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CITES Secretariat
CITES Resolutions
and Decisions
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CITES Resolutions and Decisions
• The text of the Convention provides a basic framework
for the implementation of CITES
• Certain provisions are very broad in nature and need to
be complemented by an agreement on how they should
be implemented in a harmonized way, for example by
the establishment of additional rules or procedures
• Other provisions leave room for interpretation as to
exactly what is intended
• As a result, guidance is regularly required to solve
problems and to improve the effectiveness of the
Convention
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CITES Resolutions and Decisions
• One of the tasks of the Conference of the Parties is
to make recommendations to provide such guidance
(Article XI, paragraph 3)
• These recommendations are recorded in one of two
ways, either in Resolutions or in Decisions
• Of these two types of recommendation, Resolutions
are intended to be of a more permanent nature,
guiding implementation of the Convention over
periods of many years
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CITES Resolutions and Decisions
• The Resolutions include the guidance provided by
the Conference of the Parties on how to interpret the
provisions of the Convention but they also include:
the documents establishing the permanent
committees; the budgets of the Secretariat; rules for
controlling the trade; and the texts establishing longterm processes, such as the Review of Significant
Trade
• More than 260 Resolutions have been adopted since
the first meeting of the Conference of the Parties in
1976 but only 90 are currently in effect
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CITES Resolutions and Decisions
• The Decisions typically contain instructions to a
specific committee or to the Secretariat
• This means that they are to be implemented, often by
a specified time, and then become out of date
• A document containing all valid Decisions is compiled
by the Secretariat after each meeting of the
Conference of the Parties
• The Decisions that have been implemented or that
have become redundant are deleted by the
Secretariat
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CITES Resolutions and Decisions
In force after CoP16:
• 90 Resolutions
• 196 Decisions
Who knows them all?
Which ones are really relevant for
your day-to-day work?
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CITES Resolutions and Decisions
• All CITES Resolutions and Decisions can be grouped
according to whether they:
– Establish the CITES structure
– Are relevant for the day to day work
– Are relevant for the preparation for CoPs
– Are related to the Secretariat’s work; or
– Are of a general nature
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Numbering of Resolutions and Decisions
• The numbers of the Resolutions and Decisions reflect
the Conference of the Parties at which they were
adopted, followed by a sequential number
– Decision 16.47 was the 47th Decision adopted at
the 16th meeting of the Conference of the Parties
– Resolution Conf. 12.3 (Rev. CoP16) was the third
Resolution adopted at the twelfth meeting of the
Conference of the Parties, and most recently
revised at the 16th meeting of the Conference of
the Parties
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Amendments to Resolutions
• In the past, the amendment of a Resolution was
indicated by adding (Rev.) to It, or if the change was
substantial, it was immediately given a new number,
or after a second amendment it was given a new
number
• After CoP12 it was decided to no longer change the
number, but to add the reference to the last CoP
where a change was made
• The current number therefore does not reflect the
history of a Resolution
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Amendments to Resolutions
• For instance, the Resolution on Quotas for leopard
hunting trophies and skins for personal use was
numbered Conf. 4.13 (1983), Conf. 5.13 (1985),
Conf. 6.9 (1987), Conf. 7.7 (1989), Conf. 8.10 (1991),
Conf. 8.10 (Rev.) (1994), Conf. 10.14 (1997), Conf.
10.14 (Rev. CoP12) (2002), Conf. 10.14 (Rev.
