OPERATIONAL DIRECTIVES FOR THE IMPLEMENTATION OF THE CONVENTION FOR THE SAFEGUARDING OF THE INTANGIBLE CULTURAL HERITAGE

Table of Contents

Paragraphs

Chapter 1

Safeguarding Intangible Cultural Heritage

 1 - 58

1.1

Inscription on the Urgent Safeguarding List

 1 - 18

1.2

Inscription on the Representative List

 19 - 33

1.3

Incorporation of items proclaimed “Masterpieces of the Oral and Intangible Heritage of Humanity” into the Representative List

 34 - 42

1.4

Programmes, projects and activities that best reflect the principles and objectives of the Convention

 43 - 58

Chapter 2

Intangible Cultural Heritage Fund and International Assistance

 59 - 75

2.1

Guidelines for the use of the resources of the Fund

 59 - 60

2.2

International assistance

 61 - 75

Chapter 3

Participation in the implementation of the Convention

 76 - 95

3.1

Participation of communities, groups and, where applicable, individuals, as well as experts, centres of expertise and research institutes

 76 - 86

3.2

Non-governmental organizations and the Convention

87 - 95

Chapter 4

Reports by States Parties on the implementation of the Convention

 96 - 114

Abbreviations

Article

Article of the Convention, unless otherwise specified

Committee

Intergovernmental Committee for the Safeguarding of the Intangible Cultural Heritage

Convention

Convention for the Safeguarding of the Intangible Cultural Heritage

Director-General

Director-General of the United Nations Educational, Scientific and Cultural Organization

Fund

Intangible Cultural Heritage Fund

General Assembly

General Assembly of the States Parties to the Convention

ICH

Intangible Cultural Heritage

Masterpieces

Masterpieces of the Oral and Intangible Heritage of Humanity

Representative List

Representative List of the Intangible Cultural Heritage of Humanity

State Party

State Party to the Convention for the Safeguarding of the Intangible Cultural Heritage

UNESCO

United Nations Educational, Scientific and Cultural Organization

Urgent Safeguarding List

List of Intangible Cultural Heritage in Need of Urgent Safeguarding

1.COM

First session of the Committee

1.EXT.COM

First extraordinary session of the Committee

1.GA

First session of the General Assembly

2.COM

Second session of the Committee

2.EXT.COM

Second extraordinary session of the Committee

Chapter 1

Safeguarding Intangible Cultural Heritage

1.1

Inscription on the Urgent Safeguarding List

Articles 7 (g) (i) and 17

Criteria for inscription

1.EXT.COM 6

1.

In nomination files, the submitting State(s) Party(ies) or, in the case of extreme urgency, the nominator(s) will be requested to demonstrate that an element proposed for inscription on the Urgent Safeguarding List satisfies all of the following criteria:

U.1

The element constitutes intangible cultural heritage as defined in Article 2 of the Convention.

U.2

a.

The element is in urgent need of safeguarding because its viability is at risk despite the efforts of the community, group or, if applicable, individuals and State(s) Party(ies) concerned; (or)

b.

The element is in extremely urgent need of safeguarding because it is facing grave threats as a result of which it cannot be expected to survive without immediate safeguarding.

U.3

Safeguarding measures are elaborated that may enable the community, group or, if applicable, individuals concerned to continue the practice and transmission of the element.

U.4

The element has been nominated following the widest possible participation of the community, group or, if applicable, individuals concerned and with their free, prior and informed consent.

U.5

The element is included in an inventory of the intangible cultural heritage present in the territory(ies) of the submitting State(s) Party(ies), as defined in Articles 11 and 12.

U.6

In cases of extreme urgency, the State(s) Party(ies) concerned has (have) been duly consulted regarding inscription of the element in conformity with Article 17.3.

Nomination procedure

 2.COM 6

2.

Submitting States Parties are requested to use the nomination form annexed to these Operational Directives, and to involve the communities, groups and, where applicable, individuals concerned in the preparation of their nominations.

3.

States Parties are encouraged to jointly submit multi-national nominations when an element is found on the territory of more than one State Party.

4.

