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International Trade (Fauna and Flora) Act

LAWS OF THE REPUBLIC OF VANUATU
CONSOLIDATED EDITION 2006

Commencement: 11 February 1991

CHAPTER 210
INTERNATIONAL TRADE (FAUNA AND FLORA)

Act 56 of 1989

ARRANGEMENT OF SECTIONS

PART 1 – PRELIMINARY

1. Interpretation
2. Minister’s power to amend Schedule
3. Saving of other laws

PART 2 – TRADE IN APPENDIX I SPECIMENS

4. Exportation of Appendix I specimen
5. Importation of Appendix I specimen
6. Re-exportation of Appendix I specimen
7. Introduction from the sea of Appendix I specimen

PART 3 – TRADE IN APPENDIX II SPECIMENS

8. Exportation of Appendix II specimen
9. Importation of Appendix II specimen
10. Re-exportation of Appendix II specimen
11. Introduction from the sea of Appendix II specimen

PART 4 – TRADE IN APPENDIX III SPECIMENS

12. Exportation of Appendix III specimen
13. Importation of Appendix III specimen

PART 5 – MISCELLANEOUS

14. Application for the grant of permit
15. Exemptions
16. False information
17. General penalty
18. Seizure and forfeiture of specimen, etc.
19. Regulations

SCHEDULE – Convention on International Trade in Endangered Species of Wild Fauna and Flora

INTERNATIONAL TRADE (FAUNA AND FLORA)

An Act to implement the Republic of Vanuatu’s obligations as a party to the Convention on International Trade in Endangered Species of Wild Fauna and Flora signed at Washington on 3 March 1973 by controlling and regulating the exportation and importation of certain species of fauna and flora, and for related purposes.

PART 1 – PRELIMINARY

1. Interpretation

(1) In this Act, unless the context otherwise requires –

“Appendix I specimen” means a specimen of a species included in Appendix I to the Convention;

“Appendix II specimen” means a specimen of a species included in Appendix II to the Convention;

“Appendix III specimen” means a specimen of a species included in Appendix III to the Convention;

“Convention” means the Convention on International Trade in Endangered Species of Wild Fauna and Flora, done at Washington in the United States of America on 3 March 1973, a copy of which (except for Appendix III) is set out in the Schedule hereto[∗];

“export permit” means –

(a) where the Management Authority issues the permit – an export permit, issued in accordance with the relevant section of the Act; or

(b) where the relevant authority of another country a party to the Convention issues the permit – an export permit, issued by that relevant authority in accordance with the Convention and the laws of that country; or

(c) where another country not a party to the Convention issues the permit – a document issued by the competent authorities of that country which substantially conforms with the requirements of the Convention in respect of export permits;

“import” does not include introduction from the sea;

“import permit” means –

(a) where the Management Authority issues the permit – an import permit issued in accordance with the relevant section of the Act; or

(b) where the relevant authority of another country a party to the Convention issues the permit – an import permit issued by that relevant authority in accordance with the Convention and the laws of that country; or

(c) where another country not a party to the Convention issues the permit – a document issued by the competent authorities of that country which substantially conforms with the requirements of the Convention in respect of import permits;

“the Management Authority” means –

(a) the person, body or body of persons designated by the Minister to be the Management Authority for the Republic of Vanuatu in accordance with Article IX of the Convention; or

(b) in relation to any particular fauna or flora to which this Act applies, where two or more Management Authorities have been so designated – the Management Authority specified by the Minister as the relevant Management Authority in respect of the fauna or flora;

“Minister” means the Minister for the time being responsible for the environment and its conservation;

“re-export permit” means –

(a) where the Management Authority issues the permit – a re-export permit issued in accordance with the relevant section of the Act; or

(b) where the relevant authority of another country a party to the Convention issues the permit – a re-export permit issued by that relevant authority in accordance with the Convention and the laws of that country; or

(c) where another country not a party to the Convention issues the permit – a document issued by the competent authorities of that country which substantially conforms with the requirements of the Convention in respect of export permits.

(2) The Management Authority shall, in addition to the powers, duties and functions vested in it by this Act, exercise the powers, duties and functions of the Scientific Authority as provided for in the Convention.

(3) Unless the contrary intention appears, words and expressions used in this Act have the same meaning as they have in the Convention.

2. Minister’s power to amend Schedule

(1) The Minister may, subject to the prior approval of the Council of Ministers, by Order amend the Schedule in conformity with any amendment made to the Convention that is adopted by the Republic of Vanuatu.

(2) Any order made under this section may contain such consequential, supplemental or ancillary provisions as appear to the Minister to be necessary or expedient for the purpose of giving due effect to the amendment adopted and, without prejudice to the generality of the foregoing, may contain provisions amending references in this Act to specific provisions of the Convention.

(3) Where the Schedule to this Act is amended pursuant to this section, any reference in this Act or any other instrument to the Convention shall, unless the context otherwise requires, be construed as a reference to the Convention so amended.

3. Saving of other laws

The provisions of this Act are in addition to and not in derogation of the operation of any other law in force in the Republic of Vanuatu.

PART 2 – TRADE IN APPENDIX I SPECIMENS

4. Exportation of Appendix I specimen

(1) Subject to section 15, a person shall not export an Appendix I specimen unless he has an export permit to do so issued by the Management Authority.