CoP13) (2004), Conf. 10.14 (Rev. CoP14) (2007),
Conf 10.14 (Rev. CoP16) (2013)
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Establishing the CITES structure
• When a country joins the Convention it has to take a
number of actions in order to be able to implement
the Convention:
– Name one or more Management Authorities
Article IX, paragraph 1 (a)
– Name one or more Scientific Authorities
Article IX, paragraph 1 (b)
Resolution Conf. 10.3: Designation and
role of the Scientific Authorities
– Implement legislation
Article VIII, paragraph 1
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Establishing the CITES structure
• The legislation must at least contain measures:
– to penalize illegal trade (or possession)
Article VIII, paragraph 1 (a)
– to confiscate illegal specimens
Article VIII, paragraph 1 (b)
• How to deal with confiscated specimens is explained in:
– Article VIII, paragraph 4
– Resolution Conf. 9.9: Confiscation of specimens exported or reexported in violation of the Convention
– Resolution Conf: 9.10 (Rev. CoP15): Disposal of illegally traded,
confiscated and accumulated specimens
– Resolution Conf. 10.7 (Rev. CoP15): Disposal of confiscated live
specimens
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Establishing the CITES structure
Legislation
• Many Parties do not have adequate
legislation and therefore the Parties have
initiated a review process
– Resolution Conf. 8.4 (Rev. CoP15): National laws
for implementing the Convention
• When, in response to this review, Parties do
not remedy their legislation deficiencies in a
timely manner the CoP has decided on a
number of possible repercussions
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Day to day work
• For the day to day work the following aspects are or
may be important
–
–
–
–
–
–
–
–
–
–
Issuance of permits
Special provisions
Definitions
Registration of breeding
operations or nurseries
Marking
Quotas
Provisions for particular species
Stricter domestic measures
Annual reports
Compliance and enforcement
–
–
–
–
–
–
Hybrids
Reservations
Review of Significant Trade
Standard nomenclature
Trade with non-Parties
Transport of live animals
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Day to day work
Issuance of permits
• Relevant instructions can be found in:
– Article III: Procedures for trade in Appendix-I species
– Article IV: Procedures for trade in Appendix-II species
– Article V: Procedures for trade in Appendix-III species
– Resolution Conf. 12.3 (Rev. CoP16): Permits and certificates
(also contains sample formats for permits and certificates)
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Day to day work
Special provisions
• Several resolutions deal with the interpretation of the
various paragraphs of Article VII of the Convention
– Paragraph 1 - Transit
• Resolution Conf. 9.7 (Rev. CoP15): Transit and
transshipment
– Paragraph 2 - Pre-Convention
• Resolution Conf. 13.6 (Rev. CoP16): Definition of the term
‘pre-Convention specimen’
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Day to day work
Special provisions
– Paragraph 3 - Personal effects
• Resolution Conf. 2.11 (Rev.): Hunting trophies of species
listed in Appendix-I (See also the species Resolutions on
Markhor, Leopard, Black rhinoceros)
• Resolution Conf. 10.20: Frequent cross-border movement
of personally owned live animals
• Resolution 13.7 (Rev. CoP16): Control of trade in
personal and household effects
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Day to day work
Special provisions
– Paragraphs 4 & 5 - Captive-bred animals and
Artificially propagated plants
• Resolution Conf. 10.16 (Rev.): Specimens of animal
species bred in captivity
• Resolution Conf. 11.11 (Rev. CoP15): Regulation of trace
in plants; section on ‘ regarding the definition of artificially
propagated’
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Day to day work
Special provisions
– Paragraph 6 - Scientific exchange
• Resolution Conf. 11.15 (Rev. CoP12): Non-commercial
loan, donation or exchange of museum and herbarium
specimens
– Paragraph 7 - Traveling exhibitions
• Resolution Conf. 12.3 (Rev. CoP16): Permits and
certificates; section VI
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Day to day work
Definitions
• Article I of the Convention provides the definition of the terms
‘species’, ‘specimen’ and ‘trade’
• Definitions of other terms used in the text of the Convention are
provided in Resolutions
– Appropriate and acceptable destinations: Resolution Conf. 11.20
– Artificially propagated: Resolution Conf 11.11 (Rev. CoP15)
– Bred in captivity: Resolution Conf. 10.16 (Rev.)
