IMPLEMENTATION GUIDELINES:
THREATENED OR PROTECTED SPECIES
(TOPS)
REGULATIONS
Provisions relating to TOPS in terms of the:
 National Environmental Management: Biodiversity Act (Act 10
of 2004) (NEMBA)
 TOPS Regulations – published in Regulation Gazette Number
R. 8638
2007
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March 2007
TABLE OF CONTENTS
1.
PRINCIPLE REQUIREMENT ……………………………………………………..
4
2.
DEFINITIONS ……………………………………………………………………….
4
3.
BASIC PERMIT PROVISIONS ……………………………………………………
4
4.
RISK ASSESSMENT PROVISION ……………………………………………….
6
5.
INTEGRATED PERMITS ………………………………………………………….. 6
6.
CANCELLATION OF PERMITS …………………………………………………..
6
7.
PERMIT PROCESS ………………………………………………………………..
7
8.
REGISTRATION PROCESS ………………………………………………………
9
9.
APPEAL PROCESS ………………………………………………………………..
10
10. RENEWAL OF PERMITS / REGISTRATION CERTIFICATES ……………….. 11
11. AMENDMENT OF PERMITS / REGISTRATION CERTIFICATES ……………
12
12. PERMITS:
12.1
CONTENTS OF PERMITS ………………………………………………... 13
12.2
VALIDITY OF PERMIT …………………………………………………….. 15
12.3
PERIOD OF VALIDITY OF PERMITS ……………………………………
15
13. PROHIBITIONS & COMPULSORY CONDITIONS:
13.1
REGULATION 23 (TRANSLOCATION) ………………………………….
13.2
REGULATION 24 (PROHIBITIONS – LISTED LARGE
PREDATORS; BLACK RHINOCEROS; WHITE RHINOCEROS) …….
17
17
13.3
REGULATION 26 (PROHIBITED METHODS OF HUNTING) ………… 18
13.4
REGULATION 25 (PROHIBITIONS – CYCADS) ……………………….
13.5
REGULATION 21(COMPULSORY CONDITIONS – HUNTING
PERMITS) …………………………………………………………………...
20
20
14. RISK ASSESSMENT ………………………………………………………………. 22
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15. MARKING OF ELEPHANT IVORY & RHINOCEROS HORN …………………
24
16. EXAMPLES:
16.1
PERMIT APPLICATIONS ………………………………………………….
16.2
REGISTRATION OF CAPTIVE BREEDING FACILITY ………………... 27
16.3
REGISTRATION & OPERATION OF A NURSERY & WILDLIFE
TRADER ……………………………………………………………………..
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28
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1. PRINCIPLE REQUIREMENT
A person may not carry out a restricted activity involving a specimen of a listed
threatened or protected species without a permit (section 57(1)).
2. DEFINITIONS

Restricted activity is defined as follows:
In relation to a specimen of a listed threatened or protected species, means –
(i)
hunting, catching, capturing or killing any living specimen of a listed
threatened or protected species by any means, method or device whatsoever,
including searching, pursuing, driving, lying in wait, luring, alluring,
discharging a missile or injuring with intent to hunt, catch, capture or kill any
such specimen;
(ii)
gathering, collecting or plucking any specimen of a listed threatened or
protected species;
(iii)
picking parts of, or cutting, chopping off, uprooting, damaging or destroying,
any specimen of a listed threatened or protected species;
(iv)
importing into the Republic, including introducing from the sea, any specimen
of a listed threatened or protected species;
(v)
exporting from the Republic, including re-exporting from the Republic, any
specimen of a listed threatened or protected species;
(vi)
having in possession or exercising physical control over any specimen of a
listed threatened or protected species;
(vii) growing, breeding or in any other way propagating any specimen of a listed
threatened or protected species, or causing it to multiply;
(viii) conveying, moving or otherwise translocating any specimen of a listed
threatened or protected species;
(ix)
selling or otherwise trading in, buying, receiving, giving, donating or accepting
as a gift, or in any way acquiring or disposing of any specimen of a listed
threatened or protected species; or
(x)
any other prescribed activity which involves a specimen of a listed threatened
or protected species.

Specimen means:
(a) Any living or dead animal, plant or other organism;
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(b) A seed, egg, gamete or propagule or part of an animal, plant or other organism
capable of propagation or reproduction or in any way transferring genetic traits;
(c) Any derivative of any animal, plant or other organism; or
(d) Any goods which (i)
contain a derivative of an animal, plant or other organism; or
(ii)
from an accompanying document, from the packaging or mark or label, or
from any other indications, appear to be or to contain a derivative of an
animal, plant or other organism;

