WTO Annual Report 2009

Annual Report 2009
Who we are The World Trade Organization

deals with the global rules of
trade between nations. Its main
function is to ensure that trade
flows as smoothly, predictably
and freely as possible.
Using this report The 2009 Annual Report is

split into two main sections.
The first is a brief summary
of the organization and a
review of 2008. The second
section provides more
in-depth information.
Find out more Website: www.wto.org

General enquiries:
enquiries@wto.org
Tel: +41 (0)22 739 51 11
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Understanding the WTO 02

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Abbreviations and further information inside back cover
World Trade Organization WTO website

Annual Report 2009 www.wto.org 01
Understanding the WTO Who we are
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What is the WTO? World Trade Organization

02 www.wto.org/whatiswto Annual Report 2009
3&7*&8
What we stand for Understanding the WTO
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World Trade Organization What is the WTO?

Annual Report 2009 www.wto.org/whatiswto 03
Understanding the WTO What we do
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What is the WTO? World Trade Organization

04 www.wto.org/whatiswto Annual Report 2009
3&7*&8
How it all comes together Understanding the WTO
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World Trade Organization What is the WTO?

Annual Report 2009 www.wto.org/whatiswto 05
Understanding the WTO A global membership
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Members and observers World Trade Organization

06 www.wto.org/members Annual Report 2009
3&7*&8
About two-thirds of the
WTO’s membership are
developing countries.
Germany was the world’s leading Ukraine joined the WTO in May 2008.
merchandise exporter in 2008.
The United States was the largest exporter

and importer of commercial services in 2008.
Cape Verde joined the WTO in July 2008.
Before joining the WTO,

a new member has to
gain the full support of
the WTO membership.
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World Trade Organization Members and observers

Annual Report 2009 www.wto.org/members 07
A year in review
In 2008, work towards concluding the Doha Round

of negotiations took on new importance and
urgency in the light of the global financial crisis.
Progress was made but a final deal remained
elusive. Work continued in other areas.
Trade Implementation and Dispute

negotiations monitoring settlement
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08 Annual Report 2009
3&7*&8
Understanding the WTO
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Annual Report 2009 09
Understanding the WTO A message from the WTO
Director-General Pascal Lamy
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WTO Director-General World Trade Organization

10 www.wto.org/dg Annual Report 2009
3&7*&8
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World Trade Organization WTO Director-General

Annual Report 2009 www.wto.org/dg 11
Ministerial gathering
in July 2008
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3&7*&8
Out of a ‘to-do list’
of 20 topics, 18 saw
positions converge
but the gaps could not
narrow on two issues.

Trade negotiations
Work to conclude the Doha

Round of negotiations took a
major step forward in 2008.
Following the publication of new
draft blueprints – or ‘modalities’ –
for a final deal on agricultural
and non-agricultural trade, a
ministerial gathering took place
in July to seek consensus on a
number of issues. Although the
talks ended in deadlock, much
progress was achieved.

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Doha Development Agenda 16
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Trade negotiations Doha Development Agenda
Work to conclude "UUIF'PVSUI.JOJTUFSJBM$POGFSFODFJO%PIB 2BUBS JO/PWFNCFS
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Doha Development Agenda World Trade Organization

16 www.wto.org/dda Annual Report 2009
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PGOVNCFSTGPSDVUUJOHUBSJGGT GPSTFMFDUJOHTFOTJUJWFBOETQFDJBMQSPEVDUT JFQSPEVDUT
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World Trade Organization Agriculture negotiations

Annual Report 2009 www.wto.org/agnegs 17
Trade negotiations .BSLFUBDDFTTGPSOPOBHSJDVMUVSBMQSPEVDUT
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Non-agricultural negotiations World Trade Organization

18 www.wto.org/namanegs Annual Report 2009
5IFOFX$IBJSIFMEPWFSCJMBUFSBMEJTDVTTJPOTJOUIFmSTUGFXXFFLTPGIJTUFSN XIJDI Trade negotiations
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World Trade Organization Services negotiations

Annual Report 2009 www.wto.org/servicesnegs 19
Trade negotiations 5IF$PVODJMGPS5SBEFJO4FSWJDFTJOTQFDJBMTFTTJPODPOUJOVFEUPIFBSSFQPSUTGSPN
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Services negotiations World Trade Organization

20 www.wto.org/servicesnegs Annual Report 2009
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World Trade Organization Intellectual property

Annual Report 2009 www.wto.org/tripsnegs 21
Trade negotiations 'PMMPXJOHUIFDBMMCZ850NFNCFSTJO0DUPCFSUPJOUFOTJGZUFDIOJDBMXPSLPOUIF
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Intellectual property World Trade Organization

22 www.wto.org/tripsnegs Annual Report 2009
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World Trade Organization Trade and development

Annual Report 2009 www.wto.org/developmentnegs 23
Trade negotiations 'VUVSFXPSL
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Trade and development World Trade Organization

24 www.wto.org/developmentnegs Annual Report 2009
'VUVSFXPSL Trade negotiations
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World Trade Organization Trade and environment Trade facilitation negotiations

Annual Report 2009 www.wto.org/environmentnegs www.wto.org/facilitationnegs 25
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.FBTVSFT JODMVEJOHBOBOOFYXJUIQSPQPTFEEJTDJQMJOFTPOmTIFSJFTTVCTJEJFT
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Rules negotiations World Trade Organization

26 www.wto.org/rulesnegs Annual Report 2009
%JTQVUF4FUUMFNFOU6OEFSTUBOEJOH Trade negotiations
/FHPUJBUJPOTUPXBSETJNQSPWFNFOUBOEDMBSJmDBUJPOPGUIF850T%JTQVUF4FUUMFNFOU
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QSPHSFTTNBEFBOEUPHJWFGVSUIFSJNQFUVTUPUIFXPSLUPXBSETBTVDDFTTGVMDPODMVTJPO improvement and
PGUIFOFHPUJBUJPOT5IFEPDVNFOUJODMVEFEBDPOTPMJEBUFEESBGUMFHBMUFYUPOBMMJTTVFT clarification of dispute
VOEFSEJTDVTTJPOJOUIFOFHPUJBUJPOT CBTFEQSJNBSJMZPOESBGUJOHQSPQPTBMTTVCNJUUFECZ
NFNCFST*UBMTPJODMVEFETPNFTVHHFTUJPOTCZUIF$IBJSPOTQFDJmDJTTVFT CBTFEPO settlement rules and
UIFEJTDVTTJPOT procedures continued
4VCTFRVFOUMZ UIF$IBJSIFMEDPOTVMUBUJPOTXJUIJOUFSFTUFEEFMFHBUJPOTBOEHSPVQT in 2008.
PGEFMFHBUJPOTUPEJTDVTTUIFXBZGPSXBSE#BTFEPOUIFTFDPOTVMUBUJPOT BOJOGPSNBM
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%FMFHBUJPOTBMTPTVQQPSUFEDPOUJOVJOHUPXPSLJOBGPSNBUDPNQBSBCMFUPUIFXPSL
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mSTUXFFLPG%FDFNCFS.FNCFSTEJTDVTTFETPNFPGUIFTVCTUBOUJWFJTTVFTVOEFS
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World Trade Organization Dispute settlement

Annual Report 2009 www.wto.org/disputenegs 27
Implementation and monitoring
WTO councils and committees

continued to monitor the
implementation of WTO
agreements and to review
whether requirements were
being followed by WTO members.
They also provided a forum for
discussion on various issues,
ranging from trade and climate
change to the food price crisis.
Seventeen trade policy reviews
of WTO members were
undertaken in 2008.

Ministerial Conference and General Council 30
.JOJTUFSJBM$POGFSFODF
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Trade in goods 33
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Trade in services 44
Trade-related aspects of intellectual

property rights (TRIPS) 45
Trade and environment 47
Regional trade agreements 48
Trade policy reviews 51
Trade, debt and finance 69
Agreement on Government Procurement 70

Implementation
and monitoring
Ministerial Conference
and General Council
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Ministerial Conference World Trade Organization

30 www.wto.org/ministerials Annual Report 2009
8BJWFSTVOEFS"SUJDMF*9 %FDJTJPONBLJOH
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World Trade Organization General Council

Annual Report 2009 www.wto.org/gc 31
Implementation "TQBSUPGJUTPWFSBMMPWFSTJHIUGVODUJPO UIF(FOFSBM$PVODJMDPOEVDUFEBZFBSFOESFWJFX
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General Council World Trade Organization

32 www.wto.org/gc Annual Report 2009
Trade in goods Implementation
and monitoring
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SFTQPOTJCMFGPSUIFXPSLJOHTPGBMM850
BHSFFNFOUTEFBMJOHXJUIUSBEFJOHPPET
5IF$5(BQQSPWFEBOESFDPNNFOEFEGPSBEPQUJPOCZUIF(FOFSBM$PVODJMBOVNCFS
*UDPOTJTUTPGUIFGVMM850NFNCFSTIJQBOE
PGXBJWFSSFRVFTUTGSPNNFNCFST JODMVEJOHBSFRVFTUCZUIF&VSPQFBO$PNNVOJUJFT
SFQPSUTUPUIF850(FOFSBM$PVODJM5IF
GPSBXBJWFSGPSBVUPOPNPVTQSFGFSFOUJBMUSFBUNFOUGPS.PMEPWB4FOFHBMTSFRVFTUGPS $5(IBTDPNNJUUFFTEFBMJOHXJUITQFDJmD
BOFYUFOTJPOPGJUTXBJWFSUPBQQMZNJOJNVNDVTUPNTWBMVFTBOEUIFFYUFOTJPOPG TVCKFDUT TVDIBTBHSJDVMUVSF NBSLFUBDDFTT
SFRVFTUTGSPN"SHFOUJOBBOE1BOBNBSFMBUFEUPUIFJOUSPEVDUJPOPGDFSUBJODIBOHFT BOETVCTJEJFT
5IFTFBMTPDPOTJTUPGBMM
JOUIFJSTDIFEVMFTVOEFSUIF)BSNPOJ[FE4ZTUFN UIFHMPCBMDMBTTJmDBUJPOTZTUFNGPS 850NFNCFST
USBEFEHPPET

"/%.0/*503*/(
*.1-&.&/5"5*0/
5IF$5(DPOUJOVFEUPNBLFHPPEQSPHSFTTJOJUTEJTDVTTJPOTPOUIFXBJWFSSFRVFTUTGPS
UISFF6OJUFE4UBUFTQSFGFSFODFQSPHSBNNFTXIJDIBSFEFTJHOFEUPQSPNPUFFDPOPNJD
EFWFMPQNFOUCZPGGFSJOHCSPBEFSBDDFTTUPUIF64NBSLFU UIF"GSJDBO(SPXUIBOE
0QQPSUVOJUZ"DU UIF$BSJCCFBO&DPOPNJDBOE3FDPWFSZ"DU BOEUIF"OEFBO5SBEF
1SFGFSFODF"DU
5IFTFSFRVFTUTIBWFCFFOVOEFSEJTDVTTJPOTJODF BOEXJMMNPTU
MJLFMZCFBQQSPWFEJO
5VSLFZDJSDVMBUFEJUTUIJSEQSPQPTBMBJNFEBUmOEJOHDPOTFOTVTPOXPSLJOUIF(PPET
$PVODJMDPODFSOJOHUIFUFYUJMFTFDUPS5IJTTVCNJTTJPOQSPQPTFEUIBU J
BDPNQJMBUJPOPG
TUVEJFTBMSFBEZQSFQBSFECZPUIFSJOUFSOBUJPOBMPSHBOJ[BUJPOTTIPVMECFQSFQBSFECZUIF
8504FDSFUBSJBU BOE JJ
UIJTDPNQJMBUJPOTIPVMECFGVSUIFSFOIBODFEJOBXPSLTIPQ
PSHBOJ[FEJODPMMBCPSBUJPOXJUIUIFSFMFWBOUJOUFSOBUJPOBMPSHBOJ[BUJPOT
4FWFSBMNFNCFSTSFNBJOFEPQQPTFEUPTJOHMJOHPVUUFYUJMFTBOEDMPUIJOHGPSJOEFQUI
XPSLBOEBOBMZTJT/FWFSUIFMFTT BOVNCFSPGDPVOUSJFTCFMJFWFUIFSFJTBSPMFGPSUIF
850JOBTTJTUJOHUIPTFNFNCFSTXIPBSFmOEJOHJUEJGmDVMUUPBEKVTUUPUIFOFXFDPOPNJD
TJUVBUJPOJOUIFTFDUPSTJODFUIFQIBTFPVUPGUIF"HSFFNFOUPO5FYUJMFTBOE$MPUIJOH
5IF$PVODJMXJMMDPOUJOVFUPTUVEZUIJTJTTVFJO
5IF$PVODJMGPS5SBEFJO(PPETBQQSPWFEUIFSFDPNNFOEBUJPOPGUIF8PSLJOH1BSUZPO
4UBUF5SBEJOHUIBUUIFGSFRVFODZPGOPUJmDBUJPOTPOTUBUFUSBEJOHCFNBJOUBJOFEBUFWFSZ
UXPZFBSTJOTUFBEPGUISFF GPSUXPBEEJUJPOBMUXPZFBSQFSJPET*UBMTPDBSSJFEPVU$IJOBT
5SBOTJUJPOBM3FWJFXJOBDDPSEBODFXJUIJUT1SPUPDPMPG"DDFTTJPO5IF(PPET$PVODJM
SFQPSUBOEUIFSFQPSUTPGJUTTVCTJEJBSZCPEJFTXFSFTFOUUPUIF(FOFSBM$PVODJM5IF$5(
UPPLOPUFPGUIFSFQPSUTPGUIF$PNNJUUFFPO.BSLFU"DDFTT
3FHBSEJOH&6FOMBSHFNFOU XJUIUIFBEEJUJPOPGOFXNFNCFSTUBUFTJOBOE

UIF(PPET$PVODJMBHSFFEUPFYUFOEUIFQFSJPETPGXJUIESBXBMCZ850NFNCFST
PGTVCTUBOUJBMMZFRVJWBMFOUUSBEFDPODFTTJPOTGPSUIFOFX&6NFNCFST'PSUIF&6
FOMBSHFNFOU UIJTXBTUIFFJHIUITVDIFYUFOTJPO BOEGPSUIFFOMBSHFNFOU JUXBT
UIFUIJSEFYUFOTJPO
.BSLFUBDDFTT
*OUIF$PNNJUUFFPO.BSLFU"DDFTTCFHBOUPDPOTJEFSXBZTPGBEESFTTJOH
UIFTJUVBUJPOPGTPNF850NFNCFSTXIPIBWFOPUZFUGPMMPXFEUIFQSPDFEVSFT
UPJOUSPEVDF)BSNPOJ[FE4ZTUFN )4
DIBOHFTBHSFFEJOUPUIFJSTDIFEVMFTPG #BDLHSPVOE
DPNNJUNFOUT5IF$PNNJUUFFXJMMTFFLUPBEESFTTUIJTTIPSUGBMMCZNBLJOHVTFPGUIF 5IF$PNNJUUFFPO.BSLFU"DDFTTTVQFSWJTFT
UIFJNQMFNFOUBUJPOPGDPODFTTJPOTSFMBUJOHUP
8504FDSFUBSJBUTFYQFSJFODFTJOUIFDPOUFYUPGUIF)4DIBOHFTBHSFFEJO
UBSJGGTBOEOPOUBSJGGNFBTVSFTBOEQSPWJEFTB
4PNFQFSDFOUPGUIF850NFNCFSTIJQIBTIBEUIFJSDIBOHFTUPUIFJS
GPSVNGPSDPOTVMUBUJPOPOUIFTFJTTVFT0OFPG
TDIFEVMFTPGDPNNJUNFOUTWFSJmFENVMUJMBUFSBMMZ JUTUBTLTJTUPPWFSTFFUIF)BSNPOJ[FE4ZTUFN
)4
XIJDIBMMPXTDPVOUSJFTUPDMBTTJGZHPPET
POBDPNNPOCBTJT
World Trade Organization Goods Council

Annual Report 2009 www.wto.org/goods 33
Implementation *OSFTQFDUPGUIF)4DIBOHFTBHSFFEJO QSPHSFTTIBTCFFOOFHMJHJCMFBOEPOMZUXP
mMFTIBECFFOTVCNJUUFECZNFNCFSTCZUIFFOEPG)PXFWFS JUXBTBHSFFEUIBU
and monitoring UIF$PNNJUUFFXPVMEHJWFUIJTGVSUIFSBUUFOUJPOJO BOEUIBUDPOTVMUBUJPOTXPVMECF
IFMEJOUIJTSFHBSE5IF$PNNJUUFFBMTPFYBNJOFESFRVFTUTGPSXBJWFSFYUFOTJPOTXIJDI
IBECFFONBEFJOUIFDPOUFYUPGUIF)4DIBOHFT5IFTFXBJWFSTBMMPXNFNCFSTUP
JOUSPEVDFUIF)4DIBOHFTJOUPUIFJSOBUJPOBMUBSJGGT CVUUPVOEFSUBLFUIF850MFHBM
QSPDFEVSFTBUBMBUFSEBUF5IF$PNNJUUFFBQQSPWFEUXPJOEJWJEVBMSFRVFTUTGPSXBJWFS
FYUFOTJPOTNBEFJOSFTQFDUPGUIF)4DIBOHFT BOEUIFFYUFOTJPOPGUIFADPMMFDUJWF
XBJWFSTGPSUIF)4BOE)4DIBOHFT
%VSJOHJUTGPVSNFFUJOHTJO UIF$PNNJUUFFPO.BSLFU"DDFTTOPUFEJUTDPODFSO
PWFSNFNCFSTDPOUJOVFEMBDLPGUJNFMZTVCNJTTJPOTGPSUIFJOUFHSBUFEEBUBCBTF XIJDI
DPOUBJOTEBUBEBUJOHCBDLNBOZZFBSTPONFNCFSTUBSJGGTBOEUSBEF5IFJOGPSNBUJPO
GSPNUIJTEBUBCBTF BOEGSPNUIF$POTPMJEBUFE5BSJGG4DIFEVMFTEBUBCBTFPGNFNCFST
HPPETDPODFTTJPOT JTVTFEGPSTFWFSBMQVSQPTFT5IFTFJODMVEFUIFDBMDVMBUJPOPGBE
WBMPSFNFRVJWBMFOUT UIFEVUJFTMFWJFEPOBOJUFN CBTFEPOJUTWBMVFSBUIFSUIBOPO
RVBOUJUZ
UIFQSFQBSBUJPOPG850NFNCFSTFMFDUSPOJDTDIFEVMFTPOHPPET DPNNPOMZ
SFGFSSFEUPBTAFMFDUSPOJDOFHPUJBUJOHmMFT
BOESFTQPOEJOHUPSFRVFTUTBSJTJOHGSPNUIF
OFHPUJBUJPOTBTXFMMBTGPSQSFQBSJOHUIFA8PSME5BSJGG1SPmMFTQVCMJDBUJPOQSPEVDFEJO
DPPQFSBUJPOXJUIUIF*OUFSOBUJPOBM5SBEF$FOUSFBOEUIF6OJUFE/BUJPOT$POGFSFODFPO
5SBEFBOE%FWFMPQNFOU
"NPOHJUTPUIFSBDUJWJUJFT UIF$PNNJUUFFPO.BSLFU"DDFTTDPOEVDUFEUIFTFWFOUI
USBOTJUJPOBMSFWJFXPG$IJOBJOBDDPSEBODFXJUIJUT1SPUPDPMPG"DDFTTJPO5IF$PNNJUUFF
XBTBMTPVQEBUFEPOUIFTJUVBUJPOSFHBSEJOHOPUJmDBUJPOTPGRVBOUJUBUJWFSFTUSJDUJPOTPO
JNQPSUT BOEUPPLOPUFUIBUUIFTJUVBUJPOJOSFTQFDUPGOPUJmDBUJPOTUPOPOUBSJGGCBSSJFSTUP
NBSLFUBDDFTTSFNBJOFEVODIBOHFETJODF5IF$PNNJUUFFBMTPUPPLOPUFPGUIF850
4FDSFUBSJBUEPDVNFOUQSPWJEJOHEFUBJMTPOUIFNPTUSFDFOUJOGPSNBUJPOBWBJMBCMFJOUIFUBSJGG
MJCSBSZBOEPOUIFXFCTJUFBEESFTTFTXIFSFNPSFSFDFOUOBUJPOBMUBSJGGTDBOCFGPVOE
'VSUIFSNPSF JUOPUFEUIF4FDSFUBSJBUEPDVNFOUFOUJUMFEi4JUVBUJPOPG4DIFEVMFTPG850
.FNCFSTw HJWJOHVQUPEBUFJOGPSNBUJPOPOFBDINFNCFSTTDIFEVMFTPGDPODFTTJPOT
"HSJDVMUVSF
5IF$PNNJUUFFPO"HSJDVMUVSFIFMEUISFFNFFUJOHTJOUPEFBMXJUIRVFTUJPOT
BOEBOTXFSTCZ850NFNCFSTBCPVUIPXUIFZBSFJNQMFNFOUJOHUIF"HSFFNFOUPO
#BDLHSPVOE "HSJDVMUVSF5IFRVFTUJPOTXFSFCBTFEQBSUMZPOJOGPSNBUJPOOPUJmDBUJPOTSFDFJWFEGSPN
5IF"HSFFNFOUPO"HSJDVMUVSFBJNTUPSFGPSN NFNCFSTTJODFQSFWJPVT$PNNJUUFFNFFUJOHT
USBEFJOUIFTFDUPSBOEUPNBLFQPMJDJFTNPSF
NBSLFUPSJFOUFE5IFSVMFTBOEDPNNJUNFOUT
4PNFPGUIFJTTVFTSBJTFEJOUIF$PNNJUUFFJODMVEFE
BQQMZUPNBSLFUBDDFTT EPNFTUJDTVQQPSU
TVCTJEJFTBOEPUIFSQSPHSBNNFT
BOEFYQPSU
TVCTJEJFTBOEPUIFSNFUIPETVTFEUPNBLF t DPNQPTJUJPOBMTUBOEBSETGPSDIFFTF
FYQPSUTBSUJmDJBMMZDPNQFUJUJWF t UIFDPOTJTUFODZPGDFSUBJOTVCTJEJFTXJUIUIFUFSNTPGUIF"HSFFNFOUPO"HSJDVMUVSF
t UIF&VSPQFBO$PNNVOJUJFTSFWJTFEDPNNJUNFOUTEVFUP&6FOMBSHFNFOU
t FYQPSUTVCTJEJFTJOTVHBSBOEXIFBU
t GPPEBJE
t NFBTVSFTSFMBUJOHUPUSBEFJOQPVMUSZQSPEVDUT
t UIFTQFDJBMBHSJDVMUVSBMTBGFHVBSE
4JODF UIF$PNNJUUFFIBTSFWJFXFEPWFS JOGPSNBUJPOOPUJmDBUJPOT
TVCNJUUFECZNFNCFST0GUIJTUPUBM XFSFTVCNJUUFEJO#ZUIFFOEPG
POMZNFNCFSTIBEGVMMZDPNQMJFEXJUIUIFJSOPUJmDBUJPOPCMJHBUJPOTGPSUIFQFSJPE
UP
5SBOTJUJPOBMSFWJFXPG$IJOB
*O4FQUFNCFSUIF$PNNJUUFFPO"HSJDVMUVSFIFMEUIFTFWFOUIUSBOTJUJPOBMSFWJFXPG
$IJOBTBDDFTTJPODPNNJUNFOUTJOSFMBUJPOUPBHSJDVMUVSBMUSBEFQPMJDJFT5IFTFUSBOTJUJPOBM
SFWJFXTBSFSFRVJSFEBOOVBMMZGPSUIFmSTUFJHIUZFBSTBGUFS$IJOBTBDDFTTJPOUPUIF850
BOEPODFNPSFBGUFSBCPVUZFBST%VSJOHUIFSFWJFX NFNCFSTSBJTFERVFTUJPOT
XJUISFTQFDUUPUBSJGGSBUFRVPUBT EJTDSJNJOBUPSZWBMVFBEEFEUBY 7"5
FYFNQUJPOT BOE
FYQPSU7"5SFGVOET
Market access for goods Agriculture World Trade Organization

34 www.wto.org/marketaccess www.wto.org/agriculture Annual Report 2009
'PPEQSJDFDSJTJT Implementation
"UUIF%FDFNCFSNFFUJOHPGUIF$PNNJUUFFPO"HSJDVMUVSF PUIFSJOUFSOBUJPOBM
PSHBOJ[BUJPOToJODMVEJOHUIF*OUFSOBUJPOBM.POFUBSZ'VOE *.'
UIF'PPEBOE"HSJDVMUVSF
and monitoring
0SHBOJ[BUJPO '"0
UIF6OJUFE/BUJPOT$POGFSFODFPO5SBEFBOE%FWFMPQNFOU 6/$5"%

BOEUIF*OUFSOBUJPOBM(SBJOT$PVODJMoTUSFTTFEUIBUIJHIBHSJDVMUVSBMQSJDFTXFSFMJLFMZUP
QPTFCPUIOVUSJUJPOBMBOECSPBEFSFDPOPNJDQSPCMFNTGPSQPPSJNQPSUJOHDPVOUSJFT8IJMF
GPPEQSJDFTXFSFEFDMJOJOHGSPNUIFIJHIMFWFMTFYQFSJFODFEFBSMJFSJOUIFZFBS UIFQSJDFT
BUUIFFOEPGXFSFTUJMMIJHIXIFODPNQBSFEXJUIUIPTFPGFBSMJFSZFBST
5IFJOUFSOBUJPOBMPSHBOJ[BUJPOTTBJEUIBUUIFTPMVUJPOUPUIFDSJTJTXBTUPJODSFBTFUIFJS
BTTJTUBODFUPUIFDPVOUSJFTJOOFFE JNQSPWFGBSNFSTQSPEVDUJWJUZ BOESFGPSNEJTDJQMJOFT
POUBSJGGT TVCTJEJFTBOEGPPEBJEJOUIF850T%PIB3PVOEPGOFHPUJBUJPOT
4BOJUBSZBOEQIZUPTBOJUBSZNFBTVSFT
*OUIF$PNNJUUFFPO4BOJUBSZBOE1IZUPTBOJUBSZ 414
.FBTVSFTBEPQUFE
SFWJTFEOPUJmDBUJPOGPSNBUTBOEQSPDFEVSFTGPS850NFNCFST JODMVEJOHFODPVSBHJOH
NFNCFSTUPTVCNJU414OPUJmDBUJPOTXIFOUIFZJOUSPEVDFOFXNFBTVSFTCBTFE #BDLHSPVOE
"/%.0/*503*/(
*.1-&.&/5"5*0/
POJOUFSOBUJPOBMTUBOEBSET FWFOUIPVHIUIJTJTOPUSFRVJSFECZUIF414"HSFFNFOU
5IF4BOJUBSZBOE1IZUPTBOJUBSZ 414
.FBTVSFT
"HSFFNFOUFTUBCMJTIFTUIFSJHIUTBOEPCMJHBUJPOT
*UBMTPQSPWJEFEUIFSFDPNNFOEFEUJNFQFSJPETGPSSFDFJWJOHDPNNFOUT QVCMJDBUJPO
PGNFNCFSTSFHBSEJOHNFBTVSFTUBLFOUPFOTVSF
PGSFHVMBUJPOT BOEUIFJSFOUSZJOUPGPSDF5IFQSPQPTFEOFXGPSNBUTBSFDPNQBUJCMF GPPETBGFUZ UPQSPUFDUIVNBOIFBMUIGSPNQMBOU
XJUIUIFPCKFDUJWFPGQFSNJUUJOHPOMJOFTVCNJTTJPOPGOPUJmDBUJPOT XIJDIJTFYQFDUFE PSBOJNBMTQSFBEEJTFBTFT UPQSPUFDUQMBOUBOE
UPCFDPNFQPTTJCMFJO BOJNBMIFBMUIGSPNQFTUTBOEEJTFBTFT PSUP
QSFWFOUPUIFSEBNBHFGSPNQFTUT(PWFSONFOUT
"TPG%FDFNCFS BUPUBMPG OPUJmDBUJPOT JODMVEJOHDPSSJHFOEB BEEFOEB NVTUFOTVSFUIBUUIFJS414NFBTVSFTBSFCBTFE
BOESFWJTJPOT
IBECFFOTVCNJUUFEUPUIF8505IJTJTHSFBUFSUIBOUIFOVNCFSTVCNJUUFE POTDJFOUJmDQSJODJQMFT
JO
"UPUBMPGNFNCFST QFSDFOUPGUIFNFNCFSTIJQ
IBEOPUJmFE
UIF850UIBUUIFZIBEFTUBCMJTIFEBOFORVJSZQPJOU XIJDIJTSFTQPOTJCMFGPSBOTXFSJOH
BMM414RVFTUJPOTBOEQSPWJEJOHSFMFWBOUEPDVNFOUT4PNFNFNCFSTIBEJEFOUJmFE
UIFJSOPUJmDBUJPOBVUIPSJUZ XIJDIJTSFTQPOTJCMFGPSJNQMFNFOUJOH POBOBUJPOBMMFWFM UIF
OPUJmDBUJPOSFRVJSFNFOUTPGUIF414"HSFFNFOU"OJOGPSNBMQSPDFEVSFXBTBEPQUFEJO
UPNBUDIPGmDJBMTNBOBHJOH414USBOTQBSFODZNBUUFSTXJUIDPVOUFSQBSUTXJMMJOH
UPTFSWFBTANFOUPST
1SJWBUFTFDUPSTUBOEBSET
'PMMPXJOHUIFSFRVFTUCZNBOZ850NFNCFSTGPSUIFFTUBCMJTINFOUPGBTNBMMXPSLJOH
HSPVQUPBEESFTTUIFJTTVFPG414TUBOEBSETTFUCZQSJWBUFTFDUPSCPEJFT UIF$IBJS
DJSDVMBUFEBTFSJFTPGRVFTUJPOTUPTPMJDJUTVHHFTUJPOTGPSTQFDJmD$PNNJUUFFBDUJPOT
5IF8504FDSFUBSJBUQSFQBSFEBTVNNBSZPGUIFSFTQPOTFT BOEPOUIFCBTJTPGUIFTF
QSPQPTFEBOBQQSPBDI XIJDIXBTTVCTFRVFOUMZBEPQUFECZUIF$PNNJUUFF
5IF414$PNNJUUFFTXPSLJOUIFBSFBPGQSJWBUFTFDUPSTUBOEBSETXBTDPNQMFNFOUFECZ
JOGPSNBUJPOTFTTJPOTPSHBOJ[FECZUIF4UBOEBSETBOE5SBEF%FWFMPQNFOU'BDJMJUZ 45%'