– Personal effects: Resolution Conf. 13.7 (Rev. CoP16)
– Pre-Convention: Resolution Conf. 13.6 (Rev. CoP16)
– Primarily commercial purposes: Resolution Conf. 5.10 (Rev. CoP15)
– Readily recognizable: Resolution Conf. 9.6 (Rev. CoP16)
– Introduction from the Sea (jurisdiction): Resolution Conf. 14.6 (Rev. CoP16)
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Day to day work
Registration of breeding operations or nurseries
• Two Resolutions deal with the registration of breeding
operations or nurseries that produce specimens of Appendix-I
species:
Animals
Resolution Conf. 12.10 (Rev. CoP15): Guidelines for a procedure to
register and monitor operations that breed Appendix-I animal species
for commercial purposes
Plants
Resolution Conf. 9.19 (Rev. CoP15): Guidelines for the Registration of
nurseries exporting artificially propagated specimens of Appendix-I
species
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Day to day work
Marking
• Several Resolutions deal with marking requirements
for various types of species or specimens
Resolution Conf. 8.13 (Rev.): Use of coded-microchip implants for marking live
animals in trade
Resolution Conf. 7.12 (Rev CoP15): Marking requirements for trade in
specimens of taxa with populations in both Appendix I and Appendix II
Resolution Conf. 12.7 (Rev. CoP16): Conservation of and trade in sturgeon and
paddlefish, Annex 1
Resolution Conf. 11.12 (Rev. CoP15): Universal tagging system for the
identification of crocodilian skins
Resolution Conf. 11.16: (Rev. CoP15) Ranching and trade in ranched specimens
of species transferred from Appendix I to Appendix II
Resolution Conf. 10.14 (Rev. CoP16), paragraph c): Quotas for leopard hunting
trophies and skins for personal use
Resolution Conf. 13.5 (Rev. CoP14): Establishment of export quotas for black
rhinoceros hunting trophies
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Day to day work
Quotas
• Quotas can be voluntarily established by individual Parties, on a
national basis
– Resolution Conf. 14.7 (Rev. CoP15) Management of nationally
established export quotas
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Day to day work
Quotas
• Quotas can also be established by the Conference of the
Parties
• These are either included in the ‘Interpretation to the
Appendices’, or in Resolutions:
Resolution Conf. 13.5 (Rev. CoP14): Establishment of export quotas for
black rhinoceros hunting trophies
Resolution Conf. 10.14 (Rev. CoP16), paragraph c): Quotas for leopard
hunting trophies and skins for personal use
Resolution Conf. 10.15 (Rev. CoP14): Establishment of quotas for
markhor hunting trophies
Or are of a general nature:
Resolution Conf. 9.21 (Rev. CoP13): The interpretation and application
of quotas for species included in Appendix I
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Day to day work
Provisions for particular species
• A number of Resolutions deal with the conservation of
and trade in particular species:
Bears: Resolution Conf. 10.8 (Rev. CoP14)
Cetaceans: Resolution Conf. 11.4 (Rev. CoP12)
Elephants: Resolution Conf. 10.10 (Rev. CoP16)
Freshwater turtles: Resolution Conf. 11.9 (Rev. CoP13);
Great apes: Resolution Conf. 13.4 (Rev. CoP16)
Hard corals: Resolution Conf. 11.10 (Rev. CoP15)
Leopards: Resolution Conf. 10.14 (Rev. CoP16)
Markhor: Resolution Conf. 10.15 (Rev. CoP14)
Musk dear: Resolution Conf. 11.7 (Rev. CoP16)
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Day to day work
Provisions for particular species
• A number of Resolutions deal with the conservation of
and trade in particular species:
Rhinoceros: Resolution Conf. 9.14 (Rev.. CoP15)
Sharks and stingrays: Resolution Conf. 12.6 (Rev.
CoP16)
Sturgeons and paddlefish: Resolution Conf. 12.7 (Rev.
CoP16)
Tibetan antelope: Resolution Conf. 11.8 (Rev. CoP13)
Tigers and Asian big cats: Resolution Conf. 12.5 (Rev.
