ORIGINS AND BACKGROUND

The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), also known as the "Washington Convention", was signed in 1973 and came into force on 1 July 1975. It is an international treaty with 148 State Parties, which provides the necessary framework for regulating trade in species of wildlife.

The overriding goal of the Convention is to ensure that international trade in specimens of wild fauna and flora does not threaten the survival of the species traded. CITES is conceptionally limited to prevent the overexploitation of international traded wildlife.

MECHANISMS FOR IMPLEMENTATION

Each Party designates one or more Management Authorities to be responsible for administering the Convention and one or more Scientific Authorities to advise them on technical issues. Parties must also adopt domestic legislation which prohibits international trade in specimens in violation of the Convention, penalizes such trade, and allows for confiscation of specimens illegally traded or possessed. The Convention classifies species in three categories:

Appendix I Species threatened with extinction that are or could be affected by trade

Appendix II Species not necessarily in danger of extinction but which could become so if trade in them were not strictly regulated, as well as those for which trade must be strictly regulated in order to render effective the measures taken on behalf of the former, and,

Appendix III Species that are protected by the States that list them and for which those States seek co-operation of the other Parties that control trade.

CITES is a taxon-based Convention, meaning that all wild species can be considered for inclusion in its appendices. If the criteria for inclusion in the appendices are met, and the proposal is accepted by two-thirds of voting Parties, the species shall be listed.

THE CONFERENCE OF THE PARTIES

To assess the implementation of the Convention and make recommendations to improve its effectiveness, as well as amend the appendices, the Parties meet every two and a half years at the regular meetings of the Conference of Parties (COP). Leading up to the COP, Parties submit proposals for interpretative resolutions and amendments to the appendices of the Convention. Species may be added to the appendices, transferred between appendices, or removed from the appendices. At the COP, procedures for control of the trade in species of fauna and flora listed in the appendices are examined and adapted where necessary. For the number of contentious issues that are voted on, a two-thirds majority is required for proposals to be accepted.

The Eleventh meeting of the Conference of the Parties will be held at the United Nations Environment Programme (UNEP) Headquarters located in Gigiri-Nairobi, Kenya from 10-20 April 2000.

THE STRUCTURE OF CITES

Policy & Direction
Parties elected from the six CITES regions, the past Party and the next Party to host the COP and the Depository Government make up the Standing Committee, which provides general policy and direction for the CITES Secretariat. The Standing Committee meets annually.

Implementation
The Convention is implemented by Parties through their Management and Scientific Authorities. By November 1999, there were 146 Parties to CITES

Decision making
Every two and a half years, the Parties meet at the Conference of the Parties (COP) to make decisions about the implementation of the Convention and which species should be protected. The most recent meeting, COP10, was held in Zimbabwe in June 1997.

Technical Guidance
Technical guidance required to implement the Convention is provided to the Parties by the four permanent committees: the Plants Committee; the Animals Committee; the Nomenclature Committee; and the Identification Manual Committee. The first two of these committees meet annually and have representatives from all six CITES regions.

Special tasks
Temporary working groups may be formed by the Standing Committee or the COP to address specific issues and needs. A good example is the Timber Working Group which examines how international trade may best be regulated to reduce the threat to significantly traded timber species.

Administration
Administrative support for the Convention is provided by the United Nations Environment Programme.

Support to Parties
The Parties are served by the Secretariat, which helps them to implement the Convention through capacity building, dissemination of information, monitoring, enforcement assistance, provision of scientific expertise and special projects. The Secretariat is based in Geneva Switzerland.

Collaboration
TRAFFIC, The Trade Records Analysis of Flora and Fauna In Commerce the World Conservation Monitoring Centre (WCMC), and the World Conservation Union (IUCN) are a few of the organizations which provide technical and scientific support to the Secretariat, the Parties and the various CITES Committees to ensure that the Convention is implemented successfully.

Regulation of International Trade

The following steps represent how trade in species listed in CITES Appendices I and II is generally conducted. Some countries may have stricter procedures with regard to implementation of the Convention. Despite perceptions to the contrary, the permit procedures in CITES are not complex. They equate closely with the bill of lading requirements which international traders are familiar with.

1. The exporter applies to the Management Authority for a permit to export one or more specimens. The exporter indicates the species, the type and quantity of specimens, the purpose of the export and the final destination.

2. The Management Authority reviews the request and consults with the Scientific Authority to determine whether the proposed trade is acceptable within the framework of CITES and to ensure that it is not detrimental to the survival of the species. The Management Authority

also checks to see whether the specimens were legally obtained. In the case of shipment of live animals, the Management authority requires proof that the specimens will be transported in accordance with IATA regulations regarding the safe transport of animals or within the CITES guidelines on transport of live animals.

3. If all is in order, the Management Authority issues a permit to the exporter. In some cases, a copy of the permit is sent to the CITES Secretariat. In cases involving trade in Appendix-I species an import permit from the Management Authority in the destination country is required before the export permit may be issued.

