Annex A - Group I

Applicable to Production and Consumption

Non-Article 5 Parties

Base Level: 1986

Freeze: July 1, 1989 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

75 percent Reduction: January 1, 1994, and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 1996 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Article 5(1) Parties

Base Level: Average of 1995-97

Freeze: July 1, 1999 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

50 Percent Reduction: January 1, 2005, and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

85 Percent Reduction: January 1, 2007 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 2010 (with possible exemptions for essential uses) and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Annex A - Group II

Applicable to production and consumption

Non-Article 5 Parties

Base Level: 1986

Freeze: January 1, 1992 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 1994 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Article 5(1) Parties

Base Level: Average of 1995-97

Freeze: January 1, 2002 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

50 Percent Reduction: January 1, 2005, and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 2010 (with possible exemptions for essential uses) and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Annex B - Group I

Applicable to production and consumption

Non-Article 5 Parties

Base Level: 1989

20 Percent Reduction: January 1, 1993 and 10 percent of base level production allowed additionally to meet the basic domestic needs of parties operating under Article 5(1).

75 Percent Reduction: January 1, 1994 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 1996 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Article 5(1) Parties

Base Level: Average of 1998-2000

20 Percent Reduction: January 1, 2003, and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

85 Percent Reduction: January 1, 2007 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 2010 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Annex B - Group II

Applicable to production and consumption

Non-Article 5 Parties

Base Level: 1989

85 Percent Reduction: January 1, 1995 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 1996 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Article 5(1) Parties

Base Level: Average of 1998-2000

85 Percent Reduction: January 1, 2005 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 2010 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Annex B - Group III

Applicable to production and consumption

Non-Article 5 Parties

Base Level: 1989

Freeze: January 1, 1993 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

50 Percent Reduction: January 1, 1994 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 1996 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Article 5(1) Parties

Base Level: Average of 1998-2000

Freeze: January 1, 2003 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

30 Percent Reduction: January 1, 2005 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

70 Percent Reduction: January 1, 2010 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 2015 (with possible exemptions for essential uses), and 15 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

Annex C - Group I

Applicable only to consumption

Non-Article 5 Parties

Base Level: 1989 HCFC Consumption +2.8 percent of 1989 CFC Consumption

Freeze: 1996.

35 Percent Reduction: January 1, 2004.

65 Percent Reduction: January 1, 2010.

90 Percent Reduction: January 1, 2015.

99.5 Percent Reduction: January 1, 2020, and thereafter, consumption restricted to the servicing of Refrigeration and Air-conditioning equipment existing at that date.

100 Percent Reduction: January 1, 2030.

Article 5(1) Parties

Base Level: HCFC Consumption of the year 2015.

Freeze: January 1, 2016

100 Percent Reduction: January 1, 2040.

Annex C - Group II

Applicable to production and consumption

Non-Article 5 Parties

100 Percent Reduction: January 1, 1996 with possible exemptions for essential uses.

Article 5(1) Parties

100 Percent Reduction: January 1, 1996 with possible exemptions fo essential uses.

Annex E

Applicable to production and consumption, amounts used for quarantine and preshipment applications exempted.

Non-Article 5 Parties

Base Level: 1991

Freeze: January 1, 1995 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

25 Percent Reduction: January 1, 2001 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

50 Percent Reduction: January 1, 2005 and 10 percent of base level production allowed to be produced additionally to meet the basic domestic needs of parties operating under Article 5(1).

100 Percent Reduction: January 1, 2010 and 15 percent of base level production allowed additionally to meet the basic domestic needs of parties operating under Article 5(1), with possible critical agricultural use exemptions.

Article 5(1) Parties

Base Level: Average of 1995-98

Freeze: January 1, 2002 and 10 percent of base level production allowed additionally to meet the basic domestic needs of parties operating under Article 5(1).

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ARTICLE 8: NON-COMPLIANCE

The First Meeting of the Parties decided in Dec.I/8 :

1. to establish an open-ended ad hoc Working Group of Legal Experts to develop and submit to the Secretariat by 1 November 1989 appropriate proposals for consideration and approval by the Parties at their Second Meeting on procedures and institutional mechanisms for determining non-compliance with the provisions of the Montreal Protocol and for the treatment of Parties that fail to comply with its terms;
2. to invite Parties and signatories to submit to the Secretariat by no later than 22 May 1989 any comments or proposals they wish to see reflected in the working documents of the ad hoc working group;
3. to urge the Parties to provide within the next three months on a voluntary basis, the necessary funds for the ad hocworking group's meeting.

to adopt, on an interim basis, the procedures and institutional mechanisms for determining non-compliance with the provisions of the Protocol and for treatment of Parties found to be in non-compliance, as follows:

