ANNEX III

PERIODIC REPORTING ON THE APPLICATION OF THE WORLD HERITAGE CONVENTION


Format
[Links are to Explanatory Notes]



EXECUTIVE SUMMARY

SECTION I: APPLICATION OF THE WORLD HERITAGE CONVENTION BY THE STATE PARTY

I.1.   Introduction
 
  1. State Party
  2. Year of ratification or acceptance of the Convention
  3. Organization(s) or entity(ies) responsible for the preparation of the report
  4. Date of the report
  5. Signature on behalf of State Party
I.2.   Identification of cultural and natural heritage properties
 
  1. National inventories
  2. Tentative List
  3. Nominations
I.3.   Protection, conservation and presentation of the cultural and natural heritage
 
  1. General policy development
  2. Status of services for protection, conservation and presentation
  3. Scientific and technical studies and research
  4. Measures for identification, protection, conservation, presentation and rehabilitation
  5. Training
I.4.   International co-operation and fund raising
I.5.   Education, information and awareness building
I.6.   Conclusions and recommended action
 
  1. Main conclusions
  2. Proposed future action(s)
  3. Responsible implementing agency(ies)
  4. Timeframe for implementation
  5. Needs for international assistance.

SECTION II: STATE OF CONSERVATION OF SPECIFIC WORLD HERITAGE PROPERTIES

II.1.   Introduction
 
  1. State Party
  2. Name of World Heritage property
  3. Geographical coordinates to the nearest second
  4. Date of inscription on the World Heritage List
  5. Organization(s) or entity(ies) responsible for the preparation of the report
  6. Date of report
  7. Signature on behalf of State Party
II.2.   Statement of significance
II.3.   Statement of authenticity/integrity
II.4.   Management
II.5.   Factors affecting the property
II.6.   Monitoring
II.7.   Conclusions and recommended action
 
  1. Main conclusions regarding the state of the World Heritage values of the property (see items II.2. and II.3. above)
  2. Main conclusions regarding the management and factors affecting the property (see Items II.4 and II.5. above)
  3. Proposed future action/actions
  4. Responsible implementing agency/agencies
  5. Timeframe for implementation
  6. Needs for international assistance.





Periodic Reporting on the application of the World Heritage Convention


Explanatory Notes



INTRODUCTION

(i)     These Explanatory Notes are designed to provide guidance to those preparing periodic reports. They relate to the headings under which information is sought. Periodic reports should provide information under each of these headings. They should be signed by a responsible official on behalf of the State Party. These notes, particularly those referring to Section II of the periodic reports, are intended to be read in conjunction with the Explanatory Notes on the Format for the nomination of properties for inclusion on the World Heritage List that were adopted by the World Heritage Committee at its twentieth session. The nomination Format and the Explanatory Notes to it are available from the UNESCO World Heritage Centre (document number WHC-97/WS/6 and on the UNESCO World Heritage Internet pages http://www.unesco.org/whc/).


Background

(ii)     The twenty-ninth General Conference of UNESCO, held in 1997,

Invited the States Parties to the Convention for the Protection of the World Cultural and Natural Heritage to submit to it in accordance with Article 29 of the Convention, through the World Heritage Committee, via its Secretariat, the UNESCO World Heritage Centre, reports on the legislative and administrative provisions they have adopted and other actions which they have taken for the application of the Convention, including the state of conservation of the World Heritage properties located on their territories;

Requested the World Heritage Committee to define the periodicity, form, nature and extent of the periodic reporting on the application of the World Heritage Convention and on the state of conservation of World Heritage properties and to examine and respond to these reports in accordance with the principle of State sovereignty;

Requested the World Heritage Committee to include in its reports to the General Conference, submitted in accordance with Article 29.3 of the Convention, its findings with regard to the application of the Convention by the States Parties.

