WORLD TRADE WT/CTE/W/63
17September 1997
ORGANIZATION(97-3714)
Original: English Committee onTrade andEnvironment
THE CONVENTION ONINTERNATIONAL TRADE INENDANGERED SPECIES
OFWILD FAUNA AND FLORA
Communication from theCITES Secretariat
1. TheConventiononInternationalTradeinEndangeredSpeciesofWildFaunaandFlora(CITES),
alsoknown asthe"Washington Convention", wasadopted in1973andcame intoforce on1July1975.
Itisanintergovernmental treaty with142State Parties thatprovides thenecessary framework for
regulating trade inthreatened species ofwildlife.
I. ENVIRONMENTAL OBJECTIVES OFTHE CONVENTION
2. Theoverriding goaloftheConvention istoensure thatinternational trade inspecimens of
wildlife doesnotaffect thesurvival ofspecies, andtodemonstrate thattheeffective andsound
management ofresources maybebeneficial totheconservation ofspecies andecosystems andtothe
development oflocalcommunities.
II. MECHANISMS FOR IMPLEMENTATION
3. EachParty designates oneormore Management Authority toberesponsible foradministering
theConvention andoneormore Scientific Authorities toadvise themontechnical issues. Parties must
alsoestablish legislation which prohibits international tradeinspecimens inviolation oftheConvention,
penalizes suchtrade; andallows forconfiscation ofspecimens illegally traded orpossessed. The
Convention classifies threatened species inthree categories:
Appendix ISpecies threatened withextinction thatareorcould beaffected bytrade;
Appendix IISpecies notnecessarily indanger ofextinction butwhich could become soiftrade in
them were notstrictly regulated, aswellasthose forwhich trade must bestrictly
regulated inorder torender effective themeasures taken onbehalf oftheformer; and
Appendix IISpecies thatareprotected bythestates thatlistthem andforwhich those states seek
cooperation oftheother Parties inensuring thatillegal exports donottakeplace.
Explicit guidelines, orbiological criteria, areusedtodetermine ifthespecies arethreatened with
extinction prior toconsidering anyproposal tolistataxon.
III. THE CONFERENCE OFTHE PARTIES
4. Toassess theimplementation oftheConvention andmake recommendations toimprove its
effectiveness, aswellasenter thelistofspecies intotheAppendices, theParties meetevery twoand
ahalfyears attheregular meetings oftheConference ofParties (COP). Leading uptotheCOP, Parties
submit proposals forinterpretative resolutions andamendments totheAppendices oftheConvention.
Species maybeadded totheappendices, transferred between appendices, orremoved from theWT/CTE/W/63
Page2
appendices. These proposals areusually debated inmeetings oftheCOP although possibility for
discussion through correspondence isalsopossible. AttheCOP, procedures forcontrol ofthetrade
inspecies offauna andfloralisted intheappendices areexamined andadapted where necessary. While
themajority ofdecisions aremade byconsensus, forthenumber ofcontentious issues which arevoted
on,atwothirds majority isrequired forproposals tobeaccepted.
IV. SYSTEM OFPERMITS
5. Anyinternational trade, meaning anyexport, re-export, import orintroduction from thesea
ofanimals orplants, oranypartorderivative ofaspecies included intheappendices oftheConvention,
requires theissuance ofapermit orcertificate, issued byaManagement Authority. Theperiod of
validity ofexport permits orcertificates maynotexceed 6months butimport permits maybevalid
foruptooneyear. Theprocedures forissuance anduseofthepermits/certificates varyaccording
totheAppendix, inwhich thespecies concerned islisted.
V. REGULATION OFTRADE
6. Thefollowing steps represent howtrade inspecies listed inCITES Appendices IandIIare
generally conducted. Some countries mayhavestricter procedures withregard toimplementation of
theConvention. Despite perceptions tothecontrary, thepermit procedures inCITES arenotcomplex.
They equate closely withthebillofladen requirements which international traders arefamiliar with.
