensively for a place for more than a year to slop its waste but received a ‘no’ from countries such as Honduras, Panama, Dominican Republic, Guinea Bissau, Bermuda, and Dutch Antilles. It finally succeeded in 1988 in the disposal of 4000 tonnes of waste close to Gonaives, Haiti, in the name of topsoil fertilizer. Informed about the truth by Greenpeace, The Haitian government ordered the reloading of ash, but the ship managed to slip away meanwhile. Some clean-​up was done locally through burial, but the bulk remained exposed on the coasts. All later attempts to dispose of it in Haiti failed.

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Subsequently, the Khian Sea staff tried dropping the remaining ash in Morocco, Yugoslavia, Senegal, Singapore, and Ceylon. The ship changed its name to Felicia and then to Pelicano and San Antonia to conceal its real identity but failed to do so. 10 000 tonnes of ash simply vanished in transit from Singapore to Sri Lanka but were later found to have been disposed of in the Atlantic and the Indian Ocean. In 1997, the Eastern Environmental Services owned by Joseph Paulino and Sons was investigated by New York City Trade Waste Commission and settled to give a permit to the company for operating in New York in exchange for a contribution for the clean-​up operation in Haiti to which the company agreed. To raise funds, a ‘Project Return to Sender’ was founded, and Philadelphia contributed $50 000. The report by UNHRC declared the USA to be the chief exporter of hazardous waste in 1998. Joseph Paulino and Sons were later acquired by Waste Management Inc., Houston, Texas. In 2000 Waste Management Inc. loaded about 2500 tonnes of waste ash onto the barge, Santa Lucia and transported it to Stuart, Florida. The barge remained docked at St. Lucie Canal until 2002 and later travelled close to Antrim Township, to Franklin County, Pennsylvania. The incinerators in Philadelphia were shut down, and a recycling program was scheduled to trash the waste.

Case Study 12.5  The Garbage Patches with Special Reference to the Great Pacific Garbage Patch The use of plastics has just been more than a hundred years. Plastics are in everyday use because of characteristics such as toughness, weightlessness, power, adaptability, and that they are less expensive. The first synthetic plastic Bakelite was the first artificial product manufactured in 1907 and commenced the era of the global plastic industry. Over the years, the abuse of plastics has been coupled with an increased rate of production and insensitive management that turned the material into a serious menace for health and the environment. Global cumulative plastic production from 1950 to 2017 was 9200 million tons (see Figure  B XII-​12.2.1-​1a). Currently, the annual production of plastic is around 400 million tonnes globally in contrast to 230 million tonnes in 2009, and China contributes more than a quarter. The global plastic market size is projected to reach USD 824.46 billion by 2030. The trend in growth rate suggests that by the year 2050 one truckload of plastic will be unloaded into the ocean every 15 minutes. Packaging comprises 40% of the total plastic. An unregulated landfill located near the rivers along with illegitimate disposal increases the chance of introducing plastic waste in the oceans and seas. More than 8 million tonnes of plastic are dumped in the ocean annually. The existence of a garbage patch was primarily anticipated by the National Oceanic Atmospheric Association in 1988. There are five major garbage patches, a concentration of marine debris in the Pacific Ocean, the Indian Ocean, and the Atlantic Ocean known as the North Atlantic Gyre, the South Atlantic Gyre, the North Pacific Gyre, the South Pacific Gyre,

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and the Indian Ocean Gyre (see Table B XII-​12.2.1-​2). The ‘Great Pacific Garbage Patch’ or the Pacific trash vortex, is a trash isle, located in the North Pacific Gyre 135W to 155W and 35N and 42N (between Hawaii and California) with an estimated surface area of 1.6 million square kilometers is the most famous and intense concentration of oceanic trash. It was discovered by a yachtsman, Charles Moore, on his voyage to Los Angeles in 1997 and thereafter named by an oceanographer Curtis Ebbesmeyer. However the number of garbage patches are regarded as six by some namely, the North Atlantic Gyre, the South Atlantic Gyre, the East Pacific Gyre, the North Pacific Gyre, the South Pacific Gyre, and the Indian Ocean Gyre (refer to Leal Filho, W., Hunt, J., & Kovaleva, M. (2021). Garbage patches and their environmental implications in a plastisphere. Journal of Marine Science and Engineering, 9(11), 1289). Plastic debris usually amasses in one of these five patches. The total plastic in the Great Pacific Garbage Patch, if collected together would be twice the size of Texas. The floating plastic waste comprises of discarded bottles, fishing nets, toys, containers, and so forth, The trash is constantly growing because the North Pacific Subtropical Gyre resulted from the convergence of ocean currents and winds. Eventually, with the meeting of the currents and the Coriolis Effect, the water revolves slowly to form a funnel for the objects in the water. The GPGP has been deliberated as an oceanic desert because it inhabits minute phytoplankton and a handful

Figure B XII-​12.2.1-​1a Plastics accumulation.

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of piscine or mammalian components. The fishermen hardly reached the gyre mainly due to the rarity of large fishes and gusts. The sources of plastic in oceans can be both from land as well as ocean-​ based (see Figure  B  XII-​12.2.1-​1b). They can be categorized as waste from fishing, from sewage, from tourism, and from vessels. Fishing contributes waste in the form of remnants of trawlers, gears, nets, and the like. Tourism mainly contributes to beach pollution. Sewage may be from sewer overflows, landfills that leach, street waste, domestic garbage, toilets, stormwater surges, and industrial waste. Boats and ships also produce waste intentionally or unintentionally. Plastic poses a serious threat due to its dispersal or floatation property, its non-​biodegradable nature, and its impact on the ocean ecosystem, all of which make it a national and international issue.

Figure B XII-12.2.1-1b Plastics pathway to the oceans. Key: Global Primary plastic production/​ year Global plastic waste/​year Coastal plastic waste/​year Mismanaged coastal plastic waste/​year The input of plastic into oceans/​ year Plastics in surface waters

270 million tonnes 275 million tonnes (including the previous year’s production) 99.5 million tonnes (within 30 kilometres of the coastline) 31.9 million tonnes (the sum of inadequately managed and littered plastic in open and insecure landfills) 8 million tonnes 10 000 to 100 000 tonnes (unclear about the amount accumulation at greater depths and seafloor)

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Table B XII-​12.2.1-​2 Garbage patches status at a glance Serial Name of the Geographical location Surface area Particle density no. Garbage patch (in square (pieces/​sq. km) kilometres)

Amount of plastic (in tons)

1

2185 (increasing) 9064

2 3 4 5

Indian Ocean Gyre Atlantic Ocean Gyre Atlantic Ocean Gyre Eastern Ocean Gyre Western Ocean Gyre Total-​

Indian Ocean

2183480

10000

North Atlantic Ocean 3625753

25000

South Atlantic Ocean

1296180

20000

North Pacific Ocean

8095000

25000

South Pacific Ocean

715520

40000

15915933

2590 (increasing) 20240 2860 (increasing) 36939

GPGP comprises fishing nets that account for 46% of the waste. The waste is a cocktail of fishing gear, ropes, eel traps, oyster spacers, baskets, containers, and crates. The study says about 20% of this waste is from the Tohoku tsunamis in 2011. Drifting ghost nets drifting through the water entrap whales, seals, and turtles. Nearly a lakh of marine animals are stifled, choked, or wounded annually. Over the years it breaks into minute pieces much smaller in width than that of a human hair. These small particles float in the Pacific and contribute to eight percent of the trash and probably could increase to 50 trillion microplastics, detected in the stomach of marine animals, and one could predict in effect on humans as it moves up the food chain. PCBs are highly toxic, and so are the additives that it contains such as plasticizers, retardants, stabilizers, pigments, phthalates, and bisphenol-​A. Some of these additives are endocrine disruptors. For instance, 150 billion kg of plastic contains 23 billion kg of additives. UNEP estimate says that more than a million sea birds, one lakh marine mammals, and turtles die every year being entangled with plastic following its ingestion. At least 267 types of species are affected. The trash acts as an air filter preventing photosynthesis and boosting the production of reactive oxygen species at the surface as well as at a depth of 250 feet. This, in turn, affects zooplankton that feeds on phytoplankton with low carbon content. On the whole such incidence might affect the Earth’s natural balance by altering atmospheric CO2 levels. The clean-​up cost is estimated to be $32 million to be achieved through the campaign of Ocean Cleanup headed by a Dutchman named Boyan Slat, and they aim to reduce the quantity by 50% in the next five years. Unscientific unplanned unlawful dumping and recreational activities on the shore should be reduced and prevented, and the 4Rs should be promoted in waste management: reduce, reuse, recycle, and recovery. Local recycling activities and facilities with all infrastructural facilities should be promoted along with the generation of public awareness to properly segregate and dispose of plastic waste.

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Case Study 12.6  The Black Sea Barrels The Black Sea, a partially closed region, has a surface area of 436 400 square kilometers with GPS coordinates 43°24’46.9044” N and 34°17’ 57.5376” E. It has very poorly oxygenated water. It has a coast length of over 5800 km collectively. The catchment area is shared by 23 countries, of which six nations (Turkey, Russia, Bulgaria, Romania, Ukraine, and Georgia) have coastlines, and the other 17 are connected to the Black Sea through various rivers (the Danube, Dnipro, Dnieper, Sakarya, and so forth). The Black Sea Basin supports 162 million people. Turkey enjoys 1400 km of shoreline and has fish produce of 454 to 500 thousand tonnes every year. A major share is anchovies in addition to mackerel, whiting, bonito, and so forth. It also accounts for 20 000 tonnes of sea snail and mussel production yearly. Akbay was a part of the fleet that transported hazardous waste. The ship left the Marina de Carrara and Chioggia of Italy on 17 April 1987 and reached Sulina in Romania a few days later. It contained about 800 tonnes of industrial waste. The waste was collected by the Sirtecosrl, based in Agrate Brianza Milan, in Italy and Piattaforma Ecologica Industriale, Marghera in Venice, an Italian company. A minimum of 364 barrels full of waste washed the land on the Turkish Black Sea coast in the year 1988. The waste constituents range from clean, dry residue, oils, paints, DDT, solvents, benzoic acid, toluene, BHC, trimethylbenzene, acetone, ethyl acetate to heavy metals such as cadmium, chromium, cobalt, nickel, zinc, iron, copper, lead. High levels of heavy metals were found in the macroalgae, mussels, and fish on the Turkish sea coast. Evidence shows that the waste was from Italy, shipped into Akbay-​1 and exported to Sulina, Romania, where due to the non-​existence of a waste facility, it was finally slopped into the Sea. The waste was never taken back by Italy; the recovered containers were stored in Sinop and Samsun with the assistance of Italian experts and finally sent abroad in 2006 for final disposal.

12.2.1.2  Basel Protocol on Liability and Compensation 1999 (Not Yet Ratified by Finland, Not Yet in Force Internationally) The Protocol to the Basel Convention was released for signature from 6 to 17 March 2000 at Berne Federal Department of Foreign Affairs and between 1 and 10 April 2000 at the UN Headquarters New York. It is yet to be implemented. The objective of this Protocol is underlined in Article 1 which states to deliver all-​inclusive management for accountability and satisfactory and speedy reimbursement for damages arising out of illegal trafficking and transboundary movement of precarious and other waste along with their dumping. All the relevant definitions are provided in Article 2. Article 3 details the movements, incidents, and damage that apply to the Protocol. The Protocol is applicable to any damage occurring owing to an incident during a transboundary transportation of hazardous waste and their dumping that includes illegal trafficking too. It implies the location of the wastes loading by means of transportation in a spot lying within the national jurisdiction of the exporting State. Any Contracting Party may seek exemption by notifying the Depository. The Secretariat is responsible for informing the Parties about the notification. The Protocol is applicable 566

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for any movements for operations mentioned in Annex IV of Basel Convention except D13, D14, D15, R12, or R13. This Protocol shall be applicable to movements intended for the operations mentioned in D13, D14, D15, R12 or R13 of Annex IV to the Basel Convention, until completion of the ensuing disposal operation mentioned in D1 to D12 and R1 to R11 of Annex IV to the Basel Convention. The Protocol will be solely applicable to the damages that have occurred in the region under the national prerogative of the Contracting Party. In the case where the State of import is the Contracting Party, and the State of export is not a Contracting Party, the Protocol intends to be applicable only about damages after the time at which the person disposing has taken custody of the said waste. In the reverse situation, where the State of import is not a Contracting Party, but the State of export is a Contracting Party, the Protocol intends to be applicable only about damages before the time at which the person responsible for disposing of has taken custody of the said waste. The Protocol in any way shall not affect the sovereignty of States over their territorial seas and their rights in respective exclusive economic zones and continental shelves as per the international law. The Protocol is non-​applicable for any such incidents happening before the enforcement of the Protocol for the concerned Contracting Parties. Similarly, the Protocol does not apply if such incidents occur with respect to any bilateral, multilateral and regional agreement. A liability and compensation regime is applicable if such incidents fully comply with the objective of this Protocol. The Protocol does not apply if both of them are non-​Parties. Under Article 4, until the disposer takes possession of the hazardous and other wastes, the person who notifies as per Article 6 of Basel Convention shall be liable for damage; disposer becomes liable thereafter. In absence of notification, the State of export remains liable for damage. In case of re-​import of hazardous and other wastes as per Article 8 of Basel Convention, the notifier remains liable for damage from the time such wastes leave the disposal site and until the exported takes over the possession of such wastes. But if re-​ import takes place under Article 9 of Basel Convention, the party who re-​import becomes liable for damage until the exporter or alternate disposer takes possession of such wastes. No liability can be attached to a person if such damage happens due to armed conflict, civil war, insurrection, and other unforeseen circumstances. In case multiple people held liable, the claimant possesses the right to seek compensation for damage from any one or all liable persons. Under Article 5 a person can be held liable for damages caused due to lack of compliance with the provisions of the convention or due to intentional, wrongful, reckless, negligent act. But the Article does not affect the national laws of the Contracting Parties that governs liability of servants and agents. Under Article 6, a person acting reasonably and taking preventive steps according to his domestic laws will not be liable under the Protocol. Article 7 deals with combined cause of damage, namely, a damage caused by wastes covered by the Protocol as well as wastes excluded under Protocol –​the person shall be liable in proportion to the contribution made by the wastes covered under this Protocol. Article 8 deals with the rights of the liable person to recourse as per the procedural rules of the competent court. Article 9 mentions the situation under which compensation may be reduced or disallowed such as a person suffering damage has caused or contributed to the damage itself. Under Article 10, the Contracting Parties must approve legislative, regulatory, and administrative measures for implementing the Protocol. Conflicts with other liability and compensation agreements are dealt in Article 11. The Protocol is non-​applicable where 567

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other agreements are applicable. In Article 12, the financial limits for liability are stated; that under Article 4 of the Protocol are stated in Annex B to the Protocol and there are no such financial limits for liability under Article 5. Article 13 specifies the time limit of liability. There will be no claims for compensation under the Protocol unless they are brought within ten years from the date of the incident. The same is inadmissible unless brought within five years from the date the claimant knew or have reasonably known of the damage provided that the time limits established are not exceeded in accordance aforesaid sentence of this Article. In case of series of occurrences, the time limit will run from the date of last of the occurrences. Article 14 mentions about the insurance and financial guarantees. The liable person should maintain insurance, bonds and other financial guarantees the amount of which must not be less than the minimum limits mentioned in Annex B. Article 15 state the requirement for additional and supplementary measures to ensure adequate and quick compensations to be taken in cases where compensation do not cover costs of damage. In Article16, the rights and obligations of the Contracting Party under the general international law with respect to State responsibility remains unaffected by the Protocol. While Article 17 provides for claims for compensation that can be brought in the competent courts of a Contracting Party, Article 18 does for related actions. Under Article 19, the matters related to claims before the competent court if not regulated in the Protocol should be governed by the law of that court. Article 20 provides for the relation between the Protocol and the law of the competent court. Mutual recognition or judgments and its enforcement are dealt with in Article 21. Relationship of the Protocol with the Basel Convention and amendment of Annex B is stated in Article 22 and Article 23 respectively. While Article 24 outlines the establishment and functions of the Meeting of Parties, Article 25 does the same for Secretariat. The Article 26–​33 mentions the date of signature, the details of ratification and acceptance, accession by any States and any regional economic integration organization Party to the Basel Convention, enforcement, reservations, withdrawal, Depository and authentic texts to the Protocol. The Article 26–​33 mentions the date of signature, the details of ratification and acceptance, accession by any States and any regional economic integration organization Party to the Basel Convention, enforcement, reservations, withdrawal, Depository and authentic texts to the Protocol. The Protocol does not define the ‘hazardous waste and other wastes’ separately but refers to the Basel Convention. As per the Convention, the waste in Annex I list possessing the hazardous characteristics as given in Annex III list is hazardous. Other waste refers to the waste referred to in the Annex II list of the Convention. The Protocol is nonapplicable to the radioactive waste in case it is governed by other international control systems such as IAEA. However, the Convention applies to the radioactive waste which are not covered by these instruments. The Convention also exempts waste from normal ship operations since they are mostly covered under the MARPOL 73/​78 Convention no matter what the phrase ‘normal operation of a ship’ has been criticized. (For detailed reference go to Annexure B XII –​12.2.1.2)

12.2.2  Bamako Convention on the Ban of the Import into Africa and the Control of Transboundary Movement and Management of Hazardous waste within Africa, 1991 This is a multilateral, regional agreement that was adopted in response to the failure of the Basel Convention prohibiting the imports of hazardous waste in the less developed 568

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countries. The agreement was conceived in 1991 by twelve countries of the ‘Organization of African Unity’ at Bamako in Mali. It was implemented in 1998 and had 25 Parties to it. The language of the Convention is much stronger than the Basel Convention and includes all imports of hazardous waste, including radioactive waste, hence it has more kinds of waste than the Basel Convention. The Convention prohibits any ocean or inland water dumping or incineration and ensures that disposal should be carried out in an environmentally sound manner. It aims to reduce and regulate the transboundary movement of hazardous waste within the continent of Africa. Article 4 of this Convention seeks all possible legal, administrative, and other steps to be ensured for barring the import of all hazardous waste into the African States that lies within the jurisdictional area of the non-​contracting Parties. All the Parties are required to inform the secretariat at the earliest opportunity regarding any such unlawful activity and cooperate with others to prohibit such import. Such exercises should also apply to the internal waters, territorial seas, exclusive economic zones, continental shelves, and so forth, lying within the Parties’ jurisdictions and in conformation to the related international Conventions. Any disposal comprising incineration at sea, seabed, or sub-​seabed by the contracting Parties should be deemed to be illegal. Each of the Parties should adopt and implement a precautionary approach to the problems of pollution, namely, preventing their discharge into the environment. They should be promoting clean production methods that apply to the total life cycles of the products such as the selection of raw materials, their extraction, and processing, material transport, and so forth. Clean production excludes ‘end-​of-​pipe’ control methods such as scrubbers and any type of treatment. The Parties need to guarantee that a detailed report of the waste generated is submitted to the secretariat to facilitate the hazardous waste audit and inflict a limitless burden on such waste generators and also confirm the minimum generation of such waste concerning social, economic, and technological aspects. Parties are not to export hazardous waste to the states that have forbidden such imports legally or through universal agreements, nor can the waste be exported to the states lacking adequate disposal facilities. The Parties need to ensure hazardous waste is transported in an environmentally sound manner in the state of importation or transit. The Parties should prohibit all individuals from transport or disposal unless the persons are sanctioned to do so. All such waste needs to be properly packaged, labeled, and transported in compliance with the standard international rules.

12.2.2.1  The Basel Convention versus the Bamako Convention There were incidents of Australia exporting 60 tonnes of hazardous waste to South Africa that gives us instances of a phenomenon called ‘not in my backyard’ or NIMBY. Such types of management turns into a global business to control the environmental impacts of inappropriate practices. The 1989 Basel Convention was ratified by 149 nations, whereas the 1991 Bamako Convention was ratified by 18 African nations. Both of these share a common goal of controlling the movement of hazardous waste across national borders but rather differ in substantial facets. The proportion of hazardous waste by the developed nations that cross international borders is small, yet it seems to be a big business. The USA used to export 160 × 103 tonnes of such waste annually. The scarcity of waste disposal sites and rising expenses for disposal allure the companies in developed nations for the exportation of their waste. A tonne of waste disposal in the US costs around 2500 dollars 569

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while the same would cost only as much as 3 dollars in a developing nation. Moreover, the regulations are more stringent in developed nations. The Basel Convention happened with the notion that industrialized countries were transferring their hazardous waste to unindustrialized nations by way of export. The Convention needed ratification of merely 20 countries but took three years to fulfill. Except for Nigeria, none of the members of the Organization of African Unity (OAU) were ratified initially. Japan, Canada, and the USA opposed this since such an agreement would limit their legitimate trade in such waste. Article 4 refers to transference and disposal of hazardous waste in an ‘environmentally sound manner,’ but it failed in defining such a phrase. Prior informed consent requires notification by the exporters of the proposed hazardous shipments in which the importing country may accept, reject, or seek supplementary information. Such waste could not be shipped without receiving consent for the transport and disposal of such waste in an ‘environmentally sound manner.’ The benefit is that it allows continued trading in waste liable to the regulation of importing nations. The Basel Convention was amended in 1995, whereby Parties of the Organization for Economic Cooperation and Development countries are barred from exporting hazardous waste to non-​OECD nations. Such a change was possible due to the push from African countries that are not members of OECD nations. Since it is short of the necessary ratification, it is yet to be binding. The Basel Convention provided for the penalty in the case of illegal trafficking and needed an ad-​hoc expert group to deal with such matters. The Basel Protocol of 1999 is critical to setting up an international mechanism that may allow the nations to operate freely concerning liability and obligations. The Basel Convention is limited by the terms ‘hazardous waste’ and ‘transboundary movement’ to determine the passage of waste in its purview and does not need the other waste to meet the obligations. On the other hand, the Bamako Convention safeguarded the jurisdictional rights of every country to forbid the import of hazardous waste for transfer and dumping and was negotiated as a reaction to the loopholes in the Basel Convention by the Organization of African Unity. The developed nations were in favor of regulation and strongly criticized prohibition. Some nations see it as a burden on individual freedom for free trade, whereas many countries such as India rely on the import of lead-​acid batteries to reclaim the lead. So being a Party to this agreement would bar them from reclamation. Bamako Convention imposes a total ban on any import, including recycling, thus sealing the hole in the Basel Convention and reducing the probability of the producers shifting their environmental responsibility to other countries, not possessing technology, training, expertise, or infrastructure. It never focused on the export of such waste from Africa. However, it never restricted the exportation of hazardous waste from the African States to non-​OAU States. It pointed at two problems: the use of Africa as a dumping ground by the rich nations, and its inadequacy to tackle such waste. Both of the Conventions have the imposition of duties on the states for re-​importing waste as a means of a violation. But the Bamako Convention provides for returning such waste to the waste producer Parties. Both of the Conventions have a negotiated Protocol in the matter of liability. The Bamako Convention makes for several liabilities on the Parties that generate improperly disposed waste. The Basel Convention and the Bamako Convention permit the non-​Parties to transport the waste to the Parties in case of any existing bilateral, regional, or multilateral agreement. The Basel Convention exercises dual control on both the import and export Parties but not on the mediators. Hence Italian and Switzerland companies could dump hazardous waste in Somalia because both Italy and 570

Negotiations for Protection against Chemicals and Wastes

Somalia were non-​Parties, whereas Switzerland, being a Party was bound by the obligation to comply but not when it mediated the deal as a broker. The Basel Convention provides for funding and surveillance whilst the Bamako Convention does not. The Bamako Convention rises above as a tool against the immoral foreign industrialists as a symbol of African strength and unity, which visualizes the trade in hazardous waste as a racial issue and a crime against the African people.

12.2.3  The Hong Kong International Convention for Safe and Environmentally Sound Recycling of Ships, 2009 (not yet ratified by Finland, not yet in force internationally) The Marine Environment Protect Committee (MEPC) developed guidelines that were later accepted as the ‘Guidelines on Ship Recycling’ in 2003, where advice was given to all of the concerned stakeholders such as administrations and countries that were suppliers of equipment, ports, ship owners, builders, repairers, and recycling states and their yards. In this industry, almost everything is reused. Steel is reprocessed into reinforcing rods, corner castings, and hinges. Steel produced from recycled steel consumes a third of the energy than what is required for raw materials. Batteries are channeled into the local economy. Hydrocarbons are used as fuel in rolling mills and brick kilns. Light fixtures find their way into domestic markets. So, it can be said that such recycling makes a contribution towards energy and resource conservation with the employment of mostly unskilled labor. The guidelines introduced the concept of ‘green passport,’ a document comprising every substance used in ship manufacturing that is probably harmful to human health. The document is generated in the shipyard and moves on to the purchaser. The format is such that subsequent changes in materials and equipment are recorded until it finally reaches the recycling yard. In 2006 the MEPC approved the decision of the IMO, on a top priority basis, to develop a new agreement on ship recycling that would be legally binding and universally applicable. This finally culminated in the drafting of the Hong Kong Convention text to deal with the ship recycling matter in an effective, efficient, sound, and environmentally sustainable way for the ships that have reached the termination of their operating lives. This agreement under the International Maritime Organization was adopted in Hong Kong and is yet to be enforced. As of the current day, it has fifteen Parties to it. The entry into force of the Convention was two years after the following conditions were met: not less than fifteen states to sign and ratify, and the collective tonnage of these fifteen states should be at least 40% of the gross tonnage of global merchant shipping. Also, the maximum collective ship recycling volume every year of these fifteen states during the early ten years must make up at least 3% of the gross tonnage of the collective merchant shipping of these states. The provisions of this Convention are very much in tune with the 1982 United Nations Convention on the Law of the Sea. The Parties to this Convention aim to prevent, reduce, and minimize any accidents, injuries, and other harmful impacts on human health and the environment arising due to ‘ship recycling’ to the greatest degree practically possible. The Convention in no way bars a Party from taking more rigorous measures in compliance with international law for the safe and environmentally sound recycling of ships to avert, lessen or minimize such impacts on health and the environment. Effectual implementation requires the cooperation of all the Parties. The ships entitled to fly the flag of a Party or employed under its authority as 571

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well as the ship recycling facilities under the dominion of a Party should be bound by the obligations of this Convention. But the Convention does not apply to ships that are below 500 gross tonnes (GT) and to ships that function only in the waters under the jurisdiction of a state with its flag throughout its life, especially warships. The Parties should apply the requirements of the Convention if needed for the ships that are flying the flag of non-​Parties to this Convention. Both the ships and the ship recycling facilities under the control of a Party should be complying with the requisites stated in the Convention. The operational ships should be subjected to a survey, and they must be certified accordingly. Likewise, the operational ship recycling facility needs to be authorized as per the guidelines given in the annex. For compliance, any ship in any port or offshore terminal of another Party can be inspected as authorized by that Party to determine its conformity with the provisions. The inspection can be skipped if there is a valid International Certificate on Inventory of Hazardous Materials or an International Ready for Recycling Certificate. The ship might not possess a valid certificate if the state of the ship fails to relate to the particulars of the certificate of the International Certificate on Inventory of Hazardous Materials, or such procedure is not applied to the ship on board. An investigation may be requested by a Party possessing any substantiation of a violation, and the Party carrying out inspections can also warn the ship or exclude it from its ports. Any violation of the Convention is banned by the national legislation. In the case of a ship, the sanctions are established under the law of the administration. The administration investigates as per the law any violation and may seek additional evidence from the reporting Party. It makes a quick report to the reporting Party as well as the International Maritime Organization about any actions being taken. In the case of a ship recycling facility, the sanctions are established under the law of the Party having authority over such a facility. Investigations are carried out by the Party based on the information of a Party supplying additional evidence if asked for. The Party should make a quick report to the reporting Party and the International Maritime Organization about the actions being taken. Efforts should be made to avoid any unnecessary detention of the ships, and in such a case, they are entitled to compensation or loss occurred. Parties necessarily report to the International Maritime Organization, and they, in turn, disseminate the relevant information. In case of any technical help sought, the Parties may ensure cooperation either directly or through the International Maritime Organization. It took almost three and a half years to draft the text taking inputs from the member nations of the IMO and the NGOs in cooperation with the International Labour Organization and the Parties to Basel Convention. The new Convention takes care of the design, construction, operation, and preparation to facilitate sound and safe recycling without any compromise in the safety, security, and functional efficiencies of the ships. A similar level of safety is also ensured for the ship recycling facilities in the employment of sound mechanisms by way of certification, authorization, reporting requirements, guidelines, survey, verification, and so forth. All ships meant for scrapping need to possess an inventory of hazardous items. Shipbreaking activity is considered to be one of the most hazardous activities with fatalities, injuries, and occupational health hazards at unacceptable levels and hence it requires specific rules and regulations to govern such activities. The health and safety concerns related to shipbreaking activities and facilities. The Ship Recycling Facility is permitted to accept a ship for recycling that contains hazardous materials as per Appendix 5 of the Hong Kong Convention mentioned in Table B XII-​12.2.3-​1. The workers engaged in such

572

Negotiations for Protection against Chemicals and Wastes Table B XII-​12.2.3-​1 List of items for the inventory of Hazardous materials Hazardous materials 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

Asbestos Ozone-​depleting substances as per the Montreal Protocol until January 1, 2020, new installations containing HCFC were permitted. Polychlorinated biphenyls (PCB) Anti-​fouling compounds and systems containing organotin compounds as a biocide Cadmium and Cadmium Compounds Hexavalent Chromium and Hexavalent Chromium Compounds Lead and Lead Compounds Mercury and Mercury Compounds Polybrominated Biphenyls (PBBs) Polybrominated Diphenyl Ethers (PBDEs) Polychlorinated Naphthalenes (more than three chlorine atoms) Certain Short-​chain Chlorinated Paraffins (Alkanes, C10-​C13, chloro) Radioactive Substances Certain Shortchain Chlorinated Paraffins (Alkanes, C10-​C13, chloro) Hazardous liquids, residues and sediments Paints and coatings that are highly flammable and/​or lead to toxic release Other Hazardous Materials not listed above and that are not a part of the ship structure (specify)

activities lack proper personal protective equipment (PPE), and most of the vessels consist of a heavy amount of these hazardous substances enough to cause mesothelioma and pulmonary cancer. Such practices are very common and highly concentrated in South Asian nations such as India, Bangladesh, China, and Pakistan, amongst others. On 28 November 2019, the Indian Cabinet Committee on Economic Affairs (CCEA) approved accession to the Hong Kong Convention. Statistical data for the year 2018 reveals that India handles around 5 million GT every year, which comprises one quarter of the global share of the ship recycling industry the GOI plans to double the share by 2024. Worth mentioning, the Alang-​Sosiya ship-​breaking yard in Gujarat handles about 450 ships annually.

