INDEX

Lesson 1 – Introduction ………………………………………………………………………. 3

Key Takeaways ………………………………………………………………………….………… 7
Knowledge refresher …………………………………………………………………………... 8

Lesson 2 – Scope of Application ……………………………………………..………….. 10

Key Takeaways …………………………………………………………………………….……… 14
Knowledge Refresher ……………………………………………………………………..…... 14

Lesson 3 – Implementation ………………………………………………………..………. 16

Key Takeaways ………………………………………………………………………….………… 21
Knowledge Refresher ………………………………………………………………..………... 22

Lesson 4 – Compliance and Enforcement …………………………..……………… 24

Key Takeaways ………………………………………………………………………….………… 26
Knowledge Refresher ………………………………………………………………..………... 27

Lesson 5 – Sustainable Development/Future …………………………………... 28

Key Takeaways …………………………………………………………………………………… 31
Knowledge Refresher ……………………………………………………………….…….…... 31

Answer Key …………………………………………………………………………………..……… 32

 Lesson 1
Introduction

Learning Objectives

• Explain the context and need to regulate international wildlife trade, and the main steps
taken towards the adoption of CITES.
• Describe the main objectives of CITES.
• Identify and describe the main CITES bodies and their functions.

3
1. Context and History

Annually, international wildlife trade is estimated to be worth billions of dollars and to include
hundreds of millions of plant and animal specimens. The trade is diverse, ranging from live
animals and plants to a vast array of wildlife products derived from them, including food products,
exotic leather goods, wooden musical instruments, timber, tourist curios, and medicines.

• Scope (examples): housing and furniture, pharmaceuticals, cosmetics, food, leather and
fashion, pets, tourism, collections

• Value: For key commodities of tradable animals, the monetary value is conservatively
estimated to range from $350-530 million USD per year, or almost $2.2 billion between
2006-2010. For plants, the Big-leaf Mahogany (Wietenia Macrophylla) alone is likely to
have been worth an estimated $168 million between 2006-2010.

In many regions of the world, the level of exploitation of particular animal and plant species is
high, and the trade in them, together with other factors, such as habitat loss, may be contributing
to the depletion of their populations and even bringing some species close to extinction. A
dramatic example is the Vicugna Vicugna (or Vicuña), which had once been declared endangered
due to the international demand for its wool. Thanks in part to CITES, the Vicuña is no longer at
risk today; its wool is traded sustainably to the benefit of rural populations.

Because the supply and demand for wild animal and plant specimens and products are in
different parts of the world, trade often crosses international borders. The effort to regulate
this type of trade requires international cooperation. CITES was conceived in the spirit of such
cooperation.

The Convention was adopted on 3 March 1973, and entered into force on 1 July 1975. Today,
CITES accords varying degrees of protection to more than 30,000 species of plants and 5,600
species of animals, whether they are traded as live specimens, fur coats, or dried herbs. Not one
species regulated by CITES has become extinct as a result of trade since the Convention entered
into force. With 183 Parties as of 15 March 2019, including the European Union, CITES is among
the largest conservation agreements in existence.

4
Membership map

Additional information on the history of CITES

• Before CITES, international trade in wildlife was largely unregulated at the global level. The
1960’s and 70’s saw a dramatic increase in trade, especially of fashion products such as
crocodile skins.

• 1960: Seventh General Assembly of the International Union for the Protection of
Nature: Strong apprehension about the impact of wildlife exploitation and trade on
conservation was voiced for the first time at the General Assembly (Warsaw, 1960) of the
International Union for the Protection of Nature. Later known as the International Union
for Conservation of Nature (IUCN), the international organization was established in 1948
with members from governmental and non-governmental organizations.

• 1963: Eighth IUCN General Assembly (Nairobi): Government delegates recommended

that an international convention to regulate trade in “rare or threatened wildlife species
or their skins and trophies” be drafted and submitted for the approval of governments.

• 1972: At the 1972 United Nations Conference on the Human Environment, delegates
agreed on the Stockholm Action Plan for the Human Environment, which included a
recommendation that “a plenipotentiary conference be convened as soon as possible,
under appropriate governmental or intergovernmental auspices, to prepare and adopt a
convention on export, import and transit of certain species of wild animals and plants.”

• 1973: The Plenipotentiary Conference to Conclude an International Convention on

Trade in Certain Species of Wildlife was held from 12 February to 2 March 1973 in
Washington, D.C., and attended by representatives from 80 countries. The final
convention text was signed on 3 March 1973 by 21 countries.

5
 • 1975: The Convention on International Trade in Endangered Species of Wild Fauna and
Flora entered into force on 1 July 1975 and counts today 183 Parties, including the
European Union.

2. Objective and Purpose

The purpose of CITES is to ensure that wild fauna and flora are not exploited unsustainably for
the purposes of international trade. The Convention establishes an international legal
framework together with common procedural mechanisms for the strictest control of
international commercial trade in species threatened with extinction, and for effective regulation
of international trade in others.

CITES neither promotes nor wholly prohibits international trade in wildlife.

Rather, CITES subjects international trade in specimens of selected species
to certain controls, depending on their classification, which in turn depends
on their conservation status.

