57
Annex 11
Global Environment Facility -- United Nations
Development Programme
Project Development Facility (PDF-B)
Caspian Environment Programme
Caspian Transboundary Diagnostic
Analysis
Framework
June 1998
58
TABLE OF CONTENTS
1. Introduction
2. Geographic Scope
3. Analysis of the Economic, Legal, Administrative and Political Context and Constraints to Action
4. Major Perceived Water-related Environmental Issues and Problems (Regional Data Summary ­ Step I)
5. Analysis of Root Causes of the Identified Concerns and Issues (Regional Data Summary - Step II)
6. Priority Areas of Future Interventions (Regional Data Summary - Step III)
Area I: Abatement of contamination
Area II. Protection of Biodiversity
Area III. Sustainable Management of Fish Resources and other bioresources
Area IV. Integrated Coastal zone management
Area V. Institutional and human development
Area VI. Water level fluctuations
7. Detailed Information on Action Areas (Regional Data Summary - Step IV)
Annexes
Annex 1:
List of abbreviations
Annex 2:
Relevant national institutions, & organizations, regional and sub-regional bodies
including those proposed for involvement in the SAP process including details of size,
mandate, areas of specialty, etc.;
Annex 3:
List of ongoing and past projects relevant to the implementation of the SAP;
Annex 4:
List of relevant legal instruments.
Annex 5:
TDA Preparation (i.e., an outline of how the TDA was prepared: TDA expert
meetings, inter-ministry task forces, etc., including details of the critical
milestones in the process, workshops organized, stakeholder consultations,
national level approval, regional, intergovernmental approval process, etc.)
Annex 6:
References
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1. INTRODUCTION
DEFINITION
A Transboundary Diagnostic Analysis (TDA) is a scientific and technical assessment, through
which the water-related environmental issues and problems of a region are identified and
quantified, their causes analyzed and their impacts, both environmental and economic,
assessed. The analysis involves an identification of causes and impacts at national, regional,
and global levels and the socio-economic, political and institutional context within which they
occur. The identification of the causes would specify sources, locations, and sectors.
The purpose of conducting a Transboundary Diagnostic Analysis (TDA) is to scale the relative importance of sources
and causes, both immediate and root, of transboundary `waters' problems, and to identify potential preventive and
remedial actions. The TDA provides the technical basis for development of a Strategic Action Programme (SAP) in the
area of international waters of the GEF.
The Operational Strategy states that, "the overall strategic thrust of GEF-funded international waters activities is to
meet the agreed incremental costs of:
1. assisting groups of countries to better understand the environmental concerns of their international waters and
work collaboratively to address them;
2. building the capacity of existing institutions (or, if appropriate, developing the capacity through new institutional
arrangements) to utilize a more comprehensive approach for addressing transboundary water-related
environmental concerns; and
3. implementing measures that address the priority transboundary environmental concerns".
It is also suggested in the Operational Strategy that a SAP be formulated when the transboundary1 concerns, the actions
needed to address them or their incremental costs are not clear and that it should precede the development of any
technical assistance, capacity building or investment projects to be funded by the GEF.
Therefore a SAP is required to describe a framework for regional action, to demonstrate the linkages between the
national and regional actions and to identify the incremental costs (e.g., those that address primarily transboundary
environmental concerns) of the proposed activities. The ultimate product, the SAP, is a set of targeted and costed
activities which, once implemented, will together contribute to solve the major water-related environmental problems of
the region and thereby will also provide significant global environmental benefits.
The transboundary character of the identified water-related environmental issues and problems and the regional and
global significance of benefits to be gained by addressing the specific issues identified during the process of developing a
TDA would provide the technical background for the analysis of the incremental costs of the specific actions proposed in
the SAP.
Although formulation of a SAP relies on the scientific and technical justification provided in a TDA, the specific
combination of activities contained in a SAP is also determined by both national and regional policy considerations that
may affect project sustainability and cost effectiveness.
TDA FRAMEWORK

1 Transboundary environmental issues within the context of a TDA include inter alia :
* regional/national issues with transboundary sources
* transboundary issues with national sources
* national issues that are common to a number of riparian countries and that require a common strategy and collective action to address;
* issues that have transboundary elements or implications (e.g. implications of fishery practices on biodiversity)
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This Transboundary Diagnostic Analysis (TDA) Framework was prepared as part of the Project Preparation
exercise under the PDF-B for the Caspian Environment Programme (CEP). The full TDA will be prepared under the
auspices of the GEF project for the CEP, once the project is funded.
The purposes of preparing a TDA Framework as part of the Project Preparation activities are multi-fold:
·
To provide background materials for the Project Document, illustrating the
environmental context for the GEF project.
· To provide a forum for consensus-building on the environmental issues of highest priority in the
Caspian Sea
· To decide on the data requirements for completing the TDA early in the GEF process, to guide
the Project Implementation.
This TDA Framework summarizes the results from National Reports prepared by experts from each Caspian
country, as well as results from a National TDA expert meeting held in Tehran, Iran, from 26-28 April 1998.
2. GEOGRAPHIC SCOPE
Conducting a comprehensive transboundary diagnostic analysis is only possible if an entire water basin or Large Marine
Ecosystem and its associated drainage basin is covered under the study. This is required in order that the interactions
between the aquatic, terrestrial and human sub-systems are identified in so far as they are linked through the mechanism
of the hydrological cycle. More particularly the impacts of the land based activities on water resources and their
contribution to water-related environmental stresses can be demonstrated only if all sources, sinks and shared marine
resources are included in the assessment. This requires the commitment of all the countries that are located in the
catchment basin or surround the shared marine area to participate in the process.
The TDA must therefore include a basic geographic description of the area involved, including the water cycle within it,
inputs/outputs to the system arising through atmospheric transport, the exchange of materials with neighboring
watersheds or the open ocean, and characterization of the area's marine and/or freshwater ecosystem(s).
An understanding of the geomorphology of the area and the biophysical processes related to water occurring within the
system is fundamental to the conduct of a TDA, since it is necessary to understand the fate and flow of contaminant
materials in the system, including temporary storage in transitory sinks, remobilization processes, and ultimate sinks. It
serves the purpose of identifying the likely effects of anthropogenic interference in the hydrological and ecological
regime and the likely effects of changes in natural processes and human activities. An identification of critical areas and
processes that need to be maintained in their natural state for the sustainability of the water dependent living resources
will be included as a major consideration in the TDA.
During Almaty meeting the geographic boundaries of the Caspian Environment Programme were discussed. It
was agreed to take the boundaries as far out to sea as can be actively managed, and as far inland as the
administrative boundaries of coastal provinces. Where these boundaries impinge too far inland, the TDA should
concentrate on a corridor width of between 100 and 200 km. Major rivers will be addressed with their lower
reaches as a priority and the rest only as much as possible.