Case Study 12.7  The Alang Sosiya Ship-​Breaking Graveyard in Gujarat The European ship owner regulates more than 40% of the merchant fleet globally. Nearly 40% of all end-​of-​life ships get beached in South Asia. The shipping fleet had grown to 42 million GT by 2014 globally. A study on the ship breaking yard facility reveals a huge amount of pollution together with microbial, floral, and faunal disruption. The launch of Alang Sosiya Ship-​Breaking Yard was one of the major industrial developments that started with the beaching of the ‘M.V. Kota Tenjong’ in 1983. Jointly this ship-​breaking yard was selected by the central government and the Gujarat State government. Of late, it has become the biggest graveyard for vessels. The Alang Sosiya Ship-​Breaking Yard is located in a partially arid, drought-​prone, coastal zone of saline soil with an average annual precipitation

573

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of 558 mm and temperature varying between 34.2°C and 21.9°C. The area exhibits semi-​arid scrub vegetation. This hub had an estimated yearly turnover of 1.3 billion US dollars as per 2003 data. It comprises of around two hundred discrete ship-​breaking plots dismantling 10 000 tonnes of scrap daily. Hundreds of ships are recycled each year, and this involves thousands and thousands of people. The shipyard has four categories of stakeholders. There are ten main villages nearby, and they are Alang, Sosiya, Manar, Sathara, Bharapara, Mathavda, Chopada, Jaspara, Kathava, and Mandava living within a radius of 12 kilometers. Earlier, they were mainly farmers and practiced animal husbandry. A few were fishermen and boat builders. With the establishment of the shipyard, most of them are involved in ancillary activities and a few work in the breaking yard. The second category is that of the shipbreakers, the entrepreneurs and business class. They start from the ship purchasing until the last item is sold. In India, they have a major concern due to the charging of 15% customs duty and 15% excise duty. Pollution and health risks are an added concern. The third categories are the workers, mostly migrants from Bihar, Orissa, UP, and MP, whose earnings may vary between 2000 and 9000 INR. Their pathetic living conditions result in diarrhea, jaundice, stomach problems, TB, Fever, skin diseases, HIV/​ AIDS, and fatal occupational accidents. The fourth group of stakeholders in the government is represented by the Gujarat Maritime Board. Fifty weed species commonly grow, such as Crotolaria, Taverniera, Alysicarpus, Digera, Phyllanthus, and so forth, Currently, the occurrence of exotic Parthenium can be attributed to importation through the Alang Sosiya Ship-​Breaking Yard. If unchecked, it might boost skin allergy problems. Another exotic weed, Prosopis juliflora, yields good quality gum, honey, and charcoal. The pods are rich in sugar and protein. Among the waterfowl, little grebes, black-​ winged stilt, black ibis, white ibis, painted stork, and cattle egret are common. The ship-​ breaking activity is physically demanding and risky. It is labor-​ intensive and requires teamwork. For safety gloves, spectacles, boots, helmets are needed, which might not always be supplied. In this context, the USA-​made ships give the highest returns in terms of recovered steel and its worth over that of the Russians, while Japanese ships are the cheapest and swiftest ones to break. The ships are usually stripped and cut into pieces. Cranes are employed to load and unload the heavy machinery along with dragging the ship further up the shore. The breaking process pollutes the air, water, and land. Toxic fumes are produced from combusting the non-​recyclables. Improperly disposed of waste harms crops, animals, humans, and groundwater. Heavy traffic in the region produces noise. 10–​15 % of India’s steel production is achieved through recovered iron and steel from ship-​breaking activities. Many downstream industries have also developed such as re-​rolling mills, recycling of other items, turbine engines, washbasins, armchairs, oxygen plants, and so forth. Apart from steel, asbestos, oil, paints, glass wool, plastics, broken woods, and a host of other inorganic and organic products are produced, which are not only persistent but harmful to mankind and nature. The use of asbestos was limited in 1980, forbidden in 52 nations. Yet 125 million people are still exposed through the work environment, including the ship-​breaking yard. Inhalation causes cancer: pulmonary cancer and mesothelioma. Heavy metal concentrations are quite high. The least of these are nickel; about 25% higher, while mercury is 500% higher than other

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places. Other metals recovered are iron, manganese, copper, cobalt, zinc, lead, and cadmium. A study shows HC concentrations are 973% higher than in other places. There is a considerable reduction in the growth of zooplankton, whereas the higher amount of phytoplankton, both dead and alive, might be on account of turbidity. E.coli and E. faecalis concentrations were 349% and 394% more than in other places. Plastics are of specific concern as they drifted from one place to another and are eternally persistent. Commonly occurring plastics are polyurethane, nylon, polystyrene, and polyester, of which polystyrene and nylon are the most abundant. Glass wool, though less, is also found. Plastics less than 5 mm are referred to as microplastics which adversely affect the health of the oceanic ecosystems by lessening the amount of available oxygen and through biomagnification. Microplastics are also associated with the attraction and transportation of POPs such as PCBs and DDE. Research also showed the existence of total organic carbon in the sediments. Ship recycling activities contribute to the economies of third-​world counties such as India, China, Bangladesh, and Pakistan. Together with Turkey, they form 97% of the global ship recycling capacity. Current practices are damaging, and the ship-​breaking yard lacks basic infrastructure to handle the health and safety concerns. Such awareness was first raised in the 1990s by the International Maritime Organization (IMO) in the form of the Hong Kong Convention in 2009 and, more recently, the European Union Ship Recycling Regulation. Recycling should be safe, efficient, and eco-​friendly. Attempts should be made to avoid and minimize the use of asbestos, PCBs, and heavy metals. Pressure from Greenpeace and the Supreme Court compliance systems are made, but they are non-​existent in function. Monitoring and inspections are rare. Environmental norms and safety measures are hardly adhered to. There are five to eight deaths every month. Empowering the workers might bring some positive changes to the practice. Education and awareness seem imminent. India is a signatory to the 76 million US dollars from the ‘Japan International Cooperation Agency’ for upgrading the environment management plan at the Alang Sosiya Ship-​Breaking Yard in Gujarat.

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Annexure Negotiations for Protection against Chemicals and Wastes Annexure B XII –​12.2.1: Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, 1989 http://​arch​ive.basel.int/​text/​con-​e-​rev.pdf ANNEX I CATEGORIES OF WASTES TO BE CONTROLLED WASTE STREAMS Y1 Clinical wastes from medical care in hospitals, medical centers and clinics Y2 Wastes from the production and preparation of pharmaceutical products Y3 Waste pharmaceuticals, drugs and medicines Y4 Wastes from the production, formulation and use of biocides and Phyto-​pharmaceuticals Y5 Wastes from the manufacture, formulation and use of wood preserving chemicals Y6 Wastes from the production, formulation and use of organic solvents Y7 Wastes from heat treatment and tempering operations containing cyanides Y8 Waste mineral oils unfit for their originally intended use Y9 Waste oils/​water, hydrocarbons/​water mixtures, emulsions Y10 Waste substances and articles containing or contaminated with polychlorinated biphenyls (PCBs) and/​or polychlorinated terphenyls (PCTs) and/​or polybrominated biphenyls(PBBs) Y11 Waste tarry residues arising from refining, distillation and any pyrolytic treatment Y12 Wastesfromproduction,formulationanduseofinks,dyes, pigments, paints, lacquers,varnish Y13 Wastes from production, formulation and use of resins, latex, plasticizers,glues/​ adhesives Y14 Waste chemical substances arising from research and development or teaching activities which are not identified and/​or are new and whose effects on man and/​or the environment are notknown Y15 Wastes of an explosive nature not subject to otherlegislation Y16 Wastes from production, formulation and use of photographic chemicals and processingmaterials Y17 Wastes resulting from surface treatment of metals and plastics Y18 Residues arising from industrial waste disposaloperation WASTES HAVING AS CONSTITUENTS: Y19 Metalcarbonyls Y20 Beryllium; beryllium compounds Y21 Hexavalent chromium compounds Y22 Copper compounds Y23 Zinc compounds Y24 Arsenic; arsenic compounds Y25 Selenium; selenium compounds 576

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Y26 Cadmium; cadmium compounds Y27 Antimony; antimony compounds Y28 Tellurium; tellurium compounds Y29 Mercury; mercury compounds Y30 Thallium; thallium compounds Y31 Lead; lead compounds Y32 Inorganic fluorine compounds excluding calcium fluoride Y33 Inorganic cyanides Y34 Acidic solutions or acids in solid form Y35 Basic solutions or bases in solid form Y36 Asbestos (dust and fibres) Y37 Organic phosphorus compounds Y38 Organic cyanides Y39 Phenols; phenol compounds including chlorophenols Y40 Ethers Y41 Halogenated organic solvents Y42 Organic solvents excluding halogenated solvents Y43 Any congenor of polychlorinated dibenzo-​furan Y44 Any congenor of polychlorinated dibenzo-​p-​dioxin Y45 Organohalogen compounds other than substances referred to in this Annex (e.g., Y39, Y41, Y42, Y43, Y44) (a) To facilitate the application of this Convention, and subject to paragraphs (b); (c); and (d), wastes listed in Annex VIII are characterized as hazardous pursuant to Article 1, paragraph 1 (a), of this Convention, and wastes listed in Annex IX are not covered by Article 1, paragraph 1 (a), of this Convention. (b) Designation of a waste on Annex VIII does not preclude, in a particular case, the use of Annex III to demonstrate that a waste is not hazardous pursuant to Article 1, paragraph 1 (a), of this Convention. (c) Designation of a waste on Annex IX does not preclude, in a particular case, characterization of such a waste as hazardous pursuant to Article 1, paragraph 1 (a), of this Convention if it contains Annex I material to an extent causing it to exhibit an Annex III characteristic. (d) Annexes VIII and IX do not affect the application of Article 1, paragraph 1 (a), of this Convention for the purpose of characterization of wastes.4 The amendment whereby paragraphs (a); (b); (c); and (d) were added to the end of Annex I entered into force on 6 November 1998, six months following the issuance of depositary notification C.N.77.1998 of 6 May 1998 (reflecting Decision IV/​9, adopted by the Conference of the Parties at its fourth meeting). 4

ANNEX II CATEGORIES OF WASTES REQUIRINGSPECIAL CONSIDERATION Y46 Y47

Wastes collected from households Residues arising from the incineration of household waste 577

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ANNEX III LIST OF HAZARDOUS CHARACTERISTICS UN Class5 Code

Characteristics

1

H1

3

H3

4.1

H4.1

4.2

H4.2

4.3

H4.3

5.1

H5.1

5.2

H5.2

6.1

H6.1

Explosive An explosive substance or waste is a solid or liquid substance or waste (or mixture of substances or wastes) which is in itself capable by chemical reaction of producing gas at such a temperature and pressure and at such a speed as to cause damage to the surroundings. Flammable liquids The word ‘flammable’ has the same meaning as ‘inflammable.’ Flammable liquids are liquids, or mixtures of liquids, or liquids containing solids in solution or suspension (for example, paints, varnishes, lacquers, etc., but not including substances or wastes otherwise classified on account of their dangerous characteristics) which give off a flammable vapor at temperatures of not more than60.5ºC, closed-​cup test, or not more than 65.6ºC,open-​cup test. (Since the results of open-​cup tests and of closed-​cup tests are not strictly comparable and even individual results by the same test are often variable, regulations varying from the above figures to make allowance for such differences would be within the spirit of this definition.) Flammable solids Solids, or waste solids, other than those classed as explosives, which under conditions encountered in transport are readily combustible, or may cause or contribute to fire through friction. Substances or wastes liable to spontaneous combustion Substances or wastes which are liable to spontaneous heating under normal conditions encountered in transport, or to heating up on contact with air, and being then liable to catch fire. Substances or wastes which, in contact with water emit flammable gases Substances or wastes which, by interaction with water, are liable to become spontaneously flammable or to give off flammable gases in dangerous quantities. Oxidizing Substances or wastes which, while in themselves not necessarily combustible, may, generally by yielding oxygen cause, or contribute to, the combustion of other materials. Organic Peroxides Organic substances or wastes which contain the bivalent-​o-​o-​ structure are thermally unstable substances which may undergo exothermic self-​accelerating decomposition. Poisonous (Acute) Substances or wastes liable either to cause death or serious injury or to harm human health if swallowed or inhaled or by skin contact. 578

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UN Class5 Code

Characteristics

6.2

H6.2

8

H8

9

H10

9

H11

9

H12

9

H13

Infectious substances Substances or wastes containing viable microorganisms or their toxins which are known or suspected to cause disease in animals or humans. Corrosives Substances or wastes which, by chemical action, will cause severe damage when in contact with living tissue, or, in the case of leakage, will materially damage, or even destroy, other goods or the means of transport; they may also cause other hazards. Liberation of toxic gases in contact with air or water Substances or wastes which, by interaction with air orwater, are liable to give off toxic gases in dangerous quantities. Toxic (Delayed or chronic) Substances or wastes which, if they are inhaled or ingested or if they penetrate the skin, may involve delayed or chronic effects, including carcinogenicity. Ecotoxic Substances or wastes which if released present or may present immediate or delayed adverse impacts to the environment by means of bioaccumulation and/​or toxic effects upon biotic systems. Capable, by any means, after disposal, of yielding another material, e.g., leachate, which possesses any of the characteristics listed above.

Corresponds to the hazard classification system included in the United Nations Recommendations on the Transport of Dangerous Goods (ST/​SG/​AC.10/​1Rev.5, United Nations, New York, 1988).

5

Tests The potential hazards posed by certain types of wastes are not yet fully documented; tests to define quantitatively these hazards do not exist. Further research is necessary in order to develop means to characterize potential hazards posed to man and/​or the environment by these wastes. Standardized tests have been derived with respect to pure substances and materials. Many countries have developed national tests which can be applied to materials listed in Annex I, in order to decide if these materials exhibit any of the characteristics listed in this Annex. ANNEX IV DISPOSAL OPERATIONS A. Operations which do not lead to the possibility of resource recovery, recycling, reclamation, direct re-​use or alternative uses Section A encompasses all such disposal operations which occur in practice. D1 D2

Deposit into or onto land (e.g., landfill,etc.) Land treatment (e.g., biodegradation of liquid or sludgy discards in soils,etc.) 579

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D3 D4 D5 D6 D7 D8 D9 D10 D11 D12 D13 D14 D15

Deep injection (e.g., injection of pumpable discards into wells, salt domes of naturally occurring repositories,etc.) Surface impoundment (e.g., placement of liquid or sludge discards into pits, ponds or lagoons,etc.) Specially engineered landfill (e.g., placement into lined discrete cells which are capped and isolated from one another and the environment, etc.) Release into a water body except seas/​oceans Release into seas/​oceans including sea-​bed insertion Biological treatment not specified elsewhere in this Annex which results in final compounds or mixtures which are discarded by means of any of the operations in Section A Physico chemical treatment not specified elsewhere in this Annex which results in final compounds or mixtures which are discarded by means of any of the operations in Section A (e.g., evaporation, drying, calcination, neutralization, precipitation,etc.) Incineration on land Incineration at sea Permanent storage (e.g., emplacement of containers in a mine, etc.) Blending or mixing prior to submission to any of the operations in Section A Repackaging prior to submission to any of the operations in Section A Storage pending any of the operations in Section A

B. OPERATIONS WHICH MAY LEAD TO RESOURCE RECOVERY, RECYCLING RECLAMATION, DIRECT RE-​USE OR ALTERNATIVE USES Section B encompasses all such operations with respect to materials legally defined as or considered to be hazardous wastes and which otherwise would have been destined for operations included in Section A R1 Use as a fuel (other than in direct incineration) or other means to generate energy R2 Solvent reclamation/​regeneration R3 Recycling/​reclamation of organic substances which are not used as solvents R4 Recycling/​reclamation of metals and metal compounds R5 Recycling/​reclamation of other inorganic materials R6 Regeneration of acids or bases R7 Recovery of components used for pollution abatement R8 Recovery of components from catalysts R9 Used oil re-​refining or other reuses of previously used oil R10 Land treatment resulting in benefit to agriculture or ecological improvement R11 Uses of residual materials obtained from any of the operations numbered R1-​R10 R12 Exchange of wastes for submission to any of the operations numbered R1-​R11 R13 Accumulation of material intended for any operation in SectionB ANNEX V A INFORMATION TO BE PROVIDED ON NOTIFICATION 1. Reason for waste export 580

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2. Exporter of the waste 1/​ 3. Generator(s) of the waste and site of generation1/​ 4. Disposer of the waste and actual site of disposal 1/​ 5. Intended carrier(s) of the waste or their agents, if known 1/​ 6. Country of export of the waste Competent authority 2/ 7. Expected countries of transit Competent authority 2/ 8. Country of import of the waste Competent authority 2/​ 9. General or single notification 10. Projected date(s) of shipment(s) and period of time over which waste is to be exported and proposed itinerary (including point of entry and exit) 3/​ 11. Means of transport envisaged (road, rail, sea, air, inland waters) 12. Information relating to insurance 4/​ 13. Designation and physical description of the waste including Y number and UN number and its composition 5/​and information on any special handling requirements including emergency provisions in case of accidents 14. Type of packaging envisaged (e.g., bulk, drummed, tanker) 15. Estimated quantity in weight/​volume 6/​ 16. Process by which the waste is generated 7/​ 17. For wastes listed in Annex I, classifications from Annex III: hazardous characteristic, H number, and UN class 18. Method of disposal as per Annex IV 19. Declaration by the generator and exporter that the information is correct 20. Information transmitted (including technical description of the plant) to the exporter or generator from the disposer of the waste upon which the latter has based his assessment that there was no reason to believe that the wastes will not be managed in an environmentally sound manner in accordance with the laws and regulations of the country of import 21. Information concerning the contract between the exporter and disposer. Notes 1/​ Full name and address, telephone, telex or telefax number and the name, address, telephone, telex or telefax number of the person to be contacted. 2/ Full name and address, telephone, telex or telefax number. 3/ In the case of a general notification covering several shipments, either the expected dates of each shipment or, if this is not known, the expected frequency of the shipments will be required. 4/​ Information to be provided on relevant insurance requirements and how they are met by exporter, carrier and disposer. 5/ The nature and the concentration of the most hazardous components, in terms of toxicity and other dangers presented by the waste both in handling and in relation to the proposed disposal method. 6/ In the case of a general notification covering several shipments, both the estimated total quantity and the estimated quantities for each individual shipment will be required. 7/ Insofar as this is necessary to assess the hazard and determine the appropriateness of the proposed disposal operation. 581

Negotiations for Protection against Chemicals and Wastes

ANNEX VB INFORMATION TO BE PROVIDED ON THEMOVEMENT DOCUMENT 1. Exporter of the waste 1/​ 2. Generator(s) of the waste and site of generation 1/​ 3. Disposer of the waste and actual site of disposal 1/​ 4. Carrier(s) of the waste 1/​or his agent(s) 5. Subject of general or single notification 6. The date the transboundary movement started and date(s) and signature on receipt by each person who takes charge of the waste 7. Means of transport (road, rail, inland waterway, sea, air) including countries of export, transit and import, also point of entry and exit where these have been designated 8. General description of the waste (physical state, proper UN shipping name and class, UN number, Y number and H number as applicable) 9. Information on special handling requirements including emergency provision in case of accidents 10. Type and number of packages 11. Quantity in weight/​volume 12. Declaration by the generator or exporter that the information is correct 13. Declaration by the generator or exporter indicating no objection from the competent authorities of all States concerned which are Parties 14. Certification by disposer of receipt at designated disposal facility and indication of method of disposal and of the approximate date of disposal. Notes The information required on the movement document shall where possible be integrated in one document with that required under transport rules. Where this is not possible the information should complement rather than duplicate that required under the transport rules. The movement document shall carry instructions as to who is to provide information and fill-​out any form. 1/​ Full name and address, telephone, telex or telefax number and the name, address, telephone, telex or telefax number of the person to be contacted in case of emergency. ANNEX VI ARBITRATION Article 1 Unless the agreement referred to in Article 20 of the Convention provides otherwise, the arbitration procedure shall be conducted in accordance with Articles 2 to 10 below. Article 2 The claimant Party shall notify the Secretariat that the Parties have agreed to submit the dispute to arbitration pursuant to paragraph 2 or paragraph 3 of Article 20 and include, in particular, the Articles of the Convention the interpretation or application of which are at issue. The Secretariat shall forward the information thus received to all Parties to the Convention. 582

Negotiations for Protection against Chemicals and Wastes

Article 3 The arbitral tribunal shall consist of three members. Each of the Parties to the dispute shall appoint an arbitrator, and the two arbitrators so appointed shall designate by common agreement the third arbitrator, who shall be the chairman of the tribunal. The latter shall not be a national of one of the Parties to the dispute, nor have his usual place of residence in the territory of one of these Parties, nor be employed by any of them, nor have dealt with the case in any other capacity. Article 4 1. If the chairman of the arbitral tribunal has not been designated within two months of the appointment of the second arbitrator, the Secretary-​General of the United Nations shall, at the request of either Party, designate him within a further two months period. 2. If one of the Parties to the dispute does not appoint an arbitrator within two months of the receipt of the request, the other Party may inform the Secretary-​General of the United Nations who shall designate the chairman of the arbitral tribunal within a further two months’ period. Upon designation, the chairman of the arbitral tribunal shall request the Party which has not appointed an arbitrator to do so within two months. After such period, he shall inform the Secretary-​General of the United Nations, who shall make this appointment within a further two months ‘period. Article 5 1. The arbitral tribunal shall render its decision in accordance with international law and in accordance with the provisions of this Convention. 2. Any arbitral tribunal constituted under the provisions of this Annex shall draw up its own rules of procedure. Article 6 1. The decisions of the arbitral tribunal both on procedure and on substance, shall be taken by majority vote of its members. 2. The tribunal may take all appropriate measures in order to establish the facts. It may, at the request of one of the Parties, recommend essential interim measures of protection. 3. The Parties to the dispute shall provide all facilities necessary for the effective conduct of the proceedings. 4. The absence or default of a Party in the dispute shall not constitute an impediment to the proceedings. Article 7 The tribunal may hear and determine counter-​claims arising directly out of the subject-​ matter of the dispute. Article 8 Unless the arbitral tribunal determines otherwise because of the particular circumstances of the case, the expenses of the tribunal, including the remuneration of its members, shall be borne by the Parties to the dispute in equal shares. The tribunal shall keep a record of all its expenses, and shall furnish a final statement thereof to the Parties.

583

Negotiations for Protection against Chemicals and Wastes

Article 9 Any Party that has an interest of a legal nature in the subject-​matter of the dispute which may be affected by the decision in the case, may intervene in the proceedings with the consent of the tribunal. Article 10 1. The tribunal shall render its award within five months of the date on which it is established unless it finds it necessary to extend the time-​limit for a period which should not exceed five months. 2. The award of the arbitral tribunal shall be accompanied by a statement of reasons. It shall be final and binding upon the Parties to the dispute. 3. Any dispute which may arise between the Parties concerning the interpretation or execution of the award may be submitted by either Party to the arbitral tribunal which made the award or, if the latter cannot be seized thereof, to another tribunal constituted for this purpose in the same manner as the first. ANNEX VII [not yet entered into force]6

Annex VII is an integral part of the Amendment adopted by the third meeting of the Conference of the Parties in 1995 in its Decision III/​1. The amendment is not yet in force. The relevant part of Decision III/​1 provides as follows:

6

‘The Conference, … 3. Decides to adopt the following amendment to the Convention: ‘Annex VII Parties and other States which are members of OECD, EC, Liechtenstein.’ ANNEX VIII7 LIST A Wastes contained in this Annex are characterized as hazardous under Article 1, paragraph 1 (a), of this Convention, and their designation on this Annex does not preclude the use of Annex III to demonstrate that a waste is not hazardous. A1 Metal and metal-​bearing wastes A1010 Metal wastes and waste consisting of alloys of any of the following: • Antimony • Arsenic • Beryllium • Cadmium • Lead • Mercury • Selenium 584

Negotiations for Protection against Chemicals and Wastes

• Tellurium • Thallium but excluding such wastes specifically listed on list B. The amendment whereby Annex VIII was added to the Convention entered into force on 6 November 1998, six months following the issuance of depositary notification C.N.77.1998 of 6 May 1998 (reflecting Decision IV/​9 adopted by the Conference of the Parties at its fourth meeting). The amendment to Annex VIII whereby new entries were added entered into force on 20 November 2003 (depositary notification C.N.1314.2003), six months following the issuance of depositary notification C.N.399.2003 of 20 May 2003 (reflecting Decision VI/​35 adopted by the Conference of the Parties at its sixth meeting). The amendment to Annex VIII whereby one new entry was added entered into force on 8 October 2005 (depositary notification C.N.1044.2005), six months following the issuance of depositary notification C.N.263.2005 of 8 April 2005 (re-​issued on 13 June 2005, reflecting Decision VII/​19 adopted by the Conference of the Parties at its seventh meeting). The present text includes all amendments. 7

A1020 Waste having as constituents or contaminants, excluding metal waste in massive form, any of the following: • • • • • •

Antimony; antimony compounds Beryllium; beryllium compounds Cadmium; cadmium compounds Lead; lead compounds Selenium; selenium compounds Tellurium; tellurium compounds

A1030 Wastes having as constituents or contaminants any of the following: • Arsenic; arsenic compounds • Mercury; mercury compounds • Thallium; thallium compounds A1040 Wastes having as constituents any of the following: • Metalcarbonyls • Hexavalent chromium compounds A1050 Galvanic sludges A1060 Waste liquors from the pickling of metals A1070 Leaching residues from zinc processing, dust and sludges such as jarosite, hematite,etc. A1080 Waste zinc residues not included on list B, containing lead and cadmium in concentrations sufficient to exhibit Annex IIIcharacteristics A1090 Ashes from the incineration of insulated copper wire A1100 Dusts and residues from gas cleaning systems of copper smelters A1110 Spent electrolytic solutions from copper electrorefining and electrowinning operations 585

Negotiations for Protection against Chemicals and Wastes

A1120 Waste sludges, excluding anode slimes, from electrolyte purification systems in copper electrorefining and electrowinning operations A1130 Spent etching solutions containing dissolved copper A1140 Waste cupric chloride and copper cyanide catalysts A1150 Precious metal ash from incineration of printed circuit boards not included on list B8 A1160 Waste lead-​acid batteries, whole or crushed A1170 Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries not specified on list B containing Annex I constituents to an extent to render them hazardous A1180 Waste electrical and electronic assemblies or scrap9 containing components such as accumulators and other batteries included on list A, mercury-​switches, glass from cathode-​ray tubes and other activated glass and PCB capacitors, or contaminated with Annex I constituents (e.g., cadmium, mercury, lead, polychlorinated biphenyl) to an extent that they possess any of the characteristics contained in Annex III (note the related entry on list B B1110)10 A1190 Waste metal cables coated or insulated with plastics containing or contaminated with coal tar, PCB11, lead, cadmium, other organohalogen compounds or other Annex I constituents to an extent that they exhibit Annex IIIcharacteristics. Note that mirror entry on list B (B1160) does not specify exceptions. This entry does not include scrap assemblies from electric power generation. 10 PCBs are at a concentration level of 50 mg/​kg or more. 11 PCBs are at a concentration level of 50 mg/​kg or more. 8 9

A2 WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CCONTAIN METALS AND ORGANIC MATERIALS A2010 Glass waste from cathode-​ray tubes and other activated glasses A2020 Waste inorganic fluorine compounds in the form of liquids or sludges but excluding such wastes specified on list B A2030 Waste catalysts but excluding such wastes specified on list B A2040 Waste gypsum arising from chemical industry processes, when containing Annex I constituents to the extent that it exhibits an Annex III hazardous characteristic (note the related entry on list BB2080) A2050 Waste asbestos (dusts and fibers) A2060 Coal-​fired power plant fly-​ash containing Annex I substances in concentrations sufficient to exhibit Annex III characteristics (note the related entry on list BB2050) A3 WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND INORGANIC MATERIALS A3010 Waste from the production or processing of petroleum coke and bitumen A3020 Waste mineral oils unfit for their originally intended use A3030 Wastes that contain, consist of or are contaminated with leaded anti-​knock compound sludges A3040 Waste thermal (heat transfer) fluids 586

Negotiations for Protection against Chemicals and Wastes

A3050 Wastes from production, formulation and use of resins, latex, plasticizers, glues/​ adhesives excluding such wastes specified on list B (note the related entry on list BB 4020) A3060 Waste nitrocellulose A3070 Waste phenols, phenol compounds including chlorophenol in the form of liquids or sludges A3080 Waste ethers not including those specified on list B A3090 Wasteleatherdust,ash,sludgesandflourswhen containing hexavalent chromium compounds or biocides (note the related entry on list BB 3100) A3100 Waste paring and other waste of leather or of composition leather not suitable for the manufacture of leather articles containing hexavalent chromium compounds or biocides (note the related entry on list BB 3090) A3110 Fellmongery wastes containing hexavalent chromium compounds or biocides or infectious substances (note the related entry on list BB 3110) A3120 Fluff –​light fraction from shredding A3130 Waste organic phosphorous compounds A3140 Waste non-​halogenated organic solvents but excluding such wastes specified on list B A3150 Waste halogenated organic solvents A3160 Waste halogenated or unhalogenated non-​ aqueous distillation residues arising from organic solvent recovery operations A3170 Wastes arising from the production of aliphatic halogenated hydrocarbons (such as chloromethane, dichloro-​ethane, vinyl chloride, vinylidene chloride, allyl chloride and epichlorhydrin) A3180 Wastes, substances and articles containing, consisting of or contaminated with polychlorinated biphenyl (PCB), polychlorinated terphenyl (PCT), polychlorinated naphthalene (PCN) or polybrominated biphenyl (PBB), or any other polybrominated analogues of these compounds, at a concentration level of 50 mg/​kg or more12 A3190 Waste tarry residues (excluding asphalt cements) arising from refining, distillation and any pyrolytic treatment of organic materials A3200 Bituminous material (asphalt waste) from road construction and maintenance, containing tar (note the related entry on list B, B2130) The 50 mg/kg level is considered to be an internationally practical level for all wastes. However, any individual countries have established lower regulatory levels (e.g., 20 mg/kg) for specific wastes. 12

A4 WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS A4010 Wastes from the production, preparation and use of pharmaceutical products but excluding such wastes specified on list B A4020 Clinical and related wastes; that is wastes arising from medical, nursing, dental, veterinary, or similar practices, and wastes generated in hospitals or other facilities during the investigation or treatment of patients, or research projects A4030 Wastes from the production, formulation and use of biocides and phytopharmaceuticals, including waste pesticides and herbicides which are off-​ specification, outdated, 13 or unfit for their originally intended use 587

Negotiations for Protection against Chemicals and Wastes

A4040 Wastes from the manufacture, formulation and use of wood-​ preserving chemicals14 A4050 Wastes that contain, consist of or are contaminated with any of the following: • Inorganic cyanides, excepting precious-​ metal-​ bearing residues in solid form containing traces of inorganic cyanides • Organic cyanides A4060 Waste oils/​water, hydrocarbons/​water mixtures, emulsions A4070 Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding any such waste specified on list B (note the related entry on list BB 4010) A4080 Wastes of an explosive nature (but excluding such wastes specified on list B) A4090 Waste acidic or basic solutions, other than those specified in the corresponding entry on list B (note the related entry on list B B2120) A4100 Wastes from industrial pollution control devices for cleaning of industrial off-​gases but excluding such wastes specified on list B A4110 Wastes that contain, consist of or are contaminated with any of the following: • Any congenor of polychlorinated dibenzo-​furan • Any congenor of polychlorinated dibenzo-​P-​dioxin A4120 Wastes that contain, consist of or are contaminated with peroxides A4130 Waste packages and containers containing Annex I substances in concentrations sufficient to exhibit Annex III hazard characteristics A4140 Waste consisting of or containing off specification or outdated 15 chemicals corresponding to Annex I categories and exhibiting Annex III hazard characteristics A4150 Waste chemical substances arising from research and development or teaching activities which are not identified and/​or are new and whose effects on human health and/​or the environment are not known A4160 Spent activated carbon not included on list B (note the related entry on list BB 2060) ‘Outdated’ means unused within the period recommended by the manufacturer. This entry does not include wood treated with wood preserving chemicals. 15 ‘Outdated’ means unused within the period recommended by the manufacturer. 13 14

ANNEX IX16 LIST B Wastes contained in the Annex will not be wastes covered by Article 1, paragraph 1 (a), of this Convention unless they contain Annex I material to an extent causing them to exhibit an Annex III characteristic. B1 Metal and metal-​bearing wastes B1010 Metal and metal-​alloy wastes in metallic, non-​dispersible form: • Precious metals (gold, silver, the platinum group, but not mercury) • Iron and steel scrap 588

Negotiations for Protection against Chemicals and Wastes

• • • • • • • • • • • • • • • • • • • •

Copper scrap Nickel scrap Aluminium scrap Zinc scrap Tin scrap Tungsten scrap Molybdenum scrap Tantalum scrap Magnesium scrap Cobalt scrap Bismuth scrap Titanium scrap Zirconium scrap Manganese scrap Germanium scrap Vanadium scrap Scrap of hafnium, indium, niobium, rhenium and gallium Thorium scrap Rare earth scrap Chromium scrap

B1020 Clean, uncontaminated metal scrap, including alloys, in bulk finished form (sheet, plate, beams, rods, etc.),of: • • • • • •