BOECZQSFTFOUBUJPOTCZOPOHPWFSONFOUBMPSHBOJ[BUJPOT5IF45%'JOGPSNBUJPOTFTTJPO
GPDVTFEPOIPXUPDPNQMZXJUIQSJWBUFTFDUPSTUBOEBSET4QFBLFSTGSPNQSJWBUFTFDUPS
TUBOEBSETFUUJOHBOEBDDSFEJUBUJPOCPEJFTQSPWJEFEJOGPSNBUJPOPOJOJUJBUJWFTUPFOTVSF
UIBUEFWFMPQJOHDPVOUSJFTWPJDFTBSFIFBSEJOUIFQSJWBUFTUBOEBSETBSFOB5IFZBMTP
TQPLFBCPVUBEWBODFTJOUIFSFDPHOJUJPOPGFRVJWBMFODFCFUXFFOTDIFNFT FGGPSUTUP
SFEVDFUIFDPTUTPGDFSUJmDBUJPOGPSEFWFMPQJOHDPVOUSZTVQQMJFSTBOEUIFDSFBUJPOPGB
OFUXPSLUPQSPNPUFEJBMPHVFBOEUIFFYDIBOHFPGJOGPSNBUJPOCFUXFFOQSJWBUFTFDUPS
TUBOEBSEIPMEFST TVQQMJFST DFSUJmFSTBOEPUIFSJOUFSFTUFEQBSUJFT
4QFDJmDUSBEFDPODFSOT
*OUIF414$PNNJUUFFDPOTJEFSFEBXJEFSBOHFPGTQFDJmDUSBEFDPODFSOT
5IFJTTVFTEJTDVTTFEJODMVEFEDPODFSOTSFMBUFEUPCBOTPOQPVMUSZEVFUPBOUJNJDSPCJBM
USFBUNFOUT SFTUSJDUJPOTEVFUPBWJBOJOnVFO[B TBNQMJOHSFRVJSFNFOUTXIFONBYJNVN
SFTJEVFMFWFMTPGQFTUJDJEFBSFFYDFFEFE UIFJNQBDUPGSFHVMBUJPOTPOUSBEJUJPOBMGPPET
BOEBESBGUQMBOUIFBMUITUBOEBSEEFWFMPQFECZUIF/PSUI"NFSJDBO1MBOU1SPUFDUJPO
0SHBOJ[BUJPOXIJDIXPVMEJOWPMWFTIJQTCFJOHJOTQFDUFEGPSUIF"TJBO(ZQTZ.PUICFGPSF
FOUFSJOHDFSUBJOUFSSJUPSJBMXBUFST*OUPUBM OFXUSBEFDPODFSOTXFSFSBJTFEJO "XPSLTIPQIFMEBUUIF850JO.BSDI
OJOFQSFWJPVTMZSBJTFEDPODFSOTXFSFEJTDVTTFEBHBJO UXPXFSFSFQPSUFEUPIBWFCFFO MPPLFEBUDPVOUSJFTBCJMJUZUPNFFUGPPETBGFUZ
SFTPMWFEBOEUXPXFSFSFQPSUFEUPIBWFCFFOQBSUJBMMZSFTPMWFE BOEBOJNBMQMBOUIFBMUITUBOEBSET
World Trade Organization Santitary and phytosanitary measures

Annual Report 2009 www.wto.org/sps 35
Implementation 4FDPOESFWJFXPGUIF414"HSFFNFOU
5XPJTTVFTSFNBJOPVUTUBOEJOHGSPNUIF4FDPOE3FWJFXPGUIF414"HSFFNFOU
and monitoring DMBSJmDBUJPOPGUIFQSPDFEVSFGPS850NFNCFSTGPSVTJOHUIF$IBJSTAHPPEPGmDFT
JFBEIPDDPOTVMUBUJPOT
BOEUIFSFMBUJPOTIJQCFUXFFOUIF414$PNNJUUFFBOEUIF
TUBOEBSETFUUJOHCPEJFTSFGFSFODFEJOUIF414"HSFFNFOU UIF'"08)0$PEFY
"MJNFOUBSJVT$PNNJTTJPO UIF8PSME0SHBOJ[BUJPOGPS"OJNBM)FBMUIBOEUIF'"0
4FDSFUBSJBUPGUIF*OUFSOBUJPOBM1MBOU1SPUFDUJPO$POWFOUJPO

8PSLCFHBOPOQSFQBSBUJPOTGPSBXPSLTIPQUPBEESFTTFYJTUJOHTUBOEBSETFUUJOH
QSPDFEVSFTBOEIPXUPNBLFUIFSFMBUJPOTIJQCFUXFFOUIFPSHBOJ[BUJPOTNPSFFGGFDUJWF
5IFXPSLTIPQJTTDIFEVMFEGPS0DUPCFS
3FHJPOBMJ[BUJPO
5IF414$PNNJUUFFBEPQUFEHVJEFMJOFTUPGBDJMJUBUFUIFSFDPHOJUJPOPGQFTUGSFFPS
EJTFBTFGSFFBSFBT ASFHJPOBMJ[BUJPO
BTSFRVJSFECZ"SUJDMF "EBQUBUJPOUP3FHJPOBM
$POEJUJPOT *ODMVEJOH1FTUPS%JTFBTF'SFF"SFBTBOE"SFBTPG-PX1FTUPS%JTFBTF
1SFWBMFODF
PGUIF414"HSFFNFOU5IFEFDJTJPO BEPQUFEPO.BZ JEFOUJmFT
UIFVTVBMQSPDFEVSFTGPSTFFLJOHSFDPHOJUJPOUIBUBHJWFOBSFBJTGSFFPGBTQFDJmDQFTU
PSEJTFBTF BOEGPSHSBOUJOHUIJTSFDPHOJUJPO
5SBJOJOHDPVSTF
*OBEEJUJPOUPOBUJPOBMBOESFHJPOBM414USBJOJOHTFNJOBST BOJOUFOTJWFUXPXFFL
TQFDJBMJ[FEDPVSTFPO414JNQMFNFOUBUJPOXBTQSPWJEFEJO0DUPCFS
5FDIOJDBMCBSSJFSTUPUSBEF
5IF$PNNJUUFFPO5FDIOJDBM#BSSJFSTUP5SBEF 5#5
IFMEUISFFNFFUJOHTJO
"UUIFTFNFFUJOHT FYQFSUTPOTUBOEBSETBOESFHVMBUJPOTEJTDVTTFEXBZTPGSFmOJOH
#BDLHSPVOE HPWFSONFOUTJNQMFNFOUBUJPOPGUIF5#5"HSFFNFOU5IJTJTTFFOBTJODSFBTJOHMZ
5IF"HSFFNFOUPO5FDIOJDBM#BSSJFSTUP5SBEF JNQPSUBOUJOWJFXPGUIFHSPXJOHOVNCFSPGOPUJmDBUJPOTQSPWJEFECZ850NFNCFST
USJFTUPFOTVSFUIBUSFHVMBUJPOT TUBOEBSET
DPODFSOJOHESBGU5#5NFBTVSFTBOEUIFMFOHUIFOJOHEJTDVTTJPOTPGUSBEFDPODFSOTJO
UFTUJOHBOEDFSUJmDBUJPOQSPDFEVSFTGPMMPXFE
UIF$PNNJUUFF5IF8504FDSFUBSJBUPSHBOJ[FEJUTmSTUTQFDJBMJ[FEUXPXFFLDPVSTF
CZ850NFNCFSTEPOPUDSFBUFVOOFDFTTBSZ
PCTUBDMFTUPUSBEF JO(FOFWBGPDVTJOHPOUIFDIBMMFOHFTGPSEFWFMPQJOHDPVOUSJFTPGJNQMFNFOUJOHUIF
5#5"HSFFNFOU
8PSLTIPQPO(PPE3FHVMBUPSZ1SBDUJDF
5IF5#5$PNNJUUFFPSHBOJ[FEBXPSLTIPQJO.BSDIPOA(PPE3FHVMBUPSZ1SBDUJDF
0WFSHPWFSONFOUPGmDJBMTVTFEUIJTPQQPSUVOJUZUPFYQMPSFXBZTPGNBLJOH
HPWFSONFOUTJNQMFNFOUBUJPOPGUIF5#5"HSFFNFOUNPSFFGGFDUJWF1BSUJDJQBOUTJOUIF
XPSLTIPQOPUFEUIBUUIFRVBMJUZPGSFHVMBUJPOJTBLFZJTTVF BOEUIBUUIFSFJTBHSPXJOH
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Technical barriers to trade World Trade Organization

36 www.wto.org/tbt Annual Report 2009
Figure 1: Specific trade concerns raised in the TBT Committee
Implementation
1995 to 2008 and monitoring
Previous concerns New concerns
2008
2007
2006
2005
2004
2003
2002
Year
2001
2000
1999
"/%.0/*503*/(
*.1-&.&/5"5*0/
1998
1997
1996
1995
0 10 20 30 40 50 60
Number of concerns
4QFDJBMJ[FEUSBJOJOHDPVSTF
*OBVUVNO UIF5SBEFBOE&OWJSPONFOU%JWJTJPOPSHBOJ[FEUIFmSTUTQFDJBMJ[FE
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4VCTJEJFTBOEDPVOUFSWBJMJOHNFBTVSFT
*OMJOFXJUIQSPDFEVSFTBEPQUFECZUIF(FOFSBM$PVODJMJO DFSUBJOEFWFMPQJOH
NFNCFSTIBWFSFDFJWFEFYUFOTJPOTPGUIFUSBOTJUJPOQFSJPEGPSUIFFMJNJOBUJPOPGFYQPSU
TVCTJEJFTJOSFTQFDUPGDFSUBJOQSPHSBNNFT*O0DUPCFS UIF4VCTJEJFTBOE #BDLHSPVOE
$PVOUFSWBJMJOH.FBTVSFT$PNNJUUFFDPOEVDUFEBOBOOVBMSFWJFXPGUIPTFNFNCFST 5IF4VCTJEJFTBOE$PVOUFSWBJMJOH.FBTVSFT
4$.
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UIFNFNCFSTBOEQSPHSBNNFTJORVFTUJPO TVCTJEJ[FEJNQPSUTPGBQSPEVDUBSFDBVTJOH
PSUISFBUFOJOHUPDBVTFJOKVSZUPUIFEPNFTUJD
*OUIF8504FDSFUBSJBUDJSDVMBUFEVQEBUFEJOGPSNBUJPOPOUIFEFWFMPQJOHNFNCFST JOEVTUSZQSPEVDJOHUIBUQSPEVDU5IF4$.
UIBUBSFFYFNQUGSPNUIFQSPIJCJUJPOPOFYQPSUTVCTJEJFTCZWJSUVFPGCFJOHMJTUFEJO"OOFY $PNNJUUFFQSPWJEFT850NFNCFSTXJUIUIF
7** C
PGUIF4$."HSFFNFOU5PRVBMJGZGPSUIJTFYFNQUJPO BMJTUFENFNCFSNVTUIBWF PQQPSUVOJUZUPEJTDVTTBOZNBUUFSTSFMBUJOHUP
QFSDBQJUB(/1MFTTUIBO64 BTSFQPSUFECZUIF8PSME#BOL"NFNCFSMJTUFE UIF4$."HSFFNFOU5IF$PNNJUUFFSFWJFXT
JOUIFBOOFYEPFTOPUDSPTTUIJTUISFTIPMEVOUJMJUT(/1QFSDBQJUBSFBDIFT64 NFNCFSTOPUJmDBUJPOTPGTQFDJmDTVCTJEJFT
OPUJmDBUJPOTPGOBUJPOBMDPVOUFSWBJMJOHEVUZ
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MFHJTMBUJPOTTFNJBOOVBMSFQPSUTPG
QSPIJCJUJPOPOFYQPSUTVCTJEJFTBTMPOHBTUIFZSFNBJOMFBTUEFWFMPQFEDPVOUSJFT
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J
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World Trade Organization Subsidies and countervailing measures

Annual Report 2009 www.wto.org/scm 37
Implementation 5IF4$."HSFFNFOUSFRVJSFT850NFNCFSTUPOPUJGZUIFJSTQFDJmDTVCTJEJFTCZ+VOF
PGFBDIZFBS.FNCFSTBSFBTLFEUPHJWFQSJPSJUZUPTVCNJUUJOHOFXBOEGVMMOPUJmDBUJPOT
and monitoring FWFSZUXPZFBSTXIJMFUIF$PNNJUUFFHJWFTMFTTFNQIBTJTUPUIFSFWJFXPGVQEBUFE
OPUJmDBUJPOT5IF$PNNJUUFFIFMETQFDJBMNFFUJOHTJO"QSJMBOE0DUPCFSBUXIJDI
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5IF4$."HSFFNFOUQSPWJEFTGPSB1FSNBOFOU(SPVQPG&YQFSUT 1(&
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NFNCFS"UBTQFDJBMNFFUJOHIFMEPO+VMZ UIF$PNNJUUFFFMFDUFEGPVSOFX
Countervailing NFNCFSTUPUIF1(& %S$IBOHGB-P %S.BO[PPS"INBE .S;IBOH:VRJOHBOE
.S+FGGSFZ".BZ

measures to offset
subsidies increased Figure 2: Countervailing measures by year
1995 to 2008
significantly in 2008.
2008
2007
2006
2005
2004
2003
2002
Year
2001
2000
1999
1998
1997
1996
1995
0 5 10 15 20
Number of measures (Total 128)
Figure 3: Countervailing measures by exporting member

1995 to 2008
India
China
EC
Exporting member
Italy
Brazil
Rep. Korea
Indonesia
France
Argentina
South Africa
0 5 10 15 20 25 30
Subsidies and countervailing measures World Trade Organization

38 www.wto.org/scm Annual Report 2009
"OUJEVNQJOHQSBDUJDFT Implementation
and monitoring
*O0DUPCFS UIF$PNNJUUFFPO"OUJ%VNQJOH1SBDUJDFTBEPQUFEBSFWJTFEGPSNBU
GPSUIFTFNJBOOVBMSFQPSUTTVCNJUUFECZ850NFNCFST5IFOFXGPSNBU CBDLFECZ
WJSUVBMMZBMM850NFNCFSTBTBNBKPSBEWBODFJOUSBOTQBSFODZ JODMVEFTBOVNCFSPG
JNQPSUBOUJNQSPWFNFOUT TVDIBTUIFVTFPGNBOEBUPSZMBOHVBHFBOEDMFBSEFmOJUJPOT
JOTUSVDUJPOTGPSFBDIJUFNUPCFSFQPSUFE BOEUIFJODMVTJPOPGBOVNCFSPGOFXJUFNT
#BDLHSPVOE
5IFOFXGPSNBUJTUPCFVTFEGPSSFQPSUTDPWFSJOHUIFmSTUIBMGPG JFUIFOFYU 850NFNCFSTBSFBMMPXFEUPBQQMZABOUJ
DZDMFPGSFQPSUTUPCFTVCNJUUFEBUUIFFOEPG"VHVTU(JWFOUIFDIBOHFTUIBUJU EVNQJOHNFBTVSFTPOJNQPSUTPGBQSPEVDU
JODPSQPSBUFT UIFGPSNBUTIPVMEIFMQUPSFTPMWFJTTVFTSFMBUJOHUPUIFDPNQMFUFOFTTPG XIFSFUIFFYQPSUJOHDPNQBOZFYQPSUTUIF
UIFJOGPSNBUJPOTVCNJUUFE QSPEVDUBUBQSJDFMPXFSUIBOUIFQSJDFJU
OPSNBMMZDIBSHFTJOJUTPXOIPNFNBSLFUGPS
UIFTBNFQSPEVDU BEVNQJOHQSJDF
JGUIF
Figure 4: Anti-dumping – number of measures EVNQFEJNQPSUTDBVTFPSUISFBUFOUPDBVTF
1995 to 2008 NBUFSJBMJOKVSZUPUIFEPNFTUJDJOEVTUSZ
QSPEVDJOHUIBUQSPEVDUJOUIFJNQPSUJOHNFNCFS
2008 5IF$PNNJUUFFPO"OUJ%VNQJOH1SBDUJDFT
QSPWJEFT850NFNCFSTXJUIUIFPQQPSUVOJUZ
"/%.0/*503*/(
*.1-&.&/5"5*0/
2007
UPEJTDVTTBOZNBUUFSTSFMBUJOHUPUIF"OUJ
2006 %VNQJOH"HSFFNFOU5IF$PNNJUUFFSFWJFXT
2005 NFNCFSTOPUJmDBUJPOTPGOBUJPOBMBOUJEVNQJOH
MFHJTMBUJPOTTFNJBOOVBMSFQPSUTPGBOUJEVNQJOH
2004 JOWFTUJHBUJPOT NFBTVSFTBOEBDUJPOTUBLFO
2003 BEIPDOPUJmDBUJPOTPGQSFMJNJOBSZBOEmOBM
BOUJEVNQJOHBDUJPOTUBLFOBOEUIFBVUIPSJUJFT
2002
Year
DPNQFUFOUUPJOJUJBUFBOEDPOEVDUJOWFTUJHBUJPOT
2001
2000
1999
1998
1997
1996
1995
0 50 100 150 200 250
Number of measures (Total 2,190)
Figure 5: Anti-dumping measures by importing country

1995 to 2008
India
US
EC
Importing country
Argentina
Turkey
South Africa
China
Canada
Brazil
Mexico
0 100 200 300 400
World Trade Organization Anti-dumping

Annual Report 2009 www.wto.org/ad 39
Implementation Figure 6: Anti-dumping measures by exporting country
and monitoring 1995 to 2008
China
Rep. Korea
Chinese Taipei
Exporting country
US
Japan
Russia
Thailand
India
Indonesia
Brazil
0 100 200 300 400 500
$VTUPNTWBMVBUJPO
#ZUIFFOEPG OPEFWFMPQJOHDPVOUSJFTXFSFTUJMMEFMBZJOHBQQMJDBUJPOPGUIF
QSPWJTJPOTPGUIF$VTUPNT7BMVBUJPO"HSFFNFOU OPSNBLJOHSFTFSWBUJPOT VOEFS
#BDLHSPVOE QBSBHSBQI "OOFY***
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'PSJNQPSUFST UIFQSPDFTTPGFTUJNBUJOHUIF GPSWBMVJOHHPPET*OUIFBSFBPGOPUJmDBUJPOT IPXFWFS NFNCFSTIBETUJMMUPOPUJGZ
WBMVFPGBQSPEVDUBUDVTUPNTDBOQSFTFOU
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"HSFFNFOUPO$VTUPNT7BMVBUJPOBJNTUP 5IF$VTUPNT7BMVBUJPO"HSFFNFOUTUJQVMBUFTUIBUNFNCFSTNVTUFOTVSFUIBUUIFJSMBXT
EFWFMPQBGBJS VOJGPSNBOEOFVUSBMTZTUFNGPS SFHVMBUJPOTBOEBENJOJTUSBUJWFQSPDFEVSFTDPOGPSNXJUIUIFQSPWJTJPOTPGUIF"HSFFNFOU
UIFWBMVBUJPOPGHPPETGPSDVTUPNTQVSQPTFT BOENVTUOPUJGZUIF$PNNJUUFFPO$VTUPNT7BMVBUJPOPGBOZDIBOHFTJOUIJTSFHBSE4VDI
8PSLPOUIJTJTTVFJOUIF850JTDBSSJFEPVU OPUJmDBUJPOTBSFTVCKFDUUPFYBNJOBUJPOJOUIF$PNNJUUFF&JHIUZNFNCFST XJUIUIF
CZUIF$PNNJUUFFPO$VTUPNT7BMVBUJPO JOEJWJEVBM&6NFNCFSTUBUFTCFJOHDPVOUFEBTBTJOHMFNFNCFS
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'JGUZTJYNFNCFSTIBEOPUZFUOPUJmFEUIFJSSFTQPOTFTUPUIFA$IFDLMJTUPG*TTVFT
DPODFSOJOHUIFBENJOJTUSBUJPOPGUIF"HSFFNFOUBOEXPSLJOHQSPDFEVSFTPGUIF$PNNJUUFF
FWFOUIPVHIUIJTXBTBSFRVJSFNFOUVOEFSUIF"HSFFNFOU8JUISFTQFDUUPUIF%FDJTJPOT
POJOUFSFTUDIBSHFTBOEPOUIFWBMVBUJPOPGDBSSJFSNFEJBCFBSJOHTPGUXBSF TVDIBT
$%30.T POMZNFNCFSTIBEOPUJmFEUIFEBUFGSPNXIJDIUIFZXFSFBQQMZJOHUIF
%FDJTJPOT5IFTFmHVSFTSFQSFTFOUBTMJHIUJNQSPWFNFOUPWFSUIFQSFWJPVTZFBS
5IF$PNNJUUFFNBEFMJUUMFQSPHSFTTJOJUTEJTDVTTJPOTPOQSFWFOUJOHDVTUPNTGSBVECZ
TUSFOHUIFOJOHDPPQFSBUJPOCFUXFFONFNCFSTDVTUPNTBENJOJTUSBUJPOT BTNBOEBUFE
JO%FDJTJPOPGUIF%PIB.JOJTUFSJBM%FDJTJPOPO*NQMFNFOUBUJPO3FMBUFE*TTVFTBOE
$PODFSOT
8IJMF*OEJBNBJOUBJOFEJUTWJFXUIBUUIF850TIPVMEFMBCPSBUFBCJOEJOH
NFDIBOJTNGPSUIFFYDIBOHFPGFYQPSUWBMVFTCFUXFFODVTUPNTBENJOJTUSBUJPOT NPTU
PUIFSNFNCFSTDPOTJEFSFEUIBUUIFFTUBCMJTINFOUPGTVDIBNFDIBOJTNXBTJNQFEFECZ
TJHOJmDBOUDPODFSOT TVDIBTUIFQSFTFSWBUJPOPGDPOmEFOUJBMJUZ BDDVSBDZPGEBUB BOEUIF
FYJTUFODFPGTJNJMBSNFDIBOJTNTBOEBSSBOHFNFOUTJOUIJTBSFB'VSUIFSNPSF TFWFSBM
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*OEJBIBTDPNNJUUFEJUTFMGUPSFWJFXJOHUIFJTTVFJO
Customs valuation World Trade Organization

40 www.wto.org/customsvaluation Annual Report 2009
5IF$PNNJUUFFDPNQMFUFE$IJOBT5SBOTJUJPOBM3FWJFXJOBDDPSEBODFXJUIJUT1SPUPDPMPG Implementation
"DDFTTJPO5IF8505FDIOJDBM$PNNJUUFFoFTUBCMJTIFEVOEFSUIFBVTQJDFTPGUIF8PSME
$VTUPNT0SHBOJ[BUJPOUPQSPNPUF POBUFDIOJDBMMFWFM VOJGPSNJUZPGJOUFSQSFUBUJPOBOE
and monitoring
BQQMJDBUJPOPGUIF$VTUPNT7BMVBUJPO"HSFFNFOUoQSFTFOUFESFQPSUTPOJUTTFTTJPOT
EVSJOH
3VMFTPGPSJHJO
5IF$PNNJUUFFPO3VMFTPG0SJHJO $30
NFUUXJDFJOUPSFTPMWFBMMUFDIOJDBM
JTTVFTBTTPPOBTQPTTJCMF XIJMFXPSLPOUIFAJNQMJDBUJPOTGPSPUIFS850BHSFFNFOUT
BOEJOUIFNBDIJOFSZTFDUPSDPOUJOVFTUPCFTVTQFOEFEQFOEJOHHVJEBODFGSPNUIF #BDLHSPVOE
(FOFSBM$PVODJM5IFNBJOGPDVTPGUIF$30TXPSLXBTUPESBGUUIFPWFSBMMBSDIJUFDUVSF 5IFNBJOPCKFDUJWFPGUIF"HSFFNFOUPO3VMFT
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RVFSJFT TVCNJUUFECZmWFNFNCFST TFF'JHVSF
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QSPDFEVSFTBQQMJFECZTPNFNFNCFST SVMFTPGPSJHJO
Figure 7: Written questions and replies

submitted in 2008
Number of members having submitted written questions or replies #BDLHSPVOE

