www.cites.org 1 Permits and Certificates Copyright CITES Secretariat 2005 Convention on International Trade in Endangered Species of Wild Fauna and Flora
Overview 2 In this section, we will consider the requirements for issuing the most commonly used CITES documents: Import and export permits for Appendix I specimens Re-export certificates for Appendix I specimens Export permits and re-export certificates for Appendix II specimens Export permits and certificates of origin for Appendix III specimens!! These procedures apply to wild specimens or specimens regarded as wild ones
Appendix I 3
Appendix I 4 For trade in specimens of Appendix I-listed species, an import permit must be issued before an export permit may be issued 1. Import permit 3. Trade 2. Export permit
Appendix I 5 The reason an import permit must be issued first is to ensure that both the importing and exporting Parties agree on the proposed trade before it occurs, and that particular conditions, only to be determined by the importing country, have been met This can be considered as a form of prior informed consent
Appendix I Import 6 In every case, the import permit may be issued only if: The purpose of the import will not be detrimental to the survival of the species The proposed recipient is suitably equipped to house and care for any live specimen The specimen is not to be used for primarily commercial purposes
Appendix I Import 7 The Management Authority must request from the applicant: A detailed description of the purpose of the import, demonstrating that the import will not have any negative effects on the survival of the species and that the specimens will not be used for primarily commercial purposes A description of the installations where any live specimen will be housed The name and address, including country, of the exporter
Primarily Commercial Purposes 8 The determination whether trade in Appendix-I specimens is for primarily commercial purposes ONLY has to be made for imports Consequently, the purpose of the export can still be commercial
Primarily Commercial Purposes General Principles (Resolution Conf. 5.10): 9 An activity can be described as commercial if its purpose is to obtain economic benefit This includes benefit in cash or kind and activities directed toward sale, exchange, provision of a service or other forms of economic use or benefit Any utilization which is not totally non-commercial is regarded as commercial The burden of proof rests with the importer
Primarily Commercial Purposes 10 The intended use of the specimen in the country of import is the main consideration, not the transaction itself - which may be of a commercial nature Each case must be considered individually Examples of primarily commercial purposes are: Profitable Scientific or Biomedical Research Commercial Captive Breeding Professional Traders Circuses
Primarily Commercial Purposes 11 Examples of NON-commercial purposes are: non-profit scientific or medical research bona-fide captive breeding programmes non-profit teaching & training personal hunting trophies non-profit exhibitions non-profit zoological gardens
Appendix I Import 12 The Management Authority verifies that the information given by the applicant is correct The Management Authority consults the Scientific Authority on: The purpose of the import The facilities for housing and care of live specimens The permit can only be issued if the verifications show that all requirements have been complied with
Appendix I Export 13 Once an import permit is obtained from the Management Authority of the country of import, only then may an export permit be issued by the Management Authority of the country of export 1. Import permit 2. Export permit 3. Trade
Appendix I Export 14 In every case, the export permit may be issued only upon presentation of the import permit, and only if: The export will not be detrimental to the survival of the species The specimen was acquired in accordance with national wildlife protection laws Any live specimen will be shipped in a manner which will minimize the risk of injury, damage to health or cruel treatment
Appendix I Export 15 Example: Transport conditions for small birds (IATA Live Animals Regulations)
Appendix I Export 16 The Management Authority requests from the applicant: a) the import permit from the country of destination b) evidence of the legal acquisition of the specimen c) a description of the conditions of transport of any live specimen The Management Authority consults the Scientific Authority to determine whether the export will be detrimental to the survival of the species If the Scientific Authority determines that the export would be detrimental, the export must be refused
Appendix I Export 17 The Management Authority checks: Whether the conditions of transport of live specimens meet CITES requirements Whether it is satisfied the specimen was obtained legally Whether an import permit has been issued The Management Authority either: Issues an export permit or refuses to do so
Appendix I Import 18 At the moment of actual import, a valid export permit AND a valid import permit must be presented to Customs! Import permit Export permit +
Appendix I Re-export 19 The re-export certificate may be issued only if the specimen was imported in accordance with the Convention In the case of live specimens, The preparation and shipment will minimize the risk of injury, damage to health or cruel treatment A valid import permit was granted by the country of destination
Appendix I Re-export 20 The Management Authority must request from the applicant evidence that the specimen was imported in accordance with the Convention For live specimens, this would be: The import permit A description of the conditions of transport
Appendix I Re-export 21 To issue a re-export certificate, the Management Authority must ensure that it possesses the valid originals of the documents issued to authorize the import For live specimens, the Management Authority must ensure: that the import permit from the country of destination is valid that the conditions of transport are adequate
Appendix II 22