(a) Theexporter applies tothenational Management Authority forapermit toexport
specific specimens. Theexporter indicates thespecies, thetypeandquantity of
specimens, thesource oforigin, thepurpose oftheexport andtheproposed destination.
(b) TheManagementAuthorityreviewstherequestandconsultswiththeScientificAuthority
todetermine iftheproposed trade isacceptable within theframework ofCITES and
isnotdetrimental tothesurvival ofthespecies. TheManagement Authority alsochecks
toseeifthespecimens were legally obtained anddetermines iftheproposed export
isinaccordance withnational legislation. Inthecaseofshipment ofliveanimals,
theManagement authority requires proof thatthespecimens willbetransported in
accordance withIATA regulations regarding thewelfare ofanimals orwithin theCITES
guidelines ontransport ofliveanimals.
(c) Ifallisinorder, theManagement Authority issues apermit totheexporter. Insome
cases, acopyofthepermit issenttotheCITES Secretariat. Incases involving trade
inAppendix Ispecies animport permit fromtheManagement Authority inthecountry
ofdestination isrequired before theexport permit maybeissued. Ifallisnotinorder,
thepermit mayberefused, theshipment maybeconfiscated ortheexporter maybe
penalised.
(d) Theexporter declares theshipment toCustoms withthepermit. Customs checks the
shipment against thepermit. Ifallisinorder, thespecimens areshipped along with
thepermit. ForAppendix Ispecies, theintended importer must apply forapermit
toimport thespecimens. Insome cases, issuance ofanimport permit isrequired before
thespecimens canbeshipped.
(e) Theshipmentisdeclaredtothecustomsauthorityofthecountryofdestination.Customs
checks thepermits against theshipment andconsults withtheManagement Authority.WT/CTE/W/63
Page3
InthecaseofAppendix Ispecimens, animport permit isalsorequired inorder toclear
Customs. Incasesinvolving alienspecies, theScientific Authority maycheck toensure
thattheshipment poses nothreat tothewelfare ofindigenous species.
(f) Ifallisinorder, theshipment isready fordelivery totheimporter. Ifthepermits
arefound tobefaulty, oriftheshipment isinviolation ofCITES, thespecimens may
beconfiscated (orreturned tothecountry oforigin) andpenalties imposed.
7. TheConvention guards against theriskofinjury, damage tohealth orcruel treatment oflive
animals transported across national boundaries. Inallcases, toauthorize trade, theManagement
Authority should besatisfied thatlivespecimens willbetransported andhandled inaccordance with
IATA regulations onthetransport ofliveanimals orinaccordance withCITES guidelines.
VI. TECHNICAL SUPPORT
8. TheStandingCommitteeprovidespolicyanddirectionfortheconventionandtechnicalguidance
required toimplement theConvention isprovided totheParties byfourpermanent committees: the
Plants Committee; theAnimals Committee; theNomenclature Committee; andtheIdentification
Manual Committee.
VII. EXEMPTIONS AND SPECIAL PROVISIONS
9. Exemptionsandspecialprovisionsareprovidedfor"pre-Convention"specimens,thoseintransit
ortrans-shipment, those bredincaptivity orartificially propagated, those intended fornon-commercial
exchanges between scientists andscientific institutions, those included intravelling exhibitions, and
alsopersonal objects andhousehold effects. Exceptions fromthegeneral provisions oftheConvention
aremade under special circumstances andunder strictly limited conditions, aslaiddown inArticle VII.
VIII. DOMESTIC MEASURES MAY BEMORE STRICT
10. TheConvention provides minimum controls forconservation purposes, fortrade incertain
species ofwildlife buttheParties arefreetoreinforce theprotection provided. Stronger measures
mayeveninclude theforbidding ofalltrade inspecies ofwildlife.