Number of written questions or replies 5IF"HSFFNFOUPO*NQPSU-JDFOTJOH
1SPDFEVSFTFTUBCMJTIFTEJTDJQMJOFTPONFNCFST
JNQPSUMJDFOTJOHTZTUFNT XJUIUIFQSJODJQBM
Questions
PCKFDUJWFPGFOTVSJOHUIBUUIFQSPDFEVSFT
Replies BQQMJFEGPSHSBOUJOHJNQPSUMJDFODFTEPOPU
UIFNTFMWFT SFTUSJDUUSBEF#ZCFDPNJOH
0 2 4 6 8 10 12 14 16 NFNCFSTPGUIF850 HPWFSONFOUTDPNNJU
UIFNTFMWFTUPTJNQMJGZJOHBOECSJOHJOH
Number
USBOTQBSFODZUPUIFJSJNQPSUMJDFOTJOH
QSPDFEVSFT BOEUPBENJOJTUFSJOHUIFNJO
"UUIFUXPNFFUJOHTIFMEEVSJOH UIF$PNNJUUFFPO*NQPSU-JDFOTJOHSFWJFXFE BOFVUSBMBOEOPOEJTDSJNJOBUPSZNBOOFS
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PGJNQPSUMJDFOTJOHQSPDFEVSFT "SUJDMFT B
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BOESFMBUFEUP
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'JHVSFTIPXTNFNCFSTDPNQMJBODFXJUIUSBOTQBSFODZPCMJHBUJPOT XIJDIIBTJODSFBTFE
TJODFMBTUZFBS CVUUIFMBDLPGOPUJmDBUJPOTJOTPNFBSFBTSFNBJOTBTPVSDFPGDPODFSO
GPSUIF$PNNJUUFF
World Trade Organization Rules of origin Import licensing

Annual Report 2009 www.wto.org/origin www.wto.org/importlicensing 41
Implementation Figure 8: Number of members having notified and number
and monitoring of notifications submitted in 2008
Number of members having notified Number of notifications submitted
Articles 1.4(a)
and/or 8.2(b)
Article 5
Article 7.3
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BOJODSFBTFJOJNQPSUTPGBOZQSPEVDUXIJDI Figure 9: Safeguard initiations
JTDBVTJOH PSXIJDIJTUISFBUFOJOHUPDBVTF 1995 to 2008
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Year
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2000
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0 5 10 15 20 25 30 35
Number of initiations
Safeguard measures World Trade Organization

42 www.wto.org/safeguards Annual Report 2009
Figure 10: Safeguard measures by importing member
Implementation
1995 to 2008 and monitoring
Turkey
India
Importing member
Chile
US
Jordan
Czech Rep.
Philippines
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World Trade Organization Trade and investment Information Technology Agreement

Annual Report 2009 www.wto.org/trims www.wto.org/ITA 43
Implementation 4UBUFUSBEJOHFOUFSQSJTFT
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State trading enterprises

www.wto.org/statetrading
Trade in civil aircraft

www.wto.org/aircraft
Trade in services
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Services trade World Trade Organization

44 www.wto.org/services Annual Report 2009
Trade-related aspects of Implementation
and monitoring
intellectual property rights
(TRIPS)
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World Trade Organization Intellectual property

Annual Report 2009 www.wto.org/trips 45
Implementation 5IFTZTUFNGVMmMMFEUIFJOTUSVDUJPOTHJWFOJO1BSBHSBQIPGUIF%PIB%FDMBSBUJPOPOUIF
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Intellectual property World Trade Organization

46 www.wto.org/trips Annual Report 2009
Trade and environment Implementation
and monitoring
5IF$PNNJUUFFPO5SBEFBOE&OWJSPONFOU $5&
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World Trade Organization Trade and environment

Annual Report 2009 www.wto.org/environment 47
Implementation
and monitoring
Regional trade agreements
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Figure 11: All RTAs notified to the GATT/WTO (1949 to 2008)

by year of entry into force
Notified RTAs (goods, services & accessions) that have entered into force Inactive RTAs (left-hand axis)
Cumulative RTA notifications Cumulative active RTAs (right-hand axis)
100 500
90 450
80 400
70 350
Number of RTAs
60 300
50 250
40 200
30 150
20 100
10 50
0 0
1949
1951
1953
1955
1957
1959
1961
1963
1965
1967
1969
1971
1973
1975
1977
1979
1981
1983
1985
1987
1989
1991
1993
1995
1997
1999
2001
2003
2005
2007
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Regional trade agreements World Trade Organization

48 www.wto.org/rta Annual Report 2009
.POJUPSJOH35"T Implementation
and monitoring
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World Trade Organization Regional trade agreements

Annual Report 2009 www.wto.org/rta 49
Implementation 5IF5SBOTQBSFODZ.FDIBOJTNSFRVJSFTUIF4FDSFUBSJBUUPQSFQBSFGBDUVBMBCTUSBDUTPO
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Regional trade agreements World Trade Organization

50 www.wto.org/rta Annual Report 2009
Trade policy reviews Implementation
and monitoring
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4FDSFUBSJBU3FQPSU UIF850QSFTTSFMFBTF UIF$PODMVEJOH3FNBSLTCZUIF$IBJSBOEUIF
5SBEF1PMJDZ3FWJFX 513
SFQPSUT CPUICZUIFNFNCFSVOEFSSFWJFXBOEUIF4FDSFUBSJBU

BSFBWBJMBCMFJNNFEJBUFMZPOUIF850XFCTJUF513SFQPSUTBSFQVCMJTIFEPOCFIBMG
PGUIF850CZ#FSOBO"TTPDJBUFTUPFOTVSFBXJEFBOEFGmDJFOUEJTUSJCVUJPOPGUIF
SFQPSUT4VCTUBOUJBMQSPHSFTTIBTDPOUJOVFEUPCFNBEFJOFOIBODJOHBXBSFOFTTPG
UIFNFDIBOJTN
World Trade Organization Trade policy reviews

Annual Report 2009 www.wto.org/tpr 51
Implementation 5IF513#SFWJFXFEUIFUSBEFQPMJDJFTBOEQSBDUJDFTPGDPVOUSJFTJO
5IFDPODMVEJOHSFNBSLTCZUIF$IBJSBSFQSPWJEFECFMPX
and monitoring
1BLJTUBO
i5IJTUIJSE5SBEF1PMJDZ3FWJFXPG1BLJTUBOIBTDPOTJEFSBCMZJNQSPWFEPVSVOEFSTUBOEJOH
PGUSBEFBOESFMBUFEQPMJDZEFWFMPQNFOUTTJODFBOEUIFDIBMMFOHFT1BLJTUBOGBDFT
JOTVTUBJOJOH BOEJOEFFEJNQSPWJOH JUTFDPOPNJDHSPXUI*BNHSBUFGVMUPUIF'FEFSBM
.JOJTUFSPG$PNNFSDF 4IB[BEB"MBN.POOPPBOE"NCBTTBEPS.BO[PPS"INBEBOE
UIFJSEFMFHBUJPO UIFEJTDVTTBOU "NCBTTBEPS,BSFO5BOPG4JOHBQPSF BTXFMMBT
NFNCFSTGPSDPOUSJCVUJOHUPUIF513#<5SBEF1PMJDZ3FWJFX#PEZ>NFFUJOHTVTFGVM
FYDIBOHFPGWJFXT1BLJTUBOTSFTQPOTFUPUIFMBSHFOVNCFSPGRVFTUJPOTJTBMTP
NVDIBQQSFDJBUFE
.FNCFSTFYQSFTTFEUIFJSSFHSFUPWFSSFDFOUFWFOUTJO1BLJTUBOBOEUIFIPQFUIBU
UIFTFXPVMEOPUBEWFSTFMZBGGFDU1BLJTUBOTFDPOPNJDEFWFMPQNFOUBOEQSPTQFSJUZ
5IFZDPNNFOEFE1BLJTUBOGPSJUTJNQSFTTJWFFDPOPNJDQFSGPSNBODF UIFEFDMJOFJO
4FWFSBM850NFNCFSTQSBJTFE1BLJTUBOT UIFVOFNQMPZNFOUSBUF QPWFSUZSFEVDUJPO JUTJNQSPWFESBOLJOHJOUIF6/)VNBO
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TFDUPSTBOEFODPVSBHFE1BLJTUBOUPGVSUIFS
SFDPHOJ[FEUIBUFDPOPNJDGVOEBNFOUBMTIBEJNQSPWFE CVUBMTPQPJOUFEUPUIFDIBMMFOHFT
MJCFSBMJ[FPUIFSTFSWJDFT
QPTFECZUIFQFSTJTUFOUTUSVDUVSBMXFBLOFTTFT MPXUBYDPMMFDUJPO DVSSFOUBDDPVOU
EFmDJUT MBDLPGFYQPSUEJWFSTJmDBUJPO BOEQPMJUJDBMVODFSUBJOUZ%FTQJUFXJEFTQSFBEQSBJTF
GPS1BLJTUBOTHFOFSBMMZMJCFSBMJOWFTUNFOUSFHJNFBOEJODSFBTFE'%*<GPSFJHOEJSFDU
JOWFTUNFOU>JOnPXT DFSUBJONFNCFSTFYQSFTTFEDPODFSOPWFSQFSTJTUJOHJNQFEJNFOUT
JODMVEJOHQSPDFEVSBMDPNQMFYJUJFT
.FNCFSTDPNNFOEFE1BLJTUBOTBDUJWFSPMFJOUIFNVMUJMBUFSBMUSBEJOHTZTUFN BOE
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/"."<OPOBHSJDVMUVSBMNBSLFUBDDFTT> BHSJDVMUVSF TFSWJDFT BOE53*14<USBEFSFMBUFE
JOUFMMFDUVBMQSPQFSUZSJHIUT>BSFBT4FWFSBMNFNCFSTOPUFE1BLJTUBOTJODSFBTFE
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"MUIPVHINFNCFSTQSBJTFE1BLJTUBOTSFDFOUUBSJGGSFMBUFEBDIJFWFNFOUT UIFZPCTFSWFE
UIBUJUTDPNQMFYDVTUPNTUBSJGGBOEUIFHBQCFUXFFOBWFSBHFCPVOEBOEBQQMJFE.'/
<NPTUGBWPVSFEOBUJPO>UBSJGGSBUFTDBVTFVODFSUBJOUZGPSJUTUSBEJOHQBSUOFSTUIVT UIFZ
VSHFE1BLJTUBOUPTJNQMJGZJUTUBSJGGBOESFEVDFUIFHBQ$FSUBJONFNCFSTDPNNFOEFE
UIFNFBTVSFTUBLFOUPJNQSPWFDVTUPNTBVUPNBUJPOBOETUSFBNMJOFDVTUPNTQSPDFEVSFT
0OUIFPUIFSIBOE UIFSFXFSFTPNFBSFBTPGDPODFSO JODMVEJOHDVTUPNTWBMVBUJPO
QSBDUJDFT UIFVTFPGASFHVMBUPSZEVUJFT BOUJEVNQJOHNFBTVSFT BOEDFSUBJOUZQFTPG
USBEFSFTUSJDUJPOT XIFSF1BLJTUBOXBTFODPVSBHFEUPNBLFJNQSPWFNFOUT$FSUBJO
NFNCFSTFYQSFTTFEDPODFSOPWFSUIFJNQBDUPGFYQPSUUBYFTBOENVMUJQMFUBYBOE
OPOUBYJODFOUJWFT XJUIUIFMBUUFSQPTTJCMZGBWPVSJOHMPDBMDPOUFOU0UIFSTVSHFE1BLJTUBO
UPOPUJGZJUTFYQPSUBOEBHSJDVMUVSFBTTJTUBODFTDIFNFT
4FWFSBMNFNCFSTDPNNFOEFE1BLJTUBOTFGGPSUTUPTUSFOHUIFOQSPUFDUJPOPGJOUFMMFDUVBM
QSPQFSUZSJHIUT BMUIPVHIDPODFSOXBTFYQSFTTFEPWFSEFmDJFODJFTJODFSUBJOBSFBT
FHUSBEFNBSLT QBUFOUQSPUFDUJPO CPPLQJSBDZ
4PNFNFNCFSTFODPVSBHFEMFHJTMBUJWF
BNFOENFOUTBOEGVSUIFSUSBOTQBSFODZJOHPWFSONFOUQSPDVSFNFOU BTXFMMBTSFEVDFE
TUBUFPXOFSTIJQJOUIFFDPOPNZ
4FWFSBMNFNCFSTQSBJTFESFGPSNTJOUIFmOBODJBMBOEUFMFDPNNVOJDBUJPOTFDUPSTBOE
FODPVSBHFE1BLJTUBOUPGVSUIFSMJCFSBMJ[FPUIFSTFSWJDFTTPNFPGUIFNVSHFEJNQSPWFE
("54<(FOFSBM"HSFFNFOUPO5SBEFJO4FSWJDFT>DPNNJUNFOUTJODFSUBJOTFSWJDFT
BDUJWJUJFT FHUSBOTQPSUBUJPO

5IJT3FWJFXIBTCFFONPTUJOGPSNBUJWFBOEIBTBGGPSEFENBOZVTFGVMJOTJHIUTJOUP
1BLJTUBOTUSBEFQPMJDJFTBTXFMMBTUIFDIBMMFOHFTJUGBDFT*XPVMEPODFBHBJOMJLFUP
UIBOLUIF1BLJTUBOJEFMFHBUJPO UIFEJTDVTTBOU BOENFNCFSTGPSDPOUSJCVUJOHUPBO
FOMJHIUFOJOHUXPEBZTPGEJTDVTTJPOT8FMPPLGPSXBSEUPSFDFJWJOH1BLJTUBOTSFTQPOTFT
UPPVUTUBOEJOHRVFTUJPOTXJUIJOUIFOFYUNPOUIw
Trade policy reviews World Trade Organization

52 www.wto.org/tpr Annual Report 2009
(IBOB Implementation
i5IJTUIJSE5SBEF1PMJDZ3FWJFXPG(IBOBIBTBMMPXFEVTUPTJHOJmDBOUMZJNQSPWFPVS
VOEFSTUBOEJOHPGJUTUSBEFBOESFMBUFEQPMJDJFT BOEUIFJSEFWFMPQNFOUTJODFUIFQSFWJPVT
and monitoring
3FWJFXJO0VSEJTDVTTJPOTIBWFHSFBUMZCFOFmUFEGSPNUIFQBSUJDJQBUJPOPG
.S,XBLV"HZFNBOH.BOV %FQVUZ.JOJTUFSPG5SBEF *OEVTUSZ 1SJWBUF4FDUPS
%FWFMPQNFOU BOE1SFTJEFOUJBM4QFDJBM*OJUJBUJWFT BOEIJTEFMFHBUJPO0VSUIBOLT
BSFBMTPEVFUPPVSEJTDVTTBOU "NCBTTBEPS"STFOF#BMJIVUB GPSIJTJOTJHIUGVMBOE
TUJNVMBUJOHDPOUSJCVUJPO BOEUIFFOHBHFNFOUPGNBOZEFMFHBUJPOT
.FNCFSTDPNNFOEFE(IBOBPOJUTJNQSFTTJWFFDPOPNJDQFSGPSNBODFPWFSUIFQBTU
GFXZFBST XJUIIJHISFBM(%1<HSPTTEPNFTUJDQSPEVDU>HSPXUISBUFT EFDSFBTJOHJOnBUJPO
JNQSPWFEmTDBMTJUVBUJPO BOETVCTUBOUJBMQSPHSFTTJOQPWFSUZSFEVDUJPO5IFTUSPOH
HSPXUIPG(IBOBTFDPOPNZIBTCFFOTVQQPSUFECZUSBEFMJCFSBMJ[BUJPOUISPVHI JOUFSBMJB
SFEVDUJPOPGUBSJGGSBUFTBOEUIFOVNCFSPGCBOET BTXFMMBTUIFTUSFBNMJOJOHPGDVTUPNT
QSPDFEVSFT(IBOBQBSUJDJQBUFTJOUIF&DPOPNJD$PNNVOJUZPG8FTU"GSJDBO4UBUFT
&$08"4
FOKPZTOPOSFDJQSPDBMUSBEFQSFGFSFODFTGSPNWBSJPVTUSBEJOHQBSUOFST
BOEJTmOBMJ[JOHJUTOFHPUJBUJPOTPOBO&DPOPNJD1BSUOFSTIJQ"HSFFNFOUXJUIUIF&$
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WBSJPVT850BHSFFNFOUT5IFZJOEJDBUFEUIBUFYUFOEJOHUIFTDPQFPGUBSJGGCJOEJOH
DPNNJUNFOUT SFEVDJOHCPVOESBUFT BOEGVSUIFSSFEVDJOHBQQMJFEUBSJGGTXPVMEDPOUSJCVUF
UPCFUUFSSFTPVSDFBMMPDBUJPO$PODFSOTXFSFSBJTFEBCPVUUIFBQQMJDBUJPOPGWBSJPVTPUIFS
EVUJFTBOEDIBSHFTPOQSPEVDUTPOXIJDIUIFZIBWFCFFOCPVOEBU[FSP.FNCFSTOPUFE
(IBOBTHFOFSBMMZMJCFSBMJOWFTUNFOUSFHJNF CVUBTLFEGPSJOGPSNBUJPOBCPVUUIFGFX
SFNBJOJOHSFTUSJDUJPOT4PNFNFNCFSTBMTPFODPVSBHFE(IBOBUPBEPQUBDPNQFUJUJPO
QPMJDZBOEUPSFEVDFUIFSPMFPGTUBUFPXOFEFOUFSQSJTFT
.FNCFSTBQQSFDJBUFE(IBOBTQPMJDZPCKFDUJWFPGJODSFBTJOHJUTSFHJPOBMBOEHMPCBM
JOUFHSBUJPO BOETUSFOHUIFOJOHBOEEJWFSTJGZJOHJUTFYQPSUCBTF'VSUIFSJOGPSNBUJPOXBT
TPVHIUPOEFWFMPQNFOUQMBOTGPSUIFBHSJDVMUVSFBOENBOVGBDUVSJOHTFDUPSTBOEUIF
BENJOJTUSBUJPOPGUIFOFXNJOJOHSFHJNF4PNFNFNCFSTBMTPSFRVFTUFEDMBSJmDBUJPOPO
UIFJNQPSUSFTUSJDUJPOTNBJOUBJOFECZ(IBOB JODMVEJOHQSPIJCJUJPOTPO414<TBOJUBSZBOE
QIZUPTBOJUBSZ>BOE5#5<UFDIOJDBMCBSSJFSTUPUSBEF>HSPVOET0UIFSJTTVFTPGJOUFSFTUUP
NFNCFSTJODMVEFEDVTUPNTQSPDFEVSFTBOEWBMVBUJPODVSSFODZDPOWFSTJPOBOETVSSFOEFS
SFRVJSFNFOUTFYQPSUQSPNPUJPOBOETVCTJEJFTJODFOUJWFTDIFNFT JODMVEJOHGVFM
TVCTJEJFTHPWFSONFOUQSPDVSFNFOUQSPUFDUJPOPGJOUFMMFDUVBMQSPQFSUZSJHIUTBOE
TFSWJDFT JODMVEJOH("54<(FOFSBM"HSFFNFOUPO5SBEFJO4FSWJDFT>DPNNJUNFOUT
mOBODJBMTFSWJDFT UFMFDPNT USBOTQPSU BOEUPVSJTN
.FNCFSTBQQSFDJBUFEUIFSFTQPOTFTQSPWJEFECZUIF(IBOBJBOEFMFHBUJPO BOEMPPL
GPSXBSEUPSFDFJWJOHXSJUUFOBOTXFSTUPBOZPVUTUBOEJOHRVFTUJPOT
*ODPODMVTJPO NFNCFSTDPOHSBUVMBUFE(IBOBPOUIFQPTJUJWFFDPOPNJDSFTVMUTJUIBT
BDIJFWFEEVSJOHUIFMBTUGFXZFBST5IFZFODPVSBHFE(IBOBUPQVSTVFJUTSFGPSNT
JODMVEJOHPGJUTUSBEFSFHJNF BOEUPJNQSPWFJUTNVMUJMBUFSBMDPNNJUNFOUTPOHPPETBOE
TFSWJDFT XJUIBWJFXUPFOIBODJOHUIFUSBOTQBSFODZBOEQSFEJDUBCJMJUZPGUIFSFHJNF BOE
BEIFSFODFUP850QSJODJQMFT.FNCFSTDPVMEIFMQCZLFFQJOHUIFJSNBSLFUTPQFOGPS
QSPEVDUTBOETFSWJDFTPGJOUFSFTUUP(IBOB BOECZQSPWJEJOHUFDIOJDBMBTTJTUBODFw
.FYJDP
i5IJTGPVSUI5SBEF1PMJDZ3FWJFXPG.FYJDPIBTBMMPXFEUIJT#PEZUPDPOTJEFS.FYJDPT
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7JDF.JOJTUFSPG*OUFSOBUJPOBM5SBEF/FHPUJBUJPOT .T#FBUSJ[-FZDFHVJ PG"NCBTTBEPS
'FSOBOEPEF.BUFPBOEUIFSFTUPGUIF.FYJDBOEFMFHBUJPO UPUIFGPSUISJHIUDPNNFOUT
CZUIFEJTDVTTBOU "NCBTTBEPS$MBVEJB6SJCF BOEUPUIFBDUJWFJOWPMWFNFOUPGNBOZ
NFNCFST

Implementation .FNCFSTXFMDPNFE.FYJDPTSPCVTUFDPOPNJDHSPXUI XIJDIIBEDPNFIBOEJOIBOE
XJUIJUTEFFQFSJOUFHSBUJPOJOUPUIFXPSMEFDPOPNZ)PXFWFS BDZDMJDBMFDPOPNJD
and monitoring TMPXEPXOJTBSJTL BOESFEVDJOHQPWFSUZSFNBJOTBOJNQPSUBOUDIBMMFOHFJOUIFMPOH
SVO.FYJDPXBTUIVTVSHFEUPDBSSZPVUUIFOFFEFETUSVDUVSBMSFGPSNTUPFOIBODF
DPNQFUJUJWFOFTTBOEJNQSPWFFDPOPNJDQFSGPSNBODF*OUIJTSFHBSE .FYJDPQSPWJEFE
EFUBJMTPOJUTSFGPSNBHFOEB BOEIPXJUBJNTUPSBJTFQSPEVDUJWJUZBOEFDPOPNJDHSPXUI
JOBTVTUBJOBCMFNBOOFS
.FNCFSTFYQSFTTFEHSFBUBQQSFDJBUJPOGPS.FYJDPTDPOTUSVDUJWFSPMFJOUIFNVMUJMBUFSBM
USBEJOHTZTUFN BOEJUTDPOUSJCVUJPOUPUIF%PIB%FWFMPQNFOU"HFOEB.FYJDP
VOEFSTDPSFEUIBUJUDPOTJEFSTUIF850UPCFUIFNBJONFDIBOJTNGPSUSBEFMJCFSBMJ[BUJPO
XJUIJUTFYUFOTJWFOFUXPSLPGQSFGFSFOUJBMBHSFFNFOUTQMBZJOHBDPNQMFNFOUBSZSPMF
.FNCFSTDPNNFOEFE.FYJDPTDPNNJUNFOUUPUSBEFMJCFSBMJ[BUJPO BTEFNPOTUSBUFE
CZJUTVOJMBUFSBMSFEVDUJPOPGUBSJGGTJO)PXFWFS .FYJDPXBTVSHFEUPDPOUJOVF
TJNQMJGZJOHJUTUSBEFSFHVMBUJPOTBOEUPSFEVDFUIFHBQCFUXFFOCPVOEBOEBQQMJFEUBSJGGT
.FYJDPTQSPHSFTTJOMJCFSBMJ[JOHJUTUSBEFSFHJNF JOPSEFSUPJODSFBTFUIFQSFEJDUBCJMJUZPGJUTUSBEFSFHJNF$PODFSOTXFSFFYQSFTTFE
XBTXFMDPNFECZ850NFNCFST XIP SFHBSEJOHJTTVFTTVDIBTDVTUPNTGFFT UIFFTUJNBUFEQSJDFNFDIBOJTN DFSUJmDBUJPO
FYQSFTTFETVQQPSUGPSUIFBVUIPSJUJFTBJNUP
SFRVJSFNFOUT BOUJEVNQJOH BOE414<TBOJUBSZBOEQIZUPTBOJUBSZ>BOE5#5<UFDIOJDBM
JOUSPEVDFGVSUIFSSFGPSNT
CBSSJFSTUPUSBEF>NFBTVSFT.FYJDPQPJOUFEPVUUIBUDVTUPNTNPEFSOJ[BUJPOBOE
USBOTQBSFODZBSFLFZDPNQPOFOUTPGJUTSFGPSNFGGPSUT
3FTQPOEJOHUPRVFTUJPOTPOUIFJODFOUJWFTDIFNFTJUNBJOUBJOT .FYJDPDMBSJmFEUIBU
OPOFPGUIFNJTDPOUJOHFOUVQPOFYQPSUBUJPO0ODPNQFUJUJPOQPMJDZ .FYJDPXBT
DPOHSBUVMBUFEGPSUIFJNQSPWFNFOUTJUIBTNBEF BMUIPVHIJNQMFNFOUBUJPOQSPCMFNT
QFSTJTU4PNFNFNCFSTDBMMFEGPSUIFFMJNJOBUJPOPGEPNFTUJDQSFGFSFODFTJOHPWFSONFOU
QSPDVSFNFOUBOEGPS.FYJDPUPKPJOUIF(1"<UIF1MVSJMBUFSBM"HSFFNFOUPO(PWFSONFOU
1SPDVSFNFOU> XIJDI.FYJDPJOEJDBUFEJUJTOPUDVSSFOUMZDPOTJEFSJOH.FYJDPBMTP
SFTQPOEFEJOEFUBJMUPBSBOHFPGRVFTUJPOTDPODFSOJOHJUTJOUFMMFDUVBMQSPQFSUZSFHJNF
'PSFJHOJOWFTUNFOUIBTQMBZFEBOJNQPSUBOUSPMFJO.FYJDPTEFWFMPQNFOUTUSBUFHZ
CVUSFTUSJDUJPOTBQQMZJOEJGGFSFOUBSFBTPGUIFBMMJNQPSUBOUTFSWJDFTTFDUPS JODMVEJOH
UFMFDPNNVOJDBUJPOTBOEUSBOTQPSU.FNCFSTFODPVSBHFE.FYJDPUPSFEVDFTVDI
SFTUSJDUJPOT BOEUPJNQSPWFJUT("54<(FOFSBM"HSFFNFOUPO5SBEFJO4FSWJDFT>
DPNNJUNFOUTXJUIBWJFXUPDMPTJOHUIFHBQCFUXFFOUIFTFBOE.FYJDPTMFHBMGSBNFXPSL
2VFTUJPOTXFSFSBJTFEBCPVUUIFFGGFDUJWFOFTTPGUIFTVQQPSUHJWFOUPUIFBHSJDVMUVSF
TFDUPS BOEUIFUSBOTQBSFODZPGUBSJGGRVPUBBENJOJTUSBUJPO XJUI.FYJDPFOHBHJOHUP
TVCNJUWBSJPVTSFMBUFEPVUTUBOEJOHOPUJmDBUJPOT.FYJDPBDLOPXMFEHFEUIFOFFEGPS
SFGPSNJOUIFFOFSHZTFDUPS BOEJOEJDBUFEUIBU XIJMFDIBOHFTBSFVOEFSDPOTJEFSBUJPO
UIFMJCFSBMJ[BUJPOPGFYJTUJOHJOWFTUNFOUSFTUSJDUJPOTJTOPU
*ODPODMVTJPO NFNCFSTDPOHSBUVMBUFE.FYJDPGPSJUTTUFBEGBTUTVQQPSUPGUIFNVMUJMBUFSBM
USBEJOHTZTUFN BOEXFMDPNFEUIFQSPHSFTTJUIBTNBEFJOMJCFSBMJ[JOHJUTUSBEFSFHJNF
.FNCFSTBMTPFYQSFTTFEVOFRVJWPDBMTVQQPSUGPSUIFBVUIPSJUJFTBJNUPJOUSPEVDF
SFGPSNTUIBUJODMVEFGVSUIFSUSBEFBOEJOWFTUNFOUMJCFSBMJ[BUJPODPNQMFNFOUFECZJOUFSOBM
NFBTVSFT*NQMFNFOUJOHTVDISFGPSNTSFQSFTFOUTBDIBMMFOHFUIBUXJMMSFRVJSFUIF
DPMMBCPSBUJPOPGEJWFSTFEPNFTUJDTUBLFIPMEFST4VDDFTTJOUIJTFOEFBWPVSXPVMECF
JOTUSVNFOUBMGPS.FYJDPUPBUUBJOUIFIJHIFSQSPTQFSJUZUPXIJDIJUBTQJSFT
*XPVMEMJLFUPDMPTFUIJT3FWJFXCZUIBOLJOHPODFBHBJO7JDF.JOJTUFS-FZDFHVJ
"NCBTTBEPSEF.BUFP BOEUIFSFTUPGUIF.FYJDBOEFMFHBUJPO BTXFMMBTUIFEJTDVTTBOU
BOEUIFOVNFSPVTNFNCFSTUIBUUPPLQBSUJOUIJTNFFUJOH GPSDPOUSJCVUJOHUPBOFYUSFNFMZ
WBMVBCMFSFWJFX*XPVMEBMTPMJLFUPFYQSFTTNZBQQSFDJBUJPOUPUIF.FYJDBOEFMFHBUJPO
GPSUIFNBOZSFTQPOTFTQSPWJEFEEVSJOHUIFNFFUJOH8FMPPLGPSXBSEUPSFDFJWJOHUIF
PVUTUBOEJOHSFTQPOTFTXJUIJOUIFOFYUNPOUIw