Listed threatened or protected species means:
Species listed in Government Gazette number 29657, Regulation Gazette number
R. 8638, Notice No R. 151
3. BASIC PERMIT PROVISIONS (Chapter 7 of NEMBA)
A decision of the issuing authority to
An issuing authority may:
issue or refuse a permit or to issue it
subject to conditions must be:
o request the applicant to furnish any
additional information before it considers
the application
o require the applicant to comply with such
reasonable conditions as it may impose
before it grants the application
o issue a permit unconditionally or issue it
subject to conditions
o refuse a permit.
o consistent with the applicable provisions
of the Biodiversity Act
o consistent with the national environmental
management principles
o consistent with the national biodiversity
framework
o consistent with any other relevant plans
adopted or approved in terms of Chapter 3
(Biodiversity Planning and Monitoring) of
the Biodiversity Act
o consistent with any applicable
international agreements binding on the
Republic
o consistent with the Promotion of
Administrative Justice Act, 2000 (Act 3 of
2000)
o consistent with any requirements that may
be prescribed
If an application is rejected, the issuing authority must give reasons for the
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decision in writing to the applicant.
4. RISK ASSESSMENT PROVISION (Section 89 of NEMBA)
Before issuing a permit, the issuing authority may in writing require the applicant to
furnish it, at the applicant’s expense, with such independent risk assessment or expert
evidence as the issuing authority may determine.
NOTE: A permit issued in terms of this Act does NOT absolve the holder or any
other person from complying with the provisions of any other applicable law!
5. INTEGRATED PERMITS (Section 92 of NEMBA & Regulation 4)
A permit issued in terms of provincial legislation or the Marine Living Resources Act by
an authority that is also an issuing authority in terms of the Biodiversity Act can be
regarded as a NEMBA permit only if:

The relevant provisions of NEMBA and the other legislation have been complied
with; and

The permit specifies the provisions in terms of which it has been issued and the
authority that issued the permit.
6. CANCELLATION OF PERMITS (Section 93 of NEMBA & Regulation 47)

An issuing authority which issued a permit may cancel the permit if:
o The permit was issued as a result of misleading or false representations by the
applicant or a person acting on behalf of the applicant;
o The applicant or permit holder has contravened or failed to comply with any
conditions of the permit; any provisions of this Act or other law governing the
permitted activity; or any foreign law governing the permitted activity.
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PERMIT PROCESS (Chapter 2 – Regulations)
7.
ISSUING AUTHORITY
MINISTER - DEPARTMENT OF
ENVIRONMENTAL AFFAIRS
AND TOURISM




National Protected Areas
Marine Species
Provincial Authorities
National Departments
ISSUING AUTHORITY
MEC - PROVINCIAL
DEPARTMENT
All activities involving non-marine
species and to be carried out by
persons not specified in adjacent list
APPLICATION FORM
(ANNEXURE 1)






Ordinary permits
Standing permits
Game farm hunting permits
Nursery possession permits
Personal effects permits
Possession permits
APPLICATION MUST BE ACCOMPANIED BY:





Written consent from landowner if the species concerned
is a listed threatened species (critically endangered,
endangered or vulnerable)
Processing fee (Annexure 5) and species fee
(determined by issuing authority) if the activity applied for
is hunting
Risk assessment (if required by issuing authority)
If person applying is disabled and relies on that condition
– written confirmation from National Council for Persons
with Physical Disabilities in South Africa
Any other information as requested by issuing authority
CONSIDERATION OF APPLICATION
Issuing authority must consider and decide application within 20 working days after
receiving the application
Factors to be taken into account when considering an application:
 All applicable legal requirements
 Listed status of species involved (both NEMBA & IUCN Red List)
 Whether a wild population will be affected
 Prohibitions in regulations 23, 24, 26 and 25
 Cancelled permits
 All documents submitted by applicant, including additional information requested
 Impact of restricted activity on survival of species
 Biodiversity management plan of the species (if any)
 Recommendations of Scientific Authority (if any)
 Risk assessment or expert evidence
 Information on SANBI database
 Any objections to applications
 Whether the restricted activity will be carried out or take place in a registered
facility / institution / game farm / nursery / etc
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ADDITIONAL
REQUIREMENTS:
Wild populations of
listed critically
endangered species
 Risk Assessment
 Align with biodiversity
management plan (if any)
ADDITIONAL FACTORS
Hunting permits
 Prohibited activities in
regulation 24
 Prohibited methods of
hunting in regulation 26
 Whether the activity will take
place on registered game
farm
 Whether it involves damage
causing animals (see below)
 If it is a hunting client,
whether he/she will be
accompanied by a
professional hunter
 Disabled person – written
confirmation
 Whether person applying is
a member of a recognised
hunting organisation
 Hunting off-take limits
determined by SANBI
 Compulsory conditions in
regulation 21
ADDITIONAL
REQUIREMENTS:
Game farm hunting
permits; personal
effects permits; nursery
possession permits
 Registration in
compliance with Chapter
3 (registration provisions)
 Species’ listed status
 Whether the activities
applied for are those
specified in the
regulations, e.g. game
farm hunting – only for
hunting and subsequent
possession and transport
of dead specimen
 Cancelled permits
DAMAGE CAUSING ANIMALS
Provincial authority must determine whether a listed threatened or
protected species is a damage causing animal
Originating from Protected Area:
Provincial authority / management authority can:
 Capture & relocate or control by making use of poison, bait & traps,
dogs, darting or hunting the animal.
 Lure by means of sounds and smell
 Make use of motorised vehicle and flood or spotlights
Not originating from Protected Area:
Provincial authority can:
 Capture & relocate or control by making use of poison, bait & traps,
dogs, darting or hunting the animal
 Lure by means of sounds and smell
 Make use of motorised vehicle and flood or spotlights
Self-defence – human life threatened:
 Landowner must inform issuing authority within 24 hours after incident
took place
 Issuing authority to evaluate evidence and act accordingly
DECISION ON PERMIT APPLICATION
 Decision must be consistent with all applicable legal requirements
 Issuing authority must, in writing and within 5 working days:
o Notify the applicant of the decision – if approved, issue permit within 5 working days
o If decision is to refuse – give reasons & inform applicant of his/her right to appeal
 No permit may be issued with retrospective effect
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REGISTRATION PROCESS (Chapter 3 – Regulations)
COMPULSORY REGISTRATION
VOLUNTARY REGISTRATION
The following facilities, institutions and
persons must register if they keep, breed,
display, research or trade listed threatened
or protected species:
 captive breeding operation,
 commercial exhibition facility,
 nursery,
 scientific institution,
 sanctuary,
 rehabilitation facility,
 wildlife trader
Game farmers may register if they want to
apply for a standing permit.
(Note: Persons likely to apply are
landowners with current “exemption permits”
issued in terms of provincial legislation)
APPLICATION FOR REGISTRATION