(iii)     The World Heritage Committee, at its twenty-second session held in 1998, adopted the Format and Explanatory Notes contained in this document and decided to:
  1. Invite States Parties to the World Heritage Convention to submit, in accordance with Article 29 of the World Heritage Convention and the decisions of the Eleventh General Assembly of States Parties and the 29th General Conference of UNESCO, periodic reports on the legislative and administrative provisions and other actions which they have taken for the application of the World Heritage Convention, including the state of conservation of the World Heritage properties located on its territories ;

  2. Invite States Parties to submit periodic reports every six years using the Format for periodic reports as adopted by the World Heritage Committee at its twenty-second session ;

  3. Express its wish to examine the States Parties? periodic reports region by region. This will include the state of conservation of properties inscribed on the World Heritage List according to the following table:

    RegionExamination of properties inscribed up to and including Year of Examination by Committee
    Arab States
    Africa
    Asia and the Pacific
    Latin America and the Caribbean
    Europe and North America
    1992
    1993
    1994
    1995
    1996/1997
    2000
    2001
    2002
    2003
    2004/2005

  4. Request the Secretariat, jointly with the Advisory Bodies, and making use of States Parties, competent institutions and expertise available within the region, to develop regional strategies for the periodic reporting process as per the time table established under (c) above. These strategies should respond to specific characteristics of the regions and should promote coordination and synchronization between States Parties, particularly in the case of transboundary properties.
    Purpose of periodic reporting

(iv)     The periodic reporting on the application of the World Heritage Convention is intended to serve four main purposes:

  • to provide an assessment of the application of the World Heritage Convention by the State Party;

  • to provide an assessment as to whether the World Heritage values of the properties inscribed on the World Heritage List are being maintained over time;

  • to provide up-dated information about the World Heritage properties to record the changing circumstances and state of conservation of the properties;

  • to provide a mechanism for regional co-operation and exchange of information and experiences between States Parties concerning the implementation of the Convention and World Heritage conservation.

    Format for periodic reports
(v)     The Format for the periodic reports by the States Parties consists of two sections:

Section I refers to the legislative and administrative provisions which the State Party has adopted and other actions which it has taken for the application of the Convention, together with details of the experience acquired in this field. This particularly concerns the general obligations and commitments defined in specific articles of the Convention.

Section II refers to the state of conservation of specific World Heritage properties located on the territory of the State Party concerned. This Section should be completed for each World Heritage property.

    General Requirements
(vi)     Information should be as precise and specific as possible. It should be quantified where possible and fully referenced.

(vii)     Information should be concise. In particular long historical accounts of sites and events which have taken place there should be avoided, especially when they can be found in readily available published sources.

(viii)     Expressions of opinion should be supported by reference to the authority on which they are made and the verifiable facts which support them.

(ix)     Periodic reports should be completed on A4 paper (210mm x 297mm) with maps and plans a maximum of A3 paper (297mm x 420mm). States Parties are also encouraged to submit the full text of the periodic reports in electronic form.



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SECTION I:  APPLICATION OF THE WORLD HERITAGE CONVENTION BY THE STATE PARTY

(I.i)     The Convention concerning the Protection of the World Cultural and Natural Heritage was adopted by the General Conference of the United Nations Educational, Scientific and Cultural Organization at its seventeenth session on 16 November 1972. The World Heritage Committee, established under the World Heritage Convention, has prepared the Operational Guidelines for the Implementation of the World Heritage Convention which guide the work of the Committee in establishing the World Heritage List and the List of World Heritage in Danger, granting international assistance and treating other questions related to the implementation of the Convention.

(I.ii)    In ratifying or accepting the World Heritage Convention, States Parties accept their duty of ensuring the identification, protection, conservation, presentation and transmission to future generations of the cultural and natural heritage (Article 4) as defined in the Convention (Articles 1 and 2). These measures are further defined in several Articles in the Convention, e.g. Articles 5, 6, 11, 16, 17, 18, 27 and 28.

(I.iii)    In Section I of the periodic report, States Parties are requested to ?give information on the legislative and administrative provisions which they have adopted and other action which they have taken for the application of this Convention, together with details of the experience acquired in this field? (Article 29.1 of the World Heritage Convention).

(I.iv)     States Parties are invited to provide information under the following headings:

I.1. Introduction

  1. State Party
  2. Year of ratification or acceptance of the Convention
  3. Organization(s) or entity(ies) responsible for the preparation of the report
  4. Date of the report
  5. Signature on behalf of State Party

I.2. Identification of cultural and natural heritage properties

This item refers in particular to Articles 3, 4 and 11 of the Convention regarding the identification of cultural and natural heritage and the nomination of properties for inscription on the World Heritage List.

a. National inventories

Inventories of cultural and natural heritage of national significance form the basis for the identification of possible World Heritage properties. Indicate which institutions are in charge of the preparation and keeping up-to-date of these national inventories and if, and to what extent, inventories, lists and/or registers at the local, state and/or national level exist and have been completed.

