1. 1 Review of Significant Trade CITES Secretariat

2. 2 Overview Origins of the Significant Trade Review Process The process explained

3. 3 Useful background materials Article IV -- Regulation of Trade in Specimens of Species Included in Appendix II Resolution Conf. 12.8 (Rev. CoP13) – Review of significant trade in specimens of Appendix-II species Document AC25 Doc. 8.1 – Concerning the evaluation of the Review of Significant Trade Resolution Conf. 10.3 – Designation and role of the Scientific Authorities

4. 4 Article IV: the heart of CITES Commercial international trade in Appendix-II species may take place, but only if the Management Authority of the exporting State issues an export permit No such permits should be issued unless the Scientific Authority of the exporting State advises that the export which is to take place will not be detrimental to the survival of the species

5. 5 Article IV: the heart of CITES These requirements are laid down formally in Article IV of the Convention Diligent implementation of the provisions of Article IV is essential for the effectiveness of CITES

6. 6 Article IV: the heart of CITES Article IV also charges the Scientific Authority to monitor both the export permits issued and the actual exports

7. 7 Article IV: the heart of CITES When monitoring exports, the export of specimens of any Appendix-II species should be limited in order to maintain its role in the ecosystems in which it occurs, and to avoid it becoming eligible for inclusion in Appendix I If the species is reduced to a level which compromises its role in the ecosystem or it becomes eligible for Appendix I, the Scientific Authority has to advise the Management Authority of suitable measures to limit the grant of export permits Such measures could include reductions in quotas, or halting exports altogether

8. 8 Article IV: the heart of CITES Authorized trade is likely to take place at unsustainable levels if: –there is no adequately functioning mechanism for the Scientific Authority to advise on safe levels of trade, or –“non-detriment” findings are incorrect or not made, or –the Management Authority issues export permits contrary to the advice of the Scientific Authority, or –no adequate monitoring takes place

9. 9 Include in Appendix I If a regime of unsustainable trade in an Appendix-II species is not noted and rectified in the monitoring process expected of the Scientific Authority, then ultimately a proposal may be formulated by other Parties for the inclusion of the species in Appendix I If accepted by the Parties, then the problem will finally be addressed by the prohibition of all commercial trade

10. 10 Improve implementation of Article IV Since CoP2 in 1979, the Parties expressed concern that export permits are often granted for trade in Appendix-II species without the benefit of effective ‘non-detriment findings’, and have been trying to find appropriate remedies –At CoP2, the Conference of the Parties attempted to find a remedy (Resolution Conf. 2.6, now repealed) –This Resolution recommended that Parties who believed that trade was detrimental: Contact the exporting country; or Contact the Secretariat (cf. Article XIII), or Take stricter domestic measures (Article XIV)

11. 11 Improve implementation of Article IV A next attempt to improve the implementation of Article IV was made in 1983 (CoP4) Resolution Conf. 4.7 (now repealed) requested the Technical Committee (a predecessor of the current Committees): –to compile a list of Appendix II species, subject to significant international trade, but traded without sufficient scientific justification; and –to develop measures to ensure that trade was in accordance with Article IV

12. 12 Improve implementation of Article IV At CoP6 in 1987, Resolution 6.1 [now Conf. 11.1 (Rev. CoP16)] was adopted, establishing the Animals Committee and the Plants Committee One of the mandates of each Committee was to establish a list of taxa included in Appendix II considered as being significantly affected by trade, and: –to formulate recommendations for remedial measures for species for which trade had a detrimental effect; and –to formulate projects to collect information, in cases when such basic information is not available

13. 13 Improve implementation of Article IV At CoP8 in 1992, it was decided that the supportive approach was not entirely sufficient, and that also some remedial elements should be incorporated in the process, resulting in the adoption of Resolution Conf. 8.9 – Trade in specimens of Appendix-II species taken from the wild This Resolution was amended at CoP11 in 2000, and at the 12th meeting replaced by Resolution Conf. 12.8 which was amended at CoP13: Resolution Conf. 12.8 (Rev. CoP13).

14. 14 The Significant Trade Review Process The Significant Trade Review process, if implemented correctly, acts as a safety net by ensuring that species do not decline because of trade while they are listed in Appendix II If corrective measures are taken in a timely manner, then there should be a reduction in the number of animal and plant species that need to be transferred from Appendix II to Appendix I because they are endangered by international trade

15. 15 The Significant Trade Review Process The Significant Trade Review Process is clearly a compromise in which Parties acknowledge that CITES has not operated as effectively as it should The process establishes a framework to ensure that the Convention can achieve its objectives through a multilateral process involving a high degree of consultation and co-operation

16. 16 The Significant Trade Review Process The process is conducted by the Animals and Plants Committees, which have the mandate to identify Appendix-II species subject to significant levels of trade that are of immediate concern The Committees consult with range States, the CITES Secretariat and experts to review and assess relevant biological and trade information If necessary, they make recommendations for action by range States where exports are problematic, with time limits for implementation

17. 17 The Significant Trade Review Process Resolution Conf. 12.8 (Rev. CoP13) also spells out when each of the participants in the process has a particular task to carry out The Review is a process to ensure that provisions of Article IV are being met, and trade is sustainable and not detrimental to the survival of the species Problems identified in the course of the review that are not related to the above shall be addressed in an other manner

18. 18 The Significant Trade Review Process Resolution Conf. 12.8 (Rev. CoP13) provides guidance concerning: – –Selection of species to be reviewed – –Consultation with the range States concerning implementation of Article IV – –Compilation of information and preliminary categorization – –Review of information and confirming of categorization by the Animals or Plants Committee – –Formulation of recommendations and their transmission to the range States – –Measures to be taken regarding the implementation of recommendations – –Support to the range States – –Monitoring, reporting and reintroduction of species into the review process