The issuing authority is responsible for registration and applications must be therefore be
submitted to the issuing authority
Applicant must apply on the form provided by the issuing authority that contains as a
minimum the information in Annexure 2 or if it is an application to register a game farm,
the information in Annexure 3
The application form must be accompanied by documentation in support of the application
and the processing fee (Annexure 5: R1 000.00)
If the approval of the registration application will affect the rights of a specific person, the
applicant must give notice of the application to that person. The person notified of such
an application, may within 15 working days of having been notified, submit to the issuing
authority, in writing, any objections against the application
CONSIDERATION OF AND DECISION ON APPLICATION


On receipt of an application, the issuing authority must perform an inspection of the
relevant premises and make written recommendations regarding the approval or refusal of
the application and conditions (if any).
Factors to be taken into account by the issuing authority when considering an application:
o All applicable legal requirements;
o the listed status of the species (critically endangered, endangered, vulnerable species
or protected species);
o the purpose of the facility / operation / game farm / nursery;
o all other relevant factors, including all relevant documentation and information
submitted to it by the applicant;
o whether the applicant is prepared to micro-chip or mark, where appropriate, each
specimen of a listed threatened or protected species bred or kept at the captive
breeding operation, commercial exhibition facility, game farm, nursery, sanctuary or
rehabilitation facility or traded with by the wildlife trader; and
o in the case of an application for the registration of a game farm, whether the game
farm is fenced in accordance with the specifications provided for in provincial
legislation.
APPROVE APPLICATION



Conditionally / unconditionally
Notify applicant & any person who
lodged an objection, in writing, within
10 working days, of the decision
Standing permit = registration certificate
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REFUSE APPLICATION


Give reasons to the applicant, in
writing and within 10 working days
Inform the applicant about the appeal
process
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APPEAL PROCESS
LODGING AN APPEAL
An applicant who feels aggrieved by the decision of an issuing authority or a permit
holder, whose permit has been cancelled, may lodge with the Minister an appeal
against the decision within 30 days after being notified of such decision. The
appeal must be submitted to the Director-General of Department of Environmental
Affairs and Tourism and must:
 Set out the grounds for the appeal; and
 be accompanied by supporting documentation and the processing fee
(Annexure 5: R50.00)
MINISTER MUST:





Consider and decide the appeal, or
Redirect the appeal to the MEC for Environmental Affairs in the relevant
province to consider and decide the appeal, or
Designate a panel of persons to consider and decide the appeal
PROCESSING OF APPEALS
The Director-General must acknowledge receipt of the appeal within 14
working days
If an appeal panel was designated, the panel must considered and decide the
appeal within 30 days of the panels’ designation and inform the DirectorGeneral of its decision together with reasons
DECISIONS OF APPEALS




The appeal can be uphold or refused
Make orders as may be appropriate based on the decision
If the appeal is upheld against o A refusal to issue a permit or registration certificate, the Minister or appeal
panel may issue the permit or registration certificate unconditionally or
subject to conditions
o A condition subject to which the permit or registration certificate was issued,
the Minister or appeal panel may amend the condition
o The cancellation or refusal to renew or amend a permit or registration
certificate, restore the permit or registration, renew the permit or registration
certificate or amend the permit or registration certificate
When an appeal has been decided, the appellant must be notified, in writing, of
the decision within 14 working days of the date the decision was taken.
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RENEWAL OF PERMITS / REGISTRATION CERTIFICATES
RENEWAL APPLICATION

The holder of a permit / registration certificate may, before the expiry of the permit /
registration certificate, apply in writing for the renewal thereof
The application must be accompanied by reasons and the applicable processing fee
(Annexure 5: R50.00)


Issuing authority must consider the application upon receipt
The issuing authority may require the applicant to provide additional information
CONSIDERATION DECISION OF RENEWAL APPLICATIONS
APPROVAL OF RENEWAL
APPLICATIONS

The issuing authority must issue a
new permit / registration certificate
REFUSAL OF RENEWAL
APPLICATIONS