b. Tentative List

Article 11 of the Convention refers to the submission by States Parties of inventories of property suitable for inclusion in the World Heritage List. Provide the date of submission of the Tentative List or any revision made since its submission. States Parties are also encouraged to provide a description of the process of preparation and revision of the Tentative List, e.g. has(have) any particular institution(s) been assigned the responsibility for identifying and delineating World Heritage properties, have local authorities and local population been involved in its preparation? If so, provide exact details.

c. Nominations

List properties that have been nominated for inscription on the World Heritage List. States Parties are encouraged to provide an analysis of the process by which these nominations are prepared, the collaboration and co-operation with local authorities and people, the motivation, obstacles and difficulties encountered in that process and perceived benefits and lessons learnt.

I.3. Protection, conservation and presentation of the cultural and natural heritage

This item refers in particular to Articles 4 and 5 of the Convention, in which States Parties recognise their duty of ensuring the identification, protection, conservation, presentation and transmission to future generations of the cultural and natural World Heritage and that effective and active measures are taken to this effect. Article 5 of the Convention specifies the following measures:

a. General policy development

Provide information on the adoption of policies that aim to give the cultural and natural heritage a function in the life of the community. Provide information on the way the State Party or the relevant authorities has(have) taken steps to integrate the protection of World Heritage properties into comprehensive planning programmes. Areas where improvement would be desirable, and towards which the State Party is working should be indicated.

b. Status of services for protection, conservation and presentation

Provide information on any services within the territories of the State Party which have been set up or have been substantially improved since the previous periodic report, if applicable. Particular attention should be given to services aiming at the protection, conservation and presentation of the cultural and natural heritage, indicating the appropriate staff and the means to discharge their functions. Areas where improvement would be desirable, and towards which the State Party is working should be indicated.

c. Scientific and technical studies and research

List significant scientific and technical studies or research projects of a generic nature that would benefit World Heritage properties, initiated or completed since the last periodic report. Areas where improvement would be desirable, and towards which the State Party is working should be indicated.

Site specific scientific studies or research projects should be reported upon under Section II.4.

d. Measures for identification, protection, conservation, presentation and rehabilitation

Indicate appropriate legal and administrative measures that the State Party or relevant authorities have taken for the identification, protection, conservation, presentation and rehabilitation of cultural and natural heritage. Particular attention should be given to measures concerning visitor management and development in the region. The State Party is also encouraged to indicate if, on the basis of the experiences gained, policy and/or legal reform is considered necessary. It is also relevant to note which other international conventions for the protection of cultural or natural heritage have been signed or ratified by the State Party and if so, how the application of these different legal instruments is co- ordinated and integrated in national policies and planning.

Indicate relevant scientific, and technical measures that the State Party or relevant institutions within the State have taken for the identification, protection, conservation, presentation and rehabilitation of cultural and natural heritage.

Indicate relevant financial measures that the State Party or relevant authorities have taken for the identification, protection, conservation, presentation and rehabilitation of cultural and natural heritage.

Information on the presentation of the heritage can refer to publications, internet web-pages, films, stamps, postcards, books etc.

Areas where improvement would be desirable, and towards which the State Party is working should be indicated.

e. Training

Provide information on the training and educational strategies that have been implemented within the State Party for professional capacity building, as well as on the establishment or development of national or regional centres for training and education in the protection, conservation, and presentation of the cultural and natural heritage, and the degree to which such training has been integrated within existing university and educational systems.

Indicate the steps that the State has taken to encourage scientific research as a support to training and educational activities.

Areas where improvement would be desirable, and towards which the State Party is working should be indicated.

I.4. International co-operation and fund raising

This item refers particularly to Articles 4, 6, 17 and 18 of the Convention.

Provide information on the co-operation with other States Parties for the identification, protection, conservation and preservation of the World Heritage located on their territories.

Also indicate which measures have been taken to avoid damage directly or indirectly to the World Heritage on the territory of other States Parties.

Have national, public and private foundations or associations been established for, and has the State Party given assistance to, raising funds and donations for the protection of the World Heritage?

I.5. Education, information and awareness building

This item refers particularly to Articles 27 and 28 of the Convention on educational programmes.

Indicate steps that the State Party has taken to raise the awareness of decision-makers, property owners, and the general public about the protection and conservation of cultural and natural heritage.

Provide information on education (primary, secondary and tertiary) and information programmes that have been undertaken or are planned to strengthen appreciation and respect by the population, to keep the public broadly informed of the dangers threatening the heritage and of activities carried out in pursuance of the Convention. Does the State Party participate in the UNESCO Special Project Young People?s Participation in World Heritage Preservation and Promotion?

