Handbook for the International Treaties for the Protection of the Ozone Layer
The Vienna Convention (1985)
The Montreal Protocol (1987)
Fifth edition (2000)
UNEP
Ozone Secretariat
United Nations Environment Programme
Published 2000
by
Secretariat for
The Vienna Convention for the Protection of the Ozone Layer &
The Montreal Protocol on Substances that Deplete the Ozone Layer
United Nations Environment Programme
PO Box 30552
Nairobi
Kenya
web site:
ISBN: 92-807-1867-3
Printed and bound in Kenya by UNON. Printed on recycled paper.
Cover design by UNON Printshop (March 2000)
Co-ordination:K. Madhava Sarma, Executive Secretary, Ozone Secretariat, UNEP
Gilbert M. Bankobeza, Senior Legal Officer, Ozone Secretariat, UNEP
Research and editing:Duncan Brack, Consultant ()
Michael Graber, Ozone Secretariat, UNEP
Nelson Sabogal, Ozone Secretariat, UNEP
Ruth Batten, Ozone Secretariat, UNEP
Gerald Mutisya, Ozone Secretariat, UNEP
Layout and Formatting:Duncan Brack, Consultant ()
Martha Adila Mulumba, Ozone Secretariat, UNEP
Summary Contents
Foreword......
Guide to this Handbook......
Index to Key Words......
Contents Parts I – V......
Part I:The Vienna Convention......
1.1The Vienna Convention for the Protection of the Ozone Layer......
1.2Decisions adopted by the Conferences of the Parties to the Vienna Convention in respect of each article of the Convention
Part II:The Montreal Protocol......
2.1The Montreal Protocol on Substances that Deplete the Ozone Layer......
2.2Summary of control measures under the Montreal Protocol......
2.3Decisions adopted by the Meetings of the Parties to the Montreal Protocol......
2.4Destruction Procedures......
2.5Essential use exemptions......
2.6Assessment panels......
2.7Data reporting forms......
2.8Non-Compliance with the Montreal Protocol......
2.9The Multilateral Fund......
2.10Finance......
2.11Declarations......
Part III:Rules of Procedure......
Part IV:The Evolution of the Montreal Protocol......
4.1Introduction to the Montreal Protocol, its adjustments and amendments......
4.2The 1987 Montreal Protocol on Substances that Deplete the Ozone Layer......
4.3Adjustments to the Montreal Protocol......
4.4The London Amendment (1990)......
4.5The Copenhagen Amendment (1992)......
4.6The Montreal Amendment (1997)......
4.7The Beijing Amendment (1999)......
Part V:Sources of Further Information......
5.1Contact names and addresses......
5.2UNEP DTIE OzonAction Programme......
5.3Contact Information from UNEP-DTIE......
5.4Relevant publicationson the protection of the ozone layer......
1
Foreword
Welcome to the millennium edition of the Handbook for the International Treaties for the Protection of the Ozone Layer.
1999 was a momentous year for the ozone regime. The meeting of the parties to the Montreal Protocol in Beijing saw not only the latest replenishment of the Multilateral Fund but another amendment to the Protocol – the fourth since 1987 – bringing in one new substance, controlling, for the first time, the production of HCFCs, and ensuring that production for ‘basic domestic needs’ will gradually be phased out alongside consumption. In the same year, the Montreal Amendment, agreed in 1997 entered into force. And in July, in perhaps the most significant development, developing countries began to meet their first phase-out target - freeze- under the treaties.
These developments are proof of the dynamism of the Ozone Treaties and of the success of the unique step-by-step approach of the regime. As the world’s attention has turned to other, seemingly more pressing environmental concerns such as climate change, it would have been easy to lose the momentum first created in 1985 in Vienna, and then in 1987 in Montreal. But the parties to the treaties have not let this happen. Indeed, the continuing health of the ozone regime, its persistence in finishing what it has started, and its adaptability in the face of new challenges, acts as a shining example of what the international community can achieve in the protection of the global environment.