CoP16)
Timber species: Resolution Conf. 10.13 (Rev. CoP15),
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Day to day work
Stricter domestic measures
• Under the provisions of Article IV, paragraph 1, of the
Convention, Parties have the possibility to take stricter domestic
measures (measures that go further than the requirements of
the Convention)
• Several Resolutions deal with this subject:
Resolution Conf. 4.22: Proof of foreign law
Resolution Conf. 6.7: Interpretation of Article XIV, paragraph 1, of the
Convention
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Day to day work
Annual reports
•
Article VIII, paragraph 7 (a) of the Convention stipulates that each Party
should provide an annual report, containing information on all trade in
CITES specimens
•
Resolution Conf. 11.17 (Rev.CoP16) provides guidance on the
production of Annual reports, including a deadline for submission (31
October in the year following the year for which the report was due)
– The resolution also recommends that Parties not authorize trade with
Parties that have not produced annual reports for three consecutive years
•
Notification to the Parties 2011/019 contains detailed guidelines on the
preparation and submission of annual reports, including recommended
terminology
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Day to day work
Biennial reports
•
Article VIII, paragraph 7 (b) stipulates that each Party should provide
biennial reports on how it is enforcing the Convention
•
Notification to the Parties 2005/035 provides guidance on the Biennial
report format
Compliance and enforcement
•
Resolution Conf. 11.3 (Rev. CoP16): (Compliance and enforcement)
deals with several particular aspects of the implementation of the
Convention which Parties should take at heart when issuing permits
and carrying out controls
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Day to day work
Review of Significant Trade
•
Resolution Conf. 12. 8 (Rev. CoP13): Review of Significant trade in
specimens of Appendix-II species, deals with situations where it is
believed that the provisions of Article IV, paragraph 2(a), have not been
adequately implemented
•
The Resolution contains a detailed set of procedures to remedy this
•
Parties receiving recommendations resulting from this review process
should pay careful attention to these, as non-compliance may result in
a recommendation to suspend trade for the country/species under
review
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Day to day work
Hybrids
•
The text of the Convention does not refer to hybrids
•
However, two Resolutions stipulate that hybrids are subject to the
provisions of the Convention
•
Note that the treatment of animal hybrids [Resolution Conf. 10.17 (Rev.
CoP14), Animal hybrids] is different from the treatment of plant hybrids
[Resolution Conf. 11.11 (Rev. CoP15), Regulation of trade in plants]
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Day to day work
Reservations
•
Various Parties have entered reservations for particular species under
the provisions of Article XXIII, Article 15, paragraph 3, or Article XVI,
paragraph 2
•
The Secretariat regularly publishes an unnumbered Notification
containing all reservations made by any Party
•
See also Resolution Conf. 4.25 (Rev. CoP14)
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Day to day work
Standard nomenclature
•
To ensure that all Parties use the same names for the CITES species,
the Parties have adopted various standard references to animal and
plant names
•
At CoP 12 the Parties also decided to adopt the Checklist of CITES
Species as the standard reference (See Resolution Conf. 12.11 (Rev.