Appendix II Export 23 For export of Appendix II specimens, the Convention requires an export permit only The Convention does not require an import permit Any requirement by a Party for an import permit for Appendix II specimens is a stricter domestic measure, allowed under the provisions of Article XIV
Appendix II Export 24 In every case, an export permit may be issued only if: The export will not be detrimental to the survival of the species The specimen was acquired in accordance with the national wildlife legislation Any live specimen will be shipped in a manner which will minimize the risk of injury, damage to health or cruel treatment
Appendix II Export 25 The Management Authority must request from the applicant: Evidence of the legal acquisition of the specimen in accordance with national laws A description of the conditions of transport of any live specimen
Appendix II Export 26 The Management Authority checks the legal acquisition of the specimen The Management Authority consults the Scientific Authority to determine whether the export would be detrimental to the survival of the species Note: If the specimen falls within the quotas annually set by the Scientific Authority, consultation is not usually necessary
Appendix II Export 27 For live specimens, the Management Authority checks the conditions of transport The Management Authority then either: Issues the export permit or Refuses to do so Note: Several countries may, as a stricter domestic measure, require import permits Whether the importer has applied for such import permits is not relevant for the issuance of export permits
Appendix II Import 28 Article IV, paragraph 4, states that the import of any Appendix-II specimens requires the prior presentation of either an export permit or a re-export certificate This places a heavy responsibility on the shoulders of those responsible for border controls
Appendix II Import 29 Those responsible for border controls have to check whether: An export permit or re-export certificate is presented If the export permit or re-export certificate is valid
Appendix II Re-export 30 A re-export certificate may be issued only if: The Management Authority of the country of reexport is satisfied that the specimen was imported in accordance with the Convention Any live specimen will be shipped in a manner which will minimize the risk of injury, damage to health or cruel treatment
Appendix II Re-export 31 The Management Authority requests from the applicant: Proof that the specimen was legally imported For live specimens, a description of the conditions of transport The Management Authority checks that it possesses the valid originals of the documents issued to authorize the import
Appendix II Re-export 32 The following information must be checked carefully before it is included in the re-export certificate: The number of the export permit or re-export certificate with which the specimen was imported Date of issuance of the same The country of origin that issued these documents If in doubt, consult the country of export (and/or the Secretariat)
Appendix II Re-export 33 For live specimens, the Management Authority also checks the conditions of transport The Management Authority then issues the re-export certificate or refuses to do so
34 Appendix III Dendrocygna bicolor (Fulvous Tree-duck)
Appendix III Export 35 For export from the country that has included the species in Appendix III, an export permit is required and may be issued only if: The Management Authority is satisfied that the specimen was acquired in accordance with national wildlife laws Any live specimen will be shipped in a manner which will minimize the risk of injury, damage to health or cruel treatment
Appendix III Export 36 For export from countries that did not include the species in Appendix III, a certificate of origin is required This may only be issued by a Management Authority of the country of origin In practice, the export permit form can be used Note: the document referred to here is NOT the Customs certificate of origin
Appendix III Import 37 Article V states that for import, a certificate of origin or, where the import is from a State which has included that species in Appendix III, an export permit, must be presented, or A re-export certificate or a certificate stating that the specimen has been processed in the country of re-export Note: again this puts a heavy burden on the shoulders of those responsible for border controls
Appendix III Re-export 38 A re-export certificate is required The re-export certificate must indicate if the specimen was processed in the State which is issuing the document
Summary 39 Import permit Required for import of Appendix I specimens Must be issued before an export permit or before a re-export certificate for live specimens may be issued The purpose of the import must not be detrimental to the survival of the species
Summary 40 Import permit The proposed recipient must be suitably equipped to house and care for any live specimen The specimen is not to be used for primarily commercial purposes Not required by CITES for Appendix II specimens
Summary 41 Export permit Required for export of Appendix I and Appendix II specimens Required by the listing Party for export of Appendix III specimens For Appendix I and II specimens, The export must not be detrimental to the survival of the species The specimen must have been legally acquired The preparation and shipment of any live specimen must minimize any risk of injury, damage to health or cruel treatment
Summary 42 Re-export certificate Required for re-export of Appendix I specimens Required for re-export of Appendix II specimens Required for re-export of Appendix III specimens
Summary 43 Re-export certificate May be issued only if: the specimen was imported in accordance with CITES the preparation and shipment of any live specimen will minimize risk of damage to health and cruel treatment for live Appendix I specimens, a valid import permit was granted by the country of destination For Appendix III specimens the certificate shall indicate if the specimen was processed in the State which is issuing the document
Summary 44 Certificate of origin Required for export of Appendix III specimens from countries that did not include the species in Appendix III May only be issued by a Management Authority of the country of origin In practice the export permit form can be used