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3. ANALYSIS OF THE ECONOMIC, LEGAL, ADMINISTRATIVE AND
POLITICAL CONTEXT AND CONSTRAINTS TO ACTION
The assessment of economic, legal, administrative and political context of the water-related environmental matters will
provide the second basic component for the causal chain analyses of the major perceived issues and problems in the
Caspian basin.
The economic analysis will provide an account of relevant economic sectors impacting water quality and quantity, such
as agriculture, forestry, energy, industry and fisheries and evaluate their contributions to national and regional
economies as well as their dependence on water and related aquatic resources.
In the legal sphere the national, regional, and global context will be presented encompassing an overview of existing
instruments and the capacity of the various actors to enforce their provisions. This analysis will encompass the nature of
interactions between national, regional and global legal instruments (e.g., regional water quality standards) and
mechanisms for further enforcement.
Criteria will be established for assessing the coverage of water and related environmental laws at the national level.
The following provides an exemplary set of questions (in this case for the water quantity sector) that can be used for this
purpose:
Do water and related environmental laws and regulations:
· base water management on watershed basins and treat the river basin-coastal zone as a management
continuum;
· base such laws on sustainable management principles;
· require integrated water and environmental management planning;
· prevent fragmented departmental water allocation and use decisions;
· ensure integrated economic and environmental policy and project appraisals;
· establish water management institutions as outlined below
· establish enforceable incentives for environmentally sustainable water use.
In dealing with the administrative context, the TDA will focus on those water and environment
management institutions that are in place for the management of water resources. The
assessment will cover the issues of institutional and human resource capacity and the specific
mandates of the organizations. Assessment of the institutional capacities will require a
consideration of issues related to technical proficiency, equipment/lab facilities and
personnel/management. In assessing the institutional framework and mandates of "water"
organizations, the paramount considerations will be coordination of surface and ground water
management, coordination of water quality and quantity management, provision of incentives for
greater economic and physical efficiencies in water use and protection of instream flow values
and other public values related to water systems. Further depth of analysis can also be achieved
in the assessment of institutional capacity of water management organizations by considering the
following:

capability of coordinating water plans and management procedures with other functional agencies;

capability of considering a wide range of alternative solutions to water problems, including non-structural
measures and use of economic instruments (pricing, taxes, tradeable permits subsidies etc.);

separation of functions of planning & evaluation from construction & management;

existence of multidisciplinary expertise to carry out multiple-objective planning and evaluation;

observation/application of "subsidiarity principle" in assigning responsibilities to agencies at national,
provincial and local levels;
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existence of expertise to involve all stakeholders in the planning;

reward structures to stimulate creativity and innovation;

reward structure that stimulates learning through ex-post analyses.
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4. MAJOR PERCEIVED WATER-RELATED ENVIRONMENTAL ISSUES
AND PROBLEMS
The identification of the major perceived2 issues will be the first step in the TDA process and it will provide the
justification for the in-depth analyses. A distinction will be made between national and regional issues and then will be
ranked according relative significance from the national, regional and global perspectives. As these distinctions
become clearer, the emphasis in the TDA will gradually shift to those issues that are clearly demonstrated to be more
significant at a regional or global level and to those issues that are characterized as transboundary.
The significance of the perceived issues and problems will be substantiated on environmental, economic, social, and
cultural grounds. The economic costs and losses (consequences/implications), in the broad sense, of a perceived issue
such as "degradation of natural landscapes" could include loss of value for tourism. The scale of economic losses that
are implied by not addressing the issue can be used to justify intervention at national and/or regional levels depending
on whether the issue is national or transboundary in nature.

2 "Perceived" is used to include issues which may not have been identified or proved to be major problems as yet due to data gaps or lack of
analysis or which are expected to lead to major problems in the future under prevailing conditions.
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Regional Data Summary - Step I:
Major Perceived Water-related Environmental Issues and Problems
Perceived Major Problem
Transboundary Elements
1. Degradation of biodiversity, loss of coastal habitats, loss
Due to the total land locked character and specific circulation patterns of the Caspian, the harmful
or imminent loss of endangered species and their genomes
substances might be spread around the whole basin. Migratory bird habitat and nursery ground may
assimilate transboundary pollution. Endemic and rare species (especially sturgeons) are of regional and
global significance and have life cycles that cross national borders.
2. Unsustainable use of commercial fish stocks (especially
Virtually all fisheries resources are shared or transzonal and management requires the effort of more than
high value species)
one country
3. Degradation of landscape
Loss of aesthetic value of regional and global significance (including protected areas)
4. Desertification
Regional climatological and hydrological changes are of transboundary nature
5. Poor or unsatisfactory human health quality, unsanitary
The health of the human population has been adversely affected by many environmental factors through
conditions in many beaches and bathing waters, unsafe
airborne pollution and water-borne dispersion of contaminants and pathogens. Pollution of groundwater
drinking water, contaminated fish and shellfish products,
that cross national borders. Migration/export of contaminated fish between Caspian countries.
poorly or untreated sewage and industrial discharges to
coastal waters
6. Inadequate freshwater resources
Regional and in some cases transboundary (e.g., to extent that certain rivers and groundwater resources are
transboundary).
7. Damage to coastal habitats and infrastructure from sea
Fluctuating sea levels have basin-wide impacts and appear to be caused by complex,
level fluctuations
still poorly understood changes in the climatological and hydrological regimes.
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5. ANALYSIS OF ROOT CAUSES OF THE IDENTIFIED ISSUES AND PROBLEMS
This analysis will identify the underlying factors or root causes that contribute to the major perceived issues and problems so that these
will be addressed in the implementation of a Strategic Action Programme. As such it will improve recognition of connections between
the components of the environmental and socio-economic sub-systems through a causal chain analysis.
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Regional Data Summary - Step II:
Analysis of Root Causes of the Identified Issues and Problems
Main Root Causes
Specific Features
1. Poor or ineffective legal framework at the national level and
Lack of observance of international environmental laws and regulations
absence at the regional level, inadequate implementation of
regulatory instruments
Lack of international coordination
Poorly defined national environmental laws and regulations
Ineffective EIA's/Environmental audits
Ineffective inspectorates
Inadequate compliance and trend monitoring
Ineffective economic/financial mechanisms
Inadequate enforcement
2. Inadequate planning and management practices
Poorly planned urban/industrial/ recreational/agricultural/coastal zone development
Poor intersectoral coordination
Accidental oil spills from historical offshore development
Insufficient contingency plans
Linear (cradle-to-grave) vs. cyclic approaches to human and industrial waste and pollution
management
Farming and grazing in wetland areas (including deltas)
3. Poor or insufficient public involvement
Lack of general awareness of environmental issues
Deficient public participation/lack of transparency
Inadequate identification and involvement of stakeholders
4. Sea level fluctuation
Poorly planned urban/industrial/ recreational/agricultural development in the coastal zone
Ineffective trend monitoring and forecast
Inefficient emergency plans
Resettlement of population and growing unemployment
Desertification
5. Inadequate knowledge and infrastructure base
Insufficient understanding of sustainable fisheries yields in context of ecosystem health and
stability
Poor understanding of sustainable, low cost pollution management approaches and technologies.