4. The exporter declares the shipment to Customs with the permit. Customs checks the shipment against the permit. If all is in order, the specimens are shipped along with the permit.
5. The shipment is declared to the customs authority of the destination country. Customs checks the permits against the shipment and consults with the Management Authority.

6. If the permits are found to be faulty, or if the shipment is in violation of CITES, the specimens must be confiscated (or returned to the country of origin) and penalties imposed.

System of Permits

Any international trade, meaning any export, re-export, import or introduction from the sea of animals or plants, or any part or derivative of a species included in the appendices of the Convention, requires the issuance of a permit or certificate, issued by a Management Authority. The period of validity of export permits or certificates may not exceed six months but import permits may be valid for up to one year. The procedures for issuance and use of the permits/certificates vary according to the appendix in which the species concerned is listed.

Transport

The Convention guards against the risk of injury, damage to health or cruel treatment of live animals transported across national boundaries. In all cases, to authorize trade, the Management Authority should be satisfied that live specimens will be transported and handled in accordance with IATA regulations on the transport of live animals.

Technical support

The Standing Committee provides policy and direction for the Secretariat and technical and scientific guidance required to implement the Convention is provided to the Parties by four permanent committees: the Plants Committee, the Animals Committee, the Nomenclature Committee and the Identification Manual Committee.

Exemptions and special provisions

Exceptions from the general provisions of the Convention are made under special circumstances and under strictly limited conditions, as laid down in Article VII.. Exemptions and special provisions are provided for "pre-Convention" specimens, those in transit or trans-shipment, those bred in captivity or artificially propagated, those intended for non-commercial exchange between scientists and scientific institutions, those included in travelling exhibitions, and also personal objects and household effects.

NON-DETRIMENT FINDINGS

CITES states that commercial trade of specimens of Appendices I and II species will not be detrimental to the survival of the species. The non-detriment finding is at the core of CITES and it is essential for achieving the aims of the Convention. In classifying species and determining whether populations are robust enough to be traded, the Scientific Authority determines through scientific procedure if international trade will endanger the survival of the species.

The success of CITES may be measured by the number of Appendix-II species that have never been moved to Appendix I. Numerous species regulated under a quota system, including several species of parrots and orchids have been maintained in Appendix II with continued commercial trade permitted at a level that is not detrimental to the species.

ENFORCEMENT

Enforcement of the Convention is the responsibility of the Parties and their respective Management Authorities, Customs and Police services. Enforcement is also an important focal activity of the CITES Secretariat, which regularly prepares a report on infractions or the types of fraud/smuggling employed. Where serious infractions exist, the Standing Committee may take appropriate measures to remind States of their obligations.

The extent of illegal trade in CITES-listed species is by nature difficult to evaluate. One of the Secretariat's priority activities is to assist national authorities designated by Parties in combating illegal trade, in co-operation with the national authorities designated by the Parties to the Convention, Interpol and the World Customs Organization.

NATIONAL LEGISLATION PROJECT

Monitoring the obligation of contracting Parties to give effect in national law to international rules probably provides more opportunities for contention than any other single aspect of international treaty negotiation. In the case of CITES, the Convention contains a number of explicit and precise obligations whose implementation can be readily evaluated. In this sense, CITES has adopted an ambitious approach: the National Legislation Project - NLP-. The NLP was created for reviewing and evaluating the legislation adopted at the national level to implement the Convention.

PRECAUTIONARY PRINCIPLE

The implementation of CITES is a constant attempt to find the proper balance between the precautionary principle and the sustainable use principle. Both principles are of equal importance and equally difficult to apply because of the lack of scientific and technical knowledge in many areas of wildlife conservation and management.

The precautionary principle can be found in CITES Resolutions such as Resolution Conf. 9.24 on the criteria for the inclusion of species in Appendices I and II of the Convention. Nevertheless, the Convention's history has seen different levels of priority and clear preferences for one or the other of the two principles and not always in a consistent way.

CAPACITY BUILDING

Programmes are in place to raise the capacity of the Parties to implement the Convention. Detailed reviews have been carried out to determine the status of national legislation for CITES implementation and the CITES Secretariat puts a great emphasis on training the staff of Management Authorities and Scientific Authorities world-wide. Bilateral training between Parties is promoted and capacity-building efforts include the development of projects with the Parties and liaison with donor agencies.

NGO PARTICIPATION

According to Article XI, paragraph 7, of the Convention, any body or agency technically qualified in the protection, conservation or management of wild fauna and flora, in the following categories, which has informed the Secretariat of its desire to be represented at a meeting of the Conference of the Parties by observers, shall be admitted unless at least one third of the Parties present object:

v international agencies or bodies, either governmental or non governmental, and national governmental agencies and bodies; and

v national non governmental agencies or bodies that have been approved for this purpose by the State in which they are located.

Contact
Mario Hernandez, External Relations Officer, CITES Secretariat, International Environment House, 15, chemin des Anémones, CH-1219 Châtelaine, Geneva, Switzerland. Tel: (+4122) 917 8139/45 o Fax: (+4122) 797 3417 o Email: mario.hernandez@unep.ch o Web: http://www.cites.org