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The issuing authority must notify the
applicant of the decision in writing
The issuing authority must give
reasons for the refusal
Inform the applicant of his / her right
to appeal
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AMENDMENT OF PERMITS / REGISTRATION CERTIFICATES
A permit or registration certificate may be amended by:

Removing a condition

Changing a condition



Adding a condition
Updating or changing any detail on the permit or registration certificate
Correcting a technical or editorial error on the permit or registration certificate
AMENDMENT APPLICATION



The holder of a permit / registration
certificate may at any time apply for
an amendment
The application must be on an official
application form provided by the
issuing authority (Annexure 4 –
minimum information required)
The application must be
accompanied by the processing fee
(Annexure 5: R50.00)
CONSIDERATION OF
AMENDMENT APPLICATION
The issuing authority:
 Must consider whether the granting
of the application is likely to
adversely affect the environment /
rights of interested & affected parties
 May require the applicant to furnish
additional information
CONSIDERATION OF
AMENDMENT APPLICATION
The issuing authority:
 Must promptly decide on the
application if it is for a nonsubstantive amendments or the
environmental rights or interest of
other parties are not likely to be
adversely affected
 If application is for a substantive
amendment, or if the environment or
rights of interested of other parties
are likely to be affected, the factors in
Chapter 2 must be considered
before a decision is made
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AMENDMENT ON INITIATIVE OF
THE ISSUING AUTHORITY
The issuing authority may on own
initiative amend a permit / registration
certificate for following reasons:
 The more effective protection of the
listed threatened or protected
species to which the permit or
registration relates
 The more effective enforcement of
NEMBA / regulations
 To give effect to any norms and
standards that apply to the permit
holder / registration holder
 To correct technical or editorial errors
on the permit / registration certificate
PROCESS
The issuing authority must:
 Notify the holder of the permit /
registration certificate, in writing, of
the proposed amendment and the
reasons for the proposed
amendment
 Afford the holder of the permit /
registration certificate a reasonable
opportunity to submit representations
regarding the proposed amendment
DECISION
After reaching a decision, the issuing
authority must:
 Notify the applicant of the decision,
in writing
 If approved – issue an amended
permit / registration certificate
 If refused – give reasons for refusal
& inform applicant of his / her right
to appeal
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12.
PERMITS: CONTENTS, VALIDITY & PERIOD OF VALIDITY
12.1
CONTENTS OF PERMITS (Section 90 of NEMBA & Regulation 19)
The permit form is not prescribed in the regulations. Issuing authorities must develop
their own permit form, but the permit must contain, as a minimum, the information as
prescribed in NEMBA and regulation 19:
All Permits must contain the following information:

The name, identity number or passport number, postal address and physical address of the
person to whom the permit is issued, except if it is a game farm hunting permit or a
personal effects permit or a nursery possession permit issued to a landowner of a
registered game farm or a registered wildlife trader or a registered nursery;

the name of the issuing authority;

the permit number and date of issue;

particulars of the specimen in respect of which the permit is issued, including the scientific
and common name(if any) of the species, sub-species or variation involved;

particulars of the restricted activity in respect of which the permit is issued, including
specific requirements relating to how the activity can be carried out by the permit holder, as
determined by the issuing authority;

the number of specimens involved, and their sex (if applicable);

the markings of the specimen (where applicable);

the period of validity;

the purpose for which it is issued;

the specific conditions subject to which the permit is issued, if the permit is issued
conditionally;

the game farm hunting permit, the personal effects permit and the nursery possession
permit must reflect, in addition, the registration number or standing permit number of the
registered game farm, the registered wildlife trader or the registered nursery;
Not All Permits need to contain the following information. Only where it is
applicable, the following must be reflected in the permit:

The name and physical address of a person appointed by the applicant as an agent for
purposes of obtaining the permit on the applicant’s behalf;

the name and physical address of the consignee or consignor, in the case of an export or
import permit;

the name and physical address of the seller or supplier, in the case of a permit authorising
the purchase or acquisition of a specimen of a listed threatened or protected species;
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the name and physical address of the person purchasing or acquiring the specimen of a
listed threatened or protected species, in the case of a permit authorising the sale or supply
of such a species;

in the case of a hunting client, the particulars of the professional hunter;

the location and other relevant particulars of the place where the restricted activity is to be
carried out;
Standing permits for a registered captive breeding operation, commercial
exhibition facility, game farm, nursery, scientific institution, sanctuary,
rehabilitation facility or a wildlife trader must contain the following:

the physical address of the premises where the captive breeding operation, commercial
exhibition facility, game farm, nursery, scientific institution, sanctuary or rehabilitation facility
will be conducted or in the case of a wildlife trader, the physical address of the premises he
will be trading from;

a unique registration number;
A permit authorising the possession of elephant ivory or rhinoceros horn must
contain the following:

The weight of each piece of elephant ivory or of each rhinoceros
horn or piece of
rhinoceros horn;

the length of the elephant ivory or rhinoceros horn and the circumference at the base of the
tusk or horn;

a description of the markings effected on or any other form of identification effected in
respect of each piece of elephant ivory, or each rhinoceros horn or piece of rhinoceros
horn.
If any norms and standards apply to the restricted activity for which a permit is
issued, the following condition must be reflected on the permit:
The permit must be issued subject to a condition that the permit holder is bound by
those norms and standards and must act in accordance with those norms and
standards when carrying out the restricted activity.
A permit authorising the hunting of a specimen of a listed threatened or
protected animal species must specify the following:
The permit must specify the instrument and the method by which the animal may be
hunted in terms of that permit, taking into consideration the prohibited methods of
hunting.
A game farm hunting permit, a personal effects permit, or a nursery possession
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permit must specify the following:
The permit holder must apply for:

A possession permit before the game farm hunting permit, the personal effects
permit or the nursery possession permit expires; or

An ordinary permit if the permit holder wants to carry out a restricted activity with
the specimens specified on the game farm hunting permit, a personal effects permit
or a nursery possession permit.
12.2
VALIDITY OF PERMITS (Regulation 20)
Live specimens
Dead / processed / products /
derivatives
NEMBA permits only valid within the area NEMBA permits valid throughout the
of jurisdiction of the issuing authority or for Republic.
the specific locality where the restricted
activity will take place.
12.3
PERIOD OF VALIDITY OF PERMITS (Regulation 22)
The permit must specify the period of validity
Type of permit
Ordinary permits
Period of validity
12 months
Standing permits:

provincial & national departments
48 months
Standing permits:

registered captive breeding operation;
registered game farm;
registered nursery;
veterinarian;
registered sanctuary;
registered rehabilitation facility;
36 months
registered commercial exhibition facility;
registered scientific institution;
registered wildlife trader
Possession permits
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54 months
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Game farm hunting permits
12 months
Nursery possession permits
12 months
Personal effects permits
12 months
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PROHIBITIONS & COMPULSORY CONDITIONS
Regulation 23
(Translocation)
Applications for translocation of listed threatened or protected animals to
extensive wildlife systems
The issuing authority must refuse a permit application for the transfer, transport or
translocation of a specimen of a listed threatened or protected animal species to an extensive
wildlife system if:

such an extensive wildlife system falls outside the natural distribution range of that animal
species and the extensive wildlife system is a protected area; or

if there is a risk of transmitting disease; or hybridisation with other species in that
extensive wildlife system
Regulation 24
(Prohibitions – listed large predators; black rhinoceros; white rhinoceros)
Prohibited activities involving listed large predators, Ceratotherium simum
(White rhinoceros) and Diceros bicornis (Black rhinoceros)
The following are prohibited activities involving a listed large predator, Ceratotherium simum
(White rhinoceros) or Diceros bicornis (Black rhinoceros):

The hunting of a listed large predator, Ceratotherium simum (White rhinoceros) or Diceros
bicornis (Black rhinoceros) that is a put and take animal;

the hunting of a listed large predator, Ceratotherium simum (White rhinoceros) or Diceros
bicornis (Black rhinoceros) in a controlled environment;

the hunting of a listed large predator, Ceratotherium simum (White rhinoceros) or Diceros
bicornis (Black rhinoceros) under the influence of any tranquilising, narcotic, immobilising
or similar agent; and

the hunting of a listed large predator released in an area adjacent to a holding facility for
listed large predators; and

the hunting of a listed large predator, Ceratotherium simum (White rhinoceros) or Diceros
bicornis (Black rhinoceros) by making use of a gin trap;

the hunting of a listed large predator, Ceratotherium simum (White rhinoceros) or Diceros
bicornis (Black rhinoceros), unless the owner of the land on which the animal is to be
hunted provides an affidavit or other written proof indicating –
o
the period for which the species to be hunted has been on that property, if that
species was not born on that property; and
o
that the species to be hunted is not a put and take animal;
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the breeding in captivity of a listed large predator, unless the prospective breeder provides
a written undertaking that no predator of that species will be bred, sold, supplied or
exported for hunting activities that are considered prohibited activities;

the sale, supply or export of a live specimen of a listed large predator, Ceratotherium
simum (White rhinoceros) or Diceros bicornis (Black rhinoceros) bred or kept in captivity
unless the person selling, supplying or exporting the animal provides an affidavit or other
written proof indicating –
o
the purpose for which the species is to be sold, supplied or exported; and
o
that the species is not sold, supplied or exported for hunting activities that are
considered prohibited activities;

the purchase or acquisition of a live specimen of a listed large predator species,
Ceratotherium simum (White rhinoceros) or Diceros bicornis (Black rhinoceros) bred or
kept in captivity unless the person purchasing or acquiring the species provides an
affidavit or other written proof indicating –
o
the purpose for which the species is to be purchased or acquired; and
o
that the species is not purchased or acquired for hunting activities that are considered
prohibited activities.
The above mentioned prohibitions do not apply to:
Listed large predators, Ceratotherium simum (White rhinoceros) or Diceros bicornis (Black
rhinoceros) bred or kept in captivity which has been rehabilitated in an extensive wildlife
system; and has been fending for itself in an extensive wildlife system for at least twenty four
months.
Regulation 26
(Prohibited methods of hunting)
Prohibited methods of hunting
An issuing authority considering an application for the hunting of a listed threatened or
protected species may not authorise the following methods of hunting (unless it is for the
management of damage causing animals):
Listed threatened or protected species, may not be hunted by means of –

poison;

