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Biological Diversity Conservation and the Law Legal Mechanisms for Conserving Species and Ecosystems Cyrille de Klemm in collaboration with Clare Shine Environmental Policy and Law Paper No. 29 IUCN The World Conservation Union Biological Diversity Conservation and the Law Legal Mechanisms for Conserving Species and Ecosystems IUCN – THE WORLD CONSERVATION UNION IUCN – The World Conservation Union brings together States, government agencies and a diverse range of non-governmental organisations in a unique world partnership: some 770 members in all, spread across 123 countries. As a union, IUCN exists to serve its members - to represent their views on the world stage and to provide them with the concepts, strategies and technical support they need to achieve their goals. Through its six Commissions, IUCN draws together over 5000 expert volunteers in project teams and action groups. A central secretariat coordinates the IUCN Programme and leads initiatives on the conservation and sustainable use of the world's biological diversity and the management of habitats and natural resources, as well as providing a range of services. The Union has helped many countries to prepare National Conservation Strategies, and demonstrates the application of its knowledge through the field projects it supervises. Operations are increasingly decentralised and are carried forward by an expanding network of regional and country offices, located principally in developing countries. IUCN - The World Conservation Union seeks above all to work with its members to achieve development that is sustainable and that provides a lasting improvement in the quality of life for people all over the world. Biological Diversity Conservation and the Law Legal Mechanisms for Conserving Species and Ecosystems Cyrille de Klemm in collaboration with Clare Shine IUCN Environmental Policy and Law Paper No. 29 IUCN Environmental Law Centre IUCN Biodiversity Programme IUCN – The World Conservation Union 1993 Published by: IUCN, Gland, Switzerland and Cambridge, UK IUCN Environmental Law Centre, Adenauerallee 214, D-5300 Bonn 1, Germany IUCN Biodiversity Programme, Rue Mauverney 28, CH-1196, Gland, Switzerland IUCN The World Conservation Union Copyright: (1993) International Union for Conservation of Nature and Natural Resources Reproduction of this publication for educational or other non-commercial purposes is authorised without prior permission from the copyright holder. Reproduction for resale or other commercial purposes is prohibited without the prior written permission of the copyright holder. Citation: de Klemm, C. and Shine, C. (1993), Biological Diversity Conservation and the Law, IUCN, Gland, Switzerland and Cambridge, UK. xix + 292 pp. ISBN: 2-8317-0192-9 Text layout by: IUCN Publications Services Unit, Cambridge, UK, on desktop publishing equipment purchased through a gift from Mrs Julia Ward Cover photo: Ujung Kulon NP, West Java, Indonesia: WWF/Anton Fernhout Cover design by: IUCN Publications Services Unit Printed by: Page Brothers (Norwich) Ltd, Norwich, UK Available from: IUCN Publications Services Unit 219c Huntingdon Road, Cambridge, CB3 0DL, UK or IUCN Communications and Corporate Relations Division Rue Mauverney 28, CH-1196 Gland, Switzerland The presentation of material in this book and the geographical designations employed do not imply the expression of any opinion whatsoever on the part of IUCN concerning the legal status of any country, territory, or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries. The views of the authors expressed in this publication do not necessarily reflect those of IUCN. The text of this book is printed on Fineblade Cartridge 90gsm made from low chlorine pulp Contents Foreword XV Editorial preface xvii INTRODUCTION: THE DEVELOPMENT OF INTERNATIONAL CONSERVATION LAW 1 A. The Principle of National Sovereignty over Natural Resources 1 B. The Formation of a Consensus to Conserve Natural Resources 2 C. The Main Soft Law Instruments 5 D. Treaties and other Binding Instruments 6 1. Early Treaties 7 2. Regional Treaties and Other Instruments 8 a. Africa 8 b. America 8 c. Europe 8 i. The Berne Convention 8 ii. The Benelux Conventions 9 iii. European Community Legislation 9 iv. The Alpine Convention 10 d. Asia 10 e. The Pacific 10 f. Regional Seas 11 g. Areas beyond National Jurisdiction: the Antarctic 11 3. Sectoral Treaties 12 a. Treaties dealing with Species 12 i. Species whose Range is Shared by Several States 12 ii. Migratory Species 12 iii. Treaties regulating the Trade in Wild Species 13 iv. Treaties regulating the Exploitation of Wild Species 13 b. Area-Based Conservation Treaties 14 4. The Law of the Sea Convention 15 17 5. The Convention on Biological Diversity a. The Background to the Adoption of the Convention 17 b. The Principles of the Convention 19 c. The Scope of the Convention and the Main Conservation Obligations 21 d. The Mechanisms of the Convention 22 e. The Provision of Financial Resources under the Convention 23 f. Relationship with other Conventions 24 v PART I: SPECIES-BASED CONSERVATION AND THE LAW I. THE INTERNATIONAL LAW OF SPECIES 29 A. Species Conservation Treaties 29 1. Early Treaties 29 2. Regional Treaties and Other Instruments 30 