CITES pursues such regulation through the objectives of legality, sustainability, and
traceability. In general, these objectives consist of:

• Legality: the specimen has been obtained in accordance with the national laws and
regulations for the protection of fauna and flora.
• Sustainability: trade is sustainable and will not be detrimental to the survival of the
species.
• Traceability: trade is traced through the issuance and control of appropriate CITES
permits and certificates.

3. Structure of the CITES Bodies

The following provides an overview of the main bodies tasked with providing guidance and
facilitating agreement on the implementation of the Convention at the international level:

• Conference of the Parties (CoP): All the Parties together are called the “Conference of
the Parties” (CoP). Representatives of all Parties meet every three years at the CoP. At this
meeting, the Parties review and modify the Appendices of protected species and discuss
any other issues affecting the Convention, such as implementation problems. In order to
facilitate the work of the CoP and to keep that work in progress between meetings, the
CoP established a number of permanent Committees that report to it at each meeting.

• Standing Committee: The Standing Committee is comprised of Parties representing each

of the six major geographical regions, weighted according the number of Parties within
each region, serving for the period between CoPs. The Standing Committee provides
6
 policy guidance to the Secretariat concerning the implementation of the Convention and
oversees the management of the Secretariat’s budget. Beyond these key roles, it
coordinates and oversees, where required, the work of the other Committees; carries out
tasks given to it by the CoP; and drafts resolutions for consideration by the CoP.

• Plants and Animals Committees: These Committees of experts were established at the
6th meeting of the CoP (Ottawa, 1987) to fill gaps and other specialized knowledge
regarding species of animals and plants that are (or might become) subject to CITES trade
controls. Their role is to provide technical support to decision-making about these species.
These two Committees have similar terms of reference, detailed in Resolution Conf. 11.1
(Rev. CoP 17), Annex 2, which include, among others responsibilities:
o Providing scientific advice and guidance to the CoP, the other Committees, working
groups, and the Secretariat;
o Dealing with nomenclatural issues;
o Undertaking periodic reviews of species, in order to ensure appropriate
categorization in the CITES Appendices;
o Advising when certain species are subject to unsustainable trade and
recommending remedial action (through a process known as the “Review of
Significant Trade”); and
o Drafting resolutions on animal and plant matters for consideration by the CoP.

• CITES Secretariat: The Secretariat is hosted by UNEP and located in Geneva, Switzerland.
It plays a pivotal role, and its functions are laid out in Article XII of the text of the
Convention. They include:
o Playing a coordinating, advisory, and servicing role in the working of the
Convention;
o Arranging meetings of the CoP and the permanent Committees at regular intervals
and servicing those meetings; and
o Providing assistance in the fields of legislation, enforcement, science, and training.

4. Key Takeaways

Context and History

• International wildlife trade is substantial, estimated to be worth billions of dollars per year
and to include hundreds of millions of plant and animal specimens.

• Exploitation of particular animal and plant species through trade, together with other
factors, can contribute to population loss, even bringing some species close to extinction.

• CITES was conceived in a spirit of international cooperation to regulate this trade.

• Through a process involving the IUCN, Stockholm Conference, and eventually negotiations
in Washington, D.C., CITES was signed in 1973 and came into force on 1 July 1975.

7
Objective and Purpose

• CITES establishes an international legal framework together with common procedural

mechanisms to regulate international trade in wildlife.

• The Convention pursues regulation through the objectives of legality,

sustainability, and traceability.

Structure of the CITES Bodies

• Conference of the Parties: Meets every three years. Reviews and modifies the
Appendices of protected species, discusses any other issues.

• Standing Committee: Provides policy guidance to the Secretariat, oversees the

management of the Secretariat’s budget. Oversees, where required, the work of the other
Committees.

• Plants and Animals Committees: Provides technical support and specialized knowledge
on animals and plants that are (or might become) subject to CITES trade controls.

• Secretariat: Plays coordinating, advisory, and servicing role. Arranges meetings of the
CoP and permanent Committees.

5. Knowledge Refresher

This section is intended to consolidate the knowledge you have gained throughout the
lesson. The answer key can be found at the end of the workbook.

Question 1

Fill in the blank using the words below in the word bank. Not all of the words in the bank will be used:

Word bank: billions, hundreds of millions, millions, thousands, legality, cooperation, trade,
development, sustainability, traceability.

• Annually, international wildlife trade is estimated to be worth ____________ of dollars and

to include hundreds of millions of plant and animal species.

• The Convention was signed in Washington, D.C., in 1973, and came into force in
____________ .

• CITES pursues its purpose of regulation through the objectives of legality, sustainability,
and ____________.

8
Question 2

Match the CITES body with the correct function:

Provides technical support

and specialized knowledge
Conference of the Parties on animals and plants that
are (or might become)
subject to CITES trade
controls

Meets every three years.

Reviews and modifies the
Standing Committee Appendices of protected
species; discusses any other
issues

Provides policy guidance to

the Secretariat; oversees the
Plants and Animals management of the
Committees Secretariat’s budget;
oversees, where required,
the work of the other
Committees

Plays coordinating, advisory

and servicing role. Arranges
Secretariat meetings of the CoP and
permanent Committees

9
 Lesson 2
Scope of Application

Learning Objectives
• Define the main terms relating to species and specimens.
• Explain how the three CITES Appendices function.

