Upload
others
View
8
Download
0
Embed Size (px)
Citation preview
COMMISSION POUR LA CONSERVATION DE LA FAUNE ET LA FLORE MARINES
DE L'ANTARCTIQUE
COMISIÓN PARA LA CONSERVACIÓN DE LOS RECURSOS VIVOS MARINOS
ANTÁRTICOS
COMMISSION FOR THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES
CCAMLR
______________________________________________ ________________________________________________
!"#$%%$&'("'%")*+,-,$.' #"*%!$)'/$01)'*-%2*%"0'+,3+*!3$!$
_______________________
This paper is presented for consideration by CCAMLR and may contain unpublished data, analyses, and/or
conclusions subject to change. Data in this paper shall not be cited or used for purposes other than the work
of the CCAMLR Commission, Scientific Committee or their subsidiary bodies without the permission of the
originators and/or owners of the data.
CCAMLR-XXIX/BG/26
27 September 2010
Original: English
Agenda Item No. 7
SC Agenda Item No. 5(ii)
THE CASE FOR INCLUDING THE ROSS SEA CONTINENTAL
SHELF AND SLOPE IN A SOUTHERN OCEAN NETWORK OF
MARINE PROTECTED AREAS
Submitted by ASOC
The Case for Including the Ross Sea Continental Shelf and Slope in a
Southern Ocean Network of Marine Protected Areas
!
Abstract
"#$%!$%&!'#()&($*#(!+#,!$%&!'#(-&,).$*#(!#+!/.,*(&!0*)*(1!2&-#3,4&-!5''6/027!.(8!$%&!9()*,#(:&($.;!<,#$#4#;!$#!$%&!6($.,4$*4!=,&.$>!?,#)*8&!+#,!$%&!&-$.@;*-%:&($!#+!:.,*(&!?,#$&4$&8!.,&.-!5/<6-7!+#,!?3,?#-&-!#+!-4*&($*+*4!-$38>!.(8!$#!4#(-&,)&!3(*A3&!+&.$3,&-!.(8!4#:?#(&($-!#+!$%&!6($.,4$*4!:.,*(&!&4#->-$&:B!=%*-!?.?&,!-3::.,*C&-!$%&!4.-&!+#,!*(4;38*(1!$%&!2#--!D&.!E*$%*(!''6/02F-!(&$E#,G!#+!/<6-H!+#;;#E*(1!$%&!8*-43--*#(!.$!$%&!I#,G*(1!J,#3?!#(!94#->-$&:!/#(*$#,*(1!.(8!/.(.1&:&($!5IJK!9//7!:&&$*(1!*(!D#3$%!6+,*4.! $%*-! >&.,B!=%&!6($.,4$*4! .(8!D#3$%&,(!L4&.(!'#.;*$*#(! 56DL'7! ?,#?#-&-H! *(! ?.,$! @&4.3-&! $%&! .,&.!:&&$-! -&)&,.;! #$%&,! *($&,(.$*#(.;;>! ,&4#1(*C&8!@*#8*)&,-*$>! 4,*$&,*.! +#,!/<6-H! $%.$! $%&!2#--!D&.! -%&;+! .(8!-;#?&!@&4#:&!?.,$!#+!$%&!''6/02!(&$E#,GH!.;;#E*(1!:.,*(&!-4*&(4&!$#!4#($*(3&!E*$%#3$!*($&,+&,&(4&!+,#:!#$%&,H!&M$,.4$*)&!3-&-!$%.$!E#3;8!.;$&,!&4#->-$&:!-$,34$3,&!.(8!8>(.:*4-B!!
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
=%&! 2#--! D&.! *-! #+! %*1%! 1;#@.;! *:?#,$.(4&! *(! $&,:-! #+! *$-! @*#8*)&,-*$>H! &)#;3$*#(.,>! -*1(*+*4.(4&H!8*-?,#?#,$*#(.;! ?,&-&(4&! #+!:.(>! 4%.,*-:.$*4! %*1%K;.$*$38&! -?&4*&-H! .(8! ?#$&($*.;! .-! .! 4;*:.$&! ,&+31&! .(8!,&+&,&(4&! .,&.! +#,! $%&! 8&$&4$*#(! #+! $%&! &++&4$-! #+! 4;*:.$&! 4%.(1&! #(!:.,*(&! &4#->-$&:-B! 644#,8*(1! $#! .(!*(8&?&(8&($! .(.;>-*-! #+! %3:.(! *:?.4$-! #(! $%&! E#,;8V-! #4&.(-H! $%&! 2#--! D&.! *-! $%&! ;&.-$! .++&4$&8! ;.,1&!4#($*(&($.;! -%&;+!&4#->-$&:!,&:.*(*(1!#(!9.,$%! 5U.;?&,(!&$!.;B!NOOP7B! W+!?,#$&4$&8! *$!E#3;8!@&! $%&!%*1%&-$!;.$*$38&!%.@*$.$! ,&?,&-&($&8! *(!.!4#:?,&%&(-*)&!.(8!,&?,&-&($.$*)&!(&$E#,G!#+!D#3$%&,(!L4&.(!/<6-H!.(8!%.-!+#,!8&4.8&-!@&&(!.(!.,&.!*(!E%*4%!*()&-$*1.$*#(-!%.)&!;&8!$%&!E.>!*(!8*-4;#-*(1!*($&,.((3.;H!8&4.8.;!.(8!;#(1K$&,:!&++&4$-!#+!4;*:.$&!4%.(1&!#(!$%&!%>8,#1,.?%>!.(8!@*#$.!#+!.!%*1%!;.$*$38&!->-$&:B!=%&!2#--!D&.!@&($%#-!*-!&-?&4*.;;>!,*4%!.(8!$%&!.@3(8.(4&!#+!*$-!$#?!?,&8.$#,!-?&4*&-!*-!3(*A3&B!6-!$%&!'#($*(&($.;!-%&;+!.(8!-;#?&!4#($.*(!:#-$!#+! $%&!-?.E(*(1X@,&&8*(1H! +&&8*(1H!:#;$*(1!.(8!E*($&,*(1!.,&.-!#+! $%&-&!?,&8.$#,-H!6DL'!-3@:*$-!$%.$!$%&!2#--!D&.!-%#3;8!@&!?,#$&4$&8!.-!.!3(*$B!!
!
1. Introduction
''6/02!5NOOP7!&(8#,-&8!YY!.,&.-!?,&)*#3-;>!*8&($*+*&8!.-!?,*#,*$*&-!+#,!$%&!8&)&;#?:&($!#+!/<6-!#(!$%&[email protected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
! "
?3,?#-&-!*($&,!.;*.!#+!-4*&($*+*4!-$38>!.(8!4#:?.,*-#(!E*$%!#$%&,!;#4.;*$*&-!.++&4$&8!@>!%3:.(!.4$*)*$*&-!5-&&!6,$*4;&!WZ!517!#+!''6/02!.(8!6,$*4;&![5N75.7!#+!6((&M!\!$#!$%&!9()*,#(:&($.;!<,#$#4#;7B!