We last published the Handbook for the International Treaties for the Protection of the Ozone Layer in 1996, incorporating comprehensively the Vienna Convention for the Protection of the Ozone Layer, the Montreal Protocol on Substances that Deplete the Ozone Layer, the decisions of the meetings of the Parties to the treaties, important decisions of the Executive Committee of the Multilateral Fund for the Protection of the Ozone Layer and other useful material available up to the end of 1995. The Handbook proved to be very popular with the delegates and observers who attend the meetings relating to these treaties as well as researchers, scholars, students, industrial undertakings and NGOs, and was supplemented by an Update in 1998, completing the material to the end of 1997.
Now, this comprehensive and reorganised new edition incorporates text from the fourth edition and its Update, and adds all relevant material up to the end of 1999. I hope you, the reader, find it a useful guide to the ozone treaties which are the outcome of the world’s determination to protect the ozone layer.
Klaus Töpfer
Executive Director, UNEP
1
Guide to this Handbook
The conclusion in 1985 of the Vienna Convention for the Protection of the Ozone Layer, followed in 1987 by the Montreal Protocol on Substances that Deplete the Ozone Layer, were the starting points of global cooperation for the protection of the Earth’s stratospheric ozone layer. The five meetings held by the Parties to the Vienna Convention in 1989, 1991, 1993, 1996 and1999, and the eleven meetings held by the Parties to the Montreal Protocol every year from 1989 to 1999, have led to significant decisions designed to implement the objectives of the Convention and Protocol.
The Second, Fourth, Ninth and Eleventh Meetings of the Parties to the Montreal Protocol adopted, in accordance with the procedure laid down in paragraph 4 of Article 9 of the Vienna Convention, four Amendments to the Protocol – the “London Amendment” (1990), the “Copenhagen Amendment” (1992), the “Montreal Amendment” (1997) and the “Beijing Amendment” (1999).
The Second, Fourth, Seventh, Ninth and Eleventh Meetings of the Parties to the Montreal Protocol adopted, in accordance with the procedure laid down in paragraph 9 of Article 2 of the Montreal Protocol, certain adjustments and reductions of production and consumption of the controlled substances listed in the Annexes of the Protocol. The reports of all the meetings of the parties are available from the web site of the Ozone Secretariat (
The fourth (1996) edition of the Handbook for the International Treaties for the Protection of the Ozone Layer and the 1997 Update brought the contents of the Handbook up to date to the end of 1997. The present Handbook updates the contents till the end of 1999, and supersedes all the earlier versions.
This Handbook is placed on our web site ( and will be updated on the web after every annual meeting. A CD-ROM version of the Handbook is also available.
It is hoped that the Handbook for the International Treaties for the Protection of the Ozone Layer will continue to prove useful. Suggestions to improve its format or content are always welcome.
K. Madhava Sarma,
Executive Secretary
Ozone Secretariat
United Nations Environment Programme
Index to Key Words
The vast majority of this Handbook is organized along the same lines as the Vienna Convention and Montreal Protocol themselves. The decisions of conferences and meetings of the Parties (together with their annexes) included in later sections are organized according to the order of the articles of each of the agreements.
This page therefore offers a brief guide to the main headings within the agreements. Please refer to the full contents (page ix) for page numbers.
Topic / Article ofVienna Convention / Article of
Montreal Protocol
Amendment procedure / 9, 10
Assessment / 6
Conference/Meeting of the Parties / 6 / 11
Control measures / 2–3, 6
Data reporting / 7
Definitions / 1 / 1
Depositary / 20
Developing countries / 5
Dispute settlement / 11
Entry into force / 17 / 16–17
Financial mechanism (Multilateral Fund) / 10
Financial provisions / 13
Information exchange and cooperation / 4–5 / 9
Licensing / 4B
Non-compliance / 8
Protocols to the Convention / 8, 16 / 14
Ratification, etc. / 12–14 / 15
Research / 3 / 9
Reservations / 18 / 18
Secretariat / 7 / 12
Technology transfer / 10A
Trade with non-Parties / 4
Trade with Parties / 4A
Voting rights / 15
Withdrawal / 19 / 19
1
Contents
Contents Parts I – V
Part I:The Vienna Convention......
1.1The Vienna Convention for the Protection of the Ozone Layer......
Preamble......
Article 1:Definitions......
