Notification to the Parties

No. 1998/13 Geneva, 31 March 1998

CONCERNING:

Conservation of Sturgeons

1. Parties are reminded that trade in all species of sturgeon (Acipenseriformes spp.) will be regulated by the Convention from 1 April 1998.

2. In this connection, the attention of Parties is drawn to Resolution Conf. 10.12, which recommends:

a) that Parties provide the Secretariat with copies of applicable legislation on CITES, including legislation on sturgeon species, particularly referring to the export of personal effects;

b) that range States inform the Secretariat about legal exporters of sturgeon parts and derivatives; and

c) that range States of sturgeon species included in Appendix II in accordance with Article II, paragraph 2(a), consider the feasibility of establishing annual export quotas for sturgeon specimens and, if they are established, communicate such quotas to the Secretariat.

3. From 19 to 23 January 1998 the First meeting on Conservation of Sturgeons and on Enforcement Aspects of their Inclusion in CITES Appendix II was held in Moscow, Russian Federation. This meeting was attended by representatives of Azerbaijan, Belarus, China, France, Germany, the Islamic Republic of Iran, Italy, Japan, Kazakstan, the Russian Federation, Switzerland, Turkey, Turkmenistan, Ukraine, the United Kingdom and the United States of America, with the participation of representatives of UNDP, UNEP, the Secretariat of the Convention on Migratory Species, the World Customs Organization, the World Bank, IUCN, TRAFFIC, the CITES Secretariat and interested trade organizations.

4. Working groups and drafting groups addressed, in particular, scientific and enforcement aspects of the inclusion of sturgeon species in Appendix II. These groups produced various recommendations and suggestions that it was felt should be considered in regulating both the conservation of sturgeons and trade in sturgeon species. These were discussed in plenary sessions.

5. Annexed to this Notification is a document that summarizes the main factors that the participants saw as requiring to be addressed. This document is being circulated by the Secretariat for the information of all Parties and to assist in their deliberations as to how best to conserve sturgeons and regulate trade within their countries.

6. The Secretariat wishes to acknowledge the assistance of the Russian Federation in hosting the meeting and thanks Germany, the United States of America and the Secretariat of the Convention on Migratory Species for their financial support.

7. It is recognized that on 1 April 1998 a very substantial commercial trade, with a history of illicit activities, will come within the scope of the Convention and the Secretariat understands that administrative and operational difficulties will inevitably arise. It seeks information and comments from Parties on their practical experience during early months of implementation of controls relating to sturgeon specimens, so that issues of concern can be identified and brought to the attention of the Animals Committee, Standing Committee and Conference of the Parties as appropriate.

 

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

____________

First meeting on Conservation of Sturgeons and
on Enforcement Aspects of their Inclusion in CITES Appendix II
Moscow (Russian Federation), 19-23 January 1998

PART 1: CONSERVATION OF STURGEONS

Recommendations of the Plenary based on discussions of Working Group no. 1
on the implementation of the CITES requirements that trade should be "non-detrimental"

At the meeting of representatives of Azerbaijan, Belarus, China, France, Germany, the Islamic Republic of Iran, Italy, Japan, Kazakstan, the Russian Federation, Switzerland, Turkey, the Republic of Turkmenistan, Ukraine, the United Kingdom and the United States of America with the participation of representatives of UNDP, UNEP/CMS Secretariat, the World Customs Organization, the World Bank, IUCN, TRAFFIC, the CITES Secretariat and interested trade organizations, that was held on 19-23 January 1998 in Moscow (Russian Federation), the issues related to implementation of the decisions of the 10^th meeting of the Conference of the Parties of CITES (Harare, Zimbabwe, 9-20 June 1997) on inclusion of sturgeons Acipenseriformes spp. in Appendix II, and adoption of Resolution Conf. 10.12 "Conservation of Sturgeons" were considered. It was decided:

1. To request the Governments of Azerbaijan, Kazakstan, Turkmenistan and Ukraine to speed up the decision of those countries to become Parties to CITES.

2. To ask authorized bodies in Azerbaijan, Kazakstan, Turkmenistan (prior to these countries becoming Parties to CITES) and the Russian Federation to agree, as soon as possible, to establish national quotas for harvest of sturgeon and export quotas on sturgeon production, including caviar; on identification procedures and marking of the Caspian basin sturgeons; and also to ask authorized bodies of the Russian Federation and Ukraine to implement relevant measures for the Azov Sea basin. Information on the measures taken should be transmitted to the CITES Secretariat.

3. To ask authorized bodies of interested CIS countries to submit to the CITES Management Authority of the Russian Federation, before 1 March 1998, copies of their current legislation in the fields of protection, extraction, processing and export and import of sturgeons, as well as information on legal exporters of sturgeon products, and on the availability and potential production of sturgeon aquaculture.