=E#!#+!$%&!YY!?,*#,*$>!.,&.-!*8&($*+*&8!@>!IJK9//!*(!NOOP!.(8!.1,&&8!$#!@>!''6/02!$%.$!>&.,!.,&!$%&!T#,$%&,(!2#--!D&.!X!9.-$&,(!6($.,4$*4.!.(8!$%&!2#--!D&.!D%&;+B!I&!-?&.G!%&,&*(!#+!$%&!;.$$&,H!E%*4%!E#3;8!@&4#:&!$%&!%*1%&-$!;.$*$38&!.,&.!E*$%*(!$%&!?,#?#-&8!(&$E#,G!#+!D#3$%&,(!L4&.(!/<6-B!!
2. Summary of IMCC Workshop Report
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
=%&!E#,G-%#?!?.,$*4*?.($-!4#(4;38&8!$%.$`!!
! L)&,.;;H!$%&!-$.$&!#+!$%&!2#--!D&.!+##8E&@!*-!4#:?.,.@;&!$#!E%.$!*$!%.-!@&&(!+#,!:*;;&((*.!&M4&?$!+#,!$%&! ;#--!#+!@;3&!.(8!-?&,:!E%.;&-!5(#E!,&4#)&,*(1!)&,>!-;#E;>7!.;#(1!$%&!-;#?&H!.(8!.!8&4,&.-*(1!?,&).;&(4&! #+! ;.,1&!6($.,4$*4! $##$%+*-%! .(8! *$-! ?,&8.$#,-! *(! ,&4&($! >&.,-! 5-&&!R&),*&-! &$! .;B! NOOP_!6*(;&>!NOYO_!6*(;&>!&$!.;B!NOO]H!NOYO._!''6/02!NOO]7B!6-!.!;*)*(1!:3-&3:H!*(!E%*4%!:#,&!$%.(!aOO! -?&4*&-! E&,&! +*,-$! 8&-4,*@&8! +,#:! 2#--! D&.! -?&4*:&(-! 8.$*(1! @.4G! YbO! >&.,-H! $%&! 2#--! D&.!,&?,&-&($-! .! 3(*A3&! @.-&;*(&! #+! -?&4*&-! #443,,&(4&! ?.$$&,(-! .(8! %.@*$.$! .--#4*.$*#(-H! E%*4%! *-!*:?#,$.($!*(!$%&!+.4&!#+!4%.(1*(1!#4&.(!4;*:.$&B!!
! =%&!2#--!D&.!?#--&--&-!.!+.3(.H!&-?&4*.;;>!*$-!(#$#$%&(*#*8!+*-%&-H!$%.$!4#:?,*-&-!.!3(*A3&H!:.,*(&!&M.:?;&! #+! .(! &)#;3$*#(.,>! ,.8*.$*#(! #(! ?.,! E*$%! $%#-&! ,&4#1(*C&8! *(! +,&-%E.$&,! .(8! $&,,&-$,*.;!I#,;8!U&,*$.1&!D*$&-!-34%!.-!$%&!J.;c?.1#-!W-;.(8-H!6+,*4.(!2*+$!0.G&-H!.(8!0.G&!".*G.;_!!
! L(!$%&[email protected]*-!#+!?,#d&4$*#(-!:.8&!+,#:!43,,&($!:#8&;-!*(!$%&!W($&,(.$*#(.;!<.(&;!#(!';*:.$&!'%.(1&!5W<''7H!$%&!2#--!D&.!*-!;*G&;>!$#!@&!$%&!;.-$!#4&.(!.,&.!#(!9.,$%H!?&,%.?-!E*$%*(!$%&!43,,&($!4&($3,>H!$%.$!E*;;!&:@,.4&!.!4,>#?&;.1*4!4#::3(*$>!#+!#,1.(*-:-_!.(8!!
! =%&! 2#--! D&.! *-! $%&! @&-$K-$38*&8! -$,&$4%! #+! %*1%! ;.$*$38&H! 4#($*(&($.;! -%&;+! :.,*(&! .,&.! *(! $%&!D#3$%&,(! U&:*-?%&,&B! <.-$! .(8! #(1#*(1! -$38*&-! *(4;38&`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
!
!
! #
3. ASOC’s Proposal
I.$&,-!#)&,;>*(1! $%&!2#--!D&.!4#($*(&($.;! -%&;+! 4#:?,*-&!eYB[f!#+! $%&!D#3$%&,(!L4&.(! 5g[[HOOO!#+![NB]!:*;;*#(! G:N! -#3$%! #+! $%&!6($.,4$*4! <#;.,! Q,#($! *(4;38*(1! $%#-&! @&(&.$%! *4&! -%&;)&-7_! *(4;38*(1! $%&! -;#?&!@,*(1-!$%&!.,&.!*(!A3&-$*#(!$#!hgbHOOOG:NH!#,!eNf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i*(18#:!NOOb7B!!
ASOC proposes that CCAMLR take the necessary steps, for scientific, ecological and world heritage
reasons,1 to include the entire Ross Sea shelf and slope within one of the MPAs chosen to preserve Southern
Ocean biodiversity and ecosystem function.!!
D34%!.(!/<6!E#3;8`!
! 6++#,8! -?&4*.;! ?,#$&4$*#(! $#! $%&! ;.-$! ,&:.*(*(1!(&.,K?,*-$*(&! #?&(K#4&.(! &4#->-$&:! #(!9.,$%! 5-&&!-3::.,*&-! *(! U.;?&,(! &$! .;B! NOOPH! 6*(;&>! NOYO7H! so that collaborative, international marine
science may continue toward understanding oceanic foodweb structure and processes, and
responses to climate change, without being confounded by other forms of human activityB!D34%!-4*&(4&!%.-!@&&(!?,&K&:*(&($!*(!$%*-!,&1*#(!+#,!+*)&!8&4.8&-H!.(8!*(4;38&-!@*#;#1*4.;!.(8!&M$&(-*)&!#4&.(#1,.?%*4H!1&#;#1*4.;!.(8!1;.4*#;#1*4.;!,&-&.,4%!5-&&!D:*$%!&$!.;B!NOObH!NOYO7B!R3&!$#!*$-!;#(1K$&,:!,&4#,8H!2#--!D&.!8.$.!E&,&!$%&!+*,-$!#,!.:#(1!$%&!+*,-$!$#!*(8*4.$&!$%&!*:?#,$.(4&!#+!-%#,$K$&,:!590!T*j#!D#3$%&,(!L-4*;;.$*#(!K!9TDL7H!8&4.8.;!5D#3$%&,(!6((3;.,!/#8&7!.(8!;#(1&,K$&,:!51;#@.;!4;*:.$&!4%.(1&7!*(+;3&(4&!#(!%*1%!-#3$%&,(!;.$*$38&!%>8,#1,.?%>H!-&.!*4&!.(8!@*#$.!5-&&!8*-43--*#(!*(!R.>$#(!Y]P]H!6*(;&>!&$!.;B!NOOaH!k.4#@-!NOOhH!D$.::&,d#%(!&$!.;B!NOOP7B!!