#SVOFJ%BSVTTBMBN Implementation
i5IFTFDPOE5SBEF1PMJDZ3FWJFXPG#SVOFJ%BSVTTBMBNIBTCFFOUIPSPVHIBOE
JOGPSNBUJWFBOEIBTBMMPXFENFNCFSTUPDPNFUPBCFUUFSVOEFSTUBOEJOHPG#SVOFJT
and monitoring
USBEFBOEUSBEFSFMBUFEQPMJDJFTBOEPGUIFDIBMMFOHFTJUGBDFTBTJUTFFLTUPEJWFSTJGZJUT
FDPOPNZ*UIBOL.S%BUP-JN+PDL)PJBOEIJTEFMFHBUJPO BTXFMMBTUIFEJTDVTTBOU
"NCBTTBEPS.BSJF$MBJSF4X¶SE$BQSBPG4XFEFO BOENFNCFSTPGUIF513#<5SBEF
1PMJDZ3FWJFX#PEZ>GPSDPOUSJCVUJOHUPPVSGSVJUGVMFYDIBOHFPGWJFXT5IFSFQPSUTCZ
#SVOFJBOEUIF4FDSFUBSJBU BTXFMMBTUIFEFUBJMFESFTQPOTFTPGUIFEFMFHBUJPOPG#SVOFJ
%BSVTTBMBNUPUIFNBOZRVFTUJPOTQPTFE IBWFQSPWJEFEBWBMVBCMFSFTPVSDFGPS
SFnFDUJPOBOEGPSUSBOTQBSFODZXJUIJOUIF850
#SVOFJJTBTNBMM SFMBUJWFMZPQFOFDPOPNZXIPTFQSPTQFSJUZJTCBTFEPOJUTBCVOEBOU
QFUSPMFVNBOEOBUVSBMHBTSFTPVSDFT)PXFWFS UIFQSPTQFDUPGBOFWFOUVBMEFQMFUJPOPG
UIFTFSFTPVSDFTIBTQSPNQUFEUIFHPWFSONFOUUPDPOUJOVFQVSTVJOHBOBDUJWFJOEVTUSJBM
QPMJDZUPFODPVSBHFFDPOPNJDEJWFSTJmDBUJPOQBSUJDVMBSMZUPEFWFMPQEPXOTUSFBNPJMBOE
HBTBDUJWJUJFT mOBODJBMBOECVTJOFTTTFSWJDFT IPTQJUBMJUZBOEUPVSJTN BOEMPHJTUJDT
.FNCFSTFYQSFTTFETVQQPSUGPS#SVOFJTFGGPSUTUPJNQMFNFOUJUTFDPOPNJDEJWFSTJmDBUJPO
BHFOEB/PUJOHUIBUQSPHSFTTIBTCFFOSFMBUJWFMZTMPX NFNCFSTBTLFEXIFUIFSUIF
"/%.0/*503*/(
*.1-&.&/5"5*0/
BVUIPSJUJFTBSFDPOTJEFSJOHTJHOJmDBOUQPMJDZDIBOHFTUPBDDFMFSBUFEJWFSTJmDBUJPO
2VFTUJPOTXFSFBMTPSBJTFEBCPVUPUIFSQPMJDJFTSFMBUJOHUPFNQMPZNFOU QSJDJOH
BOEmTDBMNBOBHFNFOU
.FNCFSTXFMDPNFE#SVOFJTDPNNJUNFOUUPBOPQFO SVMFTCBTFEBOEOPOEJTDSJNJOBUPSZ
USBEJOHTZTUFNXJUISFMBUJWFMZMPXBQQMJFE.'/<NPTUGBWPVSFEOBUJPO>UBSJGGTBOEOP
JNQPSURVPUBT5IFZBMTPXFMDPNFE#SVOFJTBTTVSBODFUIBUSFHJPOBMBSSBOHFNFOUT
XPVMECFDPNQMFNFOUBSZUPUIFNVMUJMBUFSBMUSBEJOHTZTUFN3FHBSEJOHUIF%%"<%PIB
%FWFMPQNFOU"HFOEB> NFNCFSTFODPVSBHFE#SVOFJUPDPOUJOVFJUTMJCFSBMJ[BUJPOFGGPSUT
UPSFEVDFUIFHBQCFUXFFOBQQMJFEBOECPVOEUBSJGGTPOJOEVTUSJBMQSPEVDUT4PNF
NFNCFSTOPUFEUIBUNPSFXPSLOFFETUPCFEPOFPOMJCFSBMJ[JOHUIFTFSWJDFTTFDUPS
BOEVSHFE#SVOFJUPNBLFBDPNQSFIFOTJWFPGGFSoJODMVEJOHPOmOBODJBMBOEUFMFDPN
TFSWJDFToJOUIF%PIB3PVOE*OUIFBHSJGPPETFDUPS TPNFNFNCFSTTPVHIUBTTVSBODFT
GSPN#SVOFJUIBUJUT)BMBMDFSUJmDBUJPOQSPHSBNNFBOEJNQPSUSFRVJSFNFOUTXJMMOPU
CFDPNFPWFSMZCVSEFOTPNFPSNPSFUSBEFSFTUSJDUJWFUIBOOFDFTTBSZ
4FWFSBMBTQFDUTPGUIFUSBEFBOEJOWFTUNFOUSFHJNFBSFDIBSBDUFSJ[FECZBMBDLPG
USBOTQBSFODZ JODMVEJOHUIFBWBJMBCJMJUZPGJOGPSNBUJPOBCPVUGPSFJHOJOWFTUNFOUQPMJDJFT
UIFQSPDVSFNFOUBOETUBUFUSBEJOHBDUJWJUJFTPGTUBUFFOUFSQSJTFT UIFUJNFMJOFTTPG850
OPUJmDBUJPOT BOEUIFDPWFSBHFPGmOBODJBMBOEFDPOPNJDTUBUJTUJDT*OSFTQPOTF UIF#SVOFJ
EFMFHBUJPOPVUMJOFETUFQTCFJOHUBLFOUPJNQSPWFUIFUSBOTQBSFODZPGHPWFSONFOUQPMJDJFT
BOESFHVMBUJPOT FTQFDJBMMZUIPTFQFSUBJOJOHUPUIFTUSFOHUIFOJOHPGJOTUJUVUJPOBMDBQBDJUZ
BOENFFUJOHUIFDIBMMFOHFPGIVNBOSFTPVSDFSFTUSBJOUT*UJTDMFBSUIBUTVDITUFQTDPVME
HPBMPOHXBZUPQSPNPUJOHBHSFBUFSBXBSFOFTTPG#SVOFJTQPMJDJFTBOEFOIBODJOHJUT
BUUSBDUJWFOFTTBTBUSBEFBOEJOWFTUNFOUQBSUOFS.FNCFSTBMTPQPJOUFEPVUUIBUBEESFTTJOH
USBOTQBSFODZJOUIFHPWFSONFOUQSPDVSFNFOUQSPDFTToJODMVEJOHNBLJOHQSPDVSFNFOU
HVJEFMJOFTBWBJMBCMFBOEBDDFTTJCMFUPBMMQPUFOUJBMTVQQMJFSTJOBUJNFMZGBTIJPOoDPVME
JNQSPWF#SVOFJTJNBHFBTBEFTUJOBUJPOGPSGPSFJHOJOWFTUNFOU(JWFOUIFJNQPSUBODFPG
HPWFSONFOUFOUJUJFTJO#SVOFJTFDPOPNZ NFNCFSTXFMDPNFEUIFOFXTUIBU#SVOFJJT
FYQMPSJOHNFNCFSTIJQJOUIF850"HSFFNFOUPO(PWFSONFOU1SPDVSFNFOU
8JUISFTQFDUUPJOUFMMFDUVBMQSPQFSUZSJHIUT #SVOFJIBTTUSFOHUIFOFEJUTMFHBMGSBNFXPSL
GPS*13<JOUFMMFDUVBMQSPQFSUZSJHIUT>QSPUFDUJPOBOEJTDPOTJEFSJOHBDDFTTJPOUPUIF8*10
<8PSME*OUFMMFDUVBM1SPQFSUZ0SHBOJ[BUJPO>5SFBUJFTPO$PQZSJHIUBOE1FSGPSNBODFTBOE
1IPOPHSBNT)PXFWFS NFNCFSTFYQSFTTFEDPODFSOBCPVU*13FOGPSDFNFOU XIJDI
OFFETUPCFNPSFFGGFDUJWFUPEJTDPVSBHFDPNNFSDJBMBDUJWJUJFTUIBUJOGSJOHFJOUFMMFDUVBM
QSPQFSUZ TVDIBTPQUJDBMEJTLQJSBDZ4PNFNFNCFSTOPUFEUIBU#SVOFJIBT UPEBUF
OPMFHJTMBUJPOPODPNQFUJUJPO BMUIPVHIJUBQQFBSTUIBUJUJTFYQMPSJOHUIFQPTTJCJMJUZPG
JOUSPEVDJOHTVDIMFHJTMBUJPOJOMJOFXJUI"1&$<"TJB1BDJmD&DPOPNJD$PPQFSBUJPO>
QSJODJQMFT#SVOFJBMTPOPUFEUIBUDPNQFUJUJPOQPMJDJFTBSFVTFEPOBTFDUPSBMCBTJT
JOUFMFDPNNVOJDBUJPOT mOBODJBMTFSWJDFT BOEUIFPJMBOEHBTJOEVTUSZ

Implementation *ODPODMVTJPO *GFFMUIBUXFTIPVMEDPOHSBUVMBUF#SVOFJ%BSVTTBMBNPONBJOUBJOJOH
BSFMBUJWFMZPQFOUSBEFBOEJOWFTUNFOUSFHJNF*UIJOLUIBUXFBSFBMMBXBSFPGDFSUBJO
and monitoring EJGmDVMUJFT#SVOFJGBDFTJOQPMJDZUSBOTQBSFODZBOEJNQMFNFOUBUJPO CVUUIFEFMFHBUJPO
NBEF#SVOFJTDPNNJUNFOUUPDPOUJOVFEUSBEFBOEFDPOPNJDSFGPSNBOEUPUIF850WFSZ
DMFBS(FOFSBMMZ *UIJOLXFBQQSFDJBUFUIBUUFDIOJDBMBTTJTUBODFJOTPNFBSFBTNJHIUFBTF
#SVOFJTJNQMFNFOUBUJPOQSPCMFNT*UIJOLXFBMTPBHSFFUIBUGVSUIFSMJCFSBMJ[BUJPOPGUIF
USBEFSFHJNF JODMVEJOHBEEJUJPOBM("54<(FOFSBM"HSFFNFOUPO5SBEFJO4FSWJDFT>
DPNNJUNFOUT DPVMEBTTJTU#SVOFJCPUIJOJUTFGGPSUTUPEJWFSTJGZJUTFDPOPNZBOEJOJUT
GVSUIFSJOUFHSBUJPOJOUPUIFNVMUJMBUFSBMTZTUFN UPUIFCFOFmUPGUIF850NFNCFSTIJQ
JOHFOFSBM8FMPPLGPSXBSEUPSFDFJWJOHBOZPVUTUBOEJOHSFTQPOTFTBTTPPOBTQPTTJCMF
*XPVMEPODFBHBJOMJLFUPUIBOLUIF#SVOFJ%BSVTTBMBNEFMFHBUJPOGPSJUTFGGPSUT UIF
EJTDVTTBOUGPSIFSJOTJHIUGVMDPNNFOUT BOENFNCFSTGPSDPOUSJCVUJOHUPXIBUIBTCFFO
BOFOMJHIUFOJOHUXPEBZTPGEJTDVTTJPOTw
.BEBHBTDBS
i5IJTTFDPOE5SBEF1PMJDZ3FWJFXPG.BEBHBTDBSIBEBMMPXFEVTUPTJHOJmDBOUMZJNQSPWF
PVSVOEFSTUBOEJOHPGJUTUSBEFBOESFMBUFEQPMJDJFT BOEUIFJSFWPMVUJPOTJODFJUTQSFWJPVT
3FWJFXJO0VSEJTDVTTJPOTIBEHSFBUMZCFOFmUFEGSPNUIFQBSUJDJQBUJPOPG
.S3B[BmNBIFGB .JOJTUFSPGUIF&DPOPNZ 5SBEFBOE*OEVTUSZ BOEIJTEFMFHBUJPO
0VSUIBOLTXFSFBMTPEVFUPPVSEJTDVTTBOU )&.S.PIBNNFE-PVMJDILJ GPSIJT
UIPVHIUGVMBOETUJNVMBUJOHDPOUSJCVUJPO BTXFMMBTUPEFMFHBUJPOTGPSUIFJSDPNNFOUT
.FNCFSTIBEDPNNFOEFE.BEBHBTDBSPOJUTJNQSFTTJWFFDPOPNJDQFSGPSNBODFTJODF
XJUIIJHISFBM(%1<HSPTTEPNFTUJDQSPEVDU>HSPXUISBUFTBOEEFDSFBTJOHJOnBUJPO
5IFZIBEFYQSFTTFEUIFIPQFUIBUDPOUJOVBUJPOPGUIJTFDPOPNJDQFSGPSNBODFXPVMEIFMQ
UPBMMFWJBUFQPWFSUZ"MFBTUEFWFMPQFEDPVOUSZ .BEBHBTDBSIBECFOFmUFEGSPNBMBSHF
SFEVDUJPOPGJUTNVMUJMBUFSBMEFCU BTXFMMBTTVCTUBOUJBMEPOPSTVQQPSU*UIBEMJCFSBMJ[FE
USBEFCZMPXFSJOHUIFTJNQMFBWFSBHFUBSJGG FMJNJOBUJOHNBOEBUPSZQSFTIJQNFOU
JOTQFDUJPOBOEPUIFSJNQPSUUBYFT BOEDVTUPNTQSPDFEVSFTIBECFFOTUSFBNMJOFE
.BEBHBTDBSTPQFOTLJFTQPMJDZIBEHSFBUMZFYQBOEFEUIFTVQQMZPGBJSUSBOTQPSUTFSWJDFT
BOEIBEIFMQFEUPSFWJUBMJ[FUPVSJTN.BEBHBTDBSQBSUJDJQBUFEJOSFHJPOBMJOUFHSBUJPO
UISPVHIJUTNFNCFSTIJQPGUIF$0.&4"<$PNNPO.BSLFUGPS&BTUFSOBOE4PVUIFSO
"GSJDB>BOE4"%$<4PVUIFSO"GSJDBO%FWFMPQNFOU$PNNVOJUZ> FOKPZFEQSFGFSFOUJBM
BDDFTTUPUIF&$<&VSPQFBO$PNNVOJUJFT>NBSLFUVOEFSUIF&#"<A&WFSZUIJOH#VU"SNT>
*OJUJBUJWFBOEUIF$PUPOPV"HSFFNFOU BOEUPUIFNBSLFUTPGPUIFSUSBEJOHQBSUOFST
JODMVEJOHUIF6OJUFE4UBUFTVOEFSUIF<"GSJDBO(SPXUIBOE0QQPSUVOJUZ"DU>"(0"T-%$
<MFBTUEFWFMPQFEDPVOUSZ>QSPWJTJPOT.BEBHBTDBSXBTmOBMJ[JOHJUTOFHPUJBUJPOTPOBO
&DPOPNJD1BSUOFSTIJQ"HSFFNFOUXJUIUIF&$
.FNCFSTIBEFODPVSBHFE.BEBHBTDBSUPJNQSPWFUIFUSBOTQBSFODZPGJUTUSBEFSFHJNF
BOESFMBUFEQPMJDJFTCZNBLJOHLFZOPUJmDBUJPOTPO JOUFSBMJB DVTUPNTWBMVBUJPO MJDFOTJOH
QSPDFEVSFT BOEPOSFTUSJDUJPOTNBJOUBJOFEPO414<TBOJUBSZBOEQIZUPTBOJUBSZ>HSPVOET
PSCFDBVTFPG5#5<UFDIOJDBMCBSSJFSTUPUSBEF>5IFZIBEVSHFE.BEBHBTDBSUPDPNQMZ
XJUIUIFOBUJPOBMUSFBUNFOUQSJODJQMFXJUISFTQFDUUPFYDJTFEVUZPOUPCBDDPQSPEVDUTBOE
BMDPIPMJDCFWFSBHFT BOEUPGVMMZBMJHOJUTJOUFMMFDUVBMQSPQFSUZSJHIUTSFHJNFXJUIUIF
SFMFWBOU850QSPWJTJPOT5IFUBYSFHJNFDPVMECFJNQSPWFEJGBEIPDFYFNQUJPOTXFSF
MJNJUFE.BEBHBTDBSXBTFODPVSBHFEUPJNQMFNFOUJUTOFXDPNQFUJUJPOSFHJNFGVMMZBOE
UPCFDPNFBOPCTFSWFSBUUIF850$PNNJUUFFPO(PWFSONFOU1SPDVSFNFOU
.FNCFSTIBEFORVJSFEBCPVUQMBOTUPSFTUSVDUVSFUIFTUBUFPXOFEFOUFSQSJTFJOUIF
FOFSHZTFDUPSXJUIBWJFXUPBUUSBDUJOHJOWFTUNFOUCZJOEFQFOEFOUQSPEVDFST.BEBHBTDBS
IBECFFOBTLFEUPDMBSJGZUIFTUBUFPGJUTmTIFSJFTSFTPVSDFTBOEUIFNFBTVSFTCFJOH
UBLFOUPNBOBHFUIFNPOBTVTUBJOBCMFCBTJT'VSUIFSJOGPSNBUJPOIBECFFOTPVHIUPO
UIFJOWFTUNFOUSFHJNF BOEPOUPVSJTNTFSWJDFT0UIFSJTTVFTPGJOUFSFTUUPNFNCFST
IBEJODMVEFEUIFSFHJNFTGPSCVTJOFTTSFMBUFEQSPGFTTJPOBMTFSWJDFTBOEFYQSFTT
QPTUBMTFSWJDFTQMBOTGPSFYQBOEJOHSJDFQSPEVDUJPOBOEFYQPSUTBOEQPMJDJFTVOEFS
DPOTJEFSBUJPOUPTVTUBJOFYQPSUTBOESFEVDFUIFUSBEFEFmDJU
.FNCFSTIBEBQQSFDJBUFEUIFSFTQPOTFTQSPWJEFECZUIFEFMFHBUJPOPG.BEBHBTDBS
BOEMPPLFEGPSXBSEUPSFDFJWJOHXSJUUFOBOTXFSTUPBOZPVUTUBOEJOHRVFTUJPOT

*ODPODMVTJPO NFNCFSTIBEDPNNFOEFE.BEBHBTDBSPOJUTQBSUJDJQBUJPOJOUIF Implementation
NVMUJMBUFSBMUSBEJOHTZTUFN5IFZIBEDPOHSBUVMBUFEJUPOJUTDPNNJUNFOUUPUSBEFSFGPSN
BOEFODPVSBHFEJUUPUBLFGVSUIFSTUFQTUPFOIBODFUIFUSBOTQBSFODZBOEQSFEJDUBCJMJUZ
and monitoring
PGJUTUSBEFSFHJNF BOEUPBEIFSFNPSFDMPTFMZUP850QSJODJQMFT.FNCFSTIBEVSHFE
.BEBHBTDBSUPJNQSPWFJUTNVMUJMBUFSBMDPNNJUNFOUTPOHPPETBOETFSWJDFT OPUBCMZCZ
FYQBOEJOHUIFJSTDPQFUPNPSFOPOBHSJDVMUVSBMHPPETBOEUPUFMFDPNNVOJDBUJPOTBOE
NBSJUJNFUSBOTQPSUTFSWJDFT BTXFMMBTCZMPXFSJOHCPVOESBUFT.FNCFSTDPVMEIFMQ
CZLFFQJOHUIFJSNBSLFUTPQFOUPQSPEVDUTBOETFSWJDFTPGJOUFSFTUUP.BEBHBTDBS
BOECZQSPWJEJOHUFDIOJDBMBTTJTUBODFw
.BVSJUJVT
i5IJTUIJSE5SBEF1PMJDZ3FWJFXPG.BVSJUJVTIBTHJWFOVTBOPQQPSUVOJUZUPDPOTJEFSBCMZ
JNQSPWFPVSVOEFSTUBOEJOHPGJUTUSBEFBOESFMBUFEQPMJDJFT BOEUIFJSFWPMVUJPOTJODFJUT
QSFWJPVT3FWJFXJO0VSEJTDVTTJPOTIBWFHSFBUMZCFOFmUFEGSPNUIFQBSUJDJQBUJPO
PG.S"OBOE1SJZB/FFXPPS 4FDSFUBSZGPS'PSFJHO"GGBJST BOEIJTEFMFHBUJPO*XPVME
BMTPMJLFUPUIBOLPVSEJTDVTTBOU .S)FOOJOH4UJS GPSIJTUIPVHIUQSPWPLJOHDPOUSJCVUJPO
}
BOEEFMFHBUJPOTGPSUIFJSUIPVHIUGVMJOUFSWFOUJPOT
"/%.0/*503*/(
*.1-&.&/5"5*0/
.FNCFSTDPNNFOEFE.BVSJUJVTPOJUTSFGPSNTUIBUIBWF TJODF SFTVMUFEJOUIF
SFDPWFSZPGJUTFDPOPNZ.BVSJUJVTIBTUBLFOTUFQTUPMJCFSBMJ[FUSBEFCZTJHOJmDBOUMZ 850NFNCFSTFODPVSBHFE.BVSJUJVTUPGVSUIFS
JODSFBTJOHUIFOVNCFSPGEVUZGSFFJNQPSUJUFNT BOEUIFSFGPSFSFEVDJOHUIFTJNQMF JNQSPWFUIFUSBOTQBSFODZPGJUTUSBEFSFHJNF
BWFSBHFUBSJGG*UIBTBMTPFMJNJOBUFEUIFEJTDSJNJOBUJPOJOUIFJNQMFNFOUBUJPOPGUBSJGGTBOE OPUBCMZJOBHSJDVMUVSF
PUIFSEVUJFTCBTFEPOUIFTPVSDFTPGJNQPSUT$VTUPNTQSPDFEVSFTIBWFCFFOTJNQMJmFE
UISPVHIUIFJOUSPEVDUJPOPGBDIBOOFMTZTUFNJO*OBEEJUJPO .BVSJUJVTIBTSFGPSNFE
JUTJOWFTUNFOUSFHJNFCZFMJNJOBUJOHNPTUPGJUTJODFOUJWFTDIFNFTBOENPWJOHUPXBSEB
NPSFHFOFSBMSFHJNF CBTFEPOMPXUBYFTBOEQSPNPUJPOPGUBSHFUFEQSPKFDUT3FGFSSJOH
UP.BVSJUJVTQMBOTUPCFDPNFBEVUZGSFFJTMBOE NFNCFSTTPVHIUJOGPSNBUJPOBCPVUUIF
XBZUIJTXPVMECFSFDPODJMFEXJUIJUTQBSUJDJQBUJPOJOSFHJPOBMBHSFFNFOUTBJNJOHBU
DVTUPNTVOJPOT
.FNCFSTFODPVSBHFE.BVSJUJVTUPGVSUIFSJNQSPWFUIFUSBOTQBSFODZPGJUTUSBEFSFHJNFCZ
NBLJOHLFZOPUJmDBUJPOT OPUBCMZJOBHSJDVMUVSF5IFSFHJNFXPVMEBMTPHBJOJOQSFEJDUBCJMJUZ
JGUIFTDPQFPGUBSJGGCJOEJOHXFSFFYUFOEFE UIFHBQTCFUXFFOBQQMJFEBOECPVOESBUFT
SFEVDFE BOEUIFFYJTUJOHTFSWJDFTDPNNJUNFOUTFOIBODFEUPNBLFUIFNCFUUFSSFnFDU
UIFBDUVBMNPSFMJCFSBMTFSWJDFTTFDUPS&MJNJOBUJPOPGOPOUBSJGGCBSSJFSTXPVMEJNQSPWFUIF
USBOTQBSFODZPG.BVSJUJVTUSBEFSFHJNF.FNCFSTVSHFE.BVSJUJVTUPCSJOHPUIFSEVUJFTPO
UFBJNQPSUTUPUIFJSCPVOEMFWFM.BVSJUJVTXBTBMTPFODPVSBHFEUPBDDFMFSBUFUIFMFHJTMBUJWF
QSPDFTT OPUBCMZJOUIFBSFBTPGDPNQFUJUJPOBOEJOUFMMFDUVBMQSPQFSUZSJHIUT BOEUPCFDPNF
BOPCTFSWFSUPUIF1MVSJMBUFSBM"HSFFNFOUPO1VCMJD1SPDVSFNFOU
$MBSJmDBUJPOXBTTPVHIUPOUIFJOWFTUNFOUSFHJNFGPSGPSFJHOFSTJOUPVSJTNTFSWJDFT
0UIFSJTTVFTPGJOUFSFTUUPNFNCFSTJODMVEFEHPWFSONFOUJOUFSWFOUJPOJOUIFFDPOPNZ
JODSFBTJOHVTFPGTQFDJmDUBSJGGTQPMJDZBOEQFSTQFDUJWFTGPSUIFUFYUJMFBOEBQQBSFM
JOEVTUSZMFHJTMBUJPOPOQSPGFTTJPOBMTFSWJDFTFOFSHZBOE"JEGPS5SBEFOFFET
.FNCFSTBQQSFDJBUFEUIFSFTQPOTFTQSPWJEFECZUIFEFMFHBUJPOPG.BVSJUJVT
*ODPODMVTJPO NFNCFSTXFSFBQQSFDJBUJWFPG.BVSJUJVTUSBEFSFGPSNTBOEPGJUTBDUJWF
QBSUJDJQBUJPOJOUIFNVMUJMBUFSBMUSBEJOHTZTUFN5IFZVSHFE.BVSJUJVTUPQVSTVFJUTSFGPSNT
BOEUBLFGVSUIFSTUFQTUPFOIBODFUIFQSFEJDUBCJMJUZPGJUTUSBEFSFHJNF NBJOMZUISPVHI
UIFFYUFOTJPOBOEJNQSPWFNFOUPGJUTNVMUJMBUFSBMCJOEJOHDPNNJUNFOUTPOHPPETBOE
TFSWJDFT.FNCFSTDPVMEIFMQ.BVSJUJVTJOJUTBEKVTUNFOUFGGPSUT JODMVEJOHUIFEJTNBOUMJOH
PGJUTDBQBDJUZDPOTUSBJOUT CZQSPWJEJOHBTTJTUBODFUISPVHIUIF"JEGPS5SBEFGSBNFXPSL
BDPODFQU.BVSJUJVTBDUJWFMZIFMQFEUPEFWFMPQw