4. To ask the CITES Management Authority of the Russian Federation to continue servicing interested CIS countries (prior to them becoming Parties to CITES) in aspects of identification and registration of sturgeon products, and the issuance of CITES re-export permits.

5. To ask international organizations, specialized UN agencies, intergovernmental and non-governmental organizations, trade and processing and packaging companies to provide financial assistance for projects on the conservation, study and replenishment of sturgeon species of the Caspian and Azov sea basins, and also the Amur River basin. This assistance should extend to measures relating to the identification and marking of sturgeon products.

6. To request range States with common borders to determine catch quotas and export quotas by basin principles.

7. To request countries with endemic species of sturgeons to determine catch quotas and export quotas by basin principles.

8. To request that importing countries ensure that export permits include details of both country of origin and basin of origin.

9. To ask the CITES Secretariat to consider the possibility of organizing a seminar on sturgeons, for Scientific Authorities and equivalent institutions.

10. To request the Scientific Authorities of range States with adjoining borders to endeavour to co-operate in the field of their problems related to sturgeon species.

Recommendations of the Plenary based on discussions of Working Group 2
on the sustainability of sturgeon fisheries through management programmes

Overall Recommendation:

Management programmes should include:

i) a review of the current trading system and the development of this system to discourage illegal traffic of sturgeons;

ii) the development of plans which incorporate biological and ecological needs, promote sustainable harvesting techniques, and promote licensing and labelling requirements and harmonization of these requirements between sturgeon range States;

iii) recognition of the needs of different stakeholders in the trade process, and should provide the ability to incorporate them through incentives into the sustainable use of sturgeons. Management programmes should negotiate range State agreements and recognize that the sustainable use of sturgeons transcends national boundaries;

iv) encouragement for range States to benefit from shared expertise through visits and collaboration with other CITES Parties.

Biological Recommendations:

1. The assessment of sturgeon stocks, based on sound scientific research, should be undertaken annually. Catch limits and quotas for each state of the Caspian region could be determined from this information, and a regional report detailing the status of sturgeon stocks could be presented to the Scientific Authority of relevant Parties. Scientific research units should provide details of sturgeon reproduction in the Caspian Sea and provide recommendations where appropriate.

2. To co-ordinate international efforts for the restoration of sturgeon stocks, a computer database on sturgeon stocks in the range States should be organized.

3. Sturgeon gene-banks should be established to conserve genetic diversity, and to assist in future restoration projects. Research should be undertaken into the genetics of individual sturgeon stocks to facilitate the identification of threats to the conservation of this diversity.

4. Restoration programmes for endangered sturgeon species need implementation. A conference of the range States should be organized to discuss the restoration of endangered sturgeon species, including those sturgeon species occurring in the Atlantic Ocean.

5. The poor economic conditions of the Caspian region are recognized as a driving force for sturgeon poaching. Attention should be paid to the status of the regions economy during the formulation of any biological resource conservation plans.

6. When catch quotas are assigned, greater attention should be paid to the status of individual sturgeon species and recognized populations within each species.

7. A standardized methodology for assessing the viability of sturgeon species and individual stocks should be developed.

8. All stock enhancement should be based upon sound ecological principles.

9. Species-specific regional action plans need to be developed in collaboration with IUCN experts. These plans and their recommendations should guide future conservation efforts.

10. The impact of both industrial and agricultural pollution on sturgeon stocks should be continually monitored.

11. The importance of natural reproduction of sturgeons must be emphasized. Investigations should be made into enhancing the reproduction of natural populations, possibly through measures such as fish ladders or artificial spawning sites.

12. Range States should make efforts to finalize international agreements that help to conserve sturgeon species.

13. Only mature individuals of sturgeon species should be harvested.

14. The Secretariat should be requested to gather information on the national conservation strategies and management plans for sturgeon species from each range State, with a view to the possible publication of this material.

15. Range States should be encouraged to prepare regular reports for importing countries that give details of the status of sturgeons and trade in their products.

Aquacultural Recommendations:

16. Efforts to supplement natural population recruitment through the use of aquaculture should be supported.

17. The use of aquaculture programmes to conserve endangered species should be distinguished from commercial aquaculture enterprises.

18. A quantitative and qualitative analysis of food available to sturgeons should be undertaken. This will facilitate better planning of re-stocking programmes.

Financial Recommendations:

19. The recommendations of the first meeting on Conservation of Sturgeons and on Enforcement Aspects of their Inclusion in CITES Appendix II should be incorporated as elements in the Caspian Environment Programme being implemented by the five Caspian States, with the participation of international organizations such as UNDP, UNEP, the World Bank and the EU/TACIS Programme, to reinforce activities related to the conservation and sustainable use of sturgeon stocks in the Caspian region.