traps, except for the purpose of hunting and / or catching of listed threatened or protected
marine and other aquatic species; collecting invertebrates for scientific purposes; and
trapping listed threatened or protected terrestrial vertebrate species for scientific,
veterinary or management purposes.;

snares;
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dogs, except for the purpose of tracking a wounded animal; or flushing, pointing and
retrieving listed threatened or protected species;

darting, except the darting of an animal by a veterinarian or a person authorised by a
veterinarian in writing and in possession of a valid permit, whether on foot or from a
motorised vehicle or aircraft, to immobilise or tranquillise the animal for the purpose of –
o
carrying out a disease control procedure or a scientific experiment or for management
purposes;

o
veterinary treatment of the animal; or
o
translocating or transporting the animal;
a weapon which, after it has been discharged, automatically reloads and fires when the
trigger thereof is pulled or held in a discharged position;

a weapon discharging a rim firing cartridge of .22 of an inch or smaller calibre;

shotguns, except for the hunting of birds; and

airguns;
Listed threatened or protected species may not be hunted by luring it, by
means of –

bait, except in the case of o
lions, leopards and hyena, where dead bait may be used;
o
listed threatened or protected marine and other aquatic species; and
o
invertebrates to be collected for scientific purposes;

sounds;

smell; or

any other induced luring method;
Listed threatened or protected species may not be hunted by using –

flood or spotlights, except for the purpose of controlling damage causing individuals,
culling of listed species or hunting of leopards and hyenas;

motorised vehicles, except for tracking an animal in an area where the hunt takes place
over long ranges; culling; or allowing a physically disabled or elderly person to hunt;

aircraft, except tracking an animal in an area where the hunt takes place over long
ranges; or culling
Listed threatened or protected species may not be hunted if it is –

under the influence of any tranquillising, narcotic, immobilising or similar agent; or
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trapped against a fence or in a small enclosure where the animal does not have a fair
chance of evading the hunter.
An issuing authority may not issue a permit to hunt –
a listed large predator, Ceratotherium simum (white rhinoceros), Crocodylus niloticus (Nile
crocodile), Diceros bicornis (black rhinoceros) or Loxodonta africana (African elephant) by
means of or by the use of a bow and arrow.
Regulation 25
(Prohibitions – Cycads)
Prohibited activities involving listed threatened or protected Encephalartos
species
The following are prohibited activities involving listed threatened or protected Encephalartos
species:

The gathering, collecting, plucking, uprooting, damaging, cutting, chopping off, removing
or destroying of wild specimens of listed threatened species, except where provided for in
a biodiversity management plan approved by the Minister in terms of section 43 of the
Biodiversity Act;

all trade in listed critically endangered Encephalartos species, except where provided for
in a biodiversity management plan approved by the Minister in terms of section 43 of the
Biodiversity Act;

all trade in wild specimens and artificially propagated specimens with a stem diameter of
more than 15 cm, except the following species which cannot be traded with if the stem
diameter is more than 7 cm: Encephalartos caffer; E. humilis; E. cupidus; E. cerinus; E.
umbeluziensis; E. ngoyanus.
Regulation 21
(Compulsory conditions – Hunting permits)
Compulsory conditions subject to which hunting permits must be issued
All permits, including game farm hunting permits, authorising the hunting of a specimen of a
listed threatened or protected animal species must, in addition to any other conditions the
issuing authority may or must impose, be issued subject to the following conditions:

The permit holder must have all relevant documentation authorising the hunt on his or her
person during the hunt;

the permit holder must within 21 days of the hunt furnish the issuing authority with a
written return on the hunt stating –
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o
the permit number and date of issuance of the permit;
o
the species, sex and number of animals hunted;
in the case of a hunting client, that he or she is accompanied by a professional hunter.
All game farm hunting permits for the hunting of listed threatened or protected species, must,
in addition to any other conditions the issuing authority may or must impose, be subject to
the following conditions:

The landowner of the registered game farm must return all the copies of the game farm
hunting permits used during the 12 month period of validity to the issuing authority; and

must return any unused permits to the issuing authority.
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14.
March 2007
RISK ASSESSMENT (Regulation 15 & 16)
If an issuing authority requests that a risk assessment be carried out, the assessment
must, as the issuing authority may determine, include information on the following:
1. Information regarding the relevant listed threatened or protected species,
including:

The taxonomy of the species, including the class, order, family, scientific name, scientific
synonyms and common names of the species;

The national and provincial conservation status of the species, including IUCN Red List
Status;

The population status and trends of the species, including –
o
its national population status;
o
the size of its local population which will be affected by the restricted activity in
respect of which application is made; and
o

its current national and local population trends;
The geographic distribution and trends of the species, including –
o
the distribution of the natural population;
o
the distribution of any translocated and introduced populations; and
o
the geographic distribution trends;

The requirements of the species with respect to habitat and climate;

The role of the species in its ecosystem, taking into account –

o
whether the species is a keystone or indicator species;
o
the species’ level in the food chain; and
o
the functions which the species performs in its ecosystem; and
The major threats affecting the species nationally and locally.
2. Information regarding the restricted activity in respect of which application
is made, including:

The nature of the restricted activity;

The reason for the restricted activity;

Where the restricted activity is to be carried out;

