Applicability of traceability systems for CITES-listed medicinal plants (Appendices II and III)–Greater Mekong: Preliminary assessment

Applicability traceability systems CITES-listed medicinal plants (Appendices II III) – Greater Mekong: Preliminary assessment UNITED NATIONS York Geneva, 2017 ii Note views expressed authors necessarily reflect United Nations. designations employed presentation material imply expression opinion whatsoever part Secretariat United Nations legal status country, territory, city area, authorities, delimitations frontiers boundaries. Material document freely quoted reprinted, acknowledgement requested, reference document number. copy document quotation reprint, UNCTAD secretariat: Palais des Nations, 1211, Geneva 10, Switzerland. document edited externally. information UNCTAD’ BioTrade Initiative consult website: http://www.unctad.org/biotrade, contact: biotrade@unctad.org Acknowledgements document prepared Heiner Lehr (UNCTAD consultant), guidance Bonapas Onguglo (Senior Economic Affairs Officer, UNCTAD) Lorena Jaramillo (Economic Affairs Officer, UNCTAD), Division International Trade Goods Services, Commodities (DITC). Significant contributions sections 2.1–2.5 4.7.1 TRAFFIC, Anastasiya Timoshyna Vicki Crook. study developed consultation CITES Secretariat valuable inputs received Tom de Meulenaer, Haruko Okusu, Milena Sosa Schmidt Markus Pikart. Valuable inputs received variety public private stakeholders, listed Annex 1. document edited Vivien Stone, page layout Rafe Dent. document discussed technical workshop traceability systems CITES Appendices II- III-listed -timber forest plant species (ornamental medicinal plants) 22 September 2016 Johannesburg, South Africa. inputs workshop meetings held 17th Conference Parties CITES included final version. UNCTAD gratefully acknowledges support Swiss State Secretariat Economic Affairs SECO development document BioTrade Facilitation Programme III (BTFP III). Guillermo Valles Director Division International Trade Goods Services, Commodities 28 April 2017 UNCTAD/WEB/DITC/TED/2016/7 http://www.unctad.org/biotrade mailto:biotrade@unctad.org iii Contents Note ........................................................................................................................................................................ ii Acknowledgements ............................................................................................................................................. ii Acronyms ............................................................................................................................................................... Executive summary ......................................................................................................................................... 1 1 Introduction............................................................................................................................................. 3 1.1 Background................................................................................................................................................. 3 1.2 Aim scope ............................................................................................................................................ 4 1.3 Methodology ............................................................................................................................................... 4 2 market chain .................................................................................................................................... 6 2.1 Trade medicinal plants: Introduction .................................................................................................. 6 2.2 CITES-listed medicinal plants Mekong subregion ................................................................ 7 2.3 Trade CITES-listed medicinal plants Mekong subregion ................................................. 8 2.4 Case study CITES-listed medicinal plant chain: Gastrodia elata ..................................... 8 2.4.1 Species distribution ............................................................................................................ 8 2.4.2 Population status, conservation, situ production ........................................................................ 8 2.4.3 Gastrodia elata .......................................................................................................................... 9 2.4.4 History Appendix II listing CITES controls exemptions ....................................................... 9 2.4.5 International trade: CITES trade data sources information .................................... 10 2.4.6 Gastrodia elata chain, involved stakeholders, existing traceability systems benefits ............................................................................................................................................... 12 2.4.7 Stakeholders’ recommendations CITES controls, traceability systems capacity- building .................................................................................................................................... 14 2.5 Case study CITES-listed medicinal plant chain: Aquilaria crassna ................................ 14 2.5.1 Species distribution .......................................................................................................... 14 2.5.2 Population status, conservation, situ production ...................................................................... 15 2.5.3 Aquilaria crassna ..................................................................................................................... 16 2.5.4 History Appendix II listing CITES controls exemptions ..................................................... 16 2.5.5 International trade: CITES trade data sources information .................................... 17 2.5.6 Aquilaria crassna chain: Stakeholders, existing traceability systems benefits ............................................................................................................................................... 20 2.5.7 Stakeholders’ recommendations CITES controls traceability systems capacity- building .................................................................................................................................... 22 2.6 Desktop study CITES medicinal plant: Dendrobium nobile ....................................................... 23 2.6.1 Species distribution .......................................................................................................... 23 2.6.2 Population status, conservation situ production ............................................................... 24 2.6.3 Dendrobium nobile ................................................................................................................. 24 2.6.4 History Appendix II listing CITES controls exemptions ..................................................... 24 2.6.5 International trade: CITES trade data Dendrobium nobile ....................................................... 25 3 Short review CITES regulatory framework ................................................................................. 28 3.1 Introduction ............................................................................................................................................... 28 iv 3.2 General framework species interest study (orchids Aquilaria spps.) ................. 28 3.3 case finished goods ................................................................................................................... 28 3.3.1 Orchids .................................................................................................................................................. 28 3.3.2 Aquilaria spp. ....................................................................................................................................... 29 3.4 CITES traceability: Beneficiaries .................................................................................................... 29 4 Existing traceability systems ................................................................................................................ 31 4.1 Definition traceability ........................................................................................................................... 31 4.2 Short summary supply chain traceability ......................................................................................... 31 4.3 UN/CEFACT architectural modelling traceability framework large-scale traceability systems ................................................................................................................................................... 32 4.4 Policy claims policy briefs ............................................................................................................... 34 4.5 Types transformation rules ................................................................................................................ 35 4.6 Chain certification type traceability systems ....................................................................... 36 4.7 role certification schemes supporting traceability .............................................................. 37 4.7.1 FairWild Standard ................................................................................................................................ 37 4.7.2 Union Ethical BioTrade Standard ................................................................................................ 40 4.8 Implementation public sector traceability systems ........................................................................ 41 5 Traceability CITES-listed medicinal plants ...................................................................................... 43 5.1 potential role traceability CITES processes ......................................................................... 43 5.2 Limitations traceability systems trade medicinal plants .............................. 43 5.3 Applying UN/CEFACT traceability framework medicinal plants ............................................ 43 5.4 Auditing traceability system ............................................................................................................. 50 5.5 Costs benefits application traceability framework ................................................ 54 5.6 Capacity-building requirements ............................................................................................................. 58 5.7 Recommendations ................................................................................................................................... 59 References .................................................................................................................................................... 62 Annex 1: Persons institutions consulted ................................................................................................ 65 Annex 2: Greater Mekong subregion CITES-listed medicinal plants ............................................................ 66 Annex 3: Reported exports CITES-listed medicinal plants Greater Mekong subregion, 2005–2014 ............................................................................................................................................ 68 Annex 4: Certification protocol UEBT/UTZ herbal tea ............................................................................. 69 Notes ............................................................................................................................................................. 71 Acronyms ABS access benefit sharing AEO authorized economic operator ASYCUDA Automated System Customs Data (UNCTAD Programme) & book claim BSE bovine spongiform encephalopathy BT (&) BioTrade Principles Criteria CAB conformity assessment body CART capacity-building requirements table CBD Convention Biological Diversity CITES Convention International Trade Endangered Species Wild Fauna Flora COP/ Conference Parties CSR corporate social responsibility CTEs critical tracking events EU European Union FAO Food Agriculture Organization GAP good agricultural practice GCL-MP Global Checklist Medicinal Plants GIP good portal GIZ German Society International Cooperation GMP good manufacturing practice HACCP hazard analysis critical control points ISO International Standards Organization ITC International Trade Centre KDEs key data elements KPI key performance indicator LAFs legal acquisition findings MAPs medicinal aromatic plants MEA Multilateral Environmental Agreement MoU memorandum understanding MSY maximum sustainable yield NDFs -detriment findings NOP National Organic Program (United States America) NTF -timber forest NWFP -wood forest products PC22 22nd meeting Plants Committee (CITES) PPP public-private partnership RFID radio-frequency identification SDGs Sustainable Development Goals SFDA State Food Drug Administration (China) SWOT strengths, weaknesses, opportunities threats TCM traditional Chinese medicine ToR terms reference UEBT Union Ethical BioTrade UI unique identification UN/CEFACT United Nations Centre Trade Facilitation Electronic Business UNCTAD United Nations Conference Trade Development UNECE United Nations Economic Commission Europe UNEP-WCMC United Nations Environment Programme - World Conservation Monitoring UNIDO United Nations Industrial Development Organization USDA United States Department Agriculture WCO World Customs Organization WHO-GACP World Health Organization Good Agricultural Collection Practices SC66 66th Standing Committee (CITES) Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 1 Executive summary document analyses traceability systems tool strengthen existing CITES processes, legal acquisition findings (LAFs) -detriment findings (NDFs), - timber plant species, medicinal plants, listed CITES Appendices II III. , study focuses trade CITES Appendix II-listed medicinal plants (Aquilaria crassna – agarwood, Gastrodia elata Dendrobium nobile) Greater Mekong subregion countries: Cambodia, China, Lao People' Democratic Republic, Myanmar, Thailand Viet Nam. Main findings: 1. globally 60 000 species plants collected wild medicinal properties. 2. 33 CITES-listed medicinal plants identified originating Greater Mekong region countries. CITES trade data analysis conducted . species, Aquilaria crassna Gastrodia elata, selected -depth study, Dendrobium nobile selected desktop review. 3. Medicinal plants source traditional modern medicines, important contribution rural livelihoods, cultural . Harvesters poorest vulnerable members society. Wild plants provide supplementary source income households, providing seasonal work villagers rural areas. 4. wild harvesting occurs medicinal plants difficult track source hard estimate due long trade chains. Trade illegal, unregulated / unreported “hidden harvest”. Tracking complex forms species traded aggregation export codes. 5. selected CITES-listed medicinal plants (Aquilaria crassna, Gastrodia elata Dendrobium nobile) derived plant products exported ( commercial ) Greater Mekong subregion countries studied 2005–2014, Aquilaria crassna accounted 99 cent global trade 3 547 666 specimens; Gastrodia elata 91 cent 80 140 specimens Dendrobium nobile 26 cent 215 626 specimens registered. 6. Trade CITES-listed Aquilaria crassna consistent 2011 fluctuation quantities traded. Thailand Viet Nam major exporters produce destined China, Indonesia, Lao People’ Democratic Republic Myanmar. questions complexity legality wild-harvested agarwood suggests current definitions, trade deemed illegal. Seizure data show increase illegal trade agarwood products wild-harvested Aquilaria crassna. Difficulties distinguishing wild propagated harvesting enforcing legal compliancy difficult. 7. Trade CITES-listed Gastrodia elata shows export fluctuations: data suggest shift trading commodity (roots, derivatives medicines, averaging 100 tons year: Figure 3.4) reporting practices period. 90 cent exports species Greater Mekong subregion, 99 cent originating China ( commercial purposes). China, declarations suspicion illegal harvesting leads additional authorization processes. Republic Korea main destination (82 cent) Japan (9 cent). Mismatches trade data reported complicates assumptions trade analysis Gastrodia elata. 8. Trade CITES-listed Dendrobium nobile increased slightly year chosen countries, fluctuations reported. exports originate China, Thailand Viet Nam majority trade propagated live plants. Noteworthy 2009 2013 extraordinary export records registered, showing sharp spike trade average. major importers Republic Korea Singapore. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 2 9. Market assessment complex due inconsistent reporting exports imports. studied period (2005–2014), , 13 cent Dendrobium nobile imports recorded exports shipped. 10. studied countries, Dendrobium nobile represents important family trade medicinal plants; traded plants practically artificially propagated, 88 cent reported live exports. 11. existing control systems, CITES Management Authorities Thailand implemented control system based issuance control operating licences. 12. Importing nations significant role play refusing purchase illegal unsustainable agarwood medicinal plants encouraging sourcing sustainable legal products/ingredients. 13. Traceability contribute robustness legal acquisition findings (LAFs), generate trade data improve -detriment findings (NDFs) strong collaborative partnerships private public sectors. 14. traceability system proposed based United Nations Economic Commission Europe (UNECE) traceability architecture, .. recognizing policy claims, defining entry/exit points supply chains, audit process support CITES data requirements issuance export permits certificates registered stocks. 15. Recording reception plant material nurseries plantations, creation database properly identified parental plants linking export permits identified parental plants, significantly strengthen CITES Management Authorities permitting process, coupled risk management systems controls operating licence issuance CITES import export permits certificates. 16. traceability system proposed renders stricter control early stages chain risk introduction illegally harvested material greatest. stages chain, controls tight adapted realities mixing medicinal plant species final products. 17. key principle UNECE traceability architecture recognizes role private public sectors play developing traceability system, management relationship keys successful implementation. 18. socioeconomic impacts arising traceability system, proposed study, properly understood. practical pilot project address , costs benefits easily estimated theoretical deliberations. 19. Forming traceability project partnership wild-collected plant species standard (FairWild, Union Ethical BioTrade-UEBT similar) certification similar scheme facilitate implementation traceability system introducing financial benefits local stakeholders, small farm holders local wild collectors ( sections 4.6., 4.7 5.5). 20. Recommendations development pilot study deepen understanding approach implementing traceability -timber plant species, mix positive negative incentives. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 3 1 Introduction 1.1 Background UNCTAD Convention International Trade Endangered Species Wild Fauna Flora (CITES) Secretariats long-standing partnership, defined memorandum understanding (MoU), signed 2010. MoU commits organizations ensuring conservation species, enhancing livelihoods poor remote marginal areas, promoting business opportunities entrepreneurs comply CITES Management Authorities requirements relevant national legislation. addition, UNCTAD CITES Secretariat agreed collaborate matters related implementing special automated customs procedures CITES-listed species wild fauna flora UNCTAD Automated System Customs Data (ASYCUDA) system electronic customs management , , CITES permit management.1 attention paid role economic incentives sustainable management CITES Appendices II- III-listed species benefit sharing resource owners. UNCTAD channels contribution BioTrade Initiative. BioTrade Initiative concerned activities production, transformation commercialization products services derived native biodiversity (species ecosystems) social, economic environmental sustainability criteria.2 15th 16th meetings Conference Parties () CITES 2010 2013, decided development traceability systems assist ensuring sustainable CITES-listed species. response, UNCTAD CITES Secretariat collaborated drafting technical documents organizing workshops traceability issues understand requirements developing systems species supply chain, sourcing market final consumption consumers. -timber plant species, CITES Parties BioTrade partners implementing traceability systems comprehensive study medicinal plant sector specifically undertaken. response, UNCTAD prepared, consultation CITES Secretariat, selected CITES Management Scientific Authorities, BioTrade partners, comprehensive studies facilitate work related tracing CITES-listed -timber forest plant species, focusing ornamental medicinal plants. studies intended contribute efforts ongoing traceability discussions provide umbrella traceability mechanisms CITES-listed species flora fauna noted Standing Committee document SC66 Doc. 34.1 (Rev. 1)3 considered 17th meeting Conference Parties (CoP17) CITES. complements Secretariat’ discussions United Nations Centre Trade Facilitation Electronic Business (UN/CEFACT) development business requirement specification international trade wildlife (AC28 Doc 14.2.1,4 SC66 DOC. 34.1 (Rev.1)). study focused assessing applicability traceability system ornamental plants Latin American region emphasis Andean subregion. Preliminary findings recommendations submitted CITES Secretariat (document SC66 Inf.16 (Lehr , 2016b) 66th Standing Committee meeting (SC66) January 2016, discussed side event. Additionally, draft study discussed experts CITES Parties bilateral consultations, peer review process place summer 2016. study assessed applicability traceability systems medicinal plants Asian region, Greater Mekong subregion. countries included study : Cambodia, China, Lao People’ Democratic Republic, Myanmar, Thailand Viet Nam. results study presented report. findings recommendations studies discussed validated workshop traceability systems CITES-listed -timber forest plant species (ornamental medicinal plants) 22 September 2016 Johannesburg, South Africa. event organized margins CITES CoP17 held Johannesburg 24 September 5 October 2016. information workshop : http://unctad.org/en/Pages/MeetingDetails.aspxmeetingid=1182. results studies disseminated IV BioTrade Congress 3 December 2016, Cancun, Mexico, organized context COP 13 Convention Biological Diversity (CBD) Biodiversity Business Forum. http://unctad.org/en/Pages/MeetingDetails.aspxmeetingid=1182 Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 4 1.2 Aim scope study aims contribute traceability work identified traceability systems undertaken CITES Management Authority Parties support sustainable legal trade CITES listed -timber forest plant species, , trade CITES-listed medicinal plants originating Asia emphasis Greater Mekong subregion, including countries Cambodia, China, Lao People’ Democratic Republic, Myanmar, Thailand Viet Nam. study’ terms reference (ToR) covered core activities: • Develop outline methodology carry study, discussed validated UNCTAD CITES Secretariat. • Discuss United Nations organizations working traceability systems, standards development CITES traceability system medicinal plants Asian region, emphasis Mekong subregion. • Carry -depth review existing information chains medicinal plants Asian region, emphasis Greater Mekong subregion focusing CITES-listed species supported BioTrade partners. • Identify review existing traceability systems medicinal plants, determine analysed framework study. • Map chains medicinal plants -mentioned region. include identifying key stakeholders role defining implementing traceability systems, identifying livelihood benefits obtained upstream downstream stakeholders. • Analyse assess selected systems implemented, including internal control systems (documentation methodology , key intervention points actors chain ensure system' effectiveness limit illegal harvesting trade species, .) categorize criteria defined jointly UNCTAD CITES Secretariat. • Assess socioeconomic implications benefits selected systems, small farmers landowners, governments industries, define capacity- building fair distribution benefits generated chain. • Provide practical recommendations traceability system defined implemented -timber flora species CITES framework, account previous technical studies developed UNCTAD , including UNCTAD' study ornamental plants Latin America. • Prepare draft initial findings recommendations study peer reviewed relevant stakeholders. • Review study address peer review comments received. draft revised approved UNCTAD CITES Secretariat presented regional workshop (mentioned ) • Present draft study validate findings recommendations relevant stakeholders involved traceability systems CITES-listed species regional workshop organized UNCTAD consultation CITES Secretariat stakeholders 22 September 2016. • Prepare short factsheet PowerPoint presentation study key findings dissemination relevant UNCTAD events. • Participate present study UNCTAD dissemination events required. outcome study, based international standards norms, includes, inter alia: • technical summary traceability systems medicinal plants. • Recommendations traceability system defined implemented address capacity-building requirements small-scale farmers landowners, CITES Management Scientific Authorities. • Recommendations advancing study’ ( relevant studies including ornamentals) outputs recommendations CITES ( relevant intergovernmental bodies). 