20. The co-operation of international donors is needed to obtain funding for the Working Group recommendations.

21. The establishment of a Caspian Foundation should be considered. This could concentrate on developing partnerships with industries that profit from the trade in sturgeons and their derivatives.

Recommendations of the Plenary based on discussions of Working Group 3
on Regional agreements for the Conservation and Sustainable Use of Sturgeons

As a matter of common interest to the sturgeon range States of the Caspian sea basin and in order to implement CITES Resolution Conf. 10.12 on Conservation of Sturgeons, in that part relating to the promotion of developing regional agreements between sturgeon range States, aimed at adequate management and use of sturgeons, as well as proposals of international organizations (CMS Secretariat, UNEP, IUCN) on assistance in implementing the above, the participants of the meeting have adopted the following recommendations:

1. To recommend the sturgeon range States that are not yet Parties to CITES to consider joining the Convention.

2. To request the Caspian States to consider the eventual conclusion of the Agreement on Conservation and Use of Bioresouces of the Caspian Sea.

3. To state that at present international co-operation in the pre-Caspian region aimed at adequate management and non-detrimental use of sturgeons is being implemented:

· within the framework of the Agreement between the Government of the Russian Federation and the Government of the Islamic Republic of Iran on co-operation in the field of fisheries (1996), through implementation of decisions made at annual sessions of the Russian-Iranian Commission on the issues of fisheries;

· within the framework of the Commission on aquatic bioresources of the Caspian Sea, established by fishery agencies of Azerbaijan, Kazakstan, the Russian Federation and Turkmenistan (the Protocol of December 22, 1992), whose credentials have been confirmed by the Governments of Azerbaijan, Kazakstan, the Russian Federation and Turkmenistan.

4. To agree with the necessity of developing relevant action plans with participation of both range States and international organizations, aimed at conservation and provision of sustainable catch of sturgeons in the Eurasian region.

5. To recommend sturgeon range States to inform the CITES Secretariat about their national programmes connected with sturgeon conservation.

6. To recommend that all range States of sturgeons and relevant specialized NGOs create a global network for the exchange of information on research, monitoring and conservation of all sturgeons.

 

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

____________

First meeting on Conservation of Sturgeons and
on Enforcement Aspects of their Inclusion in CITES Appendix II
Moscow (Russian Federation), 19-23 January 1998

PART 2: ENFORCEMENT ASPECTS OF THE INCLUSION
OF STURGEONS IN CITES APPENDIX II

Recommendations of the Plenary based on the work of the Drafting Groups

1. Measures to be taken to improve national legislation

Producing countries

Control of capture and transport after capture (to the first place of trade or processing)
Control of possession for processing or trade
Control of transport of specimens or products
Marking
Control of fisheries
Control of breeding operations
Control of quotas
National trade
Issuance of export permits
Border control
Personal effects exemption
Declaration of stock on 1 April 1998
Penalties in case of violation

Transit countries

Transit countries may be also producing countries (import of product from other countries for processing, packaging or repackaging) or importing countries
Controls at import and export
Customs procedure (ATA carnets, onward processing, outward processing, free ports, free zones, bonded warehouse, etc.)
Marking
Border control
Personal effects exemption
Declaration of stock on 1 April 1998
Penalties

Importing countries

Control at import
Control of possession and transport for trade
Marking
Control of internal trade
Border control
Personal effects exemption
Declaration of stock on 1 April 1998
Trade in duty free shops
Penalties

2. Measures related to harmonization of use of exemption for personal effects

Recommendations:

a) that all exporting countries agree to waive the need for export permits for up to 250 g of caviar when it accompanies the traveller;

b) that this exemption should also apply to larger packages of caviar when two or more people are travelling together and the overall amount does not exceed 250 g per person;

c) that measures to implement this exemption be put in place before 1 April 1998;

d) that any importing countries that decide not to accept this exemption should notify the Secretariat as soon as possible;

e) that arrangements are made with duty-free shops in airports for sale of caviar to individual travellers to be restricted to the maximum allowed by the personal effects derogation;

f) that other retail outlets be encouraged to publicize the need for export permits to be obtained for purchases of caviar in excess of the personal effects derogation.