Implementation $IJOB
i5IJTTFDPOE5SBEF1PMJDZ3FWJFXPGUIF1FPQMFT3FQVCMJDPG$IJOBIBTQSPWJEFEBO
and monitoring FYDFMMFOUPQQPSUVOJUZUPJNQSPWFUSBOTQBSFODZ BOEUIFSFCZPCUBJOBCFUUFSVOEFSTUBOEJOH
PG$IJOBTUSBEFBOESFMBUFEQPMJDJFT*UIBOL"TTJTUBOU.JOJTUFS2JV)POHBOEIFS
EFMFHBUJPOUPHFUIFSXJUIUIFEJTDVTTBOU "NCBTTBEPS/PPS:BDPCPG.BMBZTJB BOE
.FNCFSTPGUIF5SBEF1PMJDZ3FWJFX#PEZGPSDPOUSJCVUJOHUPPVSFYDIBOHFPGWJFXT
$IJOBTSFTQPOTFUPBMBSHFOVNCFSPGRVFTUJPOTJTBMTPNVDIBQQSFDJBUFE*KPJONFNCFST
JOFYUFOEJOHTZNQBUIJFTUPUIFWJDUJNTBOEUIPTFTVGGFSJOHBTBSFTVMUPGUIFSFDFOU
FBSUIRVBLFJOUIF4JDIVBOQSPWJODFPG$IJOB
.FNCFSTDPNQMJNFOUFE$IJOBPOJUTTUSPOHBUUBDINFOUUPUIF850BOEJUTTVQQPSUGPS
UIF%PIB%FWFMPQNFOU"HFOEB.BOZNFNCFSTBMTPFYQSFTTFEUIFJSBQQSFDJBUJPOPG
$IJOBTBTTJTUBODFUP-%$T0O$IJOBTCJMBUFSBMSFHJPOBMUSBEJOHBHSFFNFOUT 35"T

XIJDIJUSFHBSETBTBOFDFTTBSZTVQQMFNFOUUPNVMUJMBUFSBMUSBEFMJCFSBMJ[BUJPO NFNCFST
IPQFEUIBUUIFZXPVMEOPUEJNJOJTI$IJOBTDPNNJUNFOUUPUIFNVMUJMBUFSBMUSBEJOHTZTUFN
.FNCFSTDPNNFOEFE$IJOBTDPOUJOVJOHSFGPSNT JODMVEJOHUSBEFMJCFSBMJ[BUJPO XIJDI

IBEDPOUSJCVUFEUPSFBMFDPOPNJDHSPXUIPGPWFSQFSDFOUBOOVBMMZTJODFJUTQSFWJPVT
3FWJFX SFTVMUJOHJOSBQJEMZSJTJOHQFSDBQJUBJODPNFBOEQPWFSUZSFEVDUJPO.BOZ
NFNCFSTOPUFEUIBU$IJOBTHSPXUIQSPWJEFEBOJNQSFTTJWFFYBNQMFPGIPXBDPVOUSZ
DBOGPTUFSEFWFMPQNFOU$IJOBIBTBMTPDPOUJOVFEUPCFPOFPGUIFMBSHFTUSFDJQJFOUTPG
JOXBSEGPSFJHOEJSFDUJOWFTUNFOU$MFBSMZ UIFNVMUJMBUFSBMUSBEJOHTZTUFN PGXIJDI$IJOB
IBTCFFOBNFNCFSGPSNPSFUIBOTJYZFBST IBTBMTPDPOUSJCVUFEUP$IJOBTFDPOPNJD
HSPXUI CZLFFQJOHGPSFJHONBSLFUTPQFOUP$IJOBTFYQPSUT/FWFSUIFMFTT $IJOBGBDFT
BOVNCFSPGDIBMMFOHFT5IFTFJODMVEFUIFOFFEUPTUJNVMBUFEPNFTUJDDPOTVNQUJPO
XJUIPVUGPTUFSJOHJOnBUJPO HSPXJOHJODPNFJOFRVBMJUZCFUXFFOVSCBOBOESVSBMBSFBT
VOFRVBMHSPXUIJOEJGGFSFOUTFDUPSTPGUIFFDPOPNZ BOETPDJBMXFMGBSFBOEFOWJSPONFOUBM
DPODFSOT4PNFNFNCFSTDBMMFEGPSBHSFBUFSnFYJCJMJUZJO$IJOBTNPOFUBSZFYDIBOHF
SBUFQPMJDZ XIJDIXPVMECFGBDJMJUBUFECZBNPSFTNPPUIGVODUJPOJOHDBQJUBMNBSLFU
.FNCFSTSFNBSLFEPOUIFGBDUUIBUBMM$IJOBTUBSJGGMJOFTBSFCPVOE BOEUIBUUIF
SFMBUJWFMZMPXBQQMJFE.'/<NPTUGBWPVSFEOBUJPO>SBUFTBSFDMPTFUPCPVOE.'/SBUFT
UIFSFCZJNQBSUJOHBIJHIEFHSFFPGQSFEJDUBCJMJUZUPJUTUBSJGGSFHJNF/POFUIFMFTT
NFNCFSTXFSFDPODFSOFEBCPVUSFNBJOJOHSFHVMBUPSZBOEPUIFSCBSSJFSTUPUSBEFBOE
JOWFTUNFOU FTQFDJBMMZDVTUPNTQSPDFEVSFT JNQPSUSFTUSJDUJPOT BOUJEVNQJOHNFBTVSFT
TUBOEBSET UFDIOJDBMSFHVMBUJPOT BOE414<TBOJUBSZBOEQIZUPTBOJUBSZNFBTVSFT> BOE
SFTUSJDUJPOTPOGPSFJHOJOWFTUNFOU$PODFSOTXFSFBMTPSBJTFEPO$IJOBTFYQPSUSFHJNF
XIJDIIBECFDPNFNPSFSFTUSJDUJWF BOEDPVMEQPUFOUJBMMZEJTUPSUQSPEVDUNBSLFUT
.FNCFSTBQQSFDJBUFE$IJOBTFGGPSUTUPFOIBODFUSBOTQBSFODZ CVUTPNFBTQFDUTPG
$IJOBTQPMJDZSFHJNF JODMVEJOHTUBOEBSETBOEEPNFTUJDSFHVMBUJPOT SFNBJOFEDPNQMFY
BOEPQBRVFNFNCFSTMPPLFEGPSXBSEUPJNQSPWFNFOUTJOUIJTSFHBSE.BOZNFNCFST
XFMDPNFE$IJOBTBQQMJDBUJPOUPKPJOUIF"HSFFNFOUPO(PWFSONFOU1SPDVSFNFOU
JO%FDFNCFS
.FNCFSTXFMDPNFE$IJOBTNPWFUPXBSETBEPQUJOHOFXDPNQFUJUJPOBOEQSPQFSUZ
SJHIUTMFHJTMBUJPO)PXFWFS NFNCFSTFYQSFTTFEDPODFSOUIBUJOEVTUSJBMQPMJDJFTFOUBJMJOH
HPWFSONFOUJOUFSWFOUJPOXFSFTUJMMVTFEJODFSUBJOTFDUPST QBSUJDVMBSMZNBOVGBDUVSJOH
JODMVEJOHJSPOBOETUFFM.BOZNFNCFSTUIPVHIUUIBU EFTQJUF$IJOBTDPOUJOVFEFGGPSUT
UIFFOGPSDFNFOUPGJOUFMMFDUVBMQSPQFSUZSJHIUTSFNBJOFEJOTVGmDJFOU QBSUMZEVFUPUIF
MBDLPGBQQSPQSJBUFJOGSBTUSVDUVSFBOEJOTVGmDJFOUNBOQPXFS5IFZVSHFE$IJOBUP
DPOUJOVFUPBEESFTTUIJTNBUUFS
"HSJDVMUVSBMSFGPSNXBTDPNNFOEFECZNFNCFST BMUIPVHITPNFXFSFDPODFSOFEBCPVU
UBSJGGBOEOPOUBSJGGCBSSJFSTBOEUIFSFJOUSPEVDUJPOPGQSJDFDPOUSPMTPOTPNFBHSJDVMUVSBM
QSPEVDUT.FNCFSTOPUFEUIBU JO$IJOB MBCPVSQSPEVDUJWJUZJOBHSJDVMUVSFJTPOFmGUIPG
UIBUJOUIFSFTUPGUIFFDPOPNZ.FNCFSTDBMMFEGPSNPSFNBSLFUPSJFOUFEFOFSHZQSJDJOH

0OTFSWJDFT NBOZNFNCFSTOPUFEUIBUDPNNJUNFOUTVOEFSUBLFOCZ$IJOBBSFNPSF Implementation
FYUFOTJWFUIBOUIPTFPGNPTUPUIFSEFWFMPQJOHDPVOUSJFT)PXFWFS MJCFSBMJ[BUJPOJO
TFSWJDFTIBTCFFOTMPXFSUIBOJOPUIFSBSFBTBOENPTUTFSWJDFTFDUPSTSFNBJOTVCKFDU
and monitoring
UPCPUIBIJHIEFHSFFPGTUBUFDPOUSPMBOETJHOJmDBOUSFTUSJDUJPOTPOGPSFJHOJOWFTUNFOU
BOEQSJWBUFTFDUPSBDUJWJUJFT.FNCFSTFODPVSBHFE$IJOBUPDPOUJOVFUPBDDFMFSBUFJUT
MJCFSBMJ[BUJPOPGTFSWJDFT
8JUI$IJOBOPXUIFXPSMETUIJSEMBSHFTUFDPOPNZBOEUSBEFS NFNCFSTMPPLFEUP$IJOB
UPBTTVNFHSFBUFSMFBEFSTIJQJOTIBQJOHUIFNVMUJMBUFSBMUSBEJOHTZTUFN.FNCFSTVSHFE
$IJOBUPDPOUJOVFJUTBDUJWFQBSUJDJQBUJPOJOUIFDVSSFOUOFHPUJBUJPOTBOEUPDPOUJOVFUP
XPSLUPXBSETBTVDDFTTGVMDPODMVTJPOPGUIF%PIB%FWFMPQNFOU"HFOEB
5IJT3FWJFXIBTCFFOWFSZVTFGVMJOQSPWJEJOHVTXJUIBOVQEBUFPG$IJOBTUSBEFQPMJDJFT
BOEQSBDUJDFT*XPVMEPODFBHBJOMJLFUPUIBOLUIF$IJOFTFEFMFHBUJPOGPSUIFJSFGGPSUT
UIFEJTDVTTBOUGPSIJTJOTJHIUGVMBOEUIPVHIUGVMDPNNFOUT BOENFNCFSTGPSDPOUSJCVUJOH
UPXIBUIBTCFFOBWFSZFYUFOTJWFBOEJOGPSNBUJWFUXPEBZTPGEJTDVTTJPOT8FMPPL
GPSXBSEUPSFDFJWJOHSFTQPOTFTUPUIFSFNBJOJOHRVFTUJPOTXJUIJOUIFOFYUNPOUIw
"/%.0/*503*/(
*.1-&.&/5"5*0/
6OJUFE4UBUFT
i5IJTOJOUI5SBEF1PMJDZ3FWJFXPGUIF6OJUFE4UBUFTIBTBMMPXFEVTUPIPMEBGSBOL
EJTDVTTJPOPO64USBEFQPMJDJFTBOEQSBDUJDFT GPDVTJOHPODIBOHFTTJODFUIFMBTU64
SFWJFX JO.BSDI5IFEJTDVTTJPOTIBWFCFOFmUFEGSPNUIFGVMMFOHBHFNFOUPGUIF
64EFMFHBUJPO MFECZ"NCBTTBEPS"MMHFJFS GSPNUIFDPOTUSVDUJWFDPOUSJCVUJPOTCZUIF
EJTDVTTBOU "NCBTTBEPS6SJCF BOEGSPNUIFDPNNFOUTCZNFNCFST
.FNCFSTOPUFEUIBUUIF6OJUFE4UBUFTJTUIFXPSMETMBSHFTUFDPOPNZBOEUSBEFS BOE
SFDPHOJ[FEUIFFGmDJFODZUIBUDIBSBDUFSJ[FTJU)PXFWFS UIFZXFSFDPODFSOFEBCPVUUIF
TMPXEPXOPG64FDPOPNJDBDUJWJUZ5IF6OJUFE4UBUFTJOEJDBUFEUIBUFYQPSUTIBEIFMQFE 5IF6OJUFE4UBUFTJOEJDBUFEUIBUFYQPSUTIBE
NJUJHBUFUIFTMPXEPXO BOEUIBUUIFTUJNVMVTQBDLBHFBEPQUFEJOXPVMELFFQUIF IFMQFENJUJHBUFUIFFDPOPNJDTMPXEPXOBOE
FDPOPNZHSPXJOHGPSUIFOFYUGFXRVBSUFST XJUIHSPXUIBDDFMFSBUJOHUPXBSETUIFFOE UIBUUIFTUJNVMVTQBDLBHFBEPQUFEJO
PG XPVMELFFQUIFFDPOPNZHSPXJOH
.FNCFSTXFMDPNFEUIF6OJUFE4UBUFTSFBGmSNBUJPOUIBUUIFNVMUJMBUFSBMUSBEJOHTZTUFN
SFNBJOTBUUIFDPSFPGJUTUSBEFQPMJDZ$POUJOVFE64MFBEFSTIJQXBTTFFOBTLFZUP
FOTVSJOHBTVDDFTTGVMPVUDPNFUPUIF%%"<%PIB%FWFMPQNFOU"HFOEB>OFHPUJBUJPOT
XJUIUIF64EFMFHBUJPOTUSFTTJOHUIFCSPBETVQQPSUJOUIF64$POHSFTTGPSBOBNCJUJPVT
SFTVMUGSPNUIFOFHPUJBUJPOT8IJMFOPUJOHUIBU JOHFOFSBM UIF6OJUFE4UBUFTIBTDPNQMJFE
XJUI850OPUJmDBUJPOPCMJHBUJPOTBOE%4#<%JTQVUF4FUUMFNFOU#PEZ>SVMJOHT NFNCFST
TUSFTTFEUIBUTPNFOPUJmDBUJPOTXFSFMBHHJOHBOEUIFGVMMJNQMFNFOUBUJPOPGDFSUBJO
SVMJOHTSFNBJOFEQFOEJOH.FNCFSTBMTPSFGFSSFEUPWBSJPVTBTQFDUTPG64QSFGFSFOUJBM
USBEFJOJUJBUJWFT BOEFYQSFTTFEBQQSFDJBUJPOGPSJUTDPOUSJCVUJPOUP"JEGPS5SBEF
.FNCFSTSFDPHOJ[FEUIFPWFSBMMPQFOOFTTPGUIF64USBEFSFHJNF CVUXFSFDPODFSOFE
BCPVUUBSJGGQFBLTBOEPUIFSTQFDJmDUSBEFSFMBUFENFBTVSFT5IFZDPOTJEFSFEDFSUBJO
UFDIOJDBMSFHVMBUJPOTBOE414<TBOJUBSZBOEQIZUPTBOJUBSZ>NFBTVSFTUPCFVOEVMZUSBEF
SFTUSJDUJWF.FNCFSTBMTPOPUFEUIFQFSTJTUFODFPGTPNFNBSLFUBDDFTTSFTUSJDUJPOTJO
HPWFSONFOUQSPDVSFNFOU5IF6OJUFE4UBUFTSFQMJFEUPBMBSHFOVNCFSPGRVFTUJPOT
QPTFECZNFNCFSTDPODFSOJOHJUT*13<JOUFMMFDUVBMQSPQFSUZSJHIUT>SFHJNF
5IFVTFPGBOUJEVNQJOHNFBTVSFTCZUIF6OJUFE4UBUFTHBWFSJTFUPDPODFSO FTQFDJBMMZ
XJUISFTQFDUUPUIFJODSFBTFJOJOWFTUJHBUJPOJOJUJBUJPOTJO UIFMFOHUIZEVSBUJPOPG
NFBTVSFT DPOUJOVFEEJTCVSTFNFOUTVOEFSUIFSFQFBMFE#ZSE"NFOENFOU BOE
NFUIPEPMPHJDBMBTQFDUTPGJOWFTUJHBUJPOTJODMVEJOHA[FSPJOH

Implementation .FNCFSTBMTPFYQSFTTFEDPODFSOBUUIFSFDFOUMZBEPQUFE'BSN#JMM DPOTJEFSJOH
JUBNJTTFEPQQPSUVOJUZUPJNQSPWFUIFNBSLFUPSJFOUBUJPOPGUIF64BHSJDVMUVSBMTFDUPS
and monitoring 5IFZOPUFEUIFOFXCJMMTQPUFOUJBMGPSJODSFBTJOHUSBEFEJTUPSUJOHTVQQPSU BOERVFTUJPOFE
JUTDPNQBUJCJMJUZXJUIUIFHPBMTPGUIF%%"5IF64BVUIPSJUJFTOPUFEUIBUUIFJNQMFNFOUJOH
SFHVMBUJPOTGPSUIF'BSN#JMMBSFZFUUPCFJTTVFEBOEUIBUBOZOFX64DPNNJUNFOUT
NBEFJOUIF%%"DPOUFYUXJMMCFUIFTVCKFDUPGGVSUIFSJNQMFNFOUJOHMFHJTMBUJPO4FWFSBM
NFNCFSTVSHFEUIF6OJUFE4UBUFTUPSFDPOTJEFSJUTBTTJTUBODFUPCJPGVFMTJOUIFDPOUFYUPG
SJTJOHGPPEQSJDFT5IF6OJUFE4UBUFTSFQMJFEUIBUJUTJODSFBTFEDPOWFSTJPOPGDFSFBMTJOUP
CJPGVFMTJTPOMZPOFPGTFWFSBMGBDUPSTDPOUSJCVUJOHUPIJHIFSQSJDFTGPSTVDIDPNNPEJUJFT
#PSEFSNFBTVSFTBOETFDVSJUZXFSFBOPUIFSNBKPSUIFNFPGUIJT3FWJFX8IJMFNFNCFST
FYQSFTTFEVOEFSTUBOEJOHPG64FGGPSUTUPFOIBODFTFDVSJUZ NBOZJOEJDBUFEUIBU
NFBTVSFT MJLFUIFQFSDFOUTDBOOJOHSFRVJSFNFOU JNQPTFBEEJUJPOBMDPTUTPO
JOUFSOBUJPOBMUSBEF5IFSFGPSF UIFZFODPVSBHFEUIF6OJUFE4UBUFTUPFOTVSFUIBUTFDVSJUZ
SFMBUFEJOJUJBUJWFTBSFUIFMFBTUUSBEFSFTUSJDUJWFQPTTJCMF4PNFNFNCFSTBMTPOPUFEUIBU
SFDFOUMFHJTMBUJWFSFGPSNTUPUIFSFWJFXQSPDFTTPGUIFOBUJPOBMTFDVSJUZJNQMJDBUJPOTPG
'%*<GPSFJHOEJSFDUJOWFTUNFOU>NBZDSFBUFVODFSUBJOUZGPSGPSFJHOJOWFTUPST
0OTFSWJDFT NFNCFSTOPUFEJOQBSUJDVMBSUIFJSDPODFSOXJUISFTQFDUUPUIF+POFT"DUJO
NBSJUJNFUSBOTQPSU GPSFJHOPXOFSTIJQDBQTJOBJSUSBOTQPSU UIFMBDLPGBVOJmFEJOTVSBODF
NBSLFU BOESFTUSJDUJPOTPO<("54>NPEF<NPWFNFOUPGOBUVSBMQFSTPOT>TFSWJDFTTVQQMZ
*XPVMEMJLFUPDPODMVEFCZOPUJOHUIBUUIJT3FWJFXIBTUBLFOQMBDFBUBQBSUJDVMBSMZ
DIBMMFOHJOHUJNFGPSUIFNVMUJMBUFSBMUSBEJOHTZTUFNBOEUIFXPSMEFDPOPNZ.FNCFST
SFDPHOJ[FEUIBUUIF6OJUFE4UBUFTNBJOUBJOTBMBSHFMZPQFOUSBEFSFHJNFCVUBMTP
FYQSFTTFEDPODFSOBCPVUBOVNCFSPGTQFDJmDNFBTVSFTBOEQPMJDJFT*OUIJTSFHBSE
JUJTNZVOEFSTUBOEJOHUIBUNFNCFSTXFSFSFBTTVSFECZUIF6OJUFE4UBUFTTUBUJOHUIBUJU
SFNBJOTmSNJOJUTCFMJFGJOUIFWBMVFPGPQFONBSLFUTBOEUIF850 BOEUIBUBTVDDFTTGVM
%%"PVUDPNFJTJUTUPQUSBEFOFHPUJBUJOHQSJPSJUZ5IFMBUUFSJTPGVUNPTUJNQPSUBODF
CFDBVTFTUSFOHUIFOJOHUIFNVMUJMBUFSBMUSBEJOHTZTUFNXPVMECFUPUIFCFOFmUPGUIF
64BOEXPSMEFDPOPNJFTBMJLF
*ODMPTJOH*XPVMEMJLFUPUIBOLPODFBHBJOUIF6OJUFE4UBUFTEFMFHBUJPOGPSUIFPSBMBOE
XSJUUFOSFTQPOTFTQSPWJEFEEVSJOHUIFNFFUJOHXFBMMMPPLGPSXBSEUPSFDFJWJOHBOTXFST
UPUIFSFNBJOJOHRVFTUJPOTXJUIJOPOFNPOUI
5IJTDPODMVEFTUIFOJOUI5SBEF1PMJDZ3FWJFXPGUIF6OJUFE4UBUFT)PXFWFS CFGPSF
*BEKPVSOUIFNFFUJOH *XJTI POBQFSTPOBMOPUF UPNFOUJPOUIBU.S%BWJE8BMUFST JO
DIBSHFPGFDPOPNJDBGGBJSTJO6453<6OJUFE4UBUFT5SBEF3FQSFTFOUBUJWF> IBTCFFOQBSU
PGUIF64FGGPSUJOFBDIPGJUTOJOF3FWJFXT5IJTJTIJTMBTU3FWJFX5IBOLZPV.S8BMUFST
GPSBMMZPVSXPSLoXFBMMXJTIZPVXFMM*BMTPUIBOLUIFJOUFSQSFUFSTGPSUIFJSIBSEXPSLw
0NBO
i5IJTmSTU5SBEF1PMJDZ3FWJFXPGUIF4VMUBOBUFPG0NBOIBTHJWFOVTBCFUUFS
VOEFSTUBOEJOHPGJUTUSBEFBOESFMBUFEQPMJDJFT BOEPGUIFDIBMMFOHFTJUGBDFT0VS
EJTDVTTJPOTIBWFHSFBUMZCFOFmUFEGSPNUIFGVMMBOEPQFOFOHBHFNFOUPGUIFIJHIMFWFM
0NBOJEFMFHBUJPOMFECZ)&.S.BRCPPM"MJ4VMUBO .JOJTUFSPG$PNNFSDFBOE*OEVTUSZ
BTXFMMBTUIFJOTJHIUGVMDPNNFOUTCZUIFEJTDVTTBOU BOEUIFUIPVHIUGVMJOUFSWFOUJPOT
CZNBOZEFMFHBUJPOT
.FNCFSTDPNNFOEFE0NBOPOJUTJNQSFTTJWFFDPOPNJDQFSGPSNBODFPWFSUIFQBTUGFX
ZFBST XJUIIJHISFBM(%1<HSPTTEPNFTUJDQSPEVDU>HSPXUI MPXJOnBUJPO BOETVSQMVTFTJOJUT
PWFSBMMmTDBMQPTJUJPOBOEJUTFYUFSOBMDVSSFOUBDDPVOU5IJTXBTBSFTVMUPGJUTMJCFSBMUSBEF
SFHJNF JUTNBDSPFDPOPNJDSFGPSNTBOEEFWFMPQNFOUTUSBUFHZJNQMFNFOUFETJODFUIFNJE
T BOEIJHIPJMBOEOBUVSBMHBTFYQPSUFBSOJOHTBTGSPNNJE.FNCFSTBMTP
BQQSFDJBUFE0NBOTFGGPSUTUPEJWFSTJGZJUTFDPOPNZBXBZGSPNDSVEFPJM BOEGPSFOTVSJOH
JOUFSHFOFSBUJPOBMFRVJUZJOUIFFYQMPJUBUJPOPGJUTOPOSFOFXBCMFSFTPVSDFT UISPVHIUIF
JNQSPWFNFOUPGFEVDBUJPOBOEIFBMUITFSWJDFT BOENPEFSOJ[BUJPOPGJUTJOGSBTUSVDUVSF
%FMFHBUJPOTBMTPQSBJTFE0NBOGPSUIFTUFQTUBLFOUPJNQSPWFJUTJOWFTUNFOUDMJNBUF
CVUVSHFEJUUPSFNPWFUIFSFNBJOJOHQSPIJCJUJPOTPOGPSFJHOPXOFSTIJQ