Limited capacity to simulate human and ecosystem responses to different marine resource and
pollution management strategies
6. Inadequate funding base
Unsettled economies in transition
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Early stages of natural resource development
Low priority on national agendas
7. Underemployment/lack of jobs
Poaching increased to gain livelihoods
Degrading protected areas for fuel sources
8. Inappropriate environmental regulatory infrastructure
9. Lack of regional legal instruments
Inadequate regional cooperation
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6. PRIORITY AREAS OF FUTURE INTERVENTIONS:
ANALYSIS OF AREAS WHERE ACTIONS IS PROPOSED: PROBLEMS, STAKEHOLDERS,
ACTIONS, OUTPUTS
The Priorities for national and regional perspectives will be clear from the output of the Policy Option analysis.
Priorities at the national level should serve to establish or strengthen the foundation for interventions at regional and
international scales. The cost estimates of proposed investments will be provided, to the fullest extent possible.
Data and research needs will be identified as a basis for future activities in the design and targeting of research as well as
data collection & interpretation, monitoring and evaluation. The main objective will be to assist in overcoming the
scientific uncertainties and/or barriers in the application of management and policy tools for the sustainable use of water
resources.
Background information regarding management tools that are prescribed as part of the proposed solutions or that are
implied in the proposed solutions will be provided.
A description of all the stakeholders, including institutions, organizations, ministries, agencies
and industry related to the perceived issues will also be incorporated. The information
pertaining to this list will include the effect of the issue on stakeholders, the nature and
effectiveness of the interactions between the stakeholders as well as their strengths and
weaknesses in view of their actual and/or potential role in managing water and water dependent
resources.
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Regional Data Summary ­ Step III:
Area I. Abatement of Contamination
Areas Where Action is
Problem
Stakeholders
Proposed Actions
Products
Proposed
Abatement of
Assessment of the
National reports revealed that
· Ministries of
· Using WHO guidelines undertake
· First regional
contamination
discharge of chemical
some contaminants inputs are
Environment
assessment and QA
assessment
and microbiological
quite significant (data Table1)
· Regulatory bodies
· Control of sewage pollution
prioritizing
contaminants to coastal
and should be reduced
· Private and state
· Ban or enforcement of existing
contaminants
and marine areas
industries
disposal of municipal solid waste
· Reduction of
· Municipalities
· Modify industrial processes to
contaminant
· GEF Partners/Int.
reduce/eliminate certain feedstocks
input
Agencies
and wastes or at lease safely store
· Improved water
them,
quality
· test economic instruments to reduce
toxic release (emission taxes,
tradable permits)
· Ban certain industrial waste streams
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Monitoring of the levels
· Insufficient national
· Ministries of
· Strengthening and equipping CREC
· A working
and effects of pollutants
monitoring programs
Environment and
labs
network of
(point and surface) for
· Lack of modern
Health
· Establishment of Caspian
analytical labs
compliance and long-
instruments and
· Local authorities
Monitoring System
· A fully
term trends, data
techniques
· Private sector
· Facilitate information and data
operating
exchange
· Lack of regional
· Municipalities
exchange
regional
monitoring protocols
· Research institutes
· Development of regional Data base
monitoring
· Poor data exchange
Management System and GIS
system
· No regional data
· Assurance of analytical quality point · Regional
management mechanism
and surface monitoring
system for data
· No regional plan for
· Establishment of reference
quality
ID pathways of
phasing in standards (no
laboratory and QA
assurance
contaminates and
compliance with
· Assessment of Environmental
· A fully
prediction of
standards)
Impact and Ecological carrying
operating and
distribution
capacity
properly
maintained
Information
Data base
Management
and GIS system
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Areas Where Action is
Problem
Stakeholders
Proposed Actions
Products
Proposed
Abatement of
Hot-spot analysis and
Severe impact on human
· Polluting state and
· Identification, quantification and
· Regional list of
contamination
options for remedial
health, tourism, fisheries and
private enterprises
prioritization of Hot Spots
pollution hot
(cont'd)
actions
biodiversity from a number of
· Ministries of
· Formulation of urgent investment
spots
heavily polluting land-based
Environment and
portfolio for hot spot remediation
· Strategies and
point sources within coastal
Health
· Identification of industrial process
investments for
and upstream areas of each
· Municipalities
retrofitting, waste stock exchange
hot spot
Caspian country
· Tourism industry
and other waste and feedstock
remediation
· Fish industry
reduction approaches
Reduction and
· Discharges of harmful
· Ministries of
· Regulating of operational discharges · Operational
regulation of
substances and persistent
Environment
by introducing a licensing system
national
operational discharges
organic pollutants from
· Regulatory
· Adoption of marine quality
licensing
from offshore
drilling and shipping
committee for the
objectives
system
development, vessels
activities are reported
environment
· Monitoring and assessment of
· Harmonized
and dumping
· Possibility of introduction · Private and state
dumping activities
marine quality
of alien species
industries
· Regulation of ballast water
objectives
· Municipalities
discharge
· Regulation of
· Ministries of
dumping
Transport
activities
Prevention of
· Lack of national
· National authorities · Development and adoption of
· Operational
emergencies and
contingency plans
· Regional and local
contingency plans at the local and
national
contingency planning
· Lack of regional
authorities
national level
contingency
contingency plan
· Development and adoption of
plans
· Ship traffic e.g. pollution
regional contingency plan
· Harmonized
from collisions, grounding
regional
contingency
plan
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Regional Data Summary ­ Step III:
Area II. Protection of Biodiversity
Areas Where Action is Proposed
Problem
Stakeholders
Proposed Actions
Products
Protection of
Protection of rare and endangered
Loss of endangered species
Ban on harvesting
Biodiversity
water animals and plant species
Lack of common regional
Development of regional
methodology in protecting
methodology in protecting
endangered and rare species
endangered and rare species
Deterioration of spawning
Regulation or restriction of
grounds and habitats of
industrial development in
endangered species
the areas of spawning
grounds and reproductive
areas
Strengthening of protected and
Insufficient protected areas
conservation areas strategy
system and
management/enforcement in
existing system
Lack of a regional strategy for
conservation areas
Protection of habitats and
Deterioration of valuable
landscape/seascape
habitats in marine and coastal
areas
Degradation of landscape
Desertification
Identification of the risk of
Possible introduction of exotic
introduction of exotic species and
species with ballast waters or
develop strategies for preventing
ship hulls
such threats
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Regional Data Summary ­ Step III:
Area III. Sustainable Management of Fish Resources and other aquatic Bioresources
Areas Where Action is Proposed
Problem
Stakeholders
Proposed Actions
Products
Sustainable
Development of international
Unregulated use and
management
agreement on the conservation,
overexploitation of valuable
of fish
rational exploitation and
Caspian bioresources.
resources and
sustainable management of
other aquatic
bioresources
bioresources
Development and implementation
Dramatic decrease in
Design and implement
of unified intergovernmental
sturgeon stocks.
resource management
programme for the recovery of
strategies to ensure the
sturgeon population
sustainable use of sturgeon
stocks
Development of international
Lack of reliable information
scientific programme for
on stocks.
investigation of Caspian
bioresources.
