18.6 Other obligations

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The World Health Organization (WHO) Framework Convention on Tobacco Control (FCTC)ⁱ includes a number of complementary and facilitative provisions to support the core measures for reduction of demand for tobacco and reduction of the supply of tobacco. These include:

• in respect of tobacco cultivation and manufacture, protection of the environment and the health of persons in relation to the environment
• action to deal with criminal and civil liability
• scientific and technical cooperation and communication of information
• providing financial resources for implementation.

18.6.1 Protection of the environment and the health of persons

Under Article 18, Parties agree that, in carrying out their obligations under the FCTC, they will have due regard to the protection of the environment and the health of persons in relation to the environment in respect of tobacco cultivation and manufacture within their respective territories.

18.6.2 Liability

Parties to the FCTC agree, under Article 18, that for the purpose of tobacco control they will consider taking legislative action or promoting their existing laws to deal with criminal and civil liability, including compensation where appropriate. Parties also agree that they will, 'as appropriate and mutually agreed, within the limits of national legislation, policies, legal practices and applicable existing treaty arrangements', afford one another assistance in legal proceedings relating to civil and criminal liability consistent with the Convention.

18.6.3 Scientific and technical cooperation and exchange of information

In order to facilitate and promote the implementation of the FCTC, Parties undertake a number of obligations with respect to research, surveillance and exchange of information, reporting, and cooperation in the scientific, technical, and legal fields and provision of related expertise.

18.6.3.1 Research, surveillance and exchange of information

Under Article 20, Parties accept a range of obligations with respect to research, surveillance and exchange of information regarding tobacco and tobacco control, and related activities including cooperation and provision of training and support.

Research

Parties undertake, under Article 20.1, to develop and promote national research and to co-ordinate research programs at the regional and international levels in the field of tobacco control. Towards this end, each Party must initiate and cooperate in, directly or through competent international and regional intergovernmental organisations and other bodies, the conduct of research and scientific assessments, and in so doing promote and encourage research that addresses the determinants and consequences of tobacco consumption and exposure to tobacco smoke as well as research for identification of alternative crops.

Training and support

Article 20.1 also requires each Party to promote and strengthen, with the support of competent international and regional intergovernmental organisations and other bodies, training and support for all those engaged in tobacco control activities, including research, implementation and evaluation.

Surveillance

Under Article 20.2, Parties are required to establish, as appropriate, programs for national, regional and global surveillance of the magnitude, patterns, determinants and consequences of tobacco consumption and exposure to tobacco smoke. Towards this end, the Parties should integrate tobacco surveillance programs into national, regional and global health surveillance programs so that data are comparable and can be analysed at the regional and international levels. Each Party is required, under Article 20.3(a), to endeavour to establish progressively a national system for the epidemiological surveillance of tobacco consumption and related social, economic and health indicators.

Exchange of information

Article 20.4 requires Parties, 'subject to national law', to promote and facilitate the exchange of publicly available scientific, technical, socio-economic, commercial and legal information, as well as information regarding practices of the tobacco industry and the cultivation of tobacco. In so doing, Parties must take into account and address the special needs of developing country Parties and Parties with economies in transition.

Each Party is required to endeavour to progressively establish and maintain:

• an updated database of laws and regulations on tobacco control and, as appropriate, information about their enforcement, as well as pertinent jurisprudence
• updated data from national programs for epidemiological surveillance of tobacco consumption and related indicators (as required to be established under Article 20.3(a)).

Cooperation

Parties are required to endeavour to cooperate with competent international and regional intergovernmental organisations and other bodies, including governmental and non-governmental agencies, in surveillance and exchange of information on tobacco consumption and related indicators (Article 20.3(b)), and with WHO in the development of general guidelines or procedures for defining the collection, analysis and dissemination of tobacco-related surveillance data (Article 20.3(c)). Parties are also required to cooperate with each other in the development of programs for regional and global tobacco control (Article 20.4(a)), and with competent international organisations to progressively establish and maintain a global system to regularly collect and disseminate information on tobacco production, manufacture and the activities of the tobacco industry that have an impact on the FCTC or on national tobacco control activities (Article 20.4(c)).

In addition, Parties should cooperate, in regional and international intergovernmental organisations and financial and development institutions of which they are members, to promote and encourage provision of technical and financial resources to the FCTC Secretariat to assist developing country Parties and Parties with economies in transition to meet their commitments on research, surveillance and exchange of information (Article 20.5).

18.6.3.2 Reporting and exchange of information

Under Article 21, each Party to the FCTC is required to submit to the Conference of the Parties (COP) periodic reports on its implementation of the Convention. These reports must include information on various matters that are specified in Article 21 including:

• legislative, executive, administrative or other measures taken to implement the Convention
• constraints or barriers encountered in implementation of the Convention and the measures taken to overcome these barriers
• financial and technical assistance provided or received for tobacco control activities
• surveillance and research
• other specified information relating to taxation, advertising, promotion and sponsorship, cross-border trade in tobacco products (including illicit trade), the health effects of tobacco consumption and exposure to tobacco smoke, and legislation, regulation and pertinent jurisprudence.