! <,#$&4$!&M&:?;.,>!@&($%*4!.(8!?&;.1*4!@*#8*)&,-*$>!#+!%*1%!&)#;3$*#(.,>!-*1(*+*4.(4&!5&B1BH!",.8+#,8KJ,*&)&H! kB! .(8! JB! Q&(E*4G! NOOYH! ';.,G&! .(8! k#%(-$#(! NOO[H! D*:#(! &$! .;B! NOYO7B! =%&! 2#--! D&.!,&?,&-&($-!$%&!$>?&!;#4.;*$>!#+!:#,&!$%.(!aOO!:.,*(&!)&,$&@,.$&!.(8!*()&,$&@,.$&!-?&4*&-!8.$*([email protected]!YbO!>&.,-H!E%*4%!4#(-$*$3$&!.(!3(&A3*)#4.;!,&4#,8!#+!-?&4*&-!?,&-&(4&!5-&&!.;-#!@&;#E7B!6!?#,$*#(!#+!$%&!2#--!D&.! -%&;+H! 3(;*G&! .(>E%&,&! &;-&! *(! $%&! %*1%! ;.$*$38&!6($.,4$*4H! %.-! @&&(! .! @*#$*4! ,&+31&H!*(4;38*(1! .(! &M$&(-*)&! ?#;>(>.H! 83,*(1! 1;.4*.;! :.M*:.H! .-! -%#E(! @>! &M$&(-*)&! -&8*:&($! 4#,*(1!56(8&,-#(!Y]]]H!=%.$d&!&$!.;B!NOOP7B!
! <,#$&4$!E%.$!.44#,8*(1!$#!W($&,1#)&,(:&($.;!<.(&;!#(!';*:.$&!'%.(1&!5W<''7!:#8&;-!E*;;!@&4#:&!.!,&+31&!+#,!-&.!*4&!.--#4*.$&8!4#::3(*$*&-!*(!$%&!+.4&!#+!-&.!*4&!8*-.??&.,.(4&!*(!$%&!,&:.*(8&,!#+!$%&!D#3$%&,(!L4&.(!?,&8*4$&8!$#!#443,!$%*-!4&($3,>!5-&&!8*-43--*#(!*(!6*(;&>!&$!.;B!NOYO@7B!
! <,&-&,)&!&--&($*.;!%.@*$.$!#+![Nf!.(8!Nhf!#+!$%&!E#,;8!?#?3;.$*#(-!#+!68l;*&!.(8!&:?&,#,!?&(13*(-!5-3::&,H! :#;$*(1H! .(8! ?#,$*#(! #+! E*($&,*(1! %.@*$.$7_! [Of! #+! $%&! E#,;8! ?#?3;.$*#(! #+! 6($.,4$*4!?&$,&;-!5-3::&,!+&&8*(1!1,#3(8-7H!hf!#+!6($.,4$*4!:*(G&!E%.;&-!5.((3.;!+&&8*(1!1,#3(8-7H!?&,%.?-!aOf!#+!2#--!D&.!G*;;&,!E%.;&-! 5-3::&,! +#,.1*(1!1,#3(8-7_! .(8!.??,#M*:.$&;>!gaf!#+! $%&!D#3$%!<.4*+*4!-&4$#,!I&88&;;!-&.;!?#?3;.$*#(!5>&.,!,#3(8!%.@*$.$_!-&&!".;;.,8!&$!.;B!NOYO7B!
! 9(-3,&!$%&!?,&-&,).$*#(!#+!$%&!?,*:.,>!%.@*$.$!+#,[email protected];$!1,#E$%!.(8!.83;$!-?.E(*(1!,&4#)&,>!#+!.(! &4#;#1*4.;;>! .(8! -4*&($*+*4.;;>! *:?#,$.($! 6($.,4$*4! $##$%+*-%! ?#?3;.$*#(! 5U.(4%&$! &$! .;B! NOOPH!
%+#,8!NOOP7B!!",##G-!.(8!6-
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!Y!6;$%#31%!$%&!-$.$3$&-!#+!$%&!ST!'"R!.(8!ST9D'L!.,&!(#$!.??;*4.@;&!$#!$%&!%*1%!-&.-!#+!$%&!D#3$%&,(!L4&.(H!$%&*,!4,*$&,*.! +#,! *8&($*+>*(1! 94#;#1*4.;;>! .(8! "*#;#1*4.;;>! D*1(*+*4.($! 6,&.-! .(8!I#,;8! U&,*$.1&! D*$&-H! ,&-?&4$*)&;>H! .,&!+3;+*;;&8!@>!$%&!*($,*(-*4!).;3&-!#+!$%&!2#--!D&.!5-&&!=.@;&!Y7B!!
! $
4. Conclusions
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
=%&!2#--!D&.!?,#)*8&-!.(!3(?.,.;;&;&8!#??#,$3(*$>!+#,!$%&!4#(-&,).$*#(!.(8!,.$*#(.;!3-&!#+!.!4#:?.,.$*)&;>!?,*-$*(&!:.,*(&!&4#->-$&:!$#`!
! W()&-$*1.$&! 4;*:.$&! 4%.(1&! .(8! *$-! &4#;#1*4.;! &++&4$-! E*$%#3$! *($&,+&,&(4&! @>! #$%&,H! :#,&! 8*,&4$!.($%,#?#1&(*4! *:?.4$-B! W(8&&8H!4;*:.$&!4%.(1&!4;&.,;>!%.-!@&&(!.;$&,*(1! ;#(1K$&,:! $%&! -&.! *4&!.(8!#4&.(#1,.?%*4! ?,#?&,$*&-! #+! $%&!2#--!D&.! 5D$.::&,d#%(! &$! .;B! NOOP7H! .-!E&;;! .-! *$-! @*#$.! 5R.>$#(!Y]P]H!6*(;&>!&$!.;B!NOOaH!NOYO7H!*(!.!E&;;!8#43:&($&8!+.-%*#(B!=%&!2#--!D&.!-&,)&-!.-!4#3($&,?#*($!$#! $%&! 6($.,4$*4! <&(*(-3;.! ,&1*#(H! E%&,&H! -#! +.,H! -&.! *4&! %.-! @&&(! *(4,&.-*(1! .(8! 8&4,&.-*(1H!,&-?&4$*)&;>H! $%&! $E#! .,&.-! 4#:?,*-*(1! $%&! m6($.,4$*4! R*?#;&FH! .! 4#:?;&:&($.,>! ->-$&:! #+!.$:#-?%&,*4! ?,&--3,&! 4&($&,-! $%.$! .,&! ,&-?#(8*(1! *(! #??#-*$&! 8*,&4$*#(-! $#! *(+;3&(4&-! #+! 1;#@.;!4;*:.$&!4%.(1&!.(8! $%&!6($.,4$*4!LC#(&!U#;&! 523--&;;!&$! .;B!NOOhH!=%#:?-#(!.(8!D#;#:#(!NOON_!.(8!!
!
! W()&-$*1.$&! $%&! 8>(.:*-:! *(%&,&($! *(! @#$%! @#$$#:K3?! .(8! $#?K8#E(! +#,4&-! $%.$! -$,34$3,&! $%*-!+##8E&@H! ,.$%&,! $%.(! :.*(;>! $%&! @#$$#:K3?! ?,#4&--&-! $%.$! (#E! &M4;3-*)&;>! 4#($,#;! $%&! 8&?;&$&8H!?>,.:*8K-$,34$3,&8H! ,&-#3,4&K8,*)&(! :.,*(&! &4#->-$&:-! &;-&E%&,&B! 5&B1BH! I#,:! &$! .;B! NOOhH!R.-G#;#)!&$!.;B!NOObH!n-$&,@;#:!&$!.;B!NOObH!I.$&,:&>&,!&$!.;B!NOOP.H!@7B!