CoP16): Standard nomenclature)
•
However, Appendix-II orchid species are not included in this Checklist
•
For these the CITES Orchid checklists (Volumes 1, 2 & 3) should be
consulted separately
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Day to day work
Transport of live animals
•
Articles II, III and IV contain specific references for transport conditions
•
These are further clarified in Resolution Conf. 10.21 (Rev. CoP16),
Transport of live animals
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Day to day work
Trade with non-Parties
•
Article X contains specific references to trade with States not a Party to
the Convention
•
See also Resolution Conf. 9.5 (Rev. CoP16): Trade with Parties not
party to the Convention
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Resolutions relevant for CoPs only
• The Resolutions mentioned below and on the next slide largely
deal with issues that are of relevance to meetings of the CoP
Participation of Observers
Resolution Conf. 13.8 (Rev. CoP16): Participation of observers at
meetings of the Conference of the Parties
Preparation and submission of documents
Resolution Conf. 4.6 (Rev. CoP16): Submission of draft resolutions and
other documents for meetings of the CoP
Resolution Conf. 8.21 (Rev. CoP16): Consultation of range States on
proposals to amend Appendices I and II
Resolution Conf. 10.13 (Rev. CoP15): Implementation of the
Convention for timber species (concerning consultation of organizations)
Resolution Conf. 9.21 (Rev. CoP13): The interpretation and application
of quotas for species included in Appendix I
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Resolutions relevant for CoPs only
Preparation and evaluation of amendment proposals
Resolution Conf. 9.24 (Rev. CoP16): Criteria for amendment of
Appendices I and II
Resolution Conf. 11.21 (Rev. CoP16): Use of annotations in Appendices I
and II
Resolution Conf. 11.16 (Rev. CoP15): Ranching and trade in ranched
specimens of species transferred from Appendix I to Appendix II
Resolution Conf. 9.20 (Rev.): Guidelines for evaluating marine turtle
ranching proposals submitted pursuant to Conf. 11.16
Resolution Conf. 10.9: Consideration of proposals for the transfer of
African Elephant proposals from Appendix I to Appendix II
Appendix III
Resolution Conf. 9.25 (Rev. CoP16): Inclusions of species in Appendix III
(Also applicable in between CoPs)
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Resolutions related to the Secretariat’s work
Resolution Conf. 5.20 (Rev. CoP16): Guidelines for the Secretariat
when making recommendations in accordance with Article XV of the
Convention
Resolution Conf. 16.2: Financing and the costed programme of work for
the Secretariat for the triennium 2014-2016
Resolution Conf. 11.19 (Rev. CoP16): Identification Manual
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Resolutions of a general nature
•
These Resolutions deal with some aspects of the Convention that do
not give specific instructions, but merely provide explanations or are
directed to the Parties in general:
Resolution Conf. 3.4: Technical cooperation
Resolution Conf. 4.27: Interpretation of Article XVII, paragraph 3, of the
Convention
Resolution Conf. 8.3 (Rev. CoP13): Recognition of the benefits of trade in
wildlife
Resolution Conf. 10.4 (Rev. CoP14): Cooperation and synergy with the
Convention on Biological Diversity
Resolution Conf. 10.19 (Rev. CoP14): Traditional medicines
Resolution Conf. 11.1 (Rev. CoP16): Establishment of Committees
Resolution Conf. 12.4: Cooperation between CITES and the Commission for the
Conservation of Antarctic Marine Living Resources regarding trade in toothfish
Resolution Conf. 13.2 (Rev. CoP14) Sustainable use of biodiversity: Addis
Ababa Principles and Guidelines
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Resolutions of a general nature
•
These Resolutions deal with some aspects of the Convention that do
not give specific instructions, but merely provide explanations or are
directed to the Parties in general:
Resolution Conf. 13.3 Cooperation and synergy with the Convention on the
Conservation of Migratory Species of Wild Animals (CMS)
Resolution Conf. 13.8 (Rev. CoP16): Participation of observers at meetings of
the Conference of the Parties
Resolution Conf. 13.9 Encouraging cooperation between Parties with ex situ
breeding operations and those with in situ conservation programmes
Resolution Conf. 13.10 (Rev. CoP14) Trade in alien invasive species
Resolution Conf. 13.11 Bushmeat
Resolution Conf. 16.3 CITES Strategic Vision: 2008-2013
Resolution Conf. 14.4 Cooperation between CITES and ITTO regarding trade in
tropical timber
Resolution Conf. 15.2 Wildlife trade policy reviews
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Summary
Resolutions
• Establishing the CITES structure
5 Resolutions
• Relevant for the day to day work
58 Resolutions
• Relevant for the meetings of the CoP 11 Resolutions
• Related to the Secretariat
3 Resolutions
• Resolutions of a general nature
16 Resolutions
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Summary
• While there are 25 Articles, 90 Resolutions and 196
Decisions, not all of them are immediately relevant to
everyone’s day to day work and responsibilities
• By focusing on those Articles, Resolutions and
Decisions that are most relevant to your work, you
might find that the number is not so large
• If you concentrate on knowing those well, you will be
well prepared for implementing the Convention
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CITES Secretariat
Geneva