10
1. Definitions

According to Article I(a) of the Convention, when CITES protects a species, all subspecies which
belong to that species are also protected. The Convention can also protect a single
subspecies or even a particular geographically separate population of that species.

• Subspecies: Species can be divided into subspecies, each of which have some particular
characteristics which are not sufficiently different to warrant a status as a species.
• Geographically separate population: A population is a group of individuals of a species
or subspecies, located in a country or region.

For example, the Ostrich (Struthio Camelus) of a number of Northern and Western African
countries is protected by CITES (Appendix I). Those in other African countries, as well as those in
many breeding operations all over the world, are not protected by CITES.

According to Article I(b), CITES uses the term specimen to designate – (1) the whole animal or
plant, dead or alive; or (2) any part or derivative thereof.

• A part is an incomplete specimen that has not been processed and can in most cases
still be recognized as belonging to a particular animal or plant species (examples: skin or
part of a skin; skeleton or bone; shell or carapace; horn, tusk, antler, or tooth; feather; egg;
meat; wood; flower, seed, root, or bulb).

• A derivative is a processed part of a plant or an animal (or a final product) that cannot
necessarily be recognized as belonging to a particular species (examples: piano with
ivory keys; musical instruments or sculptures made of wood; furniture with sea turtle
scales; handbags, suitcases, or wallets; belts, shoes, gloves, bracelets, or watches;
medicines, cosmetics, perfumes, or food products; blood, musk, or bile).

2. Appendices

Central to the application of CITES is a system of three Appendices. Each of the over 36,000
species subject to CITES regulation is listed in one of these Appendices. The three CITES
Appendices afford differing levels of protection for listed species, depending primarily on the
biological status of the species and whether it is, or may be, affected by trade.

The inclusion of a species in one of the Appendices results in the application of certain trade
requirements or restrictions under the Convention, which are intended to ensure that the
species does not become or remain subject to over-exploitation (and possible extinction) through
international trade.

11
The below table will help to explain the differences between the Appendices:

Documents that Must

Appendix Species Listed in Appendix Principle Behind the Appendix
Accompany the Specimen(s)

Species threatened with International trade for Documents

extinction (e.g. Gorilla, commercial purposes is
Peregrine Falcon, Tiger, prohibited. 1. Import Permit; and
Asian Slipper Orchids, 2. Export Permit or Re-
Aztec Cactus, Brazilian International trade for non- Export Certificate.
Rosewood). commercial purposes (e.g.
I
education, scientific
research, species
conservation) is permitted
but is subject to control.

Species not necessarily International trade is Documents

threatened with permitted but is regulated.
extinction but which may 1. Export Permit or Re-
become so unless trade Export Certificate.
is regulated; and species
whose specimens in
II trade look like those of
species listed for
conservation reasons
(e.g. Polar Bear, Yellow
Anaconda, Grey Parrot,
Emperor Scorpion,
American Ginseng).
Species subject to International trade is Documents
regulation within the permitted but is regulated.
jurisdiction of a Party 1. Export Permit from
and for which the the country that
cooperation of other listed the species or
III
Parties is needed to a Certificate of
control international Origin from any
trade (e.g. Walrus, listed other country.
by Canada; King Vulture,
listed by Honduras).

Amendments to Appendix I-II

Inclusion of a species in Appendix I or II is decided by the Conference of the Parties (CoP) to CITES,
as stipulated in Article XV(1)(b). According to Article XV(1)(a), any Party can propose an
amendment to Appendix I or II, for consideration at the next CoP, by communicating the proposed
amendment to the CITES Secretariat at least 150 days before the meeting. If consensus cannot

12
be reached by the Conference of the Parties, the proposal will be put to a vote, with a two thirds
majority required for the proposal to be adopted.

Biological and Trade Criteria

CITES Parties agreed at CoP9, in 1994 (amended in 2016), on Resolution Conf. 9.24 (Rev. CoP17)
which included a set of biological and trade criteria to help determine whether a species should
be included in Appendix I or II. The criteria include considerations of population size, decline, and
fluctuation; geographical concentration; and vulnerability, among others.

These criteria also emphasize a precautionary approach, where in the case of uncertainty as to
the status of a species or the impact of trade on conservation, Parties should act in the best
interest of the conservation of the species concerned and adopt measures proportionate to the
anticipated risks.

Appendix III

According to Article XVI of the Convention, inclusion or removal of a species in Appendix III can
be requested unilaterally by individual countries that seek help in protecting their own
species if the species is protected under national law.

Trade Volume

Species listed in Appendix II (trade permitted but regulated) account for 96% of all listings (3% in
Appendix I and 1% in Appendix III). In practice, a relatively small number of species are
responsible for most of the trade volume, such as live Snow Drop flowers, live and raw corals,
reptile skins (mainly Water Monitor and American Alligator), Holy Wood (logs, timber, sawn wood),
Queen Conch meat, or Candelilla wax.

Case Study
Appendix I: Pangolins
Pangolins, an ant-eating species found in Africa and Asia, may be the most trafficked
mammals in the world today.

All Pangolin species (4 Asian and 4 African species) were included in Appendix II in 1994.
CITES Parties then decided in 2016 at the CoP17 in Johannesburg to afford the highest
level of protection to Pangolins through an Appendix I listing, which prohibits all
commercial international trade of wild take specimens.