Article 2:General obligations......
Article 3:Research and systematic observations......
Article 4:Co-operation in the legal, scientific and technical fields......
Article 5:Transmission of information......
Article 6:Conference of the Parties......
Article 7:Secretariat......
Article 8:Adoption of protocols......
Article 9:Amendment of the Convention or protocols......
Article 10:Adoption and amendment of annexes......
Article 11:Settlement of disputes......
Article 12:Signature......
Article 13:Ratification, acceptance or approval......
Article 14:Accession......
Article 15:Right to vote......
Article 16:Relationship between the Convention and its protocols......
Article 17:Entry into force......
Article 18:Reservations......
Article 19:Withdrawal......
Article 20:Depositary......
Article 21:Authentic texts......
Annex I:Research and systematic observations......
Annex II:Information exchange......
1.2Decisions adopted by the Conferences of the Parties to the Vienna Convention in respect of each article of the Convention
Index to the decisions......
First Conference of the Parties (Helsinki, 26–28 April 1989)......
Second Conference of the Parties (Nairobi, 17–19 June 1991)......
Third Conference of the Parties (Bangkok, 23 November 1993)......
Fourth Conference of the Parties (San José, 25 and 27 November 1996)......
Fifth Conference of the Parties (Beijing, 29 November – 3 December 1999)......
Article 3:Research and systematic observations......
Decisions on Ozone Research Managers......
Article 5:Transmission of information......
Article 6:Conference of the Parties......
Decisions on meetings of the Conference of the Parties......
Decisions on financial matters......
Article 7:Secretariat......
Article 8:Adoption of protocols......
Article 9:Amendments of the Convention or protocols......
Article 11:Settlement of disputes......
Article 14:Accession......
Part II:The Montreal Protocol......
2.1The Montreal Protocol on Substances that Deplete the Ozone Layer......
as adjusted and amended by the Second Meeting of the Parties (London, 27–29 June 1990) and by the Fourth Meeting of the Parties (Copenhagen, 23–25 November 1992) and further adjusted by the Seventh Meeting of the Parties (Vienna, 5–7 December 1995) and further adjusted and amended by the Ninth Meeting of the Parties (Montreal, 15–17 September 1997) and by the Eleventh Meeting of the Parties (Beijing, 29 November – 3 December 1999)
Preamble......
Article 1:Definitions......
Article 2:Control Measures......
Introduction to the adjustments......
Article 2A:CFCs......
Article 2B:Halons......
Article 2C:Other fully halogenated CFCs......
Article 2D:Carbon tetrachloride......
Article 2E:1,1,1-Trichloroethane (Methyl chloroform)......
Article 2F:Hydrochlorofluorocarbons......
Article 2G:Hydrobromofluorocarbons......
Article 2H:Methyl bromide......
Article 2I:Bromochloromethane......
Article 3:Calculation of control levels......
Article 4:Control of trade with non-Parties......
Article 4A:Control of trade with Parties......
Article 4B:Licensing......
Article 5:Special situation of developing countries......
Article 6:Assessment and review of control measures......
Article 7:Reporting of data......
Article 8:Non-compliance......
Article 9:Research, development, public awareness and exchange of information......
Article 10:Financial mechanism......
Article 10A:Transfer of technology......
Article 11:Meetings of the parties......
Article 12:Secretariat......
Article 13:Financial provisions......
Article 14:Relationship of this Protocol to the Convention......
Article 15:Signature......
Article 16:Entry into force......
Article 17:Parties joining after entry into force......
Article 18:Reservations......
Article 19:Withdrawal......
Article 20:Authentic texts......
Annex A:Controlled substances......
Annex B:Controlled substances......
Annex C:Controlled substances......
Annex D:A list of products containing controlled substances specified in Annex A......
Annex E:Controlled substance......
2.2Summary of control measures under the Montreal Protocol......
Annex A – Group I:Chlorofluorocarbons (CFC11, CFC12, CFC113, CFC114 and CFC115)
Annex A – Group II:Halons (halon 1211, halon 1301 and halon 2402)......