Development of joint coordinated
Lack of common rules and
activities for regulation of
regulations of harvesting
harvesting aquatic bioresources
practices.
especially transboundary species.
Artificial reproduction of fish
Lack of regulation and
Build local and national
resources and other valuable
coordination of activities.
capacities for development
aquatic bioresources. (aquaculture
of aquaculture industries.
/mariculture)
Enforcement of protection of fish
Increased poaching
resources and other bioresources,
e.g. sturgeons
Conservation of Caspian seal.
Lack of information on stock
Assess seal population,
and abundance.
habitat, food needs, create
necessary laws and protect
areas to maintain and
enhance seal population
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Regional Data Summary ­ Step III:
Area IV. Integrated Coastal Zone Management
Areas Where Action is
Problem
Stakeholders
Proposed Actions
Products
Proposed
Integrated
Development of an integrated
Coastal Zone
coastal zone management
Management
(urban and industrial areas)
Development of appropriate
institutional and legislative
regime for ICZM
Develop a harmonized strategy
for environmentally friendly
tourism industry
Development of guidelines for
land and water use
Development of ICZM Plans
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Regional Data Summary ­ Step III:
Area V. Institutional and Human Development
Areas Where Action is Proposed
Problem
Stakeholders
Proposed Actions
Products
Institutional
Strengthen institutional capacity
and human
building
development
Involve the public and NGO's in
decision-making process
Community strengthening.
Involvement of private sector
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Regional Data Summary ­ Step III:
Area VI. Water Level Fluctuations
Areas Where Action is Proposed
Problem
Stakeholders
Proposed Actions
Products
Water level
Prepare a regional strategy to
fluctuations
adapt to water fluctuations
Prepare emergency plans
Storm surgery prediction
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7. DETAILED INFORMATION ON ACTION AREAS
To motivate and support the actions described in section 8, data from the Caspian states
have been acquired. These data are taken from the National Reports prepared as part of the
UNDP/GEF PDF-B Project Preparation phase, as well as from numerous publications from
within each country.
These data will be summarized during the GEF project for the CEP;
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ANNEX 12: HISTORICAL REGIONAL AGREEMENTS
CONVENTION (AGREEMENT)
ON CONSERVATION AND UTLIZATION OF BIORESOURCES
OF THE CASPIAN SEA
The Government of the Republic of Azerbaijan, the Government of the Islamic
Republic of Iran, the Government of the Republic of Kazakhstan the Government of the
Russian Federation, and the Government of Turkmenistan names hereafter as "Parties,"
· acting on the desire to develop friendly and kind-hearted relations,
· admitting that all bioresources of the Caspian Sea should be considered as common
property of the PreCaspian states,
· considering their special responsibility for the conservation, natural reproduction and
optimum utilization of unique resources of the Caspian sturgeon fish which make up
90% of the world reserves,
· recognizing the necessity for creation of methods for conservation and restoration of
bioresources of the Caspian Sea,
· admitting that the Caspian Sea is an indivisible ecological complex,
· taking into consideration interests of the Parties in the conservation, natural
reproduction, optimal utilization and management of bioresources of the Caspian Sea,
· considering the necessity for cooperation on matters of export and import operations
on the world fish markets,
· considering traditional fisheries of the Parties in the Caspian Sea and its economical
importance for coastal populations and its involvement,
· marking the importance of joint scientific research for the conservation, natural
reproduction and optimal utilization of Caspian Sea bioresources,
· expressing the desire to create an efficient international mechanism for the
conservation, utilization, and management of Caspian Sea bioresources,
have agreed on the following:
ARTICLE 1
The region of the action of this Agreement,, referred hereafter as "Area," shall be all
the water areas of the Caspian Sea including sections of the rivers which are migration and
spawning areas for diadromous and fluvial anadromous fish.
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ARTICLE 2
For the purposes of this Agreement, the term:
1. "Bioresources" means fish, mollusks, crustaceans, mammals and all other forms of
flora and fauna of the Caspian Sea.
2. "Migratoly Fish" means fish which migrate from the sea into the rivers and vice
versa, as well as from one part of the sea into another. These include sturgeon fish,
shad, salmon, carp, and mullet.
3. "Diadromous fish" means fish living in the sea and migrating to rivers for
spawning. These include sturgeon fish (Beluga, sturgeon,, starred sturgeon, barbel
sturgeon) and salmon (Caspian salmon, inconnu).
4. "Fluvial anadromous fish" means fish feeding in pre-delta areas of the sea and
migrating into rivers for spawning. These include carp, darters, and catfish.
5. "Fishery" means:
a) fishing, extraction or production of bioresources or any other activity
resulting in fishing, extraction or production of bioresources;
b) any operation in the Area, for preparation or for direct assistance to any
activity mentioned in subpoint "a" of this article.
6. "Specialized fishery" means the fishery of a single species of bioresources.
7. "Accidental take" means fishing, taking or production of a species of bioresources
while carrying out the specialized fishery of another species of bioresources.
8. "Natural reproduction" means the renewal of the bioresources and includes:
a) maintaining the natural spawning and breeding areas at the required level,
allowing spawners to pass to the spawning areas (natural reproduction).
b) breeding, growing and release of the larvae of young fishes by fish farms
(artificial natural reproduction).
c) creation of conditions for feeding of young fishes and adults at natural
feeding areas as well as for their hibernation.
ARTICLE 3
1.
The objects of this Agreement shall be conservation, natural reproduction, optimal
utilization and management of the Area's bioresources.
2.
The Parties shall confirm that only citizens and legal entities of PreCaspian states have
the right to fisheries in the Area.
3.
The Parties shall cooperate in matters of export to the world market of fish products,
especially relating to the sturgeon fish and their caviar.
ARTICLE 4
1. Fishery of bioresources shall be reserved only for the coast Party within the limits of
(Azerbaijan-40, Iran-30, Kazakhstan--25, Russia-15, Turkmenistan--40)** mile zone for
fisheries jurisdictionj, the width of which can be changed in compliance with the
establishment of the legal status of the Caspian Sea.