The CITES Standing Committee has agreed on specific recommendations to strengthen

enforcement efforts to combat illegal trade in Pangolin specimens, including risk-
profiling and capacity-building interventions to enforcement officers at ports, enabling
them to better target illegal trade in Pangolin specimens, as well as to maintain an
inventory of stockpiles of Pangolin scales and other specimens.

13
3. Key takeaways

Definitions

• The term specimen is used to designate (1) the whole of an animal or plant, dead or alive;
or (2) any part or derivative thereof.

Appendices

• Inclusion of a species in one of the Appendices results in the application of certain

trade requirements or restrictions.

• Appendix I: Species threatened with extinction. International trade for commercial

purposes is prohibited.

• Appendix II: Species that could become threatened with extinction unless trade is
regulated. International trade is permitted but regulated.

• Appendix III: Species subject to regulation within the jurisdiction of a Party, and for
which cooperation is requested. International trade is permitted but regulated.

• Inclusion of a Species in Appendix I or II is decided by the CoP.

• Appendix II accounts for the vast majority of listed species (96%).

4. Knowledge Refresher

This section is intended to consolidate the knowledge you have gained throughout the
lesson. The answer key can be found at the end of the workbook.

Question 1

• True or false? When CITES protects a species, all subspecies which belong to that species
are also protected.

• True or false? The CITES Appendices may include a species, a subspecies, or a

geographically separate population of a species.

• True or false? The term “specimen” is used in the Convention only to refer to plants or
animals that are whole and alive.

14
Question 2

What are the conditions to include a species in each of the three Appendices?

Match the conditions with the correct appendix:

Species subject to regulation

Appendix I within the jurisdiction of a
Party

Species threatened with

Appendix II extinction

Species could become

Appendix III threatened with extinction
unless trade is regulated

15
 Lesson 3
Implementation

Learning Objectives
• Identify the roles and functions of the Management and Scientific Authorities.
• Describe the CITES permitting system.
• Explain the features of a Non-Detriment Finding.

16
1. CITES Implementation and National Law

CITES is not self-executing; the Convention relies on its Parties to pursue its objectives through
domestic authorities and national laws. These national laws establish which domestic authorities
are responsible for determining the effects of trade on a species, issuing permits to trade where
in compliance with the Convention, and enforcing the rules. Specifically, national laws should be
adopted to meet the following basic requirements:
• Designation of at least one Management Authority and one Scientific Authority;
• Prohibition of trade in violation of the Convention;
• Penalization of illegal trade; and
• Confiscation of specimens illegally traded or possessed.

The designation of authorities is essential to the domestic implementation of CITES. Each Party to
the Convention designates one or more “Management Authorities,” which are in charge of
administering the permit system, and one or more “Scientific Authorities,” which advise on the
effects of trade on a species. Parties have an obligation to inform the Secretariat of officially
designated authorities, which are then included on the CITES website (Article IX).

Many of the Resolutions adopted by the Conference of the Parties place specific tasks on the
Management and Scientific Authorities.

Enforcement is generally carried out through a partnership between the Management Authority,
customs, and other enforcement agencies (police, border control, etc.). Customs and other front-
line officers thus play a primary role in enforcing the regulation of trade in CITES-protected
species.

Management Authority

The Management Authority’s role is set out in Articles III-XI of the Convention – namely, to (1) grant
(or not to grant) permits and certificates under the terms of the Convention; and (2) communicate
with the CITES Secretariat and other Parties, including the preparation of annual and biennial
reports.

Responsibilities with respect to the Scientific Authority

• The Management Authority must consult the Scientific Authority before issuing an
export permit for specimens of the species in Appendices I and II.
• The Management Authority must keep the Scientific Authority informed about all
relevant CITES issues.

Scientific Authority

The Scientific Authority’s role is set out in Articles III-IV and VIII of the Convention – namely, to
advise the Management Authority whether export of specimens would be detrimental to the
survival of the species in the wild, as well as to advise on other scientific matters.

17
Enforcement Authorities

The Enforcement Authority’s role is to deal with any breach of CITES or the relevant domestic laws
(including stricter domestic measures), such as illegal trafficking in CITES-listed species. This is
often an existing enforcement agency, but may be a coordinating body that works with customs
officials, wildlife enforcement officers, and the police.

2. Permits and Certificates

CITES uses a permitting system to regulate trade in specimens of species included in the
Appendices. This system is the backbone of the Convention and it is governed by:
• Article III (for Appendix I species);
• Article IV (for Appendix II species); and
• Article V (for Appendix III species).

The system is also supplemented by a number of resolutions on the interpretation and

implementation of the system, in particular Resolution Conf. 12.3, which has effectively replaced
Appendix IV of the Convention.

With a few exceptions, a CITES permit or certificate is needed for the international trade of a
specimen of any species in the CITES Appendices. If a specimen covered by CITES is traded
internationally, it will need a permit or certificate for export, import, or re-export, depending on
the Appendix in which it is listed.

According to Resolution Conf. 9.6 (Rev. CoP16), specimens covered by CITES include “any
specimen which appears from an accompanying document, the packaging or mark or label, or
from any other circumstances, to be a part or derivative of an animal or plant of a species included
in the Appendices, unless such part or derivative is specifically exempted.”