(2) The Management Authority shall not issue an export permit in respect of an Appendix I specimen unless it is satisfied that –

(a) the specimen was not obtained in contravention of a law in force in Vanuatu for the protection of fauna and flora; and

(b) if the specimen is living – it will be prepared and shipped in a manner that will minimize the risk of injury, damage to its health or cruel treatment; and

(c) the country to which the specimen is to be exported has issued an import permit for the importation of that specimen; and

(d) the exportation of the specimen will not be detrimental to the survival of the species involved.

5. Importation of Appendix I specimen

(1) Subject to section 15, a person shall not import an Appendix I specimen unless he has, in respect of that specimen –

(a) an export permit or a re-export permit issued by the country from which the specimen has been exported or re-exported; and

(b) an import permit issued by the Management Authority.

(2) The Management Authority shall not issued an import permit in respect of an Appendix I specimen unless it is satisfied that –

• (a) the specimen is not to be used for primarily commercial purposes; and
  
• (b) the importation will be for purposes that are not detrimental to the survival of the species involved; and
  
• (c) if the specimen is living – the proposed recipient of the specimen is suitably equipped to house and care for it.
  

6. Re-exportation of Appendix I specimen

(1) A person shall not re-export an Appendix I specimen unless he has a re-export permit to do so issued by the Management Authority.

(2) The Management Authority shall not issue a re-export permit in respect of an Appendix I specimen unless it is satisfied that –

• (a) the specimen was not brought into Vanuatu in contravention of this Act; and
  
• (b) if the specimen is living – it shall be prepared and shipped in a manner that shall minimize the risk of injury, damage to its health or cruel treatment; and
  
• (c) the country to which the specimen is to be exported has issued an import permit for the importation of that specimen.
  

7. Introduction from the sea of Appendix I specimen

(1) A person shall not introduce into Vanuatu from the sea an Appendix I specimen unless he has a certificate to do so issued by the Management Authority.

(2) The Management Authority shall not issue a certificate for the introduction into Vanuatu from the sea of an Appendix I specimen unless it is satisfied that –

(a) if the specimen is living – the proposed recipient of the specimen is suitably equipped to house and care for it; and

(b) the specimen is not to be used for primarily commercial purposes; and

(c) the introduction shall not be detrimental to the survival of the species involved.

PART 3 – TRADE IN APPENDIX II SPECIMENS

8. Exportation of Appendix II specimen

(1) Subject to section 15, a person shall not export an appendix II specimen unless he has an export permit to do so issued by the Management Authority.

(2) The Management Authority shall not issue an export permit in respect of an Appendix II specimen unless it is satisfied that –

(a) the specimen was not obtained in contravention of a law in force in Vanuatu for the protection of fauna and flora; and

(b) if the specimen is living – it shall be prepared and shipped in a manner for the protection of fauna and flora; and

(c) the exportation of the specimen shall not be detrimental to the survival of the species involved.

9. Importation of Appendix II specimen

Subject to section 15, a person shall not import an Appendix II specimen unless he has an export permit or re-export permit issued by the country from which the specimen has been exported or re-exported.

10. Re-exportation of Appendix II specimen

(1) A person shall not re-export and Appendix II specimen unless he has a re-export permit to do so issued by the Management Authority.

(2) The Management Authority shall not issue a re-export permit in respect of an Appendix II specimen unless it is satisfied that –

(a) the specimen was not brought into the country in contravention of this Act; and

(b) if the specimen is living – it shall be prepared and shipped in a manner that shall minimize the risk of injury, damage to its health or cruel treatment.

11. Introduction from the sea of Appendix II specimen

(1) A person shall not introduce into Vanuatu from the sea an Appendix II specimen unless he has a certificate to do so issued by the Management Authority.

(2) The Management Authority shall not issue a certificate for the introduction into Vanuatu from the sea of an Appendix II specimen unless it is satisfied that –

(a) if the specimen is living, it shall be prepared so as to minimize the risk of injury, damage to its health or cruel treatment; and

(b) the introduction shall not be detrimental to the survival of the species involved.

PART 4 – TRADE IN APPENDIX III SPECIMENS

12. Exportation of Appendix III specimen

(1) A person shall not export an Appendix III specimen where the species to which that specimen belongs has been included in Appendix III to the Convention by the Republic of Vanuatu unless he has an export permit to do so issued by the Management Authority.

(2) The Management Authority shall not issue an export permit in respect of an Appendix III specimen to which subsection (1) applies unless it is satisfied that –

• (a) the specimen was not obtained in contravention of a law for the protection of fauna and flora in force in Vanuatu; and
  
• (b) if the specimen is living – it shall be prepared and shipped in a manner that shall minimize the risk of injury, damage to its health or cruel treatment.
  

13. Importation of Appendix III specimen

A person shall not import an Appendix III specimen unless he has, in respect of that specimen –

(a) a certificate of origin; and

(b) where the specimen has been imported from a country that had included the species to which that specimen belongs in Appendix III to the Convention, an export permit issued by that country.

PART 5 – MISCELLANEOUS

14. Application for the grant of permit

(1) An application for the grant of a permit shall be made to the Management Authority in the prescribed form.

(2) The Management Authority may on payment of the prescribed fee grant a permit to the applicant.

15. Exemptions

The provisions of Parts 2, 3 and 4 of this Act shall not apply to –

(a) the transit or transshipment of specimens through or in Vanuatu while the specimens remain in customs control;

(b) a specimen that was acquired before this Act came into operation, provided that the Management Authority is satisfied that the specimen was acquired before the provisions of this Act applied to them and issues a certificate to that effect;

(c) specimens that are personal or household effects;

(d) non-commercial exchange between scientists or scientific institutions, provided that such scientists or scientific institutions in Vanuatu, have been approved by the Management Authority and in another state, have been registered by the relevant Management Authority.