IX. NON-DETRIMENT FINDINGS
11. TheConference oftheParties toCITES recognizes thatcommercial trade maybebeneficial
totheconservation ofspecies andecosystems when carried outatlevels thatarenotdetrimental to
thesurvival ofthespecies inquestion. Thenon-detriment finding isatthecoreofCITES anditis
arequirement enunciated inArticle IIIandIVoftheConvention. Inclassifying species anddetermining
ifthepopulations arerobust enough tobetraded internationally, theScientific Authority determines
through scientific procedure ifinternational trade willjeopardize thesurvival ofthespecies.
12. Thesturgeon isonesuchcasewhere international trade wasdetermined tobeasignificant
factor inthedrastic decline ofthepopulation. Thecombined impact ofoverfishing andpollution on
sturgeon, valued mainly forcaviar, ledtotheproposal atCOP10 tolistall23species ofthefishin
Appendix IIexcept forthose which were already listed inAppendix I.Inmany cases where caviar
wastraditionally harvested inasustainable manner, sturgeons werebeing killed inlarge numbers toWT/CTE/W/63
Page4
extract caviar andsupply meatandfins. Theproposal thatwasaccepted bythe10thmeeting ofthe
Conference oftheParties isintended toassist range states inregulating thetradeincaviar andtolimit
ittoasustainable level. Regulation ofinternational trade insturgeon willenter intoforce on
1April 1998andtheParties arecalled ontoconduct scientific research onthesustainability ofsturgeon
fisheries, curtail illegal fishing, promote regional agreements between States andestablish mechanisms
toenforce theAppendix IIlisting. International organizations, United Nations Specialized Agencies,
intergovernmentalandnon-governmentalorganizationsandindustryhavebeenaskedtoprovidefinancial
assistance forprojects onsturgeon species.
13. Amendments thatresult inaloosening ofCITES controls arepossible when itcanbe
demonstrated thattrademaybecarried outinasustainable manner. Thevicuña, asmall South American
relative ofthecamel which isvalued foritswool wasconsidered tobeendangered attheadvent of
theConvention withmore thanhalfamillion oftheanimals being killed since World WarTwo. At
the8th,9thand10thmeetings oftheConference oftheParties, amendments weremade toallow nations
withpopulationsofvicuñawhichachievedconservationsuccesstobetransferredtoAppendixII.Limited
international trade inwool shorn fromthese vicuña ispermitted andclosely regulated under CITES.
InthecaseoftheNilecrocodile, success inranching thisspecies ledtothetransfer ofseveral national
populations toAppendix IIandthere isimportant commercial trade incrocodile leather andother
products, thatbenefits thecountries concerned.
14. Thesuccess ofCITES mayalsobemeasured bythenumber ofAppendix IIlisted species which
havenever beenmoved toAppendix I.Numerous species including several catsandfoxes havebeen
maintained onAppendix IIwithcontinued commercial tradepermitted atalevelwhich isnotdetrimental
tothespecies.
X. ENFORCEMENT
15. Enforcement oftheConvention istheresponsibility oftheParties andtheir respective
Management Authorities, Customs andpolice services. Enforcement isalsoanimportant focalactivity
oftheCITESSecretariat,whichregularlypublishesreportsoninfractionsorthetypesoffraud/smuggling
employed. Where serious infractions exist, theStanding Committee maytakeappropriate measures
toremind States oftheirobligations.
16. Theextent ofillegal trade inCITES-listed species isbynature difficult toevaluate. Oneof
theSecretariat 'spriority activities istocombat illegal trade, incooperation withthenational authorities
designated bytheParties totheConvention, Interpol andtheWorld Customs Organisation.
XI. CAPACITY BUILDING
17. Programmes areinplace toraise thecapacity oftheParties toimplement theConvention.
Detailed reviews have been carried outtodetermine thestatus ofnational legislation forCITES
implementation andtheCITES Secretariat putsagreat emphasis ontraining thestaffofManagement
Authorities andScientific Authorities worldwide. Bilateral training between Parties ispromoted and
capacity building efforts include thedevelopment ofprojects withtheParties andliaison withdonor
agencies.