.FNCFSTXFMDPNFE0NBOTDPNNJUNFOUUPUIF850 JODMVEJOHUIF%%"<%PIB Implementation
%FWFMPQNFOU"HFOEB>OFHPUJBUJPOT BOEFODPVSBHFEJUUPGVMMZNFFUJUTOPUJmDBUJPOT
VOEFSWBSJPVT850"HSFFNFOUT0NBOTNBSLFUGPSBMMQSPEVDUTJTRVJUFPQFO BOEUIF
and monitoring
CVMLPGJUTUSBEFUBLFTQMBDFPOBO.'/<NPTUGBWPVSFEOBUJPO>CBTJT/POFUIFMFTT
EFMFHBUJPOTOPUFE0NBOTQBSUJDJQBUJPOJOUIF(VMG$PPQFSBUJPO$PVODJM ($$
UIF1BO
"SBC'SFF5SBEF"SFB 1"'5"
BTXFMMBTJOCJMBUFSBMUSBEFBHSFFNFOUT NPTUPGXIJDI
BSFOPUZFUGVMMZJNQMFNFOUFE5IFOFFEUPNBJOUBJOUIFOPUJmDBUJPOPGUIF($$VOEFS
"SUJDMF99*7<5FSSJUPSJBM"QQMJDBUJPOo'SPOUJFS5SBGmDo$VTUPNT6OJPOTBOE'SFFUSBEF
"SFBT>PGUIF("55XBTBMTPNFOUJPOFE
.FNCFSTBTLFE0NBOUPSFEVDFUIFHBQCFUXFFOJUT.'/BQQMJFEBWFSBHFUBSJGGPG
QFSDFOUBOEJUTBWFSBHFCPVOEUBSJGGPGQFSDFOU4PNFEFMFHBUJPOTBMTPSBJTFE
DPODFSOTBCPVU0NBOTSFRVJSFNFOUGPSDPOTVMBSGPSNBMJUJFTPOJNQPSUT BOEUIFVTFPG
NJOJNVNJNQPSUQSJDFTPOUPCBDDPBOEUPCBDDPQSPEVDUT.FNCFSTBMTPOPUFEUIF
BCTFODFPGDPNQFUJUJPOMFHJTMBUJPO5IFZFODPVSBHFE0NBOUPBNFOEJUTHPWFSONFOU
QSPDVSFNFOUSFHJNFUPSFNPWFUIFQSJDFQSFGFSFODFTGPSEPNFTUJDBOE($$QSPEVDUT
BOEBDDFEFUPUIF1MVSJMBUFSBM"HSFFNFOUPO(PWFSONFOU1SPDVSFNFOU.FNCFSTVSHFE
0NBOUPGVSUIFSSFEVDFTUBUFPXOFSTIJQUISPVHIPVUUIFFDPOPNZCZQVSTVJOHJUT
"/%.0/*503*/(
*.1-&.&/5"5*0/
QSJWBUJ[BUJPOQSPHSBNNF5IFZTPVHIUJOGPSNBUJPOPOUIFEFWFMPQNFOUQMBOTSFHBSEJOHPJM
BOEOBUVSBMHBT BOENBOVGBDUVSJOH4PNFNFNCFSTSFRVFTUFEDMBSJmDBUJPOPOUIFJNQPSU
SFTUSJDUJPOTNBJOUBJOFECZ0NBO OPUBCMZPO414<TBOJUBSZBOEQIZUPTBOJUBSZNFBTVSFT>
BOE5#5<UFDIOJDBMCBSSJFSTUPUSBEF>HSPVOET0UIFSJTTVFTPGJOUFSFTUUPNFNCFST
JODMVEFEJODFOUJWFTDIFNFT FHGPSFYQPSUT
QSPUFDUJPOPGJOUFMMFDUVBMQSPQFSUZSJHIUT
BHSJDVMUVSFBOEmTIFSJFT TUBUFTVQQPSU
BOETFSWJDFT JODMVEJOH("54<(FOFSBM
"HSFFNFOUPO5SBEFJO4FSWJDFT>DPNNJUNFOUT mOBODJBMTFSWJDFT UFMFDPNT USBOTQPSU
BOEUPVSJTN
.FNCFSTBQQSFDJBUFEUIFSFTQPOTFTQSPWJEFECZUIF0NBOJEFMFHBUJPO BOEMPPLGPSXBSE
UPSFDFJWJOHXSJUUFOBOTXFSTUPBOZPVUTUBOEJOHRVFTUJPOTXJUIJOPOFNPOUI
*ODPODMVTJPO NFNCFSTDPOHSBUVMBUFE0NBOPOUIFSFMBUJWFPQFOOFTTPGJUTFDPOPNZ
5IFZFODPVSBHFEJUUPQVSTVFJUTSFGPSNT JODMVEJOHCZGVSUIFSJNQSPWJOHJUTNVMUJMBUFSBM
DPNNJUNFOUTPOHPPETBOETFSWJDFT5IJTXPVMEFOIBODFUIFUSBOTQBSFODZBOE
QSFEJDUBCJMJUZPGJUTUSBEFSFHJNF BOEJUTBEIFSFODFUP850QSJODJQMFT.FNCFSTDPVME
IFMQCZLFFQJOHUIFJSNBSLFUTPQFOGPSQSPEVDUTBOETFSWJDFTPGJOUFSFTUUP0NBO BOE
CZQSPWJEJOHUFDIOJDBMBTTJTUBODFw
4JOHBQPSF
i5IFmGUI5SBEF1PMJDZ3FWJFXPG4JOHBQPSFIBTHJWFOVTBNVDIDMFBSFSVOEFSTUBOEJOH
PG4JOHBQPSFTUSBEFQPMJDJFTBOEQSBDUJDFT UPHFUIFSXJUIUIFHMPCBMJ[BUJPODIBMMFOHFT
JUGBDFT*UIBOL.S3BWJ.FOPO 4FDPOE1FSNBOFOU4FDSFUBSZPG.JOJTUSZPG5SBEFBOE
*OEVTUSZ BOEIJTEFMFHBUJPOBTXFMMBTUIFEJTDVTTBOU "NCBTTBEPS4IJOJDIJ,JUBKJNBPG
+BQBO BOENFNCFSTPGUIF513#<5SBEF1PMJDZ3FWJFX#PEZ>GPSDPOUSJCVUJOHUPPVS
JOGPSNBUJWFBOEDPOTUSVDUJWFFYDIBOHFPGWJFXTEVSJOHUIFTFUXPEBZT4JOHBQPSFT
SFTQPOTFUPUIFMBSHFOVNCFSPGRVFTUJPOTJTNVDIBQQSFDJBUFE
.FNCFSTOPUFEUIBU4JOHBQPSFDPOUJOVFTUPCFPOFPGUIFNPTUPQFOBOEDPNQFUJUJWF 850NFNCFSTOPUFEUIBU4JOHBQPSFDPOUJOVFT
FDPOPNJFTJOUIFXPSME8JUIUSBEFBNVMUJQMFPG(%1<HSPTTEPNFTUJDQSPEVDU> UPCFPOFPGUIFNPTUPQFOBOEDPNQFUJUJWF
4JOHBQPSFSFNBJOTDPNNJUUFEUPQSPNPUJOHBGSFF SVMFTCBTFENVMUJMBUFSBMUSBEJOH FDPOPNJFTJOUIFXPSME
TZTUFN4JOHBQPSFDPOUJOVFTUPCFBTUFBEGBTUTVQQPSUFSPGBOBNCJUJPVTPVUDPNF
JOUIF%PIB3PVOEJUXBTDPNNFOEFEGPSJUTBDUJWFQBSUJDJQBUJPOJOUIF/"."<OPO
BHSJDVMUVSBMNBSLFUBDDFTT>BOEPUIFSOFHPUJBUJOHHSPVQT BOEGPSJUTFGGPSUTUPNPWF
UIFOFHPUJBUJPOTGPSXBSE.FNCFSTBMTPDPNNFOEFE4JOHBQPSFTDPOUSJCVUJPOUPUIF
850"JEGPS5SBEF*OJUJBUJWF4PNFNFNCFSTTIBSFE4JOHBQPSFTWJFXUIBU850
DPOTJTUFOUUSBEFMJCFSBMJ[BUJPOBUSFHJPOBMBOECJMBUFSBMMFWFMTDBOGPSNCVJMEJOHCMPDLT
GPSUIFNVMUJMBUFSBMUSBEJOHTZTUFN

Implementation .FNCFSTDPOHSBUVMBUFE4JOHBQPSFPOJUTTUSPOHPWFSBMMFDPOPNJDQFSGPSNBODF"MUIPVHI
JUTIJHIEFHSFFPGPQFOOFTTSJTLTMFBWJOH4JOHBQPSFWVMOFSBCMFUPQFSJPEJDFYUFSOBM
and monitoring TIPDLT UIFFDPOPNZTnFYJCJMJUZIBEFOBCMFE4JOHBQPSFUPBEKVTUSFMBUJWFMZSBQJEMZUP
UIFTFTIPDLTCZJNQSPWJOHQSPEVDUJWJUZ GPSFYBNQMFCZJOWFTUJOHJO3%<SFTFBSDIBOE
EFWFMPQNFOU> BOEUIVTDPOUSJCVUJOHUPFDPOPNJDHSPXUI4JOHBQPSFXBTDPNNFOEFE
GPSDSFBUJOHBOENBJOUBJOJOHBIJHIMZDPNQFUJUJWFCVTJOFTTFOWJSPONFOUJOXIJDIUIF
VOFNQMPZNFOUSBUFIBTEFDSFBTFEUPJUTMPXFTUMFWFMJOBEFDBEFBOEJOnPXTPGGPSFJHO
EJSFDUJOWFTUNFOUBSFTVCTUBOUJBM4PNFNFNCFSTFODPVSBHFE4JOHBQPSFUPBEESFTTUIF
XJEFOJOHPGJODPNFJOFRVBMJUJFT
.FNCFSTOPUFEUIBUUIFTDPQFPG4JOHBQPSFTUBSJGGCJOEJOHTSFNBJOTBUBSPVOEQFSDFOU
PGBMMMJOFT BOEUIBUUIFCPVOESBUFTBSFTVCTUBOUJBMMZIJHIFSUIBOUIF.'/<NPTUGBWPVSFE
OBUJPO>BQQMJFESBUFTUIFZVSHFE4JOHBQPSFUPCPUIJODSFBTFUIFDPWFSBHFPGJUTCJOEJOHT
BOEUPMPXFSCPVOESBUFT UIVTOBSSPXJOHUIFEJTDSFQBODZCFUXFFOJUTCPVOEBOEBQQMJFE
SBUFT.FNCFSTOPUFEUIBU4JOHBQPSFTIJHIMZDPNQVUFSJ[FEBOEUSBEFGBDJMJUBUJOHDVTUPNT
QSPDFEVSFTSFTVMUJOTVCTUBOUJBMCFOFmUTUPCPUIUSBEFSTBOEHPWFSONFOUBHFODJFT
4JOHBQPSFXBTBMTPDPNNFOEFEGPSJUTQPMJDZPGBEWPDBUJOHUIFBEPQUJPOPGJOUFSOBUJPOBM
TUBOEBSETUPGBDJMJUBUFNBSLFUBDDFTTBOEFOUFSQSJTFDPNQFUJUJWFOFTT
.FNCFSTBMTPOPUFEUIFFOBDUNFOUPGBOFDPOPNZXJEFDPNQFUJUJPOMBXBOEFYQSFTTFE
JOUFSFTUJO4JOHBQPSFTBTTFTTNFOUPGUIFFDPOPNJDJNQBDUPGUIFOFXMBX BOEPGUIF
GVODUJPOJOHPGUIF$PNQFUJUJPO$PNNJTTJPO.FNCFSTOPUFEUIFUSFOEUPXBSET
HPWFSONFOUMJOLFEDPSQPSBUJPOT (-$T
PQFSBUJOHPOUIFTBNFCBTJTBTQSJWBUFDPNQBOJFT
TJHOJmDBOUEJWFTUNFOUTCZ5FNBTFL BOEUIFFOIBODFNFOUPGDPSQPSBUFHPWFSOBODF
SFHVMBUJPO4PNFNFNCFSTOPUFE4JOHBQPSFTXJEFSBOHJOHJNQSPWFNFOUTJOUIF
QSPUFDUJPOPGJOUFMMFDUVBMQSPQFSUZSJHIUTBTQBSUPGJUTCSPBEFSFGGPSUUPFODPVSBHF
JOOPWBUJPOBOEDSFBUFBLOPXMFEHFCBTFEFDPOPNZ
.FNCFSTBMTPXFMDPNFE4JOHBQPSFTMJCFSBMJ[BUJPOFGGPSUTJOmOBODJBMTFSWJDFT FOFSHZ
BOEUFMFDPNNVOJDBUJPOT4PNFNFNCFSTFODPVSBHFE4JOHBQPSFUPGVSUIFSMJCFSBMJ[F
TFSWJDFT JODMVEJOHMFHBMBOEPUIFSQSPGFTTJPOBMTFSWJDFT CBOLJOH BOEQPSUTFSWJDFT
5PDPODMVEF *XPVMEBHBJOMJLFUPUIBOL4JOHBQPSFTEFMFHBUJPOGPSJUTFGGPSUTJOIFMQJOH
VTUPCFUUFSVOEFSTUBOEJUTUSBEFBOEUSBEFSFMBUFEQPMJDJFTBOEUIFEPNFTUJDBOE
JOUFSOBUJPOBMDPOUFYUTJOXIJDIUIFZFWPMWF*XPVMEPODFBHBJOBMTPMJLFUPUIBOLUIF
EJTDVTTBOUGPSIJTJOTJHIUGVMDPNNFOUT BOENFNCFSTGPSDPOUSJCVUJOHUPXIBUIBTCFFO
BWFSZFOMJHIUFOJOHUXPEBZTPGEJTDVTTJPOT"TUIFEJTDVTTBOUTUBUFE 4JOHBQPSFIBT
FTUBCMJTIFEBCFODINBSLPSBUFYUCPPLDBTFUIBUPUIFSNFNCFSTXJMMIBWFUPGPMMPX8F
MPPLGPSXBSEUPSFDFJWJOHSFTQPOTFTUPUIFSFNBJOJOHRVFTUJPOTXJUIJOUIFOFYUNPOUIw
#BSCBEPT
i5IFTFDPOE5SBEF1PMJDZ3FWJFXPG#BSCBEPTIBTBMMPXFEUIJT#PEZUPBQQSBJTFJO
EFUBJMUIFFWPMVUJPOPGUIFDPVOUSZTUSBEFQPMJDJFTTJODF*UIBOL.JOJTUFS4JODLMFS
1FSNBOFOU4FDSFUBSZ$IBOEMFS "NCBTTBEPS$MBSLF BOEUIFJSUFBNGPSFOHBHJOHTP
DPOTUSVDUJWFMZJOUIJT5SBEF1PMJDZ3FWJFXFYFSDJTF*XPVMEBMTPMJLFUPUIBOLUIF
EJTDVTTBOU "NCBTTBEPS)FSO¹OEF[ BOENFNCFSTXIPQBSUJDJQBUFEJOUIFEJTDVTTJPO
BTQBSUPGUIJTFYFSDJTF
5IJTIBTCFFOBWFSZQPTJUJWFSFWJFX#BSCBEPTFYQFSJFODFTUBOETPVUBTBHPPENPEFM
GPSEFWFMPQJOHDPVOUSJFT FTQFDJBMMZUIPTFGBDJOHTJNJMBSDIBMMFOHFTEVFUPUIFJSTNBMMTJ[F
8FIBWFIFBSEXJEFTQSFBEQSBJTFCZNFNCFSTGPSUIFSFGPSNT#BSCBEPTIBTVOEFSUBLFO
JUTTVDDFTTJOEJWFSTJGZJOHJUTFDPOPNZ BOEUIFHFOFSBMPQFOOFTTPGJUTUSBEFBOE
JOWFTUNFOUSFHJNF5IFTFGBDUPSTXFSFTFFOBTJNQPSUBOUDPOUSJCVUPSTUP#BSCBEPT
BCJMJUZUPNBJOUBJOIJHITUBOEBSETPGIVNBOEFWFMPQNFOU)PXFWFS UIFEFMFHBUJPOPG
#BSCBEPTOPUFEUIBUUIJTHPPEQFSGPSNBODFIBTDPNFBUUIFDPTUPGBNBSLFEJODSFBTF
JOUIFDPVOUSZTOBUJPOBMEFCU BOEUIBU#BSCBEPTQSPTQFSJUZJTGSBHJMFCFDBVTFPGJUT
WVMOFSBCJMJUZUPFYUFSOBMTIPDLT*OUIJTSFTQFDU #BSCBEPTDPVMEGVSUIFSTUSFOHUIFO
JUTmTDBMTJUVBUJPOUPBMMPXGPSHSFBUFSVTFPGDPVOUFSDZDMJDBMQPMJDJFT

.FNCFSTXFMDPNFE#BSCBEPTDPNNJUNFOUUPUIFNVMUJMBUFSBMUSBEJOHTZTUFN BOE Implementation
FYQSFTTFEUIFJSBQQSFDJBUJPOGPS#BSCBEPTDPOUSJCVUJPOUPUIFXPSLPGUIF850
QBSUJDVMBSMZJUTDPPSEJOBUJPOPGUIFTNBMMWVMOFSBCMFFDPOPNJFT 47&T
HSPVQ"OVNCFS
and monitoring
PGNFNCFSTTVHHFTUFEUIBU#BSCBEPTTIPVMESFnFDUJUTMJCFSBMTFSWJDFTSFHJNFJOEFFQFS
BOEXJEFSDPNNJUNFOUTVOEFSUIF("54<(FOFSBM"HSFFNFOUPO5SBEFJO4FSWJDFT>
#BSCBEPTOPUFEUIBUJUJTSFWJFXJOHJUTPGGFSXJUIJOUIFDPOUFYUPGUIFPOHPJOH850
TFSWJDFTOFHPUJBUJPOT#BSCBEPTXBTBMTPFODPVSBHFEUPTVCNJUJUTPVUTUBOEJOH
OPUJmDBUJPOTUPUIF850 BOEUPDPOTJEFSSFRVFTUJOHUFDIOJDBMBTTJTUBODFJOPSEFSUP
IFMQBDDPNQMJTIUIJT#BSCBEPTOPUFEUIBUJUIBTTPVHIUGBJUIGVMMZUPEJTDIBSHFJUT850
PCMJHBUJPOT CVUGBDFTBOVNCFSPGDPOTUSBJOUTMJOLFEUPJUTTNBMMTJ[FBOEJODSFBTFE
QSFTTVSFPGOFHPUJBUJPOT
.FNCFSTBHSFFEUIBU#BSCBEPTJNQPSUSFHJNFJTMBSHFMZPQFO CVUTPNFNFNCFST
IJHIMJHIUFEUIFOFFEGPSGVSUIFSSFEVDJOHBQQMJFEUBSJGGT BTXFMMBTOBSSPXJOHCPUIUIFJS
EJTQFSTJPOBOEUIFHBQCFUXFFOCPVOEBOEBQQMJFEUBSJGGT#BSCBEPTSFQPSUFEUIBUBO
FOWJSPONFOUBMMFWZQSFWJPVTMZDPMMFDUFEPOMZPOJNQPSUTOPXBMTPBQQMJFTUPEPNFTUJD
HPPET#BSCBEPTXBTFODPVSBHFEUPFMJNJOBUFUIFGFXFYJTUJOHSFTUSJDUJPOTUPGPSFJHO
JOWFTUNFOU.FNCFSTBMTPNBEFFORVJSJFTJOUP#BSCBEPTQMBOTUPFMJNJOBUFJUTFYQPSU
"/%.0/*503*/(
*.1-&.&/5"5*0/
TVCTJEZQSPHSBNNFTCZ
.FNCFSTDPOHSBUVMBUFE#BSCBEPTGPSJUTJOUSPEVDUJPOPGDPNQSFIFOTJWFDPNQFUJUJPO
QPMJDZMFHJTMBUJPO XIPTFFGGFDUJWFJNQMFNFOUBUJPOXBTTFFOBTJNQPSUBOUGPSJNQSPWJOH
UIFGVODUJPOJOHPG#BSCBEPTEPNFTUJDNBSLFUT.FNCFSTBMTPDPNNFOEFE#BSCBEPTGPS
UIFSFGPSNTJOUSPEVDFEUPJUTJOUFMMFDUVBMQSPQFSUZMFHJTMBUJPOUPNBLFJUNPSFDPNQBUJCMF
XJUIUIF53*14<5SBEF3FMBUFE"TQFDUTPG*OUFMMFDUVBM1SPQFSUZ3JHIUT>"HSFFNFOU BOE
GPSUIFMJCFSBMJ[BUJPOPGJUTUFMFDPNNVOJDBUJPOTTFDUPS#BSCBEPTQSPWJEFESFQMJFTUP
RVFTUJPOTDPODFSOJOHBOVNCFSPGTFSWJDFBDUJWJUJFTTVDIBTUPVSJTN USBOTQPSU
UFMFDPNNVOJDBUJPOT BOEQSPGFTTJPOBMBOEmOBODJBMTFSWJDFT8FUIBOLUIFEFMFHBUJPO
PG#BSCBEPTGPSUIFJSSFTQPOTFTUPXSJUUFORVFTUJPOT
*XPVMEMJLFUPDMPTFUIJTNFFUJOHCZUIBOLJOH PODFBHBJO UIFEFMFHBUJPOPG#BSCBEPT

UIFEJTDVTTBOU BOEUIFNFNCFSTUIBUUPPLQBSUJOUIJTNFFUJOHGPSDPOUSJCVUJOHUPBO
JOGPSNBUJWFSFWJFX.BZ*BMTPUIBOLUIFJOUFSQSFUFSTGPSUIFJSIBSEXPSL*XPVMEBMTPMJLF
UPFYQSFTTNZBQQSFDJBUJPOUPUIFEFMFHBUJPOPG#BSCBEPTGPSBEESFTTJOHUIFWBSJPVT
JTTVFTUIBUNFNCFSTIBWFSBJTFECPUIJOXSJUJOHBOEPSBMMZ*UIJOLXFOPXIBWFBNVDI
NPSFDMFBSQJDUVSFPGZPVSUSBEFQPMJDJFTBOEQSJPSJUJFT*IPQFUIBUUIFWFSZQPTJUJWF
PVUDPNFPGZPVSTFDPOE5SBEF1PMJDZ3FWJFXXJMMCFBOBEEJUJPOBMTUSPOHNPUJWBUJPO
GPSZPVSDPOUJOVFEBDUJWFFOHBHFNFOUJOUIFNVMUJMBUFSBMUSBEJOHTZTUFNw
,PSFB
i5IFmGUI5SBEF1PMJDZ3FWJFXPG,PSFBIBTHJWFOVTBNVDIDMFBSFSVOEFSTUBOEJOHPG
,PSFBTUSBEFQPMJDJFTBOEQSBDUJDFTBOEPGUIFDIBMMFOHFTUIBUJUGBDFT*UIBOL.S"IO
)PZPVOH %FQVUZ5SBEF.JOJTUFSPGUIF.JOJTUSZPG'PSFJHO"GGBJSTBOE5SBEF BOEIJT
EFMFHBUJPO BTXFMMBTUIFEJTDVTTBOU "NCBTTBEPS#P[LVSU"SBOPG5VSLFZ BOENFNCFST
PGUIF513#<5SBEF1PMJDZ3FWJFX#PEZ>GPSDPOUSJCVUJOHUPPVSJOGPSNBUJWFBOE
DPOTUSVDUJWFFYDIBOHFPGWJFXTEVSJOHUIFTFUXPEBZT,PSFBTSFTQPOTFUPUIFMBSHF
OVNCFSPGRVFTUJPOTJTBMTPWFSZNVDIBQQSFDJBUFE
.FNCFSTDPNNFOEFE,PSFBGPSJUTQSVEFOUNBDSPFDPOPNJDQPMJDJFTBOETUSVDUVSBM ,PSFBXBTDPNNFOEFECZ850NFNCFSTGPS
SFGPSNT JODMVEJOHJUTDPOUJOVJOHQVSTVJUPGPQFOUSBEFBOEJOWFTUNFOUQPMJDJFT XIJDIIBWF JUTDPOUJOVJOHQVSTVJUPGPQFOUSBEFBOEJOWFTUNFOU
DPOUSJCVUFEUPJUCFDPNJOHBNPSFPVUXBSEPSJFOUFEFDPOPNZFOKPZJOHTUBCMFHSPXUI QPMJDJFT XIJDIIBWFDPOUSJCVUFEUPJUFOKPZJOH
EFDMJOJOHVOFNQMPZNFOU JODSFBTJOHQFSDBQJUBJODPNFT BOEDPOUBJOFEJOnBUJPO*OUIF TUBCMFHSPXUIBOEEFDMJOJOHVOFNQMPZNFOU
NJETUPGUIFQSFTFOUmOBODJBMVQIFBWBM TFWFSBMNFNCFSTSFDBMMFE,PSFBTSFDPWFSZGSPN
UIF"TJBOmOBODJBMDSJTJTUISPVHIJODSFBTFEMJCFSBMJ[BUJPO SBUIFSUIBOQSPUFDUJPOJTN
BO
JNQPSUBOUMFTTPOJOUPEBZTHMPCBMFDPOPNJDFOWJSPONFOU
4FWFSBMNFNCFSTOPUFEUIBUJOXBSE'%*<GPSFJHOEJSFDUJOWFTUNFOU>IBTEFDMJOFEBT
BQSPQPSUJPOPG(%1<HSPTTEPNFTUJDQSPEVDU> BOEJTMPXCZJOEVTUSJBMJ[FEDPVOUSZ
TUBOEBSET5IFZFODPVSBHFE,PSFBUPGVSUIFSMJCFSBMJ[FJUTGPSFJHOJOWFTUNFOUSFHJNFBOE
DPOUJOVFTUSVDUVSBMSFGPSNT FTQFDJBMMZJOWPMWJOHEFSFHVMBUJPOBOEQSJWBUJ[BUJPO.FNCFST
XFMDPNFENFBTVSFTUBLFOUPDSFBUFBCVTJOFTTGSJFOEMZFOWJSPONFOU JODMVEJOHUIF
DSFBUJPOPGUIF1SFTJEFOUJBM$PVODJMPO/BUJPOBM$PNQFUJUJWFOFTT

