Policy Compendium
6. [The World Heritage Committee] (d)ecides to adopt the reformed nomination process, with the Preliminary Assessment as a first phase of the nomination process, and with the current mechanism - as described in the current paragraph 128 of the Operational Guidelines - as a second phase."
Theme: | 2.1 - Nominations to the World Heritage List |
Decision: | 44 COM 11 |
Article 11
1. "Every State Party to this Convention shall, in so far as possible, submit to the World Heritage Committee an inventory of property forming part of the cultural and natural heritage, situated in its territory and suitable for inclusion in the list provided for in paragraph 2 of this Article.
2. On the basis of the inventories submitted by States in accordance with paragraph 1, the Committee shall establish, keep up to date and publish, under the title of "World Heritage List," a list of properties forming part of the cultural heritage and natural heritage, as defined in Articles 1 and 2 of this Convention, which it considers as having outstanding universal value in terms of such criteria as it shall have established. An updated list shall be distributed at least every two years.
3. The inclusion of a property in the World Heritage List requires the consent of the State concerned. The inclusion of a property situated in a territory, sovereignty or jurisdiction over which is claimed by more than one State shall in no way prejudice the rights of the parties to the dispute."
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | Convention Concerning the Protection of the World Cultural and Natural Heritage |
3. "(...)
b) [The World Heritage Committee invites States Parties to the Convention to] identify and nominate cultural and natural heritage properties representing heritage in all its diversity, for inclusion on the World Heritage List."
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | WHC-02/CONF.202/5 The Budapest Declaration on World Heritage |
Paragraph 39
“A partnership approach, underpinned by inclusive, transparent and accountable decision-making, to nomination, management and monitoring provides a significant contribution to the protection of World Heritage properties and the implementation of the Convention.”
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 48
“Nominations of immovable heritage which are likely to become movable will not be considered.”
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 50
“States Parties are invited to submit nominations of properties of cultural and/or natural value considered to be of "Outstanding Universal Value" for inscription on the World Heritage List.”
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 53
“Nominations presented to the Committee shall demonstrate the full commitment of the State Party to preserve the heritage concerned, within its means. Such commitment shall take the form of appropriate policy, legal, scientific, technical, administrative and financial measures adopted and proposed to protect the property and its Outstanding Universal Value.”
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 122
In particular:
a) The Preliminary Assessment provides States Parties with an opportunity for enhanced dialogue with the Advisory Bodies, and it will help to establish the feasibility of a potential nomination and avoid the use of resources in the preparation of nominations that may be unlikely to succeed.
b) The Preliminary Assessment provides guidance on the potential of a site to justify Outstanding Universal Value, including integrity and/or authenticity, and, if information is provided, on the requirements for protection and management. The decision to prepare a full nomination dossier, regardless of the outcome of the Preliminary Assessment, will rest with the concerned State(s) Party(ies).
c) States Parties shall submit their Preliminary Assessment request to the World Heritage Centre according to the timetable set in paragraph 168, and using the standard format provided in Annex 3. The request shall be submitted in English or French, in paper and electronic formats (Word and/or PDF format) and in the required number of printed copies (same as for nomination dossiers): 2 identical copies for cultural and natural sites, and 3 identical copies for mixed sites and cultural landscapes.
d) On receipt of Preliminary Assessment requests from States Parties, the Secretariat will acknowledge receipt, check for completeness (in compliance with Annex 3) and register them. The Secretariat will forward, according to the timetable set in paragraph 168, complete Preliminary Assessment requests to the relevant Advisory Body(ies) for desk review. If necessary, the Advisory Body(ies) will request any additional information from the State(s) Party(ies), which should be submitted to the Secretariat. From the commencement of the Preliminary Assessment, the Advisory Body(ies) will initiate a dialogue with the concerned State(s) Party(ies) to establish a point of contact and agree on the process of exchange. States Parties are encouraged to appoint a technical focal point to ensure that dialogue is effective throughout the process, and to ensure that the conclusions of the Preliminary Assessment are communicated to the relevant stakeholders.
e) The Preliminary Assessment will be undertaken by ICOMOS and IUCN on a joint basis whenever relevant, and will be an independent desk review, which will include consultation with expert reviewers. No mission to the site will be undertaken (see Annex 6). Based on available information, the conclusions of the assessment will include an indication of whether the site may have potential to justify Outstanding Universal Value. If so, specific guidance and advice, in the form of recommendations, will be provided to assist the State(s) Party(ies) in the development of the nomination dossier. The Preliminary Assessment Report by the Advisory Bodies shall be provided to the State(s) Party(ies) via the Secretariat in one of the two working languages of the Convention.