16. False information

A person who, for the purpose of this Act, knowingly or with intention to deceive, provides to the Management Authority information –

(a) that is false or misleading in a material particulars; or

(b) that he does not have reasonable cause to believe is correct,

is guilty of an offence.

Penalty: A fine not exceeding VT 500,000 or imprisonment for a term not exceeding 12 months or to both such fine and imprisonment.

17. General penalty

(1) Any person who acts in contravention or fails to comply with the provisions of this Act for which no penalty is provided is guilty of an offence and shall be liable on conviction to a fine not exceeding VT 1 million or to imprisonment for a term not exceeding two years or to both such fine and imprisonment.

(2) Any person who acts in contravention or fails to comply with the provisions of any regulation made under this Act or the conditions of a permit for which no penalty is provided is guilty of an offence and shall be liable on conviction to a fine not exceeding VT 50,000 or to imprisonment for a term not exceeding 3 months or to both such fine and imprisonment.

18. Seizure and forfeiture of specimen, etc.

(1) Any police or customs officer or any other officer authorized by the Management Authority may seize specimen of any species to which an offence has been or is being committed against this Act or any regulation made under this Act.

(2) Where any person is convicted of an offence against this Act or any regulation made under this Act, the Court may order that any specimen of any species to which the conviction relates together with all the receptacles containing such specimen to such species, shall be forfeited to the State.

(3) Everything so forfeited to the State shall be disposed of as the Management Authority directs.

19. Regulations

(1) The Minister may make regulations for the purpose of carrying out or giving effect to this Act and in particular, for prescribing –

(a) the forms to be used for the purposes of this Act and the Convention; and

(b) the fees to be paid in respect of –

• (i) services provided and obligations carried out y the Management Authority under this Act; and
  
• (ii) permits or certificates issued under this Act; and
  

(c) penalties of fines not exceeding VT 50,000 for offences against the regulations; and

(d) any other matters that by this Act are required or permitted to be prescribed or that are necessary or convenient to be prescribed for carrying our or giving effect to this Act.

(2) The Minister may, in consultation with the Management Authority –

(a) for the purpose of protecting native species of flora and fauna from predation, make regulations prohibiting the landing of any species or any specimen of species of fauna and flora not naturally occurring in Vanuatu;

(b) for the purpose of preventing or controlling international trade in endangered species of wild fauna and flora, make regulations prohibiting the landing of specified species or specimen of species of fauna and flora from any place or country outside Vanuatu.

SCHEDULE

CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES
OF WILD FAUNA AND FLORA

The Contracting States,

Recognizing that wild fauna and flora in their many beautiful and varied forms are an irreplaceable part of the natural systems of the earth which must be protected for this and the generations to come;

Conscious of the ever-growing value of wild fauna and flora from aesthetic, scientific, cultural, recreational and economic points of view;

Recognizing that peoples and States are and should be the best protectors of their own wild fauna and flora;

Recognizing, in addition, that international co-operation is essential for the protection of certain species of wild fauna and flora against over-exploitation through international trade;
Convinced of the urgency of taking appropriate measures to this end; Have agreed as follows:

Article I

Definitions

For the purpose of the present Convention, unless the context otherwise requires:

(a) "Species" means any species, subspecies, or geographically separate population thereof;

(b) "Specimen" means:

(i) any animal or plant, whether alive or dead;

(ii) in the case of an animal: for species included in Appendices I and II, any readily recognizable part or derivative thereof; and for species included in Appendix III, any readily recognizable part or derivative thereof specified in Appendix III in relation to the species; and

(iii) in the case of a plant: for species included in Appendix I, any readily recognizable part or derivative thereof; and for species included in Appendices II and III, any readily recognizable part or derivative thereof specified in Appendices II and III in relation to the species;

(c) "Trade" means export, re-export, import and introduction from the sea;

(d) "Re-export" means export of any specimen that has previously been imported;

(e) "Introduction from the sea" means transportation into a State of specimens of any species which were taken in the marine environment not under the jurisdiction of any State;

(f) "Scientific Authority" means a national scientific authority designated in accordance with Article IX;

(g) "Management Authority" means a national management authority designated in accordance with Article IX;

(h) "Party" means a State for which the present Convention has entered into force.

Article II

Fundamental Principles

1. Appendix I shall include all species threatened with extinction which are or may be affected by trade. Trade in specimens of these species must be subject to particularly strict regulation in order not to endanger further their survival and must only be authorized in exceptional circumstances.

2. Appendix II shall include:

(a) all species which although not necessarily now threatened with extinction may become so unless trade in specimens of such species is subject to strict regulation in order to avoid utilization incompatible with their survival; and

(b) other species which must be subject to regulation in order that trade in specimens of certain species referred to in sub-paragraph (a) of this paragraph may be brought under effective control.

3. Appendix III shall include all species which any Party identifies as being subject to regulation within its jurisdiction for the purpose of preventing or restricting exploitation, and as needing the co-operation of other Parties in the control of trade.
4. The Parties shall not allow trade in specimens of species included in Appendices I, II and III except in accordance with the provisions of the present Convention.