!
! %
Table 1
Summary of attributes of the Ross Sea, as detailed in CCAMLR (2009) and Ainley et al. (2010a), applied to
the detailed criteria with which to recognize and preserve special areas under the Madrid Protocol,
Convention for Biological Diversity, and designation of World Heritage Sites under UNESCO. As a high
seas area, the Ross Sea does not qualify under CBD and !"#$%!&'#()*+'!,()'-/UNESCO but the comparison
provides perspective; see also ASOC (2007) and United Kingdom (2007). See Appendix for definitions of
numbered criteria under the three respective international agreements.
Madrid Protocol
CCAMLR2 CBD World Heritage
Special Attribute Justifying
Protection
How Ross Sea Complies
I.2.a X II.a; II.g
III.a Uniqueness / rarity; inviolate from human interference; naturalness
Least affected continental shelf/slope on the planet (Halpern et al. 2008; see also Ainley 2009)
I.2.b X, X II.b III.d Representative example of major marine ecosystem; special importance to life history; important natural habitat
Largest expanse of continental shelf in the Antarctic; a biotic refugium during past glaciations, and likely to be one of the last stretches of ocean having significant amounts of pack ice, year-round, in the foreseeable future. Representative section of the Antarctic Slope Front, first described by Ross Sea studies.
I.2.c II.c III.d Unusual and important assemblage of species
Home to 38% of Adélie penguins, 26% emperor penguins, 30% Antarctic petrels, 6% Antarctic minke whale, ~45% Pacific sector Weddell seals; a rich benthos, comprised of 5 major community types; a benthic biodiversity hotspot (Clarke and Johnston 2003).
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!N!''6/02!4,*$&,*.!.,&!(#$!(3:@&,&8B!!=E#!Z!:.,G-!*(!#(&!@#M!*(8*4.$&!$%.$!$%&,&!.,&!$E#!8*++&,&($!''6/02!4,*$&,*.!$%.$!.,&!,&?,&-&($&8!@>!$%&!o-?&4*.;!.$$,*@3$&p!4#;3:(!+#,!$%.$!,#EB!!!
! &
Madrid Protocol
CCAMLR3 CBD World Heritage
Special Attribute Justifying Protection
How Ross Sea Complies
I.2.d II.a, c, f
III.c Type locality, endemism; outstanding example on-going biological processes in evolution
Type locality for: one bird, 40 species of fish, and >450 species of benthic animals. 7 species of fish are endemic, and >40 species of invertebrates have so far been found nowhere else; unique genetic strains of Weddell seals, Adélie penguins
I.2.e X III.d Particular interest on-going research; outstanding value point of view of science
Longest hydrologic record in Southern Ocean; 4 longest time series of wild populations (seals, penguins, benthos, toothfish); intensive history of research on climate change at geologic and contemporary time scales; major climate projects ongoing, such as ANDRILL
I.2.f IIII.b Outstanding geological, glaciological or geomorphological features
Largest Antarctic continental shelf; largest ice shelf; largest polynya; major contributor to ABW production; active volcano
I.2.g II. g III.a Outstanding aesthetic and wilderness value
Least affected stretch of continental shelf ocean on Earth; pack-ice ecosystem bordered by Antarctica’s only major mountain range
I.2.h Recognized historic value First-explored part of the high latitude Southern Ocean (Ross) and of Antarctica itself: Ross, Borchgrevink, Amundsen, Scott, Shackleton, Byrd, Hillary; historic huts and other remains from heroic era expeditions
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!![!''6/02!4,*$&,*.!.,&!(#$!(3:@&,&8B!!=E#!Z!:.,G-!*(!#(&!@#M!*(8*4.$&!$%.$!$%&,&!.,&!$E#!8*++&,&($!''6/02!4,*$&,*.!$%.$!.,&!,&?,&-&($&8!@>!$%&!o-?&4*.;!.$$,*@3$&p!4#;3:(!+#,!$%.$!,#EB!!!
! '
II.e III.b Biological productivity; significant on-going ecological processes
Most productive stretch of the Southern Ocean (Arrigo et al. 1998).
II.c, d
III.b Vulnerability, fragility, sensitivity; significant on-going ecological processes
Pack ice ecosystem, likely to be one of the few remaining on the planet under current global warming scenarios. Most organisms are slow growing, long-lived, thus sensitive to extraction.
Q*13,&!YB!R*-$,*@3$*#(!#+!2#--!D&.!@&($%*4!4#::3(*$*&-_!1,&&(H!<&((&;;!".(G_!?*(GH!8&&?!-%&;+!:*M&8_!?3,?;&H!8&&?!-%&;+!:38_!@;3&H!\*4$#,*.!0.(8!4#.-$.;_!.A3.:.,*(&H!/4/3,8#!D#3(8B!R.$.!+,#:!"3;;*).($!5Y]hb7!.(8!".,,>!&$!.;B!5NOO[7H!.-!-3::.,*C&8!*(!6*(;&>!&$!.;B!5NOYO.7B!
! (
B. A.
Q*13,&!NB!2&-3;$-!+,#:!".;;.,8!&$!.;B!5NOYO7`!567!/#8&;&8!-?&4*&-!,*4%(&--!5-3:!#+!*(8*)*83.;!-?&4*&-F!/.M&($K:#8&;&8!?,#@.@*;*$*&-!#+!#443,,&(4&7!#+!:&-#?,&8.$#,-!#+!$%&!2#--!D&.`!2#--!D&.!i*;;&,!I%.;&H!/*(G&!I%.;&H!',.@&.$&,!D&.;H!I&88&;;!D&.;H!9:?&,#,!<&(13*(H!68l;*&!<&(13*(H!6($.,4$*4!<&$,&;H!D(#E!<&$,&;H!.(8!0*1%$K:.($;&8!D##$>!6;@.$,#--_!5"7!2&;.$*)&!4#(-&,).$*#(!*:?#,$.(4&!+#,!-.:&!-?&4*&-_!,&-3;$-!+,#:!̂ #(.$*#(!4#,&!.,&.!.(.;>-*-!E*$%!.;;!-?&4*&-!1*)&(!&A3.;!4#(-&,).$*#(!?,*#,*$>!58.,G&,!4#;#,-!,&?,&-&($!%*1%&,!4#(-&,).$*#(!,.(G*(17B!D?&4*&-H!+#,:&,;>!?,&-&($!@3$!(#E!,.,&!.(8!;*-$&8!.-!&(8.(1&,&8!@>!WS'TH!*B&B!@;3&!.(8!-?&,:!E%.;&-!56*(;&>!NOYO7H!.,&!(#$!*(4;38&8_!6($.,4$*4!$##$%+*-%!.,&!.;-#!(#$!*(4;38&8!*(!$%&!:#8&;H!@&4.3-&!-?&4*+*4!;#4.$*#(.;!8.$.!E&,&!(#$!.).*;.@;&!+#,!:.$3,&H!(&3$,.;;>!@3#>.($!.83;$-!5qYNOKY[O4:7B!