1. If one or more Parties have reservations regarding another Party's implementation of its obligations under the Protocol, those concerns may be addressed in writing to the Secretariat. Such a submission shall be supported by corroborating information.
2. The Party whose implementation is at issue is to be given the submission and a reasonable opportunity to reply. Such reply and information in support thereof is to be submitted to the Secretariat and to the Parties involved. The Secretariat shall then transmit the submission, the reply and the information provided by the Parties, to the Implementation Committee referred to in paragraph 3, which shall consider the matter as soon as practicable.
3. An Implementation Committee is hereby established. It shall consist of five Parties elected by the Meeting of the Parties for two years, based on equitable geographical distribution. Outgoing Parties may also be re-elected for one immediate consecutive term. At the first election, two Parties shall be elected for a one-year term.
4. The Committee shall meet as necessary to perform its functions.
5. The functions of the Committee shall be to receive, consider and report on:
• (a) Any submission made by one or more Parties in accordance with paragraphs 1 and 2;
• (b) Any information or observations forwarded by the Secretariat in connection with the preparation of the report referred to in Article 12 (c) of the Protocol.
6. The Committee shall consider the submissions, information and observations referred to in paragraph 5 with a view to securing an amicable resolution of the matter on the basis of respect for the provisions of the Protocol.
7. The Committee shall report to the Meeting of the Parties. After receiving a report by the Committee the Parties may, taking into consideration the circumstances of the case, decide upon and call for steps to bring about full compliance with the protocol, including measures to assist the Party's compliance with the Protocol, and to further the Protocol's objectives.
8. The Parties involved in a matter referred to in paragraph 5 shall inform, through the Secretariat, the Meeting of the Parties of the results of proceedings taken under Article 11 of the Convention regarding possible non-compliance, about implementation of those results and about implementation of any decision of the Parties pursuant to paragraph 7.
9. The Meeting of the Parties may, pending completion of proceedings initiated under Article 11 of the Convention, issue an interim call and/or recommendations.
10. The Meeting of the Parties may request the Committee to make recommendations to assist the Meeting's consideration of cases of possible non-compliance.
11. The members of the Committee and any Party involved in its deliberations shall protect the confidentiality of information they receive in confidence.

The Third Meeting of the Parties decided in Dec.III/2 to

• (a) request the Ad hoc Working Group of Legal Experts on the Non-compliance Procedure with the Montreal Protocol, when elaborating further the procedures on non-compliance, to:
• (i) identify possible situations of non-compliance with the Protocol;
• (ii) develop an indicative list of advisory and conciliatory measures to encourage full compliance;
• (iii) reflect the role of the Implementation Committee as an advisory and conciliatory body bearing in mind that the recommendation of the Implementation Committee on Non-compliance Procedure must always be referred to the meeting of the Parties for final decision;
• (iv) reflect the possible need for legal interpretation of the provisions of the Protocol;
• (v) draw up an indicative list of measures that might be taken by a meeting of the Parties in respect of Parties that are not in compliance with the Protocol, bearing in mind the need to provide all assistance possible to countries, particularly developing countries, to enable them to comply with the Protocol;
• (vi) endorse the conclusion of the Ad Hoc Working Group of Legal Experts that the judicial and arbitral settlement of disputes provided for in Article 11 of the Vienna Convention and the Non-compliance Procedure pursuant to Article 8 of the Montreal Protocol were two distinct and separate procedures (UNEP/OzL.Pro/WG.3/2/3);
• (b) adopt the following timetable for finalization of the draft non-compliance procedures for consideration by the Fourth Meeting of the Parties to the Protocol:

November 1991: Submission of draft non-compliance procedures to the Ozone Secretariat;

December 1991: Circulation of draft non-compliance procedures to the Parties;

The Third Meeting of the Parties also decided in Dec.III/17 with respect to the amendment procedure of the Vienna Convention, to request the Ad Hoc Working Group of Legal Experts on Non-compliance with the Montreal Protocol to consider procedures for expediting the amendment procedure under Article 9 of the Vienna Convention.

The Fourth Meeting of the Parties decided in Dec.IV/5:

1. to note with appreciation the work of the Ad Hoc Working Group of Legal Experts on Non-Compliance with the Montreal Protocol;
2. to adopt the non-compliance procedure, as set out in Annex IV to the report of the Fourth Meeting of the Parties (see Annex VII in this Handbook);
3. to adopt the indicative list of measures that might be taken in respect of non-compliance, as set out in Annex V to the report of the Fourth Meeting of the Parties (see Annex VIII in this Handbook);
4. to accept the recommendation that there is no need to expedite the amendment procedure under Article 9 of the Vienna Convention for the Protection of the Ozone Layer;
5. to adopt the view that the responsibility for legal interpretation of the Protocol rests ultimately with the Parties themselves.

1. to adopt the amended non-compliance procedure as set out in Annex II to the report of the Tenth Meeting of the Parties.
2. to consider the operation of the non-compliance procedure, unless Parties decide otherwise not later than 2003.




NON-COMPLIANCE PROCEDURE (1998)


The following procedure has been formulated pursuant to Article 8 of the Montreal Protocol. It shall apply without prejudice to the operation of the settlement of disputes procedure laid down in Article 11 of the Vienna Convention.  1. If one or more Parties have reservations regarding another Party?s implementation of its obligations under the Protocol, those concerns may be addressed in writing to the Secretariat. Such a submission shall be supported by corroborating information.