Annex B – Group I:Other fully halogenated CFCs (CFC13, CFC111, CFC112, CFC211, CFC212, CFC213, CFC214, CFC215, CFC216, CFC217)
Annex B – Group II:Carbon tetrachloride......
Annex B – Group III:1,1,1-trichloroethane (methyl chloroform)......
Annex C – Group I:HCFCs......
Annex C – Group II:HBFCs......
Annex C – Group III:Bromochloromethane......
Annex E:Methyl bromide......
2.3Decisions adopted by the Meetings of the Parties to the Montreal Protocol......
Index to the decisions......
First Meeting of the Parties (Helsinki, 2–5 May 1989)......
Second Meeting of the Parties (London, 27–29 June 1990)......
Third Meeting of the Parties (Nairobi, 19–21 June 1991)......
Fourth Meeting of the Parties (Copenhagen, 23–25 November 1992)......
Fifth Meeting of the Parties (Bangkok, 17–19 November 1993)......
Sixth Meeting of the Parties (Nairobi, 6–7 October 1994)......
Seventh Meeting of the Parties (Vienna, 5–7 December 1995)......
Eighth Meeting of the Parties (San José, 25–27 November 1996)......
Ninth Meeting of the Parties (Montreal, 15–17 September 1997)......
Tenth Meeting of the Parties (Cairo, 23–24 November 1998)......
Eleventh Meeting of the Parties (Beijing, 29 November – 3 December 1999)......
Article 1:Definitions......
Decisions on controlled substances......
Decisions on destruction processes and technologies......
Decisions on feedstock......
Decisions on process agents......
Decisions on used controlled substances......
Decisions on trade in used controlled substances relating to the Basel Convention......
Decisions on other issues......
Article 2:Control measures......
Decisions on adjustments of the control measures......
Decisions on basic domestic needs......
Decisions on essential uses......
Decisions on essential uses: laboratory and analytical uses......
Decisions on CFCs......
Decisions on halons......
Decisions on HCFCs......
Decisions on methyl bromide......
Decisions on new substances......
Decisions on other issues......
Article 4:Control of trade with non-parties......
Decisions on non-Parties in compliance with the Protocol......
Decisions on restrictions on trade with non-Parties......
Decisions on other trade issues......
Article 4AControl of trade with Parties......
Decisions on trade in ozone-depleting substances......
Decisions on trade in products and equipment containing Annex A and B substances......
Article 4B:Licensing......
Decisions on licensing systems......
Article 5:Special situation of developing countries......
Decisions on definitions and classification......
Decisions on control measures......
Decisions on meeting the needs of Article 5 Parties......
Decisions on review under paragraph 8......
Decisions on participation of developing countries......
Article 6:Assessment and review of control measures......
Article 7:Reporting of data......
Decisions on data reporting......
Decisions on trans-shipment of controlled substances......
Decisions on customs codes......
Decisions on illegal trade......
Article 8:Non-compliance......
Decisions on non-compliance procedures......
Decisions on the Implementation Committee......
Decisions on compliance by particular countries......
Article 9:Research, development, public awareness and exchange of information......
Article 10:Financial mechanism......
Decisions on establishment of interim financial mechanism......
Decisions on establishment of financial mechanism......
Decisions on replenishments, budgets and contributions......
Decisions on the Executive Committee......
Other decisions on the operation of the financial mechanism......
Article 10A:Transfer of technology......
Article 11:Meetings of the Parties......
Decisions on meetings of the Parties......
Decisions on rules of procedure......
Decisions on the Open-ended Working Group......
Decisions on the Bureau......
Article 12:Secretariat......
Article 13:Financial provisions......
Article 14:Relationship of this Protocol to the Convention......
Article 15:Signature......
Article 19:Withdrawal......
Other Decisions......
2.4Destruction Procedures......
Approved destruction processes......
Suggested regulatory standards for destruction facilities......
Code of good housekeeping......
2.5Essential use exemptions (summary from Meetings of the Parties)......
Summary by Year of Essential Use Exemptions (metric tonnes)......
Conditions applied to exemption for laboratory and analytical uses......
Categories and examples of laboratory uses (this list is not exhaustive)......
Reporting Accounting Framework For Essential Uses Other Than Laboratory And Analytical Applications
2.6Assessment panels......