!
IV. References
6*(;&>H!RBJB!NOYOB!6!%*-$#,>!#+!$%&!&M?;#*$.$*#(!#+!$%&!2#--!D&.H!6($.,4$*4.B!<#;.,!2&4B gh!5N[P7`!N[[rNg[B!
6*(;&>H!RBJBH!JB!".;;.,8!.(8!kB!I&;;&,B!NOYO.B!2#--!D&.!"*#,&1*#(.;*C.$*#(H!<.,$!W`!\.;*8.$*#(!#+! $%&!NOOb!''6/02! "*#,&1*#(.;*C.$*#(!I#,G-%#?! 2&-3;$-! =#E.,8-! W(4;38*(1! $%&! 2#--! D&.! *(! .! 2&?,&-&($.$*)&!T&$E#,G!#+!/.,*(&!<,#$&4$&8!6,&.-!*(!$%&!D#3$%&,(!L4&.(B!''6/02!R#4B!IJs9//KYOXYYB!
!6*(;&>H! RBJBH! ';.,G&H! 9BRBH! 6,,*1#H! iBH! Q,.-&,H! IB2BH! i.$#H! 6BH! ".,$#(H! iBkB! .(8! I*;-#(H! <B2B! NOOaB!R&4.8.;K-4.;&!4%.(1&-!*(!$%&!4;*:.$&!.(8!@*#$.!#+!$%&!<.4*+*4!-&4$#,!#+!$%&!D#3$%&,(!L4&.(H!Y]aO-!$#!$%&!Y]]O-B!6($.,4$*4!D4*&(4&!YbH!YbYrYPNB!
6*(;&>H! RBJBH! kB! 23--&;;H! DB! k&(#3),*&,H! 9B!I#&%;&,H! <B! LF@B! 0>)&,H!IB2B! Q,.-&,H! JB0B! i##>:.(B! NOYO@B!6($.,4$*4! ?&(13*(! ,&-?#(-&! $#! %.@*$.$! 4%.(1&! .-! &.,$%F-! $,#?#-?%&,&! ,&.4%&-! Nt4! .@#)&! ?,&K*(83-$,*.;!;&)&;-B!94#;#1>!PO`!g]KhhBB!
6(8&,-#(H!kB"B!Y]]]B!6($.,4$*4!/.,*(&!J&#;#1>B!'.:@,*81&!S(*)&,-*$>!<,&--H!'.:@,*81&!SiB!
! )
6,,*1#H! iB2BH! RB0B!I#,$%&(H! 6B! D4%(&;;! .(8!/B<B! 0*C#$$&B! Y]]PB! <,*:.,>! ?,#834$*#(! *(! D#3$%&,(! L4&.(!E.$&,-B!kB!J&#?%>-B!2&-B!YO[`!Ya!aPbrYa!hOOB!
6DL'B!NOObB!6!D>-$&:!#+!'#:?,&%&(-*)&!/.,*(&!<,#$&4$*#(!K!D#:&!<#;*4>!'#(-*8&,.$*#(-B!
6DL'B! NOYOB 2*-*(1! $#! $%&!'%.;;&(1&`!i&>! -$&?-! $#! 8&;*)&,! .!'#:?,&%&(-*)&! .(8!2&?,&-&($.$*)&!/.,*(&!<,#$&4$&8!6,&.-!T&$E#,G!*(!$%&!D#3$%&,(!L4&.(!@>!NOYNB!6='/!ZZZWWWH!S,313.>B!
6='/B!NOO]B!6='/ZZZWWK'9<ZWWH!Q*(.;!2&?#,$B!".;$*:#,&B!
".;;.,8H!JBH!RB!k#(1-#:d*$!.(8!RBJB!6*(;&>B!NOYOB!<.,$!WW`!<.$$&,(-!#+!'#KL443,,&(4&!#+!/&-#?,&8.$#,-!*(!.(!W($.4$!<#;.,!L4&.(!94#->-$&:B!''6/02!R#4B!IJK9//KYOXYNB!
".,,>H!kB<BH!kB!J,&@:&*&,H!kB!D:*$%H!2B"B!R3(@.,B!NOO[B!".$%>:&$,*4!)&,-3-!#4&.(#1,.?%*4!4#($,#;!#+!@&($%*4!:&1.+.3(.;!?.$$&,(-!*(!$%&!2#--!D&.H!6($.,4$*4.B!6($.,4B!2&-B!D&,B!bP`![NbK[agB!
",.8+#,8KJ,*&)&H!kB!.(8!JB!Q&(E*4GB!NOOYB!6!,&)*&E!#+!$%&!43,,&($!G(#E;&81&!8&-4,*@*(1!$%&!@*#8*)&,-*$>!#+!$%&!2#--!D&.!,&1*#(B!Q*(.;!2&-&.,4%!2&?#,$!+#,!/*(*-$,>!#+!Q*-%&,*&-!2&-&.,4%!<,#d&4$!^"RNOOOXOYH!I&;;*(1$#(!T^B!
"3;;*).($H! kBDB! Y]hbB! 94#;#1>! #+! $%&!2#--! D&.! @&($%#-B! <?B! g]Kba! in! =%&! Q.3(.! #+! $%&!2#--! D&.H! <.,$! aB!J&(&,.;!.44#3($-H!-$.$*#(!;*-$-H!.(8!@&($%*4!&4#;#1>!5kBDB!"3;;*).($!.(8!kBUB!R&.,@#,(H!&8-B7B!T&E!^&.;.(8!L4&.(#1,.?%*4!W(-$*$3$&H!"3;;&$*(!YbhB!bb!?.1&-B!
''6/02B!NOObB!I#,G-%#?!#(!"*#,&1*#(.;*-.$*#(!#+!$%&!D#3$%&,(!L4&.(B!D'K'6/02KZZ\WXYYB!",3--&;-H!"&;1*3:H!Y[!$#!Yb!6313-$!NOObB!
''6/02B!NOOPB!ZZ\WW!Q*(.;!2&?#,$H!?.,.1,.?%!bBN!5)*7B!
''6/02B!NOO]B!I#,G-%#?!2&?#,$! KKK!=%&!2#--!D&.`!D4*&(4&H!<#;*4>!.(8! $%&!<3@;*4! *(!.!<,*-$*(&!/.,*(&!94#->-$&:B!IJK9//!O]XYg!
';.,G&H!6B!.(8!TB/B!k#%(-$#(B!NOO[B!6($.,4$*4!:.,*(&!@&($%*4!8*)&,-*$>B!L4&.(#1,B!/.,B!"*#;B!gY`!gbrYYgB!
R.-G.;#)H! JB/BH! J,*-%*(H! 6BTBH! 2#8*#(#)H! DB! .(8! /*%(&).H! \B! NOObB! =,#?%*4! 4.-4.8&-! $,*11&,&8! @>!#)&,+*-%*(1! ,&)&.;! ?#--*@;&! :&4%.(*-:-! #+! &4#->-$&:! ,&1*:&! -%*+$-B! <,#4&&8*(1-! #+! $%&! T.$*#(.;!64.8&:>!#+!D4*&(4&-!YOgH!YOaYPrYOaN[B!