Antimony scrap Beryllium scrap Cadmium scrap Lead scrap (but excluding lead-​acid batteries) Selenium scrap Tellurium scrap

B1030 Refractory metals containing residues B1031 Molybdenum, tungsten, titanium, tantalum, niobium and rhenium metal and metal alloy wastes in metallic dispersible form (metal powder), excluding such wastes as specified in list Aunder entry A1050, Galvanicsludges B1040 Scrap assemblies from electrical power generation not contaminated with lubricating oil, PCB or PCT to an extent to render them hazardous B1050 Mixed non-​ferrous metal, heavy fraction scrap, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics17 B1060 Waste selenium and tellurium in metallic elemental form including powder B1070 Waste of copper and copper alloys in dispersible form, unless they contain Annex I constituents to an extent that they exhibit Annex III characteristics B1080 Zinc ash and residues including zinc alloys residues in dispersible form unless containing Annex I constituents in concentration such as to exhibit Annex III characteristics or exhibiting hazard characteristics.18 B1090 Waste batteries conforming to a specification, excluding those made with lead, cadmium or mercury

589

Negotiations for Protection against Chemicals and Wastes

B1100 Metal-​bearing wastes arising from melting, smelting and refining of metals: • Hard zinc spelter • Zinc-​containing dresses: - - - - -

Galvanizing slab zinc top dross (>90%Zn) Galvanizing slab zinc bottom dross (>92%Zn) Zinc die casting dross (>85%Zn) Hot dip galvanizers slab zinc dross (batch)(>92%Zn) Zinc skimmings

• Aluminium skimmings (or skims) excluding salt slag • Slags from copper processing for further processing or refining not containing arsenic, lead or cadmium to an extent that they exhibit Annex III hazard characteristics • Wastes of refractory linings, including crucibles, originating from copper smelting • Slags from precious metals processing for further refining • Tantalum-​bearing tin slags with less than 0.5% tin B1110 Electrical and electronic assemblies: • Electronic assemblies consisting only of metals or alloys • Waste electrical and electronic assemblies or scrap19(including printed circuit boards) not containing components such as accumulators and other batteries included on list A, mercury-​switches, glass from cathode-​ray tubes and other activated glass and PCB-​capacitors, or not contaminated with Annex I constituents (e.g., cadmium, mercury, lead, polychlorinated biphenyl) or from which these have been removed, to an extent that they do not possess any of the characteristics contained in Annex III (note the related entry on list AA 1180) • Electrical and electronic assemblies (including printedcircuitboards,electroniccomp onentsandwires)destined for direct reuse,20 and not for recycling or final disposal21 B1115 Waste metal cables coated or insulated with plastics, not included in list A1190, excluding those destined for Annex IVA operations or any other disposal operations involving, at any stage, uncontrolled thermal processes, such as open-​burning. B1120 Spent catalysts excluding liquids used as catalysts, containing any of:

Transition metals, excluding waste catalysts (spent catalysts, liquid used catalysts or other catalysts) on list A: • Scandium • Vanadium • Manganese • Cobalt • Copper • Yttrium • Niobium • Hafnium • Tungsten • Titanium 590

Lanthanides Rare earth metals): • Lanthanum • Praseodymium • Samarium • Gadolinium • Dysprosium • Erbium • Ytterbium • Cerium • Neodymium • Europium • Terbium • Holmium

Negotiations for Protection against Chemicals and Wastes

• Chromium • Iron • Nickel • Zinc • Zirconium • Molybdenum • Tantalum • Rhenium

• Thulium • Lutetium

B1130 Cleaned spent precious-​metal-​bearing catalysts B1140 Precious-​metal-​bearing residues in solid form which contain traces of inorganic cyanides B1150 Precious metals and alloy wastes (gold, silver, the platinum group, but not mercury) in a dispersible, non-​liquid form with appropriate packaging and labeling B1160 Precious-​metal ash from the incineration of printed circuit boards (note the related entry on list AA 1150) B1170 Precious-​metal ash from the incineration of photographic film B1180 Waste photographic film containing silver halides and metallic silver B1190 Waste photographic paper containing silver halides and metallic silver B1200 Granulated slag arising from the manufacture of iron and steel B1210 Slag arising from the manufacture of iron and steel including slags as a source of TiO2and vanadium B1220 Slag from zinc production, chemically stabilized, having a high iron content (above 20%) and processed according to industrial specifications (e.g., DIN 4301) mainly for construction B1230 Mill scaling arising from the manufacture of iron and steel B1240 Copper oxide mill-​scale B1250 Waste end-​of-​life motor vehicles, containing neither liquids nor other hazardous components B2 WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND ORGANIC MATERIALS B2010 Wastes from mining operations in non-​dispersible form: • • • • • • •

Natural graphite waste Slate waste, whether or not roughly trimmed or merely cut, by sawing or otherwise Mica waste Leucite, nepheline and nepheline syenitewaste Feldspar waste Fluorspar waste Silica wastes in solid form excluding those used in foundry operations

B2020 Glass waste in non-​dispersible form: • Cullet and other waste and scrap of glass except for glass from cathode-​ray tubes and other activated glasses 591

Negotiations for Protection against Chemicals and Wastes

B2030 Ceramic wastes in non-​dispersible form: • Cermet wastes and scrap (metal ceramic composites) • Ceramic based fibres not elsewhere specified or included B2040 Other wastes containing principally inorganic constituents: • Partially refined calcium sulphate produced from flue-​gas desulphurization(FGD) • Waste gypsum wallboard or plasterboard arising from the demolition of buildings • Slag from copper production, chemically stabilized, having a high iron content (above 20%) and processed according to industrial specifications (e.g., DIN 4301 and DIN 8201) mainly for construction and abrasive applications • Sulphur in solid form • Limestone from the production of calcium cyanamide (having a pH less than9) • Sodium, potassium, calcium chloride • Carborundum (silicon carbide) • Broken concrete • Lithium-​tantalum and lithium-​niobium containing glass scraps B2050 Coal-​fired power plant fly-​ash, not included on list A (note the related entry on list A A2060) B2060 Spent activated carbon not containing any Annex I constituents to an extent they exhibit Annex III characteristics, for example, carbon resulting from the treatment of potable water and processes of the food industry and vitamin production (note the related entry on list A A4160) B2070 Calcium fluoride sludge B2080 Waste gypsum arising from chemical industry processes not included on list A (note the related entry on list A A2040) B2090 Waste anode butts from steel or aluminium production made of petroleum coke or bitumen and cleaned to normal industry specifications (excluding anode butts from chlor alkali electrolyses and from metallurgical industry) B2100 Waste hydrates of aluminium and waste alumina and residues from alumina production excluding such materials used for gas cleaning, flocculation or filtration processes B2110 Bauxite residue (‘red mud’) (pH moderated to less than 11.5) B2120 Waste acidic or basic solutions with a pH greater than 2 and less than 11.5, which are not corrosive or otherwise hazardous (note the related entry on list A A4090) B2130 Bituminous material (asphalt waste) from road construction and maintenance, not containing tar22 (note the related entry on list A,A3200) B3 WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND INORGANIC MATERIALS B3010 Solid plastic waste: The following plastic or mixed plastic materials, provided they are not mixed with other wastes and are prepared to a specification:

592

Negotiations for Protection against Chemicals and Wastes

• Scrap plastic of non-​halogenated polymers and co-​polymers, including but not limited to the following23 - - - - - - - - - - - - - - - - - - - -

ethylene styrene polypropylene polyethylene terephthalate acrylonitrile butadiene polyacetals polyamides polybutylene terephthalate polycarbonates polyethers polyphenylene sulfide acrylic polymers alkanes C10-​C13(plasticiser) polyurethane (not containing CFCs) polyclones polymethylmethacrylate polyvinyl alcohol polyvinyl butyral polyvinyl acetate

• Cured waste resins or condensation products including the following: - - - - - -

urea formaldehyde resin phenol formaldehyde resins melamine formaldehyde resins epoxy resins alkyd resins polyamides

• The following fluorinated polymer wastes24 - - - - - -

perfluoroethylene/​propylene (FEP) perfluoroalkoxylalkane tetrafluoroethylene/​per fluoro vinyl ether (PFA) tetrafluoroethylene/​perfluoromethylvinylether (MFA) polyvinylfluoride (PVF) polyvinylidenefluoride (PVDF)

B3020 Paper, paperboard and paper product wastes The following materials, provided they are not mixed with hazardous wastes: Waste and scrap of paper or paperboard of: • unbleached paper or paperboard or of corrugated paper or paperboard • other paper or paperboard, made mainly of bleached chemical pulp, not coloured in the mass 593

Negotiations for Protection against Chemicals and Wastes

• paper or paperboard made mainly of mechanical pulp (for example, newspapers, journals and similar printed matter) • other, including but not limited to 1) laminated paperboard 2) unsorted scrap B3026 The following waste from the pre-​treatment of composite packaging for liquids, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics: • Non-​separable plastic fraction • Non-​separable plastic-​aluminium fraction B3027 Self-​adhesive label laminate waste containing raw materials used in label material production B3030 Textile wastes The following materials, provided they are not mixed with other wastes and are prepared to a specification: • Silk waste (including cocoons unsuitable for reeling, yarn waste and garneted stock) - not carded or combed - other • Waste of wool or of fine or coarse animal hair, including yarn waste but excluding garneted stock - noils of wool or of fine animal hair - other waste of wool or of fine animal hair - waste of coarse animal hair • Cotton waste (including yarn waste and garneted stock) - yarn waste (including thread waste) - garneted stock - other • Flax tow and waste • Tow and waste (including yarn waste and garneted stock) of true hemp (Cannabis sativa L.) • Tow and waste (including yarn waste and garnetted stock) of jute and other textile bast fibres (excluding flax, true hemp and ramie) • Tow and waste (including yarn waste and garnetted stock) of sisal and other textile fibres of the genus Agave • Tow, noils and waste (including yarn waste and garnetted stock) of coconut • Tow, noils and waste (including yarn waste and garneted stock) of abaca (Manila hemp or Musa textilis Nee • Tow, noils and waste (including yarn wasteandgarnetted stock) of ramie and other vegetable textile fibres, not elsewhere specified or included • Waste (including noils, yarn waste and garnetted stock) of man-​made fibres - of synthetic fibres - of artificial fibres 594

Negotiations for Protection against Chemicals and Wastes

• Worn clothing and other worn textile articles • Used rags, scrap twine, cordage, rope and cables and worn out articles of twine, cordage, rope or cables of textile materials - sorted - other B3035 Waste textile floor coverings, carpets B3040 Rubber wastes The following materials, provided they are not mixed with other wastes: • Waste and scrap of hard rubber (e.g., ebonite) • Other rubber wastes (excluding such wastes specified elsewhere) B3050 Untreated cork and wood waste: • Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets or similar forms • Cork waste: crushed, granulated or ground cork B3060 Wastes arising from agro-​food industries provided it is not infectious: • Winelees • Dried and sterilized vegetable waste, residues and byproducts, whether or not in the form of pellets, of a kind used in animal feeding, not elsewhere specified or included • Degras: residues resulting from the treatment of fatty substances or animal or vegetable waxes • Waste of bones and horn-​cores, unworked, defatted, simply prepared (but not cut to shape), treated with acid or degelatinized • Fish waste • Cocoa shells, husks, skins and other cocoa waste • Other wastes from the agro-​food industry excluding by-​products which meet national and international requirements and standards for human or animal consumption B3065 Waste edible fats and oils of animal or vegetable origin (e.g., frying oils), provided they do not exhibit an Annex III characteristic B3070 The following wastes: • Waste of human hair • Waste straw • Deactivated fungus mycelium from penicillin production to be used as animal feed B3080 Waste parings and scrap of rubber B3090 Paring and other wastes of leather or of composition leather not suitable for the manufacture of leather articles, excluding leather sludges, not containing hexavalent chromium compounds and biocides (note the related entry on list AA 3100) B3100 Leather dust, ash, sludges or flours not containing hexavalent chromium compounds or biocides (note the related entry on list AA 3090) 595

Negotiations for Protection against Chemicals and Wastes

B3110 Fellmongery wastes not containing hexavalent chromium compounds or biocides or infectious substances (not the related entry on list A A3110) B3120 Wastes consisting of food dyes B3130 Waste polymer ethers and waste non-​hazardous monomer ethers incapable of forming peroxides B3140 Waste pneumatic tyres, excluding those destined for Annex IVA operations B4 WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANICCONSTITUENTS B4010 Wastes consisting mainly of water-​based/​latex paints, inks and hardened varnishes not containing organic solvents, heavy metals or biocides to an extent to render them hazardous (note the related entry on list AA 4070) B4020 Wastes from production, formulation and use of resins, latex, plasticizers, glues/​ adhesives, not listed on list A, free of solvents and other contaminants to an extent that they do not exhibit Annex III characteristics, e.g., water-​based, or glues based on casein starch, dextrin, cellulose ethers, polyvinyl alcohols (note the related entry on list A A3050) B4030 Used single-​use cameras, with batteries not included on list A The amendment whereby Annex IX was added to the Convention entered into force on 6 November 1998, six months following the issuance of depositary notification C.N.77.1998 (reflecting Decision IV/​9 adopted by the Conference of the Parties at its fourth meeting). The amendment to Annex IX whereby new entries were added entered into force on 20 November 2003 (depositary notification C.N.1314.2003), six months following the issuance of depositary notification C.N.399.2003 of 20 May 2003 (reflecting Decision VI/​35 adopted by the Conference of the Parties at its sixth meeting). The amendment to Annex IX whereby one entry was added entered into force on 8 October 2005 (depositary notification C.N.1044.2005), six months following the issuance of depositary notification C.N.263.2005 of 8 April 2005 (re-​issued on 13 June 2005, reflecting Decision VII/​19 adopted by the Conference of the Parties at its seventh meeting). The present text includes all amendments. 17 Note that even where low level contamination with Annex I materials initially exists, subsequent processes, including recycling processes, may result in separated fractions containing significantly enhanced concentrations of those Annex I materials. 18 The status of zinc ash is currently under review and there is a recommendation with the United Nations Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods. 19 This entry does not include scrap from electrical power generation. destined for direct reuse,20 and not for recycling or final disposal21 20 Reuse can include repair, refurbishment or upgrading, but not major reassembly 21 In some countries these materials destined for direct re-​use are not considered wastes. 22 The concentration level of Benzol (a) pyrene should not be 50mg/​kg or more. 23 It is understood that such scraps are completely polymerized. 24 Post-​consumer wastes are excluded from this entry: - Wastes shall not be mixed - Problems arising from open-​burning practices to be considered 16

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Annexure B XII –​12.2.1.2: Basel Protocol on Liability and Compensation 1999 https://​cil.nus.edu.sg/​wp-​cont​ent/​uplo​ads/​2019/​02/​1999-​Basel-​Proto​col.pdf ANNEX A LIST OF STATES OF TRANSIT AS REFERRED TO IN ARTICLE 3, SUBPARAGRAPH 3 (D) 1. 2. 3.

Antigua and Barbuda Bahamas Bahrain

4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.

Barbados Cape Verde Comoros Cook Islands Cuba Cyprus Dominica Dominican Republic Fiji Grenada Haiti Jamaica Kiribati Maldives Malta Marshall Islands Mauritius

21. Micronesia (Federated States of) 22. Nauru 23. Netherlands, on behalf of Aruba, and the Netherlands Antilles 24. New Zealand, on behalf of Tokelau 25. Niue 26. Palau 27. Papua New Guinea 28. Samoa 29. Sao Tome and Principe 30. Seychelles 31. Singapore 32. Solomon Islands 33. St. Lucia 34. St. Kitts and Nevis 35. St. Vincent and the Grenadines 36. Tonga 37. Trinidad and Tobago 38. Tuvalu 39. Vanuatu

ANNEX B FINANCIAL LIMITS 1. Financial limits for the liability under Article 4 of the Protocol shall be determined by domestic law. 2. The limits of liability shall: (a)

For the notifier, exporter or importer, for any one incident, be not less than: (i) 1 million units of account for shipments up to and including 5 tonnes. (ii) 2 million units of account for shipments exceeding 5 tonnes, up to and including 25 tonnes. (iii) 4 million units of account for shipments exceeding 25 tonnes, up to and including 50 tonnes. (iv) 6 million units of account for shipments exceeding 50 tonnes, up to and including to 1,000 tonnes.

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(v)

10 million units of account for shipments exceeding 1,000 tonnes, up to and including 10,000 tonnes. (vi) Plus, an additional 1,000 units of account for each additional tonne up to a maximum of 30 million units of account. (b) For the disposer, for any one incident, be not less than 2 million units of account for any one incident. 3. The amounts referred to in paragraph 2 shall be reviewed by the Contracting Parties on a regular basis taking into account, inter alia, the potential risks posed to the environment by the movement of hazardous wastes and other wastes and their disposal, recycling, and the nature, quantity and hazardous properties of the wastes.

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XIII NEGOTIATIONS FOR ENVIRONMENTAL GOVERNANCE AND PRACTICES 13.1  The Evolution of Environmental Governance Governance and government are not the same. Governance refers to the ‘institutions, structures, and processes that determine who makes decisions, how and for whom decisions are made, whether how and what actions are taken and by whom and to what effect.’ So, it comprises of state actions and actors like community, business, and non-​governmental organizations. Environmental governance is identical to interference that aims at transformation in incentives, information, institutions, making decisions, and behavior in environmental aspect, or a collection of regulatory processes, instruments, and groups through which the political actors influence environmental actions and outcomes. Global accords, national policies and laws, local decision-​making bodies, transnational organizations, and non-​governmental organizations are the examples through which environmental governance is achieved. Environmental is highly variable, critically imperative, and omnipresent in extent. Most of the environmental issues have technical, managerial, and behavioral dimensions. Addressing these complexities needs means, and environmental governance acts as that means that could tackle issues from local to global scales, be it scarcity, or conflicts, allocation, access, systems like air, water, land, forest, and wildlife. The term management means resources, plans, and actions that arise from the working of governance. Institutions can be formal and informal. Constitutions, policies, and laws are formal institutions whereas the cultural backdrop, social pattern, and customary powers are informal; the structures could be formal entities and organizations like decision-​making arrangements, governmental levels, private sectors, civil society organizations, and the like. Processes are ways for realizing the functions and achievements like articulation, negotiations, resolutions, making of policies and laws, dissemination of information, and so forth. Environmental governance aims to be effective, equitable, responsive, and robust. The key target of environmental governance is effective environmental governance through the maintenance and improvement of the environmental systems to continue functioning and provide ecosystem services through conservation of biological diversity including, habitats, floral and faunal species. The effectiveness is dependent on giving

DOI: 10.4324/9781003440574-15

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clear directions, harmonization, information provision, and capacity building. Directions should be precise in communicating the vision, goals, and delineating action and scope. For coordination, fixing the mandate, roles, and assigning function is necessary through a coordinating body. Diverse and integrated knowledge should be involved in planning and management decisions. There should be clear means to hold the governors responsible. This guarantees that the decrees are followed, and efficient actions are taken. The efficiency is governed by the selection of management actions and employment of public resources ensuring the compatibility of cost and actions with productivity and that the actors are reasonable. For environmental governance to be equitable, the process should be comprehensive, participatory, fair, and just, while taking decisions to produce socioeconomic outcomes. Equitable environmental governance should involve practices that are all-​inclusive in their perspectives and should be able to identify and respect the knowledge systems, ethics, cultures, and the rights of various stakeholders (including the marginalized and vulnerable). All stakeholders or their groups should be incorporated, represented, and engaged in the collective decision-​making processes. This in turn promotes power-​sharing, democratically controversial decisions, and maintenance of dignity and weight in the making of plans and processes with effective socio-​economic outcomes, fair distribution of the burdens of conservation and environmental management along with sharing and assigning the rights and responsibilities to be compatible to situations. Responsive environmental governance should have the adaptability to a wide range of settings, to the altering environmental and social circumstances, and comprises learning, presumptions, adaptability, novelty, and elasticity. Institutional and social learning is accomplished with continuous surveillance, assessment, communiqué, dialogue, and expression of governance on society and ecosystem. Collective memory and adaptability are improved through sharing of experience, learning, record keeping, and community practice. The ability to handle disturbances is enhanced by prediction, considering alternatives, analyzing, and scheduling for acute and chronic outcomes. Novel ideas and concepts with high-​risk tolerance encourage experimentation with new ideas; documenting the achievements and failures also facilitates effective management performance. Robust environmental governance is lawful, well associated and correlated, nested, and polycentric. Such types of institutions survive over the longer term, keep up with performance, and can survive with any type of disturbance and crisis. The actors are connected both horizontally and vertically and guided by a collective vision. Robust networking is achieved by connecting the organizations. Such networks promote partnerships, and allow swapping and dissemination of knowledge and information. The tasks and accountability extend to the lowest possible level which facilitates self-​organizing in nest governance. In a polycentric approach, there are semi-​autonomous decision-​making and action centers at several points, and at various scales across jurisdictions to achieve the common goals. There are four common contexts imperative to environmental governance: globalization, decentralization, market, individual-​driven instruments and governance across scales. Globalization refers to interconnectedness in the world in terms of environmental, social, and economic issues and is characterized by multiplicity, variation, interdependency, and flow of influence and materials. It can have both positive and negative outcomes. Economic globalization can have far-​reaching effects on the environment at local, regional, and global levels. It can integrate distant markets, increase demands, increase the utilization and exhaustion of natural resources, amplify waste generation, and moves capital to nations 600

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and places with relaxed environmental standards. Most of the free trade is linked to poor environmental requirements and inadequate protection for implementation. The environmental actions of individuals in one place can bear intimidation and opportunities for individuals located far away. It may damage the resources of some nations and bring about socio-​economic inequalities. It might shift the powers to different actors and complicate the efficacy of state action. Globalization also led to the establishment of new organizations and systems. It facilitates free information flow, technology transfer, collaboration, and the like. It boosts in-​depth partnership and cooperation. Let’s take the example of social globalization in the form of social movements by the international environmental groups that can bring about changes across borders. The groups interact, influence, and organize to become more relevant non-​state actors like the NGOs, transnational networks, epistemic communities, and so forth. Globalization is needed to address global issues like climate change, ozone depletion, acid rain, and the like, as they are not only one country’s problem. Contemporarily, several changes in environmental governance are also taking place at sub-​national levels. People have lost faith in the state to be a trustworthy guardian of nature and this notion itself has culminated in the development of small players in this field of governance. Larger integration of economic activities across national boundaries and monetary crises result in economic pressures on the state in many unindustrialized nations. They lack adequate resources for environmental management. There are efforts to include the lower levels of administration, and social groups, into the formalized process of environmental governance. Many of the communities and small-​scale associations have united for resource management. This has reaped the intellectual path for co-​ management, community-​ based resource management leading to environmental policy decentralization. Since the mid-​eighties, there has been a development of decentralized authority to govern forests, irrigation, inland fisheries that became quite common in the 21st century. Decentralized environmental governance has some advantages. Healthy competition between the substantial units yields greater efficiency. People affected by governance come much closer to decision making and feel important. Decision-​makers get more specific information about time and place regarding natural resources. Decentralization can diffuse numerous points of leverage throughout the administration and make it obtainable to the central decision-​ makers. Hence decentralization can work compatible with the centralized authority with collective decision making being formally included with a clearcut demarcation of the spheres of authority. The fall of state control pushed the market and voluntary incentive-​based instruments to develop. Market and agent focused instruments help mobilization of the individual incentives in support of environmentally positive consequences by carefully calculating and modulating the costs and benefits linked to specific environmental strategies. The major strength of this instrument depends on the use of market exchanges and incentives to persuade environmental conformity. Examples for such are the energy tax, trade permits, ecolabelling, and certifications that were enforced in many western countries in the early sixties. Over the years, other nations have also adopted and refined a number of eco-​taxes and adopted distinctive policy measures to allocate the revenues that are collected from such taxes. Agreements are negotiated voluntarily to comply with environmental targets that can be minimization of emission, decrease in waste production, or achieving high energy efficiency. Industries and corporations generally are in pursuit of such targets strategically to block legal rules. Certifications and ecolabelling are voluntary agreements where the manufacturer assures the meeting of environmental standards related to production and 601

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marketing activities. The success of such instruments is dependent on the internalization of positive environmental preferences amongst consumers, citizens, and other stakeholders. Most of the time, the industries and corporations are reluctant to adhere to the environmental standards because of the expenses incurred as compared to the case where environmental standards are absent. The multiscale behavior of environmental issues, namely, spatially, temporally, and socio-​politically, contributes to major complexity in environmental governance. The separation of the cause and effect of environmental issues across scales creates significant concerns about the disparate allocation of the costs and benefits of environmental issues. For instance, the climate change problem was basically due to GHG emissions from the developed world, but it will still harmfully affect the countries of the global South that have low emissions. Transboundary issues like acid rain, ozone layer depletion, water issues throw challenges both to design and implementation of solutions. Hence for such issues, international regimes are the possible solution. At the socio-​political level, cross-​scalar environmental issues impact, and are impacted by organizational decisions taken at local, subnational, national, and transnational levels. Multilevel characteristics of environmental issues are commonly tackled by designing governance systems across social levels and organizational aggregation. Multilevel governance faces fragmentation, which is a criterion for sectoral decision-​making. Both public-​private systems in multilevel governance helps to increase the representation of diverse interests that are impacted by environmental issues. With time, cross-​scalar governance is tailored by the non-​state players like the NGOs, transnational environment groups, intergovernmental agencies, epistemic communities, and the like. National authorities are greatly concerned about design and implementation efficiency in environmental governance and are generally under financial pressure. Hence, they might choose to partner with the market sector. From the funding point of view, a partnership between the civil society and community with the private sector might emerge attractively. In the context of collaboration, democratic participation and more equitable consequences are welcome. But the effectiveness of environmental governance also needs knowledge input about the limitations on human activities that depends on resource over-​exploitation with increasing pollution. This chapter deals with a few negotiations that act as instruments for environmental governance, such as the EIA, strategic environmental assessment, funds, access to public information, and so forth. The environment impact assessment (EIA) is claimed to be one of the most successful policy innovations of the 20th century that is practiced in more than a hundred countries. With the revision of the National Environment Policy Act (1969) in 1981 by the United States Agency for International Development (USAID), EIA evolved as a compulsory regulatory procedure. The process was also implemented in several developed nations like Canada, Australia, New Zealand, and the like. Amongst the developing countries, Columbia and the Philippines were the earliest ones to implement. It was only in 1989 that the World Bank adopted EIA for major developmental projects and the borrower is obliged to undertake EIA under the supervision of the World Bank. Further, the provisions developed at the 2002 WSSD were incorporated into the UNECE Convention on EIA. EIA is a systematic and technical tool to assess the predictive impacts of a project, program, plan, or policy on the environment so that there is a scope for modification and mitigation of harmful impacts. The objective is to give information to the decision-​makers about the 602

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project or program in advance so that correct decisions can be taken without jeopardizing the environment and the citizens. It is not a science, but it integrates many sciences in an inter-​disciplinary approach to predict and evaluate the impacts that would have occurred with mitigation measures. A rapidly growing population, increasing consumption, incompatible decisions for resource usage, which are completely based on economic considerations, are degrading both the structure and function of our ecosystems more and more. The need to stimulate public sensibility to environmental and developmental issues was pressing for finding solutions to the problems and promoting a sense of individual environmental responsibility towards achieving sustainable development. With responsibility comes motivation and commitment. But environmental literacy is the key and only weapon towards evolving responsibility, motivation, and commitment. Literacy will help to spread awareness that can strengthen our values, attitudes, and actions, harmonizing with sustainable development. Environmental education for all at all levels is a must for all and must be based on proper scientific information from natural, social, and behavioral sciences, and consider aesthetic and ethical values. Training, cooperation, and discussions can contribute towards helping it. This in turn requires active public participation, getting involved in environment and development projects and problems, giving views and opinions about those. While awareness boosts our understanding of the interrelationship and interdependency between environment and living entities, training offers and equips us with good human practices and a flexible adaptable workforce to find solutions to the ever-​increasing problems. Public participation by way of a public hearing allows people the opportunity to express their views and concerns who can be directly or indirectly impacted. Public participation is a more interactive, direct, and intensive mode of involvement. It makes the process of EIA more transparent and ensures the project to be beneficial to the local people. In some cases, opinions and views of the local people are also considered as public consultation. Presently, planners, developers, managers, and the like, are all looking for ways and means to restructure the global economy with various developmental plans and programs in various sectors. Development is always at the expense of resource use. The Strategic Environmental Assessment (SEA) enables us to recognize the risks of immediate benefits from economic development that are connected to major environmental issues in the coming years. It assists in a better understanding of the interconnectedness and interdependence of the ecological, social, and economic factors. The environmental impacts linked to policy reforms are mostly indirect, occurring slowly over a long time and hence difficult for precise evaluation. SEA is frequently carried out as a component of formulating a development policy ensuring the improvement of the sustainability of that policy or plan. The term ‘Strategic Environmental Assessment (SEA)’ was coined by Woods and Djeddour in the late 1980s in the interim report to the European Commission. However, the US NEPA stood as the world’s first EIA and SEA legislation. Thereafter, SEA was followed by Holland, Australia, New Zealand, Canada, Germany, and France for the review of development plans. SEA is enforced through law in the Netherlands, New Zealand, Hong Kong, China, Taiwan, South Korea, Vietnam, and Indonesia. Later the World Bank, OECD, and UNDP promoted SEA as an environment assessment tool, especially in developing countries. To facilitate sustainability in development, the SEA application underwent a global expansion. Formal provisions of SEA increased from 20 to 60 countries (all 28 EU countries) in the past decade with laws, policies, directives, or regulations. Currently, it is practiced in over 120 nations. Canada and Denmark apply SEA with administrative and cabinet orders. 603

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The context of SEA is also included in the Nordic Environmental Protection Convention 1974, along with the Espoo Convention 1991, and Kiev SEA Protocol 2003. Holland implemented SEA in 1987 as a requirement to formulate industrial and waste treatment policies. Canada started in 1990 and applied in the energy, land-​use, urban development, trade, waste sectors. SEA became obligatory in 35 out of 46 ECE countries after the EU SEA Directive of 2001 and WSSD 2002. SEA is used in China, Korea, Hong Kong, and Taiwan mostly for regional development plans. According to the World Bank report of 2012, the bulk of SEAs was carried out in India followed by Pakistan and Nepal. Most of these SEAs are conducted for the transport sector (28%), water resource sector (16%), and energy sector (16%). In Asia, it is mostly a non-​statutory voluntary practice. Strategic Environmental Assessment (SEA) is defined as ‘a systematic process for evaluating the environmental consequences of proposed policy, plan or programme initiatives in order to ensure they are fully included and appropriately addressed at the earliest appropriate stage of decision-​making on par with 2 economic and social considerations.’ A process to analyze and address the environmental and health impacts of the policies, plans and programs proposed. It can be applied at all stages of decision-​making at the local, regional, and national levels to achieve sustainable development. Strategic Environmental Assessment deals with issues at their source rather than treating them as symptoms. The Strategic Environmental Assessment is said to afford better environmental protection and management along with achieving sustainable development. It adds strength to the policy and plan-​making process. It improves environmental governance and reinstates people’s trust and confidence while decision-​making. Environment Impact Assessment utilizes mitigation as a corrective path, emphasizing the reduction of undesirable impacts. Strategic Environmental Assessment focuses on reducing the need to mitigate through the identification of alternatives that will evade harmful impacts (see Figure B XIII-​13.1-​1). Strategic Environmental Assessment streamlines decision-​making by considering and incorporating the social and economic issues at various stages of a decision and various levels. Thus, SEA aims to manage the total environmental

Figure B XIII-​13.1-​1 Approaches in Strategic Environmental Assessment.