Information on site-specific activities and programmes should be provided under item II.4 below.

I.6. Conclusions and recommended action

The main conclusions under each of the items of Section I of the report should be summarized and tabulated together with the proposed action(s) to be taken, the agency(ies) responsible for taking the action(s) and the timeframe for its execution:

  1. Main conclusions
  2. Proposed future action(s)
  3. Responsible implementing agency(ies)
  4. Timeframe for implementation
  5. Needs for international assistance

States Parties are also encouraged to provide in their first periodic report an analysis of the process by which they ratified the Convention, the motivation, obstacles and difficulties encountered in that process and perceived benefits and lessons learnt.

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SECTION II:  STATE OF CONSERVATION OF SPECIFIC WORLD HERITAGE PROPERTIES

II.1.     The twenty-ninth General Conference of UNESCO, in its decision regarding the application of Article 29 of the World Heritage Convention, invited the States Parties to submit reports on the application of the World Heritage Convention, including the state of conservation of the World Heritage properties located on their territories.

(II.ii)     The primary documents in respect of each World Heritage property are the nomination dossier as it was submitted by the State Party and the decision of the World Heritage Committee regarding the inscription of the property on the World Heritage List.

(II.iii)     The preparation of periodic state of conservation reports should involve those who are responsible for the day-to-day management of the property. For trans-boundary properties it is recommended that reports be prepared jointly by or in close collaboration between the agencies concerned. The preparation of periodic state of conservation reports could include expert advice from the Secretariat and/or the Advisory Bodies, if and when the State Party(ies) concerned so wish(es).

(II.iv)     The first periodic report should update the information provided in the original nomination dossier. Subsequent reports will then focus on any changes that may have occurred since the previous report was submitted.

This section of the periodic report follows, therefore, the format for the nomination dossier.

(II.v)     The state of properties included in the List of World Heritage in Danger is reviewed by the World Heritage Committee at regular intervals, in general once every year. This review concentrates on the specific factors and considerations that led to the inscription of the property on the List of World Heritage in Danger. It will still be necessary to prepare a complete periodic report on the state of conservation of these properties.

(II.vi)     This section should be completed for each individual World Heritage property. States Parties are invited to provide information under the following headings:

II.1. Introduction

  1. State Party
  2. Name of World Heritage property
  3. Geographical coordinates to the nearest second
  4. Date of inscription on the World Heritage List
  5. Organization(s) or entity(ies) responsible for the preparation of the report
  6. Date of report
  7. Signature on behalf of State Party

II.2 Statement of Significance

At the time of inscription of a property on the World Heritage List, the World Heritage Committee indicates its World Heritage values by deciding on the criteria for inscription. Please indicate the justification for inscription provided by the State Party, and the criteria under which the Committee inscribed the property on the World Heritage List.

In the view of the State Party, does the statement of significance adequately reflect the World Heritage values of the property or is a re-submission necessary? This could be considered, for example, to recognise cultural values of a natural World Heritage property, or vice-versa. This may become necessary either due to the substantive revision of the criteria by the World Heritage Committee or due to better identification or knowledge of specific outstanding universal values of the property.

Another issue that might be reviewed here is whether the delimitation of the World Heritage property, and its buffer zone if appropriate, is adequate to ensure the protection and conservation of the World Heritage values embodied in it. A revision or extension of the boundaries might be considered in response to such a review.

If a statement of significance is not available or incomplete, it will be necessary, in the first periodic report, for the State Party to propose such a statement. The statement of significance should reflect the criterion (criteria) on the basis of which the Committee inscribed the property on the World Heritage List. It should also address questions such as: What does the property represent, what makes the property outstanding, what are the specific values that distinguish the property, what is the relationship of the site with its setting, etc.? Such statement of significance will be examined by the Advisory Body(ies) concerned and transmitted to the World Heritage Committee for approval, if appropriate.

II.3. Statement of authenticity/integrity

Under this item it is necessary to review whether the values on the basis of which the property was inscribed on the World Heritage List, and reflected in the statement of significance under item II.2 above, are being maintained.

This should also include the issue of authenticity/integrity in relation to the property. What was the evaluation of the authenticity/integrity of the property at the time of inscription? What is the authenticity/integrity of the property at present?