R.>$#(H! <BiB! Y]P]B! W($&,8&4.8.;! ).,*.$*#(! *(! .(! 6($.,4$*4! -?#(1&! .(8! *$-! ?,&8.$#,-! +,#:! #4&.(#1,.?%*4!4;*:.$&!-%*+$-B!NatureH!NgaH!YgPgrYgPhB!
R&\,*&-H! 6B0BH! RBJB6*(;&>! .(8! JB! ".;;.,8B! NOOPB! R&4;*(&! #+! $%&! .($.,4$*4! $##$%+*-%! .(8! *$-! ?,&8.$#,-! *(!/4/3,8#! D#3(8! .(8! $%&! -#3$%&,(! 2#--! D&.H! .(8! ,&4#::&(8.$*#(-! +#,! ,&-$#,.$*#(B! ''6/02! <.?&,!9//!OPXMMH!U#@.,$H!=.-:.(*.B!
U.;?&,(H!"BDBH!DBI.;@,*81&H!iB6B!D&;G#&H!'B"B!i.??&;H!QB!/*4%&;*H!'B!RF61,#-.H!kBQB!",3(#H!iBDB!'.-&>H!'B!9@&,$H! UB9B! Q#MH! 2B! Q3d*$.H! RB! U&*(&:.((H! UBDB! 0&(*%.(H! 9B/B<B! /.8*(H! /B=B! <&,,>H! 9B2B! D&;*1H! /B!D?.;8*(1H!2B!D$&(&4G!.(8!2BI.$-#(B!NOOPB!6!1;#@.;!:.?!#+!%3:.(!*:?.4$!#(!:.,*(&!&4#->-$&:-B!D4*&(4&![Y]`!]gPK]aYB!
03@4%&(4#H! kBH! DB2B! <.;3:@*H! DBRB! J.*(&-H! .(8! DB! 6(8&;:.(B! NOO[B! <;311*(1! .! %#;&! *(! $%&! #4&.(`! $%&!&:&,1*(1!-4*&(4&!#+!:.,*(&!,&-&,)&-B!94#;B!6??;B!Y[`D[rDbB!
TDQB!Y]]PB!L9S\29H!L4&.(!94#;#1>`!S(8&,-$.(8*(1!.(8!\*-*#(!+#,!2&-&.,4%B!I.-%*(1$#(H!R'B!
! *+
n-$&,@;#:H! UBH! DB! U.(--#(H! SB! 0.,--#(H! LB! Ud&,(&H! QB! I3;++H! 2B! 9;:1,&(! .(8! 'B! Q#;G&B! NOObB! U3:.(K*(834&8!$,#?%*4!4.-4.8&-!.(8!&4#;#1*4.;!,&1*:&!-%*+$-!*(!$%&!".;$*4!D&.B!94#->-$&:-!YOH!PbbrPP]B!
23--&;;H! kB0BH! iBIB! R*M#(H! 6B! J(.(.8&-*G.(H! 2BkB! D$#3++&,! .(8! kB2B! =#11E&*;&,B! NOOhB! =%&! D#3$%&,(!U&:*-?%&,&!E&-$&,;*&-! *(! .!E.,:*(1!E#,;8`!?,#??*(1!#?&(! $%&!8##,! $#! $%&!8&&?!#4&.(B! kB!';*:.$&!Y]`!h[PNKh[]OB!
D:*$%H!IBLBH!k,BH!RBJB!6*(;&>!.(8!2B!'.$$.(&#K\*&$$*B!NOObB!/.,*(&!&4#->-$&:-`!$%&!2#--!D&.B!<%*;B!=,.(-B!2B!D#4B "![hN`!]arYYYB!
D:*$%H!IBLBH!k,BH!RBJB!6*(;&>H!2B!'.$$.(&#K\*&$$*!.(8!9B9B!U#+:.((B!NOYOB!=%&!2#--!D&.!'#($*(&($.;!D%&;+`!2&1*#(.;!"*#1%&:*4.;!'>4;&-H!=,#?%*4!W($&,.4$*#(-H!.(8!<#$&($*.;!Q3$3,&!'%.(1&-B!In!6($.,4$*4.`!6(!9M$,&:&!9()*,#(:&($!*(!.!'%.(1*(1!I#,;8B!kB!I*;&>!.(8!D#(-H!0#(8#(H!*(!?,&--.
D$.::&,d#%(H!DB9BH!/.,$*(-#(H!RBJBH!D:*$%H!2B'BH!u3.(H!ZB!.(8!2*(8H!RB!5NOOP7!=,&(8-!*(!6($.,4$*4!.((3.;!-&.!*4&!,&$,&.$!.(8!.8).(4&!.(8!$%&*,!,&;.$*#(!$#!9TDL!.(8!D#3$%&,(!6((3;.,!/#8&!).,*.@*;*$>B!k#3,(.;!#+!J&#?%>-*4.;!2&-&.,4%!YY[H!'O[D]OH!8#*`!YOBYON]XNOObk'OOgNh]B!
=%.$d&H! DBH! 'BKRB! U*;;&(@,.(8H! 6B! /.4G&(-&(! .(8! 2B! 0.,$&,B! NOOPB! 0*+&! %3(1! @>! .! $%,&.8`! &(83,.(4&! #+!6($.,4$*4!+.3(.!*(!1;.4*.;!?&,*#8-B!94#;#1>!P]`!hPNKh]NB!
=%#:?-#(H! RBIBkB! .(8! DB! D#;#:#(B! NOONB! W($&,?,&$.$*#(! #+! ,&4&($! D#3$%&,(!U&:*-?%&,&! 4;*:.$&! 4%.(1&B!D4*&(4&!N]h`!P]aKP]]B!
=%,3-%H! DBQBH! kB9B! U&E*$$H! \BkB! '3::*(1-H! 6BT#,GG#! .(8! /B! '%*.($#,&B! NOYOB! !K8*)&,-*$>! .(8! -?&4*&-!.443:3;.$*#(! *(!6($.,4$*4! 4#.-$.;! @&($%#-`! *(+;3&(4&!#+!%.@*$.$H! 8*-$.(4&! .(8!?,#834$*)*$>!#(! &4#;#1*4.;!4#((&4$*)*$>B!<0#D!LT9!a5b7`!&YYP]]B!8#*`YOBY[bYXd#3,(.;B?#(&BOOYYP]]!
S(*$&8!i*(18#:B!NOObB!ZZZ!6($.,4$*4!'#(-3;$.$*)&!/&&$*(1H!W<!a[B!T&E!R&;%*H!W(8*.B!
S(*$&8! D$.$&-B! ! NOOaB! ! 2&?#,$! #+! $%&! ''6/02!I#,G-%#?! #(!/.,*(&! <,#$&4$&8!6,&.-B! ! 6((&M! b! $#! D'K'6/02!ZZW\!2&?#,$B!
I.$&,:&>&,H!iB9BH!0BkB!D%.((#(!.(8!'B0B!J,*++*$%-B!NOOP.B!'%.(1&-!*(!$%&!$,#?%*4!-$,34$3,&!#+!$%&!-#3$%&,(!"&(13&;.!@&+#,&!.(8!.+$&,!$%&!#(-&$!#+!*(83-$,*.;!+*-%*(1B!6+,*4.(!k#3,(.;!#+!/.,*(&!D4*&(4&![O5N7`![aYr[PN!