1.3 Methodology study analyses significant trade CITES-listed medicinal plants listed Appendix II identifies products derived species dominate trade selected countries. report introduces global trade medicinal plants, identifies CITES-listed medicinal plant species Greater Mekong subregion, analyses CITES trade data. describes status, trade chains Aquilaria crassna (agarwood) Gastrodia elata examples CITES-listed Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 5 medicinal plant species subregion. includes desktop study Dendrobium nobile orchid link study ornamental plants. , information socioeconomic baseline key stakeholders capacity-building presented. Recommendations effective implementation CITES controls traceability systems included. section 4.7, report presents case study FairWild Standard certification scheme supports full traceability goods finances derived wild plant collection. FairWild Standard developed specifically verify sustainability harvest trade wild-harvested medicinal aromatic plants (MAPs) ensuring long-term survival wild species habitats, respecting traditions, cultures supporting livelihoods stakeholders benefit sharing chain. case study traceability requirements Union Ethical BioTrade (UEBT) Standard included. report tackles question CITES processes strengthened implementing traceability system. Previous traceability studies conducted sharks ornamental plants baseline reference define potential traceability system. , study shark traceability (Lehr, 2015b), lay foundations development proposed architectural framework position paper United Nations Economic Commission Europe (UNECE) Secretariat, adapted show architecture designed support CITES processes. research divided elements: ) collection secondary data: Secondary information derived CITES trade data, published articles relevant reports, web-based research companies relevant stakeholders. ) collection primary data: Primary data obtained means interviews relevant stakeholders July 2016. aim interviews obtain information medicinal plant trade chains, implementation CITES controls, existing traceability systems, obtain feedback traceability system proposed report. ) Exploration potential traceability methodologies strategies, adapting study : consultant adapted UNECE traceability architecture relation characteristics medicinal plants. Consultation carried key stakeholders analysis applicability -party certification systems complement development traceability system. experience FairWild system outlined, similar systems focusing wild- collected plant species analysed assess feasibility support implementation traceability systems. stakeholder groups consulted study : government personnel, BioTrade programme staff, companies, -governmental organizations research organizations. Annex 1 list persons contacted interviewed. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 6 2 market chain 2.1 Trade medicinal plants: Introduction worldwide demand floricultural products rise (UN Comtrade, 2015). Demand medicinal plants increased 60 000 plant species, majority collected wild, medicinal properties globally (Schippmann al., 2006), providing sources traditional modern medicines. referred “hidden harvest”, wild plants provide source raw materials local manufacture wide variety pharmaceutical, herbal, food, cosmetic fragrance products. provide critical source household income, rural poor. complete list plants traditional medicine exist, 30 000 species plants documented traditional systems national pharmacopoeias included Global Checklist Medicinal Plants.5 Plants traditional medicine important local health care, ( estimated 4000–6000) (Iqbal, 1993) important international trade based broader commercial . Trade chains species typically long complex, making difficult link products source supply. users unaware wild collection source ingredients, country origin. trade unreported / unregulated, estimating scale wild harvest difficult. Species traded forms (raw, processed) aggregated export codes – complexities comprehensive trade monitoring separation species origin (wild cultivated stocks) close impossible (Shanley al., 2015). , economic importance clear. Food Agriculture Organization United Nations (FAO)(FAO, 2015), global -wood forest products (NWFP) plant animal origin estimated US$20.6 billion 2010. substantial underestimate NWFPs rarely captured national statistics (Shackleton Pandey, 2014). Estimates scale trade dependent customs codes, challenging include comprehensively trade estimates variety species involved difference captured national reporting. International Trade Centre (ITC)- TRAFFIC study (ITC, 2016), export MAPs ( wild collected cultivated) China estimated 1.3 billion kilograms, reported customs US$5 billion. global reported trade plants medicinal purposes (customs code HS1211, subset analysed ITC study) valued US$3.4 billion 2014 (UN, 2016), increasing. Pressures wild resources pose major ecological socioeconomic challenges. conservation status medicinal plants poorly (Secretariat CBD, 2010), plants globally, estimated plant species threatened extinction wild (Brummitt al., 2015). Plants humans millennia , time, resistant collection pressures. , existing growing market demand creates important driver increased harvesting pressure, long-traded species species traded internationally (.. superfoods cosmetics). Medicinal plants important contribution rural livelihoods, cultural . Harvesters poorest vulnerable members society. Wild plants provide supplementary source income households, providing seasonal work villagers rural areas. improve contribution resources livelihoods, increasing amount security income trade, supporting addition locally. medicinal plant trade chains include multiple stakeholders minimal captured level primary producers ( Figure 2.1). nature processing trade ingredients adds complexity tracing trade, ingredient multiple products multiple manufacturing companies sectors. , liquorice (Glycyrrhiza spp. root), sourced wild, important ingredient herbal medicinal products, food (.. teas), traditional Chinese medicine, extract cosmetic products. tobacco industry significant user ingredient. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 7 Figure 2.1 Simplified trade chain Schisandra sphenanthera Pingwu County Chengdu, Sichuan, China Source: Adapted Guo, Liu, Kanari, 2012. Note: Numbers purchase/sale price CNY/kg 2009. Hua Chi market Chengdu. perspective traceability medicinal plant ingredients, uncommon trade chains cross borders handled multiple companies stages processing consolidation ( Figure 2.2). Specifically, standards certification schemes support traceability medicinal plants, .. FairWild Standard developed sustainable wild harvesting equitable trade plants requires full traceability ingredients harvesting site ( section 4.7 details). Illegal unsustainable harvesting trade medicinal plants impact national economies local livelihoods, conservation forests species. Estimating levels illegal trade challenging, regulation monitoring legal trade. species, generally control enforcement legality sustainability, .. compared trade timber species, lack management planning majority species harvested traded (Laird al., 2010). CITES controls medicinal plants provide, cases, major ( ) legal instrument address legality trade. mechanism -detriment finding (NDF), requirement determine exports legal sustainable permitted Appendix II-listed species.6 Figure 2.2 Simplified trade chain FairWild-certified dandelion root (Taraxacum officinale) sourced Poland Source: TRAFFIC (based stakeholder interviews). number medicinal plant species listed CITES Appendices. include: African cherry (Prunus Africana) bark, harvested number African range states, exports European Union (EU) pharmaceutical industry ingredient prostate cancer drug; ginseng (Panax quinquefolius), root harvested United States America Canada traded internationally supply traditional Asian medicine demand; East African sandalwood (Osyris lanceolate), harvested range states Eastern Africa traded valuable essential oil. 2.2 CITES-listed medicinal plants Mekong subregion list CITES-listed plant species (PLANTAE) Greater Mekong subregion countries Cambodia, China, Lao People’ Democratic Republic, Myanmar, Thailand Viet Nam downloaded Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 8 CITES Checklist,7 resulting 1244 entries. list compared -set Global Checklist Medicinal Plants (GCL-MP) priority 5000 medicinal plants species. limitation CITES species checklist data selection regions target countries, means species selected Greater Mekong subregion. limitation selection GCL-MP 5000 priority plant species medicinal documented included, CITES-listed species included list. resulting overlap list 33 CITES-listed species ( Annex 2). species excluded list trade data analysis source areas Greater Mekong region, including: Cistanche deserticola, Panax quinquefolius Taxus sumatrana. 2.3 Trade CITES-listed medicinal plants Mekong subregion narrow list , CITES trade data analysis conducted, reported data CITES trade data base, covering period 2005–2014. Annex 3 summarizes reported export trade records medicinal plants countries Greater Mekong subregion countries period. 33 CITES-listed medicinal plant species (Annex 2), 24 trade reported period. 24 species reporting trade, 6 species reported exporters, trade identified importer records. included table Annex 3, number export records zeroed ( , Aquilaria subintegra Dioscorea deltoidea). trade reported commercial purposes. Based initial trade analysis 2005–2014 identified species major trade, based discussions BioTrade partners, CITES Management Authorities region, UNCTAD CITES Secretariat, species prioritized -depth case studies Aquilaria species (focusing Aquilaria crassna) Gastrodia elata. Dendrobium nobile earmarked desktop study link study ornamental plants study medicinal plants. note 1992, data artificially propagated Appendices II- III- listed plants held CITES Trade Database entered electronically, data incomplete.8 2.4 Case study CITES-listed medicinal plant chain: Gastrodia elata 2.4.1 Species distribution Gastrodia elata Blume (tall gastrodia) saprophytic perennial herb Orchidaceae family, growing elevations 400–3200m. fungi play important role life history Gastrodia elata: Armillaria mellea (Vahl. Fr.) Quel. Mycena osmundicola Lange. Synonyms: Gastrodia mairei Schltr (China Plant Specialist Group, 2004) Gastrodia elata fo. alba . Chow, Gastrodia elata fo. flavida . Chow, Gastrodia elata fo. glauca . Chow, Gastrodia elata fo. pilifera Tuyama, Gastrodia elata fo. viridis (Makino) Makino, Gastrodia elata var. gracilis Pamp., Gastrodia viridis Makino.9 Trading names: Rhizoma gastrodia, Elatae, íng tian á, ìng feng cao, tenma, ch’onma, gastrodia rhizome, Chi Jian, Tian Ma. Countries/territories occurrence: Bhutan, China (Anhui, Guangdong, Guangxi, Guizhou, Hebei, Heilongjiang, Henan, Hubei, Hunan, Jiangxi, Jilin, Liaoning, Shaanxi, Shandong, Shanxi, Sichuan, Tibet [ Xizang], Yunnan) (China Plant Specialist Group, 2004), Democratic People' Republic Korea, India, Japan, Nepal, Republic Korea, Russian Federation, Taiwan, Province China (Schippmann, 2001).10 2.4.2 Population status, conservation, situ production Gastrodia elata assessed Vulnerable A2c IUCN Red List Category Criteria (version 3.1) (China Plant Specialist Group, 2004). China assessed vulnerable China Red Data Book (Schippmann, 2001). successful cultivation Gastrodia elata started China 1970, life history understood. , pressure wild populations remained harvesting high medicinal (Chen al., 2014). addition , deforestation leading habitat destruction affected https://en.wikipedia.org/wiki/Orchidaceae http://www.iucnredlist.org/static/categories_criteria_3_1 Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 9 wild Gastrodia elata populations China. study (Chen al., 2014) genetic diversity Gastrodia elata population Hubei province demonstrated levels genetic diversity genetic structure species, important factors account development situ situ conservation strategies. Gastrodia elata cultivation sites established Republic Korea (Lee al., 2014). 2.4.3 Gastrodia elata Gastrodia elata long history traditional Chinese medicine (TCM) system, designated geo-authentic (Dao Di) medicinal materials Guizhou province (Liu al., 2016). traditional medicine systems herbal medicinal products, root extracts cosmetic applications. Sources Gastrodia elata wild collected cultivated. wild-sourced Gastrodia elata appears preferred ingredient traditional medicine systems. Recorded (Brinckmann, 2014) commercially traded forms Gastrodia elata include: • Rhizome (tubers) medicinal traditional Chinese, Japanese (Kampo) Korean systems medicine; • Aerial parts medicinal (included Korean Herbal Pharmacopeia); • Powdered dried tuber medicinal ; • Extract roots (cosmetic ; listed International Nomenclature Cosmetic Ingredients system); • Fermented root extract (cosmetic ); • Gastrodin purified extract rhizomes herbal medicinal products. selected finished products, Gastrodia elata European market include cosmetic products medicinal products (Brinckmann, 2014). precise trade data volume/ size production Gastrodia elata China , , estimated CITES Scientific Authority China annual production approximately 10 000 tons dried tubers Gastrodia elata cultivated origin , based information sources (Zhang, 2016). consultancy company11 China collects information daily primary production quantity ( cultivation wild harvesting), location sources, price trends production sites, annual rate returns, commercial, market prices main TCM ingredients trade (including Gastrodia elata). information collected state-wide network informants field monitoring stations. summary analysis information commercial basis, accessed preparation present report. availability fully quantifiable production data point sales important ensuring trade species sustainable traceable. 2.4.4 History Appendix II listing CITES controls exemptions Gastrodia elata included CITES Appendix II 1975; 1986 onwards appears annual reports China Hong Kong SAR, China “roots”; 1990 onwards “derivatives” (Schippmann, 2001). parts derivatives Gastrodia elata subject CITES controls exemptions (annotation #4):12 • Seeds (including seedpods Orchidaceae), spores pollen (including pollinia); • Seedling tissue cultures obtained vitro, solid liquid media, transported sterile containers; • Cut flowers artificially propagated plants. prevailing reported trade Gastrodia elata roots derivatives, extracts medicine, covered exemption accompanied CITES documents. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 10 2.4.5 International trade: CITES trade data sources information 2.4.5.1 CITES trade data analysis Box 1 Summary Gastrodia elata reported trade 2005 2014 • Approximately 90 cent exports Mekong subregion, 99 cent coming China. • 100 cent trade commercial purposes. • 100 cent exports 99 cent -exports reported derived artificially propagated specimens. • Roots, medicine, derivatives extract 90 cent trade weight (1070 tons). • Republic Korea main destination (82 cent) Japan (9 cent). • Data suggest shift trading commodity reporting practices period; roots derivatives principal commodities trade 2005–2010, extract medicine place 2011– 2014. • Importers, predominantly United States America Zealand, reported 90 seizures; extract (13 tons Republic Korea) derivatives medicine (23 500 specimens China). Source: CITES Trade Database. Based export records, globally, 258 records exports Gastrodia elata 2005 2014, 45 records -exports. , 234 records exports Greater Mekong subregion 44 -export records specimens originating Greater Mekong subregion ( China). reported exports Greater Mekong subregion commercial purposes source Gastrodia elata specimens traded 2005 2014 predominantly artificially propagated (), small quantity potentially wild sourced (source code , blank) – 923 kilograms medicine extract -exported Hong Kong SAR, China 2009 2014. export records reported weight (kilograms) individual specimens, 12 760 bottles, 60 cartons 5.6 litres derivatives 4 litres extract, exported China 2005– 2014. Export data main source data detailed analyses commercial trade artificially propagated Gastrodia elata weight individual specimens, , import data analysed briefly highlight major discrepancies. (99.99 cent) commercial exports artificially propagated Gastrodia elata Greater Mekong subregion reported China ( 1192 tons 80 000 individual specimens). Figure 2.3 shows commodities reportedly exported China 2005–2014, reported weight. Roots, medicine, derivatives extract 90 cent trade weight (1070 tons). similar distribution commodities trade reported individual specimens – 37 cent medicine, 36 cent roots 27 cent derivatives. importer records, greater number specimens traded (212 000 specimens), quantity weight (600 tons). 2005 2014, 82 cent exports Gastrodia elata Greater Mekong subregion weight destined Republic Korea 9 cent Japan. destinations included United States America, Canada, Germany Australia. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 11 Figure 2.3 Commercial exports Gastrodia elata China tons, 2005–2014, commodity type Source: CITES Trade Database. Figure 2.4 shows annual trade main commodities Gastrodia elata reported China 2005 2014, weight. data suggest shift trading commodity reporting practices, roots derivatives principal traded commodities 2005 2010, extract medicine place 2011 2014. Annual trade 100 tons years (2005, 2008–2011 2013–2014), trade peaking 2006 (255 tons), 2007 (215 tons) 2012 (200 tons). Figure 2.4 Commercial exports Gastrodia elata China tons, 2005–2014, principal commodity type Source: CITES Trade Database. Finally, 90 seizure records reported importers. included 18 tons Gastrodia elata commodities, including derivatives, dried plants, extract, medicine roots. 99.9 cent seizures weight reported United States America ( Table 2.1), extract (16.4 tons), seized extract coming Republic Korea 2009 (13 tons) making significant proportion . 30 000 specimens commodities seized 2005 2014, majority derivatives medicine (23 500) coming China. seizures individual specimens reported Zealand, seized derivatives coming China 2010 (21 000 specimens) making significant proportion. Roots 38% Medicine 23% Derivatives 15% Extract 14% Live 5% Dried plants 4% Stems powder 1%< Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 12 Table 2.1 Gastrodia elata seizures, reported United States CITES biennial reports13 2009 2014 Year Plant inspection authorities seized shipments CITES-listed Gastrodia elata specimens import United States America 2009 4 shipments total: 3 shipments imported Republic Korea 13 002 kilograms extract; 1 shipment imported unknown country, 15 grams extract. 2010 13 shipments total: 4 shipments imported China, 200 kilograms extract, 48 290 kilograms medicinal products, 300 kilograms powder; 4 shipments unknown country origin, imported China, 61 medicinal products; 2 shipments imported Republic Korea, 1166 kilograms extract; 2 shipments imported Viet Nam, 2 kilograms medicinal products; 1 shipment unknown country origin, imported Viet Nam, 80 medicinal products. 2011 18 shipments total: 1 imported Cambodia; 13 China; 1 Hong Kong SAR, China; 2 Republic Korea; 1 unknown country; 300 kilograms derivatives, 257 kilograms extract, 134 kilograms root 282 medicinal products (quantities relate total number shipments). 2012 18 shipments total: 13 imported China; 4 Hong Kong SAR, China; 1 Republic Korea; total 89 kilograms extract, 10 kilograms root, 654 medicinal products 9 kilograms medicinal products (quantities relate total number shipments). 2013 22 shipments total: 2 imported Cambodia; 16 China; 1 Hong Kong SAR, China; 3 Viet Nam; total 240 extracts, 32 roots 519 kilograms root 2014 medicinal products(quantities relate total number shipments). 2014 4 shipments total: 2 imported China; 2 Hong Kong SAR, China; total 300 medicinal products (quantities relate total number shipments). 2.4.5.2 CITES trade data analysis 2001 CITES-listed medicinal plants significant trade study (Schippmann, 2001) highlighted discrepancies international trade volumes Gastrodia elata reports national customs statistics CITES annual report data ( annual reports underreporting trade scale 20–24 times 1992 1995). study confirmed mismatch trade data reported national statistics ( China Republic Korea), terms volumes traded destinations ( Brinckmann, personal communication, 11 July 2016). China species-level harmonized codes selected medicinal plants trade, including Gastrodia elata, information captured national level (Brinckmann, 2014). suggested (Subedi al., 2013) undocumented trade wild-harvested Gastrodia elata tubers exists Nepal China, starting late 1990s. 2.4.6 Gastrodia elata chain, involved stakeholders, existing traceability systems benefits Gastrodia elata cultivation plantations China registered government agencies, pre- requisite granting CITES export permits. export Gastrodia elata subject CITES export permit CITES Management Authority China process (Zhang, 2016): receive CITES export permit, exporter submits application forestry department provincial level applicant located. forestry department, behalf State Forestry Administration, verifies application positive negative decision, notifying applicant writing. granting approval document forestry department, applicant applies designated branch office CITES Management Authority applicant registered territorial basis, issuance CITES permit, application materials comply provisions CITES. process, principle forestry authorities CITES Management Authority follow strictly restrict export wild-harvested specimens Gastrodia elata commercial purposes. shipment declared suspected wild-harvested specimens, additional authorizations State Forestry Administration headquarters CITES Management Authority required prior issuing CITES export permit. NDF CITES Scientific Authority required CITES Management Authorities ascertain specimens sourced cultivated origin. Figure 2.5 presents generalized cultivated Gastrodia elata trade chain point export. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 13 Figure 2.5 Typical Gastrodia elata trade chain production area export Source: Adapted Zhang, 2016. established monitoring government agencies existing plantations, nurseries wild populations Gastrodia elata, conservation risk imposed collection wild populations perceived limited (Zhang, 2016). Monitoring programmes ( wild populations artificial propagation) established CITES-listed medicinal plants forestry authorities, including Taxus spp. Aquilaria sinensis. Box 2 Nepalese experience Nepalese experience wild-harvested orchids ( specific Gastrodia elata) medicinal floricultural purposes relevant study. Collection wild orchids starts (Subedi al., 2013) purchase order middleman received, collectors frequently travelling 10 kilometres foot forest. Collectors receive advance payment. Middlemen occasionally distant districts , providing printed photographs desired species small samples live orchids. Reportedly orchids collected, similar sample , discarded selling points. Consolidated selling points, wild orchids traded trade hubs Nepal, including internationally illegally China India. trade chain actors involved study ( Subedi al., 2013) reported received permission local authorities. Wild-harvested Gastrodia elata trade observed medicinal plant markets China ( Brinckmann, personal communication, 11 July 2016). wild-harvested Gastrodia elata apparently primarily TCM consumption China. Gastrodia elata reported wild collected originated Yunnan province, wild-harvested tubers times expensive markets comparison cultivated Gastrodia elata. peculiarity TCM trade chains China companies producing final product simultaneously sell TCM formulas ingredients onwards trade interim traders. ingredient simultaneously domestic trade part TCM final product (.. dispensed practitioner clinic) dozens TCM formulas, international trade ingredient multiple products ( Brinckmann, personal communication, 11 July 2016). international trade CITES-listed species subject Regulations People’ Republic China Administration Import Export Endangered Wildlife. , wide range laws, policies, statutes standards cover production, trade, quality safety TCM China (Timoshyna, 2015). , China’ national plan protect develop TCM 2015–2020 published 2015, defining set tasks closely linked assurance traceability products, including survey TCM resources establishment monitoring network, TCM modernization innovation, improvement quality assurance system, communication production sector. Good Agricultural Practice (GAP) Chinese Crude Drugs enacted China 2002, implementation regulations developed 2003, broad objective standardizing TCM production China ensuring traceability quality management TCM ingredients. Reported 2010, 99 GAP production bases species certified State Food Drug Administration (SFDA), including production base Gastrodia elata Lueyang County, Shaanxi province (Zhang al., 2010). implementation voluntary market standard – organic certification – traceability system attached , records United States Department Agriculture (USDA) National Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 14 Organic Program (NOP) certified operators trading Gastrodia elata rhizomes identified.14 Organic certification requires full traceability origin products full documentation process. Companies identified handling USDA NOP organic certified Gastrodia elata : 900LH..Food ., , Draco Natural Products, ., Kunming Junous Agricultural Science & Technology CO.LTD, Naturaline ., , Nuherbs ., Nutringredient Corporation Limited Shanxi Bio-Herb Health Technology ., . records Gastrodia elata sold certified organic ingredient .15 DNA barcoding suggested potentially effective identify plant species products, address health safety concerns legality CITES-listed species, including TCM products (Lammers al., 2014; Coghlan al., 2012). 2.4.7 Stakeholders’ recommendations CITES controls, traceability systems capacity-building section compiled based stakeholder interviews communication authors report part collection primary data study July 2016. list contacts interviewees Annex 1. Assignment species-specific customs codes CITES-listed medicinal plants noted tool track source trade data. Accurate trade data , , facilitate monitoring trade hubs Hong Kong SAR, China, consolidated shared information. terms traceability systems, implementation international standards ( organic, FairWild, Fairtrade – FLO) leading certification, entry point ensuring traceability medicinal plants trade, including verified requirements mapping harvesting areas, independent inspection reconciliation product quantities trade chain. certification systems, based geographical indication products include specific requirements documented origin sourcing area plantation, leading traceability. exemption finished products packaged ready retail trade CITES controls hand create incentives greater addition products countries origin, , controls sustainability harvest trade enforced local levels. exemption work complemented strengthened mechanisms monitor ensure sustainability trade country origin intra-country system. argued current drawbacks CITES control measures controls apply export point, limited ability control production process point. CITES Appendix II-listed species, NDFs rigorously, understanding export’ origin. implementation complete supply chain traceability system difficult, significant proportion trade organized established enterprises, local harvesters selling raw materials brokers consolidation onwards trade processing. difficulties identification building capacity multiple wild harvesters, important hold companies trade chain accountable demonstrating traceability sustainability traded medicinal plant products, including legal compliance requirements, good auditing system incentives (.. certification). capacity-building , highlighted: • awareness CITES-listing requirements, including documentation, government agencies companies trade chains, stakeholders trade chains; • Availability tools identification materials; • Industry associations playing active role supporting members carry businesses engage legal sustainable international trade. 2.5 Case study CITES-listed medicinal plant chain: Aquilaria crassna 2.5.1 Species distribution Aquilaria crassna Pierre Lecomte (family: Thymelaeceae), eagle wood agarwood, agarwood-producing tree species genera Aquilaria Gyrinops. CITES Checklist recognizes 25 species Aquilaria Gyrinops. trees, combination Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 15 wounding, vectors infection (bacterial infection, fungus) resinous response induces formation resinous heartwood (agarwood), traded number forms, highly valuable (IUCN/TRAFFIC, 2016). Aquilaria crassna distributed Cambodia, southern Lao People' Democratic Republic, northern Thailand central southern Viet Nam (Mohamed, 2016). Aquilaria spp. Gyrinops spp. distributed northeast India east South East Asia, including parts southern China, Papua Guinea. 2.5.2 Population status, conservation, situ production Illegal harvesting agarwood-producing tree species trade primary threat remaining wild populations, driven high commodity. , agarwood source trees sustainably (-lethally), Orang Asli (indigenous people Peninsular Malaysia) Penan (indigenous forest people Sarawak, Malaysia), commercial pressure led widespread illegal felling search resinous agarwood deposits (Wyn Anak, 2010; UNODC, 2016). growing demand agarwood led illegal offtake trade ( evidenced seizures data) (UNODC, 2016) launch cultivation operations range states. Complete data population status Aquilaria crassna range states . Aquilaria crassna assessed Critically Endangered A1cd IUCN Red List Category Criteria (version 2.3) (Nghia, 1998). assessment (published 1998 considered date) largely based situation Viet Nam, species distributed sparsely widely country. Documented assessment Aquilaria crassna populations Lao People’ Democratic Republic 2004– 2005 distance sampling suggested reduction density standing trees surveyed sites 60 cent, assuming harvesting place prior 1998 (Jensen Melly, 2012). results study thought apply 2011 , believed harvesting place study 2005 2011. Cambodia, Aquilaria crassna Cardamom Mountains area southwest Cambodia. extensive offtake agarwood trees valuable Aquilaria crassna Cambodian oil 1990s, reported 2008 Cardamom region producing significantly oil, trees scarce (Ashwell Watson, 2008). estimate suggested distribution area Aquilaria crassna Cambodia covered 1 million hectares 2001, declined, plantations Aquilaria crassna established, total area unknown (ITTO, 2015). result projection matrix analysis Aquilaria crassna population plot Khao Yai National Park, central Thailand, reported 2008, suggested population time deemed stable, face moderate illegal harvest (Zhang al., 2008). report (UNODC, 2016) compiled data agarwood populations ( species) Greater Mekong subregion ( Table 2.2). Table 2.2 agarwood populations ( species) selected Greater Mekong countries Country population China 130 000 trees wild Myanmar 34 475 trees home gardens; 680 hectares plantations Thailand Unknown Viet Nam 18 000 hectares plantations; 1 million trees home gardens Source: Adapted UNODC, 2016; based ITTO data. Aquilaria species actively cultivated plantations range states, variety methods induce agarwood formation trees. effectiveness methods imprecisely understood. Present capacity produce cultivated agarwood unclear, suggested claims high-volume production plantations scrutinized (UNODC, 2016). Current concerns management harvest trade include risk potential laundering wild-harvested Aquilaria spp. legally registered plantations, vertically integrated companies producing final products (UNODC, 2016). Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 16 2.5.3 Aquilaria crassna primary source agarwood CITES trade Aquilaria malaccensis, CITES reporting shows agarwood trade reported species ( Aquilaria spp.). Agarwood perfumes, traditional medicines, incense, essential oil, distilled wood. Agarwood traded synonyms, including eaglewood, oudh gaharu, variety qualities wood oil, influences traded products. commercial agarwood depends factors including scent, shape, weight colour. principal ways pure agarwood traded internationally: resinous timber wood chips, distilled oil perfume exhausted powder incense. Additionally, raw agarwood, form wood chips product. Wood produce carvings, including prayer beads. exhaust powder – residue left distillation process – compressed incense sticks small statues. standard CITES terminology specimens relevance agarwood (Wyn Anak, 2010): • Chips (CHP): Chips timber, Aquilaria malaccensis Pterocarpus santalinus. International Nomenclature Cosmetic Ingredients (INCI) terminology: LIGNUM RESINATUM; • Derivatives (DER): ; • Live (LIV): Live plants; • Logs (LOG): wood – bark stripped stripped, sapwood, roughly squared processing notably sawn wood, pulpwood veneer sheets; • Medicine (Med): Medicine; • Oil (OIL): INCI term: OLEUM; • Powder (POW); • Sawn wood (SAW): Wood simply sawn lengthwise produced profile-chipping process; exceeds 6 mm thickness. Aquilaria crassna reportedly sought agarwood species, commanding higher prices ( Jurgens, personal communication, 20 July 2016). “Cambodian” agarwood popular United Arab Emirates market (Antonopoulou al., 2010). Agarwood oil extraction reportedly involves methods: hydro-distillation, pressured steam distillation super critical CO2 extraction. , techniques considered proprietary closely guarded, affect quality oil significantly (UNODC, 2016). reports compiled fulfilling CITES Decision 12.71 field research trade dynamics, including major import -exporting states territories, covering trade agarwood Japan (Compton Ishihara, 2004), Taiwan, Province China (TRAFFIC, 2005), United Arab Emirates (Antonopoulou al., 2010). distinct destination markets exist agarwood, include Arabic market oil, high quality chips lesser quality products bakhoor,16 Asian market high quality incense products, exhausted powder, making incense joss sticks, small solid wood products (including prayer beads small sculptures) medicinal products. addition , growing market EU United States America agarwood oil cosmetics perfumery ( high- perfume houses oud agarwood ( called oud) blended scents, including Tom Ford, Yves Saint Laurent others17). 2.5.4 History Appendix II listing CITES controls exemptions agarwood-producing taxa listed CITES Appendix II. Aquilaria malaccensis listed 1994, rest genus Aquilaria Gyrinops species 2004. agarwood-producing taxa covered annotation #14, includes parts derivatives :18 • Seeds pollen; • Seedling tissue cultures obtained vitro, solid liquid media, transported sterile containers; • Fruits; • Leaves; • Exhausted agarwood powder, including compressed powder shapes; Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 17 • Finished products packaged ready retail trade; exemption apply beads, prayer beads carvings. proposal amendment listings Aquilaria spp. Gyrinops spp. Appendix II United States America amend annotation #14f) underlined text: “finished products packaged ready retail trade, exemption apply wood chips, beads, prayer beads carvings” (CITES Secretariat, 2016b). decision amendment accepted consensus19 CITES CoP17 September/October 2016. 2.5.5 International trade: CITES trade data sources information 2.5.5.1 CITES trade data analysis Box 3 Summary highlights Aquilaria crassna trade, 2005–2014 • 100 cent exports species Greater Mekong subregion. • 95 cent trade commercial purposes. • 99 cent exports 75 cent -exports reportedly derived artificially propagated specimens. • 3 million live specimens exported Thailand Viet Nam, destined Indonesia, China, Lao People’ Democratic Republic Myanmar. • Powder (926 tons), sawn wood (308 tons), chips (254 tons) logs (46 tons) main commodities trade weight. • powder chips, Thailand Viet Nam principal exporters, Taiwan, Province China, Saudi Arabia, Malaysia, China United Arab Emirates principal importers. • sawn wood/logs, Thailand principal exporter, Taiwan, Province China, mainland China Saudi Arabia principal importers. • reported exports Aquilaria crassna Lao People’ Democratic Republic reported source country import -export records. Based export records UNEP-WCMC CITES Trade Database, global total 705 records exports Aquilaria crassna 2005 2014, 155 records -exports. export records ( United Arab Emirates) Greater Mekong subregion 97 cent -export records (151) involved specimens originating Greater Mekong subregion, remainder origin reported Indonesia. important note Aquilaria crassna trade reported genus level ( Aquilaria spp.); , minimal export data Greater Mekong subregion reported Aquilaria spp. ( commonly reported importers). 95 cent CITES trade records Aquilaria crassna 2005 2014 commercial purposes ( purpose code blank20) – purposes include personal, scientific educational. records reported weight ( kg), liquid volume (ml ) individual specimens ( unit). records units, include live individuals carvings, number commodity types expected reported units (.. extract, derivatives, chips, logs oil21) units impossible analyse data detail. sources specimens predominantly artificially propagated () wild (including records reported , , blank). record “seized” shipment (source code ), involved 50 live Aquilaria crassna specimens imported Indonesia Unites States America 2007 personal purposes. detailed trade analysis species focuses exports wild artificially propagated specimens commercial purposes Greater Mekong subregion, reported weight liquid volume ( commodities), number specimens ( carvings live plants). CITES CoP16 2013, annotation accompanying CITES listing Aquilaria species changed exclude “…) exhausted agarwood powder, including compressed powder shapes; ) finished products packaged ready retail trade (exemption applying beads, prayer beads carvings)”. change annotation led exhausted powder wood chips ( considered finished products packaged ready retail trade) excluded CITES trade controls 2013 onwards. amended 2016 ( CoP17).22, 23 Exporter data main source analysis, importer data analysed briefly highlight major discrepancies. number major Aquilaria importers Parties CITES (Taiwan, Province Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 18 China) reservations species,24 report trade. - exports ( specimens originating region) briefly analysed, , removed totals analysis. Finally, important note time writing, Greater Mekong subregion countries, Lao People’ Democratic Republic submitted CITES annual report 2014 2015.25 2005 2014, 694 records commercial exports Aquilaria crassna Greater Mekong subregion 135 records commercial -export specimens originating region. records reported weight analysed detail commodity source type . remaining records, 460 litres oil, 60 m3 logs, 236 carvings million live specimens exported Greater Mekong subregion 2005–2014 ( ). oil exported Viet Nam United Arab Emirates, 50 cent traded 2014 . 60 m3 logs 236 carvings exported Viet Nam China, , 2014. 2005 2014, live Aquilaria crassna reportedly exported Thailand ( 2.2 million specimens) Viet Nam (1.1 million specimens), 100 specimens reportedly exported Cambodia. importer data, live specimens imported 2005–2014, included 2000 live specimens imported Lao People’ Democratic Republic Thailand 2007. live specimens reportedly artificially propagated. considerable increase number live specimens exported years – 2005 2009, region reported exporting 100 000 specimens; increased million specimens years, significant amount trade occurring 2012 2013 ( million specimens). Figure 2.6 shows main destinations live plant trade period – 30 cent exported Indonesia, 28 cent China, 19 cent Lao People’ Democratic Republic 13 cent Myanmar. trade reported weight, 96 cent Aquilaria crassna exported Greater Mekong subregion decade main commodities: powder (926 tons), sawn wood (308 tons), chips (254 tons) logs (46 tons). commodities reported trade weight ( 1 cent total) included oil, live specimens, carvings, timber, derivatives, timber pieces, roots, leaves, extract, stems, seeds medicine. live specimens, reported trade importers considerably period: powder (141 tons), sawn wood (1 ton), chips (70 tons) logs (9 tons). -exports Aquilaria crassna weight originating Greater Mekong subregion predominantly chips (92 cent), smaller quantities logs, sawn wood, oil powder. trade reported weight (99.97 cent) artificially propagated specimens, small quantities wild-sourced chips traded 2005 2009 (0.3 tons) oil 2010 2013 (0.1 tons). 100 000 specimens derivatives (source code , pre-Convention, presumed wild sourced) exported Viet Nam United Arab Emirates 2014. , 25 cent - exports Aquilaria crassna reported weight originating Greater Mekong subregion reported wild- specimens. large proportion chips reported origin Lao People’ Democratic Republic -exported 2013–2014 India (8.7 tons), United Arab Emirates (0.5 tons) Singapore (0.3 tons). reported exports Aquilaria crassna Lao People’ Democratic Republic entire period 2005–2014. , importer records show 1.7 tons chips (0.2 tons wild sourced) imported Lao People’ Democratic Republic Singapore 2009 2013, 15 tons chips ( wild sourced) India 2013. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 19 Figure 2.6 Destinations commercial exports live Aquilaria crassna Viet Nam Thailand, 2005–2014 Source: CITES Trade Database. Figure 2.7 shows trade quantities weight 10 years (2005–2014) main commodities (sawn wood logs combined , chips powder), exporter data. Exports sawn wood logs recorded 2010 onwards, trade occurring 2011 ( 300 tons). Annual exports powder averaged 25 tons 2005–2011, increased 125 tons 2012, 50 tons 2013 570 tons 2014. Exports chips increased decade, average annual exports prior 2011 7 tons increasing 36 tons 2012 2013, 130 tons 2014. Exports powder chips increased 2013 2014. 2005 2014, Thailand Viet Nam reported exports majority powder chips (931 249 tons ) Thailand majority sawn wood/logs (311 tons). Figure 2.8 shows main export destinations sawn wood logs (87 cent trade Taiwan, Province China, mainland China Saudi Arabia) powder chips (85 cent trade Taiwan, Province China, Saudi Arabia, Malaysia, mainland China United Arab Emirates) Greater Mekong subregion 2005–2014. Figure 2.7 Commercial exports main commodities Aquilaria crassna Greater Mekong subregion tons, 2005–2014 Source: CITES Trade Database. Indonesia 30% China 28% Lao PDR 19% Myanmar 13% Malaysia 7% Japan 2% Brunei Darussalam -1% 1%< < Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 20 Figure 2.8 Destinations commercial exports Aquilaria crassna Greater Mekong subregion, tons, 2005–2014 () Sawn wood logs () Powder chips Source: CITES Trade Database. CITES trade data analysis (FAO, 2015) agarwood-producing species entire range trade Parties showed 2005 2013 30 cent agarwood exports cultivated sources, cultivation number range states. linked time takes establish plantations, trees reach age inoculated form resinous heartwood. analysis shows 75 cent cultivated exports reported Thailand, legal wild-sourced exports doubled period (primarily exported Indonesia Malaysia). 2.5.5.2 trade data analysis agarwood seizure data showed increasing illegal trade agarwood products (UNODC, 2016), small share illegal trade detected. Countries origin agarwood reported seizures Indonesia, Malaysia, India United Arab Emirates. seizures destination , 90 cent weight Saudi Arabia United Arab Emirates. 