Some specific exemptions to the permit requirement and other special provisions related to
trade exist in Article VII of the Convention, including:

• In transit or trans-shipment: Specimens (1) that remain in customs control; (2) that are
in the process of shipment to a named consignee through or in the territory of a third
Party; (3) for which interruption in their movement is only due to arrangements
necessitated by the requirements of transport.

• Pre-Convention: Specimens acquired before the date on which they were first included
in the Appendices.

• Personal or household effects: Specimens that are (1) personally owned or possessed
for non-commercial purposes; (2) legally acquired; and (3) at the time of import, export, or
re-export either (a) worn or carried or included in personal baggage; or (b) part of a
household move.

18
 • Captive-bred or artificially propagated: Specimens that meet the following criteria: (1)
born or produced in a controlled environment; (2) parents mated (or gametes transferred)
in a controlled environment; (3) breeding stock established/maintained in accordance with
Res. Conf. 10.16 (Rev.); (4) production of second or subsequent generations, or managed
in a manner demonstrated to be capable of reliably producing second-generation
offspring.

• Exchanged between registered scientific institutions: Applies only to herbarium

specimens, live plant material, and preserved, dried, or embedded museum
specimens. The institution must be registered by a Management Authority of its State.

• Traveling exhibitions: Specimens in a travelling zoo, circus, menagerie, plant exhibition

or other travelling exhibition provided that (1) full details are registered with that
Management Authority; (2) the specimens are either pre-Convention or captive-
bred/artificially propagated; and (3) live specimens are transported in a manner that
minimizes injury.

Conditions

CITES lays down strict conditions in Articles III and IV that must be satisfied before a permit is
granted. Permits can only be granted by an officially designated national CITES Management
Authority, which has the responsibility for ensuring the conditions are met, with advice from an
officially designated CITES Scientific Authority.

You can check the National CITES Authorities here.

Approval

Generally, export permits will only be granted if the Scientific Authority is satisfied that such trade
will not be detrimental to the species’ survival, in a process known as a “Non-Detriment Finding,”
or “NDF.”

Reporting

CITES Parties submit annual reports to the CITES Secretariat on their trade (defined as export, re-
export, import and introduction from the sea) providing information about the CITES permits and
certificates that these Parties have issued and used.

These records are then incorporated into the CITES Trade Database, which can be accessed via
the CITES website. Approximately one million permits and certificates are issued each year, and
the CITES Trade Database now contains over 15 million records of legal trade.

19
3. Non-Detriment Findings (NDFs)

A critical and unique feature of the CITES permitting system is the Non-Detriment Finding (NDF).

Where the permits issued by the Management Authority are essential to the objective of
traceability, the NDF is essential to the objective of sustainability.

An NDF can be understood as a conclusion by a national Scientific Authority that the export of
specimens of a particular species will not impact negatively on the survival of that species in the
wild. This finding is required before an export permit or a certificate of introduction from the
sea may be granted by the Management Authority. An NDF must also be made by the Scientific
Authority of the State of import for Appendix I-listed species. It is not required for the export of
Appendix III-listed species.

The information that the findings and advice of a Scientific Authority should be based on were
clarified at CoP16, and revised at CoP17 in Resolution Conf. 16.7 (Rev. CoP17). They include:

• Population status: e.g. population within the Party, global population, whether the
species is endangered, threatened, or vulnerable.

• Distribution: e.g. where the species occurs within the Party, where it occurs globally.

• Population trends: e.g. whether the population is increasing, decreasing, or stable.

• Harvest: e.g. types, levels, and methods of harvest (for domestic and international use),
segment of the population harvested, degree of control over harvest, etc.

• Other biological factors: e.g. biological characteristics or habitat pressures that could
affect the sustainability of trade.

• Trade information: e.g. levels of export and, if relevant, import.

The setting of an export quota by a Party may meet the requirement of an NDF by establishing
the maximum quantity of specimens of a species that may be exported over the course of a
year without having a detrimental effect on its survival. Export quotas are usually established
by each Party unilaterally, but they can also be set by the CoP, and they generally relate to a
calendar year.

Additional Information:

• IUCN Guidance for CITES Scientific Authorities

• CITES Trade Database
• Res. Conf 16.7 (Rev. CoP17)

20
Case Study
NDFs: Cibotium Barometz
The Cibotium Barometz (also called “Golden Hair Dog Fern” or “Wooly Fern”) is a tropical and
subtropical plant that grows in China, India, Japan, and a number of countries in Southeast
Asia. It is used as a garden plant or medicinal herb and is listed in CITES Appendix II.

Before 1998, there was no control in China over its export, and more than 500 tons were
exported over 5 years from 1993-1997. Beginning in 1997, the Chinese CITES authorities
decided export of this plant should not be allowed until a survey of the species was
conducted, to ensure its sustainable use. A survey completed in 2001 estimated the biomass
of Cibotium Barometz by province and district, as well as the quantity of processed product.

Based on the sustainable yield of similar plants, the study estimated that a quota of about 130
tons per year, or about 10% of the plant’s standing stock, would be reasonable and
sustainable. Since then, export of Cibotium Barometz has been permitted within this quota.