19. 19 The Significant Trade Review process for Appendix-II listed species comprises three stages: A 3-stage process Stage 1 - Selection Compilation of a list of species traded at ‘significant levels’ that are of immediate concern Stage 2 - Review Consultation and review to identify possible problems in the implementation of Article IV for selected species Stage 3 - Actions Processes to improve the implementation of Article IV where necessary

20. 20 Stage 1 - Selection Within 90 days of each CoP meeting, the Secretariat requests UNEP-WCMC to provide a summary of CITES trade data [1] for Appendix-II species (net export levels) On the basis of these trade data and other information available, species are selected by AC or PC The Committees may add species to the list in case of urgent concern [1] ‘Net level of exports’: the total gross number of specimens exported from a range State minus the gross number imported by the same range State

21. 21 Stage 2 – Consultation with range States The Secretariat informs range States of the selected species, requesting comments on possible problems with the implementation of Article IV Range States have 60 days to respond AC or PC review the responses Countries/species where Article IV is correctly implemented are eliminated from the Review

22. 22 The process Species selection AC/PC Consultation Secretariat AC/PC First review Points where species could exit process

23. 23 For countries/species that are not eliminated from the review, the Secretariat undertakes studies to compile information on biology, management of and trade in the species The countries/species are provisionally divided into three categories The studies and the categorization are again communicated to the Parties concerned, which have 60 days to react or respond Stage 2 – Compiling information

24. 24 Stage 2 – Compiling information The categories are: 1.Species of urgent concern Recommendations should specify actions 2.Species of possible concern Recommendations should specify information required Should also contain interim measures 3.Species of least concern

25. 25 Stage 2 – Compiling information Note: –In the context of the Significant Trade Review the term ‘species’ is frequently used in the sense of a ‘geographically separate population’!!

26. 26 The process Species selection AC/PC Consultation Secretariat AC/PC First review Research Secretariat AC/PC review and categorization Points where species could exit process

27. 27 Stage 2 – Review and categorization Animals or Plants Committee review the study of the Secretariat, the provisional categorization’ and the responses from the States concerned Countries where, or species for which, Article IV is correctly implemented (‘of least concern’) are eliminated from the process AC or PC, in consultation with the Secretariat, formulate recommendations for the remaining countries / species

28. 28 Stage 3 – Formulation of recommendations These recommendations are transmitted to the range States by the Secretariat with a timeframe for implementation normally between 90 days and 2 years - depending on the level of information requested or the nature of the recommended action –Short-term: e.g. cautious export quotas, administrative procedures, temporary restrictions… –Mid-term: e.g. adaptive management procedures, monitoring protocols... –Long-term: e.g. status assessments, field studies...

29. 29 The process Species selection AC/PC Consultation Secretariat AC/PC first review Research Secretariat AC/PC review and categorization Recommendations AC/PC implementation reviewed Secretariat + Chair Points where species could exit process

30. 30 Stage 3 – Implementing the recommendations The Secretariat, in consultation with the Chairs of AC and PC, determines whether the recommendations have been implemented If the implementation of the recommendation by the range State is satisfactory and within the given time limit, the process ends for the species in question, although it may be reintroduced at a later stage Parties are notified that the species was removed from the process

31. 31 Stage 3 – Implementing the recommendations When the Secretariat, having consulted with the Chairs of AC or PC, is not satisfied that a range State has implemented the recommendations, it recommends to the Standing Committee to take appropriate action and to make recommendations to the State concerned, or to all Parties The Secretariat notifies the Parties of any actions taken by the Standing Committee

32. 32 The process Species selection AC/PC Consultation Secretariat AC/PC first review Research Secretariat AC/PC review and categorization Recommendations AC/PC implementation reviewed Secretariat + Chair Recategorization AC/PC SC action Recommendations AC/PC implementation reviewed Points where species could exit process Species of urgent concern Species of possible concern

33. 33 Stage 3 – Implementing the recommendations These actions may include, as a last resort, a suspension of trade in the affected species with that State –The suspension can be withdrawn only when that State demonstrates to the satisfaction of the Standing Committee, through the Secretariat, compliance with Article IV –The Standing Committee, in consultation with the Secretariat and the Chairs of AC and PC, review recommendations to suspend trade that have been in place for longer than two years and, if appropriate, take further measures to address the situation

34. 34 Support to the range States and monitoring of the process Parties and organizations interested in the conservation and sustainable use of wildlife are urged to provide financial or technical support to range States to ensure non-detrimental trade in wild species –e.g. training, information and guidance, information exchange, technical equipment and support The Secretariat should report to each meeting of AC or PC on the implementation of the recommendations The Secretariat should maintain a register of species under review and record progress with the implementation of recommendations

35. 35 Benefits of the Significant Trade Review The result of the Significant Trade Review process generally removes the need for importing countries to apply unilateral stricter domestic measures (such as import bans or externally-imposed export quotas for range States) The process can result in individual exporting countries being assisted to undertake field studies as well as to develop the technical and administrative capacity necessary to implement the requirements of Article IV if these are lacking

36. 36 Benefits of the Significant Trade Review Although the Significant Trade Review process can result in punitive measures where there are problems with the implementation of the provisions of Article IV, implicit in the process is the fact that the species remains in Appendix II This allows the range State to remain in control of trade and to continue the sustainable exploitation of this natural resource

37. 37 CITES Secretariat Geneva