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impact, permit early consideration and avoiding/​preventing impacts that are not acceptable to society and lead to irreplaceable loss, thus making projects more responsive to the plan, policies, or programs. The Environment Impact Assessment and Strategic Environmental Assessment are considered to be complementary. The Environment Impact Assessment emphasizes developmental projects like highways, power stations, water resource-​based projects, and industrial facilities to reduce environmental impacts. Strategic Environmental Assessment stresses more the opportunities and constraints of the environment for development and sustainable development collectively so as to evaluate the projects to influence their planning, development, and operation, and it also influences the choice between alternative packages of development. In most developing countries, EIA is a regularly practiced tool and is an overriding instrument to access environmental impacts and take developmental decisions. Both the Environment Impact Assessment and Strategic Environmental Assessment are a part of the decision-​making process and legally equivalent routes towards project authorization but are different in several ways. SEA is more flexible and rigorous and is used for enabling sustainable development by informing continuous decision-​ making over time. The principles of both Environment Impact Assessment and Strategic Environmental Assessment are the same, emphasizing environmental, social, and economic outcomes and several aspects of EIA and SEA do overlap. Many consider SEA to be a variant of the EIA while others take SEA as a novel and distinct instrument. To some, SEA is a scaled-​up or super-​charged EIA. SEA considers a broader view than EIA and looks at regions and sectors. It needs less detailed information than the EIA. Being proactive provides enlightenment about development schemes rather than reacting to them. In EIA, description can be with or without a project option. SEA is flexible and encourages the consideration of alternatives to accomplish the desired level of environmental quality. Policies, plans, and programs (PPP) are formed at higher levels than projects, and SEA accesses the choices upstream of the projects in the arena of PPP, thus possessing the capability to persuade and notify the chain of command of strategic tools. While the EIA gives answers to ‘how,’ SEA answers to ‘why,’ ‘what,’ ‘when,’ and ‘where’ questions. Table B XIII-​13.1-​1 below points out the significant differences.

Further Reading 1. Rajvanshi, A. Strategic environmental assessment. India: Wildlife Institute of India, Dehradun, 2015. 2. Dutta, B. K., and Bandyopadhyay, S. Environmental impact assessment and social impact assessment-​decision making tools for project appraisal in India. International Journal of Human and Social Sciences, 5(6), 350–​355, 2010. 3. Davidson, D. J., and Frickel, S. Understanding environmental governance: a critical review. Organization & Environment, 17(4), 471–​492, 2004. 4. Akyüz, E. The Development of Environmental Human Rights. International Journal of Environment and Geoinformatics, 8(2), 218–​225,2021. 5. Jacob, K., and Jänicke, M. Environmental Governance in Global Perspective: New Approaches to Ecological and Political Modernization. Available at SSRN 909500, 2006. 6. Jänicke, M., and Jacob, K. Environmental Governance in global perspective.New Approaches to Ecological and Political Modernization. Berlin: Forschungsstelle für Umweltpolitik. Freie Universität Berlin, 2006. 7. Vatn, A.Environmental governance–​from public to private? Ecological economics, 148, 170–​177, 2018.

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Negotiations for Environmental Governance and Practices Table B XIII-​13.1-​1  Comparison between Environment Impact Assessment (EIA) and Strategic Environmental Assessment (SEA)

Nature of tool

Nature of action Perspective Objectives Stages in process

Environment Impact Assessment

Strategic Environmental Assessment

A technical instrument used with technical and geographic specifications. Immediate and operational Short term and medium-​term Target good design Takes at the end of design cycles of the project

A political instrument based on concepts.

Application Approach

Within a sector. A reactive approach –​at the end of the decision-​making process.

Field Planning requirement Scope

Localized, site-​specific; Related to a particular project. restricted Smaller range of activities

Emphasized area

Mitigation of harmful impacts

Process

A refined process with clear beginning and endpoints

Consideration of alternatives

Limited, collective impacts rarely addressed

Mitigation

Of prime importance, little consideration to avoid /​avert negative impacts. Small number Implemented after the clearance is granted

Consultation Implementation

Follow up

Carried out through project-​ specific environmental management plan

606

Visionary and conceptual Long term Targets good strategy Takes place at the earlier stages of the development of the design cycle. Sectoral and cross-​sectoral. A proactive approach –​at earlier stages of decision–​making process. Relates to area, regions, or sectors of development. All-​inclusive Larger range of activities in a wide area Opportunities and constraints of the environment to development for achieving and sustaining required levels of environmental qualities. Less detailed information, is collated largely from secondary sources like reports, data, plans, and policies. Wide range of alternatives, collective effects of multiple developments against projected trends avoid /​avert negative impacts primarily. A large number of individuals Not adopted if found undesirable; upon adoption, enforcement is manifested through downstream development in tune with PPP. Through preparing and applying the strategic environmental management programs explicit to  a specific policy, plan, or program.

Negotiations for Environmental Governance and Practices

13.2  Important Negotiations Most countries have sanctioned and also embraced the agenda of environmental laws; they incorporated the right to a healthy environment. But often such implementation stays behind the environmental legislation. We can say that there exists an implementation gap. Complex human interactions both inside and outside are involved that may give rise to conflicting situations. Occasionally this might inflict negative externalities on the quality of the environment. Enhancement in governance may improve environmental outcomes when good governance practices dominate the structures of governance at times; enhancement of governance may also deteriorate environmental outcomes when bad governance practices dominate the structures of governance. The Environment Governance Indicators (EGI) for Latin America and the Caribbean serve as a tool for quantitative assessment and the first-​ ever endeavor to deal with and quantify the environmental governance practice in ten countries. The countries are Argentina, Brazil, Costa Rica, the Dominican Republic, Uruguay, Jamaica, El Salvador, Peru, Bolivia, and Columbia. The EGI uses eleven primary indicators such as i) regulation & enforcement, ii) civic engagement, iii) fundamental environmental and social rights, iv) access to quality of justice, v) air quality and climate, vi) water quality and resources, vii) biodiversity, viii) forestry, ix) oceans, seas, and marine resources, x) waste management, and xi) extraction and mining. Governance stands out as an economic, political, and administrative authority for the management of any nation’s affairs at all levels implemented through mechanisms, processes, and institutions. People voice their opinions and exercise their lawful rights with the aid of implementation methods. Governance is not government related only; rather it extends to society and institutions. Environmental governance gained impetus following the 1972 UNCHE, thereafter; many national and global level policies and agreements were formulated to ensure effective environmental governance to safeguard the environment along with its conservation. The most notable ones will be dealt with in this section.

13.2.1  Convention on Environment Impact Assessment in a Transboundary Context, 1991 Espoo (Espoo Convention, 1991) The wider the extent of issues that are covered under international agreements, the more complicated the situations that are likely to occur. This is due to the unprecedented increase in the overlapping international agreements and even an increase in the overlapping of the procedural regulations in the control of the environment. The Convention was released for signature in Espoo Finland in 1991 and afterward implemented in 1997 and obliges the contracting Parties to measure the potential environmental impacts of particular projects at the early stages of planning along with notifying and consulting other states prior to decisions being taken. This institutionalized Convention on the process of transboundary EIA under the United Nations Economic Commission of Europe (UNECE) has been ratified by 44 states and the European Union. The Convention was followed by two amendments, one in 2001 and the other in 2004. The prior informed consent in Bamako Convention permits the African nations to safely dispose of such wastes accepted from African neighbors. Article 1 provides the definitions of all the necessary terms and definitions used in the Convention. In Article 2, the Convention calls for cooperation and necessary legal, administrative, and additional measures to be taken to avert, decrease and regulate the

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transboundary environmental impacts of the planned activities listed in Appendix I. (See Annexure B XIII –​13.2.1 for details) The article allows public participation in the impact assessment procedures, and preparation of the EIA documents as described in Appendix II. The obligations of this Convention do not intend to deflect the Parties from implementing their national legislations and other administrative provisions and practices. Parties can decide on the activities not listed in Appendix I whether to treat or not. General guidelines to identify the criteria for determining the significant harmful impact of activities excluded in Appendix I is given in Appendix III. In Article 3, the Party of origin intends to guarantee adequate and effective consultations under Article 5 about the proposed activities in Appendix List I and send notifications to the Parties, which it may consider to be likely to be affected at the same time it informs its public. The affected Party is required to send a response within a specified time to acknowledge the receipt of the notification, and also its intent to participate in the EIA procedure. In case the affected Party expresses its wish to not participate, the privileges of the Party of origin to undertake or not to undertake the EIA is not prejudiced. Parties are permitted to submit questions to an inquiry commission as per Appendix IV. As per Article 4, the Party of origin should submit the EIA documents containing the information described in Appendix II. The affected Party should also receive a copy from the Party of origin. Both of the Parties should be making necessary preparations for the distribution of the documents to the authorities and to the public. Article 5 calls for immediate consultations without delay on the mitigation measures and promising substitutions to the planned proposal. Article 5 Ideals with the final decision that should be based on the outcome of the impact assessment. The Party of origin should provide the affected Party with the concluding result with all reasons and considerations. The Convention in Article 7 also provides for the post-​project analysis and research programs for improving the qualitative and quantitative methods of impact assessments. The post-​project analysis should include surveillance of activity with a view to achieving the objectives given in Appendix V. Article 8 entitles the Parties to existing or fresh bilateral or multilateral arrangements for implementing their obligations based on the guideline given in Appendix VI. Article 9 emphasizes particular research programs that should lead to improved qualitative and quantitative means of evaluating impacts, improve understanding of cause-​effect relationships, improved analysis, surveillance, and so forth, for the proposed activities. The appendices forms an integral part of the Convention as stated in Article 10. The subsequent Articles 11 to 20 deal with Meeting of Parties, Right to Vote, Secretariat, Amendments, dispute settlement, signature m ratification, enforcements, withdrawal and authentic texts. The Convention provided a tangible outline on the procedural regulation of potentially harmful activities to the environment and is rightly considered as one of the progressive multilateral agreements. The Meeting of the Parties (MOP) has adopted several major decisions related to its institutional framework. The ECE handles the secretariat work. The Bureau of the Convention coordinates the work related to the advancement of the systems of the Convention between the meetings of the Parties. The Meeting of the Parties helped by the Working Group on Environmental Impact Assessment and the Implementation Committee that also prepares the report about respective cases of non-​acquiescence.

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13.2.1.1  UNECE Protocol on Strategic Environmental Assessment (Protocol on SEA) 2003 The Protocol on Strategic Environmental Assessment, also known as Kyiv Protocol, is considered an important instrument for sustainable development. The Parties to the Protocol on Strategic Environmental Assessment are committed to promoting sustainable development based on Principles 4 and 10 and Agenda 21 of 1992 UNCED, the 1999 Ministerial Conference on Environment and Health, and the 2002 WSSD. This Protocol was approved in 2003 by an extraordinary meeting of the Parties to the Espoo Convention during the ‘Environment for Europe’ Conference. It was enforced on 11 July 2010. The depository of the Protocol is the Secretary-​General of the United Nations. The Parties kept it in mind to draft a legally binding Protocol on the SEA based on the decision taken at the Espoo Convention. The Parties recognized the significant role of Strategic Environmental Assessment in the preparation and adoption of plans, programs, policies, laws, along with the principles of EIA to strengthen the analysis of the major environmental impacts. The Parties also recognized the importance of accessibility to information, community involvement in decision-​making, and access to justice of the 1998 Aarhus Convention in contributing to the health and wellbeing across the generations to be an integral part of the SEA. The objective of this Protocol (Article 1) centers around thorough detailing and considering environmental and health concerns in drawing out plans and programs, considering such issues in preparing policies and legislation, development of transparent and effectual procedures for SEA and involving people in the SEA, and finally integrating these means into measures to strengthen sustainable development. Article 2 provides with necessary terms and their definitions. Article 3 underlines the general provisions in which Parties are to ensure that they take adequate legal, regulatory measures for the implementation of the provisions, along with the offering of help by the authorities to the people. The people exercising their rights as per the provisions must in no way be harassed, penalized, or mistreated in any way for their participation. Article 4 deals with the field of application of plans and programs and the Parties make sure about conceding the Strategic Environmental Assessment for plans and programs with probably major environmental and health impacts in the fields of agronomy, fisheries, forestry, energy sector, mining industries, transportation, waste management, water management, telecommunications, tourism industries, township planning, regional development, and projects mentioned in the Annex I list and various other projects in Annex II that need EIA under national laws. The Party has its discretion to decide on the Strategic Environmental Assessment for the above-​mentioned programs that involve small areas locally and minor modifications. The Party decides on SEA on the basis of Article 5 for projects other than what is mentioned above. Any defense-​related programs or civil emergencies or financial budget programs are excluded from the Protocol. As per Article 5, the Parties are to ascertain the extent of possible environmental and health impacts of the plans and programs on a case by case basis or by the specification of the types of plans and programs or by a combination of both based on the criteria stated in Annex III. (For detailed reference go to Annexure B XIII –​13.2.1.1) Environmental and health authorities’ expertise is needed before any decisions. Article 6 provisions for determination of the necessary information for environmental reporting as well as considering the opinions of the environmental and health authorities and concerned public in preparing the same.

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Opportunities for public participation will have to be provided. Article 7 gives the details of environmental reporting. Article 8 details the public participation. TheParties are to ensure timely public availability along with reasons explaining no requirement of SEA through notifications or by electronic media. People and other related NGOs should get ample chances for venting their views on the draft plan and environment report. The details of consultations with environmental and health authorities are given in Article 9. The Protocol provides for transboundary consultations in Article 10. Article 11 emphasizes the adoption of a plan on the basis of conclusions, prevention and mitigation plans as well as the comments in the environmental report. Article 12 outlines the monitoring details of the implemented plans and programs. An environmental report needs to be prepared that will identify, describe, and evaluate key environmental and health impacts along with judicious alternatives. The report should comprise of the present knowledge and assessment methods, detailed plans and programs, public interests, and relevant information for the decision-​making body. The Parties are required to ensure that all relevant concerns are integrated to the required extent in preparing the proposals for policies and laws likely to have environmental and health impacts.

13.2.1.2  The Indian Perspective After the Stockholm Conference of 1972, the government of India establishes the National Committee on Environmental Planning and Coordination and since 1976–​77 the Planning Commission has directed the NCEPC under the Department of Science and Technology (DST) to review the environmental impacts of the river valley projects. All projects that required approval from the Public Investment Board were made to go through the EIA. The responsibility was transferred to the Department of Environment (DoE) from 1980 and thereafter to the MoEF from 1985. The Bhopal Gas Tragedy of 1984 pushed the enactment of the Environment Protection Act in 1986 that had a provision for EIA in it. The EIA notification by the MoEF was issued in 1994 under the EPA in 1986 making EIA mandatory for projects (listed in Schedule 1 of the notification) either new or going for expansion and modernization. The 1994 EIA notification was amended 12 times before a new notification was issued in 2006. The process which was centralized before is now decentralized. The list was revised to bring small projects within the ambit of the EIA. Even specific permissible activities under the Coastal Regulation Zone Act 1991 need to go through the process of EIA. The process of EIA, which was mostly administrative then also rests on the statutory framework. The requirement of the public hearing was introduced in 1997. The MoEF serves as the apex body. In the center, the organizations are the Impact Assessment Agency (a wing of the MoEF), the regional offices of MoEF, and the Central Pollution Control Board. The IAA is the principal body authorized to grant or reject clearance. They seek expert advice from a specific expert committee called the Expert Appraisal Committee (EAC) depending on the type of project. Earlier there were six RO of the MoEF with New Delhi as the head office. Recently it has been expanded into ten regional offices at Bangalore, Bhopal, Bhubaneshwar, Lucknow, Shillong, Chandigarh, Ranchi, Chennai, Dehradun, and Nagpur. The CPCB is a research organization assisting the IAA but has no authority for granting the environmental clearance (EC). For state-​level 610

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clearance, the State level Environment Impact Assessment Authority (SEIAA)under the DoE is the principal body. They seek advice and expert opinion from the State or Union Territory level Expert Appraisal Committee (SEAC). The SPCB also helps the SEIAA in the clearance process. Additionally, they have the responsibility to conduct public hearings for all category projects. Since the enforcement of the 2006 EIA notification, the process of EIA in India primarily has four stages: screening scoping, public hearing, and appraisal. Projects are categorized into Category A and Category B. Category A projects require prior Environmental Clearance from the IAA based on the recommendation of the EAC. Category B is subdivided into B1 and B2. B1 projects get their clearance from the SEIAA concerning some conditions while B2 is exempted from the purview of EIA. Category B is to be treated as category A in absence of a duly constituted SEIAA/​SEAC. Further, if a Category B project is located in whole or in part within 10 km from the boundary of the protected areas, critically polluted areas as stated by the CPCB, eco-​sensitive areas, or international or inter-​state boundaries, it is to be treated as a Category A project. Based on its location, a project might also require the clearance of the National Board of Wildlife (NBWL), Forest Department, Airport Authority, and the like. Scoping defines the study area (for primary data) for the project. The guidelines for specific projects are given in the EIA manual. The EAC/​SEAC conveys the terms of reference (ToR) to the proponent/​applicant within 60 days, failing which gives the privilege to the proponent to finalize his own ToR. The approved ToR is displayed on the website of MoEF. The ToR remains valid for two years, extendable by another year. But primary data cannot be over three years old. The proponent along with the consultant as the case may be, needs to submit the required number of copies of the draft EIA Report, or summary of the EIA report accordingly. The law requires people to be involved including the locally affected people and other stakeholders. So, all projects undertake public hearings except: i. Modernization of irrigation projects ii. All projects or activities located within industrial estates or parks approved by the relevant authorities iii. Expansion of road or highway projects not involving any further acquisition of land iv. All projects or activities concerning national defense and security or involving other strategic considerations v. All Building /​construction projects/​area development projects and townships vi. All Category ‘B2’ projects and activities. In cases, the public hearing process could be exempted by the EAC/​SEAC. Whilst the public hearing is conducted on-​site, public responses are also invited in writing. After the hearing process, necessary changes are made in the draft EIA and environment management plan. The final EIA thus prepared along with public hearing proceedings, its video recording, layout plan, and feasibility report is submitted to the concerned authority for appraisal. The documents are scrutinized and completed within 60 days of the receipt of the documents. EAC/​ SEAC then make any necessary suggestions. The final decision regarding EC is conveyed within 45 days of receiving the recommendations. The projects after clearance enjoy validity for a given time depending on the type of project. Monitoring is done both in the construction and operating phase. Any changes suggested are to be made. The ROs of 611

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the MoEF has a role to play in this part of the process. and half-​yearly compliance reports are to be submitted to the authority. A new notification was issued in 2016 that seems to give random permissions for building and construction in the name of the ‘Housing for All by 2022’ program. But upon receiving the petition from the Society for Protection of Environment and Biodiversity, the National Green Tribunal (NGT)stopped the Ministry from acting upon the new notification. A new draft EIA Notification was issued in 2020. Several activities were exempted from public consultation and many projects were included in the B2 category. The notification also formalized ‘post-​facto’ clearances. The notice period for public hearings was reduced from 30 days to 20 days. The proponent needs to submit one compliance report/​year instead of two. The 2020 notification is highly criticized as it is diluting the already weak environmental protection system in India. While the EU has modified its EIA process in tune with the Aarhus Convention, the Government of India is relaxing the system. Environmental rights are deeply connected with human rights and vice versa and achieving sustainable development can only be possible through involving all the stakeholders, connecting government accountability with environmental protection, and more and more interactions and collaboration between the people and public authorities.

Case Study 13.1  The Bystroe Canal Case The Danube River flows through ten states and reaches the Black Sea through its extensive delta system, which is used both for maritime navigation and inland navigation. The Bystroe Canal rises from the terminal part of the Kilaya arm that falls within the jurisdiction of Ukraine. The Kilaya branch of the Danube delta links the Izmail and Kilaya ports to the Black Sea. The Bystroe Canal hasbeen an issue of discussion and conflicts between the two countries of Ukraine and Romania since the inception of dredging works in 2004. The canal is strategically crucial to Ukraine as it forms the core and fastest transportation network for accessing the domestic docks of Izmail and Kiliya of the Danube. On the other hand, the Romanian government claims that construction and maintenance of the Bystroe Canal would have a severe transboundary environmental impact on the entire deltaic region. According to the Belgrade Convention, the division of the Kiliya branch running between the Izmail and Remi along with the Sulina Canal is a maritime navigational route while the Saint George Canal on the Romanian side was regarded as an inland waterway. Another canal through the Prorve Branch ceased to be navigable by 1993. Its obliteration raised concern for designing a new deepwater route on the Ukraine side. The main concern was the Ukrainian ports that were only linked to the Black Sea via the Sulina Canal lying in Romania. Transportation, through this route, consumes more time and incurs more cost. By linking the Kiliya Branch to the Black Sea, the government of Ukraine seeks improved navigation and realizes that the Bystroe Canal Project is the key to the creation of a sustainable shipping industry. The Delta-​Lotsman Company submitted the first feasibility study report along with the EIA report of this project to the government in 2001 intending to develop the ‘Danube-​Black Sea Deep Water Navigation Route.’ A revision to the first was provided with several alternatives to this project in 2002, where the Bystroe Canal Project was the best option. As per Ukraine,

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Romania was informed about the approval of the project. The Bystroe Canal Project by Ukraine was planned in two phases: Phase I for navigating vessels up to a draught of 5.85 m and Phase II for vessels up to a draught of 7.2 meters. Phase I activities started in 2004 and were opened the same year for navigation. The activities undertaken involved deepening the sandbar section, dredging a portion of rifts from Izmail to Vylkovo in the Kiliya arm, and construction of the portion of the retaining dam into the Black Sea. Large ships started using the route following completion, but it ultimately became unsuitable in 2006 due to siltation. Dredging began later that year, and full operations resumed in 2007. In terms of Phase II activities, a new environmental authorization process commenced in 2005 that had to consider the dredging of rifts upstream, the disposal locations, and the completion of the retaining dam. The Ministry of Environment in Ukraine rejected the process in 2005 and later sanctioned it after revisions in 2006. The phase activities wanted further improvement and a deeper route with a draught of 7.2 m, including safe hydraulic engineered structures for the protective passage for seafaring traffic. The Bystroe Canal, as realized up to Phase I, stretched a length of 3.3 km, bottom width 85 m, and depth 7.65 m. This involved nearly 1.8 million cubic meters of dredged material disposal in the Black Sea as per the Espoo Inquiry Commission Report 2006. Rift dredging along the KiliyaBranch involved a volume of 1cubic meters of dredged material deposition into the Black Sea as per the Espoo Inquiry Commission Report 2006. Construction of the retention dam meant for reducing siltation is in operation. No further dredging occurred after 2007 which made the depth much shallower with the depth at the mouth varying between 2.5 mand 3 m in 2015. The dispute between Romania and Ukraine dates back to 2004 when Romanians raised concerns about transboundary environmental impacts on the delta region. Romania filed an international complaint against Ukraine’s sole decision to continue working in the protected areas of the Danube Delta and demanded the enactment of the Espoo Convention. It should be noted that for transboundary impacts, the Espoo Convention needs the proponent nation to follow specific procedures along with international consultation and impact assessment. Romania’s action provoked bilateral dialogue and stalling of the Phase II work of the Bystroe project. Following Romania’s objection, the Espoo Inquiry Commission recognized major environmental impacts related to hydrology, reparation of water flow amongst three different deltaic mouths, sedimentation, turbidity, quality, habitat loss, and biodiversity loss. The Danube deltaic environment has been affected for more than a hundred years by both natural and manmade activities. The present water flow indicates a marked increase via the Tulcea System (includes the Sulina Canal) that lies in Romania, coupled with a decrease in the Kiliya system of Ukraine in the border region. The surveillance report stated the appearance of new floral and faunal species in the Danube Biosphere Reserves. Approximately 60 new floral species have been seen in the last 20 years, the abundance of which is mostly governed by the changing water flow. The dredging between Bystroe and the Starostambulske arm led to the loss of floodplain habitat for fish and birds. Romania, on the other hand, apprehended high siltation in the Sulina Canal mouth, increased discharge of toxic substances in the water, deterioration in the water quality, more dredging activities for maintenance to affect flora, and fauna. They specifically point out the impact on the Sturgeon populations that were disregarded by Ukraine. It was

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quite unreasonable to judge based on two reports. The Romanian report suggested a multiplicity of causes for adversities in the Danube basin with the Bystroe Canal as one of the causes. Various organizations have suggested joint monitoring, and information and data sharing as a solution to the crisis. Debates were raised about the Bystroe Project violating several global Conventions, as was indicated in various reports by the Espoo Inquiry Commission 2006, the Ramsar Secretariat 2003, the WWF 2009, and so forth. The WWF stated that the delta is the habitat for 70% of the global white pelicans and half of the global pygmy cormorants. The BystroeCanal lies within the Ukraine Danube Biosphere Reserve as a part of world heritage under the protection of UNESCO since 1991. The area was also listed as Ramsar Wetland. The area also falls within the scope of the Bern Convention on the Conservation of European Wildlife and Natural Habitats. Around a hundred and forty organizations submitted a petition to the Ukraine embassy in Bucharest, stating that such a project would threaten 280 avian species and 45 freshwater Pisces. After Romania initiated non-​compliance with the Espoo Convention by Ukraine, it refused permission for the project. The Espoo Conventions placed many suggestions like Bilateral Research Programs related to transboundary effects, means for reporting gaps in knowledge and relevant information, and the like. The COP sent to the Espoo Convention in 2008 stated that Ukraine failed to meet its obligations under this agreement. An Interagency Coordinating Council was formed the same year to supervise the enforcement of the Espoo Convention. The COP to the Convention in 2014 proposed dialogue and consultation between the two countries. In 2015, the two countries agreed on joint monitoring, and Romania agreed to withhold any disagreements regarding Phase I and to treat Phase II as a new project.

13.2.2  Agreement regarding the Establishment of the Nordic Environment Finance Corporation (NEFCO) (Agreement between the Governments of Denmark, Finland, Iceland, Norway and Sweden, 1998) This is an agreement between Denmark, Finland, Norway, Sweden, and Iceland that sought the promotion of environmental cooperation through investment in environmental projects and to further consolidate and develop Nordic assistance through the establishment of a multilateral financial institution called the Nordic Environmental Financial Corporation (NEFCO). The headquarters of NEFCO is in Helsinki. The objective of the Nordic Environmental Financial Corporation (NEFCO) is to endorse the Nordic investment of environmental projects in Eastern Europe through financial support in those nations. NEFCO, located at the headquarters of the Nordic Investment Bank, enjoys the status of a global corporate body with authorities to accomplish agreements, manage a business, or determine movable or real property and can also place cases in front of the courts. The corporation is bounded by the statutes formulated by the Nordic Council of Ministers. Any suggestions for amendment would have to be submitted to the Nordic Council of Ministers for approval. Any lawful proceedings against the NEFCO should be brought before a court that lies within the jurisdiction of a country where the Corporation has launched an office or bears a representative to receive the summons. The possessions, income, and property of NEFCO 614

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are exempted from any type of taxation, and so for the acquisition of real property, the Corporation is exempt. All of the members, staff, and experts, irrespective of their nationality, get protection against trial for activities carried out in an official capacity. NEFCO can accept and hold funds in any currency and may possess accounts in any currency. The immunity and privileges enjoyed under this agreement are meant for improving the work of corporations and are not meant for use in others. With the implementation of the present agreement, the earlier agreement on the creation of NEFCO of 1990 ceases to have any effect. The agreement should be deposited at the Finnish Ministry of Foreign Affairs. Presently it has been associated with more than thirteen hundred projects in minerals, food technology, waste treatment, water treatment, agriculture, power sector, nuclear remediation, manufacturing of environmental devices and goods, and environmental management. They have financed more than eighty countries like Russia, Belarus, Ukraine, and so forth.

13.2.3  The UNECE Convention on Access to Information, Public Participation in Decision-​making and Access to Justice in Environmental Matters (Aarhus Convention), 1998 The Convention was described by the former UN High Commissioner for Human Rights, Mary Robinson as ‘truly a trailblazer [and] a key signpost for the future of human rights and the environment in all parts of the world.’ This unique multilateral agreement can integrate environmental concerns with issues of human rights. It was negotiated under the aegis of the United Nations Economic Commission for Europe. The UNECE governed Convention, heralds a more approachable relationship between the people and their government with an introduction to innovative ways of empowering people’s participation in the domestic and global decision-​making process and paying for special status to the affected people and NGOs. It was signed in 1998 with 47 Parties, including the EU, and was enforced on 30 October 2001 at Aarhus, Denmark. The Executive Secretary of the UNECE carries out the functions of the secretariat while the Secretary-​General of the UN functions as the depository. The agreement emphasizes the relation and transparency between the citizens and their governments in delivering the rights of the citizens towards environmental information, providing access to justice in the matters of environment, and promoting the involvement of people in the decision-​making process. On the one hand, the Convention affords specific rights to the people, and on the other hand, it obliges the government to involve people through increased transparency and participation. The Convention recalled Principle 1 of the Stockholm Human Rights and Principle 10 of the Rio Declaration, the European Charter on Environment and Health, Germany, and affirmed the need to protect and enhance the conditions of the environment on the principle of sustainable development that was deemed necessary for the wellbeing of mankind and the enjoying of human rights. The objective of the Convention has been assuring access to information, involving people in decision making, and access to environmental justice in the issue of environmental matters to protect the rights to health and wellbeing for every citizen in the present and the future. The Parties should be ensuring all adequate legal, regulatory, and other measures to attain a compatible level between the provisions for achieving the objectives and implementation measures to develop a flawless, transparent, and reliable framework. In this matter, the officials and authorities need to provide help and guidance to the people for achieving 615

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the objectives. Environmental education and awareness should be promoted among the people, and the organizations promoting environmental protection should be supported. The Parties should also ensure that they harass and penalize the people who exercise their rights who are in tune with the provisions. The Convention in no way affects the rights of the Party by introducing wider access to information, justice, and extensive public participation than what is provisioned in this Convention. The Parties should ensure the availability of information and copies of actual documents in response to the public request and according to the national laws within one month of the submission of the request unless the complexity and volume of the information justify an extension. The request for environmental information can be refused if the authority does not possess the requested information, the request is deemed unreasonable, or the information requires prior internal communication. Such refusal can be extended if the availability of information affects the confidentiality of certain proceedings, commercial and industrial information, or in case the information is related to international relations, national defense, any course of justice, intellectual property rights, public security, breeding sites of rare species, and the like. The refusal of a request should necessarily be in writing, and the authority may supply the information with a reasonable charge. The Parties ensure that the authorities have the updated information and make it transparently available through the establishment of registers and files along with electronic media about the existing activities affecting the environment, policies, laws, programs, international agreements, imminent threats, and measures to be taken. At regular intervals, the Parties need to publish facts, analysis of facts, policy proposals, and a national report on the state of the environment. The Parties should apply the provisions in Article 6 about public participation in decision-​making on whether to allow the Annex I enlisted proposed activities (in the field of energy, mining industries, quarries, and opencast mining, production, and processing of metals, chemical industries, waste management, wastewater treatment plants, industrial plants, groundwater abstraction, inland waterways, trading ports, activities concerning water transfer between river basins, dams, extraction of petroleum and natural gas, pipelines related to the transport of gas, oil, chemicals, overhead electrical grid, and so forth.) and also other activities not included in Annex I but which might have a profound effect on the environment. The Parties may decide on a case-​to-​case basis for national defense-​related activities under national law and not included by the provisions of this article if there is any change of adversities. People should be informed through a notice or individually in a timely and effective manner before making decisions on the proposed activity, the authority responsible for making the decision, the nature of probable decisions, the beginning of the procedure, the opportunities of the public to participate, and so forth. Acquiring information is free of cost, and sufficient time should be allowed for public participation. The public should be allowed to make comments, give opinions, analyze, and information in writing at the public hearing process. The Party should ensure communication of the decision along with its text and reasons to the public, which resulted from the public participation. In matters concerning Access to Justice as per Article 9, each Party within the scope of its national law should guarantee any person who deliberates that his/​her request for information is ignored, inadequately answered, or not dealt properly as per the article provisions, and project-​related decisions, to have the right to go through a review procedure before the court of law or a legally established impartial body. The person should beassured of a right to a prompt procedure mostly free of charge. The authority having the information 616

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is bound by the final decision. The authority should state the reasons for refusing access to information in writing, wherever necessary. The Convention was drafted in terms of ‘human rights.’ Transparency, as expressed with access to information in Article 6, is accepted as an expression of democratic governance. The Convention speaks about equal rights to all people across generations to a decent quality of the environment that can be interpreted as a strong conception of social welfare. The Convention features a setback in excluding the private entities from compulsory disclosure and making an unspecified connection between procedural and substantive rights.