Periodic reporting is critical to monitoring FCTC implementation and to maximising the effectiveness of the Convention in practice. As recognised by the COP at its first session (COP-1), Parties' periodic reports form the basis for the COP's function of regularly reviewing implementation of the Convention and taking the decisions necessary to promote effective implementation, as well as enabling Parties to understand and learn from each other's experience.ⁱⁱ

Article 21 provides that the frequency and format of periodic reports shall be determined by the COP, with each Party to make its initial report within two years of the entry into force of the FCTC for that Party. COP-1 decided that Parties' second and third reports would be required to be submitted within five and eight years of entry into force for each Party. The fourth session of the COP (COP-4) decided to replace this reporting cycle linked to the date of entry into force with a new, standardised cycle.ⁱⁱⁱ From 2012, all Parties will submit implementation reports at regular two-year intervals in advance of biennial COP sessions.

The format for Parties' initial reports was provisionally adopted by COP-1, with the third session of the COP (COP-3) adopting revisions, as well as a more detailed questionnaire format for Parties' second reports.^iv COP-4 adopted the second questionnaire, with amendments, as the single reporting instrument for Parties' regular biennial reports.

Parties' periodic reports are publicly available on the website of the Convention Secretariat, along with the reporting questionnaire and instructions, and annual summaries of global progress in implementation prepared by the Convention Secretariat.^v

18.6.3.3 Cooperation in the scientific, technical and legal fields and provision of related expertise

Article 22 promotes cooperation between Parties to the FCTC in the scientific, technical and legal fields and in the provision of related expertise. The COP is required to promote and facilitate transfer of technical, scientific and legal expertise and technology with the financial support secured in accordance with Article 26 (Financial resources). Parties are required to cooperate, directly or through competent international bodies, to strengthen their capacity to fulfil the obligations arising from the FCTC, taking into account the needs of developing country Parties and Parties with economies in transition. Such cooperation is to promote the transfer of technical, scientific and legal expertise and technology to establish and strengthen national tobacco control strategies, plans and programs. This may be aimed at a number of ends, including facilitation of development, transfer and acquisition of technology, skills and capacity; provision of technical, scientific, legal and other expertise; provision of material support; identification of tobacco control methods; and promotion of research.

18.6.4 Financial resources

Parties recognise under Article 26 'the important role that financial resources play' in achieving the objective of the FCTC, and each Party is required to provide financial support in respect of its national activities intended to achieve the objective of the Convention, in accordance with its national plans, priorities and programs.

The Parties agree that 'all relevant potential and existing resources, financial, technical or otherwise, both public and private that are available for tobacco control activities, should be mobilized and utilized' to assist Parties in meeting their obligations under the Convention. Article 26 requires Parties to promote, as appropriate, the utilisation of bilateral, regional, subregional and other multilateral channels to provide funding for the development and strengthening of multisectoral comprehensive tobacco control programs of developing country Parties and Parties with economies in transition. In particular, Parties represented in relevant regional and international intergovernmental organisations agree to encourage these entities to provide financial assistance for developing country Parties and Parties with economies in transition to assist them in meeting their obligations.

Under Article 26, COP-1 was required to review existing and potential sources and mechanisms of assistance based on a study conducted by the Convention Secretariat and other relevant information, and consider their adequacy. The COP shall take the results of this review into account in determining the necessity to enhance existing financial mechanisms or to establish new mechanisms to channel additional financial resources, as needed, to developing country Parties and Parties with economies in transition.

Following the review, COP-1 recognised 'the urgent need for assistance to developing country Parties and Parties with economies in transition to support them in their implementation'.^vi The COP-1 decision on financial resources and mechanisms of assistance:

• called upon developing country Parties and Parties with economies in transition to conduct needs assessments and communicate their prioritised needs to development partners
• reaffirmed the responsibility of developed country Parties to provide assistance, in accordance with their obligations under the Convention, through bilateral, regional, international or non-governmental channels
• urged international financial institutions, international organisations and other development partners to channel resources to developing country Parties and Parties with economies in transition, based on specific requests
• requested the Secretariat to provide assistance to developing country Parties and Parties with economies in transition in the conduct of needs assessments and in securing technical and financial assistance, and to launch an awareness-raising campaign among potential development partners to mobilise financial and technical support.

At the second session of the COP (COP-2), the Parties reaffirmed the importance of financial resources in achieving the objective of the Convention, recognising 'the need for taking immediate action to provide all necessary assistance to Parties to ensure sustained and predictable availability of funds'.^vii The COP-2 decision:

• requested the Secretariat to actively seek extra-budgetary contributions from Parties and other international donors, including intergovernmental organisations, specifically for the purpose of helping Parties in need to carry out needs assessments and develop project and program proposals for financial assistance from all available funding sources
• invited the Director-General of the WHO to support the Secretariat in this work and urged donor Parties to provide voluntary extra-budgetary contributions specifically for the purpose of this work
• requested the Secretariat to prepare and present, at each session of the COP, an implementation report on activities undertaken to implement the COP's decisions on financial resources and mechanisms of assistance.

COP-3 and COP-4 continued the mandate to the Convention Secretariat to work on the mobilisation of resources for implementation and to support developing country Parties and Parties with economies in transition in accessing sources of assistance.^viii COP-4 recognised, in particular, the need to further integrate FCTC implementation within the broader development agenda, requesting the Secretariat to actively engage in and contribute to work in other fora, cooperating with relevant United Nations agencies, funds and programs and other development partners. Taking note of the indication in Parties' periodic reports 'that lack of resources is one of the most important obstacles to implementation of the Convention', COP-4 also requested a review, with broad participation, of progress in the mobilisation of resources and the performance of the mechanisms of assistance. A report and recommendations based on this review are expected to be presented to the fifth session of the COP (COP-5) in late 2012.