2. Each Party shall provide the opportunity to continue fishery in its zone of fishing
jurisdiction for the fishing boats of the other Parties on a license basis.
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3. Outside of this zone of fishing jurisdiction specified in paragraph 1 of this article as well
as outside of the preserve zones and specially protected territories recognized by the
Parties, all Parties shall have equal rights for the fishery on the basis of the unified
regulation measures which are taken by the Commission being created in compliance
with Article 10 of this Agreement.
4. Specification of the boundaries of the fishing jurisdiction zones shall not affect the
development of mineral resources, navigation, and other types of authorized activity
which does not relate to the conservation and utilization of the bioresources of the Area.
ARTICLE 5
1.
In the Area:
a.)
Specialized fishery of sturgeon fish shall be carried out only in the rivers
and their estuaries. In case of the impossibility of the fishing of the allocated
volume in its rivers and estuaries by one Side, its quota can be passed for the
development of another Party on the basis of an agreement. If it is impossible to
pass the quota or to develop it by the other Side, it shall be developed by the first
mentioned Party within its fishing jurisdiction zone with the notification of the
Commission and or outside the zone upon the approval by the Commission
within the volume of the allocated quota and under approval by the Commision
within the volume of the allocated quota and under supervision of the
inspectorate. Fishing of sturgeon fish by Iran shall be carried out in compliance
with the Enclosure which shall be part and parcel of this Agreement;
b.)
Accidental taking of sturgeon fish shall be minimized by all means;
c.)
Keeping of sturgeon fish and other diadromous fish which have been
caught as an accidental taking while fishing other fish species shall be forbidden,
and any of these sturgeon fish and other diadromous fish species shall be
immediately released into the sea.
1.
The provision of paragraph 1 of this article shall not be applied to the fishery for the
scientific and research purposes in accordance with Article 8 of this Agreement.
2.
The fishery of shad, mullet and Caspian sprats shall be allowed by methods which
maximize exclusion of accidental catch of sturgeon fish.
3.
The Parties shall take corresponding measures individually or jointly in compliance
with their national laws and regulations to prevent marketing of sturgeon fish and other
diadromous fish species, which were produced in violation of this Agreement as well as
their products and to prosecute physical and legal entities in that marketing.
ARTICLE 6
The Party which is carrying out sturgeon fishing in its rivers and their estuaries within the
limits of another Party's quota shall share a specified portion of the sturgeon fish volume or
compensate by agreement a certain part of their value to the other Parties which refrain from
that fishery or do not have the opportunity for the total development of that quota.
In case of the quota development according to subpoint "a" of paragraph 1 Article 5
export of the fished or processed sturgeon fish, caviar included, shall be carried out according
to bilateral agreement on a non-license basis as well as without custom taxation and any other
taxes for the Party that carries out the fising.
83
ARTICLE 7
The Parties shall work out joint and individual programs designed for the conservation of
all the sturgeon species to ensure higher and stable fishing. To accomplish the above
programs, the Parties shall take measures for natural and artificial natural reproduction of the
sturgeon, improvement of the environmental situation in the Area, protection against
pollution of their habitats and assurance of the necessary releases of the water from reservoirs
along the lower reaches of the rivers.
ARTICLE 8
1. The Parties shall cooperate in scientific studies in the Area for the purposes of bioresource
conservation.
2. The Parties shall take measures for the preparation of close scientific cooperation between
the organizations and enterprises on joint and individual programs for the conservation,
natural reproduction of the reserves and optimum utilization of the Area's bioresources.
3. In relation to the fishery and scientific studies in the Area, the Parties shall cooperate in
carrying out the collection, presentation, and exchange of information, including statistics
on the catch and fishing efforts. In the event the Commission requests, the Parties shall
submit to it that information at no charge.
4. The Parties shall carry out scientific exchange by the way of seminars and exchange of
scientific personnel, including scientific observers for te accomplishment of the objects of
this Agreement.
5. The Parties shall present to the Commission their scientific and research programs on
provisions for specialized fishery or accidental taking of sturgeon fish and other
diadromous fish in the Area.
6. The volume of any species of bioresources, which has been limited by the Commission,
taken for scientific or other non-commercial purposes, shall be counted for in the agreed
quotas of fishing of the given Side. The data on the volumes of catch of these species of
bioresources for the above-mentioned purposes in the Area shall be presented to the
Commission within 9 months.
ARTICLE 9
1.
Caviar export shall the state monopoly of the Parties. The Parties will cooperate with
the objects to prevent illegal export of the sturgeon caviar.

2.
The Parties shall negotiate directly or through the Commission the coordination of the
sale, price control, and determination of export quotas for sturgeon and other fishing
production of the Area at the world market, as well as in the case of mutual interests
they shall carry out joint export-import operations.
ARTICLE 10
1.
The Parties shall establish a Commission on Conservation and Utilization of Caspian
Sea bioresources for the implementation of this Agreement, referred hereafter as
"Commission."
84
2.
The Commission shall be the legal entity and in its relations with other international
and national organizations it shall use the rights of a legal entity which may be
necessary for carrying out its functions and achievement of its goals.
3.
Immunity and privileges which the Commission and its officials enjoy in the other
Party's territory shall be defined by the agreement between the Commission and each
Side.
4.
Official languages of the Commission shall be state languages of all Parties. Working
languages shall be Russian and Persian.
5.
Headquarters of the Commission shall be located in (Astrakhan, Russia, or Enzely,
Iran)**. By the request of a member of the Commission and in case a decision is taken
by the majority of the votes of Commission members, the headquarters can be
transferred to another city of any PreCaspian state.
6.
Each Party shall be -a member of the Commission and shall appoint no more than one
representative who may be accompanied by experts and advisors during the
Commission sessions. Presence of all Commission members shall be required to
conduct its meeting.
7.
Each Party's representatives shall have only one vote. Commission decisions on 0 the
paragraphs of Article 11 shall be taken by the Parties unanimously, and while
discussing other matters, they shall be taken by a majority of the votes.
8.
The Commission shall appoint a Chairman and Vice-Chairman from the Party's
representatives and in rotating order. Each of the above officials shall hold his
position for two years.
9.
The Commission shall approve a Secretariat consisting of an executive director and
corresponding staff.
10.
Commission sessions shall be conducted once each year. The time and place of each
session shall be defined at the previous session. If it is necessary and as an exception,
the Commission can call for emergency sessions. These sessions shall be called for on
the proposal of the Commission Chairman or upon the request of not fewer than two
Parties, which shall be submitted in written form (by letter) to the Commission
Chairman.
11.
The Commission shall adopt its regulations, procedures, as well as financial
regulations.
12.