Article III

Regulation of Trade in Specimens of Species Included in Appendix I

1. All trade in specimens of species included in Appendix I shall be in accordance with the provisions of this Article.

2. The export of any specimen of a species included in Appendix I shall require the prior grant and presentation of an export permit. An export permit shall only be granted when the following conditions have been met:

(a) a Scientific Authority of the State of export has advised that such export will not be detrimental to the survival of that species;

(b) a Management Authority of the State of export is satisfied that the specimen was not obtained in contravention of the laws of that State for the protection of fauna and flora;

(c) a Management Authority of the State of export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment; and

(d) a Management Authority of the State of export is satisfied that an import permit has been granted for the specimen.

3. The import of any specimen of a species included in Appendix I shall require the prior grant and presentation of an import permit and either an export permit or a re-export certificate. An import permit shall only be granted when the following conditions have been met:

(a) a Scientific Authority of the State of import has advised that the import will be for purposes which are not detrimental to the survival of the species involved;

(b) a Scientific Authority of the State of import is satisfied that the proposed recipient of a living specimen is suitably equipped to house and care for it; and

(c) a Management Authority of the State of import is satisfied that the specimen is not to be used for primarily commercial purposes.

4. The re-export of any specimen of a species included in Appendix I shall require the prior grant and presentation of a re-export certificate. A re-export certificate shall only be granted when the following conditions have been met:

(a) a Management Authority of the State of re-export is satisfied that the specimen was imported into that State in accordance with the provisions of the present Convention;

(b) a Management Authority of the State of re-export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment; and

(c) a Management Authority of the State of re-export is satisfied that an import permit has been granted for any living specimen.

5. The introduction from the sea of any specimen of a species included in Appendix I shall require the prior grant of a certificate from a Management Authority of the State of introduction. A certificate shall only be granted when the following conditions have been met:

(a) a Scientific Authority of the State of introduction advises that the introduction will not be detrimental to the survival of the species involved;

(b) a Management Authority of the State of introduction is satisfied that the proposed recipient of a living specimen is suitably equipped to house and care for it; and

(c) a Management Authority of the State of introduction is satisfied that the specimen is not to be used for primarily commercial purposes.

Article IV

Regulation of Trade in Specimens of Species Included in Appendix II

1. All trade in specimens of species included in Appendix II shall be in accordance with the provisions of this Article.

2. The export of any specimen of a species included in Appendix II shall require the prior grant and presentation of an export permit. An export permit shall only be granted when the following conditions have been met:

(a) a Scientific Authority of the State of export has advised that such export will not be detrimental to the survival of that species;

(b) a Management Authority of the State of export is satisfied that the specimen was not obtained in contravention of the laws of that State for the protection of fauna and flora; and

(c) a Management Authority of the State of export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment.

3. A Scientific Authority in each Party shall monitor both the export permits granted by that State for specimens of species included in Appendix II and the actual exports of such specimens. Whenever a Scientific Authority determines that the export of specimens of any such species should be limited in order to maintain that species throughout its range at a level consistent with its role in the ecosystems in which it occurs and well above the level at which that species might become eligible for inclusion in Appendix I, the Scientific Authority shall advise the appropriate Management Authority of suitable measures to be taken to limit the grant of export permits for specimens of that species.

4. The import of any specimen of a species included in Appendix II shall require the prior presentation of either an export permit or a re-export certificate.

5. The re-export of any specimen of a species included in Appendix II shall require the prior grant and presentation of a re-export certificate. A re-export certificate shall only be granted when the following conditions have been met:

(a) a Management Authority of the State of re-export is satisfied that the specimen was imported into that State in accordance with the provisions of the present Convention; and

(b) a Management Authority of the State of re-export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment.

6. The introduction from the sea of any specimen of a species included in Appendix II shall require the prior grant of a certificate from a Management Authority of the State of introduction. A certificate shall only be granted when the following conditions have been met:

(a) a Scientific Authority of the State of introduction advises that the introduction will not be detrimental to the survival of the species involved; and

(b) a Management Authority of the State of introduction is satisfied that any living specimen will be so handled as to minimize the risk of injury, damage to health or cruel treatment.

7. Certificates referred to in paragraph 6 of this Article may be granted on the advice of a Scientific Authority, in consultation with other national scientific authorities or, when appropriate, international scientific authorities, in respect of periods not exceeding one year for total numbers of specimens to be introduced in such periods.

Article V

Regulation of Trade in Specimens of Species Included in Appendix III

1. All trade in specimens of species included in Appendix III shall be in accordance with the provisions of this Article.

2. The export of any specimen of a species included in Appendix III from any State which has included that species in Appendix III shall require the prior grant and presentation of an export permit. An export permit shall only be granted when the following conditions have been met:

(a) a Management Authority of the State of export is satisfied that the specimen was not obtained in contravention of the laws of that State for the protection of fauna and flora; and

(b) a Management Authority of the State of export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment.

3. The import of any specimen of a species included in Appendix III shall require, except in circumstances to which paragraph 4 of this Article applies, the prior presentation of a certificate of origin and, where the import is from a State which has included that species in Appendix III, an export permit.

4. In the case of re-export, a certificate granted by the Management Authority of the State of re-export that the specimen was processed in that State or is being re-exported shall be accepted by the State of import as evidence that the provisions of the present Convention have been complied with in respect of the specimen concerned.

Article VI

Permits and Certificates

1. Permits and certificates granted under the provisions of Articles III, IV, and V shall be in accordance with the provisions of this Article.