4. Key Takeaways

National Law

• Parties should adopt national laws to (1) designate Management and Scientific
authorities; (2) prohibit trade in violation of CITES; (3) penalize illegal trade; and
(4) confiscate specimens illegally traded or possessed.

• Management Authorities are in charge of administering the permit system.

• Scientific Authorities advise on the effects of trade on the species in question.

Permits and Certificates

• With few exceptions, a CITES permit or certificate is needed for the international
trade of a specimen in any species listed in the CITES Appendices.

• Some exemptions to the permit requirement exist, such as personal or household

effects, specimens exchanged between scientific institutions, or travelling
exhibitions.

• Permits can only be granted by a national Management Authority, with the advice of a
national Scientific Authority.

21
Non-Detriment Findings

• An NDF is a conclusion by a national Scientific Authority that the export of specimens

of a particular species will not impact negatively on the survival of that species in the
wild.

• NDFs should be based on information such as population status,

distribution, population trends, harvest, other biological and ecological factors,
and trade information.

• Sometimes Parties will meet the requirement of an NDF by establishing an export quota,
or setting a maximum quantity that may be exported without having a detrimental
effect on a species survival.

5. Knowledge Refresher

This section is intended to consolidate the knowledge you have gained throughout the
lesson. The answer key can be found at the end of the workbook.

Question 1

Multiple choice/work through the scenario

Consider that you are seeking to export a quantity of American Ginseng (Panax Quinquefolius)
from your country, which is a CITES Party. The ginseng was harvested within your country.

1. You are aware that a permit may be required. In order to determine what your obligations
are, and, if necessary, to obtain a permit, you will consult which domestic authority:

(A) Management Authority

(B) Scientific Authority
(C) Enforcement Authority

2. Upon consulting the Management Authority, you learn that American Ginseng is listed in
Appendix II, meaning:

(A) It is threatened with extinction

(B) It could become threatened with extinction unless trade is regulated
(C) A CITES Party has requested cooperation in regulating its trade

22
3. As an Appendix-II-listed species, trade in American Ginseng is not prohibited, but is regulated.
In order to export, under CITES you will need:

(A) An Export Permit

(B) An Import and Export Permit
(C) A Certificate of Origin

4. In order to determine whether it should grant you an Export Permit, the Management
Authority must consult with the following:

(A) The Scientific Authority

(B) The CITES Secretariat
(C) The CITES Plants Committee

5. Generally, an Export Permit will only be granted if the Scientific Authority is satisfied that such
trade will not be detrimental to the species’ survival, in a process known as a:

(A) Trade Approval Procedure (TAP)

(B) Non-Detriment Finding (NDF)
(C) Species Survival Assessment (SSA)

23
Lesson 4
Compliance and Enforcement

Learning Objectives
• Give examples of potential measures to address non-compliance.
• Explain the importance of CITES in tackling illicit trafficking in wildlife.

24
1. Compliance

Several of the specific obligations in the Convention are subject to regular monitoring and
compliance measures. These include the submission of annual reports, the adoption of adequate
legislative measures to implement the Convention, and the implementation of the NDF
requirement.

Measures to deal with other potential non-compliance matters can be drawn from Article XIII of
the Convention. Measures aim at monitoring and promoting compliance and at identifying and
addressing non-compliance matters.

CoP14 adopted a “Guide to CITES compliance procedures” to promote, facilitate, and achieve
compliance with the obligations under the Convention. The CoP provides general policy guidance
on compliance issues. The Standing Committee considers specific cases of potential non-
compliance and recommends appropriate measures, which may include an in-country technical
assessment, specific recommendations to address the matter, or restrictions on trade in
specimens of CITES-listed species.

The Animals and Plants Committees can recommend remedial measures for those species for
which trade is believed to be having a detrimental effect, in accordance with Resolution Conf. 11.1
(Rev. CoP17), and the Secretariat communicates compliance-related decisions to the relevant
authorities.

2. Enforcement

While legal, sustainable and traceable trade can have great benefits, illegal
trade in wildlife undermines conservation efforts and may have
devastating economic, social, and environmental impacts.

The serious nature of wildlife crime is well recognized and reflected in Resolutions, Decisions,
Recommendations, Declarations, and Statements adopted at the highest levels, in different fora.

The Sustainable Development Goals specifically address tackling illegal trade in wildlife through
Targets under Goal 15, and the first ever United Nations General Assembly (UNGA) Resolution on
Tackling Illicit Trafficking in Wildlife, adopted in 2015, calls for firm and strengthened national
measures, and an enhanced regional and global response (A/RES/69/314).

A subsequent UNGA Resolution adopted in 2017 on the same topic reinforces the focus on key
areas in the fight against illicit trafficking in wildlife, and places strong emphasis on the role of
CITES and the importance of implementing the decisions and resolutions adopted by its
governing bodies (A/RES/71/326).

25
A number of CITES-listed species are high value items targeted by organized crime groups. Illegal
trade in wildlife must be treated as a serious crime and be prioritized in law enforcement work
programmes alongside other serious crimes such as human, drugs, and arms trafficking.

No country, agency or organization can tackle illegal trade in wildlife alone. Effective
collaboration and collective efforts across range, transit, and destination States, and across
entire enforcement chains, are essential.