The Commission activity and operation of its Secretariat shall be financed by the
Commission budget.
13.
The Commission budget shall be derived from the Parties' contributions in hard
currency which are defined depending on the allocated bioresource quotas for these
Parties. The budget estimate shall be prepared by the Secretariat and it shall be
approved at the Commission's annual sessions.
ARTICLE 11
The Commission shall have the following powers:
1.
Coordinate the activity of the Parties on the conservation, natural reproduction,
optimum utilization of bioresources and their management in the Area.
2.
Define the volumes of the total permissible fishing of migratory fish species (sturgeon,
salmon, shad) as well as Caspian seal. These quotas shall be set annually and on the
basis of scientific studies.
85
3.
Define the volumes of total permissible fishing of other species of bioresources outside
the fishing jurisdiction zone upon the recommendation of the fishery scientists.
4.
Define the quotas of fishing of bioresources for each of the Parties from the volumes of
total permissible fishing, provided for in points 2 and 3 of this Article, with
consideration of the contribution of each Party into the bioresource's natural
reproduction including measures on improvement of habitat conditions and artificial
natural reproduction, as well as other important factors determined by the
Commission.
5.
Assist implementation of sturgeon fishing quotas passed by one Party to another in
compliance with Article 5, which is carrying out fisheries in its own rivers and their
estuaries. Take corresponding decisions.
6.
Coordinate measures for fishery regulations in the Area.
7.
Develop recommendations for the utilization of tools and new technologies for
fisheries.
8.
Coordinate regulations and conditions for giving permits for fishing outside the
fishery jurisdiction zone, including their suspension or cancellation.
9.
Consider the reports presented on the implementation of the permits issued in
compliance with this Article and on the realization of the other decisions made by the
Commission.
10.
Develop and submit for the Parties' approval a Statute of the Commission for
conservation and utilization of bioresources of the Caspian Sea and a Statute of
International Inspection.
11.
Approve fishing regulations in the Area on the basis of fishery science
recommendations.
12.
Coordinate the matters of protection of the endangered species of bioresources and
their habitats.
13.
Introduce proposals on the prevention of water pollution of the Area and on measures
for emergency response to emergency situations.
14. Coordinate the value of compensation for the damage to the Area's bioresources.
15.
Consider and develop proposals to the Parties on the matters of sanctions applied to
the physical and legal entities for the violation of this Agreement's provisions.
16.
Consider and develop proposals for the Parties on the certificates of production of
sturgeon fish and the other bioresource species of the Area.
17.
Develop corresponding recommendations for any Party on the scientific and research
activity relating to the Area's bioresources and distribution of their results.
18. Cooperate with corresponding international organizations for obtaining scientific
information.
19.
Adopt the regulations for conduct of ecology expert examination of projects or
programs whose implementation may influence the bioresources in the Area.
20.
Assist in the decisions of the disputed issues in the field of conservation, optimum
utilization of bioresources, and their management in the Area.
21.
Define the volumes of the production and release of the young sturgeon fish with the
goal of their conservation and natural reproduction in the Area.
22.
Coordinate conservation and establishment of preserve zones especially important for
the bioresources of the Area.
23.
Establish the necessary centers and subcommittees, define the direction and programs
of their activity.
86
24.
Give permission for any introduction of new species of flora and fauna to the Area by
the Parties.
25.
Consider the reports of the Parties on their implementation of Commission decisions.
26.
Consider also the other matters relating to this Agreement.
ARTICLE 12
The Parties shall establish a system of international inspection for assistance in the objects and
provisions of this Agreement. This inspection shall act in compliance with the Statute
approved by the Commission.
ARTICLE 13
Disputes on the understanding or application of the articles of this Agreement shall be
decided by the Parties by talks or other peaceful means.
ARTICLE 14
The Original of this Agreement shall be kept by the Government of the Country where the
Commission headquarters are located, known as the Depository. The Depository shall
forward its certified copies to all the Parties which signed this Agreement.
ARTICLE 15
1.
Amendments to this Agreement can be proposed by any Party at any time. The
proposals on these amendments shall be forwarded to the Commission and the
Commission shall notify all Parties which shall inform the Commission as soon as
possible of their approval or rejection of the amendment. The amendment shall be
adopted in the event of unanimous approval by all Parties.
2.
The amendment shall take effect 90 days after the Commission's receipt of the last
notification of approval. The Commission shall forward the adopted amendment to
the Depository.
ARTICLE 16
Any Party shall be able to leave this Agreement having forwarded the notification letter on
this to the Depository 12 months prior to the date of separation. Upon receipt of this
notification, the Depository shall immediately inform the other Parties.
ARTICLE 17
This Agreement and Enclosure shall take effect on the day the Depository receives the last
notification that all Parties have completed their internal procedures for the approval of this
Agreement.
Accomplished in year......... which corresponds to............. by Iranian calendar in
Azerbaijan, Kazakh, Persian, Russian and Turkmenian languages. All texts have equal force.
87
ENCLOSURE
Specialized fishery of sturgeon fish along the Iranian coast of the Caspian Sea shall be
carried out by Iran using traditional methods, within the quota allocated to it under
Commission supervision.