f) The Preliminary Assessment Report by the Advisory Bodies is relevant for up to 5 years. A new Preliminary Assessment is required if a nomination is not submitted by 1 February on the fifth year following the transmission of the Report to the concerned State(s) Party(ies).
g) A State Party may withdraw a Preliminary Assessment request it has submitted, at any time. In such circumstances, any further consideration of a possible nomination will need to be subject to a new request for a Preliminary Assessment.
h) At each session of the World Heritage Committee, the Secretariat will provide a list of Preliminary Assessments requests received and those undertaken, but will not indicate the guidance given by the Advisory Bodies to the concerned State(s) Party(ies) in a completed Preliminary Assessment. However, once a nomination is submitted, the related Preliminary Assessment Report shall be annexed to it.
i) Both Upstream Process and Preliminary Assessment imply guidance at an early stage, prior to the preparation of a nomination, however they are different mechanisms. The Upstream Process is not mandatory. The Preliminary Assessment is a mandatory phase possibly allowing access to the preparation of a nomination dossier. Within an Upstream Process a visit to the site may be possible, while the Preliminary Assessment is carried out exclusively on the basis of a desk review. The Upstream Process may provide general advice, in relation to revision of a Tentative List, while the Preliminary Assessment is undertaken on a single site (whether serial or not) already included on a State Party’s Tentative List. While in general the costs of Upstream Process requests are borne by the requesting State(s) Party(ies), the costs of Preliminary Assessments, being part of the nomination process, are included in the related evaluation process (see also Paragraph 168bis). In terms of sequence, Upstream Process advice should precede the Preliminary Assessment."
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | WHC.21/01 Operational Guidelines for the Implementation of the World Heritage Convention (WHC.21/01 2021) |
Paragraph 123
“Effective and inclusive participation in the nomination process of local communities, indigenous peoples, governmental, non-governmental and private organizations and other stakeholders is essential to enable them to have a shared responsibility with the State Party in the maintenance of the property. States Parties are encouraged to prepare nominations with the widest possible participation of stakeholders and shall demonstrate, as appropriate, that the free, prior and informed consent of indigenous peoples has been obtained, through, inter alia, making the nominations publicly available in appropriate languages and public consultations and hearings.”
Theme: | 2.1 - Nominations to the World Heritage List |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Theme: | 2.1 - Nominations to the World Heritage List |
Decision: | 43 COM 5E |
Paragraph 108
“Each nominated property should have an appropriate management plan or other documented management system which must specify how the Outstanding Universal Value of a property should be preserved, preferably through participatory means.”
Theme: | 2.2.5.3 - Management systems |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 109
“The purpose of a management system is to ensure the effective protection of the nominated property for present and future generations.”
Theme: | 2.2.5.3 - Management systems |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 110
“An effective management system depends on the type, characteristics and needs of the nominated property and its cultural and natural context. Management systems may vary according to different cultural perspectives, the resources available and other factors. They may incorporate traditional practices, existing urban or regional planning instruments, and other planning control mechanisms, both formal and informal. Impact assessments for proposed interventions are essential for all World Heritage properties.”
Theme: | 2.2.5.3 - Management systems |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 111
“In recognizing the diversity mentioned above, common elements of an effective management system could include:
a) a thorough shared understanding of the property, its universal, national and local values and its socio-ecological context by all stakeholders, including local communities and indigenous peoples;
b) a respect for diversity, equity, gender equality and human rights and the use of inclusive and participatory planning and stakeholder consultation processes;
c) a cycle of planning, implementation, monitoring, evaluation and feedback;
d) an assessment of the vulnerabilities of the property to social, economic, environmental and other pressures and changes, including disasters and climate change, as well as the monitoring of the impacts of trends and proposed interventions;
e) the development of mechanisms for the involvement and coordination of the various activities between different partners and stakeholders;
f) the allocation of necessary resources;
g) capacity building;
h) an accountable, transparent description of how the management system functions."