The gender, age and number of the specimens of the species involved; and

The intended destination of the specimens, if they are to be translocated.
3. Any regulations, policies, norms and standards or international agreements
binding on the Republic which may be applicable to the application
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4. The potential risks associated with the restricted activity to the particular
listed threatened or protected species and a specific population of such
threatened or protected species or to any other species or ecosystems,
including:

Degradation and fragmentation of a species’ habitat;

Creation of a significant change in an ecosystem caused by the removal or addition of
keystone species;

Over-exploitation of a species; and

Hybridisation of species.
5. Evaluation of the risk identified under point 4 above, in terms of:

The likelihood of the risk being realised; and

The severity of the risk and consequences of the realisation of the risk for the particular
species as well as for other species, habitats and ecosystems.
6. Options for minimising potential risks
7. management of potential risks
8. any other information as the issuing authority may determine
Other requirements relating to risk assessments:

An applicant must appoint an environmental assessment practitioner at own cost to provide
the information required for the risk assessment.

The applicant must:
o
Take all reasonable steps to verify whether the environmental assessment practitioner
to be appointed complies with general requirements specified below; and
o
Provide the environmental assessment practitioner with access to all information at the
disposal of the applicant regarding the application, whether or not such information is
favourable to the applicant.
General requirements for environmental assessment practitioner
An environmental assessment practitioner appointed by an applicant must:

Be independent; and

Have expertise in conducting risk assessments, including knowledge of the Biodiversity
Act, these regulations and any guidelines that have relevance to the proposed application.
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15.
March 2007
MARKING OF ELEPHANT IVORY & RHINOCEROS HORN
PRINCIPLE REQUIREMENT:
Any person in possession of elephant ivory or rhinoceros horn must within three
months of commencement of these regulations, apply in writing to the issuing authority
in the relevant province to:

Obtain a permit for the ivory / rhinoceros horn in his / her possession.

Mark the ivory by means of punch-dies, or if not practicable, with indelible ink, using
the following formula:
o The country-of-origin two letter ISO code and the last two digits of the particular
year, followed by a forward slash;
o The serial number for the particular year, followed by a forward slash;
o The weight of the ivory in kilograms

Mark the rhinoceros horn in by means of a micro-chip.

Register ivory / rhinoceros horn in person’s possession on a national database.
DEFINITION:
“Elephant ivory” in relation to marking and registration means any piece of elephant
tusk which is 20 cm or more in length, or more than 1 kg in weight, whether carved or
not.
INTERPRETATION:

Any person in possession of elephant ivory or rhinoceros horn must apply for a
permit in compliance with the requirements of NEMBA and the regulations.

Any person in possession of elephant ivory that is 20 cm or more in length, or
more than 1 kg in weight, whether carved or not, must mark the ivory by means
of punch-dies, or if not practicable, with indelible ink reflecting the information
stipulated above.

Any person in possession of rhinoceros horn must mark the horn by means of a
micro-chip.
NOTE: If the elephant ivory or rhinoceros horn has already been marked and
registered in terms of other legislation (e.g. provincial ordinance / legislation) the
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applicant should submit proof of such marking and registration. IF the marking
and registration meets the requirements of these regulations, the existing
marking should be accepted and the information reflected in the permit.
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16.
EXAMPLES
16.1
PERMIT APPLICATIONS
Application for an ordinary permit, e.g. game farmer applies to provincial authority to transport
a listed threatened species
APPLICATION


Game farmer completes the application form
(Annexure 1) and submit the application form to
the issuing authority (province) for consideration
On submission the game farmer pays the
processing fee of R50.00 (transport)
CONSIDERATION OF APPLICATION
Issuing authority must consider and decide application within 20 working days after
receiving the application
Factors to be taken into account when considering an application:
 All applicable legal requirements
 Listed status of species involved (both NEMBA & IUCN Red List)
 Whether a wild population will be affected
 Prohibitions in regulations 23, 24, 26 and 25
 Cancelled permits
 All documents submitted by applicant, including additional information requested
 Impact of restricted activity on survival of species
 Biodiversity management plan of the species (if any)
 Recommendations of Scientific Authority (if any)
 Risk assessment or expert evidence
 Information on SANBI database
 Any objections to applications
 Whether the restricted activity will be carried out or take place in a registered
facility / institution / game farm / nursery / etc
ADDITIONAL REQUIREMENTS:
Wild populations of listed critically endangered species
 Risk Assessment
 Align with biodiversity management plan (if any)
DECISION ON PERMIT APPLICATION
 Issuing authority must, in writing and within 5 working days:
o Notify the applicant of the decision – if approved, issue permit within 5 working days
(Permit valid for maximum period of 12 months)
o If decision is to refuse – give reasons & inform applicant of his/her right to appeal
NOTE: The issuing authority MAY request additional information / risk assessment if it
is needed to make an informed decision
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16.2
March 2007
REGISTRATION OF CAPTIVE BREEDING FACILITY
COMPULSORY
Application
to register as aREGISTRATION
captive breeding facility
A captive breeding facility that keeps and breeds listed threatened or protected species must
register with the issuing authority in terms of the Chapter 3 of the regulations
APPLICATION FOR REGISTRATION