2. An export permit shall contain the information specified in the model set forth in Appendix IV, and may only be used for export within a period of six months from the date on which it was granted.

3. Each permit or certificate shall contain the title of the present Convention, the name and any identifying stamp of the Management Authority granting it and a control number assigned by the Management Authority.

4. Any copies of a permit or certificate issued by a Management Authority shall be clearly marked as copies only and no such copy may be used in place of the original, except to the extent endorsed thereon.

5. A separate permit or certificate shall be required for each consignment of specimens.

6. A Management Authority of the State of import of any specimen shall cancel and retain the export permit or re-export certificate and any corresponding import permit presented in respect of the import of that specimen.

7. Where appropriate and feasible a Management Authority may affix a mark upon any specimen to assist in identifying the specimen. For these purposes "mark" means any indelible imprint, lead seal or other suitable means of identifying a specimen, designed in such a way as to render its imitation by unauthorized persons as difficult as possible.

Article VII

Exemptions and Other Special Provisions Relating to Trade

1. The provisions of Articles III, IV and V shall not apply to the transit or transhipment of specimens through or in the territory of a Party while the specimens remain in Customs control.

2. Where a Management Authority of the State of export or re-export is satisfied that a specimen was acquired before the provisions of the present Convention applied to that specimen, the provisions of Articles III, IV and V shall not apply to that specimen where the Management Authority issues a certificate to that effect.

3. The provisions of Articles III, IV and V shall not apply to specimens that are personal or household effects. This exemption shall not apply where:

(a) in the case of specimens of a species included in Appendix I, they were acquired by the owner outside his State of usual residence, and are being imported into that State; or

(b) in the case of specimens of species included in Appendix II:

(i) they were acquired by the owner outside his State of usual residence and in a State where removal from the wild occurred;

(ii)  they are being imported into the owner's State of usual residence; and

(iii)  the State where removal from the wild occurred requires the prior grant of export permits before any export of such specimens; unless a Management Authority is satisfied that the specimens were acquired before the provisions of the present Convention applied to such specimens.

4. Specimens of an animal species included in Appendix I bred in captivity for commercial purposes, or of a plant species included in Appendix I artificially propagated for commercial purposes, shall be deemed to be specimens of species included in Appendix II.

5. Where a Management Authority of the State of export is satisfied that any specimen of an animal species was bred in captivity or any specimen of a plant species was artificially propagated, or is a part of such an animal or plant or was derived therefrom, a certificate by that Management Authority to that effect shall be accepted in lieu of any of the permits or certificates required under the provisions of Article III, IV or V.

6. The provisions of Articles III, IV and V shall not apply to the non-commercial loan, donation or exchange between scientists or scientific institutions registered by a Management Authority of their State, of herbarium specimens, other preserved, dried or embedded museum specimens, and live plant material which carry a label issued or approved by a Management Authority.

7. A Management Authority of any State may waive the requirements of Articles III, IV and V and allow the movement without permits or certificates of specimens which form part of a travelling zoo, circus, menagerie, plant exhibition or other travelling exhibition provided that:

(a) the exporter or importer registers full details of such specimens with that Management Authority;

(b) the specimens are in either of the categories specified in paragraph 2 or 5 of this Article; and (c) the Management Authority is satisfied that any living specimen will be so transported and cared for as to minimize the risk of injury, damage to health or cruel treatment.
 

Article VIII

Measures to Be Taken by the Parties

1. The Parties shall take appropriate measures to enforce the provisions of the present Convention and to prohibit trade in specimens in violation thereof. These shall include measures:

(a) to penalize trade in, or possession of, such specimens, or both; and

(b) to provide for the confiscation or return to the State of export of such specimens.

2. In addition to the measures taken under paragraph 1 of this Article, a Party may, when it deems it necessary, provide for any method of internal reimbursement for expenses incurred as a result of the confiscation of a specimen traded in violation of the measures taken in the application of the provisions of the present Convention.

3. As far as possible, the Parties shall ensure that specimens shall pass through any formalities required for trade with a minimum of delay. To facilitate such passage, a Party may designate ports of exit and ports of entry at which specimens must be presented for clearance. The Parties shall ensure further that all living specimens, during any period of transit, holding or shipment, are properly cared for so as to minimize the risk of injury, damage to health or cruel treatment.

4. Where a living specimen is confiscated as a result of measures referred to in paragraph 1 of this Article:

(a) the specimen shall be entrusted to a Management Authority of the State of confiscation;

(b) the Management Authority shall, after consultation with the State of export, return the specimen to that State at the expense of that State, or to a rescue centre or such other place as the Management Authority deems appropriate and consistent with the purposes of the present Convention; and

(c) the Management Authority may obtain the advice of a Scientific Authority, or may, whenever it considers it desirable, consult the Secretariat in order to facilitate the decision under sub-paragraph (b) of this paragraph, including the choice of a rescue centre or other place.

5. A rescue centre as referred to in paragraph 4 of this Article means an institution designated by a Management Authority to look after the welfare of living specimens, particularly those that have been confiscated.

6. Each Party shall maintain records of trade in specimens of species included in Appendices I, II and III which shall cover:

(a) the names and addresses of exporters and importers; and

(b) the number and type of permits and certificates granted; the States with which such trade occurred; the numbers or quantities and types of specimens, names of species as included in Appendices I, II and III and, where applicable, the size and sex of the specimens in question.