The CITES Secretariat is working on strengthening the enforcement of the Convention, inter alia,
through the International Consortium on Combating Wildlife Crime (ICCWC) together with the
International Criminal Police Organization (INTERPOL), the United Nations Office on Drugs and
Crimes (UNODC), the World Bank, and the World Customs Organization (WCO). ICCWC facilitates
the exchange of information between enforcement bodies and the training of police and customs
officers, and develops tool-kits and technical guides.

3. Key Takeaways

Compliance

• Measures to deal with potential non-compliance matters aim at monitoring and

promoting compliance.

• The CoP provides general policy guidance on compliance issues. The Standing
Committee considers specific cases of potential non-compliance and recommends
appropriate measures.

Enforcement

• A number of CITES-listed species are high value items targeted by organized crime
groups.

• CITES plays an important role in tackling illicit trafficking in wildlife. The CITES
Secretariat is working on strengthening enforcement through a number of
organizations focused on crime and customs enforcement.

26
4. Knowledge Refresher

This section is intended to consolidate the knowledge you have gained throughout the
lesson. The answer key can be found at the end of the workbook.

Question 1

Fill in the blank:

• The CoP provides general policy guidance on compliance issues. The ____________________.
considers specific cases of potential non-compliance and recommends appropriate
measures.

• The Animals and Plants Committees can recommend remedial measures where trade is
believed to be having a detrimental effect, while the ____________________ communicates
compliance-related decisions to the relevant authorities.

27
Lesson 5
Sustainable Development / Future

Learning Objectives
• Illustrate how CITES meets the spirit and objectives of the SDGs through its emphasis on
sustainable use.
• Identify the priorities of CITES moving forward.

28
1. Sustainable Development and the Future

CITES and the three dimensions of sustainable development

CITES aims to ensure that international trade in wild animals and plants is legal, sustainable, and
traceable, and does not threaten the survival of the species in the wild. It reflects all three
dimensions of sustainable development – social, economic, and ecological – and contributes to
the achievement of Sustainable Development Goals (SDGs) through People, Planet, Prosperity,
and Partnership.

Regulate trade to ensure sustainability

In particular, CITES meshes well with the spirit and objectives of the SDGs through its emphasis
on sustainable use, seeking to ensure that international trade in specimens of wild animals and
plants may contribute to the economic development of a country as long as it does not threaten
the survival of those species. As explained in the beginning of the course, CITES is neither for or
against trade; it seeks to regulate trade to ensure sustainability.

Principles in Sustainable Use

This emphasis overlaps with the work of other biodiversity instruments, such as the Convention
on Biological Diversity (CBD). At CoP13, CITES Parties recognized in Resolution Conf. 13.2 (Rev.
CoP14) a set of principles on sustainable use developed by CBD, which define sustainable use as
"the use of components of biological diversity in a way and at a rate that does not lead to the
long-term decline of biological diversity, thereby maintaining the potential to meet the needs and
aspirations of present and future generations.” CITES Parties are encouraged to make use of
these principles in making Non-Detriment Findings, and to share experience on sustainable use
at the national level, particularly between Management and Scientific Authorities.

29
Case Study
Sustainable Use: Vicuñas
The Vicuña (Vicugna Vicugna) is a wild South American camelid which lives in the high
alpine areas of the Andes. It is relative of the llama, and is now believed to be the wild
ancestor of domesticated Alpacas. Vicuñas are exploited for their wool, which is one of
the most expensive materials used to make clothing in the world.

From the period of Spanish Conquest to 1964, hunting of the Vicuña was unrestricted,
which reduced its number to only 6,000 in the 1960s. As a result, the species was
declared endangered in 1964 and its status prohibited the trade of Vicuña fibre. The
Vicuña was listed as an Appendix I species in 1975, one of the first species to be listed
in the CITES Appendices.

In 1987, parts of the Vicuña population of Chile and Peru were moved to Appendix II.
This was done alongside regional efforts to ensure sustainable use, including the
regional Convention for the Conservation and Management of the Vicuna, which came
into force in 1982. This Convention prohibited hunting and illegal trade, required
protected areas, and envisaged some sustainable use once populations had
recovered, only under strict state control.

The aim of shifting the listing to Appendix II for the populations in Chile and Peru was
to fight illegal trade and achieve sustainable use by opening the international legal
market, encouraging rural populations to capture and shear live Vicuñas while
restricting illegal poaching. Since then, Vicuña populations have recovered, with an
estimated population of 350,000, increasing.

Currently, as amended in 2013, Vicugna Vicugna is included in Appendix I, except for

the whole or parts of populations in Argentina, Chile, Peru, Bolivia, and Ecuador, which
are included in Appendix II.

The overall priorities of CITES moving forward are captured in its Strategic Vision. Adopted
at the 16th CoP in 2013, and revised at the 17th meeting in 2016, the strategy extends from
2008-2020; it is expected that the Strategic Vision will be renewed at CoP18. The core goals
of the Convention moving forward are:
• GOAL 1: Ensure compliance with, and implementation and enforcement of, the
Convention.

• GOAL 2: Secure the necessary financial resources and means for the operation and
implementation of the Convention.