I.$&,:&>&,H!iB9BH!0BkB!D%.((#(H!kBK<B!2#3M!.(8!'B0B!J,*++*$%-B!NOOP@B!'%.(1&-!*(!$%&!$,#?%*4!-$,34$3,&!#+!$%&!(#,$%&,(!"&(13&;.!@&+#,&!.(8!.+$&,!$%&!#(-&$!#+!*(83-$,*.;!+*-%*(1B!6+,*4.(!k#3,(.;!#+!/.,*(&!D4*&(4&![O5N7`![P[rgO[
I#,:H!"BH!".,@*&,H!9B"BH!"&.3:#($H!TBH!R3++>H!kB9BH!Q#;G&H!'BH!U.;?&,(H!"BDBH!k.4G-#(H!kB"B'BH!0#$C&H!UBiBH!/*4%&;*H! QBH! <.;3:@*H! DB2BH! D.;.H! 9BH! D&;G#&H! iB6BH! D$.4%#E*4CH! kBkBH! I.$-#(H! 2BH! NOOhB! W:?.4$-! #+!@*#8*)&,-*$>!;#--!#(!#4&.(!&4#->-$&:!-&,)*4&-B!D4*&(4&![YgH!bPbrb]OB
! **
V. Appendix
WB!''6/02!.(8!$%&!'9<H!3(8&,!$%&*,!,&-?&4$*)&!$,&.$*&-!.(8!1*)&(!$%&*,!?.,$*43;.,!,#;&-H!%.)&!8*++&,&($!@3$!4#:?;&:&($.,>!13*8&;*(&-!+#,!-?&4*.;;>!?,#$&4$&8!-$.$3-!$#!@&!.44#,8&8!:.,*(&!.,&.-!*(!$%&!D#3$%&,(!L4&.(B!I%*;&! 6DL'! *-! (#$! +#,:.;;>! ?,#?#-*(1! $%.$! $%&! 2#--! D&.! @&4#:&! .(! 6D<6! #,! 6D/6H! .-! 4#3;8! @&!8&-*1(.$&8!3(8&,!6((&M!\H!6,$*4;&![H!#+!$%&!/.8,*8!<,#$#4#;!#+!$%&!6($.,4$*4!=,&.$>H!*$!*-!*(-$,34$*)&!$#!)*&E!%#E!$%&!2#--!D&.!4#:?.,&-!3(8&,!$%#-&!4,*$&,*.`!
YB!6(>!.,&.H!*(4;38*(1!.(>!:.,*(&!.,&.H!:.>!@&!8&-*1(.$&8!.-!.(!6($.,4$*4!D?&4*.;;>!<,#$&4$&8!6,&.!$#!?,#$&4$! #3$-$.(8*(1! &()*,#(:&($.;H! -4*&($*+*4H! %*-$#,*4H! .&-$%&$*4! #,! E*;8&,(&--! ).;3&-H! .(>!4#:@*(.$*#(!#+!$%#-&!).;3&-H!#,!#(1#*(1!#,!?;.((&8!-4*&($*+*4!,&-&.,4%B!
NB! <.,$*&-! -%.;;! -&&G! $#! *8&($*+>H! E*$%*(! .! ->-$&:.$*4! &()*,#(:&($.;K1,.?%*4.;! +,.:&E#,GH! .(8! $#!*(4;38&!*(!$%&!-&,*&-!#+!6($.,4$*4!D?&4*.;;>!<,#$&4$&8!6,&.-`!5.7 .,&.-!G&?$! *()*#;.$&! +,#:!%3:.(! *($&,+&,&(4&!-#! $%.$! +3$3,&!4#:?.,*-#(-!:.>!@&!?#--*@;&!E*$%!
;#4.;*$*&-!$%.$!%.)&!@&&(!.++&4$&8!@>!%3:.(!.4$*)*$*&-_!5@7 ,&?,&-&($.$*)&! &M.:?;&-! #+! :.d#,! $&,,&-$,*.;H! *(4;38*(1! 1;.4*.;! .(8! .A3.$*4H! &4#->-$&:-! .(8!
:.,*(&!&4#->-$&:-_!547 .,&.-!E*$%! *:?#,$.($! #,! 3(3-3.;! .--&:@;.1&-! #+! -?&4*&-H! *(4;38*(1!:.d#,! 4#;#(*&-! #+! @,&&8*(1!
(.$*)&!@*,8-!#,!:.::.;-_!587 $%&!$>?&!;#4.;*$>!#,!#(;>!G(#E(!%.@*$.$!#+!.(>!-?&4*&-_!5&7 .,&.-!#+!?.,$*43;.,!*($&,&-$!$#!#(K1#*(1!#,!?;.((&8!-4*&($*+*4!,&-&.,4%_!5+7 &M.:?;&-!#+!#3$-$.(8*(1!1&#;#1*4.;H!1;.4*#;#1*4.;!#,!1&#:#,?%#;#1*4.;!+&.$3,&-_!517 .,&.-!#+!#3$-$.(8*(1!.&-$%&$*4!.(8!E*;8&,(&--!).;3&_!5%7 -*$&-!#,!:#(3:&($-!#+!,&4#1(*-&8!%*-$#,*4!).;3&_!.(8!5*7 -34%!#$%&,!.,&.-!.-!:.>!@&!.??,#?,*.$&!$#!?,#$&4$!$%&!).;3&-!-&$!#3$!*(!?.,.1,.?%!Y!.@#)&B!!