Implementation .FNCFSTQSBJTFE,PSFBTBDUJWFBOEDPOTUSVDUJWFQBSUJDJQBUJPOJOUIF%PIB3PVOE"UUIF
TBNFUJNF TPNFNFNCFSTVSHFE,PSFBUPFOTVSFUIBUJUTSFHJPOBMUSBEFBHSFFNFOUTBSF
and monitoring DPNQMFNFOUBSZUPUIFNVMUJMBUFSBMUSBEJOHTZTUFN.FNCFSTBMTPBDLOPXMFEHFE,PSFBT
TVQQPSUGPSUIF850TUFDIOJDBMBTTJTUBODFBDUJWJUJFT
,PSFBXBTDPNNFOEFEGPSJUTTUSFBNMJOFEDVTUPNTQSPDFEVSFT.FNCFSTOPUFEUIBUUIF
UBSJGGSFNBJOTSFMBUJWFMZIJHI HJWFO,PSFBTMFWFMPGEFWFMPQNFOU BOETPNFXIBUDPNQMFY
JOWPMWJOHBNVMUJQMJDJUZPGSBUFT.FNCFSTXFSFDPODFSOFEUIBU,PSFBTnFYJCMFUBSJGG
NFDIBOJTNBMMPXTEJTDSFUJPOBSZDIBOHFTJODFSUBJOSBUFT.FNCFSTBMTPSFNBSLFEUIBU
UIFBWFSBHFBQQMJFE.'/<NPTUGBWPVSFEOBUJPO>UBSJGGGPSBHSJDVMUVSBMQSPEVDUTJTNPSF
UIBOFJHIUUJNFTIJHIFSUIBOUIFUBSJGGGPSOPOBHSJDVMUVSBMQSPEVDUT5IFZFODPVSBHFE
,PSFBUPTUFQVQBHSJDVMUVSBMSFGPSNTBOEUIVTSFEVDFEJTUPSUJPOTJOCPUIQSPEVDUJPOBOE
USBEFPGBHSJDVMUVSBMHPPET.FNCFSTBMTPFYQSFTTFEDPODFSOBCPVUTFWFSBMBTQFDUTPG
,PSFBTBHSJDVMUVSBMUBSJGGSBUFRVPUBT XIJDIBSFVOEFSVUJMJ[FEFWFOGPSDPNNPEJUJFTGPS
XIJDI,PSFBTEPNFTUJDQSJDFTBSFTJHOJmDBOUMZIJHIFSUIBOXPSMEMFWFMT.FNCFSTVSHFE
,PSFBUPNBLFJNQSPWFNFOUTJOUIFTFBOEPUIFSBSFBTTPBTUPNBLFJUTUSBEFSFHJNF
NPSFUSBOTQBSFOUBOEQSFEJDUBCMF
4PNFNFNCFSTXFSFDPODFSOFEBCPVU,PSFBTSFDPVSTFUPBOUJEVNQJOHBDUJPOTBOE
UPDIBOHFTJOJUTDBMDVMBUJPOPGEVNQJOHNBSHJOT$FSUBJONFNCFSTTPVHIUDMBSJmDBUJPOT
POTPNFBTQFDUTPGUFDIOJDBMTUBOEBSETBOE414<TBOJUBSZBOEQIZUPTBOJUBSZ>QSBDUJDFT
4PNFNFNCFSTOPUFE,PSFBTGVSUIFSTUSFOHUIFOJOHPGJOUFMMFDUVBMQSPQFSUZSJHIUTBOE
FYQSFTTFEJOUFSFTUJOPUIFSSFMBUFEEFWFMPQNFOUT
4PNFNFNCFSTOPUFEUIFIJHIEFHSFFPGHPWFSONFOUJOUFSWFOUJPOJOBHSJDVMUVSF BOE
FYQSFTTFEDPODFSOSFHBSEJOHTVCTJEJFTUPUIFmTIFSJFTTFDUPS0UIFSNFNCFSTXPOEFSFE
BCPVUUIFXBZTGPSFOIBODJOHDPNQFUJUJWFOFTTPGUIFTFSWJDFTTFDUPS XIPTFMBCPVS
QSPEVDUJWJUZXBTIBMGUIBUPGNBOVGBDUVSJOH*OBEEJUJPO DFSUBJONFNCFSTSBJTFERVFTUJPOT
PWFSUIFMBDLPGGPSFJHOQBSUJDJQBUJPOJOUFMFDPNTBOECSPBEDBTUJOH BTXFMMBTQMBOTGPS
NBSLFUPQFOJOHXJUISFHBSEUPQSPGFTTJPOBMTFSWJDFT
5PDPODMVEF *XPVMEBHBJOMJLFUPUIBOL,PSFBTEFMFHBUJPOGPSFOBCMJOHVTUPCFUUFS
VOEFSTUBOEJUTUSBEFBOEUSBEFSFMBUFEQPMJDJFTBOEUIFEPNFTUJDBOEJOUFSOBUJPOBM
DPOUFYUTJOXIJDIUIFZBSFGPSNVMBUFEBOEJNQMFNFOUFE*XPVMEBMTPMJLFUPUIBOLUIF
EJTDVTTBOUGPSIJTJOTJHIUGVMDPNNFOUT BOENFNCFSTGPSDPOUSJCVUJOHUPXIBUIBTCFFO
BWFSZFOMJHIUFOJOHUXPEBZTPGEJTDVTTJPOT8FMPPLGPSXBSEUPSFDFJWJOHSFTQPOTFTUP
UIFSFNBJOJOHPVUTUBOEJOHRVFTUJPOTXJUIJOUIFOFYUNPOUIw
/PSXBZ
i5IFmGUI5SBEF1PMJDZ3FWJFXPG/PSXBZIBTBMMPXFEUIJT#PEZUPBQQSBJTFJOEFUBJMUIF
FWPMVUJPOPGUIFDPVOUSZTUSBEFQPMJDJFTTJODF*UIBOL$IJFG/FHPUJBUPS.S4SMJ
"NCBTTBEPS+PIBOTFOBOEUIFJSUFBNGPSFOHBHJOHTPDPOTUSVDUJWFMZJOUIJT5SBEF1PMJDZ
3FWJFXFYFSDJTF*XPVMEBMTPMJLFUPUIBOLUIFEJTDVTTBOU "NCBTTBEPS5FFIBOLFF BOE
NFNCFSTXIPQBSUJDJQBUFEJOUIFEJTDVTTJPOBTQBSUPGUIJTFYFSDJTF
*TIPVMEMJLFUPFNQIBTJ[FUIBUUIJTIBTCFFOBWFSZQPTJUJWFSFWJFX8FIBWFIFBSE
XJEFTQSFBEQSBJTFCZNFNCFSTGPS/PSXBZTSFDFOUFDPOPNJDTVDDFTT BOEJUTIJHI
/PSXBZJTTFFOCZNBOZBTBOFYBNQMFPG TUBOEBSEPGMJWJOHBOEMFWFMPGIVNBOEFWFMPQNFOU.FNCFSTIBWFOPUFEUIBUUIJT
IPXUPTVTUBJOIJHIMJWJOHTUBOEBSETUISPVHI TVDDFTTJTOPUPOMZUIFSFTVMUPGJNQSPWFEUFSNTPGUSBEFCVUBMTPPGTPVOENBDSP
QPMJDJFTUIBUGPTUFSDMPTFJOUFHSBUJPOJOUIF FDPOPNJDQPMJDJFTBOEUIFHFOFSBMPQFOOFTTPG/PSXBZTUSBEFBOEJOWFTUNFOUSFHJNF
HMPCBMFDPOPNZBOETPVOENBOBHFNFOU
PGOBUVSBMSFTPVSDFT &RVBMMZ NFNCFSTIBWFDPNNFOEFE/PSXBZGPSJUTTVQQPSUGPSBOEBDUJWFQBSUJDJQBUJPO
JOUIFNVMUJMBUFSBMUSBEJOHTZTUFNBOEUIF%PIB%FWFMPQNFOU"HFOEB*OQBSUJDVMBS
NFNCFSTOPUFE/PSXBZTBUUFOUJPOUPEFWFMPQNFOUJTTVFTUISPVHIJUTDPOUSJCVUJPOUPUIF
(MPCBM5SVTU'VOE BOEJUTOFX(41<(FOFSBMJ[FE4ZTUFNPG1SFGFSFODFTQSPHSBNNFT
CZEFWFMPQFEDPVOUSJFTHSBOUJOHQSFGFSFOUJBMUBSJGGTUPJNQPSUTGSPNEFWFMPQJOHDPVOUSJFT>
BOE"JEGPS5SBEFJOJUJBUJWFT XIJDIIBWFCFFOFOIBODFEPWFSUIFSFWJFXQFSJPE4PNF
NFNCFSTTIBSFE/PSXBZTDPODFSOUIBUBOUJEVNQJOHBOEDPVOUFSWBJMJOHNFBTVSFTDPVME
CFVTFEBTQSPUFDUJPOJTUNFBTVSFT BOEUIVTDPNNFOEFE/PSXBZGPSOPUVTJOHUIFTF
JOTUSVNFOUT)PXFWFS NFNCFSTBMTPTVHHFTUFEUIBU/PSXBZXPVMEFOIBODFUIF
QSFEJDUBCJMJUZPGJUTUSBEJOHSFHJNFCZDMPTJOHUIFHBQCFUXFFOCPVOEBOEBQQMJFEUBSJGGT
/PSXBZVOEFSUPPLUPTVCNJUJUTMBHHJOH850OPUJmDBUJPOTBTTPPOBTQPTTJCMF

.FNCFSTPCTFSWFEUIBUTPNFPGUIFJTTVFTSBJTFEBU/PSXBZTQSFWJPVT3FWJFXSFNBJOFE Implementation
PGDPODFSOUPEBZ OPUBCMZ BHSJDVMUVSBMQPMJDJFT5IFZESFXBUUFOUJPOUPBDPOUSBTUCFUXFFO
UIFTFQPMJDJFTBOEUIFWFSZMJCFSBMJNQPSUSFHJNFGPSJOEVTUSJBMQSPEVDUT/PSXBZIBT
and monitoring
FNQIBTJ[FEUIFJNQPSUBODFJUHJWFTUPFOTVSJOHBWJBCMFEPNFTUJDBHSJDVMUVSFTFDUPS BOE
UIBUQSPUFDUJPOUPBHSJDVMUVSFDPWFSTBOBSSPXSBOHFPGQSPEVDUTBOEJTJOMJOFXJUIJUT
850DPNNJUNFOUT/FWFSUIFMFTT NFNCFSTVSHFE/PSXBZUPVOEFSUBLFGVSUIFSSFGPSN
BOEMJCFSBMJ[BUJPOPGUIFTFDUPS
8JUISFTQFDUUPRVFTUJPOTBCPVUUIFIJHIMFWFMPGTUBUFQBSUJDJQBUJPOJOUIFFDPOPNZ
/PSXBZIBTOPUFEUIBUUIFQSFTFOUHPWFSONFOUQMBDFTBTUSPOHFNQIBTJTPOTUBUF
PXOFSTIJQ XIJDIJTTFFOBTDPOUSJCVUJOHUPTBGFHVBSEUIFQVCMJDJOUFSFTU5PJNQSPWF
USBOTQBSFODZBOEFGmDJFODZ UIFSPMFTPGQPMJDZNBLFSBOENBSLFUSFHVMBUPSIBWFCFFO
TFQBSBUFEGSPNUIFSPMFPGPXOFS/PSXBZBMTPSFTQPOEFEUPWBSJPVTRVFTUJPOTDPODFSOJOH
JUTGPSFJHOJOWFTUNFOUSFHJNF NFBTVSFTBGGFDUJOHJNQPSUT JOUFMMFDUVBMQSPQFSUZSJHIUT BOE
QPMJDJFTJOTFDUPSTTVDIBTNBSJUJNFUSBOTQPSUBOEQSPGFTTJPOBMTFSWJDFT
*ODPODMVTJPO JUJTNZTFOTFUIBUNFNCFSTDPOTJEFSFE/PSXBZBTBOFYBNQMFPGIPXUP
TVTUBJOIJHIMJWJOHTUBOEBSETUISPVHIQPMJDJFTUIBUGPTUFSDMPTFJOUFHSBUJPOJOUIFHMPCBM
"/%.0/*503*/(
*.1-&.&/5"5*0/
FDPOPNZBOETPVOENBOBHFNFOUPGOBUVSBMSFTPVSDFT.FNCFSTSFDPHOJ[FEUIBU
/PSXBZTUSBEFSFHJNFJTHFOFSBMMZMJCFSBM CVUFODPVSBHFE/PSXBZUPMJCFSBMJ[FBHSJDVMUVSF
JOPSEFSUPCFOFmUJUTEPNFTUJDDPOTVNFSTBOEIFMQTUSFOHUIFOUIFNVMUJMBUFSBMUSBEJOH
TZTUFN PGXIJDI/PSXBZIBTIJTUPSJDBMMZCFFOPOFPGUIFTUSPOHFTUTVQQPSUFST
*XPVMEMJLFUPDMPTFUIJTNFFUJOHCZUIBOLJOH PODFBHBJO UIFEJTDVTTBOUBOEUIF

NFNCFSTXIPUPPLQBSUJOUIJTNFFUJOHGPSDPOUSJCVUJOHUPBOJOGPSNBUJWFSFWJFX.BZ*
BMTPUIBOLUIFJOUFSQSFUFSTGPSUIFJSIBSEXPSL*XPVMEBMTPMJLFUPUIBOLUIFEFMFHBUJPOPG
/PSXBZGPSBEESFTTJOHUIFWBSJPVTJTTVFTUIBUNFNCFSTIBWFSBJTFECPUIJOXSJUJOHBOE
PSBMMZ)PXFWFS XFMPPLGPSXBSEUPSFDFJWJOHSFTQPOTFTUPUIFGPMMPXVQRVFTUJPOTXJUIJO
UIFOFYUNPOUIw
+PSEBO
i5IJTmSTU5SBEF1PMJDZ3FWJFXPGUIF)BTIFNJUF,JOHEPNPG+PSEBOIBTBMMPXFEVTUP
JNQSPWFPVSVOEFSTUBOEJOHPGJUTUSBEFBOESFMBUFEQPMJDJFT BOEUIFEFWFMPQNFOUTTJODF
JUTBDDFTTJPOUPUIF850JO0VSEJTDVTTJPOTIBWFHSFBUMZCFOFmUFEGSPNUIF
QBSUJDJQBUJPOPG)&"NFS"M)BEJEJ .JOJTUFSPG*OEVTUSZBOE5SBEF BOEIJTEFMFHBUJPO
8FBSFBMTPHSBUFGVMGPSUIFDPOUSJCVUJPOPGPVSEJTDVTTBOU .S5FFQV,IBO BOEGPSUIF
GVMMFOHBHFNFOUPGNBOZNFNCFST
.FNCFSTDPNNFOEFE+PSEBOPOJUTJNQSFTTJWFFDPOPNJDQFSGPSNBODFJOTQJUFPGB
DIBMMFOHJOHFYUFSOBMFOWJSPONFOU)JHISFBM(%1<HSPTTEPNFTUJDQSPEVDU>HSPXUI
SFMBUJWFMZMPXJOnBUJPO BOEBEFDMJOJOHQVCMJDEFCUBSFUIFGSVJUTPGBOBNCJUJPVTFDPOPNJD
SFGPSNQSPHSBNNFDFOUSFEPOTUSVDUVSBMSFGPSNTBOEUSBEFMJCFSBMJ[BUJPO8IJMF+PSEBOT
NFBTVSFTUPMJCFSBMJ[FJUTJOWFTUNFOUSFHJNFXFSFXFMDPNFE JUXBTBMTPOPUFEUIBU
GPSFJHOJOWFTUNFOUSFNBJOTSFTUSJDUFEJODFSUBJOBDUJWJUJFT OPUBCMZUSBOTQPSUTFSWJDFT
.FNCFSTFODPVSBHFE+PSEBOUPJNQSPWFJUTCVTJOFTTFOWJSPONFOU TUSFOHUIFO
DPNQFUJUJWFOFTT BOEGVSUIFSPQFOVQJUTFDPOPNZ XJUIBWJFXUPEJWFSTJGZJOHJU
.FNCFSTSFDPHOJ[FE+PSEBOTDPNNJUNFOUUPUIF850 JODMVEJOHUIFDVSSFOUSPVOEPG
USBEFOFHPUJBUJPOT5IFZBMTPBDLOPXMFEHFE+PSEBOTQBSUJDJQBUJPOJOWBSJPVTSFHJPOBM
BOECJMBUFSBMUSBEFBHSFFNFOUT*UXBTOPUFEUIBUUIFSFEVDUJPOPGCPVOEUBSJGGSBUFT BOE
GVSUIFSTJNQMJmDBUJPOBOESBUJPOBMJ[BUJPOPG+PSEBOTUBSJGGSFHJNFTIPVMEDPOUSJCVUFUP
CFUUFSSFTPVSDFBMMPDBUJPO4PNFNFNCFSTFODPVSBHFE+PSEBOUPSFGPSNJUTHPWFSONFOU
QSPDVSFNFOUSFHJNF BOEMPPLFEGPSXBSEUPJUTBDDFTTJPOUPUIFQMVSJMBUFSBM"HSFFNFOU
PO(PWFSONFOU1SPDVSFNFOU$MBSJmDBUJPOXBTTPVHIUPOXIZBQFOBMUZJTDIBSHFEBU
DVTUPNTXIFOJNQPSUFSTGBJMUPQSFTFOUBOJNQPSUFSDBSE BOEXIZOPUBMMJNQPSUFSTXFSF
FMJHJCMFGPSBOJNQPSUFSDBSE

Implementation "OVNCFSPGDPODFSOTXFSFBMTPSBJTFE OPUBCMZXJUISFHBSEUPDFSUBJOBTQFDUTPG
+PSEBOT414<TBOJUBSZBOEQIZUPTBOJUBSZ>SFHJNF DPNQMJBODFXJUIOPUJmDBUJPO
and monitoring PCMJHBUJPOTVOEFSUIF850 DVTUPNTQSPDFEVSFT JODMVEJOHDVTUPNTGPSNBMJUJFT
JNQPSU
QSPIJCJUJPOTBOEMJDFOTJOH QSJDFDPOUSPMT BOEJOUFSOBMUBYBUJPO.FNCFSTBMTPBTLFE
RVFTUJPOTXJUISFTQFDUUPUFDIOJDBMCBSSJFSTUPUSBEFJOUFMMFDUVBMQSPQFSUZBHSJDVMUVSF
FOFSHZNBOVGBDUVSJOH JODMVEJOHUFYUJMFTBOEDMPUIJOH
BOETFSWJDFT+PSEBOXBT
SFNJOEFEPGJUTDPNNJUNFOUUPQIBTFPVUFYQPSUTVCTJEJFTCZBUUIFMBUFTU4PNF
NFNCFSTBMTPVSHFEUIBUUSBEFSFMBUFEUFDIOJDBMBTTJTUBODFCFQSPWJEFEUP+PSEBO
.FNCFSTFYQSFTTFEUIFJSBQQSFDJBUJPOGPSUIFSFTQPOTFTQSPWJEFECZUIF+PSEBOJBO
EFMFHBUJPOUPRVFTUJPOTUIBUXFSFQPTFEEVSJOHUIFSFWJFXFYFSDJTF BOEMPPLFEGPSXBSE
UPSFDFJWJOHXSJUUFOBOTXFSTUPBOZPVUTUBOEJOHRVFTUJPOTXJUIJOPOFNPOUI
*ODPODMVTJPO NFNCFSTDPOHSBUVMBUFE+PSEBOPOUIFQPTJUJWFFDPOPNJDSFTVMUTJUIBT
BDIJFWFETJODFJUT850BDDFTTJPO5IFZFODPVSBHFE+PSEBOUPQVSTVFJUTSFGPSNTBOE
JNQSPWFJUTNVMUJMBUFSBMDPNNJUNFOUTPOHPPETBOETFSWJDFT XJUIBWJFXUPFOIBODJOH
UIFUSBOTQBSFODZBOEQSFEJDUBCJMJUZPGJUTUSBEFSFHJNF BOEBEIFSFODFUP850QSJODJQMFT
.FNCFSTDPVMEIFMQCZLFFQJOHUIFJSNBSLFUTPQFOGPSQSPEVDUTBOETFSWJDFTPGJOUFSFTU
UP+PSEBO
0ODFBHBJO *UIBOLNFNCFSTGPSUIFJSBDUJWFQBSUJDJQBUJPOJOUIFmSTU5SBEF1PMJDZ3FWJFX
PG+PSEBOBOEUIF4FDSFUBSJBUGPSUIFFYDFMMFOUSFQPSU*BMTPUIBOLUIFJOUFSQSFUFSTGPS
UIFJSVTVBMFGmDJFOUXPSLw
%PNJOJDBO3FQVCMJD
i5IJTUIJSE5SBEF1PMJDZ3FWJFXPGUIF%PNJOJDBO3FQVCMJDIBTCFFOIJHIMZJOGPSNBUJWF
BOEBGGPSEFEUIJT#PEZUIFPQQPSUVOJUZUPBQQSBJTFJOEFUBJMUIFFWPMVUJPOPGUIFDPVOUSZT
USBEFQPMJDJFTTJODF5IJTXBTNBEFQPTTJCMFMBSHFMZCZUIFDPOTUSVDUJWFFOHBHFNFOU
PG"NCBTTBEPST1JBOUJOJBOE)FSO¹OEF[#POB BOEUIFSFTUPGUIFJSUFBN*XPVMEBMTPMJLF
UPBDLOPXMFEHFUIFWBMVBCMFDPOUSJCVUJPOUPUIJTFYFSDJTFPGUIFEJTDVTTBOU .S:JGV-JO
BOEUIBOLNFNCFSTGPSUIFJSQBSUJDJQBUJPO
.FNCFSTXFMDPNFEUIF%PNJOJDBO3FQVCMJDTSBQJEFDPOPNJDSFDPWFSZBGUFSUIF
850NFNCFSTDPNNFOEFEUIF%PNJOJDBO omOBODJBMDSJTJT NBEFQPTTJCMFJOMBSHFQBSUCZUIFJNQMFNFOUBUJPOPGTPVOE
3FQVCMJDTDPNNJUNFOUUPUSBEFMJCFSBMJ[BUJPO mTDBMBOENPOFUBSZQPMJDJFTBTXFMMBTTUSVDUVSBMSFGPSNT)PXFWFS TPNFNFNCFSTOPUFE
CVUTPNFNFNCFSTDPOTJEFSFEUIBUNPSFMJCFSBM UIBUUIFFDPOPNZJTTUJMMQSPOFUPDZDMJDBMnVDUVBUJPOTBOEVSHFEUIF%PNJOJDBO3FQVCMJD
QPMJDJFTBSFOFFEFEJOUIFBHSJDVMUVSFTFDUPS UPQFSTJTUXJUIJUTSFGPSNFGGPSUTJOPSEFSUPCFCFUUFSQSFQBSFEUPGBDFFYUFSOBMTIPDLT*O
UIJTSFTQFDU UIF%PNJOJDBO3FQVCMJDPVUMJOFEUIFNFBTVSFTJUJTUBLJOHBTBSFTQPOTFUP
UIFEFUFSJPSBUJOHDPOEJUJPOTPGUIFXPSMEFDPOPNZ
.FNCFSTSFDPHOJ[FEUIFBDUJWFSPMFPGUIF%PNJOJDBO3FQVCMJDJOUIFNVMUJMBUFSBMUSBEJOH
TZTUFN JOQBSUJDVMBSUIF%%"<%PIB%FWFMPQNFOU"HFOEB>OFHPUJBUJPOT BOEXFMDPNFE
JUTSBUJmDBUJPOPGUIF'JGUI1SPUPDPMUPUIF("54<(FOFSBM"HSFFNFOUPO5SBEFJO
4FSWJDFT>BOEJUTBEIFSFODFUPUIF*5"<*OGPSNBUJPO5FDIOPMPHZ"HSFFNFOU>.FNCFST
UPPLOPUFPGUIFHSFBUJNQPSUBODFUIF%PNJOJDBO3FQVCMJDIBTBUUBDIFEUPJUT
QBSUJDJQBUJPOJOSFHJPOBMUSBEFBHSFFNFOUT BTQBSUPGJUTFGGPSUTUPGVSUIFSJOUFHSBUFJOUP
UIFHMPCBMFDPOPNZ
.FNCFSTDPNNFOEFEUIF%PNJOJDBO3FQVCMJDTDPNNJUNFOUUPUSBEFMJCFSBMJ[BUJPO BT
EFNPOTUSBUFECZJUTVOJMBUFSBM.'/<NPTUGBWPVSFEOBUJPO>UBSJGGSFEVDUJPOTTJODF
5IFZVSHFEUIF%PNJOJDBO3FQVCMJDUPSFEVDFJUTCPVOESBUFTUPSFnFDUBQQMJFEUBSJGGT
JOPSEFSUPJODSFBTFUIFDFSUBJOUZPGJUTJNQPSUSFHJNF.FNCFSTBMTPBDLOPXMFEHFEUIF
%PNJOJDBO3FQVCMJDTFGGPSUTUPGBDJMJUBUFUSBEFBOENPEFSOJ[FDVTUPNT CVUQPTFERVFTUJPOT
BCPVUDFSUBJODVTUPNTWBMVBUJPOQSBDUJDFT.FNCFSTBMTPRVFSJFEUIFUSBOTQBSFODZJOUIF
BEPQUJPOPGUFDIOJDBMSFHVMBUJPOTBOE414<TBOJUBSZBOEQIZUPTBOJUBSZ>NFBTVSFT5IF
%PNJOJDBO3FQVCMJDOPUFEUIBUXPSLJTVOEFSXBZUPTFUVQUIFOFDFTTBSZJOGSBTUSVDUVSF
BOENFDIBOJTNTUPFOTVSFNPSFUJNFMZOPUJmDBUJPOT

.FNCFSTDPNNFOEFEUIF%PNJOJDBO3FQVCMJDGPSUIFTUSFOHUIFOJOHPGJUTMFHBMBOE Implementation
JOTUJUVUJPOBMGSBNFXPSL JODMVEJOHJOUIFBSFBTPGDPNQFUJUJPOQPMJDZ HPWFSONFOU
QSPDVSFNFOU BOEJOUFMMFDUVBMQSPQFSUZSJHIUT4FWFSBMNFNCFSTVSHFEUIF%PNJOJDBO
and monitoring
3FQVCMJDUPDPOUJOVFUBLJOHTUFQTUPFMJNJOBUFUIFEJTUPSUJPOTBSJTJOHGSPNmTDBM
JODFOUJWFT BOEUPDPNQMZXJUIJUTJOUFSOBUJPOBMDPNNJUNFOUTJOUIJTBSFB5IF%PNJOJDBO
3FQVCMJDDPOmSNFEJUTFOHBHFNFOUUPDPNQMZXJUITVDIDPNNJUNFOUT
4PNFNFNCFSTDPOTJEFSFEUIBUNPSFMJCFSBMQPMJDJFTBSFOFFEFEJOUIFBHSJDVMUVSFTFDUPS
BOERVFTUJPOFEUIFBENJOJTUSBUJPOPGUBSJGGSBUFRVPUBT5IF%PNJOJDBO3FQVCMJDTUBUFEUIBU
OPMJNJUTBSFTFUPOUIFJNQPSUBUJPOPGBOZQSPEVDU JODMVEJOHSJDF5IF%PNJOJDBO3FQVCMJD
EFTDSJCFEUIFTUFQTJUJTUBLJOHUPBEESFTTJOFGmDJFODJFTJOUIFFMFDUSJDJUZTFDUPS*UBMTP
OPUFEUIBUJUJTSFWJTJOHJUTCJPGVFMTSFHJNFUPFOTVSFDPOTJTUFODZXJUI850PCMJHBUJPOT
.FNCFSTOPUFEUIFSFGPSNTVOEFSUBLFOCZUIF%PNJOJDBO3FQVCMJDUPNPEFSOJ[FBOE
MJCFSBMJ[FJUTTFSWJDFTFDUPS5IFZFODPVSBHFEUIF%PNJOJDBO3FQVCMJDUPDPOUJOVFBMPOH
UIBUQBUI BOEUPFYQBOEJUT("54DPNNJUNFOUTUPSFnFDUUIFDVSSFOUMFHBMGSBNFXPSL
5IF%PNJOJDBO3FQVCMJDSFQMJFEUPOVNFSPVTRVFTUJPOTQPTFECZNFNCFSTDPODFSOJOH
TQFDJmDBTQFDUTPGJUTTFSWJDFSFHJNF5IF%PNJOJDBO3FQVCMJDGVSUIFSOPUFEUIBU
"/%.0/*503*/(
*.1-&.&/5"5*0/
BNFOENFOUTUPJUTJOTVSBODFSFHVMBUJPOTBSFVOEFSDPOTJEFSBUJPOUPFOTVSFUIFJS
850DPOTJTUFODZ
*ODPODMVTJPO NFNCFSTXFMDPNFEUIF%PNJOJDBO3FQVCMJDTDPNNJUNFOUUPUSBEF
MJCFSBMJ[BUJPO BOEJUTDPOWJDUJPOUIBUUIJTTIPVMECFBDFOUSBMQJMMBSPGEFWFMPQNFOU
5IFDPOTJEFSBCMFSFGPSNTVOEFSUBLFOTJODFIBWFEFNPOTUSBUFEUIF%PNJOJDBO
3FQVCMJDTDBQBDJUZUPXFBUIFSUIFDVSSFOUBEWFSTFHMPCBMFDPOPNJDFOWJSPONFOU BOEUP
GVSUIFSSFTUSVDUVSFJUTFDPOPNZJOPSEFSUPTVTUBJOJUTFDPOPNJDBOETPDJBMEFWFMPQNFOU
*XPVMEMJLFUPDMPTFUIJT3FWJFXCZUIBOLJOHPODFBHBJO"NCBTTBEPST1JBOUJOJBOE
)FSO¹OEF[BOEUIFSFTUPGUIFJSEFMFHBUJPO BTXFMMBTUIFEJTDVTTBOUBOEUIFNFNCFST
UIBUUPPLQBSUJOUIJTNFFUJOH*XPVMEBMTPMJLFUPFYQSFTTNZBQQSFDJBUJPOUPUIF
EFMFHBUJPOPGUIF%PNJOJDBO3FQVCMJDGPSUIFNBOZSFTQPOTFTQSPWJEFEBOEMPPLGPSXBSE
UPSFDFJWJOHSFTQPOTFTUPBOZPVUTUBOEJOHRVFTUJPOTXJUIJOPOFNPOUI'JOBMMZ *UIBOL
UIFJOUFSQSFUFSTGPSUIFJSIBSEXPSLw
4XJU[FSMBOEBOE-JFDIUFOTUFJO
i5IFUIJSEKPJOU3FWJFXPG4XJU[FSMBOEBOE-JFDIUFOTUFJOIBTCFFOJOGPSNBUJWF PQFO
BOEUIPVHIUQSPWPLJOH5IFEFMFHBUJPOPG4XJU[FSMBOE MFECZ)&"NCBTTBEPS*OFJDIFO
'MFJTDI BOEUIFEFMFHBUJPOPG-JFDIUFOTUFJO MFECZ)&"NCBTTBEPS'SJDL IBWFCFFO
IJHIMZDPPQFSBUJWF8FIBWFHSFBUMZCFOFmUFEGSPNUIFQFSDFQUJWFSFNBSLTCZPVS
EJTDVTTBOU .S'BJ[FM*TNBJMPG4PVUI"GSJDB BOEUIFBDUJWFJOWPMWFNFOUPGNBOZNFNCFST
.FNCFSTDPNNFOEFE4XJU[FSMBOEBOE-JFDIUFOTUFJOPOUIFJSFDPOPNJDQFSGPSNBODF
JOSFDFOUZFBST BOETUSFTTFEUIBUFYUFSOBMUSBEF JODMVEJOHBDDFTTUPGPSFJHONBSLFUT
JTDFOUSBMUPCPUIFDPOPNJFT.FNCFSTBQQSFDJBUFEUIFDPNNJUNFOUBOETVQQPSUCZ
CPUIDPVOUSJFTUPUIFNVMUJMBUFSBMUSBEJOHTZTUFN QBSUJDVMBSMZ4XJU[FSMBOETUFDIOJDBM
DPPQFSBUJPOFGGPSUTJOGBWPVSPGEFWFMPQJOHBOEBDDFEJOHDPVOUSJFT.FNCFSTBMTPOPUFE
UIBUCPUIDPVOUSJFTBSFQBSUJDJQBUJOHJOWBSJPVTGSFFUSBEFBSSBOHFNFOUT*OQBSUJDVMBS
4XJU[FSMBOETCJMBUFSBMBHSFFNFOUTXJUIUIFFYQBOEJOH&VSPQFBO$PNNVOJUJFT &$
IBWF
SFTVMUFEJOOPUBCMFNBSLFUMJCFSBMJ[BUJPOCFUXFFOUIFUXPQBSUOFST BOEDPOTJEFSBCMF
DPOWFSHFODFPG4XJTTSFHVMBUJPOTUPUIPTFPGUIF&$-JFDIUFOTUFJOJTBNFNCFSPGUIF
&VSPQFBO&DPOPNJD"SFBBOEBMMUSBEFBHSFFNFOUTDPODMVEFECZ4XJU[FSMBOEBMTPBQQMZ
UP-JFDIUFOTUFJO$PODFSOTXFSFFYQSFTTFEBCPVUUIFQPUFOUJBMMZEJTDSJNJOBUPSZBTQFDUT
PGTVDIFDPOPNJDJOUFHSBUJPOGPSPUIFS850NFNCFST BOEJOGPSNBUJPOXBTTPVHIUBCPVU
UIFGVUVSFCJMBUFSBMBHSFFNFOUTCFUXFFO4XJU[FSMBOEBOE+BQBO BOECFUXFFO&'5"
<&VSPQFBO'SFF5SBEF"TTPDJBUJPO>BOE$BOBEB