7. Each Party shall prepare periodic reports on its implementation of the present Convention and shall transmit to the Secretariat:

(a) an annual report containing a summary of the information specified in sub-paragraph (b) of paragraph 6 of this Article; and

(b) a biennial report on legislative, regulatory and administrative measures taken to enforce the provisions of the present Convention.

8. The information referred to in paragraph 7 of this Article shall be available to the public where this is not inconsistent with the law of the Party concerned.

Article IX

Management and Scientific Authorities

1. Each Party shall designate for the purposes of the present Convention:

(a) one or more Management Authorities competent to grant permits or certificates on behalf of that Party; and

(b) one or more Scientific Authorities.

2. A State depositing an instrument of ratification, acceptance, approval or accession shall at that time inform the Depositary Government of the name and address of the Management Authority authorized to communicate with other Parties and with the Secretariat.

3. Any changes in the designations or authorizations under the provisions of this Article shall be communicated by the Party concerned to the Secretariat for transmission to all other Parties.

4. Any Management Authority referred to in paragraph 2 of this Article shall, if so requested by the Secretariat or the Management Authority of another Party, communicate to it impression of stamps, seals or other devices used to authenticate permits or certificates.

Article X

Trade with States not Party to the Convention

Where export or re-export is to, or import is from, a State not a Party to the present Convention, comparable documentation issued by the competent authorities in that State which substantially conforms with the requirements of the present Convention for permits and certificates may be accepted in lieu thereof by any Party.

Article XI

Conference of the Parties

1. The Secretariat shall call a meeting of the Conference of the Parties not later than two years after the entry into force of the present Convention.

2. Thereafter the Secretariat shall convene regular meetings at least once every two years, unless the Conference decides otherwise, and extraordinary meetings at any time on the written request of at least one-third of the Parties.

3. At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and may:

(a) make such provision as may be necessary to enable the Secretariat to carry out its duties, and adopt financial provisions;

(b) consider and adopt amendments to Appendices I and II in accordance with Article XV;

(c) review the progress made towards the restoration and conservation of the species included in Appendices I, II and III;

(d) receive and consider any reports presented by the Secretariat or by any Party; and

(e) where appropriate, make recommendations for improving the effectiveness of the present Convention.

4. At each regular meeting, the Parties may determine the time and venue of the next regular meeting to be held in accordance with the provisions of paragraph 2 of this Article.

5. At any meeting, the Parties may determine and adopt rules of procedure for the meeting.

6. The United Nations, its Specialized Agencies and the International Atomic Energy Agency, as well as any State not a Party to the present Convention, may be represented at meetings of the Conference by observers, who shall have the right to participate but not to vote.

7. Any body or agency technically qualified in protection, conservation or management of wild fauna and flora, in the following categories, which has informed the Secretariat of its desire to be represented at meetings of the Conference by observers, shall be admitted unless at least one-third of the Parties present object:

(a) international agencies or bodies, either governmental or non-governmental, and national governmental agencies and bodies; and

(b) national non-governmental agencies or bodies which have been approved for this purpose by the State in which they are located. Once admitted, these observers shall have the right to participate but not to vote.

Article XII

The Secretariat

1. Upon entry into force of the present Convention, a Secretariat shall be provided by the Executive Director of the United Nations Environment Programme. To the extent and in the manner he considers appropriate, he may be assisted by suitable inter-governmental or non-governmental international or national agencies and bodies technically qualified in protection, conservation and management of wild fauna and flora.

2. The functions of the Secretariat shall be:

(a) to arrange for and service meetings of the Parties;

(b) to perform the functions entrusted to it under the provisions of Articles XV and XVI of the present Convention;

(c) to undertake scientific and technical studies in accordance with programmes authorized by the Conference of the Parties as will contribute to the implementation of the present Convention, including studies concerning standards for appropriate preparation and shipment of living specimens and the means of identifying specimens;

(d) to study the reports of Parties and to request from Parties such further information with respect thereto as it deems necessary to ensure implementation of the present Convention;

(e) to invite the attention of the Parties to any matter pertaining to the aims of the present Convention;

(f) to publish periodically and distribute to the Parties current editions of Appendices I, II and III together with any information which will facilitate identification of specimens of species included in those Appendices;

(g) to prepare annual reports to the Parties on its work and on the implementation of the present Convention and such other reports as meetings of the Parties may request;

(h) to make recommendations for the implementation of the aims and provisions of the present Convention, including the exchange of information of a scientific or technical nature;

(i) to perform any other function as may be entrusted to it by the Parties.

Article XIII

International Measures

1. When the Secretariat in the light of information received is satisfied that any species included in Appendix I or II is being affected adversely by trade in specimens of that species or that the provisions of the present Convention are not being effectively implemented, it shall communicate such information to the authorized Management Authority of the Party or Parties concerned.

2. When any Party receives a communication as indicated in paragraph 1 of this Article, it shall, as soon as possible, inform the Secretariat of any relevant facts insofar as its laws permit and, where appropriate, propose remedial action. Where the Party considers that an inquiry is desirable, such inquiry may be carried out by one or more persons expressly authorized by the Party.

3. The information provided by the Party or resulting from any inquiry as specified in paragraph 2 of this Article shall be reviewed by the next Conference of the Parties which may make whatever recommendations it deems appropriate.