Composition of the panels......
Terms of reference for the panels......
Terms of reference of the Technology and Economic Assessment Panel......
2.7Data reporting forms......
Instructions: Data Reporting Forms......
Data Reporting Forms......
2.8Non-Compliance with the Montreal Protocol......
Interim non-compliance procedure (1990) applicable until 1992......
Non-compliance procedure (1992)......
Indicative list of measures that might be taken by a meeting of the Parties in respect of non-compliance with the Protocol
Non-compliance procedure (1998)......
2.9The Multilateral Fund......
Terms of reference of the Executive Committee for the Interim Multilateral Fund......
Terms of reference for the Interim Multilateral Fund......
Rules of procedure for meetings of the Executive Committee for the Interim Multilateral Fund...
Indicative list of categories of incremental costs......
Terms of reference for the Multilateral Fund......
Terms of reference of the Executive Committee......
Terms of reference of the Executive Committee (1997)......
2.10Finance......
Terms of reference for the administration of the Trust Fund for the Montreal Protocol on Substances that Deplete the Ozone Layer
UN scale of assessments (2000)......
2.11Declarations......
Helsinki Declaration on the protection of the ozone layer (1989)......
Declaration on chlorofluorocarbons (1990)......
Resolution on ozone-depleting substances (1990)......
Statement on control measures (1991)......
Resolution on methyl bromide (1992)......
Question of Yugoslavia (1992)......
Memorandum on partly halogenated chlorofluorocarbons (HCFCs) (1993)......
Declaration on hydrochlorofluorocarbons (HCFCs) (1993)......
Declaration on methyl bromide (1993)......
Declaration by countries with economies in transition (1993)......
Declaration on the Multilateral Fund (1994)......
Declaration on hydrochlorofluorocarbons (HCFCs) (1995)......
Declaration on methyl bromide (1995)......
Declaration on hydrochlorofluorocarbons (1997)......
Declaration regarding methyl bromide (1997)......
Declaration on hydrochlorofluorocarbons (HCFCs), hydrofluorocarbons (HFCs) and perfluorocarbons (PFCs) (1998)
Beijing Declaration on renewed commitment to the protection of the ozone layer (1999)......
Part III:Rules of Procedure......
Rules of procedure for meetings of the Conference of the Parties to the Vienna Convention and Meetings of the Parties to the Montreal Protocol
Introduction......
Purposes:Rule 1......
Definitions:Rule 2......
Place of meetings:Rule 3......
Dates of meetings:Rule 4–5......
Observers:Rule 6–7......
Agenda:Rule 8–15......
Representation and credentials:Rule 16–20......
Officers:Rule 21–25......
Committees and working groups:Rule 26......
Secretariat:Rule 27–28......
Conduct of business:Rule 29–38......
Voting:Rule 39–51......
Languages:Rule 52–54......
Sound records of the meeting:Rule 55......
Ad hoc meetings:Rule 56......
Amendments to rules of procedure:Rule 57......
Overriding authority of the Convention or the Protocol:Rule 58......
Part IV:The Evolution of the Montreal Protocol......
4.1Introduction to the Montreal Protocol, its adjustments and amendments......
4.2The 1987 Montreal Protocol on Substances that Deplete the Ozone Layer......
Preamble......
Article 1:Definitions......
Article 2:Control Measures......
Article 3:Calculation of control levels......
Article 4:Control of trade with non-Parties......
Article 5:Special situation of developing countries......
Article 6:Assessment and review of control measures......
Article 7:Reporting of data......
Article 8:Non-compliance......
Article 9:Research, development, public awareness and exchange of information......
Article 10:Technical assistance......
Article 11:Meetings of the parties......
Article 12:Secretariat......
Article 13:Financial provisions......
Article 14:Relationship of this Protocol to the Convention......
Article 15:Signature......
Article 16:Entry into force......
Article 17:Parties joining after entry into force......
Article 18:Reservations......
Article 19:Withdrawal......
Article 20:Authentic texts......
Annex A:Controlled substances......
4.3Adjustments to the Montreal Protocol......
Adjustments agreed at the Second Meeting of the Parties......