** These two items have not yet been agreed upon, as of 11 April 1994.
88
DECLARATION ON ENVIRONMENTAL COOPERATION
IN THE CASPIAN SEA
Meeting of Representatives of the Caspian Sea coastal states assembled in Almaty on
26 May 1994,
Developing and implementing the main ideas of the Resolution of the First Baku
Conference on Ecological Problems of the Caspian Sea, held on 13-17 June 1991 in Baku;
Recalling the decisions of the United Nations Conference on Environment and
Development (Brazil, 1992) including the policy guidance (Agenda 21);
Recalling the Convention for Protection of Biodiversity, prepared for signature at
UNCED, and its call for international action to preserve biological species diversity, habitat
diversity, and integrity of ecosystems;
Reaffirming the provisions of the draft Convention for the Conservation and
Utilization of Bioresources of the Caspian Sea;
Concerned about the environmental degradation of the Caspian Sea basin and
particularly in its coastal zone, and about marine biological resources;
Recognizing the unique and varied biological resources of the Caspian Sea (sturgeon
fish, birds, seals, and myriad other forms of endemic fauna and flora) which make it a global
treasure;
Determined to take coordinated actions to prevent the degradation of this unique water
body, and to prevent ecological' catastrophe resulting from anthropogenic activity;
Acknowledging the severity of environmental problems caused by sea-level rise,
contamination, irrational utilization of natural resources, poaching, and other negative
factors;
Intending by all means to broaden and protect reserve areas and water bodies; and
Convinced that development of cooperation amongst all Caspian Sea states is the basis
for resolution of the complex environmental pressures on the Caspian Sea,
89
Declare that:
· sea-level rise, irrational utilization of natural resources, and other adverse factors
represent significant risks to the region of the Caspian Sea;
· urgent needs exist to define the status of the Caspian Sea and its bioresources, including
specially protected reserve territories and water bodies;
· the fastest implementation of coordinated measures on stabilization of the ecological
situation will prevent degradation of the ecosystem of the Caspian Sea and its coastal
territories;
· coordination of international cooperation in research, management, economic incentives,
and harmonization of legislation with the goal of conserving the biodiversity of the
Caspian Sea and its coastal zone is the highest priority task of all Caspian Sea states;
· the Caspian Sea states affirm their desire to cooperate constructively in environmental
management and actions aimed at sustainable and ongoing utilization of the biological
resources of the Caspian Sea;
· the Caspian Sea states will cooperate fully in the preparation and implementation of
programs of joint activities on protection of the environment which should establish the
basis for rational utilization natural resources and identify priority spheres of activities;
· the representatives of the Caspian Sea states call on the international community to
support their joint efforts provide assistance in the development of the environmental
program;
For Government of Azerbaijanian
For Government of Kazakhstan
Republic
Republic
For Government of Islamic
For Government of Russian
Republic of Iran
Federation
For Government of Turkmenistan
90
PROTOCOL
OF THE MEETING ON PROGRAMS FOR THE PROTECTION OF THE
ENVIRONMENT IN THE CASPIAN SEA REGION
In Almaty on 26 May 1994, a meeting of representatives of the Caspian Sea states,
Republic of Azerbaijan, the Islamic Republic of Iran, Republic of Kazakhstan, and the Russian
Federation, was held to discuss the project "Conservation of the Biodiversity of the Caspian
Sea and its Coastal Zone."
Recognizing the historical value of the documents issued by the United Nations
Conference on Environment and Development (UNCED) held in Rio de Janeiro (Brazil) in
1992, it is necessary to take joint measures for the implementation of the Convention on
Biological Diversity.
Recognizing that the Caspian Sea is a unique ecological system and relies on the
commonly adopted norms of international law,
the above states express their interest in the implementation of a joint project,
"Conservation of Biodiversity of the Caspian Sea and its Coastal Zone."
The participants of the meeting note that:
· International cooperation in research, management, economic incentives, and
legislation for the purpose of conservation of the biological diversity of the
Caspian Sea and its coastal zone is a vital need for the Caspian States;
· the Caspian Sea states affirm their desire to intensify cooperation in I
environmental management and take actions aimed at sustainable and equitable
management of the biodiversity and natural resource management of the Caspian
Sea area and its catchment;
· the Caspian Sea states will cooperate fully in the preparation and implementation
of the program of activities designed to establish the foundation for sustainable
management of a program and to identify priority activities in the framework of
cooperation between Caspian Sea states;
· the Caspian Sea states call on the international community to support their joint
efforts of cooperation and provide assistance in the implementation of the
environmental program; and
· the participants of the meeting charge the Government of Kazakhstan with the
submittal by of the project prepared by the Kazakhstan Republic to the Glob2.1
Environmental Facility and to the World Bank after additional work and
91
discussion with the Islamic Republic of Iran, Russian federation, and
Turkmenistan.
For Government of Azerbaijanian
For Government of Kazakhstan
Republic
Republic
For Government of Islamic
For Government of Russian
Republic of Iran
Federation
For Government of Turkmenistan
92
FINAL RESOLUTION
THE FIRST INTERNATIONAL BAKU CONFERENCE
ON THE PROBLEMS OF THE CASPIAN SEA
Recognizing the great economic, social, and cultural value of the Caspian ecosystem
and its resources for the Caspian region people and the whole of mankind;
Marking the large-scale anthropogenic influence on the Caspian ecosystem, causing
regional natural resource degradation;
Being conscious of the sowing danger for the Caspian Sea natural resources, which is
fraught with irreversible consequences for the integrity of its ecosystem;
Emphasizing the urgency for creation of the scientific and technological potential,
modem methods and technologies to be used for the Caspian region natural resource
protection;
Admitting the significance of mutual aid and international cooperation in information
exchange, concerning different states' abilities to react to the extreme situations in the Caspian
Sea basin, such as accidental ecological disaster and oil floods;
Creating new climate of cooperation and understanding between the Caspian region
states;
Wishing to improve further regional cooperation on the Caspian Sea;
Admitting that such collaboration enables realization of joint coordinated efforts on
environmental improvement in the region and will help to carry out national technological
programs;
Acknowledging the importance of regional cooperation in the Caspian Sea
environmental protection as an inalienable part of peaceful collaboration and mutual
understanding between Caspian region nations;
1. Admits that the real threat of ecological unbalance in the region of the Caspian Sea
exists, which can lead to the ecosystem's destruction and to establishment of serious
impediments in the life improvement in the region;
2. Expresses the hope in the Caspian region states will and readiness to develop
scientific, technological nature protection cooperation in the Caspian Sea region;
3. Makes decision to create the Supreme Regional Council on the Caspian Sea
problems (Caspian Council) which should:
a) evaluate the Caspian Sea ecosystem;
b) Create the common program of monitoring;
93
c) Set up priorities for solutions to problems and to design the conceptual basis for such
solutions;
d) Coordinate states' national programs;
e) Work out the Common Regional Program concept;
f) Elaborate a Convention for the Caspian Sea pollution prevention;
g) Provide a legal basis for management of natural resource use;
h) Work out further cooperation directions of the governments concerned.
4. Appeals to the Caspian states governments about the urgency of the authorities
recognition of the Supreme Caspian Council as an intergovernmental advisory body for
solution of the region's ecological problems;
5. Appeals to the Caspian states governments to create and to adopt during one year
industry ecological national plans, paying priority attention to the considerable reduction of
floods;
6. Asks for the Caspian region states governments to make an agreement on common
nature protection requirements in the light of further improvement in planning, concerning
all aspects of social and economic processes;
7. Recommends to the Caspian states governments the conceivable assistance in the
further improvement of nature protection, information and knowledge exchange as well as
ecologically pure technology management on a bilateral and multi-lateral and commercial
basis;
8. Asks the Caspian region states governments in the bounds of the Caspian Sea
problems conference in 1993 to discuss and make an agreement at the level of the states and
government leaders for the Caspian Sea Pollution Convention Adoption;
9. Emphasizes the urgency of creation of a Fund for the salvation of the Caspian Sea;
10. Draws attention of foreign states and international organizations to the problems
of the, Caspian Sea ecosystem and its global importance with the slogan to increases
scientific-technological, informational, legal, and commercial cooperation;
11. Appeals to the world community, public ecological organizations, independent
funds and different commercial organizations to provide assistance to the solution of the
problems of the Caspian Sea for the benefit of mankind and admits the necessity of the
creation of an independent international Caspi Salvation Fund.