A State Party may withdraw a nomination it has submitted at any time prior to evaluation by the Committee, without prejudice to its right to benefit from international assistance under the Convention.

Examination of nominations

5.

With a view to their evaluation by the Committee, nominations shall be examined by preferably more than one advisory organization accredited in conformity with Article 9.1 of the Convention. In conformity with Article 8.4, the Committee may invite public or private bodies and/or private persons with recognized competence in the field of intangible cultural heritage, in order to consult them on specific matters. No nomination will be examined by (a) national(s) of the State(s) Party(ies) submitting the nomination.

6.

Examinations shall include assessment of the nomination’s conformity with the inscription criteria.

7.

Each examination shall include assessment of the viability of the element and of the feasibility and sufficiency of the safeguarding plan. It shall also include assessment of the risk of its disappearing, due, inter alia, to the lack of means for safeguarding and protecting it, or to processes of globalization and social or environmental transformation.

8.

The reports of these examinations shall include a recommendation to the Committee to inscribe, or not to inscribe, the nominated element.

Evaluation and decision by the Committee

9.

The Secretariat will transmit to the Committee an overview of all nominations including summaries, examination reports, and any reactions thereto by the States Parties concerned. The nomination files and examination reports will also be made available to States Parties for their consultation.

10.

After evaluation, the Committee decides whether an element shall or shall not be inscribed on the Urgent Safeguarding List.

Nominations to be processed on an extremely urgent basis

2.COM 6

11.

In case of extreme urgency, and in conformity with Criterion U.6, the Committee may invite the State(s) Party(ies) concerned to submit a nomination on an accelerated schedule. The Committee, in consultation with the State(s) Party(ies) concerned, shall evaluate the nomination as quickly as possible after its submission, in accordance with a procedure to be established by the Committee on a case-by-case basis.

12.

Cases of extreme urgency may be brought to the attention of the Committee by the State(s) Party(ies) on whose territory(ies) the element is located, by any other State Party, by the community concerned or by an advisory organization. The State(s) Party(ies) concerned shall be informed in a timely manner.

Removal of an element from the Urgent Safeguarding List

13.

An element shall be removed from the Urgent Safeguarding List by the Committee when it determines, after assessment of the implementation of the safeguarding plan, that the element no longer satisfies one or more criteria for inscription on that list.

Transfer of an element from one List to the other

14.

An element may not simultaneously be inscribed on the Urgent Safeguarding List and the Representative List. A State Party may request that an element be transferred from one List to the other. Such a request must demonstrate that the element satisfies all of the criteria for the List to which transfer is requested, and shall be submitted according to the established procedures and deadlines for nominations.

Updating and publication of the Urgent Safeguarding List

15.

The nomination files and examination reports of elements inscribed on the List shall be available for consultation at the Secretariat and, to the extent possible, made available on-line for general access.

16.

Upon request of the Committee, the Secretariat publishes the updated Urgent Safeguarding List annually, primarily through the website of the Convention. A printed version will be published every two years, on the occasion of the session of the General Assembly.

Timetable – Overview of procedures[1]

2.COM 6

17.

Phase 1:

Preparation and submission

1 September Year 0

Deadline by which preparatory assistance may be requested from the Committee.

31 March Year 1

Deadline by which nominations must be received by the Secretariat. Nominations received after this date will be examined in the next cycle.

1 June Year 1

Deadline by which the Secretariat will have processed the nominations, including registration and acknowledgement of receipt. If a nomination is found incomplete, the State Party will be advised to complete the nomination.

1 September Year 1

Deadline by which additional information required to complete the nomination, if any, shall be submitted by the State Party to the Secretariat. Nominations that remain incomplete may be completed for the following cycle.

Phase 2:

Examination

September Year 1

Selection by the Committee of one or more advisory organizations, research institutes and/or experts responsible for examination of each nomination file.

October

Year 1 –

April Year 2

Examination.

31 March Year 2

Deadline by which States Parties will have submitted supplementary information requested by the examiners for proper review of a nomination.

1 May Year 2

The Secretariat transmits to the nominating States Parties the relevant examination reports.

1 August Year 2

The Secretariat transmits to the Committee Members the examination reports. The nomination files and examination reports shall also be available on-line for consultation by States Parties.