Article XIV

Effect on Domestic Legislation and International Conventions

1. The provisions of the present Convention shall in no way affect the right of Parties to adopt:

(a) stricter domestic measures regarding the conditions for trade, taking, possession or transport of specimens of species included in Appendices I, II and III, or the complete prohibition thereof; or

(b) domestic measures restricting or prohibiting trade, taking, possession or transport of species not included in Appendix I, II or III.

2. The provisions of the present Convention shall in no way affect the provisions of any domestic measures or the obligations of Parties deriving from any treaty, convention, or international agreement relating to other aspects of trade, taking, possession or transport of specimens which is in force or subsequently may enter into force for any Party including any measure pertaining to the Customs, public health, veterinary or plant quarantine fields.

3. The provisions of the present Convention shall in no way affect the provisions of, or the obligations deriving from, any treaty, convention or international agreement concluded or which may be concluded between States creating a union or regional trade agreement establishing or maintaining a common external Customs control and removing Customs control between the parties thereto insofar as they relate to trade among the States members of that union or agreement.

4. A State party to the present Convention, which is also a party to any other treaty, convention or international agreement which is in force at the time of the coming into force of the present Convention and under the provisions of which protection is afforded to marine species included in Appendix II, shall be relieved of the obligations imposed on it under the provisions of the present Convention with respect to trade in specimens of species included in Appendix II that are taken by ships registered in that State and in accordance with the provisions of such other treaty, convention or international agreement.

5. Notwithstanding the provisions of Articles III, IV and V, any export of a specimen taken in accordance with paragraph 4 of this Article shall only require a certificate from a Management Authority of the State of introduction to the effect that the specimen was taken in accordance with the provisions of the other treaty, convention or international agreement in question.

6. Nothing in the present Convention shall prejudice the codification and development of the law of the sea by the United Nations Conference on the Law of the Sea convened pursuant to Resolution 2750 C (XXV) of the General Assembly of the United Nations nor the present or future claims and legal views of any State concerning the law of the sea and the nature and extent of coastal and flag State jurisdiction.

Article XV

Amendments to Appendices I and II

1. The following provisions shall apply in relation to amendments to Appendices I and II at meetings of the Conference of the Parties:

(a) Any Party may propose an amendment to Appendix I or II for consideration at the next meeting. The text of the proposed amendment shall be communicated to the Secretariat at least 150 days before the meeting. The Secretariat shall consult the other Parties and interested bodies on the amendment in accordance with the provisions of sub-paragraphs (b) and (c) of paragraph 2 of this Article and shall communicate the response to all Parties not later than 30 days before the meeting.

(b) Amendments shall be adopted by a two-thirds majority of Parties present and voting. For these purposes "Parties present and voting" means Parties present and casting an affirmative or negative vote. Parties abstaining from voting shall not be counted among the two-thirds required for adopting an amendment.

(c) Amendments adopted at a meeting shall enter into force 90 days after that meeting for all Parties except those which make a reservation in accordance with paragraph 3 of this Article.

2. The following provisions shall apply in relation to amendments to Appendices I and II between meetings of the Conference of the Parties:

(a) Any Party may propose an amendment to Appendix I or II for consideration between meetings by the postal procedures set forth in this paragraph.

(b) For marine species, the Secretariat shall, upon receiving the text of the proposed amendment, immediately communicate it to the Parties. It shall also consult inter-governmental bodies having a function in relation to those species especially with a view to obtaining scientific data these bodies may be able to provide and to ensuring co-ordination with any conservation measures enforced by such bodies. The Secretariat shall communicate the views expressed and data provided by these bodies and its own findings and recommendations to the Parties as soon as possible.

(c) For species other than marine species, the Secretariat shall, upon receiving the text of the proposed amendment, immediately communicate it to the Parties, and, as soon as possible thereafter, its own recommendations.

(d) Any Party may, within 60 days of the date on which the Secretariat communicated its recommendations to the Parties under sub-paragraph (b) or (c) of this paragraph, transmit to the Secretariat any comments on the proposed amendment together with any relevant scientific data and information.

(e) The Secretariat shall communicate the replies received together with its own recommendations to the Parties as soon as possible. (f) If no objection to the proposed amendment is received by the Secretariat within 30 days of the date the replies and recommendations were communicated under the provisions of sub-paragraph (e) of this paragraph, the amendment shall enter into force 90 days later for all Parties except those which make a reservation in accordance with paragraph 3 of this Article.

(g) If an objection by any Party is received by the Secretariat, the proposed amendment shall be submitted to a postal vote in accordance with the provisions of sub-paragraphs (h) , (i) and (j) of this paragraph.

(h) The Secretariat shall notify the Parties that notification of objection has been received.

(i) Unless the Secretariat receives the votes for, against or in abstention from at least one-half of the Parties within 60 days of the date of notification under sub-paragraph (h) of this paragraph, the proposed amendment shall be referred to the next meeting of the Conference for further consideration.

(j) Provided that votes are received from one-half of the Parties, the amendment shall be adopted by a two-thirds majority of Parties casting an affirmative or negative vote.

(k) The Secretariat shall notify all Parties of the result of the vote.

(l) If the proposed amendment is adopted it shall enter into force 90 days after the date of the notification by the Secretariat of its acceptance for all Parties except those which make a reservation in accordance with paragraph 3 of this Article.

3. During the period of 90 days provided for by sub-paragraph (c) of paragraph 1 or sub-paragraph (1) of paragraph 2 of this Article any Party may by notification in writing to the Depositary Government make a reservation with respect to the amendment. Until such reservation is withdrawn the Party shall be treated as a State not a Party to the present Convention with respect to trade in the species concerned.