2.5.6 Aquilaria crassna chain: Stakeholders, existing traceability systems benefits Limited information valuation -depth analysis Aquilaria crassna ( agarwood-producing species) chains. exception 2009 published survey analysis (Jensen, 2009) Aquilaria crassna chains Lao People’ Democratic Republic, documents chains wild-harvested Aquilaria crassna. data collected study estimated global retail market valued US$666 US$2300 million, Lao People’ Democratic Republic agarwood (primarily Aquilaria crassna) accounted 2 cent (US$33 million). , export Lao People’ Democratic Republic US$14 million (43 cent total retail ). Based interviews stakeholders trade chain, distinct chains identified, Lao People’ Democratic Republic: agarwood, high quality essential oil, medium quality essential oil quality essential oil. -country processing involves: carving valuable wood agarwood chain, distillation essential oil remaining chains. agarwood chain carried estimated 82 cent agarwood products trade. study collected data chain harvesters ( Figure 2.9), demonstrating complexity. stage, variety stakeholders involved horizontal (.. harvester harvester) vertical trade. harvesting level, stakeholders involved range actors, harvesting illegally harvesting legally customary rights; local short-range harvesters ( operate village forests) long-range harvesters ( operate village forests adjacent forests de facto open access, national parks), foreign harvesters (.. Vietnamese) harvesting rights. annual harvesting/income point() harvest varied ( 2004) US$100 local short-range harvesters US$3000 foreign harvesters. total retained harvesters comparison retail 13 cent. Taiwan, Province China 62% China 16% Saudi Arabia 10% India 7% United Arab Emirates 4% 1% Taiwan, Province China 57% Saudi Arabia 10% Malaysia 6% China 6% United Arab Emirates 4% Japan 3% Viet Nam 3% India 3% Singapore 3% Oman 3% 2% Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 21 Figure 2.9 Generic chain identified Lao People’ Democratic Republic study Source: Adapted Jensen, 2012. legality wild-harvested agarwood trade complex issue , aspects . Jensen (2009) illustrates Lao People’ Democratic Republic. illegal harvesting defined harvesting legal permit customary rights, 80 cent 60 cent volume trade deemed illegal. wild-harvested agarwood enables creation trade chains dissimilar trade valuable illegally traded wild flora fauna. involve trader importing country sending buyers countries origin, communities paid advance order, scouting primarily protected areas, staying months time ( Jurgens, personal communication, 21 July 2016). wild harvesting agarwood result “-catch” hunting harvesting species. Viet Nam, artificially propagated Aquilaria crassna receive CITES export permits legally exported. Vietn Nam system ranger agencies (linked provincial district level forest protection departments) require registration Aquilaria crassna plantations companies households, reported cases exports verified local enforcement staff. Aquilaria crassna plantations established Viet Nam 1980s. Trade wild-harvested agarwood forbidden Viet Nam, illegal harvesting occur driven high demand prices (ITTO, 2015). cases -reporting volumes cultivated agarwood production avoid paying tax administrative fees (Son Ta Minh, personal communication, 19 July 2016). potential implementation challenges CITES controls include lack ability differentiate wild artificially propagated agarwood, lack standardized inoculation processes, lack knowledge administrative procedures small households comply legal requirements (CITES, ..). scale established agarwood plantations, full inventory cultivated stock range states ongoing monitoring recommended. terms differentiation wild cultivated agarwood (Aquilaria spp.), examples ongoing research include direct analysis real time (DART™) time--flight mass spectrometry (Espinoza, al., 2014). Thailand, wild plantation populations agarwood exist ( east west country), including Aquilaria crassna. , harvesting wild permitted ( protected areas, allowed private land). Thailand quota exporting agarwood wild domestic trade. reported Thailand Department Agriculture (ITTO, 2015), wild populations Aquilaria crassna surveyed (date survey established), agarwood plantations country. plantations registered, verified management plans, allowing sustainability assessments. application export permit, land ownership licences checked export permitted agarwood produced land classified protected area. export, shipments inspected customs quarantine departments. Government Thailand implemented law support implementation controls CITES-listed plants Department Agriculture launched system manage Aquilaria crassna. law requires growers agarwood register local authorities including providing nursery number, parent plant stock number quantity traded. registration process takes place electronically Department Agriculture information validated approved nursery inspections monitoring number plants (Duangduen Sripotar, personal communication, 29 July 2016). Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 22 2.5.7 Stakeholders’ recommendations CITES controls traceability systems capacity- building section compiled based stakeholder interviews communication carried part collection primary data study July 2016. list contacts interviewees Annex 1. correct botanical identification species trade, specimen partly processed, seeds, leaves fruits support identification, observed important obstacle traceability ingredients. Aquilaria crassna wild harvesters significantly benefiting trade, wild specimens primarily traded illegally. Livelihoods -tier producers/harvesters primary root unsustainable offtake agarwood medicinal plants, addressing issue fundamental effective implementation CITES provisions. Opportunities exist working primary stages chains add products trade, increase income primary producers. supported piloting practices / certification approach ( World Health Organization Good Agricultural Collection Practices (WHO-GACP), FairWild Standard UEBT Standard. section section 4.7 information), implemented market tool, demand niche verified sustainably harvested products exists developed country markets (.. EU United States America). pilot application build interest importers recognize social environmental efforts costs incurred primary producers (.. premium values). generate additional synergies Multilateral Environmental Agreements (MEAs) CBD Nagoya Protocol, relevant national regulations related access benefit sharing (ABS) harvest utilization genetic resources.26 Programmes projects Greater Mekong subregion exist support implementation pilot exercises future ( , national, regional international BioTrade projects developed UNCTAD partners). limitation pilot programmes main markets agarwood Middle East East Asia, existing demand verified sustainable products. Importing nations significant role play refusing purchase illegal unsustainable agarwood, encouraging sourcing traceable legitimate agarwood products. complex issue, identification agarwood products trade difficult, making training customs officers important capacity-building opportunity. Law enforcement training, specific agarwood, government officials countries involved trade continued. terms market premium, potentially certified agarwood products, EU United States America destinations. importance Middle East East Asia major agarwood markets, advocacy governments greater control imports facilitation capacity industry buy legal sustainable agarwood important considerations. Viet Nam, Ministry Health prioritizes regulation quality medicinal plants, including encouraging regulating implementation national strategy implementation WHO-GACP, trade issues sustainability sourcing requires collaboration government agencies, including Ministry Agriculture, Ministry Industry Trade, Customs, strengthened. Ministry Natural Resources Environment play important role , mandate implementing national regulations ABS. building capacities stakeholders agarwood medicinal plants trade chains Viet Nam , significant capacity-building : ) applying standards medicinal plants production systematic : ) enhancing chain stakeholders’ (trading processing companies) skills working primary producing communities develop chains. moment raw materials middlemen, trade traceable. favourable feedback Thailand usefulness traceability systems support management trade Aquilaria crassna, baselines exist initiation permit system. Implementation initially prove challenging stakeholders supply chain Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 23 convinced benefits traceability system, defined elaborated. suggested pilot project good showing stakeholders traceability architecture improve state trade working . , noted actors involved trade chain, building stronger understanding trust production sector CITES authorities, law enforcement controls, support collaboration implementation regulations. agarwood trade data show, market remains opaque, due structure, limited nature data . Recommendations address : • Undertake full global market analysis ascertain price agarwood, grade, species country, improve estimates global market size production capacity artificial propagation countries. analysis involve working agarwood trading associations gain greater insight market functioning, including estimating scope illegal trade. • CITES trade data shows exports records Lao People’ Democratic Republic, importer records show Lao People’ Democratic Republic origin, -export including Aquilaria crassna wild-sourced origin. specific study needed fill gaps. • insights scale potential wild harvesting trade Aquilaria crassna protected areas valuable. • Clarification greater understanding needed agarwood produced inoculation Aquilaria spp., including assist identification likelihood laundering wild agarwood plantations. • Invest partnerships organizations seeking achieve greater consensus clarification agarwood-producing genera: Aquilaria, Gyrinops , lesser extent, Gonystylus. • Invest /partner organizations, include agarwood trading associations, keen understand effects large-scale cultivation agarwood-producing species, including wild population status, genetic diversity seed stock, quality production aspects. • Collaborate research institutions botanic gardens develop methodology remote sensing identification existing agarwood-producing plantations, produce greater insight agarwood biology ecology. • Develop inexpensive reliable system differentiating cultivated wild-sourced agarwood. • Carry developing implementing methodologies inexpensive efficient identification agarwood-producing species traders CITES Management Scientific Authorities. • Work market actors identify grading systems assess global grading systems viable; understanding standardization processes difficult. 2.6 Desktop study CITES medicinal plant: Dendrobium nobile desktop study carried Dendrobium nobile link study report ornamental plant traceability (Lehr, 2016b). purpose highlight similarities differences trade ornamental medicinal orchids, highlight complexity medicinal plants’ trade; naturally impact implementing traceability system. 2.6.1 Species distribution Dendrobium nobile (var. nobile) epiphytic occasionally lithophytic perennial herb tropical subtropical species Orchidaceae family growing elevations 1,500–2,000 meters seasonal deciduous forest foothills Himalayas (Hiep al., 2007). Synonyms: Callista nobilis (Lindl.) Kuntze, Dendrobium coerulescens Wall. Lindl, Dendrobium formosanum (Rchb..) Masam., Dendrobium lindleyanum Griff, Dendrobium nobile var. alboluteum Huyen Aver, Dendrobium nobile var. formosanum Rchb., Dendrobium nobile var. nobilius Rchb., Dendrobium nobile . nobilius (Rchb..) .Hiroe, Dendrobium nobile var. nobilus Burb.27 Trading : Dendrobium nobile Lindl. http://www.theplantlist.org/tpl1.1/record/kew-31293 http://www.theplantlist.org/tpl1.1/record/tro-50052232 Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 24 Chinese : shí ú (Chinese: 石斛) shí ú á (Chinese: 石斛兰). Countries/territories occurrence: China, Lao People’ Democratic Republic, Myanmar, Thailand, Viet Nam, India, Bhutan Nepal (Hiep al., 2007). 2.6.2 Population status, conservation situ production Dendrobium nobile widespread common species genus mainland Asia. number varieties cultivation, including Dendrobium nobile var. virginale Dendrobium nobile var. cooksonianum. “beginner’ orchid” (Royal Botanic Gardens Kew, ..), species considered durable dependable popular cultivation. countries Viet Nam, wild collection continues, collection meant populations highly depleted verge extinction areas primary forests deeply degraded. species included CITES Appendix II Viet Nam officially protected plant included Red Book Vietnam (Hiep al., 2007) recognized global conservation status IUCN Red List. preserve species wild Viet Nam, recommended NDF (Hiep al., 2007) synthetic alternatives medicinal compounds identified development artificial propagation. Protection species habitat tighter controls local collection recommended. Dendrobium nobile orchidaceous species South China developed commercially ten years large scale (Yun , 2016, litt.). , commercialization, wild harvesting pressure slowed due belief China wild plants cultivated terms quality. Large quantities illegally supplied plants reported coming Lao People’ Democratic Republic, Thailand, Myanmar, China (Yun , 2016, litt.). 2.6.3 Dendrobium nobile species ornamentally medicinally. Chinese medicine centuries treat illnesses fever, diabetes, infection cancer. Dendrobium nobile medicinal products, cosmetic products food dietary supplements (Brinckmann, 2014) improving athletic performance.28 2.6.4 History Appendix II listing CITES controls exemptions Dendrobium nobile included CITES Appendix II 1975. parts derivatives Dendrobium nobile subject CITES controls exemptions (annotation #4) (CITES Secretariat, 2016a): • Seeds (including seedpods Orchidaceae), spores pollen (including pollinia); • Seedling tissue cultures obtained vitro, solid liquid media, transported sterile containers; • Cut flowers artificially propagated plants. http://dictionary.sensagent./Chinese_language/en-en/ http://en.wiktionary.org/wiki/%E7%9F%B3 http://en.wiktionary.org/wiki/%E7%9F%B3 http://dictionary.sensagent./Chinese_language/en-en/ http://en.wiktionary.org/wiki/%E7%9F%B3 http://en.wiktionary.org/wiki/%E7%9F%B3 http://en.wiktionary.org/wiki/%E5%85%B0 Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 25 2.6.5 International trade: CITES trade data Dendrobium nobile 2.6.5.1 CITES trade data analysis Box 4 Summary Dendrobium nobile reported trade, 2005–2014 • 26 cent exports species Greater Mekong subregion, 88 cent China. • 99.78 cent trade commercial purposes. • Live specimens, roots dried plants 97 cent trade weight (26.54 tons: excluding live specimens). • Singapore main destination (97 cent) Republic Korea (2.33 cent). destinations recipients large orders 2009 2013 shown Figure 2.12. • Data suggest reporting practices inconsistent live plants stems predominant items recorded exported ad hoc sales derivatives, dried plants roots recorded 2008. Source: CITES Trade Database. terms trade data, recorded exports imports shown inconsistent, matching record export live plants Myanmar Japan, match exporting importing countries. matching reporting export/import amounts trading nations, trading nation reported simply reported trade. Table 2.3 demonstrates inconsistency missing trade records exporting importing nations. Note cumulative assessment exporters period 2006 2014 -depth review trade figures show wider range importing nations making import results. Table 2.3 Cumulative data 2006 2104 export/import comparison product type export countries Country Type Exports reported Unit Imports reported Unit Difference Status Viet Nam Roots 20 100 kg 23 489 kg -3389 Export understatement China Roots 0 kg 0.5 kg -0.5 Export recorded Viet Nam Dried plants 6436 kg 4000 kg 2436 Import understatement China Medicine 88 0 88 Import recorded China Stems 162.98 kg 250 kg 87.02 Export understatement China Derivatives 500 kg 8.96 kg 491.04 Import understatement China Powder 0 kg 249.49 kg -249.49 Export recorded Viet Nam Roots 1000 Pieces 0 Pieces 1000 Import recorded China Live plants 213 690 Pieces 0 Pieces 213690 Import recorded Myanmar Live plants 5 Pieces 5 Pieces 0 difference exports imports Thailand Live plants 931 Pieces 2757 Pieces -1826 Export understatement Source: CITES Trade Database. CITES Trade Database, 99.9 cent globally traded orchids CITES Appendix II sourced artificially propagated plants (Lehr, 2016b), Dendrobium nobile demonstrated trade live plants 213 metric tons live plants exported China Singapore Republic Korea. percentage Dendrobium nobile traded wild Greater Mekong subregion recorded 7 cent total recorded exports shown Annex 3. compared global trade orchids, wild trade Greater Mekong subregion substantial, Table 2.3 showing trade data Viet Nam 27 tons wild collected roots (20 100 kg) dried plants (6,436 kg) exported Republic Korea. total, import export data transactions similar, data mismatches recorded exporting importing records. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 26 trade data 10 years (2005–2014) show large inconsistencies spikes recorded trade. Figure 2.10 demonstrates impact large data spikes ( outliers) 10-year period distort trade data period. 2009 spike trade live plants China Republic Korea. 2013 spike trade live plants China Singapore. Figure 2.10 Dendrobium nobile exports 2005–2014: 2009 2013 spikes trade Source: CITES Trade Database. Figure 2.11 Dendrobium nobile exports, excluding 2009 2013 Source: CITES Trade Database. Figure 2.11, removing data spikes graphs years 2009 2013, trading spread observed exports imports comparisons easily trade wild artificially produce commodities. Note 2007 export 597 kg live plants exported China Thailand locations world. Reviewing trade data removing years 2007, 2009 2013, trade live plants quantities recorded roots, derivatives, stems, powder medicine. Finally, Figure 2.12 shows breakdown importing nations illustrates trade general spread evenly years 2005–2014 trading nations largest, Singapore Republic Korea. inconsistency current record keeping displayed shows necessity developing process improving recording practices exporting importing nations ensure plant species recorded sourced sustainably trade indigenous livelihoods protected. consideration trade medicinal plants additional supply chain complexities harvesting wild, extra processing drying grinding, variety stakeholders involved, traceability architecture improve CITES processes reporting tracking movement traded species internally externally nations. Traceability explored sections. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 27 Figure 2.12 Importing nations Dendrobium nobile Greater Mekong subregion Source: CITES Trade Database. 20 8 32 0 5 00 0 30 3 27 5 16 3 14 0 11 4 54 50 43 28 24 20 18 18 1 3 0 50 000 100 000 150 000 200 000 250 000 Li ve la nt Country Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 28 3 Short review CITES regulatory framework 3.1 Introduction CITES permits certificates regulate international trade species listed CITES Appendices. Trade listed species controlled specimen level.29 Parties Convention designate Management Authority issues permits certificates exports imports specimens CITES-listed species Article IX Convention. obtain permit Appendix II species, entities apply , national Single Window30 Management Authority. deciding issue permit/certificate, Management Authority : • legality trade process; • sustainability “-detriment” trade survival species wild ( determined Scientific Authority country). 3.2 General framework species interest study (orchids Aquilaria spps.) 1975, orchid specimens wild pressure fear conservation status led listing entire family Appendices newly adopted CITES. 2008, species Orchidaceae family added Appendix , giving highest level protection: Aerangis ellisii, Dendrobium cruentum, Laelia jongheana, Laelia lobata, Paphiopedilum spp., Peristeria elata, Phragmipedium spp. Renanthera imschootiana. rest Orchidaceae family Appendix II, international trade authorized granting export permit - export certificate. 25 million orchids traded annually world, 95 cent artificially propagated Appendix II species hybrids (Africa Muñoz, 2009). Exemptions CITES controls facilitate trade artificially propagated specimens cases. Exemptions apply parts products (seeds, pollinia, plants vitrocultures, cut flowers artificially propagated plants, fruits, parts derivatives artificially propagated Vanilla plants: study refer sections 2.4.4, 2.6.4) traded harming Appendix II-listed species. related study ornamental plants Andean regions, reviews detail CITES framework orchids (Lehr, 2016b) highlights CITES’ definition artificial propagation identification artificially propagated plants. Aquilaria spp. hand genus 15 species trees Thymelaeaceae family native South East Asia. Aquilaria malaccencis main sources resin-suffused agarwood infected mould. Aquilaria spp. listed Appendix II, genera Gonystylus spp. Gyrinops spp. Aquilaria malaccensis listed 1995 CoP9. CoP13, , genus listed. listings entered force 12 January 2005. study focus species Aquilaria crassna (section 2.5). Subsequently, CoP16, decisions agarwood-producing taxa . 31 Decision 16.155 calls exporting importing Parties produce identification manual agarwood products. importantly, Decision 16.156 requests Plant Committee assess applicability concept artificial propagation mixed monospecific plantations tree species. Plant Committee established intersessional working group32 matter turn issued questionnaire Parties33 information gathering production systems. report presented CoP17. 3.3 case finished goods 3.3.1 Orchids 22nd meeting Plants Committee (PC22) Tbilisi (Georgia), 19–23 October 2015, Management Authority Switzerland Liechtenstein submitted document PC22 Doc. 22.1 34 concerns proposal amend Convention view exempt finished products packaged ready retail trade components Appendix II orchids. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 29 Management Authority reported document results short trade survey (published PC22 Doc. 22.1 Annex I35). short study 39 species Orchidaceae family present European commerce forms (Brinckmann, 2014). Management Authority referred guiding principles annotations medicinal plants adopted CoP13 (Doc. 5836). : ) Controls concentrate commodities international trade exports range states. commodities range crude processed material; ) Controls include commodities dominate trade demand wild resource. guiding principles amend annotation #4 ( applies series genera species) limits listing Appendix II parts derivatives, : ) Seeds (including seedpods Orchidaceae), spores pollen (including pollinia). exemption apply seeds Cactaceae spp. exported Mexico, seeds Beccariophoenix madagascariensis Neodypsis decaryi exported Madagascar; ) Seedling tissue cultures obtained vitro, solid liquid media, transported sterile containers; ) Cut flowers artificially propagated plants; ) Fruits, parts derivatives thereof, naturalized artificially propagated plants genus Vanilla (Orchidaceae) family Cactaceae; ) Stems, flowers, parts derivatives thereof, naturalized artificially propagated plants genera Opuntia subgenus Opuntia Selenicereus (Cactaceae); ) Finished products Euphorbia antisyphilitica packaged ready retail trade. Based similar amendment Euphorbia antisyphilitica, Management Authority Switzerland Liechtenstein suggested studying potential risks / benefits exemption orchid components, wild-collected specimens, advisability submitting proposal CoP17 amend cited annotation #4 Appendix II orchids. PC22, Committee established working group annotations Appendix-II orchids (agenda item 22.1) mandate: " draft terms reference intersessional working group Plants Committee annotations Appendix-II orchids addressing, inter alia, relationship Plants Committee' intersessional working group annotations Appendix-II orchids Standing Committee' Working Group annotations." CoP17, Document 83.3 'Annotations Appendix II orchids' submitted CITES Secretariat Canada prepared Acting Chair Plants Committee -Chair Working Group Plants Committee Annotations Appendix-II orchids. Doc. 83.3, draft decisions, amendments Secretariat document CoP17 Doc. 83.3, accepted Committee II adopted. 3.3.2 Aquilaria spp. Aquilaria spp. annotation exists. Annotation #14 limits listing Aquilaria spp. parts derivatives : ) Seeds pollen; ) Seedling tissue cultures obtained vitro, solid liquid media, transported sterile containers; ) Fruits; ) Leaves; ) Exhausted agarwood powder, including compressed powder shapes; ) Finished products packaged ready retail trade, exemption apply beads, prayer beads carvings. section 2.4.7 stakeholder feedback suggests benefits exempting finished products packaged create addition countries origin. 