Phase 3:

Evaluation

September Year 2

The Committee evaluates nominations and makes its decisions.

18

Transitional timetable for the first inscriptions on the List of Intangible Cultural Heritage in Need of Urgent Safeguarding

2.COM 6

1 October 2008

Deadline by which preparatory assistance may be requested for the preparation of nominations.

November 2008

Evaluation of preparatory assistance requests.

15 March 2009

Deadline by which nominations must be received by the Secretariat.

15 April 2009

Deadline by which additional information required to complete the nomination, if any, shall be submitted by the State Party to the Secretariat. Nominations that remain incomplete may be completed for the following cycle (for 2010).

April 2009

Decision by the Committee on examiners for examination of each nomination file.

April – 20 June 2009

Examination by the examiners of the nominations for inscription.

25 June 2009

Deadline by which States Parties will have submitted supplementary information requested by the examiners for proper review of the nomination.

1 July 2009

The Secretariat transmits to the nominating States Parties the relevant examination reports.

August 2009

The Secretariat transmits to the Committee Members the examination reports. The nomination files and the examination reports shall be available to States Parties for information on the website of the Convention.

September 2009

Evaluation by the Committee of the nominations for the first inscriptions on the Urgent Safeguarding List.

 1.2

Inscription on the Representative List

Articles 7 (g)(i) and 16

Criteria for inscription

1.EXT.COM 6

19.

In nomination files, the submitting States Parties will be requested to demonstrate that an element proposed for inscription on the Representative List satisfies all of the following criteria:

R.1

The element constitutes intangible cultural heritage as defined in Article 2 of the Convention.

R.2

Inscription of the element will contribute to ensuring visibility and awareness of the significance of the intangible cultural heritage and to encouraging dialogue, thus reflecting cultural diversity worldwide and testifying to human creativity.

R.3

Safeguarding measures are elaborated that may protect and promote the element.

R.4

The element has been nominated following the widest possible participation of the community, group or, if applicable, individuals concerned and with their free, prior and informed consent.

R.5

The element is included in an inventory of the intangible cultural heritage present in the territory(ies) of the submitting State(s) Party(ies), as defined in Articles 11 and 12.

Nomination procedure

2.COM 6

20.

States Parties are encouraged to jointly submit multi-national nominations when an element is found on the territory of more than one State Party.

21.

Submitting States Parties are requested to use the nomination form annexed to these Operational Directives, and to involve the communities, groups and, where applicable, individuals concerned in the preparation of their nominations.

22.

A State Party may withdraw a nomination it has submitted at any time prior to evaluation by the Committee.

Examination of nominations

2.COM 6

23.

Examination of nominations shall be accomplished by a subsidiary body of the Committee established in accordance with Rule 21 of its Rules of Procedure.

24.

The examination made by the subsidiary body shall include assessment of the nomination’s conformity with the inscription criteria.

25.

The examination report shall include a recommendation to the Committee to inscribe, or not to inscribe, the nominated element.

Evaluation and decision by the Committee

2.COM 6

26.

The subsidiary body will provide to the Committee an overview of all nomination files and a report of their examination, which will also be made available by the Secretariat to States Parties for their consultation.

27.

After evaluation the Committee decides whether an element shall or shall not be inscribed on the Representative List.

28.

If the Committee decides that an element should not be inscribed on the Representative List, the nomination may not be resubmitted to the Committee for inscription on this List, before four years have passed.

Removal of an element from the Representative List

2.COM 6

29.

An element shall be removed from the Representative List when the Committee determines that it no longer satisfies one or more criteria for inscription on that list.

Transfer of an element from one List to the other

2.COM 6

30.

An element may not simultaneously be inscribed on the Representative List and the Urgent Safeguarding List. A State Party may request that an element be transferred from one List to the other. Such a request must demonstrate that the element satisfies all of the criteria for the List to which transfer is requested, and shall be submitted according to the established procedures and deadlines for nominations.

Updating and publication of the Representative List

2.COM 6

31.

The nomination files and examination reports of elements inscribed on the List shall be available for consultation at the Secretariat and, to the extent possible, made available on-line for general access.