Applicant must apply on the form provided by the issuing authority that contains as a
minimum the information in Annexure 2
The application form must be accompanied by documentation in support of the application
and the processing fee (Annexure 5: R1 000.00)
If the approval of the registration application will affect the rights of a specific person, the
applicant must give notice of the application to that person. The person notified of such
an application, may within 15 working days of having been notified, submit to the issuing
authority, in writing, any objections against the application
CONSIDERATION OF AND DECISION ON APPLICATION
On receipt of an application, the issuing authority must perform an inspection of the
relevant premises
Factors to be taken into account by the issuing authority when considering an application:
o All applicable legal requirements;
o the listed status of the species (critically endangered, endangered, vulnerable species
or protected species);
o the purpose of the facility / operation / game farm / nursery;
o all other relevant factors, including all relevant documentation and information
submitted to it by the applicant;
o whether the applicant is prepared to micro-chip or mark, where appropriate, each
specimen of a listed threatened or protected species bred or kept at the captive
breeding operation, commercial exhibition facility, game farm, nursery, sanctuary or
rehabilitation facility or traded with by the wildlife trader; and
o in the case of an application for the registration of a game farm, whether the game
farm is fenced in accordance with the specifications provided for in provincial
legislation.
APPROVE APPLICATION



Conditionally / unconditionally
Notify applicant & any person who
lodged an objection, in writing, within
10 working days, after making the
decision
Standing permit = registration
certificate (Valid for maximum period
of 36 months)
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REFUSE APPLICATION


Give reasons to the applicant, in
writing and within 10 working days
Inform the applicant about the appeal
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16.3


March 2007
REGISTRATION & OPERATION OF A NURSERY & WILDLIFE TRADER
COMPULSORY REGISTRATION
A person operating as a nursery (a facility where listed threatened or protected
species are artificially propagated or multiplied for commercial purposes) MUST
register in terms of Chapter 3 of the regulations and MAY apply for nursery
possession permits.
If that person operates as a wildlife trader (hawk / peddle / barter / exchange /
offer / advertise / expose or have in possession to exhibit / sell / hawk / peddle /
barter / exchange) he / she has MUST register as a wildlife trader and MAY apply
for personal effects permits
APPLICATION FOR REGISTRATION



Applicant must apply on the form provided by the
issuing authority that contains as a minimum the
information in Annexure 2
The application form must be accompanied by
documentation in support of the application and
the processing fee (Annexure 5: R1 000.00)
If the approval of the registration application will
affect the rights of a specific person, the
applicant must give notice of the application to
that person. The person notified of such an
application, may within 15 working days of having
been notified, submit to the issuing authority, in
writing, any objections against the application
ADDITIONAL
REQUIREMENTS
 Wild populations of listed
critically endangered
species:
Risk Assessment & Align with
biodiversity management plan
(if any)
 Issuing authority may
request addition
information to assist in
decision making
APPROVE REGISTRATION APPLICATION



Conditionally / unconditionally
Notify applicant & any person who lodged an objection, in writing, within 10 working
days, after making the decision
Standing permit = registration certificate (Valid for maximum period of 36 months)
APPLICATION: NURSERY POSSESSION / PERSONAL EFFECTS PERMITS


Nursery / Wildlife trader applies for nursery possession permits / personal effects permits
by completing the application form in Annexure 1
Application must be accompanied by the processing fee (Annexure 5 – Nursery
possession permit: R500.00 per book / personal effects permits: R500.00 per book)
CONSIDERATION OF APPLICATION
Issuing authority must consider and decide application within 20 working days after
receiving the application
Factors to be taken into account when considering an application as per ordinary
permit application
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ADDITIONAL REQUIREMENTS:
Personal effects permits; nursery possession permits
 The nursery / wildlife trader must be registered in compliance with Chapter 3 (registration
provisions)
 The species’ listed status must be taken into consideration
 Whether the activities applied for are those specified in the regulations:
o Nursery possession: authorise a person to buy, transport or convey and keep in his /
her possession a listed threatened or protected species acquired from a registered
nursery
o Wildlife trader: authorise a person to buy, transport / convey and keep in his / her
possession and, or export out of the Republic, dead specimens of listed threatened or
protected species, including products derived from such species and acquired from a
registered wildlife trader
 Whether permits issued to the person / nursery / trader have been cancelled on previous
occasions
DECISION ON PERMIT APPLICATION
 Issuing authority must, in writing and within 5 working days:
o Notify the applicant of the decision – if approved, issue permit within 5 working days
(Valid for maximum period of 12 months)
o If decision is to refuse – give reasons & inform applicant of his/her right to appeal
 No permit may be issued with retrospective effect
COMPULSORY CONDITIONS – NURSERY POSSESSION & PERSONAL
EFFECTS PERMITS
 The nursery possession permit / personal effects permits must reflect the registered
nursery or registered wildlife traders’ registration number / standing permit number
 The nursery possession permit / personal effects permits are only valid for 12 months and
the person in possession of such a permit must ensure that they apply for the applicable
permit before the expiry date on the nursery possession permit / personal effects permit
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National Council for Persons with Physical Disabilities in South Africa (NCPPDSA)
Contact information
Johan Viljoen
+27 11 726 8040
nationaloffice@ncppdsa.co.za
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