2. The Secretariat shall, within two weeks of its receiving a submission, send a copy of that submission to the Party whose implementation of a particular provision of the Protocol is at issue. Any reply and information in support thereof are to be submitted to the Secretariat and to the Parties involved within three months of the date of the despatch or such longer period as the circumstances of any particular case may require. If the Secretariat has not received a reply from the Party three months after sending it the original submission, the Secretariat shall send a reminder to the Party that it has yet to provide its reply. The Secretariat shall, as soon as the reply and information from the Party are available, but not later than six months after receiving the submission, transmit the submission, the reply and the information, if any, provided by the Parties to the Implementation Committee referred to in paragraph 5, which shall consider the matter as soon as practicable.

3. Where the Secretariat, during the course of preparing its report, becomes aware of possible non-compliance by any Party with its obligations under the Protocol, it may request the Party concerned to furnish necessary information about the matter. If there is no response from the Party concerned within three months or such longer period as the circumstances of the matter may require or the matter is not resolved through administrative action or through diplomatic contacts, the Secretariat shall include the matter in its report to the Meeting of the Parties pursuant to Article 12 (c) of the Protocol and inform the Implementation Committee, which shall consider the matter as soon as practicable.

4. Where a Party concludes that, despite having made its best, bona fide efforts, it is unable to comply fully with its obligations under the Protocol, it may address to the Secretariat a submission in writing, explaining, in particular, the specific circumstances that it considers to be the cause of its non-compliance. The Secretariat shall transmit such submission to the Implementation Committee which shall consider it as soon as practicable.

5. An Implementation Committee is hereby established. It shall consist of 10 Parties elected by the Meeting of the Parties for two years, based on equitable geographical distribution. Each Party so elected to the Committee shall be requested to notify the Secretariat, within two months of its election, of who is to represent it and shall endeavour to ensure that such representation remains throughout the entire term of office. Outgoing Parties may be re-elected for one immediate consecutive term. A Party that has completed a second consecutive two-year term as a Committee member shall be eligible for election again only after an absence of one year from the Committee. The Committee shall elect its own President and Vice-President. Each shall serve for one year at a time. The Vice-President shall, in addition, serve as the rapporteur of the Committee.

6. The Implementation Committee shall, unless it decides otherwise, meet twice a year. The Secretariat shall arrange for and service its meetings.

7. The functions of the Implementation Committee shall be:

(a) To receive, consider and report on any submission in accordance with paragraphs 1, 2 and 4;

(b) To receive, consider and report on any information or observations forwarded by the Secretariat in connection with the preparation of the reports referred to in Article 12 (c) of the Protocol and on any other information received and forwarded by the Secretariat concerning compliance with the provisions of the Protocol;

(c) To request, where it considers necessary, through the Secretariat, further information on matters under its consideration;

(d) To identify the facts and possible causes relating to individual cases of non-compliance referred to the Committee, as best as it can, and make appropriate recommendations to the Meeting of the Parties;

(e) To undertake, upon the invitation of the Party concerned, information-gathering in the territory of that Party for fulfilling the functions of the Committee;

(f) To maintain, in particular for the purposes of drawing up its recommendations, an exchange of information with the Executive Committee of the Multilateral Fund related to the provision of financial and technical cooperation, including the transfer of technologies to Parties operating under Article 5, paragraph 1, of the Protocol.

8. The Implementation Committee shall consider the submissions, information and observations referred to in paragraph 7 with a view to securing an amicable solution of the matter on the basis of respect for the provisions of the Protocol.

9. The Implementation Committee shall report to the Meeting of the Parties, including any recommendations it considers appropriate. The report shall be made available to the Parties not later than six weeks before their meeting. After receiving a report by the Committee the Parties may, taking into consideration the circumstances of the matter, decide upon and call for steps to bring about full compliance with the Protocol, including measures to assist the Parties? compliance with the Protocol, and to further the Protocol?s objectives.

10. Where a Party that is not a member of the Implementation Committee is identified in a submission under paragraph 1, or itself makes such a submission, it shall be entitled to participate in the consideration by the Committee of that submission.

11. No Party, whether or not a member of the Implementation Committee, involved in a matter under consideration by the Implementation Committee, shall take part in the elaboration and adoption of recommendations on that matter to be included in the report of the Committee.

12. The Parties involved in a matter referred to in paragraphs 1, 3 or 4 shall inform, through the Secretariat, the Meeting of the Parties of the results of proceedings taken under Article 11 of the Convention regarding possible non-compliance, about implementation of those results and about implementation of any decision of the Parties pursuant to paragraph 9.

13. The Meeting of the Parties may, pending completion of proceedings initiated under Article 11 of the Convention, issue an interim call and/or recommendations.

14. The Meeting of the Parties may request the Implementation Committee to make recommendations to assist the Meeting?s consideration of matters of possible non-compliance.

15. The members of the Implementation Committee and any Party involved in its deliberations shall protect the confidentiality of information they receive in confidence.

16. The report, which shall not contain any information received in confidence, shall be made available to any person upon request. All information exchanged by or with the Committee that is related to any recommendation by the Committee to the Meeting of the Parties shall be made available by the Secretariat to any Party upon its request; that party shall ensure the confidentiality of the information it has received in confidence.

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