Article XVI

Appendix III and Amendments thereto

1. Any Party may at any time submit to the Secretariat a list of species which it identifies as being subject to regulation within its jurisdiction for the purpose mentioned in paragraph 3 of Article II. Appendix III shall include the names of the Parties submitting the species for inclusion therein, the scientific names of the species so submitted, and any parts or derivatives of the animals or plants concerned that are specified in relation to the species for the purposes of sub-paragraph (b) of Article I.

2. Each list submitted under the provisions of paragraph 1 of this Article shall be communicated to the Parties by the Secretariat as soon as possible after receiving it. The list shall take effect as part of Appendix III 90 days after the date of such communication. At any time after the communication of such list, any Party may by notification in writing to the Depositary Government enter a reservation with respect to any species or any parts or derivatives, and until such reservation is withdrawn, the State shall be treated as a State not a Party to the present Convention with respect to trade in the species or part or derivative concerned.

3. A Party which has submitted a species for inclusion in Appendix III may withdraw it at any time by notification to the Secretariat which shall communicate the withdrawal to all Parties. The withdrawal shall take effect 30 days after the date of such communication.

4. Any Party submitting a list under the provisions of paragraph 1 of this Article shall submit to the Secretariat a copy of all domestic laws and regulations applicable to the protection of such species, together with any interpretations which the Party may deem appropriate or the Secretariat may request. The Party shall, for as long as the species in question is included in Appendix III, submit any amendments of such laws and regulations or any interpretations as they are adopted.

Article XVII

Amendment of the Convention

1. An extraordinary meeting of the Conference of the Parties shall be convened by the Secretariat on the written request of at least one-third of the Parties to consider and adopt amendments to the present Convention. Such amendments shall be adopted by a two-thirds majority of Parties present and voting. For these purposes "Parties present and voting" means Parties present and casting an affirmative or negative vote. Parties abstaining from voting shall not be counted among the two-thirds required for adopting an amendment.

2. The text of any proposed amendment shall be communicated by the Secretariat to all Parties at least 90 days before the meeting.

3. An amendment shall enter into force for the Parties which have accepted it 60 days after two-thirds of the Parties have deposited an instrument of acceptance of the amendment with the Depositary Government. Thereafter, the amendment shall enter into force for any other Party 60 days after that Party deposits its instrument of acceptance of the amendment.

Article XVIII

Resolution of Disputes

1. Any dispute which may arise between two or more Parties with respect to the interpretation or application of the provisions of the present Convention shall be subject to negotiation between the Parties involved in the dispute.

2. If the dispute can not be resolved in accordance with paragraph 1 of this Article, the Parties may, by mutual consent, submit the dispute to arbitration, in particular that of the Permanent Court of Arbitration at The Hague, and the Parties submitting the dispute shall be bound by the arbitral decision.

Article XIX

Signature

The present Convention shall be open for signature at Washington until 30th April 1973 and thereafter at Berne until 31st December 1974.

Article XX

Ratification, Acceptance, Approval

The present Convention shall be subject to ratification, acceptance or approval. Instruments of ratification, acceptance or approval shall be deposited with the Government of the Swiss Confederation which shall be the Depositary Government.

Article XXI

Accession

The present Convention shall be open indefinitely for accession. Instruments of accession shall be deposited with the Depositary Government.

Article XXII

Entry into Force

1. The present Convention shall enter into force 90 days after the date of deposit of the tenth instrument of ratification, acceptance, approval or accession, with the Depositary Government.

2. For each State which ratifies, accepts or approves the present Convention or accedes thereto after the deposit of the tenth instrument of ratification, acceptance, approval or accession, the present Convention shall enter into force 90 days after the deposit by such State of its instrument of ratification, acceptance, approval or accession.

Article XXIII

Reservations

1. The provisions of the present Convention shall not be subject to general reservations. Specific reservations may be entered in accordance with the provisions of this Article and Articles XV and XVI.

2. Any State may, on depositing its instrument of ratification, acceptance, approval or accession, enter a specific reservation with regard to:

(a) any species included in Appendix I, II or III; or

(b) any parts or derivatives specified in relation to a species included in Appendix III.

3. Until a Party withdraws its reservation entered under the provisions of this Article, it shall be treated as a State not a Party to the present Convention with respect to trade in the particular species or parts or derivatives specified in such reservation.

Article XXIV

Denunciation

Any Party may denounce the present Convention by written notification to the Depositary Government at any time. The denunciation shall take effect twelve months after the Depositary Government has received the notification.

Article XXV

Depositary

1. The original of the present Convention, in the Chinese, English, French, Russian and Spanish languages, each version being equally authentic, shall be deposited with the Depositary Government, which shall transmit certified copies thereof to all States that have signed it or deposited instruments of accession to it.

2. The Depositary Government shall inform all signatory and acceding States and the Secretariat of signatures, deposit of instruments of ratification, acceptance, approval or accession, entry into force of the present Convention, amendments thereto, entry and withdrawal of reservations and notifications of denunciation.

3. As soon as the present Convention enters into force, a certified copy thereof shall be transmitted by the Depositary Government to the Secretariat of the United Nations for registration and publication in accordance with Article 102 of the Charter of the United Nations.

In witness whereof the undersigned Plenipotentiaries, being duly authorized to that effect, have signed the present Convention.

Done at Washington this third day of March, One Thousand Nine Hundred and Seventy-three.