Implementation .FNCFSTOPUFEUIBUUIFUBSJGGTUSVDUVSFGPS4XJU[FSMBOEBOE-JFDIUFOTUFJOIBTSFNBJOFE
VODIBOHFETJODFUIFJSMBTU3FWJFXJO BOEFORVJSFEBCPVUQMBOTUPNPWFBXBZ
and monitoring GSPNTQFDJmDUPBEWBMPSFNEVUJFTUPSFEVDFUBSJGGQFBLTBOEFMJNJOBUFOVJTBODFSBUFT
.FNCFSTDPNNFOEFE4XJU[FSMBOEBOE-JFDIUFOTUFJOGPSNBJOUBJOJOHHFOFSBMMZMPXUBSJGG
QSPUFDUJPOGPSOPOBHSJDVMUVSBMQSPEVDUT BOE4XJU[FSMBOEGPSJNQMFNFOUJOHBHSJDVMUVSBM
SFGPSNTXJUIUIFJOUFOUJPOPGFMJNJOBUJOHFYQPSUTVCTJEJFTGPSACBTJDBHSJDVMUVSBMQSPEVDUT
.FNCFSTPCTFSWFEUIBUUIFBHSJDVMUVSFTFDUPSSFNBJOTIJHIMZQSPUFDUFEBOEUIJTIBT
DPOUSJCVUFEUPIJHIEPNFTUJDQSJDFTGPSBHSJDVMUVSBMBOEGPPEQSPEVDUT$PODFSOTXFSF
SBJTFEBCPVUTQFDJmDNFBTVSFT JODMVEJOHFYQPSUTVCTJEJFT EJSFDUQBZNFOUT UIFQSJDF
DPNQFOTBUJPOTDIFNF BOEUBSJGGRVPUBTBOEUIFJSDPNQMFYBENJOJTUSBUJPOTZTUFN
DPOTJTUJOHPGWBSJPVTQSPDFEVSFT OPUBCMZUIFAQSJTFFODIBSHF5IFZFODPVSBHFE
4XJU[FSMBOEUPDPOTJEFSUIFCFOFmUTPGBNPSFPQFOBHSJDVMUVSFTFDUPSGPSDPOTVNFST
BOEGPPEQSPDFTTPST BTXFMMBTGPSFYQPSUFST
.FNCFSTDPNNFOEFECPUIDPVOUSJFTGPSOPUIBWJOHUBLFOBOZDPOUJOHFODZUSBEF
SFNFEJFT5IFZXFMDPNFEUIFPOHPJOHFGGPSUTUPJODSFBTFEPNFTUJDDPNQFUJUJPO BOE
FODPVSBHFEUIFDPVOUSJFTUPDPOUJOVFXJUIUIFSFGPSNT0UIFSJTTVFTPGJOUFSFTUUP
NFNCFSTJODMVEFFDPOPNJDQSPTQFDUTBOEQMBOOFESFGPSNTJOUIFMJHIUPGUIFHMPCBM
FDPOPNJDTMPXEPXOJOWFTUNFOUSFHJNFT JODMVEJOHJODFOUJWFTDIFNFTBOESFNBJOJOH
SFTUSJDUFEBSFBT
SVMFTPGPSJHJOGPSOPOSFDJQSPDBMQSFGFSFODFTUFDIOJDBMBOETBOJUBSZ
QIZUPTBOJUBSZSFHVMBUJPOTJOUFMMFDUVBMQSPQFSUZSFHJNFBOETFSWJDFT UFMFDPNNVOJDBUJPOT
UPVSJTN DPOTUSVDUJPO QSPGFTTJPOBM BOEmOBODJBMTFSWJDFT

.FNCFSTBQQSFDJBUFEUIFDPNQSFIFOTJWFSFTQPOTFTQSPWJEFECZUIFUXPEFMFHBUJPOT
BOEMPPLFEGPSXBSEUPSFDFJWJOHXSJUUFOBOTXFSTUPBOZTVCTFRVFOURVFTUJPOTUIBUNBZ
CFTVCNJUUFEXJUIJOPOFNPOUI
5IJT3FWJFXIBTHJWFONFNCFSTUIFPQQPSUVOJUZUPHBJOBNVDICFUUFSVOEFSTUBOEJOHPG
UIFQPMJDZEFWFMPQNFOUTJO4XJU[FSMBOEBOE-JFDIUFOTUFJOTJODF5IFXJEFJOUFSFTU
TIPXOCZNFNCFSTJTSFnFDUFEJOUIFEFQUIPGUIFJOUFSWFOUJPOTBOEUIFMBSHFOVNCFS
PGBEWBODFXSJUUFORVFTUJPOT5IFJNQPSUBODFPGGVSUIFSSFGPSNTCZCPUIDPVOUSJFT
JOQBSUJDVMBSHSFBUFSMJCFSBMJ[BUJPOPGBHSJDVMUVSF IBWFCFFOFNQIBTJ[FE*TIPVMEMJLFUP
UIBOLUIFUXPEFMFHBUJPOTGPSUIFJSXJMMJOHBOEDPPQFSBUJWFQSFTFODFJOUIJTNFFUJOH
BOENFNCFSTGPSUIFJSBDUJWFQBSUJDJQBUJPO
0ODFBHBJO *UIBOLNFNCFSTGPSUIFJSBDUJWFQBSUJDJQBUJPOJOUIFUIJSEKPJOU5SBEF1PMJDZ
3FWJFXPG4XJU[FSMBOEBOE-JFDIUFOTUFJO BOEUIF4FDSFUBSJBUGPSUIFFYDFMMFOUSFQPSU
*BMTPUIBOLUIFJOUFSQSFUFSTGPSUIFJSVTVBMFGmDJFOUHPPEXPSLw

Trade, debt and finance Implementation
and monitoring
*OUIF8PSLJOH(SPVQPO5SBEF %FCUBOE'JOBODFNBEFB
TJHOJmDBOUDPOUSJCVUJPOUPSBJTJOHBXBSFOFTTBCPVUUIFHMPCBMMBDL
PGUSBEFmOBODF CPUICZJTTVJOHJUTSFHVMBSSFQPSUTPOUIFPCTUBDMFT
QSFWFOUJOHUSBEFmOBODFGSPNnPXJOHJOEJGmDVMUUJNFTBOECZ
BDUJOHBTBGPSVNGPSEJTDVTTJPOPG8504FDSFUBSJBUJOJUJBUJWFT
*OQBSUJDVMBS JUQSPWJEFEBWFSZVTFGVMGPSVNGPSJOUFSBDUJPO
CFUXFFO850NFNCFSTBOEUIFNVMUJJOTUJUVUJPOBMBEWJTPSZHSPVQ
UIFTPDBMMFE&YQFSU(SPVQPO5SBEF'JOBODF
DPOWFOFECZUIF
850%JSFDUPS(FOFSBM
The Working Group on
5IF8PSLJOH(SPVQNFUUXJDFJO VOEFSUIF$IBJSNBOTIJQPG.BSUJO(MBTT
1FSNBOFOU3FQSFTFOUBUJWFPGUIF)POH,POH4QFDJBM"ENJOJTUSBUJWF3FHJPOPG$IJOB Trade Debt and Finance
acted as a forum between
"/%.0/*503*/(
*.1-&.&/5"5*0/
"UUIFNFFUJOHJO+VMZ BUUIFTVHHFTUJPOPGUIF$IBJS TFWFSBMEFMFHBUJPOTNBEF
TUBUFNFOUTPOJTTVFTUIBUUIFZSFHBSEFEBTJNQPSUBOUGPSUIFEJSFDUJPOPGUIF(SPVQT WTO members and the
XPSL*OQBSUJDVMBS UIFZFNQIBTJ[FEUIFOFFEUPSFWJFXUIFJNQMJDBUJPOTPGUIFDVSSFOU Expert Group on Trade
mOBODJBMDSJTJTGPSUSBEFST JOWFTUPSTBOEGPSUIFXPSMEUSBEJOHTZTUFNJOHFOFSBMo
FTQFDJBMMZSFMBUJOHUPUIFBWBJMBCJMJUZPGUSBEFmOBODFGPSEFWFMPQJOHDPVOUSJFT0OUIJT Finance convened by
JTTVF UIF8504FDSFUBSJBUEFCSJFGFEUIF(SPVQBCPVUUIFPVUDPNFPGBO&YQFSU(SPVQ Pascal Lamy.
.FFUJOHPO5SBEF'JOBODFUIBUIBECFFODPOWFOFECZUIF850PO"QSJM*UXBT
TVHHFTUFECZTPNFNFNCFSTUIBUEFMFHBUJPOTNJHIUGPMMPXVQXJUIXSJUUFOTVCNJTTJPOT
UPFOHBHFUIF8PSLJOH(SPVQJONFBOJOHGVMEJTDVTTJPOPGUIFTFNBUUFST
"UUIFTFDPOENFFUJOHJO/PWFNCFS 850NFNCFSTEJTDVTTFEBXSJUUFOTVCNJTTJPO
GSPN#SB[JMGPDVTJOHPOWBSJPVTJTTVFTMJOLFEUPUIFBWBJMBCJMJUZPGUSBEFmOBODFJOXPSME
NBSLFUT JOQBSUJDVMBSGPSEFWFMPQJOHDPVOUSJFT"SFQSFTFOUBUJWFGSPNUIF4FDSFUBSJBUPG
UIF#BTFM$PNNJUUFFPO#BOLJOH4VQFSWJTJPONBEFBQSFTFOUBUJPOPODFSUBJOJNQPSUBOU
JNQMJDBUJPOTPGUIF#BTFM**GSBNFXPSLGPSUSBEFmOBODJOH TPNFPGXIJDIIBECFFO
SFGFSSFEUPCZ#SB[JMJOJUTTVCNJTTJPO BOEBMTPBOTXFSFERVFTUJPOTGSPNNFNCFST
5IFSFQSFTFOUBUJWFPG)POH,POH $IJOB QSFTFOUFEBXSJUUFOTVCNJTTJPOPONFBTVSFT

UBLFOCZIJTBVUIPSJUJFTUPBEESFTTUIFTDBSDJUZBOESJTJOHDPTUPGUSBEFmOBODF5IF850
4FDSFUBSJBUBMTPEFCSJFGFEUIF8PSLJOH(SPVQPOUIFPVUDPNFPGUIFTFDPOENFFUJOHPG
UIF&YQFSU(SPVQPO5SBEF'JOBODFDPOWFOFECZUIF850PO/PWFNCFS
World Trade Organization Trade, debt and finance

Annual Report 2009 www.wto.org/debtfinance 69
Implementation
and monitoring
Agreement on Government
Procurement
5IF"HSFFNFOUPO(PWFSONFOU1SPDVSFNFOU (1"
JTBQMVSJMBUFSBM
BHSFFNFOU XIJDINFBOTJUPOMZBQQMJFTUP850NFNCFSTXIP
#BDLHSPVOE IBWFTFQBSBUFMZBHSFFEUPCFCPVOECZJU BOEXIPHPUISPVHIB
5IFQSPDVSFNFOUPGHPPETBOETFSWJDFTCZ TFQBSBUFBDDFTTJPOQSPDFTT.FNCFSTIJQPGUIF(1"XBTTFUUP
HPWFSONFOUBHFODJFTUZQJDBMMZBDDPVOUTGPSBU
MFBTUQFSDFOUPG(%15IJTQSPQPSUJPOJT
FYQBOEXJUIBEFDJTJPOMBUFJOPOUIFBDDFTTJPOPG$IJOFTF
DPOUJOVJOHUPHSPXBTDPVOUSJFTJODSFBTFUIFJS 5BJQFJ&JHIUPUIFS850NFNCFSTDPOUJOVFEXJUIUIFQSPDFTTPG
QVCMJDJOGSBTUSVDUVSFTQFOEJOHBTBOFMFNFOUPG BDDFEJOHUPUIF(1""MCBOJB $IJOB (FPSHJB +PSEBO UIF,ZSHZ[
FDPOPNJDTUJNVMVTQBDLBHFT5IF850
"HSFFNFOUPO(PWFSONFOU1SPDVSFNFOU (1"
3FQVCMJD .PMEPWB 0NBOBOE1BOBNB"GVSUIFSTJY850
JODMVEFTBHSPXJOHOVNCFSPGFDPOPNJFT NFNCFSTIBWFQSPWJTJPOTSFHBSEJOHBDDFTTJPOUPUIF(1"JO
DPNNJUUFEUPPQFOJOHVQNBSLFUBDDFTTUPUIF UIFJSSFTQFDUJWF1SPUPDPMTPG"DDFTTJPOUPUIF850"SNFOJB
LFZTFDUPSTPGHPWFSONFOUQSPDVSFNFOUDPWFSFE
CZUIF"HSFFNFOU*UJTEFTJHOFEUPFOTVSFUIBU $SPBUJB UIF'PSNFS:VHPTMBW3FQVCMJDPG.BDFEPOJB .POHPMJB
QBSUJFTUPUIF"HSFFNFOUEPOPUQSPUFDU 4BVEJ"SBCJBBOE6LSBJOF
EPNFTUJDQSPEVDUTPSTVQQMJFST PSEJTDSJNJOBUF
BHBJOTUGPSFJHOQSPEVDUTPSTVQQMJFSTJOUIF
DPWFSFETFDUPST5IF(1"UIFSFGPSFQMBZTBO "UUIFFOEPG UIFQBSUJFTUPUIF(1"XFSF$BOBEBUIF&VSPQFBO$PNNVOJUJFT
JNQPSUBOUSPMFBTBCVMXBSLBHBJOTU JODMVEJOHJUTNFNCFSTUBUFT
)POH,POH $IJOB*DFMBOE*TSBFM+BQBO,PSFB
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Government procurement World Trade Organization

70 www.wto.org/gpa Annual Report 2009
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World Trade Organization Government procurement

Annual Report 2009 www.wto.org/gpa 71
Dispute settlement
In 2008 the Dispute Settlement

Body (DSB) received 19
notifications from WTO members
formally requesting consultations
under the Dispute Settlement
Understanding. During the year
the DSB established three panels
to adjudicate five new cases –
the lowest annual number since
the establishment of the WTO.
Thirteen appeals of panel reports
were filed with the Appellate
Body in 2008.

Dispute settlement activity in 2008 74
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Appellate Body 90

Dispute settlement Dispute settlement activity
in 2008
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Dispute settlement World Trade Organization

74 www.wto.org/disputes Annual Report 2009
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Annual Report 2009 www.wto.org/disputes 75
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Appellate Body World Trade Organization

90 www.wto.org/appellatebody Annual Report 2009
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World Trade Organization Appellate Body

Annual Report 2009 www.wto.org/appellatebody 91
Building trade capacity
Building the trade capacity of

developing countries through
initiatives such as Aid for Trade
was one of the major issues
discussed by the Committee on
Trade and Development in 2008.
During the year, Aid for Trade
focused on three clear priorities:
improving monitoring;
accelerating implementation
of projects; and strengthening
developing-country ownership
of the initiative. A total of 496
training activities were provided
for government officials.

Trade and development 94
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Trade and development World Trade Organization

94 www.wto.org/development Annual Report 2009
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World Trade Organization Small economies

Annual Report 2009 www.wto.org/smalleconomies 95
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Least-developed countries World Trade Organization

96 www.wto.org/Ldcs Annual Report 2009
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World Trade Organization Enhanced Integrated Framework

Annual Report 2009 www.wto.org/eif 97
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Enhanced Integrated Framework World Trade Organization

98 www.wto.org/eif Annual Report 2009
Aid for Trade Building trade capacity
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World Trade Organization Aid for Trade

Annual Report 2009 www.wto.org/aidfortrade 99
Building trade capacity Technical cooperation and
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Technical cooperation and training World Trade Organization

100 www.wto.org/technicalcooperation Annual Report 2009
4JYUZOBUJPOBMBOESFHJPOBMBDUJWJUJFTXFSFIFMEJO"TJBBOEUIF1BDJmD XIJMFJOUIF Figure 1: Trade-related technical
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1 Africa 33%
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World Trade Organization Technical cooperation and training

Annual Report 2009 www.wto.org/technicalcooperation 101
Outreach
In 2008, contact with non-

governmental organizations,
parliamentarians, other
organizations and the general
public was further developed
through a variety of initiatives.
These included the expansion of
the annual WTO Public Forum,
which attracted a record number
of 1,334 people to the WTO in
October. Over 150 information
briefings were conducted at the
WTO in 2008 involving about
4,700 participants.

Relations with non-governmental organizations 104
Reaching out to parliamentarians 106
Building international cooperation 107
Public information activities 108

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Figure 1: Summary of participation in the

2008 Public Forum
University student
Private sector
Parliamentarian
Other
NGO representative
Lawyer
Labour union
Journalist
International organization
Government official
Academic
0 50 100 150 200 250 300 350 400
NGOs World Trade Organization

104 www.wto.org/ngos Annual Report 2009
/(0CSJFmOHT Outreach
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Figure 2: NGO briefings by subject

2008
General Council
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Trade Negotiations Committee NJOJTUFSJBMNFFUJOH
State of play in the Doha Round
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Figure 3: NGO briefings per year from

2000 to 2008
General Council Trade Negotiations Committee
State of play in the Doha Round Other
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2007
2006
2005
Year
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2002
2001
2000
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World Trade Organization NGOs

Annual Report 2009 www.wto.org/ngos 105
Outreach Reaching out to
parliamentarians
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Parliamentarians World Trade Organization

106 www.wto.org/parliamentarians Annual Report 2009
Building international Outreach
cooperation
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World Trade Organization WTO publications

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Secretariat and budget
The WTO Secretariat has

627 regular staff representing
69 nationalities. Renovation
work began in mid-2008 on the
renovation and extension of the
WTO building. Work is expected
to be completed by end-2012.
The WTO derives most of the
income for its annual budget,
which totalled CHF 189,257,600
in 2008, from contributions by
its 153 members.

WTO Secretariat 114
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Budget, finance and administration 120

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Figure 1: WTO Secretariat organization chart – August 2009
Director-General Pascal Lamy

Office of the Director-General
Arancha González Laya
Human Council & Trade Office of Information Appellate

Resources Negotiations Internal Audit and External Body
Monica Lezama Committee Margaret Relations Werner
(Acting Director) Evan Rogerson Kireeta-Mwanja Keith Rockwell Zdouc
Deputy
Deputy Deputy Deputy
Director-General
Director-General Director-General Director-General
Valentine
Alejandro Jara Harsha V. Singh Rufus H. Yerxa
Sendanyoye Rugwabiza
Legal Affairs Development Agriculture and Market Access

Bruce Wilson Shishir Commodities Carmen Luz
Priyadarshi Clemens Guarda
Boonekamp
Rules
Johannes Human
Institute for Training Intellectual Property
and Technical Trade and Antony Taubman
Economic Research Cooperation Environment
and Statistics Hakim Ben Vesile Kulaçoglu
Hammouda Administration and
Patrick Low
General Services
Robert Luther
Trade in Services
Accessions Technical Hamid Mamdouh
Chiedu Osakwe Cooperation Audit
Jorge Viganó Informatics
Ghassan Karam
Trade Policies
Review Languages,
Richard Eglin Documentation and
Information
Management
Christiane Verguin
WTO Secretariat World Trade Organization

114 www.wto.org/secretariat Annual Report 2009
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Abbreviations Further information
ACP African Caribbean Pacific The WTO website contains a wealth of information
ADB Asian Development Bank about the organization and its activities: www.wto.org
APEC Asia-Pacific Economic Cooperation
CBD Convention on Biological Diversity General information about the WTO is available in the
CIS Commonwealth of Independent States following publications, which may all be downloaded
CRO Committee on Rules of Origin free of charge from the website:
CRTA Committee on Regional Trade Agreements
CTD Committee on Trade and Development WTO in Brief
CTE Committee on Trade and Environment WTO in Brief provides a starting point for essential
CTG Council for Trade in Goods information about the WTO. Concise and practical,
DDA Doha Development Agenda this short brochure is an ideal introduction to the WTO.
DDAGTF Doha Development Agenda’s Global Trust Fund
DSB Dispute Settlement Body Understanding the WTO
DSU Dispute Settlement Understanding An introduction to the WTO, what it is, why it was
EC European Communities created, how it works, and what it does, Understanding
EFTA European Free Trade Association the WTO has been written specifically for non-
EIF Enhanced Integrated Framework specialists. More comprehensive than WTO in Brief,
EU European Union this publication details WTO agreements, the dispute
FAO Food and Agriculture Organization settlement process, the Doha Round of negotiations
FDI Foreign direct investment and many other issues.
GATS General Agreement on Trade in Services
GATT General Agreement on Tariffs and Trade 10 Benefits of the WTO Trading System
GCC Gulf Cooperation Council From the money in our pockets and the goods and
GDP Gross domestic product services that we use, to a more peaceful world – the
GIs Geographical indications WTO and the trading system offer a range of benefi ts,
GNI Gross national income some well known, others not so obvious. Ten Benefits
GNP Gross national product of the WTO Trading System tries to reflect the complex
GSP Generalized System of Preferences and dynamic nature of trade.
IMF International Monetary Fund
IPR Intellectual property rights 10 Common Misunderstandings about the WTO
IPU Inter-Parliamentary Union Is it a dictatorial tool of the rich and powerful? Does
ITA Information Technology Agreement it destroy jobs? Does it ignore the concerns of health,
ITC International Trade Centre the environment and development? Emphatically no.
ITTC Institute for Training and Technical Cooperation Criticisms of the WTO are often based on fundamental
LDCs Least-developed countries misunderstandings of the way the WTO works.
MEAs Multilateral environmental agreements This booklet attempts to clear up ten common
Mercosur Southern Common Market misunderstandings.
MFN Most-favoured nation
NAMA Non-agricultural market access Online bookshop
NGO Non-governmental organization Printed publications can be purchased through the
NTBs Non-tariff barriers WTO’s online bookshop: http://onlinebookshop.wto.org
OECD Organisation for Economic Co-operation and Development
OIE World Organization for Animal Health Many publications may be downloaded free of charge
PTAs Preferential trade arrangements from the WTO website: www.wto.org
RAMs Recently acceded members
RTAs Regional trade agreements You may register to receive free alerts when new titles
S&D Special and differential treatment become available.
SCM Subsidies and countervailing measures
SMEs Small and medium-sized enterprises Photo credits
SPS Sanitary and phytosanitary measures Cover photos: top left Ben Visbeek, bottom left
SSM Special safeguard mechanism Asianewsphoto, all other photos Getty.
STDF Standards and Trade Development Facility Pages 9, 10, 12-13, 16, 105, 108: WTO/Jay Louvion.
SVEs Small, vulnerable economies Pages 17, 18, 31, 35: WTO/Annette Walls-Lynch.
TBT Technical barriers to trade Pages 20, 25, 52, 54, 57, 59, 63, 64, 66: Getty.
TNC Trade Negotiations Committee Pages 22, 61: Alamy.
TPR Trade Policy Review Page 100: WTO/Thierry Somakpo.
TPRM Trade Policy Review Mechanism Page 104: WTO/Justin Hession.
TRIMs Trade-related investment measures
TRIPS Trade-related aspects of intellectual property rights
TRTA Trade-related technical assistance
UNCTAD United Nations Conference on Trade and Development
UNDP United Nations Development Programme
UNESCO United Nations Educational, Scientific and Cultural Organization
UNFCCC United Nations Framework Convention on Climate Change
UNIDO United Nations Industrial Development Organization
UNIDROIT International Institute for the Unification of Private Law
VAT Value-added tax
WCO World Customs Organization
WHO World Health Organization
WIPO World Intellectual Property Organization
0 is zero or became zero due to rounding.

$ United States dollars.
Billion means one thousand million.
Minor discrepancies between constituent figures and totals are due to rounding.
Unless otherwise indicated, (i) all value figures are expressed in US dollars; (ii) trade figures include
the intra-trade of free trade areas, customs unions, regional and other country groupings.
ISBN 978-92-870-3680-3
Note Printed by the WTO Secretariat.
This report covers the WTO’s activities in 2008. The word ‘country’ is frequently used to describe WTO members Report designed by Likemind.
whereas a few members are officially ‘customs territories’, and not necessarily countries in the usual sense of the word. © World Trade Organization 2009
The Report is also available in French and Spanish.
World Trade Organization WTO website

Annual Report 2009 www.wto.org
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Switzerland ISBN 978-92-870-3680-3
Tel. switchboard: +41 (0)22 739 51 11
Fax: +41 (0)22 731 42 06
email: enquiries@wto.org
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Annual Report 2009

Who we are The World Trade Organization

Using this report The 2009 Annual Report is

Find out more Website: www.wto.org

Understanding the WTO 02

Outreach 102 0653&"$)

Secretariat and budget 112

Abbreviations and further information inside back cover

World Trade Organization WTO website

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World Trade Organization What is the WTO?

What is the WTO? World Trade Organization

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Committees on Council for

Budget, Finance Sanitary and Phytosanitary Working parties on

Working parties on Technical Barriers to Trade General Agreement on

World Trade Organization What is the WTO?

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Members and observers World Trade Organization

The United States was the largest exporter

Cape Verde joined the WTO in July 2008.

Before joining the WTO,

World Trade Organization Members and observers

In 2008, work towards concluding the Doha Round

Trade Implementation and Dispute

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World Trade Organization

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Building Outreach Did you know?

World Trade Organization

WTO Director-General World Trade Organization

World Trade Organization WTO Director-General

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World Trade Organization

World Trade Organization

Work to conclude the Doha

World Trade Organization

World Trade Organization

Doha Development Agenda World Trade Organization

World Trade Organization Agriculture negotiations

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Non-agricultural negotiations World Trade Organization

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World Trade Organization Services negotiations

Services negotiations World Trade Organization

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World Trade Organization Intellectual property

Intellectual property World Trade Organization

World Trade Organization Trade and development

Trade and development World Trade Organization

World Trade Organization Trade and environment Trade facilitation negotiations

Rules negotiations World Trade Organization

World Trade Organization Dispute settlement

WTO councils and committees

World Trade Organization

Trade-related aspects of intellectual

Trade and environment 47

Regional trade agreements 48

Trade policy reviews 51

Trade, debt and ﬁnance 69

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