13.2.3.1  2003 Protocol on Pollutant Release and Transfer Registers to the 1998 Convention on Access to Information, Public Participation in Decision-​making and Access to Justice in Environmental Matters The Protocol, adopted in 2005 in Kiev by an Extraordinary Meeting of the Parties to the Aarhus Convention, entered into force in 2009. It aims to increase people’s access to information by establishing logical, cohesive nationwide pollutant release transfer registers (PTPRs) in tune with the guidelines of the Protocol. This, in turn, would expedite public involvement in decision-​making related to the environment, along with contributing to the inhibition and lessening of environmental pollution. The Parties should ensure adequate legal and regulatory steps to enforce the provisions. The Protocol should not in any way prevent the Party from making a more widespread and publicly accessible PTPR than what is stated in the provisions. The provision requires to ensure all appropriate measures for protecting the facility employees or public against reporting a violation of national legislation in the enforcement of this Protocol from penalty, persecution, or harassment by the facility authorities for their report. The publicly accessible PTPR should be maintained by each Party that should be with a user-​friendly design, with a computerized database, including standardized and timely data, and has a compulsory periodic reporting. The PTPR should also be facility-​specific reporting on point sources, reporting on diffused sources, pollutant specific or waste specific as needed, differentiating air, water, and land discharges, inclusive of information related to transfers, and the like. The releases and transfers can be explored and categorized on the basis of the facility, its geographic location, its activities, the owner or operator, pollutant/​waste, and the medium where it is being discharged. The Parties should include the data of ten previous reporting years, and the design of the register should be easy for public access using electronic media. The links to other publicly accessible databases, as well as links to PTPRs of other Parties, may be provided in the register by the Parties. The register should include information on the discharge of pollutants, off-​site transfers, and discharge of pollutants from diffuse sources. The Parties should require the owner/​ operator of every individual facility within its dominion, endowed with single or multiple activities as stated in Annex I above the threshold capacity mentioned in the same annex to agree to the obligation imposed. Such stands true when the pollutant discharges as given in Annex II, or off-​site transfer of any pollutant stated in Annex II, is more than the threshold quantity mentioned in the same annex list. Additionally, the owner/​operator needs to agree to the obligations in case of the off-​site transfer of hazardous wastes above two tonnes annually or other wastes above 2000 tonnes annually and off-​site transfer of any pollutant in Annex II in wastewater intended 617

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for wastewater treatment in quantities more than the specified threshold in Annex II. The Parties also necessitate the owner/​operator of Annex I stated activities to agree to obligations in case the number of employees is above the threshold as specified in Annex I. The owner/​ operator is required to submit all relevant information to a competent authority. One or more public authorities should be designated for the collection of information on pollutant discharges from the diffused source. The required information is to be incorporated in the register and made available to the public by the calendar year. Public access to the information should be ensured by each Party by providing direct electronic access through public telecommunications networks. The Party may direct the competent authority to hold information from disclosure if it can harmfully affect international relations, national defense, intellectual property rights, personal data in case of that person’s nonconsent, any commercial or industrial information protected by law to safeguard a rightful economic concern and in the way of justice where the information may be a hindrance to a fair trial or capacity to conduct a criminal or disciplinary inquiry.

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Annexure: Negotiations for Environmental Governance and Practices Annexure B XIII –​13.2.1: Convention on Environment Impact Assessment in a Transboundary Context, 1991 (Espoo Convention) www.unece.org/​filead​min/​DAM/​env/​eia/​docume​nts/​leg​alte​xts/​Esp​oo_​C​onve​ntio​n_​au​then ​ tic_​ENG.pdf APPENDIX I LIST OF ACTIVITIES 1. Crude oil refineries (excluding undertakings manufacturing only lubricants from crude oil) and installations for the gasification and liquefaction of 500 tonnes or more of coal or bituminous shale per day. 2. Thermal power stations and other combustion installations with a heat output of 300 megawatts or more and nuclear power stations and other nuclear reactors (except research installations for the production and conversion of fissionable and fertile materials, whose maximum power does not exceed 1 kilowatt continuous thermal load). 3. Installations solely designed for the production or enrichment of nuclear fuels, for the reprocessing of irradiated nuclear fuels or for the storage, disposal and processing of radioactive waste. 4. Major installations for the initial smelting of cast-​iron and steel and for the production of non-​ferrous metals. 5. Installations for the extraction of asbestos and for the processing and transformation of asbestos and products containing asbestos for asbestos-​cement products, with an annual production of more than 20,000 tonnes finished product* for friction material, with an annual production of more than 50 tonnes finished product; and for other asbestos utilization of more than 200 tonnes per year. 6. Integrated chemical installations. 7. Construction of motorways, express roads TJ and lines for long-​distance railway traffic and of airports with a basic runway length of 2,100 meters or more. 8. Large-​diameter oil and gas pipelines. 9. Trading ports and also inland waterways and ports for inland-​waterway traffic which permit the passage of vessels of over 1,350 tonnes. 10. Waste-​disposal installations for the incineration, chemical treatment or landfill of toxic and dangerous wastes. 11. Large dams and reservoirs. 12. Groundwater abstraction activities in cases where the annual volume of water to be abstracted amounts to 10 million cubic meters or more. 13. Pulp and paper manufacturing of 200 air-​dried metric tonnes or more per day. 14. Major mining, on-​site extraction and processing of metal ores or coal. 15. Offshore hydrocarbon production. Extraction of petroleum and natural gas for commercial purposes where the amount extracted exceeds 500 metric tons/day in the case of petroleum and 500 000 cubic metres/day in the case of gas. 16. Major storage facilities for petroleum, petrochemical and chemical products.

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17. Deforestation of large areas. For the purposes of this Convention: - ‘Motorway’ means a road specially designed and built for motor traffic, which does not serve properties bordering on it, and which* */

(a) Is provided, except at special points or temporarily, with separate carriageways for the two directions of traffic, separated from each other by a dividing strip not intended for traffic or, exceptionally, by other means> (b) Does not cross at level with any road, railway or tramway track, or footpath and (c) Is specially sign-​posted as a motorway. - ‘Express road’ means a road reserved for motor traffic accessible only from interchanges or controlled junctions and on which, in particular, stopping and parking are prohibited on the running carriageway(s). APPENDIX II CONTENT OF THE ENVIRONMENTAL IMPACT ASSESSMENT DOCUMENTATION Information to be included in the environmental impact assessment documentation shall, as a minimum, contain, in accordance with Article 4t ( a) A description of the proposed activity and its purpose; (b) A description, where appropriate, of reasonable alternatives (for example, locational or technological) to the proposed activity and also the no-​action alternative; (c) A description of the environment likely to be significantly affected by the proposed activity and its alternatives; (d) A description of the potential environmental impact of the proposed activity and its alternatives and an estimation of its significance; (e)  A description of mitigation measures to keep adverse environmental impact to a minimum; (f) An explicit indication of predictive methods and underlying assumptions as well as the relevant environmental data used; (g) An identification of gaps in knowledge and uncertainties encountered in compiling the required information; (h) Where appropriate, an outline for monitoring and management programs and any plans for post-​project analysis; and (i)  A non-​ technical summary including a visual presentation as appropriate (maps, graphs, etc.). APPENDIX III GENERAL CRITERIA TO ASSIST IN THE DETERMINATION OF THE ENVIRONMENTAL SIGNIFICANCE OF ACTIVITIES NOT LISTED IN APPENDIX I

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1. In considering proposed activities to which Article 2, paragraph 5, applies, the concerned Parties may consider whether the activity is likely to have a significant adverse transboundary impact in particular by virtue of one or more of the following criteria! a. b.

c.

Size: proposed activities which are large for the type of the activity; Location: proposed activities which are located in or close to an area of special environmental sensitivity or importance (such as wetlands designated under the Ramsar Convention, national parks, nature reserves, sites of special scientific interest, or sites of archaeological, cultural or historical importance); also, proposed activities in locations where the characteristics of proposed development would be likely to have significant effects on the population; Effects: proposed activities with particularly complex and potentially adverse effects, including those giving rise to serious effects on humans or on valued species or organisms, those which threaten the existing or potential use of an affected area and those causing additional loading which cannot be sustained by the carrying capacity of the environment.

2. The concerned Parties shall consider for this purpose proposed activities which are located close to an international frontier as well as more remote proposed activities which could give rise to significant transboundary effects far removed from the site of development. APPENDIX IV INQUIRY PROCEDURE 1. The requesting Party or Parties shall notify the secretariat that it or they submit(s) the question of whether a proposed activity listed in Appendix I is likely to have a significant adverse transboundary impact to an inquiry commission established in accordance with the provisions of this Appendix. This notification shall state the subject-​matter of the inquiry. The secretariat shall notify immediately all Parties to this Convention of this submission. 2. The inquiry commission shall consist of three members. Both the requesting Party and the other Party to the inquiry procedure shall appoint a scientific or technical expert, and the two experts so appointed shall designate by common agreement the third expert, who shall be the president of the inquiry commission. The latter shall not be a national of one of the parties to the inquiry procedure, nor have his or her usual place of residence in the territory of one of these parties, nor be employed by any of them, nor have dealt with the matter in any other capacity. 3. if the president of the inquiry commission has not been designated within two months of the appointment of the second expert, the Executive Secretary of the Economic Commission for Europe shall, at the request of either party, designate the president within a further two-​month period. 4. If one of the parties to the inquiry procedure does not appoint an expert within one month of its receipt of the notification by the secretariat, the other party may inform the Executive Secretary of the Economic Commission for Europe, who shall designate the president of the inquiry commission within a further two-​month period. Upon

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designation, the president of the inquiry commission shall request the party which has not appointed an expert to do so within one month. After such a period, the president shall inform the Executive Secretary of the Economic Commission for Europe, who shall make this appointment within a further two-​month period. 5. The inquiry commission shall adopt its own rules of procedure. 6. The inquiry commission may take all appropriate measures in order to carry out its functions. 7. The parties to the inquiry procedure shall facilitate the work of the inquiry commission and, in particular, using all means at their disposal, shall* (a) Provide it with all relevant documents, facilities and information; and (b) Enable it, where necessary, to call witnesses or experts and receive their evidence. 8. The parties and the experts shall protect the confidentiality of any information they receive in confidence during the work of the inquiry commission. 9. If one of the parties to the inquiry procedure does not appear before the inquiry commission or fails to present its case, the other party may request the inquiry commission to continue the proceedings and to complete its work. Absence of a party or failure of a party to present its case shall not constitute a bar to the continuation and completion of the work of the inquiry commission. 10. Unless the inquiry commission determines otherwise because of the particular circumstances of the matter, the expenses of the inquiry commission, including the remuneration of its members, shall be borne by the parties to the inquiry procedure in equal shares. The inquiry commission shall keep a record of all its expenses, and shall furnish a final statement thereof to the parties. 11. Any Party having an interest of a factual nature in the subject-​matter of the inquiry procedure, and which may be affected by an opinion in the matter, may intervene in the proceedings with the consent of the inquiry commission. 12. The decisions of the inquiry commission on matters of procedure shall be taken by majority vote of its members. The final opinion of the inquiry commission shall reflect the view of the majority of its members and shall include any dissenting view. 13. The inquiry commission shall present its final opinion within two months of the date on which it was established unless it finds it necessary to extend this time limit for a period which should not exceed two months. 14. The final opinion of the inquiry commission shall be based on accepted scientific principles. The final opinion shall be transmitted by the inquiry commission to the parties to the inquiry procedure and to the secretariat.

APPENDIX V POST-​PROJECT ANALYSIS Objectives include: (a) Monitoring compliance with the conditions as set out in the authorization or approval of the activity and the effectiveness of mitigation measures» (b) Review of an impact for proper management and in order to cope with uncertainties > 622

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(c) Verification of past predictions in order to transfer experience to future activities of the same type. APPENDIX VI ELEMENTS FOR BILATERAL AND MULTILATERAL CO-​OPERATION 1. Concerned Parties may set up, where appropriate, institutional arrangements or enlarge the mandate of existing institutional arrangements within the framework of bilateral and multilateral agreements in order to give full effect to this Convention. 2. Bilateral and multilateral agreements or other arrangements may include* (a)

Any additional requirements for the implementation of this Convention, taking into account the specific conditions of the sub region concerned! (b) Institutional, administrative and other arrangements, to be made on a reciprocal and equivalent basis; (c) Harmonization of their policies and measures for the protection of the environment in order to attain the greatest possible similarity in standards and methods related to the implementation of environmental impact assessment* (d) Developing, improving, and/​ or harmonizing methods for the identification, measurement, prediction and assessment of impacts, and for post-​ project analysis) (e) Developing and/​or improving methods and programs for the collection, analysis, storage and timely dissemination of comparable data regarding environmental quality in order to provide input into environmental impact assessment) (f) The establishment of threshold levels and more specified criteria for defining the significance of transboundary impacts related to the location, nature or size of proposed activities, for which environmental impact assessment in accordance with the provisions of this Convention shall be applied) and the establishment of critical loads of transboundary pollution) (g) Undertaking, where appropriate, joint environmental impact assessment, development of joint monitoring programs, intercalibration of monitoring devices and harmonization of methodologies with a view to rendering the data and information obtained compatible. APPENDIX VII ARBITRATION 1. The claimant Party or Parties shall notify the secretariat that the Parties have agreed to submit the dispute to arbitration pursuant to Article 15, paragraph 2, of this Convention. The notification shall state the subject-​matter of arbitration and include, in particular, the Articles of this Convention, the interpretation or application of which are at issue. The secretariat shall forward the information received to all Parties to this Convention. 2. The arbitral tribunal shall consist of three members. Both the claimant Party or Parties and the other Party or Parties to the dispute shall appoint an arbitrator, and the two arbitrators so appointed shall designate by common agreement the third arbitrator, who shall be the president of the arbitral tribunal. The latter shall not be a national

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of one of the parties to the dispute, nor have his or her usual place of residence in the territory of one of these parties, nor be employed by any of them, nor have dealt with the case in any other capacity. 3. If the president of the arbitral tribunal has not been designated within two months of the appointment of the second arbitrator, the Executive Secretary of the Economic Commission for Europe shall, at the request of either party to the dispute, designate the president within a further two-​month period. 4. If one of the parties to the dispute does not appoint an arbitrator within two months of the receipt of the request, the other party may inform the Executive Secretary of the Economic Commission for Europe, who shall designate the president of the arbitral tribunal within a further two-​month period. Upon designation, the president of the arbitral tribunal shall request the party which has not appointed an arbitrator to do so within two months. After such a period, the president shall inform the Executive Secretary of the Economic Commission for Europe, who shall make this appointment within a further two-​month period. 5. The arbitral tribunal shall render its decision in accordance with international law and in accordance with the provisions of this Convention. 6. Any arbitral tribunal constituted under the provisions set out herein shall draw up its own rules of procedure. 7. The decisions of the arbitral tribunal, both on procedure and on substance, shall be taken by majority vote of its members. 8. The tribunal may take all appropriate measures in order to establish the facts. 9. The parties to the dispute shall facilitate the work of the arbitral tribunal and, in particular, using all means at their disposal, shall: (a) Provide it with all relevant documents, facilities and information; and (b) Enable it, where necessary, to call witnesses or experts and receive their evidence. 10. The parties and the arbitrators shall protect the confidentiality of any information they receive in confidence during the proceedings of the arbitral tribunal. 11. The arbitral tribunal may, at the request of one of the parties, recommend interim measures of protection. 12. If one of the parties to the dispute does not appear before the arbitral tribunal or fails to defend its case, the other party may request the tribunal to continue the proceedings and to render its final decision. Absence of a party or failure of a party to defend its case shall not constitute a bar to the proceedings. Before rendering its final decision, the arbitral tribunal must satisfy itself that the claim is well founded in fact and law. 13. The arbitral tribunal may hear and determine counter-​claims arising directly out of the subject-​matter of the dispute. 14. Unless the arbitral tribunal determines otherwise because of the particular circumstances of the case, the expenses of the tribunal, including the remuneration of its members, shall be borne by the parties to the dispute in equal shares. The tribunal shall keep a record of all its expenses, and shall furnish a final statement thereof to the parties. 15. Any Party to this Convention having an interest of a legal nature in the subject-​matter of the dispute, and which may be affected by a decision in the case, may intervene in the proceedings with the consent of the tribunal.

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16. The arbitral tribunal shall render its award within five months of the date on which it is established unless it finds it necessary to extend the time limit for a period which should not exceed five months. 17. The award of the arbitral tribunal shall be accompanied by a statement of reasons. It shall be final and binding upon all parties to the dispute. The award will be transmitted by the arbitral tribunal to the parties to the dispute and to the secretariat. The secretariat will forward the information received to all Parties to this Convention. 18. Any dispute which may arise between the parties concerning the interpretation or execution of the award may be submitted by either party to the arbitral tribunal which made the award or, if the latter cannot be seized thereof, to another tribunal constituted for this purpose in the same manner as the first. (see https://unece.org/sites/default/files/2021-03/Espoo%20Convention.pdf for amendments ‘Adopted in Espoo, Finland, on 25 February 1991 as amended on 27 February 2001 and on 4 June 2004’)

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Annexure B XIII –​13.2.1.1: Protocol on Strategic Environmental Assessment (SEA), 2003 www.unece.org/​filead​min/​DAM/​env/​eia/​docume​nts/​leg​alte​xts/​prot​ocol​engl​ish.pdf ANNEXES ANNEX I List of projects as referred to in Article 4, Paragraph 2 1

Crude oil refineries (excluding undertakings manufacturing only lubricants from crude oil) and installations for the gasification and liquefaction of 500 metric tons or more of coal or bituminous shale per day. 2 Thermal power stations and other combustion installations with a heat output of 300 megawatts or more and nuclear power stations and other nuclear reactors (except research installations for the production and conversion of fissionable and fertile materials, whose maximum power does not exceed 1 kilowatt continuous thermal load). 3 Installations solely designed for the production or enrichment of nuclear fuels, for the reprocessing of irradiated nuclear fuels or for the storage, disposal and processing of radioactive waste. 4 Major installations for the initial smelting of cast-​iron and steel and for the production of non-​ferrous metals. 5 Installations for the extraction of asbestos and for the processing and transformation of asbestos and products containing asbestos: for asbestos-​cement products, with an annual production of more than 20,000 metric tons of finished product; for friction material, with an annual production of more than 50 metric tons of finished product; and for other asbestos utilization of more than 200 metric tons per year. 6. Integrated chemical installations. 7. Construction of motorways, express roads*/ and lines for long-distance railway traffic and of airports**/ with a basic runway length of 2,100 metres or more. 8. Large-diameter oil and gas pipelines. 9. Trading ports and also inland waterways and ports for inland-waterway traffic which permit the passage of vessels of over 1,350 metric tons. 10. Waste-disposal installations for the incineration, chemical treatment or landfill of toxic and dangerous wastes. 11. Large dams and reservoirs. 12. Groundwater abstraction activities in cases where the annual volume of water to be abstracted amounts to 10 million cubic metres or more. 13. Pulp and paper manufacturing of 200 air-dried metric tons or more per day. 14. Major mining, on-site extraction and processing of metal ores or coal. 15. Offshore hydrocarbon production. 16. Major storage facilities for petroleum, petrochemical and chemical products. 17. Deforestation of large areas.

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For the purposes of this Protocol: -​ ‘Motorway’ means a road specially designed and built for motor traffic, which does not serve properties bordering on it, and which:

(a) Is provided, except at special points or temporarily, with separate carriageways for the two directions of traffic, separated from each other by a dividing strip not intended for traffic or, exceptionally, by other means; (b) Does not cross at level with any road, railway or tramway track, or footpath; and (c) Is specially sign posted as a motorway. -​ ‘Express road’ means a road reserved for motor traffic accessible only from interchanges or controlled junctions and on which, in particular, stopping and parking are prohibited on the running carriageway(s). **/​ J For the purposes of this Protocol, ‘airport’ means an airport which complies with the definition in the 1944 Chicago Convention setting up the International Civil Aviation Organization (annex 14). ANNEX II Any other projects referred to in Article 4, Paragraph 2 1. Projects for the restructuring of rural land holdings. 2. Projects for the use of uncultivated land or semi-​natural areas for intensive agricultural purposes. 3. Water management projects for agriculture, including irrigation and land drainage projects. 4. Intensive livestock installations (including poultry). 5. Initial afforestation and deforestation for the purposes of conversion to another type of land use. 6. Intensive fish farming. 7. Nuclear power stations and other nuclear reactors-​ ' including the dismantling or decommissioning of such power stations or reactors (except research installations for the production and conversion of fissionable and fertile materials whose maximum power does not exceed 1 kilowatt continuous thermal load), as far as not included in annex I. 8. Construction of overhead electrical power lines with a voltage of 220 kilovolts or more and a length of 15 kilometers or more and other projects for the transmission of electrical energy by overhead cables. 9. Industrial installations for the production of electricity, steam and hot water. 10. Industrial installations for carrying gas, steam and hot water. 11. Surface storage of fossil fuels and natural gas. 12. Underground storage of combustible gases. 13. Industrial briquetting of coal and lignite. 14. Installations for hydroelectric energy production. 15. Installations for the harnessing of wind power for energy production (wind farms). 16. Installations, as far as not included in annex I, designed: - For the production or enrichment of nuclear fuel; - For the processing of irradiated nuclear fuel; - For the final disposal of irradiated nuclear fuel; 627

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- Solely for the final disposal of radioactive waste; - Solely for the storage (planned for more than 10 years) of irradiated nuclear fuels in a different site than the production site; or - For the processing and storage of radioactive waste. 17. Quarries, open cast mining and peat extraction, as far as not included in annex I. 18. Underground mining, as far as not included in annex I. 19. Extraction of minerals by marine or fluvial dredging. 20. Deep drillings (in particular geothermal drilling, drilling for the storage of nuclear waste material, drilling for water supplies), with the exception of drillings for investigating the stability of the soil. 21. Surface industrial installations for the extraction of coal, petroleum, natural gas and ores, as well as bituminous shale. 22. Integrated works for the initial smelting of cast iron and steel, as far as not included in annex I. 23. Installations for the production of pig iron or steel (primary or secondary fusion) including continuous casting. 24. Installations for the processing of ferrous metals (hot-​rolling mills, smitheries with hammers, application of protective fused metal coats). 25. Ferrous metal foundries. 26. Installations for the production of non-​ferrous crude metals from ore, concentrates or secondary raw materials by metallurgical, chemical or electrolytic processes, as far as not included in annex I. 27. Installations for the smelting, including the alloyage, of non-​ferrous metals excluding precious metals, including recovered products (refining, foundry casting, etc.), as far as not included in annex I. 28. Installations for surface treatment of metals and plastic materials using an electrolytic or chemical process. 29. Manufacture and assembly of motor vehicles and manufacture of motor-​vehicle engines. 30. Shipyards. 31. Installations for the construction and repair of aircraft. 32. Manufacture of railway equipment. 33. Swaging by explosives. 34. Installations for the roasting and sintering of metallic ores. 35. Coke ovens (dry coal distillation). 36. Installations for the manufacture of cement. 37. Installations for the manufacture of glass including glass fiber. 38. Installations for smelting mineral substances including the production of mineral fibers. 39. Manufacture of ceramic products by burning, in particular roofing tiles, bricks, refractory bricks, tiles, stoneware or porcelain. 40. Installations for the production of chemicals or treatment of intermediate products, as far as not included in annex I. 41. Production of pesticides and pharmaceutical products, paint and varnishes, elastomers and peroxides. 42. Installations for the storage of petroleum, petrochemical, or chemical products, as far as not included in annex I. 43. Manufacture of vegetable and animal oils and fats. 44. Packing and canning of animal and vegetable products. 628

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45. Manufacture of dairy products. 46. Brewing and malting. 47. Confectionery and syrup manufacture. 48. Installations for the slaughter of animals. 49. Industrial starch manufacturing installations. 50. Fish-​meal and fish-​oil factories. 51. Sugar factories. 52. Industrial plants for the production of pulp, paper and board, as far as not included in annex I. 53. Plants for the pretreatment or dyeing of fibers or textiles. 54. Plants for the tanning of hides and skins. 55. Cellulose-​processing and production installations. 56. Manufacture and treatment of elastomer-​based products. 57. Installations for the manufacture of artificial mineral fibers. 58. Installations for the recovery or destruction of explosive substances. 59. Installations for the production of asbestos and the manufacture of asbestos products, as far as not included in annex I. 60. Knackers' yards. 61. Test benches for engines, turbines or reactors. 62. Permanent racing and test tracks for motorized vehicles. 63. Pipelines for transport of gas or oil, as far as not included in annex I. 64. Pipelines for transport of chemicals with a diameter of more than 800 mm and a length of more than 40 km. 65. Construction of railways and intermodal transshipment facilities, and of intermodal terminals, as far as not included in annex I. 66. Construction of tramways, elevated and underground railways, suspended lines or similar lines of a particular type used exclusively or mainly for passenger transport. 67. Construction of roads, including realignment and/​or widening of any existing road, as far as not included in annex I. 68. Construction of harbors and port installations, including fishing harbors, as far as not included in annex I. 69. Construction of inland waterways and ports for inland-​waterway traffic, as far as not included in annex I. 70. Trading ports, piers for loading and unloading connected to land and outside ports, as far as not included in annex I. 71. Canalization and flood-​relief works. 72. Construction of airports-​-'​ and airfields, as far as not included in annex I. 73. Waste-​disposal installations (including landfill), as far as not included in annex I. 74. Installations for the incineration or chemical treatment of non-​hazardous waste. 75. Storage of scrap iron, including scrap vehicles. 76. Sludge deposition sites. 77. Groundwater abstraction or artificial groundwater recharge, as far as not included in annex I. 78. Works for the transfer of water resources between river basins. 79. Waste-​water treatment plants. 80. Dams and other installations designed for the holding back or for the long-​term or permanent storage of water, as far as not included in annex I. 629

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81. Coastal work to combat erosion and maritime works capable of altering the coast through the construction, for example, of dykes, moles, jetties and other sea defense works, excluding the maintenance and reconstruction of such works. 82. Installations of long-​distance aqueducts. 83. Ski runs, ski lifts and cable cars and associated developments. 84. Marinas. 85. Holiday villages and hotel complexes outside urban areas and associated developments. 86. Permanent campsites and caravan sites. 87. Theme parks. 88. Industrial estate development projects. 89. Urban development projects, including the construction of shopping centers and car parks. 90. Reclamation of land from the sea. For the purposes of this Protocol, nuclear power stations and other nuclear reactors cease to be such an installation when all nuclear fuel and other radioactively contaminated elements have been removed permanently from the installation site. **/ For the purposes of this Protocol, “airport” means an airport which complies with the definition in the 1944 Chicago Convention setting up the International Civil Aviation Organization (annex 14). */

ANNEX III Criteria for determining of the likely significant environmental, including health, effects referred to in Article 5, Paragraph 1 1. The relevance of the plan or programme to the integration of environmental, including health, considerations in particular with a view to promoting sustainable development. 2. The degree to which the plan or programme sets a framework for projects and other activities, either with regard to location, nature, size and operating conditions or by allocating resources. 3. The degree to which the plan or programme influences other plans and programs including those in a hierarchy. 4. Environmental, including health, problems relevant to the plan or programme. 5. The nature of the environmental, including health, effects such as probability, duration, frequency, reversibility, magnitude and extent (such as geographical area or size of population likely to be affected). 6. The risks to the environment, including health. 7. The transboundary nature of effects. 8. The degree to which the plan or programme will affect valuable or vulnerable areas including landscapes with a recognized national or international protection status. ANNEX IV Information referred to in Article 7, Paragraph 2 1. The contents and the main objectives of the plan or programme and its link with other plans or programs. 630

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2. The relevant aspects of the current state of the environment, including health, and the likely evolution thereof should the plan or programme not be implemented. 3. The characteristics of the environment, including health, in areas likely to be significantly affected. 4. The environmental, including health, problems which are relevant to the plan or programme. 5. The environmental, including health, objectives established at international, national and other levels which are relevant to the plan or programme, and the ways in which these objectives and other environmental, including health, considerations have been taken into account during its preparation. 6. The likely significant environmental, including health, effects-​' as defined in Article 2, Paragraph 7. 7. Measures to prevent, reduce or mitigate any significant adverse effects on the environment, including health, which may result from the implementation of the plan or programme. 8. An outline of the reasons for selecting the alternatives dealt with and a description of how the assessment was undertaken including difficulties encountered in providing the information to be included such as technical deficiencies or lack of knowledge. 9. Measures envisaged for monitoring environmental, including health, effects of the implementation of the plan or programme. 10. The likely significant transboundary environmental, including health, effects. 11. A non-​technical summary of the information provided. These effects should include secondary, cumulative, synergistic, short-​, medium-​and long-​term, permanent and temporary, positive and negative effects. */​

ANNEX V Information referred to in Article 8, Paragraph 5 1. The proposed plan or programme and its nature. 2. The authority responsible for its adoption. 3. The envisaged procedure, including: (a) (b) (c) (d) (e) (f)

The commencement of the procedure; The opportunities for the public to participate; The time and venue of any envisaged public hearing; The authority from which relevant information can be obtained and where the relevant information has been deposited for examination by the public; The authority to which comments or questions can be submitted and the time schedule for the transmittal of comments or questions; and What environmental, including health, information relevant to the proposed plan or programme is available.

4. Whether the plan or programme is likely to be subject to a transboundary assessment procedure.

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14.1  The State of Weapons Archaeologists believed the earliest weapons were simple stone tips that were found some 64 000 years ago in KwaZulu-​Natal of South Africa. The earliest use of bows and arrows was evidenced in Sibudu Cave more than 60 000 years ago. Things changed when man discovered natural resources and the use of metals developed. Metallurgy started in Egypt and Mesopotamia and spread to Europe, China, and Europe. Copper, tin, and bronze came into use. Earlier the Egyptian soldiers were protected by wooden or leather shields in times of battle. Spears, Swords, axes, daggers, bows and arrows, clubs, or maces were usually used. Between 900 BC and 612 BC, the Assyrians fought in a blend of chariots, cavalry, and infantry. The Greeks mostly depended on infantry called hoplites. They wore helmets, breastplates, backplates, and shin guards (greaves). The cavalry comprises the richer ones, who could afford horses and fought with throwing spears and swords. The Roman soldier wore a cassis on his head and armour to protect his torso. They used a shield (scutum) and carried a spear (pilum) and a short sword (gladius). The Vikings carried swords, spears, and axes; they built forts (shield walls) and dug ditches. The Normans too constructed wooden forts called motte and bailey castles. Ladders were used to climb the walls from both sides. But climbing from outside was dangerous as they were pushed by the defenders. Longbows were used in the 14th century and guns in the 16th century. Both Japanese and Indians learned to make guns at that time. The Samurai of Japan followed a code of behaviour called bushido. The firearms of the 17th century were either matchlocks or wheel locks. The century marked the invention of cartridges. With the industrial revolution, transportation was much easier, and information could be transmitted via telegrams. Rockets and breech-​loading guns were developed in the 19th century. Rifles were upgraded with the introduction of magazines. People tested out with machine guns. Exploding shells, steam engines, and iron ships changed the war in the sea. After La Gloire by the French, the British started making torpedoes. New explosives replaced gunpowder, TNT, dynamite, and cordite to name a few. World War I experienced heavy infantry losses due to powerful firearms resulting in a deadlock. Digging trenches with barbed wire and machine guns became common later. The

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Germans started using chemicals like chlorine and mustard gas. They dug tunnels under the enemy trenches. Mines were detonated to demolish these. The tank was introduced by the British in 1916. Before that, there was the use of submarines and German U-​boats. Use of aircraft in World War I changed rapidly during World War II and took a decisive role in battles. Tanks dominated World War II even though anti-​tank guns were developed. The Germans used rockets and launched V-​1 and V-​2 flying bombs. The Soviets developed the first intercontinental ballistic missile in 1954 followed by atomic bomb explosions in Hiroshima and Nagasaki by the Americans. The development of hydrogen bombs and nuclear-​powered submarines took the war to a completely different level. The weapon development became a crucial driver in cultural evolution and human history.