32.

Upon request of the Committee, the Secretariat publishes the updated Representative List annually, primarily through the website of the Convention. A printed version will be published every two years, on the occasion of the session of the General Assembly.

Timetable – Overview of procedures

2.COM 6

33.

Phase 1:

Preparation and submission

31 August Year 1[2]

Deadline by which nominations must be received by the Secretariat. Nominations received after this date will be examined in the next cycle.

1 November Year 1

Deadline by which the Secretariat will have processed the nominations, including registration and acknowledgement of receipt. If a nomination is found incomplete, the State Party will be advised to complete the nomination.

15 January Year 2

Deadline by which additional information required to complete the nomination, if any, shall be submitted by the State Party to the Secretariat. Nominations that remain incomplete may be completed for the following cycle.

Phase 2:

Examination

May Year 2

Examination by the subsidiary body.

1 July Year 2

The Secretariat transmits to the nominating States Parties the examination reports by the subsidiary body.

1 August Year 2

The Secretariat transmits to the Committee Members the examination reports. The nomination files and the examination reports shall also be available on-line for consultation by States Parties.

Phase 3:

Evaluation

September Year 2

The Committee evaluates the nominations and makes its decisions.

1.3

Incorporation of items proclaimed “Masterpieces of the Oral and Intangible Heritage of Humanity” in the Representative List

Article 31

2.EXT.COM 7

34.

In conformity with Article 31.1 of the Convention, the Committee shall automatically incorporate in the List foreseen in Article 16 all the items that had been proclaimed “Masterpieces of the Oral and Intangible Heritage of Humanity” before the entry into force of the Convention, following the adoption of the present Operational Directives by the General Assembly.

35.

This incorporation is enforceable upon all States having present on their territories one or several items proclaimed Masterpieces, whether or not they are party to the Convention. Concerning the States non party whose items proclaimed Masterpieces have been incorporated in the List, they shall enjoy all the rights and assume all the obligations included within the Convention as regards only those items present on their territories, on the condition they so consent in writing, it being understood that those rights and obligations cannot be invoked or applied separately from each other.

36.

All States non party having present on their territories items proclaimed Masterpieces shall be notified by the Director-General about the adoption of the present Operational Directives which require that these items be placed on an equal footing with items inscribed in the future, in conformity with Article 16.2, and governed by the same legal regime for monitoring, transfer from one List to the other or withdrawal, according to the modalities foreseen by these Operational Directives.

37.

Through the above-mentioned notification, States non party will simultaneously be invited by the Director-General as mandated by the Committee to express, within one year, their explicit consent in writing to accept the rights and assume the obligations contained in the Convention in accordance with the modalities foreseen in paragraphs 35 and 36 above.

38.

The written notification of this acceptance by the State non party shall be addressed to the Director-General acting in his capacity as Depositary of the Convention, and constitutes submission of the items proclaimed Masterpieces concerned to the full legal regime of the Convention.

39.

In the case that a State non party to the Convention has refused to provide within one year written consent to accept the rights and assume the obligations under the Convention concerning items present on its territory and inscribed on the Representative List, the Committee shall have the right to withdraw these items from the List.

40.

In the case that a State non party to the Convention has not responded to the notification or keeps silent on its intent, or in the case of absence of an explicit indication of its consent within one year, its silence or lack of response will be considered by the Committee as a refusal justifying the application of paragraph 39 above, unless circumstances beyond its control prevent it from notifying its acceptance or refusal.

41.

In the case that an item proclaimed Masterpiece incorporated in the List is found to be on the territories of both a State Party and a State non party to the Convention, it shall be considered as benefiting from the full legal regime established by the Convention, it being understood that the State non party shall be invited by the Director-General as mandated by the Committee to consent to the obligations foreseen by the Convention. In the absence of an explicit indication of the State non party’s consent, the Committee shall have the right to recommend that it refrain from undertaking any act that might harm the item proclaimed Masterpiece so concerned.

42.

The Committee shall report to the General Assembly on the measures undertaken in this respect according to the modalities and formalities foreseen by the present Operational Directives.