Theme: | 2.2.5.3 - Management systems |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 112
“Effective management involves a cycle of short, medium and long-term actions to protect, conserve and present the nominated property. An integrated approach to planning and management is essential to guide the evolution of properties over time and to ensure maintenance of all aspects of their Outstanding Universal Value. This approach goes beyond the property to include any buffer zone(s), as well as the broader setting. The broader setting may relate to the property’s topography, natural and built environment, and other elements such as infrastructure, land use patterns, spatial organization, and visual relationships. It may also include related social and cultural practices, economic processes and other intangible dimensions of heritage such as perceptions and associations. Management of the broader setting is related to its role in supporting the Outstanding Universal Value. Its effective management may also contribute to sustainable development, through harnessing the reciprocal benefits for heritage and society.”
Theme: | 2.2.5.3 - Management systems |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 117
“States Parties are responsible for implementing effective management activities for a World Heritage property. States Parties should do so in close collaboration with property managers, the agency with management authority and other partners, local communities and indigenous peoples, rights-holders and stakeholders in property management, by developing, when appropriate, equitable governance arrangements, collaborative management systems and redress mechanisms.”Theme: | 2.2.5.3 - Management systems |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 118
“The Committee recommends that States Parties include disaster, climate change and other risk preparedness as an element in their World Heritage site management plans and training strategies.”
Theme: | 2.2.5.3 - Management systems |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
15.c) "[The World Heritage Committee encourages States Parties to] (…) be proactive in relation to development and conservation of World Heritage properties by conducting a Strategic Environmental Assessment (SEA) at the time of nomination to anticipate the impact of any potential development on the Outstanding Universal Value."
Theme: | 2.2.5.5 - Impact assessment |
Decision: | 35 COM 12E |
Paragraph 165
“If a State Party wishes to significantly modify the boundary of a property already on the World Heritage List, the State Party shall submit this proposal as if it were a new nomination (including the requirement to be previously included on the Tentative List – see paragraph 63 and 65). This re-nomination shall be presented by 1 February and will be evaluated in the full year and a half cycle of evaluation according to the procedures and timetable outlined in paragraph 168. This provision applies to extensions, as well as reductions.”Theme: | 2.2.6.4 - Significant modifications to the boundaries |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 45
"Cultural and natural heritage are defined in Articles 1 and 2 of the World Heritage Convention.
Article 1
For the purposes of this Convention, the following shall be considered as "cultural heritage";
- monuments: architectural works, works of monumental sculpture and painting, elements or structures of an archaeological nature, inscriptions, cave dwellings and combinations of features, which are of Outstanding Universal Value from the point of view of history, art or science;
- groups of buildings: groups of separate or connected buildings which, because of their architecture, their homogeneity or their place in the landscape, are of Outstanding Universal Value from the point of view of history, art or science;
- sites: works of man or the combined works of nature and of man, and areas including archaeological sites which are of Outstanding Universal Value from the historical, aesthetic, ethnological or anthropological points of view.
Article 2
For the purposes of this Convention, the following shall be considered as "natural heritage":
- natural features consisting of physical and biological formations or groups of such formations, which are of Outstanding Universal Value from the aesthetic or scientific point of view;
geological and physiographical formations and precisely delineated areas which constitute the habitat of threatened species of animals and plants of Outstanding Universal Value from the point of view of science or conservation;
- natural sites or precisely delineated natural areas of Outstanding Universal Value from the point of view of science, conservation or natural beauty."
Theme: | 2.7.1 - Cultural, Natural and Mixed Properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 46
“Properties shall be considered as "mixed cultural and natural heritage" if they satisfy a part or the whole of the definitions of both cultural and natural heritage laid out in Articles 1 and 2 of the Convention.”
Theme: | 2.7.1 - Cultural, Natural and Mixed Properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Theme: | 2.7.1 - Cultural, Natural and Mixed Properties |
Decision: | 41 COM 9B |
Paragraph 134
“A nominated property may occur:
a) on the territory of a single State Party, or
b) on the territory of all concerned States Parties having adjacent borders (transboundary property).”
Theme: | 2.7.2 - Transboundary and transnational properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 135
“Wherever possible, transboundary nominations should be prepared and submitted by States Parties jointly in conformity with Article 11.3 of the Convention. It is highly recommended that the States Parties concerned establish a joint management committee or similar body to oversee the management of the whole of a transboundary property.”
Theme: | 2.7.2 - Transboundary and transnational properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 136
“Extensions to an existing World Heritage property located in one State Party may be proposed to become transboundary properties.”