D&)&,.;! .;,&.8>K8&-*1(.$&8! 6D<6-! *(! $%&! 2#--! D&.! ,&1*#(! *(4;38&! -:.;;! .:#3($-! #+! :.,*(&! %.@*$.$! 5&B1B!'.?&! U.;;&$$! YOhH! '.?&! ',#C*&,! YNgH! .(8! =&,,.! T#).! ".>! YhY7H! .-! 8#&-! $%&! 6($.,4$*4! <.4GK*4&! D&.;-!61,&&:&($! 3(8&,! $%&!6($.,4$*4! =,&.$>! 598*-$#! W(;&$H! '.?&!U.;;&$$_! DI! 4#,(&,! #+! $%&!2#--! D&.H! *(4;38*(1!/4/3,8#!D#3(87H!.(8!$%&!,&4&($;>!.1,&&8!D#3$%!L,G(&>-!:.,*(&!?,#$&4$&8!.,&.!8&-*1(.$&8!@>!''6/02H!E%*4%!?,#$&4$-!vYf!#+!$%&!D#3$%&,(!L4&.(!5''6/02!'#(-&,).$*#(!/&.-3,&!]YK[7B!!6D<6-! .,&! ,#31%;>! &A3*).;&($! $#! WS'T! '.$&1#,>! W! .(8! 6D/6-! $#! '.$&1#,>! \H! .44#,8*(1! $#! $%&! N(8!6($.,4$*4!<,#$&4$&8!6,&.-!I#,G-%#?!2&?#,$!NOOOB!!=%&!13*8&;*(&-! 3(8&,!''6/02!.,&! %*1%;*1%$&8! *(!D'K'6/02KZZ\WW! 5[Baa7H!E%*4%! ,&1*-$&,-! .1,&&:&($!$%.$!$%&!&M*-$*(1!@&($%*4!.(8!?&;.1*4!@*#,&1*#(.;*-.$*#(-!8&)&;#?&8!@>!$%&!NOOb!"*#,&1*#(.;*-.$*#(!I#,G-%#?!E&,&!.8&A3.$&H!.;$%#31%!+3,$%&,!,&+*(&:&($!:.>!@&!3(8&,$.G&(_!.(8!$%.$!.!(3:@&,!#+!:&$%#8-!4#3;8!@&!3-&8!+#,!8&-*1(*(1!.!,&?,&-&($.$*)&!->-$&:!#+!w,&-&,)&-xH!*(4;38*(1H!inter aliaH!@*#,&1*#(.;*-.$*#(!.(8X#,!->-$&:.$*4!4#(-&,).$*#(!?;.((*(1B!W$!+3,$%&,!:&($*#(&8!$%&!3-&!#+!/62Z6T!.-!#(&!@3$!(#$!$%&!#(;>!-#+$E.,&!$##;H!.(8!*(! $%&!4.-&!#+! $%&! *(+#,:.$*#(!?,&-&($&8! *(! $%&-&!?.?&,!#(! $%&!2#--!D&.!/6Z9T=! *-!@&*(1!3-&8! 5Q*1B!N7B!''6/02H!*(!*$-!NOOa!:.,*(&!?,#$&4$&8!.,&.!E#,G-%#?!*8&($*+*&8!+#3,!$>?&-!#+!,&-&,)&-!$%.$!E#3;8!-3*$! *$-!-?.$*.;!?,#$&4$*#(!1#.;-!5S(*$&8!D$.$&-!NOOa7`!!!
! ,&?,&-&($.$*)&!.,&.-_!! )3;(&,.@;&!.,&.-_!! -4*&($*+*4!.,&.-_!.(8!! .,&.-!#+!(#$&E#,$%>!&4#->-$&:!?,#4&--&-!
!=%&-&!4.$&1#,*&-!E&,&!8*)*8&8!$#!.88,&--!+3,$%&,!4#(-&,).$*#(!1#.;-!$%.$!,&+;&4$&8!'9<!?,*#,*$*&-`!
! *"
! *#
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
!! ?,#$&4$!3(*A3&H!,.,&H!%*1%;>!8*)&,-&!.,&.-_!! ?,#$&4$!4,*$*4.;!;*+&K%*-$#,>!.,&.-_!! *(4,&.-&!,&-*;*&(4&!$#!4;*:.$&!4%.(1&_!! .,&.-!G&?$!*()*#;.$&!+,#:!%3:.(!8*-$3,@.(4&_!.(8!! :3;$*?;&!3-&!.,&.-!$#!4##,8*(.$&!.4$*)*$*&-B!
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`!!!
5.7 S(*A3&(&--!X!,.,*$>_!5@7 D?&4*.;!*:?#,$.(4&!+#,!;*+&!%*-$#,>!#+!-?&4*&-_!547 W:?#,$.(4&!+#,!$%,&.$&(&8H!&(8.(1&,&8!#,!8&4;*(*(1!-?&4*&-!X!%.@*$.$-_!587 \3;(&,.@*;*$>H!+,.1*;*$>H!-&(-*$*)*$>H!#,!-;#E!,&4#)&,>_!!5&7 "*#;#1*4.;!?,#834$*)*$>_!5+7 "*#;#1*4.;!8*)&,-*$>_!.(8!517 T.$3,.;(&--B!
!WWWB!Q*(.;;>H!$%&!S(*$&8!T.$*#(-!5ST9D'L7!%.-!8&)&;#?&8!4,*$&,*.!3(8&,!E%*4%!I#,;8!U&,*$.1&!D*$&-!4.(!@&!8&-*1(.$&8!3(8&,!(.$*#(.;!d3,*-8*4$*#(Hg!.(8!.1.*(!$%&-&!.,&!*(4;38&8!E*$%*(!$%&!;.(13.1&!#+!/.8,*8!<,#$#4#;!.$$,*@3$&-! +#,! 6D<6-! .(8! ''6/02V-! :.,*(&! ?,#$&4$*#(! ?,#)*-*#(-B!I%*;&! *$! *-! (#$! ?#--*@;&! $#! +#,:.;;>!8&-*1(.$&! -34%! -*$&-! 3(8&,! $%&! 6($.,4$*4! =,&.$>H! #E*(1! $#! $%&! +.4$! $%.$! $%&,&! *-! (#! ,&4#1(*C&8! (.$*#(.;!-#)&,&*1($>! -#3$%! #+! hO#! D! 3(8&,! $%&! =,&.$>H! $%&-&! 4,*$&,*.! .,&! .??;*4.@;&! $#! $%&! 2#--! D&.B! D&)&,.;! .,&.-!-*:*;.,! *(! -?.$*.;! &M$&($! $#! $%&!2#--! D&.! 5&B1BH! 0.G&!".*G.;H!6+,*4.(!2*+$! 0.G&-7! %.)&! @&&(! 8&-*1(.$&8! .-!I#,;8!U&,*$.1&!D*$&-!&;-&E%&,&!#(!9.,$%`!
5.7 D3?&,;.$*)&!(.$3,.;!?%&(#:&(.!#,!.,&.-!#+!&M4&?$*#(.;!@&.3$>!.(8!.&-$%&$*4!*:?#,$.(4&_!!5@7 L3$-$.(8*(1! &M.:?;&-! ,&?,&-&($*(1!:.d#,! -$.1&-! #+!9.,$%F-! %*-$#,>H! *(4;38*(1! $%&! ,&4#,8! #+! ;*+&H!
-*1(*+*4.($! #(K1#*(1! 1&#;#1*4.;! ?,#4&--&-! *(! $%&! 8&)&;#?:&($! #+! ;.(8+#,:-H! #,! -*1(*+*4.($!1&#:#,?%*4!#,!?%>-*#1,.?%*4!+&.$3,&-_!!
547 L3$-$.(8*(1!&M.:?;&-!,&?,&-&($*(1!-*1(*+*4.($!#(K1#*(1!&4#;#1*4.;!.(8!@*#;#1*4.;!?,#4&--&-!*(!$%&!&)#;3$*#(! .(8! 8&)&;#?:&($! #+! $&,,&-$,*.;H! +,&-%! E.$&,H! 4#.-$.;! .(8! :.,*(&! &4#->-$&:-! .(8!4#::3(*$*&-!#+!?;.($-!.(8!.(*:.;-_!.(8!
587 W:?#,$.($!.(8!-*1(*+*4.($!(.$3,.;!%.@*$.$-!+#,!*(K-*$&!4#(-&,).$*#(!#+!@*#;#1*4.;!8*)&,-*$>H!*(4;38*(1!$%#-&!4#($.*(*(1!$%,&.$&(&8!-?&4*&-!#+!#3$-$.(8*(1!3(*)&,-.;!).;3&!+,#:!$%&!?#*($!#+!)*&E!#+!-4*&(4&!#,!4#(-&,).$*#(B!!
!
!g!%$$?`XXE%4B3(&-4#B#,1X&(X4,*$&,*.X!