1.4

Programmes, projects and activities that best reflect the principles and objectives of the Convention

Article 18

Proposal and selection procedure

2.COM 12

43.

States Parties are encouraged to propose national, subregional or regional programmes, projects and activities for safeguarding intangible cultural heritage to the Committee for selection and promotion as best reflecting the principles and objectives of the Convention.

Article 18.1

44.

In its selection and promotion of safeguarding programmes, projects and activities, the Committee shall pay special attention to the needs of developing countries and to the principle of equitable geographic distribution, while strengthening South-South and North-South-South cooperation.

45.

Such programmes, projects and activities may be completed, in progress, or planned at the time they are proposed to the Committee for selection and promotion.

46.

States Parties may submit proposals individually or jointly. The Committee encourages the submission of subregional or regional programmes, projects and activities as well as those undertaken jointly by States Parties in geographically discontinuous areas.

47.

States Parties may request preparatory assistance for the elaboration of such proposals in accordance with the provisions concerning international assistance, i.e., Articles 20-24 of the Convention.

Article 18.3

48.

Submitting States Parties are requested to use the format annexed to these Directives. A proposal shall be submitted by 1 March of the year in which the Committee is requested to evaluate it.

49.

Initial examination of proposals will be accomplished by a working group of the Committee to be established by it during a session. The working group shall provide the Committee with its opinion of the merits of proposals and a summary recommendation.

50.

The Committee decides whether or not to select a programme, project or activity.

51.

At each session the Committee may explicitly call for proposals characterized by international cooperation, as mentioned in Article 19, and/or focusing on specific priority aspects of safeguarding.

Criteria for selection

2.COM 12

52.

From among the programmes, projects or activities proposed to it, the Committee shall select those that best satisfy all of the following criteria:

a.

The programme, project or activity involves safeguarding, as defined in Article 2.3 of the Convention.

b.

The programme, project or activity promotes the coordination of efforts for safeguarding intangible cultural heritage on regional, subregional and/or international levels.

c.

The programme, project or activity reflects the principles and objectives of the Convention.

d.

If already completed, the programme, project or activity has demonstrated effectiveness in contributing to the viability of the intangible cultural heritage concerned. If still underway or planned, it can reasonably be expected to contribute substantially to the viability of the intangible cultural heritage concerned.

e.

The programme, project or activity has been or will be implemented with the participation of the community, group or, if applicable, individuals concerned and with their free, prior and informed consent.

f.

The programme, project or activity may serve as a subregional, regional or international model, as the case may be, for safeguarding activities.

g.

The submitting State(s) Party(ies), implementing body(ies), and community, group or, if applicable, individuals concerned are willing to cooperate in the dissemination of best practices, if their programme, project or activity is selected.

h.

The programme, project or activity features experiences that are susceptible to an assessment of their results.

i.

The programme, project or activity is primarily applicable to the particular needs of developing countries.

Promotion and dissemination

2.COM 12

53.

The Committee shall encourage research, documentation, publication and dissemination of good practices and models with international cooperation in generating safeguarding measures and creating favourable conditions for such measures that have been evolved by States Parties in the implementation of selected programmes, projects and activities, with or without assistance.

54.

The Committee shall establish, keep up to date, and publish a register of programmes, projects and activities that it has selected as best reflecting the principles and objectives of the Convention.

55.

The Committee shall encourage States Parties to create favourable conditions for the implementation of such programmes, projects and activities.

56.

In addition to the register of selected programmes, projects and activities, the Committee shall compile and make available information about the measures and methodologies used or to be used, and experiences gained, if any.

57.

The Committee shall encourage research on and evaluation of the effectiveness of safeguarding measures included in the programmes, projects and activities that it has selected and shall promote international cooperation in such research and evaluation.

58.

On the basis of experiences gained and lessons learned in these and other safeguarding programmes, projects and activities, the Committee shall provide guidance on best practices and make recommendations on measures for safeguarding intangible cultural heritage (Article 7(b)).

Chapter 2

The Intangible Cultural Heritage Fund and International Assistance

2.1

Guidelines for the use of the resources of the Fund

Articles 7 (c), (d), 25, 27 and 28

1.EXT.COM 9 2.COM 9

59.