14.1.1  The Evolution, Use, and Control of Chemical Weapons Chemical weapons (CWs) are toxic synthetic compounds used either as gas, liquid, or aerosol. They are either lethal or bring about incapacitating effects on humans. CWs are considered based on their high toxicity, imperceptibility to senses, and speed of action. Toxic chemicals from plant extracts were long being used, as evidenced throughout the Middle Ages and Renaissance. Modern CWs were born with a chlorine gas attack by Germans in 1915 at Ypres, Belgium. The chorine was dispersed from 5,730 cylinders along a 6 km stretch. This attack was in connection with Fritz Haber, the Nobel laureate in chemistry for 1918. Haber persuaded politicians, generals, industrialists, and scientists to come together for the development of novel processes in the large-​scale production of war-​relevant chemicals. During the Weimar era, his initiative of using toxic substances to control pests was a disguise for illegal military research. His research gained much importance after the outbreak of World War I in 1914. Germany suffered a severe weapons crisis just after a few months of trench warfare since the British blocked their nitrate supply. Since Haber focused on gas reactions, he was engaged by Germany to make a new class of weapon, poison gas. A kind of warfare that spread in the air, underneath the oceans, and in the trenches created three-​dimensional warfare through the use of railway systems, aircraft, submarines, telephones, telegraphs, and radio communications. The layered trenches, dugouts, and branches could protect the soldiers from conventional weapons. But chlorine, which is heavier than air would not only be on the surface, but it would sink into the underground structures. Trenches were no longer safe. The chemical plants with little modification served the purpose. The dye companies turned out to be manufacturers of nitrates, explosives, and chemical weapons. Germany was helped by nearly 1000 scientists in this effort. Of many substances developed, two of special note were Cyclon A and Cyclon B (Zyklon B). They manufactured nitrates and nitrated products for dye and sold the surplus to the explosives industry. In 1916 the Germans started using a toxic agent in artillery shells in response to the French use at Verdun. The Germans used diphosgene which is less toxic than phosgene because its production is less precarious and also easier to pack into shells. The British also acquired chemical agents and launched a testing range at Porton in 1916 and they also made excellent gas masks. They were dependent on the French for supplying phosgene. The Germans used Blue Cross arsenicals in 1917 to penetrate the Allied mask filters. These would irritate so that the soldiers would be forced to take off their masks and thereby become vulnerable to the Green Cross (diphosgene). The Germans also introduced the Yellow Cross which contained mustard gas. This blistering agent burned and blinded

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thousands. In the first three weeks, the British suffered around 500 deaths and over 14 000 casualties. The Allied military intelligence claimed that criminal human experiments with CWs on the inmates of the Nazi concentration camps in Sachsenhausen, Natzweiler, and Neuengamme during the Second World War had taken place. Even novel chemicals were regularly tested on animals and humans at the Military Medical Academy. They were carried out on soldiers, cadets, and recuperative companies for toxicological evaluation, protective technologies, and injury treatment. Though it seems that the persons participated voluntarily, the peer pressure on them, along with compensatory incentives could be assumed. On many occasions, the death row inmates at Plotzensee Prison would be transferred to a gas protection laboratory for experimentation. In 1917, Japan constructed a new chemical weapons laboratory followed by a chemical warfare school at Narashino, Chiba Prefecture in 1933. Training against gas warfare was organized and the entirety of Japanese troops received such training. In the Second World War, between 1937 and 1945, the Japanese used CWS on nearly 2000 occasions. Their use was mainly against China but rarely against the Allied Forces in the Pacific, fearing retaliation. They used tear gas and smoke candles along with mustard gas and lewisite. The use of sulfur mustard for military warfare led to 1.13 million casualties during the First World War. Millions of innocent civilians were killed by the Nazis with Zyklon B/​ HCN gas during the Second World War. The USA used Agent Orange during the Vietnam War. During the Second World War, Germany possessed blister agents, lewisite and also manufactured large quantities of phosgene every year. Even during the cold war, the USA, USSR, and their allies produced new chemical weapons (CW) such as sarin to secure their position. USA, Canada, and Britain signed a tripartite agreement in 1946 for sharing research information on CWs and this hard work led to the development of the deadly VX. The Russians stored mustard, lewisite, and mustard-​lewisite mixture while they weaponized R-​VX, sarin, soman, and phosgene. The USA manufactured 87 000 tonnes of sulfur mustard, 20 000 tonnes of lewisite, and 100 tonnes of nitrogen mustard by the end of the Second World War. In the 1960s, international security policies changed and there was a drive towards partial disarmament of several types of weapons of mass destruction (WMD). At the same time, this also triggered the growth of novel weapons and binary weapons development, and this almost coincided with the time of rising political pressures about the harmful effects of chemical warfare. The USA chemical warfare defense research programs used more than sixty thousand USA service members as human subjects. In the late 1980s, the USA started destroying many of its CWs. The Organization for the Prohibition of Chemical Weapons (OPCW) had destroyed around one lakh million tonnes of CWs after the Chemical Weapons Convention (CWC) in 1993. Evidence suggests the use of CWs in the Iran-​Iraq war, by the South African Government during Project Coast during the apartheid era, the Gulf War, the Afghanistan war, and the Syrian war. The Organization for the Prohibition of Chemical Weapons declared the destruction of 40 000 tonnes of CW by 2020 for Russia and by 2025 for the USA. The first-​generation Chemical Weapons were discovered and utilized during the First World War and 1930s and could be differentiated into choking agents, blood agents, and blister agents (or vesicants). Chlorine, phosgene, diphosgene, nitric oxide, perfluoroisobutylene, and chloropicrin are choking agents. These are heavier than air. Both chlorine and phosgene are industrial chemicals. Though chlorine is a pungent greenish-​yellow colored gas, phosgene is practically odorless. Diphosgene is liquid at room temperature and is quite 634

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persistent. Perfluoro isobutylene is highly toxic produced as a byproduct in teflon manufacture. These agents develop pulmonary edema. These chemicals target the respiratory tract, acting on the nose, throat, and lungs. Generally, the membranes inflame, and lungs become filled up with liquid. Death results from a lack of oxygen. Phosgene toxicity is due to the high reactivity that allows it to bind to the -​SH, -​NH2, and -​OH groups of the biological macromolecules. It acylates specific lung tissues to increase the permeability of the alveolar mucous membrane, develops edema, anoxia and finally death. Upon phosgene inhalation, shallow breadth, bradycardia, hypotension, salivation, micturition, and defecation may be observed. Hydrogen cyanide, cyanogens chlorides such as blood agents inhibit the cytochrome oxidase system. Though hydrogen cyanide was discovered by a Swedish chemist in 1872 as an industrial chemical, its first use in warfare was by the French in the battle of Somme in 1916. Cyanogen chloride, obtained in abundance was a powerful lachrymatory and choking agent. It diffuses the elements of the gas mask more readily than others. Having a high affinity for iron it readily reacts with the Fe3+​ of the cytochrome oxidase forming a complex that prevents oxygen utilization in the tissues. Sulfur mustard (HD) and nitrogen mustard(HNs), such as blister agents, destroy tissue and develop inflammation, erythema, and conjunctivitis. Sulfur mustards are highly significant of all since their application in the First World War. In fact, nitrogen mustards were not produced and used in huge amounts in warfare. Mechlorethamine, also known as mustine, nitrogen mustard, and NH2, was used as a cancer chemotherapeutic agent for many years. Lewisite developed in 1918 during the First World War was discontinued after the development of anti-​Lewisite in the 1940s. Second-​generation CWs relate to the nerve agents G and V that were used in the Second World War and during the 1950s and 1960s. They also act by impeding the AChE activity. The commonly used G agents are tabun (GA), sarin (GB), and soman (GD) while the commonly used (enzyme)V agents are O-​ethyl S-​(2-​diisopropylaminoethyl) methyl phosphonothioate (VX) and R-​33. Tabun is the first known nerve agent developed by German chemist Gerhard Schrader in the 1930s. The third-​generation weapons are the binary weapons comprising GB-​2, VX-​3, and IVA-​2 that were widely used in the 1970s and 1980s. Between 1980 and 1990 similar types of nerve agents were used and are the fourth generation weapons such as the binary Novichok A-​230 (Novichok-​5/​ methyl-​[1-​(diethylamino)ethylidene]phosphoramidofluoridate, A-​232 ([(2-​chloro-​1-​methylpropoxy)fluorohydroxyphosphinyl]oxy)carbonimidic chloride fluoride, A-​ 234 ethyl N-​[(1E)-​1-​(diethylamino)ethylidene]-​phosphoramidofluoridate. Compounds such as adamsite (DM), diphenyldichloroarsine (DA), chloroacetophenone (CN), diphenylcyanoamine (DC), chloropicrin (PS), and CS-​ gas (o-​ chlorobenzylidene malononitrile)are non-​lethal irritants. Amongst the lethal chemicals, the V-​series agents are 12 times more toxic than soman. Novichok 5 is 10 times more potent than soman and 5to 8 times than VX. The riot controlling agents are the chemicals that cause temporary incapacitation by causing eye irritation and upper respiratory tract irritation. Commonly called tear gases or mace, several of them were tested as CWs. Common lachrymators used earlier and at present are pepper spray (OC gas), PAVA spray, CS gas (2-​chlorobenzylidene malononitrile), CR gas (dibenz[b,f]-​1,4-​oxazepine), CN gas (1-​chloroacetophenone), bromoacetone, xylyl bromide. Among a long list of such agents, three agents, namely, the CN, CS, and CR are significant. CN is the most toxic lachrymator although CS burns more. CS is the most widely used and derives its name from the surnames Corson and Stoughton, the two chemists who 635

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synthesized it. They were first used by the British Army in 1958. There are three classes of tear gases. They are lachrymators that irritate the eyes, sternutators that cause sneezing, upper respiratory tract irritation, and vomiting agents that cause vomiting in addition. All these three are solid at room temperature and are administered as aerosols. Their impact is short-​lived, and the symptoms are felt within 10 to 30 seconds. Pepper spray is quite different in chemical makeup but is a tear gas as per CDC’s definition. It is derived from natural capsaicin. The use of tear gas in war is banned by the Geneva Protocol 1925. Tear gas was used by Italy in the Second Italo-​Ethiopian War. Spain used it in the Rif War, Japan in the Second Sino-​Japanese War, and the USA in the Vietnam War. The First World War led to over 1 lakh deaths and over a million casualties. The CWs provoke tumorigenesis and chronic inflammation that manifests as respiratory system lesions, ocular diseases, and skin anomalies. Asthma, nasopharyngeal, laryngeal, and pulmonary cancer, COPD, and bronchiolitis obliterans often result. Lewisite exposure leads to inflammatory reaction and apoptosis. Lewisite gets absorbed ten times faster than the mustards and produces more systemic responses. It gets bound to the sulfhydryl groups to inactivate them. Sulfur mustard causes blistering of lungs and skin. Upon inhalation, it results in shedding of epithelium ultimately leading to chronic respiratory and hemopoietic ailments (such as leukemia), a suppressed immune system, and so forth. Post-​traumatic stress and mood disorders are also frequent. The mustards are lipophilic and can readily permeate through the skin, clothing, and rubber. They passthrough the cell membranes, transform into sulfonium ions, and irreversibly alkylate DNA and RNA resulting in cell death. The hallmark of exposure to mustards is that there is a lack of symptoms. The rapidity and intensity of the development of symptoms depends on the mode of exposure. Gaseous mustard attacks the skin, eyes, and respiratory tract. Corneal opacity, ulcers, erythema is often the result. Liquid exposure results in dermal coagulation necrosis. Secondary bacterial infection of the lungs may develop into bronchopneumonia. Severe exposure damages the bone marrow causing leucopenia. Cyanide poisoning diagnosis may be helped by the appearance of a faint pale reddish hue on the skin. Low dose exposure to hydrogen cyanide brings weakness, giddiness, headache, nausea, vomiting, and confusion. With a higher level of exposure, a person develops painful respiration, cardiac irregularities, uncoordinated movements, hypoxic convulsions, coma, and finally respiratory failure. Blood agents are systemic agents and prevent the normal use of oxygen by the tissues by blocking particular enzymes. Their toxicity is by interrupting the electron transport chain (ETC) in the inner mitochondrial membrane. Tear gases act on the sensory receptors of skin and mucosa that make up the nicotinamide adenine dinucleotide hydrogenase (NADH) dependent enzyme system. The early symptoms of sarin, cyclosarin, and VX within the first three hours, are cellular meiosis, rhinorrhea or runny nose, headache, nausea, restlessness, anxiety, and hyperactivation of sweat glands. Tremor, convulsions, abdominal cramps, vomiting, diarrhea, and fatigue are also common. In the long term, a low-​grade fever develops, along with asthenopia, anemia, dyskinesia, dysesthesia, palpitation, sleep disorders, insomnia, and various behavioral problems. CS tear gas or [(2-​Chlorophenyl) methylidene]propanedinitrile causes heart, lung, and liver damage along with clastogenic impacts. The CN tear gas phenacyl chloride develops irritation of the mucous membrane, disorientation, dermatitis, and syncope.CR tear gas or dibenzoxazepine acts by activating the TRPA1 channel developing blepharospasm and lachrymation leading to temporary blindness, asphyxiation, lung edema, cancer, and lethality. OC tear gas or pepper spray elicits loss of motor control, ocular lesion, respiratory and skin diseases. Recalling the 636

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Vietnam War, 72 000 000 liters of chemicals were sprayed covering 10% of the nation which made 3 million people including 5 lakh children suffer. Several of the US military personnel fell ill and died because of dioxin exposure in Southeast Asia. A 2003 report says that 6.5 lakh Vietnamese were suffering from chronic diseases. The use of CWs in 1980 by Iraq led to nearly 50 000 casualties in Iran as of a 1991 report and the number has increased to 1 lakh. Iraq also attacked the Kurdish civilian population of Halabja with nerve agents. Out of 5000 tested in hospitals, 531 were moderately infected with reduced AChE from the 1995 sarin attack in the Tokyo subway. The symptoms included tremors, muscular spasms, weakness, breathing difficulties, and the like. Sarin was used by a Japanese cult in Matsumoto city. The Russian Spetsnaz team used Kolokol-​1 at the time of the Moscow hostage crisis in 2002 which resulted in 129 deaths. Kolokol-​1 is a super potent fentanyl analog-​carfentanilnearly a thousand times more potent than morphine and 100 times more potent than fentanyl. There is no particular antidote for the mustards. Affected persons are treated as burn injuries. The eyes are often washed with clean water. Antibiotics such as ciprofloxacin are used to treat any secondary infections. Blepharospasm is treated with the required dose of atropine. For sticky eyes, petroleum jelly can be applied. For skin Fuller’s Earth is used to decontaminate it and the blisters are treated with povidone-​iodine ointment. Pharyngitis caused by any inhalation is treated by an alkaline gargle. To relieve pain and itching analgesics and antihistamines are used. To relieve persistent cough, codeine is used. For Lewisite, British Anti Lewisite (BAL) or dimercaprol (2,3-​Dimercapto-​1-​propanol)is available. Lewisite acts by inhibiting anaerobic glycolysis that can be reversed by BAL. To treat cyanide poisoned victims, artificial respiration and oxygen are given. To dissociate cyanide from cytochrome oxidase binders such as amyl nitrite, sodium nitrite, and 4-​dimethylaminophenol are used. This triggers the cyanide ion to form cyanmethemoglobin. The use of sodium thiosulphate also can help in eliminating cyanide as thiocyanate. Hydroxocobalamin (Cyanokit) and kelocyanor are also effective to treat patients intoxicated with cyanide. Phosgene poisoning treatment is treated with a focus on inhibiting the development of pulmonary edema. Fresh air supply and artificial respiration are important. Cortisone and sodium bicarbonate are administered. Antibiotics are given if bronchitis or pneumonia develops. Theophylline, prostaglandins E1, and cholesterol palmitate use are also effective. Gas masks and respirators are protective against tear gas. Activists from the USA, Czech, Venezuela, and Turkey reported the use of antacid solutions or baking soda for repelling the impacts of tear gas. There is no specific antidote but breathing fresh air is primary. Diphoterine solution can be used for splashing the eyes to reduce ocular burns. Antihistamines are used to reduce lachrymation, runny nose, and sneezing. For treating nerve agent poisoning atropine, pralidoxime (2-​pyridine aldoxime methyl chloride), and diazepam are often used. Atropine competes with the ACh for the muscarinic ACh receptors and assists in protecting excess ACh accumulation during poisoning. There are powerful lines of connection of regulations of international law to the existing legislation. The St. Petersburg declaration, 1868 or ‘Declaration Renouncing the Use, in Time of War, of Explosive Projectiles under 400 Grammes Weight’ and fragments of the Geneva Protocol, 1925 are considered customary international law. The Brussels declaration on land warfare entitled ‘Project of an International Declaration concerning Laws and Customs of War,’ 1874 applied the same principle as the St. Petersburg declaration but was never enforced. Even today, the gas declaration of The Hague or ‘The Declaration on the Use of Projectiles with Asphyxiating or Deleterious Gases and the Hague Convention 637

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on Land Warfare,’ 1899 stands valid for the signatories and successor states. The second Convention, the ‘Convention with Respect to the Laws and Customs of War on Land,’ was passed in the same year. It established the minimum standards of humanitarian warfare. The poison attack near Ypres in 1915 triggered the first steps to transform the civilizing ambitions into lawful regulations of war. The process gained import in the Hague conferences as the platform of multilateral agreements on restricting weapons and also on the legalization of global conflicts with the help of international negotiation and command. The Hague conferences were branded by political activism. It was backed by the pacifist movements and a few global law scholar communities. But literature reveals that both the warring nations and the neutral nations protested against the application of poison gases or CWs. The UK accused Germany of violating ‘the laws of war of civilized countries.’ The justification of international relations led to treaty-​making in the 19th century. The various phases of the international law approach to poison gas might be characterized by three words: juridification, politicization, and circumvention or dodging of the law. The most notable example is the failure to support the Protocol at the International Military Tribunal in 1946–​48. It was obvious that Japan would be in violation and charged with the use of CWs and BWs against China. But these accusations never brought any reproach for Japan. Most of the countries agreed to ban the use of poison gas in the future after the experience of the First World War. After the war, the Paris Peace Conference was a formal meeting in 1919 where the Allies set peace terms for the defeated Central Powers. Britain, France, the USA, and Italy dominated the talks, and this culminated in five treaties. It restructured the entire map of Europe along with other parts. One of the most important decisions was the formation of the ‘League of Nations.’ The Treaty of Versailles, 1919 with Germany was dominated by Britain, France, Italy, Japan, and the USA. The treaty was very embarrassing for Germany and arranged for high-​priced compensation to be paid by Germany. The Treaty of Saint-​Germain-​en-​Laye was negotiated the same year between the Allies and the Republic of German-​Austria. The Treaty of Neuilly-​sur-​Seine demanded of Bulgaria to give up different territories. In 1920 the Treaty of Trianon officially ended World War I between the Allies and the Kingdom of Hungary. The Treaty of Sevres was signed between the Allies and the Ottoman Empire. Parts of the Ottoman Empire were handed over to France, the UK, Greece, and Italy. Apart from the prohibition of the use of poisonous and other gases, the treaties created a preventive sphere for the first time. The League of Nations became active in the spheres of arms control and to make the application of chemical weapons impracticable or at least to reduce their future use. The International Red Cross also submitted preventive measures to the general assembly of the League of Nations. In 1922 the five major Allies signed the Washington Naval Treaty (Five Powers Treaty), to restrict naval construction that puts restrictions on the construction of battleships, aircraft carriers, and so forth. It remains unratified by the participants and was never enforced. Finally, the Geneva Protocol or the ‘Protocol for the Prohibition of the Use in War of Asphyxiating, Poisonous or other Gases, and of Bacteriological Methods of Warfare’ emerged in 1925, later implemented in 1928, to prohibit the use of both chemical and biological weapons. In the 1980s the earlier weapon sites in Germany were tested for waste after a child died from an explosion in the basement of a residence in 1979. The explosion was caused by the chemicals from the Chemische Fabrik Dr. Hugo Stoltzenberg that were discarded. Research projects were launched to check the stockpiles and armaments wastes. Even after 638

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international treaties for averting the use of CWs, the Iraqi army under the Baath regime attacked Halabja with poisonous gas killing 5000 civilians within a few minutes. Previously this poison gas had been used during the Anfal Campaign against the Kurds in the border area of Iran and Turkey to destroy thousands of villages, deporting and killing 1 lakh people. It can be stated that the CWC has accomplished global adherence with small exceptions. There were several reports stating the use of CWs in Syrian Civil War including Khan-​al-​ Assal, Jobar, Saraqib, Ashrafiyat Sahnaya, Sharmin, Douma and so forth. Both the Syrian government and ISIL militants used CWs. Already in 2012 Syria admitted possessing CWs and simultaneously there were reports that terrorists were smuggling CWs from Libya and other countries into Syria via Turkey. After the requests by many of the Western States, the Independent Commission of Inquiry into Syria was established by the UN Human Rights Council in 2011 to commence investigations against the allegation that Syria possessed CWs and human rights violations. While investigations were ongoing, a large-​scale sarin attack in Ghouta killed hundreds of people. France and the UK mentioned various stockpiling locations of CWs like Khan Al Asal, Aleppo, Horns, etc. The OPCW (Organization for the Prohibition of Chemical Weapons) Fact Finding Mission in Syria inferred the chlorine use in 2014 and formed the OPCW-​UN Joint Investigative Mechanism to find out the culprit of chemical attacks. The Independent Commission of Inquiry into Syria reported 33 chemical attacks between 2013 and 2018 while the Human Rights Watch claims around 85. Though the Syrian Armed Forces was forced by the international community to agree to the supervised destruction, such attacks continued. The UN ordered the elimination of the CWs stockpile under international supervision along with financial support from over 20 nations. Despite such efforts, the OPCW confirmed several incidents of chlorine attacks. A summary of the major accidents from explosives is given in Table B XIV-​14.1-​1. Syria declared 41 CW stockpiles and 23 production facilities. They also declared possessing 1000 tonnes of Category 1 chemicals that are listed in Schedule 1 of the CWC. Denmark, Norway, Germany, the UK, China, Russia, and the USA assisted in eliminating CWs in Syria. The materials were packed in ISO labeled containers and taken to Latakia by road in 2014. From there they were taken by transport ships to treatment facilities in the USA, UK, Finland, Germany, and the like. It is almost a consensus opinion about North Korea’s possession of CWs that started in the 1960s and started large-​scale production in the early 1970s. It is estimated that North Korea possesses some 2500 to 5000 tonnes of varied CWs. The assassination of Kim Jong Nam, the half-​brother of Kim Jong-​Un with a type of VX throws light on the possession of CWs. The possession of chemical and biological weapons by North Korea was reported by the Central Intelligence Agency (CIA) in 2005 and then by the South Korean Ministry of National Defence in 2012. North Korea historically was a supplier of conventional weapons to Hamas and Hezbollah along with training in tunnel construction and the equipment needed. It is said that they have constructed tunnels under the no-​man’s land to gain access to South Korea.

14.1.2  The Evolution, Use, and Control of Bioweapons Since the origin and evolution of life, about 3.5 billion years ago, organisms have constantly used new means to eliminate each other. From bacteria to snakes, all use toxins, and these are all forms of biowarfare. Mankind does participate in such warfare by taking advantage of these organisms capable of producing toxins. Starting from the throwing of cadavers 639

Negotiations for Protection against Warfare and Disasters Table B XIV-​14.1-​1 Summary of the major incidents from explosives Year

Name of the disaster

Cause

Impacts

1917

Halifax explosion, Canada.

Blast fumes reached a height of 20000 ft, blast provoked a tsunami with 60 feet high waves. 2000 people killed and 9000 injured.

1945

Trinity Blast, near Alamogordo, New Mexico

1947

Texas City Disaster

French cargo ship with explosives collided with a Belgian vessel. The explosion was nearly equivalent to 3 kilotons of TNT Plutonium implosion device. Explosion with a force roughly 20 kilotons of TNT. 2300 tonnes of ammonium nitrate detonated.

1954

Bikini Atoll

1961

Tsar Bomba test, USSR

1986

Chernobyl, Ukraine

Testing of the Hydrogen bomb Explosion with a force roughly 50 billion kilograms of TNT. Nuclear reactor blast.

‘The gadget’ under the Manhattan Project was detonated

600 people were killed, 3500 injured, 2 planes blew out of the sky, nearby refineries and another cargo vessel carrying 1000 tonnes of ammonium nitrate detonated. 1000 times more powerful than atomic bombs. test

Reactor lid blown off, 200000 square kilometre area of Europe contaminated, Nearly 600000 people exposed to radiation. More than 3.5 lakh people evacuated from the contacted area.

into the water supply to contaminate it, to the use of botulinum, aflatoxin, abrin, smallpox, Yersinia, Clostridium for inflicting damage and destruction on the other side, are all forms of biowarfare. The ease of its availability and the disruption it causes led the scientists to call it, the‘Poor Man’s Nuclear Arsenal.’ These weapons have low conspicuousness, higher potency, easy accessibility, and easy transport and distribution. With advancement, today’s bioweapons are more lethal and can trigger mass destruction even before suspected. The use of genetic engineering, along with information technology, has made it possible to design bioweapons of choice. The rampant progress of SARS-​CoV-​2, the helpless people, the desperation for the vaccine, left us clueless, paralyzed, and panicked. Hopefully, it will teach us efficient responses to and handling of these bioagents sensibly and ethically. One of the fundamental principles of science is the notion that all research is carried out with sound scientific methods that would add value to our civilization. But, of course, a country, a radical group, or a terrorist organization could misuse such outcomes of research to harm innocents. We all appreciate that biotechnology could be a possible solution to heal the world. It can be used for increasing crop yields, making cultivation possible under stressed conditions. It can contribute towards reducing the world’s hunger. It may lower the requirements for fertilizers and pesticides, increase the nutrient profiles of crops, making the plants free from 640

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toxins, thus contributing to improving health. It contributes towards energy conservation by lowering the temperature requirement for chemical reactions, reducing water usage, water treatment, waste treatment, and a host of other activities. The choice is ours, how we use it. Biotechnology is defined as ‘the application of science and technology to living organisms, as well as parts, products and models thereof, to alter living or non-​living materials for the production of knowledge, goods and services.’ It is the technology based on biological science that couples cellular and biomolecular processes to develop technologies and products to assist in the improvement of our lives and the health of the planet. Such use dates back over six thousand years, for example, making bread and cheese. The synthetic biology domain comprises recombinant DNA technology, gene manipulations, designing, and improvement of designs, redesigning, and production of biological entities such as enzymes, genetic pathways, and cells. Presently there are over 250 health care products and vaccines available for treatments that were previously untreatable. New ways have come up for the treatment of diseases with the advances in biotechnology. Clinical trials have proved the successful prevention of Alzheimer’s disease progression in mice with gene therapy. New gene therapy techniques could accomplish the first-​ever reversal of ‘sickle cell anemia’ in a French adolescent. Biotechnology can be used to lessen carbon emissions and thereby help in GHG mitigation and environmental homeostasis. The oil-​based raw ingredients in the plastics industries can be substituted by sugar by using microorganisms. With biotechnology, wastes could have better biodegradable properties and landfills managed more effectively, leaving a small footprint. Sewage can be treated with bacteria such as Pseudomonas and Mycobacterium. Oil spills and nuclear wastes can also be treated with biotechnology. Recently the invention of CRISPR technology along with its Cas9 enzyme has revolutionized the arena of ‘genome editing.’ The Clustered Regularly Interspaced Short Palindromic Repeats (CRISPR), as is called, made small fragments of harmful DNA to be snipped off and replaced with regular sequences. Editing by CRISPR involves altering these sequences, and this would change the messages instead. CRISPR-​Cas9 can be used to insert cuts in the DNA and trick the cell’s natural DNA repairing mechanism by introducing the changes we desire. Such applications need not necessarily be fatal or harmful to change our lives. Revolutions in biotechnology are profoundly positive and negative across the globe. Man has been practicing changing plants and animals for ages, originally through selective breeding and more recently through tools at the molecular level. It creates the potential for progress in healthcare, agriculture, and environmental issues. Yet, the ever-​ increasing diversification presents new ethical challenges and risks, namely the bioweapons and biowarfare. With such equipment in our hands, we even talk of ‘designer babies.’ The technologies make it possible to have children with no biological parents, or bring back the extinct wooly mammoths, or might develop human organs in pigs or recreate the entire human genome! Biotechnology in doing many wonderful things may nevertheless create unequal societies.

14.1.2.1  Application of Biotechnology for an Apocalypse We have read about the Spanish Flu, and other incidents of the past, and read about a few scattered contemporary events and attacks but witnessing and living such events is not what we have dreamt of ever. Many countries in the world have well-​organized research labs, fund allotments, and appear to be well prepared against chemical, biological and nuclear 641

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attacks. However, COVID 19 has shown us that ‘well preparedness’ is just not enough, and we need to think a hundred times before we take a step forward to revert to the application of biotechnology.The bioweapons are most made by use of biotechnology. Biotechnology can be used and abused.

14.1.2.2  The Early Use of Bioweapons Hannibal of Carthage achieved a win over King Eumenes II of Pergamon by throwing vessels filled with venomous snakes into his ships in 184 BC during the battle of Eurymedon. In the fourteenth century, the Tatar force threw plague-​infected corpses in the enemy groups andthe Mongols also threw plague infected cadavers into the Caffa of Crimea to spread the disease. In the French and Indian War of the eighteenth century, blankets that had been used by smallpox victims were given to the native Americans. Anthrax, glanders, cholera, and so forth, were used during the First World War. The Japanese army exposing three thousand prisoners to plague, anthrax, and syphilis during the Second World War was one notorious example. In 1944, the United States stockpiled enough quantities of botulinum toxin and anthrax for use as a response if German forces decided to use their bioagents first. The British carried out trial tests in 1952 including Operation Cauldron. The accidental release of anthrax from Sverdlovsk, then Soviet Union, killed a minimum of 66 people in 1979, denied earlier but confirmed in 1992. Iraq started the bioweapon program in 1985, making anthrax, aflatoxin, and botulinum. They admitted the possession of Scud missiles, rockets, spray tanks as delivery means after the Persian Gulf War. Around 751 people were intentionally infected with Salmonella in 1984 by the followers of Rajneesh. A similar attempt was made in Tokyo to spray anthrax by the Aum Shinrikyo cult in 1994. Many of us can recall anthrax smeared letters delivered to the United States government offices in 2001. There are innumerable instances of the use of biological agents and their toxins throughout human civilization. What is worth noticing is the evolution of these bioagents and the increasing threats that they pose to us.

14.1.2.3  The Soviet Union Program of Bioweapons The former USSR or Soviet Union continued undercover and unlawful offensive bioweapons programs in the early 1990s. Their massive army program called ‘Biopreparat’ had a civilian cover that employed around 50% of the USSR’s sixty thousand workers in over 18 bioweapons (BW) facilities (see Figure B XIV-​14.1.2-​1). The yearly allotment in the eighties was around tens of millions of US dollars. Their research activities pursued the most contagious and lethal diseases such as plague and smallpox. Surprisingly, the USA primarily worked with organisms non-​contagious to humanity such as anthrax and tularemia. The operation was so secretive that it became known to the United States intelligence only in 1989 only after one of the USSR scientists defected to the United Kingdom. It was Dr. Vladimir Pasechnik, who was a top-​ranking secret scientist and also the Director of the Institute for Ultra-​Pure Biological Preparations in Biopreparat. He reported the wide-​ ranging research program in 1989 after he absconded to the United Kingdom. He revealed further information about the development of novel bioweapons through genetic engineering. The topmost priority was given to enhance the lethality of plague and tularemia. They strived to develop successive generations of tularemia cultures by inserting engineered plasmids that would become resistant to all known Western antibiotics. The USSR had stocked 20 tonnes of dried, plague powder. Germs such as plague, anthrax, and smallpox could be delivered through spray tanks, cluster bombs, intercontinental ballistic missiles. 642

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643 Figure B XIV-​14.1.2-​1 Biopreparat locations for bioweapons programs during the 70s and 80s.