• GOAL 3: Contribute to significantly reducing the rate of biodiversity loss and to achieving
relevant globally-agreed goals and targets by ensuring that CITES and other multilateral
instruments and processes are coherent and mutually supportive.
30
2. Key Takeaways

• CITES meshes well with the spirit and objectives of the SDGs through its emphasis
on sustainable use, seeking to ensure that international trade contributes to economic
development without threatening the survival of certain species.

• The priorities of CITES moving forward are captured in its Strategic Vision, including
ensuring compliance, securing necessary financial resources, and contributing
to reducing biodiversity loss.

3. Knowledge Refresher

This section is intended to consolidate the knowledge you have gained throughout the
lesson. The answer key can be found at the end of the workbook.

Question 1

• True or false? CITES has a role to play in the fight against illicit trafficking in wildlife.

• True or false? CITES Parties are encouraged to make use of the principle of “sustainable
use” in implementing the Convention.

Question 2

Select all that apply - The following are the strategic priorities of CITES moving forward, as
captured in its Strategic Vision 2008-2020:

a) Ensure compliance, implementation, and enforcement.

b) Secure necessary financial resources for the operation and implementation of the
Convention.
c) Reduce the volume of trade in species which may become endangered.
d) Contribute to significantly reducing the rate of biodiversity loss.

31
Answer Key

32
Lesson 1

Question 1

• Annually, international wildlife trade is estimated to be worth billions of dollars and to

include hundreds of millions of plant and animal species.

• The Convention was signed in Washington D.C., in 1973, and came into force in 1975.

• CITES pursues its purpose of regulation through the objectives of legality, sustainability,
and traceability.

Question 2

Provides technical support

and specialized knowledge
Conference of the Parties on animals and plants that
are (or might become)
subject to CITES trade
controls

Meets every three years.

Reviews and modifies the
Standing Committee appendices of protected
species; discusses any other
issues

Provides policy guidance to

the Secretariat; oversees the
Plants and Animals management of the
Committees Secretariat’s budget;
oversees, where required,
the work of the other
Committees

Plays coordinating, advisory,

and servicing role. Arranges
Secretariat meetings of the CoP and
permanent Committees

33
Lesson 2

Question 1

• True or false? When CITES protects a species, all subspecies which belong to that species
are also protected → True.

• True or false? The CITES Appendices may include a species, a subspecies, or a

geographically separate population of a species. → True (In addition to whole species,
the Convention can also protect a single subspecies or even a particular geographically
separate population of that species – for instance, the Ostrich in Northern and Western
Africa).

• True or false? The term “specimen” is used in the Convention only to refer to plants or
animals that are whole and alive → False (“specimen” refers to the whole animal or
plant, dead or alive, or any part (e.g. a feather) or derivative (e.g. ivory keys) thereof).

Question 2

What are the conditions to include a species in each of the three Appendices?

Species subject to regulation

Appendix I within the jurisdiction of a
Party

Species threatened with

Appendix II extinction

Species could become

Appendix III threatened with extinction
unless trade is regulated

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Lesson 3

1. You are aware that a permit may be required. In order to determine what your obligations
are, and, if necessary, to obtain a permit, you will consult which domestic authority:

a) Management Authority (correct answer)

b) Scientific Authority
c) Enforcement Authority

2. Upon consulting the Management Authority, you learn that American Ginseng is listed in
Appendix II, meaning:

a) It is threatened with extinction

b) It could become threatened with extinction unless trade is regulated (correct
answer)
c) A CITES Party has requested cooperation in regulating its trade

3. As an Appendix-II-listed species, trade in American Ginseng is not prohibited, but is regulated.

In order to export, under CITES you will need:

a) An Export Permit (correct answer)

b) An Import and Export Permit
c) A Certificate of Origin

4. In order to determine whether it should grant you an Export Permit, the Management
Authority must consult with the following:

a) The Scientific Authority (correct answer)

b) The CITES Secretariat
c) The CITES Plants Committee

5. Generally, an Export Permit will only be granted if the Scientific Authority is satisfied that such
trade will not be detrimental to the species’ survival, in a process known as a:

a) Trade Approval Procedure (TAP)

b) Non-Detriment Finding (NDF) (correct answer)
c) Species Survival Assessment (SSA)

35
Lesson 4

Question 1

• The CoP provides general policy guidance on compliance issues. The Standing
Committee considers specific cases of potential non-compliance and recommends
appropriate measures.

• The Animals and Plants Committees can recommend remedial measures where trade is
believed to be having a detrimental effect, while the Secretariat communicates
compliance-related decisions to the relevant authorities.

Lesson 5

Question 1

• True or false? CITES has a role to play in the fight against illicit trafficking in wildlife →
True (This role was affirmed by UNGA Resolutions in 2015 and 2017).

• True or false? CITES Parties are encouraged to make use of the principle of “sustainable
use” in implementing the Convention → True (At CoP13, CITES Parties recognized the
principles of sustainable use developed by CBD).

Question 2

a) Ensure compliance, implementation, and enforcement (correct)

b) Secure necessary financial resources for the operation and implementation of the
Convention (correct)
c) Reduce the volume of trade in species which may become endangered (incorrect)
d) Contribute to significantly reducing the rate of biodiversity loss (correct)

36