June 17, 1991, Baku, USSR
94
COMMUNIQUE
OF REPRESENTATIVES OF THE CASPIAN STATES
(TEHERAN COMMUNIQUE)
October, 1992
On the basis of agreements, reached by the leaders and other high level
representatives of the Caspian states during the meeting held in Teheran in February 1992,
high level representatives of these states gathered in Teheran on 3-4 October 1992 to review
the project on Convention for Organization of Cooperation of the Caspian States.
Mr. A. Mansurov, the leader of the Azerbaijan delegation, Mr. M. Zharkenov, the
leader of the delegation of Republic of Kazakhstan, Mr. 0. Kolbasov, leader of the delegation
of the Russian Federation, Mr. T. Berdyiev, leader of the delegation of Turkmenistan, leading
the delegations of experts of their states under the leadership of the head of the Iranian
delegation Mr. M. Vazai, exchanged their opinions on the project of Convention for
Organization of Cooperation of Caspian States, as suggested by the party from Iran.
During this meeting the delegates were accep . ted by the President of Iran, Mr. A.
Hashemi-Rafsanjani. The participants of the meeting, pointing out strong historical links and
general traditions of their peoples, stressed that implementation of an agreement on setting
up an Organization of Cooperation of the Caspian States due to the initiative of the Islamic
Republic of Iran, taking into consideration the existence of differing spheres of cooperation in
the region of the Caspian Sea, will be a large and important step towards rapprochement
between peoples of this region.
Representatives of interested countries, again acknowledging serious efforts from the
Iranian side, agreed to set up in the shortest period of time specialized and technical
committees with participation by representatives of all country-founders listed below.
The titles of committees, coordinated between five Caspian states during the
meeting in Teheran, are as following:
1. Committee on investigation of reasons for and monitoring of sea-level in the
Caspian Sea.
2. Committee on nature preservation
3. Committee on conservation and utilization of bioresources of the Caspian
Sea.
4. Committee on the status of the Caspian Sea.
5. Committee on shipping and use of ports of the Caspian Sea.
6. Committee on scientific investigation of the Caspian Sea.
Representatives of countries-participants agreed that the Islamic Republic of Iran will
be coordinator on aspects of establishment of the above mentioned committees.
These delegations, after discussion and exchange of opinions on identification of
principles and purposes of cooperation and financial questions of Organization of
95
Cooperation of the Caspian States, agreed with some outlines of Convention and also agreed
that during the following meeting that will take place a few days in advance of the meeting of
Ministers of Foreign Aff airs, the outlines of the draft Convention will be discussed again.
The leaders of the delegations also considered desirable to hold meetings of Ministers of
Foreign Affairs and leaders of the Caspian states before the end of 1992 in Teheran.
96
COMMUNIQUE
OF PARTICIPANTS OF THE MEETING ON THE PROBLEMS
OF THE CASPIAN SEA
14 October 1993
Astrakhan
The leaders of the Governments of the Azerbaijan Republic, the Republic of
Kazakhstan, Russian Federation and Turkmenistan, considering the sovereignty of each state
and reconfirming adherence to the goals and principles of dynamic and harmonic
development of economics of their states., recognizing that the Caspian Sea is an integral
ecological complex, taking into account intention of States Participants of this meeting to
maintain and properly use bioresources of the Caspian Sea, following the international
legislation, expressed their interest in implementation of joint investigations aimed at rational
utilization of the water surface of the Caspian Sea.
The parties agreed to the main direction for the joint activity:
· protection of reserve areas and natural resources of the Caspian sea
· maintenance of the reproduction and optimal utilization of the bioresources of the sea
· extraction of mineral resources of the Caspian Sea, considering economical interests of the
parties
· determination of the rational shipping routes with account of ecological requirements
· control of sea-level
Parties charge appropriate organizations of the state administration to prepare
suggestions for implementation of the achieved agreements on effective utilization of the
water surface of the Caspian sea.
Parties believe that the complex decisions on the problem of the rational utilization of
the water surface of the Caspian Sea requires the participation of all Caspian States.
In order to work out coordination mechanisms, the Parties form a working group
from the representatives of the states' participants.
For the Government of
For the Government of
Azerbaijan Republic
Russian Federation
For the Government of
For the Government of
Republic of Kazakhstan
Turkmenistan
97
STATUS
OF THE EXISTING SOVIET-IRAN AGREEMENTS
ON THE CASPIAN SEA
From the ageement between Russian Socialistic Federal Soviet Republic and Iran
(Persia) dated 26 February 1921.
Article 11.
Based on the fact that due to the announcement of the principles in the Article I of the
current Agreement, the peaceful treaty between Persia and Russia and Turkmenistan dated
10 February 1828, article 8 of which deprived Persia of its rights to have its fleet on the
Caspian Sea, lost its meaning, two High negotiating Parties are agree that from the moment
of signing of current Agreement they will equally use the right of free shipping in the
Caspian Sea under their own flags.
From the agreement on trade and shipping between Union of Soviet Socialistic Republics and
Iran dated 25 March 1940.
Article 12
1. Trade ships, operating in the Caspian Sea under the flag of one of the Negotiating
Parties, will be treated in ports of the other Party on entry, at dock and on exit on the same
basis as national ships.
2. The mentioned ships will not pay other port taxes except those legally settled for
the national ships on the same basis and with the same exceptions...
3. Cabotage is a right of the national ships of the negotiating Parties. But, it is agreed,
that each Negotiating Party shall provide the ships under flags of the other Party with
cabotage for transportation of passengers and goods in the Caspian Sea.
4. Regardless of previous agreements, each Negotiating Party reserves fish catch for
the ships of its own flag in the waters adjacent to its coast in a 10 mile zone, and also reserves
right for privilege and advantages for transport of fish that is the catch of crew of ships, going
under its flag.
Article 13
Negotiating Parties agree that in accordance with principles, set up by agreement
dated 26 February 1921 between Russian Socialistic Federal Soviet Republic and Persia, over
the entire Caspian Sea ships of Union of Soviet Social Republics and Iran only may be
present, and also ships belong to individuals, trade and transport organizations of one of the
Negotiating Parties and which go under flag of Union of the Soviet Socialist Republics and
Iran.
Exchange letters to the Agreement dated 25 March 1940.
98
"Mister, Minister,
I have the honor to let you know the following:
Due to the fact that the Caspian Sea, considered by both Negotiating Parties as the sea of the
Soviet and Iran, is of great importance, it is agreed that both Governments take necessary
measures in order that citizens of third countries, serving on the ships of the appropriate
Negotiating Party and in its ports on the Caspian Sea, don't use their service and stay on
ships and in ports for purposes beyond their duties.
With high regards, Mister Minister,
/signature/
Teheran, 25 March 1940