3.4 CITES traceability: Beneficiaries core purpose report evaluate CITES processes strengthened implementation traceability system support sustainable trade, , recommend ways Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 30 implement . , aim assess development traceability system improves ability protect control CITES-listed species. permit systems control trade listed species, guarantee legal sourcing raw materials; implementing traceability system significantly strengthen Parties’ ability control source. Traceability systems support fair pricing social initiatives case certification schemes FairWild Standard. Forming partnership certification system, CITES traceability system protect trade CITES-listed species increasing benefits stakeholders participating traceability system. aspect consideration report. beneficiaries implementation traceability system medicinal trade Parties implementing Convention. governments protect long-term economic viability legal trade CITES-listed species, government agencies assigned task controlling trade additional tools enforce audit CITES-related laws regulations. beneficiaries local inhabitants rely CITES-protected species livelihood long-term economic survival. management species traceability systems ensure illegal trade limited poachers protected species easily profit illegal harvesting protecting long-term sustainability trade species. national economy stands gain legal trade protected species ensuring taxation lost illegal cash-based trade. turn benefits society ensuring extra capital invest country’ infrastructure development trade, , trade listed species investments plantations improving transport infrastructure. Customers medicinal-based products traces CITES-listed species beneficiaries knowing product purchasing sourced legally ingredients packaging . benefits companies trade medicinal goods ensuring creating beneficial customer good products ensuring future profitability company. Traceability systems enable authorities track supply chain, identify point supply chain rogue ingredient entered chain contaminated product. indirectly adds extra pressure stakeholders supply chain ensure abide government legislation consumer concerns processing standards. benefits, readily measurable monetary terms, species , protecting species diversification, cultural activities, businesses sustainable tourism related industries. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 31 4 Existing traceability systems 4.1 Definition traceability Traceability commonly defined “ ability access information relating consideration, entire life cycle, means recorded identifications” (Olsen & Borit, 2013). words, traceability system identifying connecting entities supply chain product unit making traceable point time. International Standards Organization (ISO) defines traceability “ ability trace history, application location object” supply chain.37 GS1, international --profit organization develops maintains standards supply demand chains multiple sectors, defines traceability “ ability track movement stage () extended supply chain trace history, application location consideration” (GS1, 2012). relevant definitions collected CITES Secretariat published -SC66 Doc. 34.1 (Rev. 1) (CITES Secretariat, 2016c). 4.2 Short summary supply chain traceability UNCTAD study ornamental plants Andean region (Lehr, 2016b), basic components traceability explained – viewpoint private sector. , reference unique identification (UI), critical tracking events (CTEs) key data elements (KDEs). Unique identification (UI): Refers principles UI states elements establish traceability, products product lots, companies, storage locations . uniquely identified. Ideally, companies employ international standards identifying suppliers, products, trade logistics units, , ISO/IEC 15459 applied identification globally unique. , internal information elements, .. passed supply chain, uniqueness context ( company, district country) sufficient. UI important ingredient traceability, multiple coding systems proposed multiple organizations founded supply market unique identifiers. important GS1, global provider UI products. GS1 partners ITC Blue Number Initiative38 farmers agricultural supply chain partners globally unique identifiers attempt upscale adoption globally unique identifiers farmers. providers globally unique codes .39 Critical tracking events (CTEs): called tracepoints – assume supply chain operations split series operations relevant traceability (tracking events). tracking events critical achieve purpose traceability system. denominated CTEs. decide tracking events critical, principle recorded transformations traceability (Lehr, 2013b) , states transformations split, merge, change nature critical tracking events. Key data elements (KDEs): theory CTEs assumes independent individual firm KDEs formulated – context sector. KDEs consist important information traceability perspective CTE. argue international standards ISO12785:2011 ISO12877:2011 traceability finfish products collection KDEs. Typically, main categories CTEs entity: reception, processing dispatch, depicted Figure 4.1. traceability system define KDEs recorded CTEs, degree differentiation CTEs. , processor medicinal plants define separate processing CTEs mixing drying, process composition good . achieve traceability, essential KDEs recorded beginning transformation process link inputs outputs. length supply chain covered traceability system called depth depends purpose. cases, supply chain steps, distribution, excluded traceability systems. KDEs defined tracking tracing CTE . , include information achieve purpose traceability system. , KDEs Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 32 artificially propagated plantation medicinal plants species, propagation method, operator code parent plant. Figure 4.1 Typical CTEs common KDEs KDEs differ supply chain product transformed information relevant. general, KDEs include basic descriptive elements, origin destination, processes applied product legal status. traceability system define specific KDEs CTE. amount information recorded KDE commonly called breadth traceability system. 4.3 UN/CEFACT architectural modelling traceability framework large-scale traceability systems definitions straightforward , obtaining information object, product ingredient product, requires coordination variety parties, means obtain information. “ ability access” refers potentially significantly complex mechanism span private public stakeholders. long argued (Lehr, 2013a, Lehr, 2013b; Lehr, 2015a) order build large-scale traceability systems global supply chains, crossing borders, traceability systems split layers; Figure 4.2 -tiers UNCTAD study python skins (Ashley, 2014). layer represented data generation layer includes private sector entities contracts detailing information elements passed supply chain steps. layer issuance layer permit certificate issued allowing trading supply chain asset information elements formed data verification requirement. Finally, verification layer information contained data generation layer corroborated independent parties .. auditors certification scheme. purpose verification layer information contained private sector layer () correct. Part information public sector, contained data generation layer, information mandate (.. ensuring food safety legal trade). 27th United Nations Centre Trade Facilitation Electronic Business (UN/CEFACT) Forum (25– 29 April 2016), subject brought agricultural domain subcommittee position paper elaborated UNECE Secretariat. paper examines implementation large-scale traceability systems perspective public domain, guidance structure layer Figure 4.2. key aspect UNECE paper realization definition traceability public sector layer. Traceability method substantiate claim statement related product, service business process formed product based information . traceability system government agencies involved, claims typically relate values society, related goals United Nations Sustainable Development Agenda. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 33 Figure 4.2 -layer approach large-scale traceability systems – adapted UNECE architectural model approach Source: Lehr, 2015a. statement supported traceability system called policy claim: “ policy claim high level statement, intangible feature process traceable asset requires tracing supply chain supported data collection.” traceable asset takes position “ consideration” definition (Olsen & Borit, 2013) (GS1, 2012): Traceability defined : “ ability substantiating policy claim implicates public authority collection relevant data-sets supply chains cross border trade.” CITES Convention countries (“Parties”), traceability CITES Management Authority specific country considered part Layer 1 ( Figure 4.2) definition apply. data generation layer Figure 4.2 adapted original layered approach defined Lehr (2015a) reference UN/CEFACT traceability architecture. emphasises importance collaboration public private sector stakeholders formalize KDE collection agreements aid validation policy claim. section, traceability framework UN/CEFACT adapted definition traceability system CITES-listed medicinal plants. Policy claims implemented competent authority country linked segment supply chain. segment marked potentially entry point traceability start exit point traceability stop. CITES trade Convention concerned internal consumption ( potentially influences NDF) entry- Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 34 exit point pair guarantee legal orientation (collection / creation medicinal aromatic plant – MAP) ensure accurate capture KDEs tracking auditing purposes. related UNCTAD study ornamental plants, , suggested traceability origin limited purview single CITES Management Scientific Authority, subsequent authorities chain rely CITES certificates. sense, suggested existence single entry-exit point pair ( entry point) reduce complexity ensure items tracked set rules. Section 5 assess feasibility medicinal plants. entry exit points entry exit point conditions. Entry point conditions ensure traceable asset meets features qualify enter traceability system. entry point condition legal acquisition raw material sustainable source stakeholder possesses valid trading permit. exit point condition lays conditions required met traceable asset exit supply chain. require issuance export certificate documentation order ( purchase receipts, collection permits, records entry warehouse). restrict demonstrate compliance entry condition, .. exempting small-scale operators providing documentary evidence. Transformation rules describe rules applied processing traceable asset entry exit points supply chain policy claim met. transformation rule requirement weight wood chips quantity oil produced processing factory match weight wood chips quantity oil ready export. traceable asset entered supply chain entry exit point registered traceability system entry point: .. asset traceable supply chain. audit agency set competent authority verify adherence entry/exit point conditions transformation rules. CITES Management Scientific Authorities coordination customs agencies. audit agency potentially public sector, .. accredited conformity assessment body (CAB) implemented public-private partnership (PPP). outcome audit , , issuance relevant CITES export permits. 4.4 Policy claims policy briefs traceability project born policy claim derived government mandate societal objective aims, , improve long-term viability trade sector. validate policy claim, requirement implement data gathering process collect KDEs turn audit agency verify policy claim satisfied. , organization CITES issued requirement collect data elements international trade medicinal plant species. Party (.. country signatory CITES), required substantiate policy claim implementing traceability system defined segment (entry/exit points) supply chain. organizations issue similar requirements industry related supply chains. Examples policy claims : • Oils production medicinal goods sourced accordance rules CITES; • Medicinal oil fully traced oil mills, compliant national legislation engaged illegal practices. step preparing traceability project prepare policy based policy claim. policy opportunity key stakeholders define approach linking policy claim technical events recorded traceability system. Project success satisfying policy claim dependent creating strong collaborative agreements organized discussions public private sector stakeholders. policy identify KDEs required verify policy claim. depicted Figure 4.3, create policy , project owners40 ensure relevant stakeholders public private sectors identified communication channels created ensure stakeholder collaboration find common agreement satisfying implementation traceability project tasks (.. identifying private sector standards). aim create open atmosphere communication feedback loops Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 35 operate freely effectively ensure project team promote continuous decision-making stuck point. Figure 4.3 Process stakeholder engagement core task project owners ensure stakeholder buy- point identified supply chain. Ideally, private sector afforded autonomy define data collected managed supply chain point public authorities. public sector stakeholders ideally concerned collection supplied data elements subsequent auditing. Note cross-border supply chains, ideal scenario country manage supply chain’ traceability system exit point exporting nation ( exit point conditions/transformation rules met) meets entry point rules/conditions importing nation. , public authorities trading nation concerned management data element collection local supply chains. , entrust competent authority previous supply chain ensure correct audit checks performed. 4.5 Types transformation rules international traceability supply chain visibility systems, types transformation rules ( ). models (segregation, mass balance, book claim) interest shown Figure 4.4. product segregation model operates physically separating materials subject policy claim subject supply chain. approach ensures 100 cent product exit point derived entry points part traceability system. approach item level products material single source (identity preserved). mixing sources, materials subject policy claim (segregated). approach policy claim highly valued importers/customers. Examples crocodile skins export live CITES-listed ornamental plants. identity preservation approach, mixing certified commodities sources strictly forbidden. ensures product traced origin uncertainty. , identity preservation highly impractical costly consumers explicitly interested specific origin product, .. food. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 36 Figure 4.4 Types transformation rules traceability systems mixing natural process (due grading ), segregated approach practical, certified commodities mixed, certified sources. mass balance model strict segregation , mixing certified - certified commodities. operator records amount input subject policy claim, production facility company , allowed declare equivalent amounts product compliant policy claim. Customers asset receive compliant source, average product percentage compliant ingredients. commonly business segregation considered costly. book claim (&) model certificates issued compliant entry. certificates tradable independently good. Buyers certificates communicate public support policy claim, .. labelling products. claims “product supports sustainable sourcing production essential commodities” . & models foster uptake compliance schemes insufficient incentives supply chain drive adoption. constitute traceability system se, & models increase attractiveness early stage operators. 4.6 Chain certification type traceability systems Policy claims require time element related object consideration. Compliance food safety regulations , typically requires knowledge sources ingredient batches destination product batches ( “ step , step ” system). policy claims, , simply require presence absence procedures, processes products, independently timing factor. implementation policy claim child-labour free products require necessarily timing component, simply assurance product streams free materials produced children. system Halal certification schematically represented Figure 4.5. Individual products manufacturer Halal certified. qualify, manufacturer submits certifier list ingredients product list suppliers ingredients. certifier classifies ingredients risk contamination unlawful substances contamination. , certifier inspects Halal certificate suppliers ingredient. suppliers ingredient Halal certified , ingredient deemed Halal. Certifiers proceed inspect manufacturing facilities confirm requirements met company . 41 ingredients Halal company operates rules certification scheme, combination product suppliers considered Halal. Manufacturer wishes exchange Supplier supplier Halal certificate, amend certificate. , , document supplier ingredients product batch. Halal certification constitutes chain certification certificate product depends correct operation manufacturer, certificates suppliers ingredients product. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 37 Figure 4.5 Schematic representation Halal certification , risk contamination ingredients, certification considers ingredients innocuous omits suppliers requirement certification. 4.7 role certification schemes supporting traceability 4.7.1 FairWild Standard 4.7.1.1 FairWild Standard traceability FairWild Standard private standard managed FairWild Foundation applicable wild plant collection operations wishing demonstrate commitment sustainable collection, social responsibility fair trade principles. TRAFFIC founding organizations FairWild Standard, supporting implementation Partnership Agreement FairWild Foundation. FairWild certification -party audited system. purpose standard ensure continued long-term survival wild species populations habitats, respecting traditions cultures, supporting livelihoods stakeholders, notably, collectors workers providing benefit-sharing chain. Full traceability goods (wild plant ingredients) finances basic principles FairWild Standard certification scheme. terms traceability goods, Principle 10 Standard (FairWild Foundation, 2010) reads: Applying Responsible Business Practices: Collection wild resources undertaken support quality, financial traceability requirements market sacrificing sustainability resource. requires set documented practices point trade chain “Storage handling target resources managed support traceability collection area sales” (Principle 10.2). key traceability requirements 10 principles pertinent forming potential traceability partnership include: 1) Market identified (.. buyer orders, specification sheets, .); 2) Buying records reliable adequate, details collectors’ , quantities collection area. Collectors issued receipts; 3) Documentation central processing/packing activities traceability batches adequate; 4) effective system ensures traceability collection area established; 5) Labelling procedures, documented purchase sale products certification scope ( relevant) established; Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 38 6) certified, status products invoices shipping documents. Key systems documents demonstrate implementation traceability requirements include: • Traceability system (labels; harvest, processing sales records); • Storage labelling. terms practical application requirements, information traced stage harvesting, processing trade. starts wild collectors delivering raw collected products purchase centre/point, cases intermediate step primary processing (.. drying, rough cutting). FairWild-harvested product stage onwards specifically labelled ( bags). Purchases required registered buying record states date, collectors’ code, collection area, delivered quantity product details FairWild certification status. , collectors issued receipts, date, collectors’ ( code), species product, delivered quantities FairWild certification status. point onwards trade chain, products consolidated batches. requirement documentation central processing/packing activities (processing/packing diary) traceability batches. Batch codes required traceable processing stages, processed product (.. cleaned, sorted, cut, sifted material) processing ratio (collected quantities final processed weight) composition ( case multi-ingredients products) documented. unusual batches processed times nature final products ( medicinal, food cosmetic). Collection post-collection identification, labelling record keeping procedures tracing goods batch area collected. FairWild certification system, important ingredient coming producers certified system, separately stored processed. Products labelled correctly leaving collection operation buyer. labels company-specific, minimum include FairWild certification status products, product, lot number code purchase centre. terms compliance check, FairWild certification scheme requires annual audit accredited certification body, conducts full trace- sample batch collection area. FairWild performance indicators basis audit (FairWild Foundation, 2013). audit visit includes, applicable, visiting collectors’ homes, storage facilities. declared quantities traded time checked sustainable harvesting quantities completed resource assessment, management plan permit ( applicable). compliance collection operation legal requirements checked certification audit. FairWild chain custody approach (Figure 4.6), “ registration traders manufacturers FairWild Foundation required” (Fairwild Foundation, 2013). registered entities required submit annual turnover declaration form FairWild Foundation, details species traded quantities. information FairWild Foundation calculate trader fees substantiate “spot-check” audits chain custody (.. case -information declarations inaccurate). Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 39 Figure 4.6 Model chain custody FairWild Source: FairWild Foundation. variety FairWild certified operators certified “organic wild” good manufacturing practice (GMP)-compliant certified hazard analysis critical control points (HACCP) traceability controlled processing step. FairWild requires traceability collection site, important considerations sustainability wild-harvesting practices ground. important distinction FairWild Standard potentially compatible UNECE traceability architecture model. processes support implementation policy claims, seek define entry exit points requiring entry/exit point conditions transformation rules met auditable ensure wild-harvested goods protected ensuring fair payment supportive social benefit outcomes. adopting FairWild Standard tool traceability architecture, project owners offer benefits ensure private stakeholders investment traceability system worthwhile. examples benefits: • Fair premium prices collectors; • FairWild sales prices (based transparent fair cost calculations); • FairWild premium fund; • ABS genetic resources / derivatives depending case; • Gender equality; • discrimination child labour; • Mutually beneficial trade relations. FairWild Standard supporting implementation objectives CBD: biodiversity conservation, sustainable biodiversity fair sharing benefits exploitation resources. comprehensive nature FairWild Standard enables partner stakeholders involved Global Strategy Plant Conservation working fulfilment targets. FairWild Standard supports implementation Nagoya Protocol. CBD COP 10 2010 Nagoya Protocol adopted entered force 12 October 2014.42 4.7.1.2 FairWild implementation FairWild Standard implemented partners TRAFFIC variety countries,43 including related study priority countries: China Viet Nam. relevant Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 40 FairWild Standard, TRAFFIC, implemented TCM supply chains China community implementation project harvesting traditional Vietnamese medicine ingredients Viet Nam. China, TRAFFIC worked TCM companies sustainable supply chains medicinal plants wider sectoral change, including engaging TCM industry associations supporting industry leadership uptake good practices (Timoshyna al., 2015). project partners included important TCM manufacturer Zhejiang province, association TCM societies civil societies. -year period, project created opportunities greening current TCM plant ingredient sourcing practices. included development delivery extensive supplier training programmes, development innovative TCM sector corporate social responsibility (CSR) guidelines testing application enterprise implementation roadmap, convening forum CSR sustainability TCM sector. Viet Nam, project partnership TRAFFIC, government company, funded Darwin Initiative, focusing community-level capacity building sustainable medicinal plant resources.44 project, conducted provincial level Bac Kan Forest Protection Department Traditional Medicine Association Ministry Health, practical pilot illustration conservation benefits sustainable important medicinal plants realized context community-level resource management. CITES-listed Cibotium barometz project’ target species. project aims reach wider traditional medicine sector raising awareness benefits sustainable sourcing. moment cases FairWild certification applied CITES-listed species, years FairWild scheme’ existence, interest certification CITES Appendix II species expressed. relevance FairWild Standard verification sustainability harvesting trade wild plants, including MAPs, pilot FairWild certification trade CITES Appendix II-listed wild-harvested medicinal plants, complementing existing CITES control measures. 