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In 1992, another scientist who defected to the United Kingdom, known by the code name ‘Temple Fortune,’ corroborated the earlier statement. The USSR continued clandestine operations even after the announcement of their termination by Mikhail Gorbachev and subsequently by Boris Yeltsin. The scientists reported the making of an avirulent super-​ plague in a stored system that could be transformed into a lethal one before weaponization. This is known as a binary biological weapon where the benign pathogens could be mixed with virulence augmenting plasmids just before the loading process. A third defected scientist KanatjanAlibekov disclosed that the Russians, by 1992, had a total of 52 pathogens or combined agents such as Marburg, Ebola, smallpox, and so forth. They labeled the deadly infectious and easy to produce and transport pathogens as ‘battled strains,’ anthrax being their favorite. Alibekov also disclosed the research towards the creation of totally novel forms of life. The first chimera was made by the insertion of Venezuelan equine encephalitis viral DNA into the vaccinia gene. He also mentioned the transference of the myelin toxin gene to Yersinia pestis. The accidental release of Bacillus anthracis spores in 1979 from the Sverdlovsk facility killed 66 people.

14.1.2.4  The New Generation of Bioweapons and the Controversy Regarding SARS-​CoV-​2 Bioweapons have been in use multiple times in the history of mankind, but what is trending is the tailored making of pathogens that would be more virulent and lethal. Recreation was first made possible by De. Eckard Wimmer in 2001 when he created the poliovirus. Dr. Jeffrey Taubenberger and Terrence Tumpey recreated the influenza virus of 1918 again in 2005. The application of genetic engineering allows phenomenal changes in the characteristics of the organisms. Such changes can be achieved by adding, altering, or deleting genetic sequences. With the advancement of knowledge, increased ability to synthesize DNA, and computation capability, the capacity for creating biological weapons increased manifold. The United States evaluated the effectiveness of Fusarium along with its genetically engineered version to be used against coca plantations from which cocaine is obtained. Many of the well-​known universities and institutions across the globe have both the expertise and technology that could produce such deadly strains of pathogens. It is not surprising that terrorist groups have easy access to this knowledge. Iraq was possibly deterred from biological and chemical warfare during the Gulf war, fearing an overwhelming nuclear attack. The possibility of genetically engineered bioweapon use by terrorist groups is low, but the consequences of such an occurrence would be enormously great. The French Nobel laureate in Medicine of 2008, Luc Montagnier, ignited controversy claiming that SARS-​CoV-​2 producing COVID 19 had been created in the laboratory. Worth mentioning is that Luc Montagnier co-​discovered Human Immunodeficiency Virus (HIV) along with Francoise Barre-​Sinoussi. WHO scientists studied around 15 000 sequences of this virus. Subsequently, during the virtual briefing, they reported that this virus is natural in origin. As of 7 August 2020, the SARS CoV-​2 virus has infected over 19.3 million people, killing more than 7.18 lakh people worldwide. Studies were conducted by the Scrips Research Institute in the USA, which were subsequently published in Nature on 17 March 2020. According to them, SARS-​CoV-​2 binds perfectly to the ACE-​2 receptors of humans, and such precision would not have been possible to design. Before this, another publication in Nature in February reported a 96.2% similarity between SARS-​CoV-​2 and BatCoV 644

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RaTG13. The BatCoV RaTG13 virus is found to reside in the intermediate horseshoe bats. This 3.8% difference of about 800 nucleotides links the virus to its host as different strains.

14.1.2.5  Phases in Weapon Development and Requisites The evolution of chemical and biological weapons can be broadly divided into 4 phases. In the first phase of World War, we witnessed the use of chlorine and phosgene. Nerve agents such as tabun marked the second phase with anthrax and plague bombs in World War II. The use of Agent Orange in the 1970 Vietnam War and then a group of mid-​spectrum agents such as Novichok marks the third phase. Agent Orange brought crop destruction and defoliation. Novichok has both chemical and biological properties of auxins, physiologically active compounds, etc. The period of the biotechnological revolution and genetic manipulation marks the fourth phase. The first reported biowarfare was in 1347 with plague-​infested bodies into the Black Sea port of Caffa to Pontiac’s Rebellion throwing small pox infected blankets to the Indians in 1763 to the Cold War period and thereafter, a few notable ones are shown in Figure B XIV-​14.1.2-​2. The usage of bioweapons depends on numerous factors such as research, advancement, and demo programs, devising strategies for testing the efficiency of the properties, mass-​scale production of the pathogen, maintaining such lethal and pathogenicity during deliveries, storage, and stockpiling of agents. Instances were thereof using a minuscule ricin pellet that was inserted in the target using the umbrella spike. A bioweapon comprises the bioagent coupled with a delivery tool. Microbe proliferation is quite easy as compared to its dissemination. The development of bioweapon requires infrastructure and expertise. Well-​funded terrorist groups manage to hire scientists to gather knowledge on weaponization techniques.

14.1.2.6  Categories of Genetically Engineered Pathogens The genetically engineered pathogens discussed below fall into six groups, and approach a spectrum of possibilities in which countries, organizations, or individuals can use them as their weapon of choice. Binary bioweapon: Comprises of a two-​part system and already exists, as mentioned earlier. Independently, the elements are safe to handle, but when combined, become lethal. The system may involve a virus as a helper or avirulent bacterial plasmid (see Figure B XIV-​ 14.1.2-​3). Let’s say, for example, Hepatitis D with Hepatitis B as the helper virus. Both of these need to infect cells simultaneously. They are usually sexually transmitted or through contaminated needles. Hepatitis D infection alone is not possible, but in combination it makes use of the proteins expressed by the Hepatitis B virus to increase its virulence. Other examples of virulent plasmids are Yersinia pestis, Bacillus anthracis, Shigella dysenteriae, and Escherichia coli. In the wrong hands, these could be impending threats. Designer genes and life forms: When the human genome project was complete, it flagged the ways to understand complex genetic information. The human genome project, again, can be used to produce novel life forms. The genome sequence of 599 viruses, 205 natural plasmids, 31 bacteria, 1 fungus, 2 animals, and 1 plant is already recognized. All this information can be used to develop synthetic viruses and organisms. Recombinant 645

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646 Figure B XIV-​14.1.2-​2 Notable past incidents that involved bioweapons.

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Figure B XIV-​14.1.2-​3 Process of making bioweapons.

DNA technology genes could be inserted to change the genetic properties. For instance, take the example of insulin production in bacteria. This is beneficial and lifesaving, but one cannot overlook the perils because the same techniques can be used to program organisms into infectious organisms. Interested countries and organizations can now use the genomic database openly and design as per their requirement. All genes responsible for virulence and evading immune response can be used from the microbial genomic database. Researchers from Wisconsin University had partially constructed the Spanish flu strain of 1918 in 2004 through reverse engineering. The scenario might change in the coming few years, where synthesis could become more simplified. Just imagine that the Spanish Flu in 1918 has killed a minimum of 20 million people across the world and what could happen in the present scenario with 7 billion-​plus people! Gene therapy: often spoken for treating many genetic diseases in humans where the defective gene/​genes are replaced with a normal gene/​gene to improve the patient’s condition. 647

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Such a healthy gene transfer needs a vector for reaching the target. The commonly used vectors are genetically altered viruses that bear the normal human DNA sequence. They can be retroviruses, adenoviruses, herpes simplex viruses, etc. Two types of gene therapy can be practiced. Germline therapy can correct the defective gene and is passed through generations or simply inherited. Alternatively, somatic cell therapy affects only the individual that received the treatment. The same can be done in animals too! Promising results were obtained by the Michigan University and the Kansai Medical University of Japan when used for the restoration of hearing in mature animals. On the contrary, Australian researchers developed the mousepox virus trying to prevent plague in the mice population. Instead of saving, it killed almost all the mice. The mousepox creation was unintentional but had the possibility of being fatal. However, gene therapy has a promising future but has threats to create new bioweapons.

Table B XIV-​14.1.2-​1 Important bioagents that can act as bioweapons Bacterial diseases

Pathogen

Anthrax Plague Brucellosis Glanders Plague Q fever Rocky Mountain spotted fever Psittacosis Tularemia Typhus fever

Bacillus anthracis Yersinia pestis Brucella suis, B. melitensis, B. abortus Burkholderia mallei, B. pseudomallei Yersinia pestis Coxiella burnetii Rickettsia rickettsii Chlamydia psittaci Francisella tularensis Rickettsia prowazeki

Viral diseases

Pathogen

Smallpox Viral encephalitis

Variola major Venezuelan equine, eastern equine, tick-​borne encephalitis virus Ebola, Marburg, Congo-​Crimean virus Junin, Machupo, Sabia, Flexal, Guanarito virus Hantavirus

African hemorrhagic fever South American hemorrhagic fever Haemorrhagic fever with renal syndrome and Hantavirus Pulmonary syndrome other

Rift Valley, Lassa, yellow fever virus

Fungal diseases

Pathogen

Rice blast Rye stem rust, wheat stem rust

Magnaporthe grisea Puccinia graminis forma specialistritici

Biological toxins

Source

Botulinum toxin Enterotoxin B Epsilon toxin Ricin Shiga toxin

Clostridium botulinum Staphylococcus aureus Clostridium perfringens Ricinus communis (castor bean) Shigella dysenteriae, S. flexneri

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Stealth viruses: This work is similar to gene therapy and comprises cryptic viral infection that gains entry and spread in human cells through the use of vectors. After entering, they may remain in dormancy till they are activated by some internal or external factors. An oncovirus may enter the host cell; remain dormant till an exogenous signal may activate the host cells to become abnormal, ultimately leading towards death. In the hands of the perpetrator, such viruses can be engineered and made to infect the entire population and blackmail and threat to activate the pathogen. Such a bioweapon is futuristic but not impossible. Hot Swapping diseases: Most of the viruses are non-​pathogenic and exist in evolutionary equilibrium. The virus either gains virulence or moves out of the host range on the disruption of the equilibrium. While entering a different host species, it might get mutated. Animal viruses residing in the host reservoir do little harm to their host. Consider, for example, the Hantavirus in the rodents, the Ebola virus in bats, and the eastern equine encephalitis virus in waterfowls. Moving out of natural hosts may turn these viruses into lethal pathogens. Such diseases can be a potential bioweapon as categorized by the CDC. Designer Diseases: Molecular biology knowledge has reached a point where diseases can be first conceptualized, and subsequently, pathogens could be produced with the desired impact. These diseases may attack the host immune system, reactivate dormant genes to cause destruction, or may trigger the host cell to apoptosis. Such futuristic diseases are not unlikely and can be lethal bioweapons.

14.1.2.7  Biowarfare and Its Consequences Biowarfare is the deliberate utilization of microorganisms and toxins to trigger diseases and/​or kill cattle, crops, and humans (see Table B XIV-​14.1.2-​1). All three categories of bioweapons, chemical weapons, and nuclear weapons, exhibit the shared property of inflicting mass annihilation; even though biowarfare is somewhat dissimilar. Biowarfare could be traced to hit economic targets such as crops, livestock, and the environment. Further, they lead to a disease outbreak in the form of endemics, epidemics, and pandemics. Of all three lethal weapons, bioweapons are the most feared ones. Biological warfare constantly threatens human health, food security, and environmental resources. Anti-​crop warfare agents such as herbicides and defoliants may result in famines, malnutrition, and economic breakdown. The World Wars have witnessed the cases of late blight in potatoes, anthrax, wheat rusts, etc. Foodborne pathogens cause morbidity from six and a half to thirty-​three million cases and up to nine thousand deaths in the United States every year. These incidents can be attributed to Salmonella typhosa, Campylobacter jejuni, Escherichia coli, Listeria monocystogenes, Staphylococcus aureus, and Clostridium perfringens. Whitefly transmitted viral disease of crops brought severe economic losses amounting to 50 million US dollars in the Dominican Republic in the mid-​seventies. Even the use of cocaine, heroin, marijuana, derived naturally, or by genetic engineering is another form of biowarfare. Biotechnology that promises to save lives can also be misused to kill masses. This is known as black biology. This revolution in biotechnology could be considered as a potential ‘Revolution in Military Affairs’ (RMA) and requires 4 essentials –​technology progression, integration of novel technology in army systems, army functioning invention, and structural adaptation. The human genome is sequenced. Gene therapy would permit the replacement and mending of the defective genes. Gene therapy promises to be the holy grail 649

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of modern medicine. Molecular genetics, genome sequencing, gene splicing has the potential for dual-​use. Paradoxically the biotechnology that is used to produce novel drugs or vaccines could be utilized to develop dangerous virulent weapons. So, science that could be employed to protect lives can also be utilized to kill people. Increased biotechnological knowledge results in the inclination of the terrorists to perpetrate mass fatalities and amplified desolation. President Clinton got highly sensitized after reading the 1997 fictional novel ‘The Cobra Event’ by Richard Preston about a genetically engineered super-​virus. This led him to issue 2 Presidential Decision Directives to address the national security deficiencies. It was in response to the 9/​11 attacks and numerous anthrax smeared letters sent in various places that President Bush launched the Homeland Security Council to coordinate the various efforts of around forty institutions at a national level to have preparedness for the unexpected in the future. The anthrax of 2001 was a known strain and not contagious, but they are quite stable and can remain viable for years. But genetically altered pathogens could prove a much more difficult challenge. The Atlanta-​based Centers for Disease Control and Prevention (CDC) leads in tracking epidemics globally. It had carried out investigations on the outbreak of Ebola, Marburg, Hantavirus, and others. The genomic sequence of smallpox was known and hence feared to be manipulated. The only authorized laboratories for smallpox globally are the American Centers for Disease Control and Prevention and the Russian State Research Center for Virology and biotechnology situated in Koltsovo. But it could be apprehended that such cultures might have been transferred elsewhere. The nations to upkeep the bioweapon capability of research facilities include Russia, China, Iran, Iraq, North Korea, Syria, Libya, India, Pakistan and Egypt, Israel, and Taiwan. Many developed nations have some sort of defense capability against bioterrorism. This generally includes the deployment of a ‘military mission-​oriented protective posture’ (MOPP) kit and non-​combatant ‘hazardous material’ (HAZMAT) responder spacer outfits. Vaccines and antibiotics to such intimidations are stocked, which seemed to be very significant. The bioweapons are unique in their indiscernibility and deferred impacts. It not only cause sickness but creates panic and uncertainty. It can paralyze the government, military responses, and trigger a social and economic breakdown. The choice of bioweapons is usually determined by the technical, financial, and economic potential of the attackers. The risks of infectious diseases emerge and re-​emerge regularly. For instance, consider the appearance of bird flu. Both the H5N1 avian influenza virus and the H1N1 swine flu virus resulted in mild pandemics between 2009 and 2011. The bird flu virus emerged in 1997 and in ten years culled around three hundred million birds with over 200 connected human deaths. It appeared in Hong Kong but with time had spread across Asia, Europe, and Africa. Two small clustered sequence of H5N1 was thought to be responsible for a human to human transmission. The H5N1 virus underwent mutations and recombinations with the human-​adapted influenza virus, which could make the possibility of easy transmission amongst humans. Researchers have developed bio-​armory with potent antibiotics, antiserum, toxoids, and vaccines to neutralize and evade a vast pool of these threats. Biotechnology seems to be a double-​edged sword –​for good as well as evil. Once the knowledge is gained, there is no going back. The Biological Weapons Convention {‘Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction’} was put to the signature on 10 April 1972 and was implemented since 26 March 1975 following the requisite ratification. As of 2019, the Convention has 183 Parties. Preceding this agreement was the ‘Protocol 650

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for the Prohibition of the Use in War of Asphyxiating, Poisonous or other Gases and of Bacteriological Methods of Warfare’ (Geneva Protocol) that was put to signature in 1925 and enforced in 1928. Worth mentioning is the National Bioethics Advisory Commission that was formed in 1995 by the Clinton administration to deal with the ethical implications of biotechnology. The threat of genetically tailored pathogens shall persist in the future, as was evident from the past covert use of conventional bioweapons. Genetically engineered weapons are cheaper as compared to nuclear weapons. With a boom in information technology and globalization, access to materials and knowledge is secure. Biological weapons have long-​lasting impacts as they can self-​propagate, with the dissemination process being comparatively simple from infected persons. The attackers can easily conceal their identity, and new sophisticated pathogens could be produced. All these features provide biological weapons with advantages over other weapons. Biodefense is a contested area that receives contradictory views. Some people are for heavy investments despite being a low threat, while others believe that civilian protection under such attacks is nearly impossible. Biodefense comprises a series of measures that are both active and passive. Active defense averts the bio attacks from reaching target areas. That requires interception. Destruction of weapons without dispersal is difficult. The passive defense comprises the preventive steps to minimize health impacts. It comprises risk assessment detection means, protection gears and equipment, diagnosis, and medical countermeasures. A vigorous, well-​conceived, state-​of-​ the-​art technology, based on information and communication technology, is the key to the success of biodefense preparedness and response. The Defence Research and Development Organization (DRDO) in India is the biodefense core. Its significant laboratory is the Defence Research and Development Establishment at Gwalior, MP. It focuses on threats such as anthrax, brucellosis, plague, smallpox, botulism, viral hemorrhagic fever amongst many.

Table B XIV-​14.1.3-​1 Comparison between fission and fusion reactions

Concept Occurrence Byproducts

Requirement Energy production Application

Fuel

Fission

Fusion

Large atoms are split into two or more smaller nuclei Not natural usually Several high radioactive particles produced

Uniting two or more lighter atoms to make a bigger one. Occurs spontaneously in the sun. few radioactive particles produced; with a fission trigger many radioactive particles produced Require high density and high temperature.

Require high-​speed neutrons and critical mass A million times more than that produced in a chemical reaction. The principle is used in atom bombs, nuclear reactors Uranium 235 U +​ n =​ 23692U 92 Thereafter, 236 U =​144  56Ba +​ 8936Kr +​3n +​ 92 177 MeV

651

3 to 4 times more than the energy produced by fission. The principle is used in the hydrogen bomb. Using it for power production is still in the experimental stage. Deuterium or Tritium 2 Deuterium +​ 31Tritium =​4 2He +​ 10n +​17.6 1 MeV

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Biosecurity has to turn out to be a crucial component of national security, especially for industrialized nations. Apart from protecting the army, biodefense initiatives have become an integral part of homeland defense. Many biosensors using fiber optic and electrochemical devices have been designed. They can detect microbes in food, clinical and military applications. Immunosensors are used to detect Candida and Bacillus. Polyvalent immunosensors are designed to detect specific genetically altered agents. As a control, national laws should be drafted and implemented. The use of precursor chemicals leading towards weapons should be monitored. Databanks at both international and national levels should be launched to monitor any such trafficking. More emphasis should be placed on research in anti-​biowarfare and anti-​bioterrorism such as the protective wearing of hoods, gloves, boots, masks, tunics, and protectants (soaps, hypochlorites, antidotes), and the like. Concerns shall remain strong with current developments of what is called ‘synthetic biology.’ It is the scientists that must be aware of the potential abuse of biotechnology. It is the scientific community that enjoys access to information and understands the intricate molecular mechanisms. Hence, they must act as watchdogs to society and blow the whistle with the intent to maintain peace and benefit humanity.

14.1.3  Nuclear Weapons Nuclear energy instills a sense of fear in us due to its extremes both as a weapon and as a source of power. Both fission and fusion follow chain reactions and hence could become uncontrollable with increasing reaction cycles. In fission reactions, the neutrons bombard the unstable isotopes whereas the fusion reactions demand the development of extreme temperatures and pressure. Fusion reactors are still in their experimental stage though artificial nuclear fusion was first achieved by the creation of hydrogen bomb. Fission reaction from a nuclear reactor generates waste or spent fuel that is inherently dangerous and takes thousands of years to lose its hazardous levels of radiation. A comparison between the two is given in the Table B XIV-​14.1.3-​1 below. Many of the countries have a good record of their nuclear power plant except for a few instances such as Three Mile Island, Chernobyl, and Fukushima Daichi. The anti-​nuclear movement emerged in 1961 at the peak of the Cold War through the demonstrations by nearly 50,000 women who marched in sixty cities to exhibit against the use of nuclear weapons. This social movement was led by Bella Abzug. In 1947, the first experimental nuclear reactor for peaceful purposes started working in Chalk River, Ontario followed by the launch of the nuclear facility in 1951 known as Breeder Reactor-​1. The USA launched its first nuclear submarine, the Nautilus in 1954. Nuclear energy for power production ranks third in the world in terms of the source after coal and hydropower. It is the way of our use and application that can differentiate between good and evil. It has been over twenty years since the Cold War ended, but even today thousands of nuclear weapons exist and present a global threat. The existence of large stockpiles of such weapons increases the risks of accidents and unauthorized use. Command and control systems are imperfect and can lead to sabotage. A nuclear explosion could kill millions of people, can result in the sun-​like temperature in the blast center, and create torpedo-​like winds. Nine countries possess nuclear weapons that are enough to destroy the earth more than a hundred times. More than 1800 metric tonnes of weapon usable materials such as highly enriched uranium and plutonium are stored in around 25 countries with poor security. The technology to make a nuclear bomb is no longer controlled by the state due to the spread of Information Technology and 652

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cyber-​terrorism. Regional rivalries in the Middle East and parts of Asia pose more threats Countries such as Ukraine, Belarus and Kazakhstan surrendered their nuclear weapons after breaking from the USSR. South Africa dismantled their weapons voluntarily. More stringent surveillance and verification regime were applied to Iran. But that is not all to avert the complex unpredictable threat. Going into the past, two nuclear bombs have been used so far. The first one was at Hiroshima on 6 August 1945, yielding about 20,000 metric tonnes of explosive that killed a minimum of 50,000 people immediately. The second one named ‘fat man’ was at Nagasaki, three days later. The twin of the Nagasaki bomb was tested as Trinity blast in Alamogordo Bombing and Gunnery Range, New Mexico under the Manhattan Project. This Project was the code name for the American effort to construct nuclear weapons during the Second World War. The Americans feared that the German scientists had been working on a nuclear weapon since the 1930s. Much of the project was under the supervision of Robert Oppenheimer, who is known as the ‘father of the atomic bomb.’ The Hiroshima atomic bomb was nicknamed as ‘Little Boy’ that contained as its essential core about 60 kg of U-​ 235. It was dropped by Boeing B-​29 Superfortress Enola Gay. It exploded with an energy of nearly 15 kilotons of TNT. The uranium -​235 was separated at Oak Ridge Tennessee in 1944-​1945. The blast released intense neutron and gamma radiation. Its lethal radius was around 1.3 kilometers. The Nagasaki ‘fat man’ was an implosion-​type nuclear weapon that contained around 6 kg of plutonium artificially made in 1943 in the nuclear reactors by converting abundant U-​238 through neutron capture into Pu-​239. Neutron was discovered in 1932. The fission of U-​235 gave rise to energy and over 2 neutrons on average in a nuclear chain reaction. The two nuclear blasts killed a total of more than 2 lakh people. The Manhattan Project benefitted from the participation of British scientists and others from Europe. In 1949, the Soviet Union detonated their first nuclear explosion, RDS-​1 or ‘‘JOE-​1’ in Semipalatinsk, Kazakhstan though the Manhattan scientists never thought it to be that early. China conducted its first test with a 22 kiloton high explosive uranium (HEU) implosion device named 596 in 1964. One hundred and thirty tests have been conducted by the USSR on the Novaya Zemlya Island in the Arctic Ocean. The USA tested over hundred in the Pacific. Several tests were also conducted by other countries such as France and UK. This is mainly to check the design, successful deployment, and reliability of the weapon. Uranium 235 and Plutonium 239 were selected to undergo ready fission. In a fission weapon, the neutrons are made to collide with an atomic nucleus to split it into smaller atoms accompanied by the release of a huge amount of energy. The size and speed of the chain reaction are regulated based on its purpose. The fission process becomes self-​sustaining when neutrons generated by splitting an atom strike neighboring nuclei to produce additional fission. This chain reaction results in an atomic explosion. The Little Boy dropped on Hiroshima, used Uranium-​235 while the Fat Man dropped on Nagasaki, used Plutonium-​239. The implosive bomb nicknamed ‘gadget’ was also a plutonium device that was detonated under the name ‘Trinity’ by the US Army in 1945 as a part of the Manhattan Project. In both cases, the traditional explosives are detonated to squeeze a fissionable substance uranium or plutonium into a supercritical mass to split the atoms like wild. (see Figure B XIV-​14.1.3-​1a). Fusion reactions use two heavy isotopes of hydrogen, deuterium, and tritium to release neutron and energy. Fusion can be used inside a fission explosion to make the weapon more efficient. Hence the yield is increased beyond that of the implosion device. The high-​energy neutrons collide with the fissile element which eventually releases more neutrons than produced by a normal fission 653

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Figure B XIV-​14.1.3-​1a Different models of atomic bombs.

reaction. These are known as boosted weapons that use a small quantity of fusion fuel. The deuterium /​tritium gas is placed into a hollow pit placed in the center of the fissile pit. With the start of fission, the high temperature produced would trigger fusion and high energy neutrons release. Such neutrons would trigger more fission chain reactions boosting the efficiency of the fission weapon. Thermonuclear weapons, also known as hydrogen bombs, also use primary fission to provoke a secondary fusion. The X-​rays generated out of the primary reaction boost the secondary reaction (see Figure B XIV-​14.1.3-​1b). They can be more than a thousand times more powerful than atomic bombs (see Figure B XIV-​14.1.3-​2). The massive release of high-​energy neutrons from the fusion reaction can even trigger the non-​ fissionable U-​238 to fission and release a massive explosion. One important advantage of this weapon is to contain huge amounts of explosives into small lightweight packages that are easy to deliver by missiles. The USA first tested a thermonuclear weapon called ‘Ivy Mike’ on the Enewetak atoll in the Marshall Islands in 1952. The USSR counterbalanced it with ‘JOE 19’ in 1955. This was followed by Britain in 1957 at Christmas Island and then by China at Lop Nur in 1967, and France in 1968 at Fangataufa Atoll. Apart from the ones mentioned above, there exist other types of nuclear weapons. A neutron bomb is a thermonuclear weapon comparatively small in size but releases a huge number of neutrons that kills living organisms but results in less fallout. A salted bomb is a nuclear weapon surrounded by cobalt gold and other materials that produce long-​lived large fallout. An electromagnetic pulse weapon (EMP) generates an electromagnetic pulse that could damage the electronic devices in a wide area. Then there are antimatter bombs that could release energy by the reaction between matter and antimatter.

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Figure B XIV-​14.1.3-​1b Different models of atomic bombs.

The Cold War period drove to develop the nuclear weapons. The USA stockpiled more than 32 000 warheads of various types from 1945 to 1991 and reached their peak in 1966. In the 1990s many of such weapons were dismantled to comply with negotiations such as Strategic Arms Reduction Talks. By 2010, the USA possessed nearly 9400 warheads out of which 2468 were operational and the rest were spares or reserves. Of this 500 were non-​strategic and the rest were strategic. Out of the 500 non-​strategic arsenals, two hundred were positioned in Europe. The Soviet stockpile of nuclear weapons reached its peak in 1988 with 33 000 warheads with an additional 10 000 previously positioned but retired warheads. The dissolution of the USSR led Russia to dismantle the weapons. It was estimated that around 12 000 warheads remained by 2010 of which 4600 were serviceable. Out of this 4600, 2600 were strategic and 2000 were non-​strategic. At the end of 2010, Britain reduced its weapons to 225, France to 300, and China to 240 warheads. The number of nuclear weapons has dropped down from 70 000 in 1986 to 14 000 currently. The world seemed to draw closer to becoming nuclear-​weapons-​free when over a hundred nations signed the UN treaty in 2017 to ban them completely. The UK, the USA, Russia, and France boycotted the treaty. Record says that the UK and the USA are reducing their nuclear stockpile, but according to experts, both these countries are upgrading their systems. • Delivery of nuclear weapons –​is the method of placing the nuclear weapons at the detonating position or near the target. There are varieties of nuclear weapons loaded on delivery means such as air to land, air to air, land to air, etc.

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Figure B XIV-14.1.3-2 Destructive power for each stage of nuclear weapons.

• Gravity bombs –​This method of delivery involves dropping by a plane and remains the most practical means of delivery. These types of weapons should be able to withstand variations of air temperature during flight and vibrations. The earlier weapons sometimes had a removable core (flight insertion) for safety. Some possessed a fuse for initiating detonation. The Little Boy and Fat Man belong to this category. • Ballistic Missile –​They use a ballistic trajectory to deliver a warhead over the horizon. They can be delivered at a distance of several thousands of kilometers. These missiles reenter the sub-​orbital spaceflight after exiting the earth’s atmosphere. Examples of these types are intercontinental ballistic missiles (ICBMs) and submarine-​launched ballistic missiles (SLBMs). The ICBM with a range of over 6,400 kilometers, is a ground-​ launched missile, which carries a hydrogen bomb warhead with a range of nearly 10000 kilometers. They can directly attack the enemy homeland. The ICBM placed in underground bases is detectable by other nations with reconnaissance satellites. Submarines are difficult to detect and hence can enter enemy territory. Nuclear submarines could be SSN deployed with nuclear torpedoes that destroy enemy warships or SSBM to hit enemy territories. Weapons loaded on intermediate-​range ballistic missiles (IRBM) and medium-​range ballistic missiles (MRBM) target other areas. Earlier ballistic missiles usually carried a single warhead and were limited by accuracies. Modern ballistic missiles have accurate target technology. It paved the way for multiple independently targetable re-​entry vehicles (MIRVs). The D5 Trident missile is carried by an Ohio-​class submarine that can deploy 8 independent warheads. The Typhoon has the capability of launching 10 warheads at a time. MIRV can strike multiple targets with a single missile making the anti-​ballistic missile defense system more difficult. • Cruise missile –​It comprises a jet engine or a rocket-​propelled missile. It flies at a low altitude with the help of an automated guidance system. It is difficult to detect or intercept from satellites. Usually, they are less powerful and cover short-​range as compared to ballistic missiles. The AGM-​86 ALCM is an air-​launched cruise missile of the USA with a nuclear warhead. These missiles can be deployed from the mobile launchers on the ground as well as from naval ships. The Tomahawk Cruise Missile was loaded 656

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during the Persian War in 1991. The target is memorized by a computer and hence it can correct its course automatically during flight to hit the target with high accuracy. Stealth bomber with special surface escapes detection by enemy radar and can carry out secret operations. Nuclear weapons can also be in the form of artillery shells, mines, nuclear torpedoes, hypersonic glide vehicles, etc. Over the five decades, nuclear weapons have become shrunken in size, attained long transport distance, gained accuracy, and the option for loading multiple warheads on a single delivery device. The neutron bomb, for example, developed to produce low-​level thermal rays and blast otherwise killing the enemy with huge neutron radiation, had a smaller size. The threats from nuclear weapons arise from their very existence. There are around 13 400 nuclear weapons in the world at present. More than 2000 tests have been conducted so far. Disarmament seems to be the best option to control the proliferation of such weapons but remains a challenge unless all the countries share such common interest. The United Nations stands firm to eliminating such weapons. A commission was established at the first resolution of the UN General Assembly in 1946. The Commission was assigned to make proposals to control atomic energy and ensure its use for peaceful purposes. Many multilateral agreements were negotiated. They are, the Treaty on the Non-​Proliferation of Nuclear Weapons (NPT), the Treaty Banning Nuclear Weapons Tests in The Atmosphere, In Outer Space And Under Water (Partial Test Ban Treaty or PTBT), the Comprehensive Nuclear-​Test-​Ban Treaty (CTBT), and also the Treaty on the Prohibition of Nuclear Weapons (TPNW), discussed later. The TPNW was enforced in 2021. The NPT divided the world into two blocks, nuclear weapons states, and non-​nuclear weapons states. Those days the USA, the ISSR, Great Britain, France, and China were recognized as weapons states. Currently, nine countries possess nuclear weapons. They are the USA, Russia, UK, France, China, India, Pakistan, Israel, and North Korea. With the collapse of the USSR, nuclear weapons spread across Eastern Europe and Central Asia. India was the first non-​ NPT nation to conduct a nuclear test in 1974. Other non-​NPT nations are Israel, Pakistan, and South Sudan of which Pakistan and Israel possess nuclear weapons. Regional Nuclear-​ Weapon-​ Free Zones (NWFZ) was created to consolidate the non-​ proliferation and disarmament efforts globally. A multilateral export control regime was created in the name of the Nuclear Suppliers Group (NSG) in 1974. The initial members were the USA, RSSR, the UK, France, Japan, Canada, and West Germany. As of 2020, they comprise 48 countries. The purpose of this group is the need for the NPT signatories to regulate the exportation of nuclear materials, equipment, and technology. They carried out a series of meetings from 1975 to 1978 to prepare a detailed guideline which was published by the International Atomic Energy Agency. The Missile Technology Control Regime (MTCR), established in 1987, is a voluntary organization comprised of the supplier states. Based on the list of controlled items, the members of MTCR abide by the export policy guidelines. The Hague Code of Conduct against Ballistic Missile Proliferation (HCOC) was signed by over 130 nations by which they commit to politically binding obligations for curbing the increase of Weapons of Mass Destruction with ballistic missiles ability. Since both the MTCR and HCOC are non-​legally binding, they remain quite ineffective in stopping such expansion. The rocket launch by North Korea in the recent past in 2016 was stated as the space launch of satellites in the orbit. But technologically, both ballistic missiles and space launches are very similar. They differ in accuracy and usage of re-​entry vehicles. Currently, 657

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over 50 nations are capable of making missiles either on their own or through collaboration. So, it is the pursuit of non-​state organizations such as Hamas, Hezbollah, and Houthis.