The resources of the Fund, which is managed as a special account in conformity with Article 1.1 of its Financial Regulations, shall be used primarily for granting international assistance as described in Chapter V of the Convention.

60.

The resources may further be used:

a.    for the replenishment of the Reserve Fund mentioned in Article 6 of the Financial Regulations;

b.    for the support of other functions of the Committee as described in Article 7 including those related to the proposals mentioned in Article 18;

c.    for the costs of participation in the sessions of the Committee of representatives of developing States Members of the Committee, but only for persons who are experts in intangible cultural heritage, and, if the budget allows, on a case by case basis, for the costs of participation of representatives who are experts in intangible cultural heritage, from developing countries that are Parties to the Convention but not Members of the Committee;

d.    for the costs of advisory services to be provided, at the request of the Committee, by non-governmental and non-profit-making organizations, public or private bodies and private persons.

e.    for the costs of participation of public or private bodies, as well as private persons, notably members of communities and groups, that have been invited by the Committee to its meetings to be consulted on specific matters.

2.2

International assistance

Articles 20, 21, 24.2, 18

2.COM 11

Purposes and forms of international assistance

61.

International assistance provided to States Parties for the safeguarding of intangible cultural heritage is supplementary to national efforts for safeguarding.

62.

The Committee may receive, evaluate and approve requests for any purpose and for any form of international assistance mentioned in Articles 20 and 21 of the Convention respectively, depending on the available resources. Priority is given to requests for international assistance concerning:

a.

the safeguarding of the heritage inscribed on the Urgent Safeguarding List;

Article 20 (a)

b.

the preparation of inventories in the sense of Articles 11 and 12;

Article 20 (b)

c.

support for programmes, projects and activities carried out at the national, subregional and regional levels aimed at the safeguarding of the intangible cultural heritage;

Article 20 (c)

d.

preparatory assistance.

63.

International assistance as described in Articles 20 and 21 may be granted on an emergency basis, as mentioned in Article 22 (emergency assistance).

64.

The Committee may receive, evaluate and approve requests for preparatory assistance aimed to help the elaboration of requests for inscription on the Urgent Safeguarding List referred to in Article 17 and for proposals as referred to in Article 18 (preparatory assistance).

Eligibility and selection criteria

65.

All States Parties are eligible to request international assistance.

66.

When evaluating requests for international assistance, the Committee shall take into account the principle of equitable geographical distribution and the special needs of developing countries. The Committee may also take into account whether:

a.    the request implies cooperation at the bilateral, regional or international levels; and/or,

b.    the assistance may have a multiplier effect and may stimulate financial and technical contributions from other sources.

67.

The Committee will base its decisions on granting assistance on the following criteria:

a.    The community, group and/or individuals concerned participated in the preparation of the request and will be involved in the implementation of the proposed activities, and in their evaluation and follow-up as broadly as possible;

b.    The amount of assistance requested is appropriate;

c.    The proposed activities are well conceived and feasible;

d.    The project may have lasting results;

e.    The beneficiary State Party shares the cost of the activities for which international assistance is provided, within the limits of its resources;

f.     The assistance aims at building up or reinforcing capacities in the field of safeguarding intangible cultural heritage;

g.    The beneficiary State Party has implemented previously financed activities, if any, in line with all regulations and any conditions applied thereto.

Article 24.2

Procedure for the submission of international assistance requests

68.

States Parties may submit to the Committee requests for international assistance. Such requests may also be jointly submitted by two or more States Parties.

69.

Requests for international assistance have to be submitted to the Secretariat by using the application form annexed to these Operational Directives.

70.

Requests for preparatory assistance should be received by the Secretariat by 1 September two years before the envisaged evaluation by the Committee of requests for inscription on the Urgent Safeguarding List foreseen under Article 17 of the Convention, or by 1 September one year before the envisaged evaluation by the Committee of proposals of programmes, projects and activities as foreseen under Article 18.

71.

The Secretariat shall assess the completeness of the request and may ask for additional information. It shall inform the requesting State(s) Party(ies) about the possible evaluation dates of the request.

72.

The Secretariat shall seek examination for complete requests over USD 25,000.

73.