4.7.2 Union Ethical BioTrade (UEBT) Standard alternative, UEBT, worth traceability project partnership. UEBT aims contribute process market transformation cosmetics, food natural pharmaceutical sectors. Ethical BioTrade concepts tools, model platform businesses contribute local development biodiversity conservation, support implementation Sustainable Development Goals (SDGs) CBD objectives. UEBT visions vision statements identified : UEBT vision leading association companies involved biodiversity-based innovation sourcing, driving sustainable business growth, local development biodiversity conservation. UEBT mission promote Ethical BioTrade practices offering UEBT members independent verification, technical support networking opportunities biodiversity-based innovation sourcing. UEBT promotes private sector engagement sourcing natural ingredients respect people biodiversity. created 2007, support UNCTAD BioTrade Initiative, brings companies -profit sector organizations NGOs committed Ethical BioTrade. UEBT member companies active cosmetics, food pharmaceutical sectors. collect grow plant material ( , wild collection, agroforestry agriculture), produce plant- based ingredients extracts, vegetable essential oils, tinctures, active ingredients, conduct research development ingredients products. activities, Ethical BioTrade Standard, managed UEBT, guides company practices drives sustainable business growth, local development biodiversity conservation. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 41 Box 5 Ethical BioTrade Standard45 Ethical BioTrade Standard defines practices advance sustainable business growth, local development biodiversity conservation. encapsulates: • Practices promote biodiversity conservation maintaining restoring ecosystems biological resources sustainably. includes measures contribute positively proactively biodiversity conservation sourcing areas, measures actively reduce potentially negative impacts raised sourcing activities. • Practices aim contribute local development equitably sharing benefits generated biodiversity. takes place equitable trade practices, sharing benefits derived innovation based biodiversity traditional knowledge. • Practices seek respect human rights, rights workers local indigenous communities, rights linked natural resources. • Practices address sourcing risks improve economic viability companies products, Ethical BioTrade companies supply chains sustainable socioeconomic terms. Source: UEBT. UEBT 40 member companies approximately 15 countries. 80 suppliers certified Ethical BioTrade Standard world, offering 260 natural ingredients agroforestry, wild collection agriculture. Traceability requirements apply UEBT members certified suppliers, externally audited. addition , chain--custody certification required ingredients claims consumer products. Section 4 BioTrade standard (UEBT, 2012) sets traceability requirements ensure : • organization documents flow natural ingredients operations. • organization sets critical control points monitor traceability organisation supply chains. interest UEBT/UTZ certificate programme46 herbal teas built UEBT Standard. core component programme traceability requirements ( point 11 Annex 4) adhered supporting auditing process verify claims confirm certification (UEBT/UTZ, 2015). strong focus traceability UEBT Standard partnership candidate UNECE traceability architecture project ( section 5.3). Key aligning Ethical BioTrade Standard UNECE traceability architecture UEBT requirement identify, monitor record critical points supply chain. requirements potentially complement architecture requirements identifying entry points, entry rules conditions transformation rules. advantage UEBT principles “fair equitable benefit sharing”, project owners potential tool leverage stakeholder buy- traceability system. 4.8 Implementation public sector traceability systems highlighted earlier implementation traceability complex operation lacks areas (Lehr, 2015a): • Integration supply chain players, small-scale operators; • Standardization; • Governance traceability system. collect international experience public sector driven traceability system implementation, UNECE presented position paper agricultural domain subcommittee 27th UN/CEFACT Forum (25–29 April 2016). paper produced UN/CEFACT Secretariat collaboration experts public private sector. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 42 Figure 4.7 Process implementation public sector traceability systems Source: UNECE. agreed process depicted Figure 4.7. critical importance determination pre-conditions limitations feasibility study status quo baseline study. Based , master plan developed. critical aspects development master plan definition benefits stakeholders finding good (perceived) benefits motor driving implementation. Data management concerned technical task identifying data sets required satisfy policy claim rights access , traceability management concerned actual management system (operation, reporting, .). Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 43 5 Traceability CITES-listed medicinal plants 5.1 potential role traceability CITES processes CITES Secretariat presented overview traceability 47 66th meeting Standing Committee Geneva (Switzerland). overview, Secretariat references potential benefits Parties: • Improved compliance Convention legal acquisition -detrimental trade; • Ability confirm legal origin specimen trade; • Generation data NDFs, review significant trade, development indicators; • Prevention laundering illegally harvested species legal supply chain; • Ability track trace48 specimen entire CITES Management Authority supply chain; • Increased confidence supply chain CITES community; • Improvements CITES processes procedures. addition, major traceability benefit strengthen CITES processes avoidance entry illegal material legal chains, .. avoidance “laundering” (Lehr, 2015b; Lehr, 2016b). 5.2 Limitations traceability systems trade medicinal plants case ornamental plants Latin America, larger extent, portion medicinal plant trade illegal, unregulated / unreported; black market activities, traceability ideal tool ( information analysis, UNCTAD study CITES ornamental plants (Lehr 2016b)). buyer seller act knowingly law, document transactions information form . addition, medicinal plants Greater Mekong region, presence informal trade borders cross border. information orchids ( Fay, 2015; Subedi al., 2013). Traceability law enforcement activities extent () analysis product flows provide hints illegal activity volume data collected; () companies held accountable based data previously submitted ( section 2.4.7). impact traceability reducing black market transactions overestimated highlighting significant role competent authorities importing nations play refusing entry illegally acquired plant products ( section 2.5.7). , medicinal plant supply chains significantly complex ornamental plant supply chains, processing -processing plant material. medicinal personal care products, medicinal plants minor ingredient measured weight. Making laundering difficult consequences. raise awareness supply chains push semi-legal chains legality. , , convert (semi-)legal chains illegal chains additional data requirements burden complying . case () current business models interrupted (.. small-scale production); () additional documentation requirements exceed capacity supply chain stakeholders; / () transaction costs additional requirements reduce profit margin. lot care requirements supply chain partners balance benefits perceive operating legal framework. 5.3 Applying UN/CEFACT traceability framework medicinal plants Applying UN/CEFACT traceability framework trade medicinal plant products species interest, suggested break international supply chain pieces control single CITES Management Authority. Breaking full global supply chain smaller entry exit point pieces application framework, places goods responsibility Management Authority point chain. definition entry/exit point conditions transformation rules creation traceability subsystems suitable agency links CITES Management Authorities. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 44 Figure 5.1 Breaking global supply chain step formulation policy claim statement. concrete formulation policy statement fall purview Party Parties CITES Management Authority belongs , template statement read: “Medicinal aromatic plants (MAPs) harvested traded accordance applicable national international rules regulations. , CITES-listed MAPs products thereof [destined export] traded legally acquired trade detrimental survival contained species. Records operators demonstrate legal acquisition, -detrimental levels trade determined competent authority.” policy statement square brackets effectively extend CITES rules domestic trade. Parties wishing include square brackets. policy statement links requirement legal acquisition record keeping implicitly implements -step system, operator records linking suppliers legal source materials (.. collection permit). entry point range state, material originates, called “origination” earlier studies, pre- dating traceability framework. traceability system shark products (Lehr, 2015b) ornamental plants (Lehr, 2016b) relied existence legal origination process. legal origination process origination process covered official control increase reliability material effectively “created” ( processing chain) legally. traceability framework legal origination process equivalent entry point condition. case shark products, legal origination process (entry point condition) landing inspection mandatory countries, .. Costa Rica (Lehr, 2016a), small-scale fleet. case ornamental plants Latin America, UNCTAD report suggested annual operating licence based inspection supported registry (.. computerized registry) mother plants legal origination process (Lehr, 2016b). importance safeguarding natural resource, sense differentiate unprocessed plants, plant parts products thereof treat differently. “unprocessed” author understands " continuation" form alter significantly natural resources. , drying, cleaning, splitting . considered significant alterations; , extraction distillation . Plants plant parts species consideration report hand originate collection wild, plantations artificial propagation ( natural extension concept, studied mentioned section 3.2. leads entry point condition: acquisition unprocessed CITES-listed MAPs subject issuance operating permit. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 45 wild-harvested material, records collection date, species quantities harvested. [Associations collectors issued joint permit individual members identified total volume collected significant.49] annual summary record filed total quantity harvested species. entry point condition rules lines: Permits wild collection / artificial propagation CITES-listed MAPs issued competent authority identified uniquely permit number. Permits controlled inspections. Small-scale collectors49 exempt [ collection permit ] keeping harvesting records, sales recorded clients include sales date, species, weight price. annual report filed total purchased quantity species small-scale collectors. artificially propagated specimens, registry parent plants propagated plants linked parent plants. annual report filed detailing total sold volumes species. Additionally, material originate (.. country) imported. material, entry point condition apply lines: import processed unprocessed CITES-listed MAPs derivatives [ exception finished products packaged ready retail trade] subject permit. entry point condition rules lines: imports processed unprocessed CITES-listed MAPs covered CITES permit certificate issued rules CITES [ exception finished products packaged ready retail trade]. Importers required operating permit identifies uniquely. Purchasers unprocessed plant products continue trade unprocessed goods process ; clients trade process processed goods. , entry point condition transformation rules apply. suitable entry point condition : Trading processing CITES-listed MAPs subject operating permit. transformation rules lines: Operating permits trading / processing CITES-listed MAPs derived products issued competent authority identified uniquely permit number. Operating permits controlled inspections. Traders unprocessed MAPs required purchase records detailing supplier, species, quantity date purchase. annual report filed detailing total quantity purchased material species. Small-scale traders49are exempt [ operating permit ] keeping purchase records, sales recorded clients include sales date, species, weight price. annual report filed total purchased quantity species small-scale traders. processing, annual report filed detailing total purchased volumes species total volume products CITES-listed MAPs. trading processing products CITES-listed MAPs list suppliers identified unequivocally (.. respective permit numbers) supplied annually. Voluntarily, permit holders declare purchased quantities suppliers. traceability stops exit point case customs export declaration. exit point, exit point conditions audited. Suitable exit point conditions satisfied : (-)Export products [ finished products packaged ready retail trade] MAPs subject permit. CITES rules issuance permits apply. Permits (-)exporting CITES-listed MAPs derived products issued competent authority identified uniquely permit number. Permits issued Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 46 shipment controlled inspections. [Finished products packaged ready retail trade exempt permits.] Unprocessed CITES-listed MAPs considered legally acquired () trader holds valid operating permit; () filed annual report year applying export permit; () demonstrate request purchase records export species consideration. Small-scale traders eligible export permits. Products CITES-listed MAPs considered legally acquired () trader holds valid operating permit; () filed annual report year applying export permit; () exported quantities substantiated supply base trader. generic entry rules import, set rules apply transit state market state. Table 5.1 summarizes application UN/CEFACT traceability framework case CITES-listed MAPs, designed case species consideration. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 47 Table 5.1 Summary application UN/CEFACT traceability framework CITES-listed medicinal plants Framework element Definition Process Description Policy claim statement traceability system supports. Internal, ideally coordinated Parties Policy claim : “Medicinal aromatic plants (MAPs) harvested traded accordance applicable national international rules regulations. , CITES- listed MAPs products thereof [destined export] traded legally acquired trade detrimental survival contained species. Records operators demonstrate legal acquisition, -detrimental levels trade determined competent authority.” policy claim falls authority Party, .. “ State Convention entered force.”50 Traceable asset item (object, product service) tracked supply chain state moment. Import, (-)export internal . Unprocessed MAPs; ii. Processed MAPs mixing species; iii. Products MAPs; iv. Finished products packaged ready retail. Entry point process starting point traced supply chain. Import internal origination materials : . Import; ii. Wild harvest; iii. Plantation; iv. Artificial propagation.51 Entry point conditions conditions assets meet enter traceability system. Import Presence CITES certificate(), potential exception Traceable Assets type (ii) Internal Traceable assets type (): - Operators require uniquely identified operating permit; - wild-harvested specimens, records collection date, species quantities; - artificial propagated specimens, registry parent plants propagated plants linked parent plant; - annual summary record filed total quantity harvested sold species; - Small-scale collectors excluded [ collection permit ] harvest records. Traceable assets type (ii) (iv): - transformation rules import; - Clients small-scale operators selling traceable assets type () record sales date, species, weight price. annual report filed total purchased quantity species small-scale collectors. Traceable assets type (iv): Potentially excluded CITES control; identical traceable assets type (ii). Exit point process point traced supply chain. (-)Export (-)Export products [ finished products packaged ready retail trade] CITES-listed medicinal aromatic plants. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 48 Framework element Definition Process Description Exit point conditions Conditions assets meet leave traceability system. (-)Export legally acquired trade -detrimental survival species. Traceable assets type () considered legally acquired: - trader holds valid operating permit; - filed annual report year ; - demonstrate request purchase records; - Small-scale traders eligible export permits. Traceable Assets type (ii), (iii) (iv) considered legally acquired: - trader holds valid operating permit; - filed annual report year ; - exported quantities substantiated. Traceable Assets type (iv): Potentially excluded CITES control; identical Traceable Assets type (iii). Transformation rules Rules applied processing assets entry point exit point. Internal operators [ exception buyers finished goods] require operating permit. Traceable assets type (): - Purchase records detailing supplier, species, quantity date purchase . annual report filed detailing total quantity purchased material species; - Small-scale traders exempt [ operating permit ] keeping purchase records, sales recorded clients include sales date, species, weight price. annual report filed total purchased quantity species small-scale traders. Traceable assets type (ii): - annual report filed detailing total purchased volumes species total volume products produced CITES-listed MAPs. Traceable assets type (iii) (iv): - list suppliers identified unequivocally (.. respective permit numbers), supplied annually; - Voluntary declaration purchased quantities suppliers. Traceable assets type (iv): Potentially excluded CITES control; identical traceable assets type (iii). Audit agency agency controls assets meet entry exit point conditions transformation rules. request information traceability event data stakeholders. Import, (-)export internal CITES Management Scientific Authority supported agency mandate control internal trade. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 49 traceability system differentiates traceable assets: . Unprocessed MAP; ii. Processed MAP mixing species; iii. Products MAP; iv. Finished products packaged ready retail. reasoning avoid entry illegal material, source (.. collection) controlled closely production stages. addition, users processed goods (.. essential oils processed goods formulae) aware specific species included raw materials purchase. cases, suppliers confidential information / trade secrets. truer finished products packaged retail. , presents conceptually difficult case. hand, attempting control ( species) external trade products possibly small small amounts CITES-lists MAP difficult. study undertaken Brinkmann (Brinckmann, 2014) showed members Orchidaceae family present series consumer products small amounts. control difficult. , expected heavy mixing sources occurs production extracts oils controlling sources difficult. hand, exclusion finished goods potentially remove supply chains CITES control processing packaging range state. removal requirement CITES certificate result potentially removal NDF , substituted control mechanisms, lead total loss control impact production trade survival species. purpose study review national legislation effectiveness conservation sustainable trade State, clear presuppose regulations exist . potential solution exempt finished products orchids case production occurs State raw materials – .. raw material border border control processes. , , () discriminate States, () potentially introduce artificial (-)exports, () require State() origin moment producing consumer good. reasoned , mixing occurs supply chain information State() origin difficult maintain transport chain, source raw materials multiple state origins mixed points supply chain. CITES limited international trade mandate internal/domestic trade, problematic suggest finished goods exempted internal trade leading finished good -detrimental survival CITES-listed species. Supply chains certification, stated , include components traceability based sustainable trade, provide control laws regulations. Seeking synergies CITES Management Authorities relevant schemes provide interesting alternative requiring control internal trade ( section 5.5). case, evident application traceability framework control internal/domestic trade exercised. true studies ornamental plants sharks (Lehr, 2015b; Lehr, 2016b), traceability systems place caviar, . case shark products Costa Rica, national Institute Fisheries Aquaculture (INCOPESCA) mandate control landings sharks. traceability system proposed (Lehr, 2015b) assessed (Lehr, 2016a) suggested CITES Management Authority ensure export permit issued cases clear link established material exported catch certificates issued INCOPESCA. , case ornamental plants orchids Latin America, traceability system proposed UNCTAD study required operating permit based registry parental plants, issued audited departments forestry, agriculture similar agency. recommended CITES Management Authority issue permit certificate case clear link established exported plants registered parent plant. cases, agencies CITES Management Authorities intervene exercise control domestic trade. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 50 processed -processed goods MAPs, supply chain longer complex, providing ample opportunity laundering illegal material. (risk-based) control local supply chains unavoidable purpose avoid illegal material “legalized” CITES certificate ( section 5.4). shown section, traceability framework applied species study report. resulting traceability system differentiate materials nature existing upstream downstream chain. balance close control natural resource, difficulty transporting information complex supply chains, MAPs. traceability system information generic traceability system, applies raw materials, processed goods ( stages processing) finished goods. based specificities MAPs chain, easily adapted chains. traceability systems designed shark products (Lehr, 2015b) ornamental plants (Lehr, 2016b) contained special cases traceability system. traceability systems designed CITES, caviar system proposed system python skins (Ashley, 2014), crocodile skins (Mundy & Sant, 2015) adapted traceability framework. control mechanisms employed traceability system (.. -removable tags, DNA tests, .) part toolbox auditing agency species product dependent, framework largely identical. 