3. Development of a uniform marking system for sturgeon products

Recommendations:

1. a) that the range States take the necessary measures to harmonize the system of marking required to facilitate the trade in sturgeon products;

b) that any marking system adopted should ensure that the following information is provided about each specimen:

i) name of the species
ii) the country of origin
iii) the basin of origin
iv) the year of harvest
v) the name of the company exporting the specimens

In addition, a 'bar code' sticker system should be used with cross reference to the export permit or licence covering that shipment;

c) that the system should be worked out in detail by collaboration between the CITES Animals Committee and the relevant range States. In particular, the details need to accommodate the ability to connect the marking system throughout the various stages in the marketing process;

2. that the CITES Management Authority:

i) relates the marking system to:

a) a registration of traders and their marks;

b) the place of product origin; and

ii) uses the marking system in conjunction with any export quota and permit system; and

3. that the Management Authorities of the range States collaborate on marking with their traders through such mechanisms as seminars.

4. Measures for monitoring the storage, processing and re-packaging of sturgeon specimens in Customs free zones and free ports, and for airline and cruise line catering

Parties should take appropriate measures to ensure that:

1. all shipments of sturgeons and sturgeon specimens are considered as imported and controlled under the terms of CITES when the goods are first introduced into the territory of the country;

2. they define "introduction into the territory of the country" to include introduction into free ports, free zones, Customs bonded warehouses or duty free shops, whatever Customs procedure is used (inward processing, outward processing, use of ATA Carnets, goods for catering, etc.), whether or not the introduction is considered an import under the Customs regime. This definition does not include goods in transit (Resolution Conf. 9.7);

3. an original export permit or re-export certificate is collected when the specimens are first introduced into the territory of the country as defined above; and

4. re-export certificates are issued for specimens leaving the territory of the country whether or not such specimens were imported under the Customs regime for final consumption.

5. Control mechanisms for fisheries and fishery industry in range States

Recommendations:

Recognizing the need for the sturgeon industry to be managed in a proper and cost effective manner, and recognizing the need to discourage illegal activities, it is recommended that range States should as far as possible include the following in their consideration of any control measures:

a) a scientific basis for the assessment of the sustainable harvest of sturgeon species;

b) a method of licensing fishermen with their collaborative supports the condition of licensing to include the specification of appropriate harvesting techniques;

c) a method of registering and licensing the processors with their collaborative support;

d) the possibility between the processing and marketing stages and with the collaborative support of the traders to:

i) check product quantity and quality;

ii) have designated buying points and trader registration for both the domestic and international markets); and

iii) facilitate CITES Management Authority responsibilities; and

e) the incorporation of other recommendations with regard to quotas, marking, monitoring, border controls and documentation.

The benefits of such an approach could include a reduction of illegal activities, a reduction in enforcement needs, an ability to introduce greater economic incentives to local fisherman and processors in the legal system and an ability to receive funds from the industry towards the costs of management and research, thus providing greater self sufficiency in the range States. Still greater benefits can be achieved through regional range-State co-operation on such measures.

6. Measures to be taken to improve border controls

Recommendations:

a) that importing and exporting countries take any measures necessary to strengthen border controls in fulfilment of the requirements of Article VIII of the Convention, including:

i) the designation, where possible, of ports of entry and exit for CITES specimens staffed by Customs officers trained in CITES procedures;

ii) use of the (Customs/Tariff) code 16043010 for shipments of caviar only (i.e. not for the roe of non-sturgeon species);

iii) use of proven techniques for detecting illegal trade in sturgeon products including, where available, x-ray equipment;

iv) the provision to Customs officers of current information essential to effective enforcement such as the targeting sheets circulated by the World Customs Organization;

v) the exchange of information with other countries on illegal activities, bilaterally and through the CITES Secretariat and the World Customs Organization;

b) that the CITES Secretariat assist producer countries in the training of enforcement officers in detection techniques.

The meeting also welcomed an offer by the International Caviar Association to provide resources for workshops for enforcement officers on the nature of the caviar trade.

7. Measures related to the co-ordination of enforcement

Recommendations

National Level:

a) Improve co-operation between relevant enforcement agencies including the sharing of databases.

b) Increase anti-poaching efforts and crack down on possible laundering of illegally obtained caviar using legally obtained caviar as a front.

c) Encourage accurate record-keeping by traders and Customs authorities and maintenance of such records for several years.

d) Report all information on caviar seizures to the CITES Secretariat via the Eco-message system.

International Level:

a) Improve bilateral and multilateral co-operation and information sharing among the Parties.

b) Provide illegal-trade information to WCO and Interpol.

c) Encourage all relevant groups involved in the sturgeon trade, including traders and processors, to take part in the exchange of information relating to the trade.

d) Encourage self-regulation and reporting of violations from the industry.

8. Documentation for enforcement officers

Recommendations:

Parties should encourage education and training of Customs officers and the general public, with the assistance of the CITES Secretariat and industry. It was noted that material such as targeting sheets, information sheets, training manuals, brochures and posters would all require to be produced in order to help raise awareness of the trade in sturgeon species and specimens.

It was noted, however, that problems of language, finance, preparation, publication and distribution would all have to be addressed.

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