Theme: | 2.7.2 - Transboundary and transnational properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
“II. TRANSBOUNDARY AND TRANSNATIONAL NOMINATIONS
6) [The World Heritage Committee] decides to consider as:(a) transboundary nomination, only a property jointly nominated as such, in conformity with Article 11.3 of the Convention, by all concerned States Parties having adjacent borders;
(b) transnational nomination, a serial nomination of properties located in the territory of different States Parties, which need not be contiguous and which are nominated with the consent of all States Parties concerned”.
Theme: | 2.7.2 - Transboundary and transnational properties |
Decision: | 7 EXT.COM 4A |
3. "[The World Heritage Committee] aware of the need to specify the submission modalities for the nomination of transboundary or transnational serial properties on the World Heritage List,
4. (…):
a) The States Parties co-authors of a transboundary or transnational serial nomination can choose, amongst themselves and with a common understanding, the State Party which will be bearing this nomination; and
b) This nomination can be registered exclusively within the ceiling of the bearing State Party."
Theme: | 2.7.2 - Transboundary and transnational properties |
Decision: | 29 COM 18A |
Synthesis based on relevant Committee decisions
The World Heritage Committee requests to ensure the management of a serial property as a unified whole, with an effective and explicit operational coordination between management plans existing for individual component parts of the site and the overall management plan for the property (based on case law on decisions on Nomination).
Theme: |
2.2.5.3 - Management systems 2.7.3 - Serial properties |
See for examples Decisions: | 40 COM 8B.16 43 COM 8B.38 44 COM 8B.25 44 COM 8B.15 |
Paragraph 137
“Serial properties will include two or more component parts related by clearly defined links:
a) Component parts should reflect cultural, social or functional links over time that provide, where relevant, landscape, ecological, evolutionary or habitat connectivity.
b) Each component part should contribute to the Outstanding Universal Value of the property as a whole in a substantial, scientific, readily defined and discernible way, and may include, inter alia, intangible attributes. The resulting Outstanding Universal Value should be easily understood and communicated.
c) Consistently, and in order to avoid an excessive fragmentation of component parts, the process of nomination of the property, including the selection of the component parts, should take fully into account the overall manageability and coherence of the property (see paragraph 114).
and provided it is the series as a whole – and not necessarily the individual parts of it – which are of Outstanding Universal Value.”
Theme: | 2.7.3 - Serial properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 138
“A serial nominated property may occur:
a) on the territory of a single State Party (serial national property); or
b) within the territory of different States Parties, which need not be contiguous and is nominated with the consent of all States Parties concerned (serial transnational property).”
Theme: | 2.7.3 - Serial properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
Paragraph 139
“Serial nominations, whether from one State Party or multiple States, may be submitted for evaluation over several nomination cycles, provided that the first property nominated is of Outstanding Universal Value in its own right. States Parties planning serial nominations phased over several nomination cycles are encouraged to inform the Committee of their intention in order to ensure better planning.”
Theme: | 2.7.3 - Serial properties |
Source: | OG Operational Guidelines for the Implementation of the World Heritage Convention (WHC.19/01 - 10 July 2019) |
35. (i) “States Parties may propose in one single nomination several individual cultural properties, which may be in different geographical locations but which should:
- be linked because they belong to the same historic-cultural group, or
- be the subject of a single safeguarding project, or
- belong to the same type of property characteristic of the zone
(…)
Each State Party submits only the cultural properties situated on its territory (even if these properties belong to an ensemble which goes beyond its borders) but it may come to an agreement with another State Party in order to make a joint submission”.
Theme: | 2.7.3 - Serial properties |
Decision: | 3 COM XI.35 |
19. "(...)
(e) States Parties may propose in a single nomination a series of cultural properties in different geographical locations, provided that they are related because they belong : (i) to the same historico-cultural group or (ii) to the same type of property which is characteristic of the geographical zone and provided that it is the series as such and not its components taken individually, which is of outstanding universal value."
Theme: | 2.7.3 - Serial properties |
Decision: | 4 COM VI.18-20 |
2. "[The World Heritage Committee notes] that some large complex serial transnational nominations may benefit from an agreed nomination strategy before their official submission, (…);
5. [The World Heritage Committee] emphasizes that, if and when, it takes note of a nomination strategy, this is not prejudicial and does not imply that the complex serial transnational nominations proposed would necessarily lead to an inscription on the World Heritage List."
Theme: | 2.7.3 - Serial properties |
Decision: | 41 COM 8B.50 |
The World Heritage Policy Compendium was elaborated thanks to the generous contribution of the Government of Australia.
The World Heritage Policy Compendium On-line tool was developed thanks to the generous contribution of the Government of Korea.