Further Reading 1. Friedrich, B., Hoffmann, D., Renn, J., Schmaltz, F., and Wolf, M. One Hundred Years of Chemical Warfare: Research, Deployment, Consequences. Springer Nature, 2017. 2. Ganesan, K., Raza, S. K., and Vijayaraghavan, R. Chemical warfare agents. Journal of pharmacy and bio allied sciences, 2(3), 166,2010. 3. Scharf, M. P. Clear and present danger: Enforcing the international ban on biological and chemical weapons through sanctions, use of force, and criminalization. In Bioterrorism: The History of a Crisis in American Society (pp. 343–​387). Routledge, 2020. 4. Koehler, D., and Popella, P. Mapping far-​right chemical, biological, radiological, and nuclear (CBRN) terrorism efforts in the west: Characteristics of plots and perpetrators for future threat assessment. Terrorism and political violence, 32(8), 1666–​1690, 2020. 5. Parachini, J. Assessing North Korea’s Chemical and Biological Weapons Capabilities and Prioritizing Countermeasures. RAND, 2018. 6. Petrakis, D., Vassilopoulou, L., Docea, A. O., Gofita, E., Vucinic, S., and Rakitskii, V. N. An overview update in chemical, biological and nuclear weapons and their effects on human health. Health Care of the Russian Federation, 61(2), 2017. 7. Afzal, A. India’s Export Control Regime: From Possible Proliferator to Responsible Nuclear State? 2017. 8. Sultan, A. India’s Nuclear Doctrine: A Case of Strategic Dissonance or Deliberate Ambiguity. IPRI Journal, 18(2), 26–​52, 2018. 9. Krstić, M. M. Tendency of using chemical, biological, radiological and nuclear weapons for terrorist purposes. Vojnotehničkiglasnik, 65(2), 481–​498, 2017. 10. Hanson, M. Normalizing zero nuclear weapons: The humanitarian road to the Prohibition Treaty. Contemporary Security Policy, 39(3), 464–​486,2018. 11. Etzioni, A., and Etzioni, O. Pros and cons of autonomous weapons systems. Military Review, May-​June. 2017. 12. Kristensen, H. M., and Norris, R. S. Worldwide deployments of nuclear weapons, 2017. Bulletin of the Atomic Scientists, 73(5), 289–​297, 2017. 13. Baylis, J. The Future of Nuclear Weapons: Balancing Power and Morality. International Relations, 13(5), 1–​14, 1997. 14. Simpson, J. Nuclear Weapons and Disarmament Realities: Past, Present and Future. New Zealand International Review, 22(6), 8, 1997. 15. Martz, J. C. Nuclear Weapons: Past, Present, and Future (No. LA-​UR-​17-​26362). Los Alamos National Lab.(LANL), Los Alamos, NM (United States), 2017. 16. Graham Jr, T., and LaVera, D. J. Nuclear Weapons: The Comprehensive Test Ban Treaty. Multilateralism and US foreign policy: Ambivalent engagement, 225, 2002. 17. Nikitin, M. B. D. Comprehensive nuclear-​test-​ban treaty: Background and current developments. Congressional Research Service, 2016.

14.2  Important Negotiations War is destructive and forbidden but it plays a crucial role in the history of mankind from times immemorial. The UN Charter clearly states that the use of threat or force against other States is unlawful. War by any chance is no means to settle differences. But still, people fight; sovereign States fight and place human rights at stake. Human rights form the centre to create defense systems, build resilience and mitigate the most awful impacts of war and conflicts. Negotiations or treaties become the key to getting ahead in resolving conflicts and adding value to such contracts. It is a strategic discussion leading to specific decisions to resolve disputes so that all the Parties find it acceptable. All the Parties involved generally make some concessions. 658

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It helps to build relationships, avoid future conflicts and promise to deliver excellent solutions. As the United Nations is responsible for maintaining international peace and security, this section takes up some of the most important agreements related to the production, stockpiling, and use of biological, chemical, and nuclear weapons as well as conventional weapons.

14.2.1  Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (Biological Weapons Convention) or BWC, 1972 The use of bioweapons goes back as much as 1346, the time when the Mongolians projected the plague’s affected dead bodies on the walls of the Crimean Peninsula. The attempts to prohibit the use of chemical and biological weapons started five hundred years after in the nineteenth century. In 1899, the ‘Hague Convention’drafted the ‘Respect to the Laws and Customs of War on Land’ that had banned the use of poison or poisoned arms. Nothing improved till France proposed the lawful banning of poisonous gases at the ‘Geneva Conference for the Supervision of the International Trade in Arms and Ammunition,’ 1925. Poland supported the inclusion of bioweapons. This Conference approved a yet to be implemented ‘Convention for the Supervision of the International Trade in Arms and Munitions and Implements of War’ anda‘Protocol for the Prohibition of the Use in War of Asphyxiating, Poisonous or Other Gases, and of Bacteriological Methods of Warfare.’ Parties to the Protocol stated that it should terminate to be existent if the opponents fail to respect the provisions. The Second World War triggered research in biological weapons. Movements started in 1989 to call off such a program until the British presented a draft to eliminate biowarfare. The same year the USA government also renounced the use of bioweapons. After severe opposition from the USSR and other neutral countries, the Convention text was redrafted jointly by the USA and USSR and given to the United Nations General Assembly. This International Convention, the first multilateral disarmament accord, was released for signing in Moscow, London, and Washington, D.C., on 10 April 1972. The Convention was put into force on 26 March 1975, after the compliance of 22 ratifications by the national instruments. By the end of 2013, 170 countries and Taiwan had given their signature and ratification to the BWC; ten states had given their signature and yet not ratified the Settlement. During that period, 16 member states of the United Nations were restrained from both signature and ratification. Presently, there are 179 Parties and six signatories to the Biological Weapons Convention (BWC). These six nations are the Central African Republic, Egypt, Tanzania, Somalia, Syria, and Haiti. Eleven countries such as Chad, Comoros, Djibouti, Eritrea, Israel, Kiribati, Micronesia, Namibia, Niue, South Sudan, and Tuvalu stand out from both signature and ratification. Russia, the USA, and the UK oblige as the three depository governments of this BWC. The conferences for appraisal of the progress of BWC were held in 1981, 1986, 1991, and 1996. Article I of the Convention aims to put a ban on the utilization of microbial agents, their toxins, or bioweapons in warfare and forbids all types of growth, manufacture, procurement, storage, or transference of bio-​weaponries under any situations in amounts that fail to justify any prophylactic or peaceful purposes. The agreement put an embargo on any devices that are planned for delivering or use of toxins and bioweapons for aggressive purposes or war. Article II entails participants for the destruction of bio-​weapons, agents, and manufacturing units within 9 months of the enactment of the treaty. Each year, each of the signatory 659

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nations is required to furnish the UNs with information on the facility for conduction of biological research, scientific research taking place at identifies sites, any interchange of information and scientists, and an outbreak of diseases. Article III states non-​transfer and non-​assistance, non-​encouragement to anyone in the matters of acquiring or retaining of bioweapons. Awkward, though, the BWC lacks the essential requirements for verifying the compliance of members. Considerable pieces of evidence exist regarding some Parties deceiving even since the enactment of the agreement. The contracting Parties under Article IV shall ensure the Parties undertake all adequate steps for banning and averting the growth, manufacturing, stocking, acquiring, and retaining any type of biological agents, toxins, weaponries, devices, and system of deliveries stated in Article I with the jurisdiction of the state or elsewhere based on the Constitutional pledges. Article IV necessarily speaks about ensuring all necessary steps for the implementation of these provisions at national levels. The Parties by Article V are required to open dialogues at bilateral and multilateral levels and seek cooperation towards finding any solution to any matters that might come out concerning the aims of the Convention. Article VI allows any Party to file complaints at the Security Council of the United Nations if any other Party is trying to break the commitments to BWC. The Parties are expected to participate in any such investigations initiated by the Security Council consistent with the Charter of the UN. The reports of such investigation shall be duly communicated by the Security Council. Article VII calls for assistance from the Parties to other Parties on requests in case the Party is uncovered to any threat on account of BWC violations. Article VIII states that the provisions to this Convention do not in any way restrict or undermine the provisions of the ‘Protocol for the Prohibition of the Use in War of Asphyxiating, Poisonous or Other Gases, and of Bacteriological Methods of Warfare,’ 1925 Geneva. Under Article IX, every nation that is a Party to this convention asserts its commitment to the acknowledged goal of completely prohibiting chemical weapons. In pursuit of this objective, each Party commits to engaging in sincere negotiations with the aim of promptly reaching consensus on effective measures to ban the development, production, and stockpiling of chemical weapons. This also includes measures for their destruction and appropriate actions regarding equipment and delivery means designed specifically for the production or use of chemical agents for weapons purposes. Important, though, Article X calls for facilitating all possible exchange of facts, materials, and tools for peaceful means. Article XI provides an opportunity for the Parties to suggest any amendments, which, upon acceptance by a majority, shall be implemented. Article XII allows the holding of reviews at the conference to be held in Geneva after 5 years of the enactment of the Convention. Article XIII provides the guidelines for withdrawing from the BWC. Article XIV mentions that the instruments of ratification would be deposited with the governments of the UK and North Ireland, the then USSR, and the USA. One of the most critical issues is the perpetual gap. With as many as 179 Parties to the BEC, there are still many countries off the hook. The Review conference should make an effort hard to bring them all on board. Secondly, there is an implementation gap. The USSR was violating the provisions of BWC through its engagement in a huge and secret weaponries program since its signature in 1972. There is also an absence of any verification procedure, which has led to the argument that the best constraint of being confronted with bioweapons is not the agreement but the accepted aptitude to hit back with an equal or better measure. On the contrary, most of the disarmament contracts have an expounding international monitoring system. Trilateral dialogue between the USA, UK, and Russia, started after the disintegration of the then USSR but was ended without any results. The Parties at 660

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the 2nd Review conference decided to start confidence-​building measures (CBM) that require yearly reporting of the activities in high safety level labs with full sharing of information and documentation. Most of the Parties failed to participate in the CBM on account of it being non-​legally binding. In 2001, a draft Protocol was prepared for the strengthening of the verification process through annual reporting, documentation, and transparency visits. The draft was opposed by the USA, along with Russia and China, stating that too much transparency may result in spying against pharmaceutical industries. There is also a response gap in the text of the Convention as it fails to address the ways of response and reaction of the Parties in the situation of a biological attack. The institutional gap also adds to the drawbacks of the Convention. The meetings are very infrequent, understaffed, and have inadequate funding. The treaty is not universal, even though not a single country shall legitimize the employment of bioweapons for warfare. The past few years have seen exponential growth and development of biotechnology. Bioweapon is no longer under the purview of a nation solely. A research company of thirty organizations weaponized enormous quantities of smallpox and the Marburg virus with real-​time testing on the island of the Aral Sea. Usually, microorganisms can potentially undergo modifications that boost their virulence, render them resistant to antibiotics or vaccines. In collaboration with the US Department of Homeland Security, the Centers for Disease Control and Prevention (CDC) and the National Institute of Allergy and Infectious Diseases (NIAID) have evaluated the potential risks associated with a variety of these microorganisms, categorizing them into three groups (see Table B XIV-​14.2.1-​1). The 6th review conference in 2016 could have served as a platform to revamp the institutional organization and to develop a much stronger scientific review process. Similar to that of the Geneva Protocol of 1925, the BWC fails to lay procedure for review and regulation of decommissioning and loyalty to the Protocol. No guidelines on implementation are stated in case there is any violation. Disagreements remain unresolved regarding the definition of ‘defensive research,’ as well as the amount of pathogens required for benign investigation.

14.2.1.1  The Indian Context India is a signatory to the Biological Weapons Convention on 15 January 1973 and had subsequently ratified it. India has given paramount importance to this non-​discriminatory, disarmament Convention. No evidence exists to point towards India of its offensive biological warfare (BW) capabilities. But the country has defensive BW ability and undergoes extensive research activities for countering various pathogens. It is worth mentioning its advanced dual-​use pharmaceutical industries. It believes in the effective response to all the challenges posed by new and emergent developments and situations that are relevant. Over the past years, India has changed from a passive observer to an active negotiator and has taken a proactive role in many concerns such as export control, transparency, technical cooperation, etc. India is a member of the export control organizations such as the Nuclear Supplier’s Group (NSG), the Missile Technology Control Regime (MTCR), Wassenaar Arrangement, and Australia Group, and a subscribing state to the Hague Code of Conduct. The Australia Group governs the chemical and biological agents. India joined the Australia Group in 2018. Earlier the USA-​India Strategic Dialogue on biosecurity commenced in 2016. Population density, poor health, hygiene, and sanitation systems, along with tropical conditions, make people vulnerable to infectious diseases. Moreover, India lacks adequate medical facilities. To prevent and combat bioterrorism, India first needs to resolve the 661

Negotiations for Protection against Warfare and Disasters Table B XIV-​14.2.1-​1 Categories of potential bio-​agents and diseases Various Fields

CATEGORY A

CATEGORY B

CATEGORY C

The risk to the national security

Highest

Second highest

Dissemination from person to person Mortality

Easy

Moderately easy

High mortality with the major health impact

Moderate morbidity and low mortality

Steps required

Require special public health preparedness

Engineered and emerging pathogens for propagation Easy to produce and disseminate With the provability for high illness and death rates with key health effects available

Examples

Improved diagnostic ability with disease observation Ebola –​Ebola Calicivirus –​upper Influenza virus –​ Haemorrhagic fever respiratory infections, Influenza, MERS-​ (EHF), Hantavirus –​ Chikungunya virus –​ CoV –​Middle East Hantavirus Pulmonary fever and joint pain, Respiratory Syndrome Syndrome, Zika virus –​Zika (MERS), Nipah Lassa virus –​Lassa fever, Flavivirus –​ virus –​ acute haemorrhagic yellow fever, respiratory illness fever (LHF), Vibrio cholera –​ and encephalitis, Marburg virus –​ Cholera, Prions –​Creutzfeldt-​ Marburg haemorrhagic E.coli 0157:H7 –​ Jakob Disease, fever (MHF), Acute haemorrhagic SARS-​CoV –​ Severe Variola virus –​Smallpox, diarrhoea, Acute Respiratory Francisella tularensis –​ Ricinus communis –​ Syndrome (SARS), Tularemia, Ricin, Mycobacterium Bacillus anthracis –​ Salmonella bacteria –​ tuberculosis –​ Anthrax, Salmonellosis, Tuberculosis Clostridium Rickettsia botulinum –​Botulism, prowazekii –​Typhus Yersinia pestis –​Plague

challenge for proper specimen collection. Checkpoints were to be installed at probable entry points, and internal inspections of suspected biological weapons production places should be carried out. Secondly, it needs sufficient recognition of the attack, followed by management. A sound infrastructure is necessary for both medical and R&D to develop new instruments and testing methods. The workers in the field should be provided with personal protection equipment (PPE) and a proper sample collecting kit. The process of detection and real-​time data analysis is crucial to a swift response to such an attack. Selected laboratories should be upgraded for testing infectious pathogens in a short period. Presently only National Virology Institute, Pune, has a Biosafety Level-​4 (BSL-​4) laboratory, which is suitable for the study of Nipah, H5N1 Avian influenza, Crimean Congo Hemorrhagic fever, Ebola, and the like. During the Nipah outbreak, time could be saved since the Manipal Centre for Viral Research also possessed the required facilities to detect the virus. The focus should be given to improving diagnostic capacities such as tests and kits for early and correct detection. Using antibody or specific DNA-​based tests could be useful for diagnosis. Entire DNA sequencing could identify 662

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whether the agent has been tampered with or manipulated. Bioweapons triggered epidemics, and pandemics results in huge losses due to the reduction of crops, domestic animals, and degradation of the quality of the atmosphere, water, and soil. Combating requires appropriate rules and regulations and concerted efforts of organizations such as the intelligence, army, BSF, health departments, other ministries, and civil administration. The Ministry of Home Affairs is the nodal ministry that works and coordinate with other ministries and department. The National Disaster Management Authority (NDMA) of the GOI under the MHA has prepared a model that needs a well-​coordinated response of both government and private sectors. They lay down the policies and approve plans and strategies of other assisting ministries to prevent and mitigate disaster in tune with the national program. They issue advisories for biological disaster management. Capacity-​ building is essential for their plan. Training is given to collect the deliver the specimens safely in the labs. India had also developed Muntra, an unmanned tank with the ability to detect bio-​threats. The effectiveness of such tanks in densely populated areas is doubtful. Alternatively, a network of primary healthcare systems throughout the country might be useful. The National Crisis Management Committee (NCMC) harmonizes and monitors the response measures in times of crisis. The National Disaster Response Force (NDRF) has specialized people who work in the field. The Ministry of Health and Family Welfare deals with epidemics and pandemics situations. It sets guidelines for monitoring and early detection of an outbreak. The ministry also assists in the deployment of Rapid Response Teams’ workforce and logistic support. Having many tertiary hospitals across the country, the Indian Railways plays a crucial role in providing medical facilities and trained staff. Whenever needed, they aid in mass evacuation as well. The Ministry of Defence is responsible for the management of matters and the consequence of biowarfare. As the Indian Armed Force has several hospitals across the country, they aid in clinical case management. The Defence Research and Development Organization (DRDO) actively participates in evolving various protective systems and devices and tools for the soldiers to fight against such warfare. The MoEFCC evaluates the short-​term and long-​term impacts. The Ministry of Agriculture, along with the Department of Animal Husbandry, handles hazards related to flora, fauna, fisheries, and livestock. The Indian Council of Agricultural Research under the supervision of the Department of Agricultural Research and Education is engaged with research and development on agriculture and allied sciences. The Directorate of Plant Protection, Quarantine and Storage deal with the issue of pests. Ministry of Urban and Rural Development and the Department of Drinking Water Supply maintain the sanitation facilities, drinking water, and hygiene. Coming to the rules and regulations, The Epidemics Diseases Act 1897 prevents the outspread of epidemics by permitting the states to adopt strict actions and preventive measures. The Plant Quarantine Regulatory Act 1912 delivers protection against harmful insects, fungus, and other pests damaging to the crops. The National Security Act 1980 allows the government to arrest a person based on suspicion that he is harming the defense of the nations or affecting foreign relations. Terrorist activities are also prevented by The Terrorist and Disruptive Activities (Prevention) Act 1985. The Terrorist and Disruptive Activities (Prevention) Act 1987 was further enacted to revise and reinforce the ability of the government to cope with terrorism. Also, the Prevention of Terrorism Act (POTA) 2002 was passed to deal with the same. The Water Act 1974 and the Air Act 1977 help in preventing controlling and lessening water and air pollution, respectively. The Environment Protection Act 1986 is an Umbrella Act to protect the environment and its components. Livestock and 663

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their products are controlled by The Livestock Importation Act 2001. Overall, the Disaster Management Act 2005 is given the power to establish the operational framework for prevention, mitigation, preparedness, and recovery against any hazards. India possesses an infrastructural setup for biotechnology along with pharmaceutical production houses. It also has bio-​containment laboratories for studying and exploring lethal pathogens. It has research facilities for producing bioweapons defense purposes. It has several delivery mechanisms, from crop dusters to ballistic missiles. The essential step to avert misuse is to educate the students and researchers regarding the safety procedures, standards, and its ethical use such as Good Lab Practices, National Accreditation Board for Testing and Calibration Laboratories that guarantee safe use and disposal. In this regard, it is worth mentioning that the guidelines on the biosafety of recombinant DNA research and biocontainment were released in 2017. Under the 1989 Rules of the EPA 1986, the Review Committee on Genetic Manipulation (RCGM) in the Department of Biotechnology, Ministry of Science and Technology has updated ‘Recombinant DNA safety guidelines,’ 1990 and ‘Revised guidelines for research in transgenic plants,’ 1998 and prepared ‘Regulations and Guidelines on Biosafety of Recombinant DNA Research and Biocontainment,’ 2017. People should be aware of the consequences and know the preventive measures to stop them from getting infected.

Case Study 14.1  Armed Conflict vs. Value Conflict In the context of the use of bioweapons, the following section shall be dealing with the ethical scrutiny of two cases. The basic issue, usually known as the ‘dual-​use dilemma,’ centers around the fact that the knowledge gathered from the scientific investigation can be utilized in both good and evil causes. The inventions that contribute to the main advancements in science and medicine can boost the production of bioweapons at times. Significant discoveries in the field of science and medicine can often trigger the development of bioweapons. And this may create a dilemma amongst the scientists whether or not to publish their findings that might be used for a destructive purpose. It becomes a difficult choice for the government and society to choose between the ways of regulating dual-​purpose research and the spread of information that stems out from such a result. Often such type of research gives birth to conflicts between whether to give priority to national security or the promotion of science and medicine among both the scientists as well as the government. The government may face the problem in administration in between selecting safeguarding security and safeguarding liberty like freedom of speech, expression, and academic freedom. Even in 600 BC, the impact of infectious diseases on people and armies was known, and there was evidence about the use of animal carcasses, corpses, and filth to have overwhelming impacts that had debilitated the enemies. Contamination of wells and water served as one of the main strategies against the opponents in many of the European and American wars down in the 20th Century. In the middle ages, the military leaders acknowledged the fact that victims of contagious diseases can turn into weapons by themselves. The Tartar force encountered a plague epidemic in 1346 at the time of sieging of a well-​protected Genoese regulated harbor Caffa in Ukraine. The Tartars were cleaver enough by throwing the corpses of the dead people

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back into the city, inducing a plague outbreak therein, thereby converting their misfortune into opportunity. The epidemic then forced the Genoese force to retreat. Black Death (plague) pandemic was one of the most distressing public health disasters to sweep Europe and North America in the 14th Century. The ultimate reason for the plague is still obscured. Gabriel de Mussis, a lawyer from Piacenza, described the Caffa incident to make two major assertions: transmission of the Plague to Caffa citizens by throwing the corpses back to the beleaguered city and transmission of Plague into Mediterranean seaports by the Italians that fled from Caffa. The ships with infected refugees navigated to Venice, Genoa, Constantinople, and other docks that might have instigated a second plague pandemic. But it would be too simple to predict a single biological attack could be the only source of Caffa incident and widespread prevalence of plague in European nations. However, the explanation of a bio-​warfare outbreak in Caffa seemed reasonable besides reliable with the expertise of that phase, and despite its historical insignificance, the Caffa epidemic remains a commanding incident to remind us about of the awful outcomes while infections were used as weaponries. The 14th-​century pandemics of plague due to plague had exterminated over twenty-​five million people in Europe. Many other instances also point out the use of infections and toxins during the war –​for example, the 1422 Karolstein hurling of the dead bodies of soldiers in the enemy defense. The almost same type of strategy was used in Reval, 1710, between Russian troops and the Swedish army by using plague victims cadavers. History mentions the repetitive use of filth, infections, animal, and human cadavers over and over again in the last 2000 years. In the New World emerged another use of bioweapon –​smallpox. In the 15th Century, Pizarro was said to have offered the native people of Latin America Variola-​infected attire. Records say that Sir Jeffrey Amherst, the commandant of the British army in North America, advised the application of the variola virus to reduce the numbers of inherent Indians that were aggressive to the Britishers from 1754 to 1767. Amherst got this idea of executing this plan because of the production of an enormous amount of fomites in Fort Pitt due to the smallpox outbreak. One of the subordinates of Amherst, Captain Ecuyer, distributed smallpox contaminated blankets to the Native Americans which led to an outburst of smallpox amongst Indian tribal people inhabiting the Ohio River Valley. History records several incidences of epidemics to have occurred due to acquaintances between the European colonists and Native Americans in the past 200 years. Respiratory droplet transmission was supposed to be more powerful than transmission through smallpox-​laden fomites. Nonetheless, it is really difficult to differentiate between a natural epidemic and an attempted bio-​warfare attack described in the history of the problem that even continues today. In the nineteenth century, with the concept of Koch’s postulates and advances in contemporary microbiology, the creation and segregation of specific pathogens and their stocks became possible. Evidence suggests that Germany, during the First World War, attempted covert operations by shipping Bacillus anthracis (anthrax) and Pseudomonas pseudomallei (glanders) inoculated cattle and horses to the US and other nations. The same pathogens were employed to contaminate Romanian sheep that were supposed to be exported to Russia. They were also alleged for their endeavor to spread Vibrio cholerae in Italy and Yersinia pestis in St. Petersburg. The whole of these accusations, together with the dropping of living bombs over the British position, was completely denied by Germany. The sub-​committee of the ‘Temporary

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Mixed Commission’ formed by the League of Nations, in 1924, could find no proof of using bacteriological warfare in the war, which went in support of Germany. On the contrary, they did find documents and evidence indicating the use of chemical warfare. In reaction to the dismay of the use of chemicals in the 1st World War, efforts were taken globally to restrict the production and use of weaponries of bulk annihilation, both chemical and biological weapons. The ‘Protocol for the Prohibition of the Use in War of Asphyxiating, Poisonous or Other Gases and of Bacteriological Methods of Warfare,’ more frequently the Geneva Protocol was placed for signature on 17 June 1925 with a total of 108 countries along with five permanent UN Security Council members. In those days, the distinction between virus and bacteria was not known, and therefore, they were not precisely mentioned in the Protocol. Geneva protocol failed to address verification and compliance procedure and thus turned out to be a hardly meaningful toothless document. Despite being a Party to Geneva protocol, many a country like Belgium, France, Canada, Great Britain, Italy, the Netherlands, Poland, Japan, and the USSR started developing bioweapons. The US ratified the protocol only in 1975. Several of the above-​stated nations got engaged in aspiring biowarfare research programs during the Second World War with allegations and counter charges clouding against each other. Japan’s bioweapon research program that started in 1932 continued until the completion of the Second World War under the supervision of Shiro Ishii and Kitano Misajii from 1932–​1942 and 1942–​1945 respectively. Japan’s biological warfare program, in Manchuria near Pingfan, was called ‘Unit 731,’ comprising over 150 buildings, 6 satellite camps, and over 3000 scientists. They had various military groups in the research and development of biowarfare. They were particularly interested in Bacillus anthracis, Neisseria meningitidis, Vibrio cholerae, Shigella spp, and Yersinia pestis. Between 1932 to 1945, far more than 10000 prisoners were killed as a consequence of investigational infection during their program. Of these, a minimum of 3000 victims was held as prisoners of war (POW) and were from Korea, China, Mongolia, Soviet Union, USA, Britain, Australia, etc. After being experimentally inoculated with bioagents, many of the prisoners died of gas gangrene, anthrax, meningitis, dysentery, cholera, plague, etc. They also used an extremely toxic fungal agent tetrodotoxin in their experiments, though in the subsequent year, they deliberated these as ‘most regrettable from the viewpoint of humanity.’ Supplementary to their trials in Unit 731, Japan also made plague a bio-​weapon by permitting lab fleas to nourish on plague-​contaminated rats. Many times, plague epidemic was initiated by releasing fleas over the cities of China. Till then, the Japanese military troops themselves did not have proper training and equipment for tackling such hazards of biological weaponry. Reports say that in 1941 there were around 10000 casualties owing to bioweapons through an attack on the Changteh city, of which 1700 were from the Japanese force. This led to the termination of field trials in 1942. In December 1949, the Soviet military court in Khabarovsk held twelve POWs from Japan for producing and making use of bioweapons. Major General Kawashima, then heading the First, Third, and Fourth Sections, admitted that death of around 600 prisoners every year at Unit 731. A counter allegation on the Soviets was made by the Japanese for experimenting with B. anthracis, Shigella, and V. cholera after its procurement from the Russian spies. Even though prisoners were inoculated with pathogenic Rickettsia prowazekii, hepatitis A virus, and malaria by the German medical researchers, they were not charged with any such

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experimentation with bioagents. It seemed that Adolf Hitler himself gave out orders to ban the development program of bioweapons after his shattering experience with the after-​war effects of chemicals during the First World War. Thereafter, with the backing of top-​ranked Nazi officials, the German researchers initiated a study on bioweapons, which never materialized despite all efforts. German officials accused Allies of employing bioweapons, and the British were accused by Joseph Goebbels of trying the introduction of yellow fever in India by bringing them from West Africa. Many believed that the British were experimenting with Bacillus anthracis, and such experiments with Bacillus anthracis spores were conducted at Gruinard Island close to Scotland coast. This led to the island being contaminated and eventually had to be decontaminated with formaldehyde and sea water in 1986. The United States initiated an aggressive biowarfare scheme in 1942, getting the orders from War Reserve Service, a non-​combatant agency. An R&D site was set up at Camp Detrick in Maryland, named again in 1956 as Fort Detrick. Currently, it is known by the name of ‘US Army Medical Research Institute of Infectious Diseases (USAMRIID),’ having test conducting locations in Mississippi and Utah along with a manufacturing unit in Terra Haute at Indiana. They were primarily interested in B. anthracis and Brucella suis. They produced about 5,000 B. anthracis spore bombs but lacked enough safety measures for production on a large scale at the time of World War II. Just after World War II, the print media was filled with write-​ups about the outbreak of diseases inflicted by foreign agents fortified with bioweapons. USA was accused of using biological agents against North Korea at the time of the Korean War by USSR, China, and N. Korea. Subsequently, the USA denied all charges against it using bioweapons despite being competent in making them. But ultimately, the USA lacks credibility by not ratifying the Geneva Protocol, by publicly acknowledging its offensive bio-​warfare scheme, and by the doubts of partnering with the past Unit 731 researchers. The USA expanded further and established another production facility at Pine Bluff in Arkansas. They also established a defensive program in 1953 to develop countermeasures like a vaccine, antiserum, and therapeutic agents for protecting the groups from probable biological attacks. By the 1960s, they launched a biological arsenal comprising various pathogens, toxins, and fungal plant pathogens to instigate attacks against crop yield to attack the crop productivity and fetch dearth. The biological weapons at Fort Detrick were blown up inside a metallic, empty, 1 million-​ liter aerosolization compartment called ‘eight ball.’ The helpers were exposed to Francisella tularensis and Coxiella burnetii to study the vulnerability of humans to these aerosolized pathogens. Volunteers were further tested for the efficiency of treatments, vaccination, and prophylactic control. Reports of 456 cases of infection occupational at a rate of