a. Africa 30 b. America 30 c. Europe 30 i. The Berne Convention of 1979 30 ii. The European Community Legislation 31 iii. The Alpine Convention 33 d. Asia 33 e. Regional Seas 33 f. Areas beyond National Jurisdiction: the Antarctic 36 3. Sectoral Treaties: Migratory Species 37 a. Species other than Birds 38 b. Early Bird Treaties 38 c. The EC Birds Directive 38 d. Bilateral Treaties 39 e. The Global Treaty on Migratory Species: the Bonn Convention of 1979 40 f. The North American System 43 B. The Mechanisms of Species Conservation Treaties 44 1. The Technique of Species Conservation Treaties 44 2. The Implementation of Species Conservation Treaties 45 C. Exploitation Treaties 47 1. The International Convention for the Regulation of Whaling 47 2. The Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR) 48 3. Incidental Taking by Large Drift Nets 49 50 4. Conventions for the Regulation of Sealing 50 D. The Convention on Biological Diversity 51 E. Rights and Responsibilities of States for the Conservation of Species 51 1. The Foundations and Definition of Responsibility 53 2. Problems of Developing an International Status for Species 54 3. Performance Obligations arising from State Responsibility 55 4. The Special Case of Migratory Species 55 5. The Rights of States over Species vi II. THE SCOPE OF STATE POWERS TO CONSERVE WILD SPECIES 59 A. The Legal Basis for Legislation to Conserve Species 59 1. The Legal Status of Wild Animals and Plants 59 2. The Regulatory Powers of the State 61 a. Hunting Legislation 61 b. Fishing Legislation 62 c. Legislation protecting Plants 62 d. Nature Conservation Legislation 62 B. Jurisdiction over Species 64 1. Subject-Matter Jurisdiction 64 a. Jurisdiction based on the Type of Environment 64 i. The Inadequate Definition of Species 65 ii. Jurisdictional Splits based on the Movements of Species 65 iii. Administrative Resistance to Jurisdictional Changes 65 b. Jurisdiction over Game and Non-Game Species 66 c. Wild Plants 67 d. Other Jurisdictional Splits 67 2. Territorial Jurisdiction 68 a. Primary Jurisdiction of the Federal Government 68 b. Primary Jurisdiction of the Federated Entities or Regions 69 c. Concurrent Jurisdiction at Central and Regional Level 69 d. Returning Jurisdiction to Central Government 70 e. Other Examples of Jurisdictional Separations 71 f. Complexities of Jurisdiction over Marine Species 72 III. THE LISTING PROCESS 75 A. The Content of Lists 75 1. Legislative Criteria for Selection 75 2. Taxa or Categories of Species which may be Listed 77 a. Taxonomic Levels 77 b. Categories of Species or Taxa 77 3. Positive and Negative Lists 78 4. Categories of Protected Species 79 5. The Inclusion of Non-Indigenous Species 80 6. Taxonomic Problems 80 B. Listing Procedures 81 1. The Right of Initiative 81 2. Public Consultation 82 3. Delisting Procedures 84 C. The Evolution of Listing 84 vii IV. TAKING 87 A. Taking Prohibitions or Full Protection 87 1. Animals 87 a. The General Exclusion of Unintentional Taking 88 b. Categories of Species and Taking Prohibitions 89 c. Specific Exemptions to Taking Prohibitions 89 d. Exceptions in Favour of Subsistence Hunters and Fishermen 91 2. Plants 92 B. Taking Restrictions or Partial Protection 93 1. Introduction 93 2. Subsistence Exploitation 96 3. Hunting Rights 96 4. Game Species 97 a. Total Bans 97 b. Time Limitations: Open and Close Seasons 97 c. Area Limitations: Closed Areas 98 d. Limitations on the Number of Hunters 98 e. Restrictions on Animals that may be Taken 99 i. Sex and Age 99 ii. Bag Limits 99 f. Hunting Methods 100 g. Hunting Licences 100 h. Game Management 101 5. Fresh Water Fishing 103 6. Plants 104 a. Mushrooms 104 b. Other Plants 104 c. The Collection of Wild Plants by the Public 104 7. Marine Fisheries 105 a. Traditional Fisheries 105 b. General Regulation of Commercial Fisheries 106 c. Sporting or Recreational Fisheries 107 8. Species causing Damage 108 V. TRADE 111 A. Domestic Trade 111 1. Prohibitions on Trade in Protected Species 111 2. Restrictions or Prohibitions on Trade in Partially Protected Species 111 3. Licensing of Certain Activities 113 viii 4. Wild Animals in Captivity 113 a. Public Health and Safety 114 b. Animal Welfare 114 c. Captive Breeding and Artificial Propagation 115 5. Trade in Federal States 115 B. International Trade 116 1. Exports 116 2. Imports 117 3. International Conventions 118 VI. ENFORCEMENT 121 A. Practical Difficulties of Enforcement 121 B. Penalties for Offences under Conservation Legislation 122 VII. INTEGRATED SPECIES PROTECTION 125 A. Restrictive Measures for the Protection of Species' Habitats 125 1. Automatic Habitat Protection 125 2. Discretionary Protection of Species' Habitats 129 3. Damaging Processes and Activities 130 B. Positive Measures for the Protection of Species 131 VIII. CONCLUSION 133 A. Endangered Species 133 B. Exploited Species 135 1. Unit Management 136 2. Rational Management 136 3. Ecological Management 137 PART II: AREA-BASED CONSERVATION AND THE LAW I. THE INTERNATIONAL LAW OF PROTECTED AREAS 141 A. Treaties 141 1. Treaties laying down Obligations to establish Protected Areas 141 a. African Convention 141 b. Western Hemisphere Convention 141 c. South Pacific Convention 141 d. ASEAN Agreement 142 e. The Protected Areas Protocols to Regional Seas Conventions 142 ix