Please note that a more detailed analysis of the conditions of the property is required under item II.6 on the basis of key indicators for measuring its state of conservation.

II.4 Management

Under this item, it is necessary to report on the implementation and effectiveness of protective legislation at the national, provincial or municipal level and/or contractual or traditional protection as well as of management and/or planning control for the property concerned, as well as on actions that are foreseen for the future, to preserve the values described in the statement of significance under item II.2.

The State Party should also report on significant changes in the ownership, legal status and/or contractual or traditional protective measures, management arrangements and management plans as compared to the situation at the time of inscription or the previous periodic report. In such case, the State Party is requested to attach to the periodic report all relevant documentation, in particular legal texts, management plans and/or (annual) work plans for the management and maintenance of the property. Full name and address of the agency or person directly responsible for the property should also be provided.

The State Party could also provide an assessment of the human and financial resources that are available and required for the management of the property, as well as an assessment of the training needs for its staff.

The State Party is also invited to provide information on scientific studies, research projects, education, information and awareness building activities directly related to the property and to comment on the degree to which heritage values of the property are effectively communicated to residents, visitors and the public. Matters that could be addressed are, among other things: is there a plaque at the site indicating that the property is a World Heritage property? Are there educational programmes for schools? Are there special events and exhibitions? What facilities, visitor centre, site museum, trails, guides, information material etc. are made available to visitors? What role does the World Heritage designation play in all these programmes and activities?

Furthermore, the State Party is invited to provide statistical information, if possible on an annual basis, on income, visitor numbers, staff and other items if appropriate.

On the basis of the review of the management of the property, the State Party may wish to consider if a substantive revision of the legislative and administrative provisions for the conservation of the property is required.

II.5 Factors affecting the property

Please comment on the degree to which the property is threatened by particular problems and risks. Factors that could be considered under this item are those that are listed in the nomination format, e.g. development pressure, environmental pressure, natural disasters and preparedness, visitor/tourism pressure, number of inhabitants.

Considering the importance of forward planning and risk preparedness, provide relevant information on operating methods that will make the State Party capable of counteracting dangers that threaten or may endanger its cultural or natural heritage. Problems and risks to be considered could include earthquakes, floods, land-slides, vibrations, industrial pollution, vandalism, theft, looting, changes in the physical context of properties, mining, deforestation, poaching, as well as changes in land-use, agriculture, road building, construction activities, tourism. Areas where improvement would be desirable, and towards which the State Party is working should be indicated.

This item should provide up-to-date information on all factors which are likely to affect or threaten the property. It should also relate those threats to measures taken to deal with them.

An assessment should also be given if the impact of these factors on the property is increasing or decreasing and what actions to address them have been effectively taken or are planned for the future.

II.6 Monitoring

Whereas item II.3 of the periodic report provides an overall assessment of the maintenance of the World Heritage values of the property, this item analyses in more detail the conditions of the property on the basis of key indicators for measuring its state of conservation.

If no indicators were identified at the time of inscription of the property on the World Heritage List, this should be done in the first periodic report. The preparation of a periodic report can also be an opportunity to evaluate the validity of earlier identified indicators and to revise them, if necessary.

Up-to-date information should be provided in respect of each of the key indicators. Care should be taken to ensure that this information is as accurate and reliable as possible, for example by carrying out observations in the same way, using similar equipment and methods at the same time of the year and day.

Indicate which partners if any are involved in monitoring and describe what improvement the State Party foresees or would consider desirable in improving the monitoring system.

In specific cases, the World Heritage Committee and/or its Bureau may have already examined the state of conservation of the property and made recommendations to the State Party, either at the time of inscription or afterwards. In such cases the State Party is requested to report on the actions that have been taken in response to the observations or recommendations made by the Bureau or Committee.

II.7 Summary of conclusions and recommended actions

The main conclusions under each of the items of the state of conservation report, but in particular as to whether the World Heritage values of the property are maintained, should be summarized and tabulated together with:

  1. Main conclusions regarding the state of the World Heritage values of the property (see items II.2. and II.3. above)
  2. Main conclusions regarding the management and factors affecting the property (see Items II.4 and II.5. above)
  3. Proposed future action/actions
  4. Responsible implementing agency/agencies
  5. Timeframe for implementation
  6. Needs for international assistance

The State Party is also requested to indicate what experience the State Party has obtained which could be relevant to others dealing with similar problems or issues. Please provide names of organizations or specialists who could be contacted for this purpose.

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