5.4 Auditing traceability system Traceability general system claims (Lehr, 2015a) requires verification demonstrate implementation policy claim. audit agency entity protects integrity policy claim. main role : • Collect record data relevant entry/exit points supply chain; • Collect data business processes entry exit points; • Monitor safeguard traceability ensuring traceable assets meet entry/exit conditions rules applied correctly. case MAPs, audit agency work closely CITES Management Authority mandate CITES Management Authority. case countries Greater Mekong subregion, Table 5.2 shows highest identifiable administrative units CITES Management Authorities located. cases, CITES Management Authority easily identifiable relevant ministry department (.. agriculture, environment trade). feasible audit agency exist controls domestic trade extent coordinates CITES Management Authority issuance certificates. potential aid audit agency control domestic trade, worth establishing partnerships organizations promoting standards certification schemes ( sections 5.6 5.7). , FairWild Standard conjunction operations committed sustainable wild plant collection concerned full traceability goods ( section 5.7.1). Annually requirement audit accredited certification body, compliance check conducted full trace- related sample batch collection area. compliancy information, agreement FairWild Foundation, assist audit agency substantiate integrity policy claim involving traceable assets types () (ii). traceability system laid subsection 5.3 , tracing lot finished goods origin . complexity supply chain MAPs unrealistic require. traceability system mimics Halal similar certification schemes ( section 4.6) downstream flow. product flow control upstream operating traceable assets unprocessed MAPs (type ()) processed MAPs mixing species (type (ii)). , include mixing species occurs simple processing drying, extracting distilling. deal downstream stakeholders dealing traceable assets products MAPs (type (iii)) finished products packaged ready retail (type (iv)), processed added finished goods. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 51 confirm export shipment traceable assets type (iii) (iv) legally acquired, . certainty segregated traceability systems substituted operational reasons indication “reasonable” supply base. audit traceability system, number activities : 1. data ( , annual reports) electronically data analysis. Data analysis detect potential inconsistencies declared volumes, supply sources exported volumes. analysis annual reports undertaken CITES Scientific Authority part monitoring NDF detailing maximum sustainable yields (MSY) scientific advice analyses sustainable trade. 2. risk-based control system implemented controls traceability system points counter risk laundering. risk-based methodology laid earlier (Lehr, 2015b; Lehr, 2016b) considered essential MAPs complex chain ( section 5.4). 3. risk management principles streamline control system, kind significant production, number private operators chain exceed capacity audit agency. highly desirable create strong incentives private operators control adjacent operations ( section 5.5). 4. important element capacity building, , raising level knowledge : () concept sustainable trade; (ii) artificial propagation – applicable – plantations commercial purposes; (iii) identification CITES-listed wild species; (iv) set- sustainable supply chains; () private sector certification similar schemes; (vi) ABS requirements.52 Table 5.2 Administrative units relevant CITES authorities Greater Mekong subregion countries Party Management Authority Scientific Authority Enforcement Cambodia Ministry Agriculture, Forestry Fisheries Forestry Administration Forestry Administration Ministry Agriculture, Forestry Fisheries China Endangered Species Import Export Management Office People' Republic China Foreign Trade Management Department Hong Kong SAR: Agriculture, Fisheries Conservation Department Endangered Species Scientific Commission People' Republic China Division Law Enforcement Training State Customs General Administration Forest Police Bureau Lao People’ Democratic Republic Ministry Natural Resources Environment Ministry Science Technology Ministry Agriculture Forestry Myanmar Ministry Environmental Conservation Forestry Ministry Forestry Ministry Forestry Thailand Department National Parks, Wildlife Plant Conservation Department Agriculture Department National Parks, Wildlife Plant Conservation Department Agriculture Department Agriculture Royal Customs Department Royal Thai Police Department National Parks, Wildlife Plant Conservation Viet Nam Ministry Agriculture Rural Development Viet Nam Academy Sciences Technology Ministry Agriculture Rural Development (MARD) Viet Nam National University Ministry Agriculture Rural Development Ministry Public Security Viet Nam General Department Ministry Industry Trade Source: CITES website. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 52 order implement comprehensive tasks unreasonably loading resources capacity , inclusion risk management principles control traceability system important. principles risk management based probability system vulnerable acts incompliance. idea carry stricter control risk risk reduced, making existing resources. integration risk management principles CITES processes discussed shark ornamental plants studies (Lehr, 2015b; Lehr, 2016b). traditional control systems attempt correct existing incompliances, risk-based audit system attempts prevent future incompliances systemic validation based risk criteria. , application risk management principles food chain (Box 6). Box 6 Application risk management principles food inspections Risk management principles food inspection established (FAO, 2008). number border control agencies worldwide risk-management principles effective insurance public health limited resources ( .. Abu Dhabi Food Control Authority, 2008). food goal risk-based inspection apply adequate inspection intervals methods food product food producing processing facility. categories food characterized degrees risk food-borne diseases hurt consumer, .. cereals grain products risk mycotoxins fresh produce enteric pathogens salmonella (FAO, 2008). risk-based inspection method attempts evaluate risks measuring frequency occurrence, impact consumers. , risk estimations basis food inspection. traditional regulations food inspections aiming correct existing food safety concerns, method risk-based inspections food aiming prevent future violations. food-borne disease risk universal product, risk-based inspection food takes origin, processing facilities transporting facilities consideration risk factors. Facilities history -compliance food laws increase risk damage consumer. Environmental factors vary greatly countries species/products consideration. factors packaging consideration. case traceability system outlined , risk management principles applied productive process limit amount resource required control implementation. Table 5.3 collects potential risk factors mapped points traceability framework. Party risk criteria, general list risks inform Parties lead exchange views ideally enhance coordination Parties. refrained providing quantitative indications risk regimes risk factor depend Party’ assessment total risk resources. viewpoint strictness, outlined traceability system balance private operators’ efforts challenges market efforts conservation species, order block sustainable trade.53 present case, striking balance means reducing control stages production knowledge raw material sources difficult obtain/maintain mixing occurs naturally. downside approach , , opens doors laundering MAPs adhere principle sustainable trade. existence strong audit agency essential making traceability system effective. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 53 Table 5.3 Potential risk factors mapped points traceability framework Process Risk categories Risk indicators Entry Import Importer risk inspection results Product risk Possibility species substitution Country risk Strength control systems origin -country production Collector/nursery risk inspection results Illegal entry risk Higher areas adjacent porous borders informal trade corridors Product risk Possibility species substitution Impact risk Increases larger quantities collected propagated Origin risk Higher wild-collected artificially propagated Transformation Unprocessed MAPs simple processed MAP – types () (ii) Operator risk inspection results Product risk Possibility species substitution Impact risk Increases larger quantities collected propagated Origin risk Higher wild-collected artificially propagated Small-scale supplier risk Higher larger volumes purchased small-scale operators Products MAPs finished products – types (iii) (iv) Supply risk Higher larger numbers suppliers Operator risk inspection results Product risk Possibility species substitution Impact risk Increases larger quantities purchased produced Exit Exporter risk inspection results Product risk Possibility species substitution Country risk Strength control systems destination Impact risk Increases larger quantities exported Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 54 5.5 Costs benefits application traceability framework section attempt examine implementation outlined traceability system Greater Mekong subregion, lay critical success factors. , experiences implemented traceability systems analysed . Attempts implement large-scale traceability systems repeatedly shown importance buy- private sector (Lehr, 2015a). cases public sector agencies attempted implementation collaboration private sector, traceability systems sustained ceased exist “successful” pilot. Examples include national traceability systems Greece, Indonesia, Malaysia Viet Nam. hand, international experience shows system implementation successful distinct cases: • resource production significantly threatened disruption due consumer pressure ( productive process controlled ease); • clear business case , private sector wishes participate. introduction cattle traceability systems Europe bovine spongiform encephalopathy (BSE) “mad ” crises. , passport life registered birth (“entry”) slaughter death (“exit”). Trans-border traffic passport (Lehr, 2011; Lehr 2013a). system implemented “top ” mandatory cattle ( extended animals). success implementation hinges factors: () Backlash consumers beef resulting differentiate “good” “bad” beef; (ii) Fear loss full herd due contamination realization necessity controlling animals; (iii) Reasonable cost implementation farmers (plastic ear tags radio-frequency identification (RFID) chips, simple data capture PC, phone postcard); (iv) Simple chain ( farm slaughterhouse), registered controlled high possibility detecting incompliances. traceability system GrapeNet implemented Indian Agricultural Processed Food Products Export Development Authority. GrapeNet fully electronic system control quality safety grapes exported EU (Shukla, 2014). system comprehensive control system controls origin grapes plot level collects results quality safety management activities. automated workflow purchase cleared raw material. shipments linked quality safety controls original raw materials. system successful reasons: () Participation system mandatory export chains leading EU. material exported EU recorded quality/safety managed GrapeNet. Unwillingness participate leads exclusion profitable export chain EU. (ii) comprehensive control resulting excellent quality, importers EU India prime source raw material. Participating farmers exporters increased profits significantly. (iii) system lays requirements high quality safe production, clear framework private public stakeholders work . actions recorded individuals, system robust reduces potential corruption. case MAPs Greater Mekong subregion, identification ideally quantifiable benefits important. private sector realize participation interest, difficult control complex supply chain effectively. Early planning stages traceability project, identifying benefits key tasks drive private sector buy-. private sector investment time money traceability provide real tangible reward. Benefits core returns private sector investment medicinal supply chain : () Compliance legislative requirements; Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 55 (ii) Cost savings efficiency gains supply chain; (iii) Greater visibility/transparency supply chain; (iv) Ensuring legal purchase knowledge ingredient' origin; () Improved supply chain management collaboration (national/cross border); (vi) Improved economic reputation development consumer trust; (vii) Ongoing economic environmental sustainability; (viii) long-term management scarce resources; (ix) Supportive fight fraud illegal trade. Benefits measurable. Ideally measured key performance indicators (KPIs), benefits quantified traceability architecture place. important “soft” “hard” benefits, including attempt quantify improvement company’ reputation general feel good factor customers. general benefits classified categories (Lehr & Gregersen, 2015): () Tangible benefits, .. measured monetary terms. Examples tangible benefits product premiums, access high(er) markets exclusion market. (ii) Semi-tangible benefits, .. positive financial impact, quantity difficult impossible determine. Examples private certification ( tangible benefit), reduction black market transactions ( increases market size legal market) sustainable raw material source ( tangible benefit ceases exist, considered semi-tangible business operators). (iii) Intangible benefits, .. expressed monetary terms. Examples pride, satisfaction workers owners environmental social consciousness. early stages production, generally supply chain, role semi- intangible benefits underestimated. successful tools implementing good practices sort social pressure – linked semi-tangible intangible benefits “ ”. Ideally, traceability system linked types benefits. , , tangible benefits traceability difficult pinpoint traceability simply enabling technology purpose. , societal damage (.. trade disruption) difficult estimate. Additionally, experience author, private operators rarely trade suspension real risk, facing . Delivering tangible benefits ( tangible ) linked market differentiation avoidance market disruption. company differentiate market stated policy claim, require form identification legal operators operating traceability system, .. form distinctive mark / certification scheme. CITES refrained certifying producing distinctive mark compliance. , CITES concerned implementation Convention turn translated local laws regulations Parties. , compliance CITES regulation equivalent legal operation, -compliance operate law. difficult proposition certification scheme distinctive mark. hand, launching successful label major endeavour, current environment “label fatigue”. Marine Stewardship Council successful label, years point. option implementing traceability system partner existing certification schemes labels analysed section 4.7. Seeking synergies operationally independent efforts, provide benefits supply chain market pull ensure uptake traded material environmentally conscious purchasers. Sustainable sourcing major trend consumer goods manufacturers light consumer pressure Europe North America. sustainable sourcing MAPs (ITC, 2016). , certification efforts met resistance number commodities worldwide (.. palm, soy, cotton) implementation quick cases premium offered certified materials. premium increases total cost raw material profit margin supply chain price consumers. Consumers date shown consistent Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 56 demand pay sustainably sourced raw materials, small quantity unknown ingredients, market uptake reports sustainable palm oil.54 Encouraging research knowledge importance biodiversity rise world shown UEBT Biodiversity Barometer 2009–2016. 55 key result current survey shows 93 cent respondents interested buying companies factor biodiversity sourcing raw materials. Future advancements product biodiversity depend confidence companies consumer responsiveness investment protecting biodiversity willingness pay extra products. mentioned previously, consumers shown reluctance . slightly angle combination GAP GMP traceability pre-requisite. Food safety similar standards require traceability, ISO 22000 series. Good practices generally increase production efficiency avoid generation waste, increasing economic bottom line supply chain partners. benefit internal performance increase adoption practice pays . certification schemes, Roundtable Sustainable Palm Oil, attempt demonstrate GAP component helps farmers small-scale operators increase yield. Solidaridad, international NGO, reports tripling yields Ghana,56 . angle providing combination reputational operational benefits. author developed United Nations Industrial Development Organization (UNIDO) concept called “conduits excellence” ( Box 7). Conduits excellence attempts roll -- quality safety management system full traceability providing: () Operational efficiencies access high(er) market; (ii) Preferential treatment relevant public authorities, .. preferential border treatment easier access finance; (iii) Reputation participants increase status peers interested public. Point () tangible benefit, point (ii) tangible semi-tangible; point (iii) -tangible benefit, important. successful peers powerful driver humans, rural areas. concept immediately applied current case adding sustainability angle conduits excellence. CITES Management Authorities grant preferential processing certificates members conduit excellence trial period shown acting full compliance local laws ( Convention). traders, fully partly implemented countries “approved trader scheme” similar. , World Customs Organization (WCO) SAFE Framework Standards57 recognizes “authorized economic operators” (AEO). speedier transit border exporters competitive benefit translate business, inefficiencies. Private Sector Consultative Group listed number benefits AEO programme (PSCG, 2010). considerations section provide line thought initial strengths, weaknesses, opportunities threats (SWOT) analysis, presented Figure 5.2. , approach incentivize supply chains buy traceability system discovered implementing alternatives. exact set required benefits universal, Party adapt core set benefits private sector finds total package attractive . Capacity building important part ( section 5.6), stakeholder consultation. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 57 Box 7 Conduits excellence – concept developed UNIDO Conduits excellence attempt connect key infrastructure elements, storage, motivated educated chain partners quality infrastructures order address quality, safety export issues. Conduits excellence – stakeholders’ dedication product quality – unlock key markets economic benefits, partly access high- markets; partly reliable offering markets values quality. build conduit excellence, chain partners brought key infrastructure element. Educated farmers, motivated employ modern farming methods embrace quality approach production, work - processors produce high-quality goods local export markets. Farmers commit GAP consistent record keeping. time, processors commit operate comprehensive quality management system ensure goods reach high- markets. processors exporters work supply base produce high-quality safe products part conduits Excellence. Extension service assist record keeping act information channels farm. Conduits excellence implement comprehensive -- quality safety management system upstream guarantee raw materials downstream guarantee finished products. Conduits excellence build motivated innovative supply chains implement --, comprehensive quality management system full traceability. idea create successful role model copy , () providing preferential treatment public bodies; () reputational advantages; () (preferential) access high markets; () direct financial benefits higher prices, guaranteed market access operational efficiencies. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 58 Figure 5.2 Short analysis strengths, weaknesses, opportunities threats highly advisable, , work CITES framework partnership jointly organizations UNCTAD BioTrade Initiative – piloting traceability system discovering set core benefits private sector accept create traction. dependent decisions traceability CITES CoP17. suggested responsible buyers Australia, Europe North America included – consumers stricter environmental ( social) requirements Asia, Africa Latin America ( notable exceptions). buyers support traceability effort enhance market differentiation strategy , potentially create “category” assuredly legally sourced material. 5.6 Capacity-building requirements Capacity-building important supply chain supporting development traceability system. Key stakeholders (including small farmers landowners, CITES Management Scientific Authorities) supply chain capacity-building gaps identified plans improve fix gaps. true developing nations lack basic infrastructure support implementation traceability system. capacity-building gaps identified research document, interviews conducted stakeholders presented general recommendations sections 2.4.7 2.5.7. gaps identified : • Awareness CITES listing requirements documentation, government agencies, companies relevant stakeholders (producers, collectors, .) trade chains; • tools identification materials; • Skills support primary producing communities develop sustainable chains; • financing capacity-building activities wild collectors collection operations (access development services processing equipment); • addition (processing equipment), control systems improvement; • Awareness industry associations role supporting members carry business legally, sourcing raw materials legal sources; • application standards medicinal plants production systematic ; • Awareness importing nations significant role refusing purchase illegal unsustainable agarwood; Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 59 • Training customs officers identify legally illegally sourced medicinal goods; • Training law enforcement officials countries involved trade medicinal goods capacity-building gaps related functioning traceability system : • Developing project management communication skills identify communicate stakeholder benefits reach private sector buy- traceability; • Training traceability functions supply chain; • Training record keeping product tagging ( required); • Understanding supply chain actors step / view; • Clarification legal/illegal sourcing medicinal plants; • Education supporting implementation sustainable development practices, environmental business . project level, capacity-building requirements identified outlined adapted capacity- building requirements table (CART) demonstrated Table 5.4. CART (Ohiorhenuan Wunker, 1995) show requirements considered critical dimensions project. row focuses primary objective ( case stakeholder) tracked capacity-building dimensions. helps ensure ramifications account weaker gaps considered. case, stakeholder supply chain identified reviewed dimension, capacity gap addressed identified. project coordinator manager review CART project plans ensure key dimensions addressed traceability project implemented successfully. mentioned previous sections, traceability projects frequently fail. partly due stakeholders involved traceability supply chain skills resources enable succeed understand identify benefits support implementation. ultimate aim ensure identified stakeholders’ capacity-building addressed, reducing risk potentially undermine success traceability project. Table 5.4 Capacity-building requirements table Capacity-building dimensions Objectives developing traceability architecture Financial support Institutional reform Skills training Business benefits Personnel resourcing adding Wild collector Nursery Customs Transportation Supply chain Public authority Private business Project management Law enforcement 5.7 Recommendations implementation traceability detailed difficult process, straightforward successful private sector government motivation win-win benefits stakeholders involved. cases, implementation proven lengthy complicated, mixed results . combination public private sector support absolutely essential success, open collaborative discussion highly recommended, .. form national traceability tables ( Lehr, 2015a). medicinal supply chain complex nature due () number stakeholders involved; () high processing degree; () fact illegal poorly controlled wild harvesting Appendix II-plant species medicinal purposes. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 60 section 5.3, shown robust traceability system implemented support CITES policy claims, traceability data collection documented NDFs. system based UNECE traceability architecture, undergoing process UN/CEFACT recommendation. proposed system aims balance control legality raw material source practicalities businesses; system complex. , implementation traceability system approached carefully embedded general framework activities, improving trade data collection, capacity building awareness creation stakeholders, information dissemination, smaller players, market prices relevant data. ensure stakeholders medicinal plant supply chain direct benefit advantage participation, consideration formation partnerships sustainable schemes identified report. elements contribute success implementation: • Obtaining buy- Parties strengthen CITES processes traceability systems medicinal plants. • Carrying local assessment recommended processes respect technical, economic conservational aspects, instance conducting socioeconomic impact analysis. • Confirming proposed traceability architecture generic adapted types supply chains countries regions. • Developing traceability toolkit ( integration CITES -permitting toolkit), traceability easier implement, meaningful CITES Management Scientific Authorities. • Provisioning capacity-building initiatives dedicate funds, countries lacking adequate infrastructure, implement traceability systems. • country, identifying strong project management team work collaboratively public private sectors ensure standards requirements considered. • Designing mix positive negative incentives private industry participate traceability. • Improving cross-border reporting exports imports ensure understanding traded volumes medicinal species effectively managing reporting endangered medicinal plant resources. • Improving identification procedures plant species sourced, wild collected artificially propagated. • Adhering international standards norms , including joint work standard- setting organizations; proactively engage certification good practices schemes shown report (sections 4.6, 4.7 5.5) ensure benefits small stakeholders supply chain. report starting point identifying approach developing traceability system CITES-listed medicinal species, -timber plant species general. complemented practical implementation ground, .. pilot project. Ideally pilot embedded project sustainable trade biological resources, .. framework BioTrade. pilot project , inter alia, criteria: • Large long measurable impact. • Parties participating pilot control system place. Ideally, support electronic recording traceability records. Parties supporting risk-based methodologies control systems ideal. • involve developing country, , technical feasibility assessment. Ideally – financial resources – include country technological capacity gain practical experience process implemented challenging circumstances. • socioeconomic impact assessment compares implementation operational cost impact CITES-listed species. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 61 • attempt quantify amount illegal unreported trade local expert knowledge. • involve trading partner history strong interest sustainable biological resources provide motivation business operators. 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Organization Country Individual CITES CITES Secretariat Switzerland Tom de Meulenaer Haruko Okusu Milena Sosa Schmidt Markus Pikart CITES Management Authorities Department Agriculture Thailand Paweena Taraksa Department Agriculture Thailand Sumalee Thongdonae Department Agriculture Thailand Duangduen Sripotar* Division Flora Affairs China Yue Zhang Academia Florida International University United States America Hong Liu Private sector stakeholders NuHerbs United States America Wilson Lau Traditional Medicinals United States America Josef Brinckmann Klaus Duerbeck Consulting Germany Klaus Duerbeck BioTrade Implementation Group (BIG) Viet Nam Son Ta Minh Center Plant Conservation Viet Nam Nguyễ Tiế ệ -governmental organizations TRAFFIC United Kingdom Anastasiya Timoshyna Thomasina Oldfield James Compton Chen Hin Keong TRAFFIC China Zhou Fei Zeng Zhi TRAFFIC Viet Nam Thuy Nguyen Winrock International United States America Joel Jurgens FairWild United Kingdom Bryony Morgan UEBT Netherlands Rik Kutsh Lojenga* Plant experts Kadoorie Farm Botanic Garden Hong Kong SAR, China Stephan Gale Xishuangbanna Tropical Botanic Garden Chinese Academy China China Gao Jiangyun Experts Marcos Regis Silva (-CITES staff) Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 66 Annex 2: Greater Mekong subregion CITES-listed medicinal plants Species CITES Appendices listing Distribution Aquilaria baillonii II Cambodia Aquilaria crassna II Cambodia, Lao People' Democratic Republic, Thailand, Viet Nam Aquilaria grandiflora II China Aquilaria malaccensis II Bangladesh, Bhutan, India, Indonesia, Iran (Islamic Republic ), Malaysia, Myanmar, Philippines, Singapore, Thailand Aquilaria sinensis II China Aquilaria subintegra II Thailand Aquilaria yunnanensis II China Bletilla striata II China, Democratic People' Republic Korea, Hong Kong SAR (China), Japan, Republic Korea Cibotium barometz II China, Hong Kong SAR (China), India, Indonesia, Japan, Malaysia, Myanmar, Papua Guinea, Philippines, Taiwan (Province China), Thailand, Viet Nam Cistanche deserticola II China, Mongolia Dendrobium candidum II Bhutan, China, India, Myanmar, Nepal Dendrobium crumenatum II Australia, Bangladesh, Brunei Darussalam, Cambodia, China, India, Indonesia, Malaysia, Myanmar, Philippines, Seychelles, Singapore, Sri Lanka, Taiwan (Province China), Thailand, Viet Nam Dendrobium fimbriatum II Bhutan, China, India, Lao People' Democratic Republic, Malaysia, Myanmar, Nepal, Thailand Dendrobium nobile II Bhutan, China, India, Lao People' Democratic Republic, Myanmar, Nepal, Taiwan (Province China), Thailand, Viet Nam Dendrobium officinale II China Dioscorea deltoidea II Afghanistan, Bhutan, Cambodia, China, India, Lao People' Democratic Republic, Nepal, Thailand, Viet Nam Euphorbia antiquorum II India, Myanmar, Pakistan, Sri Lanka, Thailand Euphorbia atoto II Cambodia, Indonesia, Malaysia, Myanmar, Philippines, Singapore, Sri Lanka, Thailand Euphorbia barnhartii II India, Thailand Euphorbia prostrata II Angola, Argentina, Australia, Austria, Bahamas, Bangladesh, Belize, Benin, Bermuda (United Kingdom), Bolivia (Plurinational State ), Botswana, Brazil, British Indian Ocean Territory (United Kingdom), Burkina Faso, Burundi, Cabo Verde, Cameroon, Cayman Islands (United Kingdom), Congo, Cook Islands, ôte 'Ivoire, Cuba, Cyprus, Democratic Republic Congo, Djibouti, Dominican Republic, Ecuador, Fiji, France, French Guiana [FR], French Polynesia, Gabon, Gambia, Germany, Ghana, Greece, Guatemala, Guinea Bissau, Guyana, Haiti, Honduras, Hungary, India, Indonesia, Iran (Islamic Republic ), Italy, Jamaica, Japan, Kiribati, Liberia, Malawi, Mexico, Mozambique, Nepal, Netherlands Antilles, Nicaragua, Nigeria, Peru, Portugal, Puerto Rico, Romania, Rwanda, Saint Helena Dependencies (United Kingdom), Senegal, Seychelles, Sierra Leone, Spain, Suriname, Switzerland, Thailand, Togo, Trinidad Tobago, United States America, Venezuela (Bolivarian Republic ), Zambia, Zimbabwe Flickingeria fimbriata II India, Indonesia, Malaysia, Philippines, Singapore, Sri Lanka, Viet Nam Gastrodia elata II Bhutan, China, Democratic People' Republic Korea, India, Japan, Nepal, Republic Korea, Russian Federation, Taiwan (Province China) Malaxis acuminata II China, India, Indonesia Nardostachys grandiflora II Bhutan, China, India, Nepal Panax quinquefolius II Canada, China, United States America Pleione bulbocodioides II China, Lao People' Democratic Republic Pleione yunnanensis II China, Myanmar Podophyllum hexandrum II Afghanistan, Bhutan, China, India, Nepal, Pakistan Rauvolfia serpentina II Bangladesh, Bhutan, China, India, Indonesia, Lao People' Democratic Republic, Malaysia, Myanmar, Nepal, Pakistan, Sri Lanka, Thailand, Viet Nam Taxus cuspidata II China, Democratic People' Republic Korea, Japan, Republic Korea, Russian Federation Taxus fuana II China, India, Nepal, Pakistan Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 67 Species CITES Appendices listing Distribution Taxus sumatrana II Taiwan (Province China) Taxus wallichiana II Afghanistan, Bhutan, China, India, Indonesia, Malaysia, Myanmar, Nepal, Pakistan, Philippines, Viet Nam Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 68 Annex 3: Reported exports CITES-listed medicinal plants Greater Mekong subregion, 2005–2014 Species . export records: Global . export records: Greater Mekong (% global) . -export records: origin . -export records: Greater Mekong origin (% global) Percentage export records wild (,,,, blank): Greater Mekong Principal commodities: Greater Mekong Principal exporters: Greater Mekong Principal destinations exports Greater Mekong . specimens exported: Greater Mekong Weight exported: Greater Mekong, (tons) Aquilaria crassna 705 704 (99%) 155 147 (95%) 3% Chips, live, powder, sawn wood Thailand, Viet Nam China, Indonesia, Lao PDR, Myanmar, Taiwan (Province China) 3 547 666 1608 Aquilaria malaccensis 555 268 (48%) 1319 78 (6%) 25% Chips, live, powder, timber pieces Thailand, Viet Nam China, Malaysia, Taiwan (Province China) 81 829 116 Aquilaria sinensis 29 29 (100%) 4 4 (100%) 31% Derivatives, stems China Japan, USA 0 1.5 Aquilaria subintegra 0 0 0 0 / / / / 0 0 Bletilla striata 112 13 (11%) 27 10 (37%) 0% Derivatives, live, roots China Netherlands, Japan, Republic Korea 46 210 3.6 Cibotium barometz 32 24 (75%) 4 2 (50%) 75% Dried plants, powder Viet Nam Republic Korea 1 973 516 1018 Dendrobium candidum 23 1 (4%) 0 0 0% Extract China USA 0 <0.1 Dendrobium crumenatum 69 33 (48%) 0 0 0% Live Thailand Germany, Hong Kong SAR (China), USA 359 0 Dendrobium fimbriatum 83 51 (61%) 2 1 (50%) 0% Live Thailand Japan, Taiwan (Province China), USA 960 0 Dendrobium nobile 266 69 (26%) 2 0 7% Dried plants, live, roots China, Viet Nam Republic Korea, Singapore 215 626 27.2 Dendrobium officinale 1 1 (100%) 0 0 0% Derivatives China Malaysia 0 <0.1 Dioscorea deltoidea 2 0 0 0 / / / / 0 0 Euphorbia antiquorum 1 0 12 0 / / / / 0 0 Euphorbia barnhartii 1 0 0 0 / / / / 0 0 Flickingeria fimbriata 9 1 (11%) 0 0 0% Live Thailand Ireland 5 0 Gastrodia elata 258 234 (91%) 45 44 (98%) 0% Derivatives, medicine, roots China Republic Korea, Thailand, USA 80 140 1193 Malaxis acuminata 3 0 0 0 / / / / 0 0 Nardostachys grandiflora 44 0 4 0 / / / / 0 0 Pleione bulbocodioides 3 1 (33%) 0 0 0% Live China USA 20 0 Pleione yunnanensis 6 1 (17%) 0 0 0% Live China USA 20 0 Podophyllum hexandrum 35 3 (9%) 1 0 0% Derivatives, live / / 0 110 Rauvolfia serpentina 14 6 (43%) 41 0 100% Roots Thailand Germany, Italy 0 10 Taxus cuspidata 29 1 (3%) 83 3 (4%) 100% / / 0 <0.1 Taxus wallichiana 36 31 (86%) 75 72 (96%) 6% Dried plants, live, roots Myanmar, China China, Japan, Republic Korea 17 531 Source: CITES Trade Database. Note: =Confiscated seized specimens; =Pre-Convention specimens; =Source unknown; =Specimens wild; Blank = entry trade data. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 69 Annex 4: Certification protocol UEBT/UTZ herbal tea58 Internal monitoring system certification approach Version 1.2, July 2016 2.2.6 Traceability Requirements Policy UEBT member system place ensures compliance traceability requirements outlined Addendum . Critical control points supply chains identified monitored purpose. Critical control points traceability include organizations involved supply chains manipulate ingredients terms drying, cleaning, mixing, extraction, (-)packing, activity structure form product. subject external audits traceability verification. Procedure UEBT member ensure traceability system place functioning levels supply chains. UEBT member advise relevant personnel (procurement, purchasing, receiving goods, .) ensure traceability requirements met required information documentation recorded. UEBT membership coordinator instruct monitoring personnel monitor critical control points regard compliance traceability requirements. 1. Addendum : Outline traceability requirements Product traceability critical requirement UEBT/UTZ Certified Herbal Tea Certification. UEBT member system place ensure ingredient() subject certification traced source origin UEBT member client. Specifically, traceability requirements apply: 1) UEBT member documented overview traceability system, describes procedures record keeping process level traceability59 applied. 2) UEBT member formally appoints personnel responsible ensuring sound implementation traceability system. 3) documented information specific supply chains, including stages production transformation process. Critical control points ensuring traceability Ingredients identified supply chains. 4) UEBT member established procedures assess compliance traceability requirements critical control points. 5) product identification system (coding system) place ingredients certification tracing ingredients producer/supplier. organizations source supply products originating certified certified field operators, system ensures ingredients traced level field operator. 6) UEBT member records sales/purchase documents related ingredients certification, including information producer/supplier, volumes, varieties, qualities, area cultivation/collection ( relevant), date delivery relevant information. documents linked respective producer/supplier. Records years. 7) system place assures, verifies monitors : products sold certified sourced producers/suppliers included certification. Volumes ingredients sold certified higher volumes supplied producers/suppliers certification. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 70 8) ingredients processed/transformed affects volumes, information conversion rates volumes completion process. applies stage supply chain. 9) organization sources ingredients producers part certification programme, : distinguish (UEBT/UTZ Certified) certified -certified ingredients sales/purchase documents. ensure certified -certified ingredients /handled separately stages sourcing production process. 10) services outsourced service provider (.. processing, transportation, storage) supply chain, system place ensures ingredients remain traceable mixing -certified ingredients occur. Proof compliance traceability requirements outsourced service provider documented. 11) Ingredients sold certified UEBT member sourced suppliers approved certification “suspended” status due -conformities, breaches contract, moment purchase. 12) UEBT member auditor annual full system audit overview total annual volumes certified ingredients ( ingredient) received, stock total annual volumes ( ingredient) sold certified. overview cross checked volumes UTZ good portal (GIP). 13) Additional/ requirements apply depending claims certification. Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 71 Notes 1 relevance desirability integrate traceability system automated custom management systems, ASYCUDA. 2 information, www.biotrade.org. 3 https://cites.org/sites/default/files/eng//sc/66/-SC66-34-01-Rev1x.pdf. 4 https://cites.org/sites/default/files/eng//ac/28/-AC28-14-02-01%28Rev1%29.pdf. 5 output Medicinal Aromatic Plant Resources World (MAPROW) database, supported IUCN-SSC Medicinal Plant Specialist Group. 6 NDF Guidance, CITES Resolution Conf. 16.7, Party decide NDFs. German Scientific Authority, TRAFFIC WWF Germany developed -step guidance NDFs perennial plants (Leaman DJ, Oldfield TEE (2014). CITES -Detriment Findings Guidance Perennial Plants. BfN: Bonn, Germany ( revised)). steps include dealing conservation concerns; intrinsic biological risks, conservation status impacts harvesting trade. step identifies management measures place mitigate identified risks. 7 http://checklist.cites.org/#/en. 8 UNEP-WCMC (2013). guide CITES Trade Database. Version 8 October 2013. 9 Tropicos database 2009: http://www.tropicos.org/. 10 Species information http://www.speciesplus.net/. 11 Chengdu Tiandiwang Information Technology Company . - Information services TRAFFIC office China. 12 CITES Appendices , II III (10/03/2016). 13 US CITES biennial reports accessed : https://cites.org/eng/resources/reports/biennial.php. 14 https://apps.ams.usda.gov/integrity/ (search words “gastrodia”, “tian ma’”). 15 http://www.jiaherbinc./Content/downloads/Jiaherb-Organic-Product-List.pdf. 16 Scented bricks chips burned incense burners perfume house clothing. 17 , http://www.gq-magazine..uk/article/-mens-oud-fragrances-guide. 18 CITES Appendices , II III (10/03/2016). 19 https://cites.org/eng//17/prop/index.php. 20 Source: CITES Trade Database. 21 Guidelines preparation submission CITES annual reports: https://cites.org/eng/notif/2011/E019A.pdf. 22 https://cites.org/sites/default/files/eng//17/prop/060216/-CoP17-Prop-60.pdf. 23 https://cites.org/eng//17/prop/index.php. 24 Details reservations : http://www.speciesplus.net/#/taxon_concepts/27640/legal. 25 Annual reports, updated 04/05/2016 https://cites.org/sites/default/files/annual_reports.pdf. 26 borne mind ABS genetic resources subject specific framework CBD Nagoya Protocol Access Genetic Resources Fair Equitable Sharing Benefits Arising Utilization, subject issuing access contracts permits depending national regulations. 27 Plant List (2013): http://www.theplantlist.org/. 28 http://hprc-online.org/dietary-supplements/opss/operation-supplement-safety-OPSS/opss-frequently- asked-questions-faqs-1/--dendrobium--------dietary-supplement-products/. 29 https://www.cites.org/eng/disc/text.php. 30 Single Window facility, stated UN/CEFACT, "enables parties involved trade transport lodge standardized information documents single entry point fulfil import, export, transit-related regulatory requirements. information electronic, individual data elements submitted . provide platform coordinating controls agencies involved payment relevant duties, taxes fees." (UNCTAD, 2006). 31 https://cites.org/sites/default/files/eng/dec/valid16/E16-Dec.pdf. 32 https://cites.org/sites/default/files/eng//pc/21/-PC21-18-05.pdf. 33 https://cites.org/sites/default/files/eng//pc/22/-PC22-17-05-02.pdf. 34 https://cites.org/sites/default/files/eng//pc/22/-PC22-22-01.pdf. 35 https://cites.org/sites/default/files/eng//pc/22/-PC22-22-01%20Annex.pdf. 36 https://cites.org/sites/default/files/eng//13/doc/E13-58.pdf. 37 https://www.iso.org/obp/ui/#iso:std:iso:9000:ed-4:v1:en. 38 http://www.intracen.org/uploadedFiles/intracenorg/Content/Redesign/Events/29%20Blue%20Number- web.pdf. 39 https://.ymcdn./sites/aimglobal.site-ym./resource/resmgr/Registration_Authority/Register-IAC- Def_012516.pdf. 40 management team assigned responsibility overseeing implementation traceability project. https://cites.org/sites/default/files/eng//ac/28/-AC28-14-02-01%28Rev1%29.pdf https://cites.org/eng//17/prop/index.php https://cites.org/eng/notif/2011/E019A.pdf Applicability traceability systems CITES-listed medicinal plants (Appendices II III)–Greater Mekong: Preliminary assessment 72 41 typically include presence Halal committee, adherence rules slaughter ( applicable), proper warehousing logistics, . 42 http://wwf.hu/media/file/1292600582_FairWild-Standard--Practice.pdf. 43 Latest list FairWild-certified operators : http://www.fairwild.org/publication-downloads/- documents/FairWild_species_products.pdf. 44 Project case study: http://www.traffic.org/cbd-files/TRAFFIC-FairWild-VietNam-Case-Study.pdf press release http://www.fairwild.org/news/2015/10/15/fairwild-standard-helps-sow--seeds--sustainable-har vest.html. 45 http://ethicalbiotrade.org/dl/STD01_Ethical%20BioTrade%20Standard_2012.04.11_Eng.pdf. 46 information, Annex 4. 47 https://cites.org/sites/default/files/eng//sc/66/-SC66-34-01-Rev1x.pdf. 48 “track” refers movement specimen trade stage() extended supply chain “trace” refers tracing history, application location specimen trade. (Definition CITES Secretariat.) 49 suitable definition Party. 50 https://cites.org/eng/disc/text.php#VI. 51 Assuming concept ( potentially term) accepted Aquilaria spp. 52 16 September 2016, exception Thailand, Greater Mekong countries ratified Nagoya Protocol; Cambodia, Lao People’ Democratic Republic, Myanmar Viet Nam Parties (: https://absch.cbd.int/). 53 definition Belgian Development Agency, sustainable trade occurs commercial exchanges goods services generate social, economic environmental benefits accordance fundamental principles sustainable development: - Creation economic ; - Reduction poverty inequality; - Conservation reuse environmental resources. 54 www.rspo.org. 55 http://ethicalbiotrade.org/dl/Baro-2016-web.pdf. 56 http://annualreport.solidaridadnetwork.org/2015/en/palm-oil. 57 http://tfig.unece.org/contents/wco-safe.htm. 58 http://ethicalbiotrade.org/dl/Certification%20Protocol%20for%20UEBT_UTZ%20Certified%20Herbal %20Tea.pdf. 59 Identity preserved (IP), segregation . http://www.fairwild.org/publication-downloads/-documents/FairWild_species_products.pdf http://www.fairwild.org/publication-downloads/-documents/FairWild_species_products.pdf http://www.traffic.org/cbd-files/TRAFFIC-FairWild-VietNam-Case-Study.pdf http://www.fairwild.org/news/2015/10/15/fairwild-standard-helps-sow--seeds--sustainable-har http://ethicalbiotrade.org/dl/Baro-2016-web.pdf http://ethicalbiotrade.org/dl/Certification%20Protocol%20for%20UEBT_UTZ%20Certified%20Herbal Acronyms 1 Introduction 1.1 Background 1.2 Aim scope 1.3 Methodology 2 market chain 2.1 Trade medicinal plants: Introduction 2.2 CITES-listed medicinal plants Mekong subregion 2.3 Trade CITES-listed medicinal plants Mekong subregion 2.4 Case study CITES-listed medicinal plant chain: Gastrodia elata 2.4.1 Species distribution 2.4.2 Population status, conservation, situ production 2.4.3 Gastrodia elata 2.4.4 History Appendix II listing CITES controls exemptions 2.4.5 International trade: CITES trade data sources information 2.4.5.1 CITES trade data analysis 2.4.5.2 CITES trade data analysis 2.4.6 Gastrodia elata chain, involved stakeholders, existing traceability systems benefits 2.4.7 Stakeholders’ recommendations CITES controls, traceability systems capacity-building 2.5 Case study CITES-listed medicinal plant chain: Aquilaria crassna 2.5.1 Species distribution 2.5.2 Population status, conservation, situ production 2.5.3 Aquilaria crassna 2.5.4 History Appendix II listing CITES controls exemptions 2.5.5 International trade: CITES trade data sources information 2.5.5.1 CITES trade data analysis 2.5.5.2 trade data 2.5.6 Aquilaria crassna chain: Stakeholders, existing traceability systems benefits 2.5.7 Stakeholders’ recommendations CITES controls traceability systems capacity-building 2.6 Desktop study CITES medicinal plant: Dendrobium nobile 2.6.1 Species distribution 2.6.2 Population status, conservation situ production 2.6.3 Dendrobium nobile 2.6.4 History Appendix II listing CITES controls exemptions 2.6.5 International trade: CITES trade data Dendrobium nobile 2.6.5.1 CITES trade data analysis 3 Short review CITES regulatory framework 3.1 Introduction 3.2 General framework species interest study (orchids Aquilaria spps.) 3.3 case finished goods 3.3.1 Orchids 3.3.2 Aquilaria spp. 3.4 CITES traceability: Beneficiaries 4 Existing traceability systems 4.1 Definition traceability 4.2 Short summary supply chain traceability 4.3 UN/CEFACT architectural modelling traceability framework large-scale traceability systems 4.4 Policy claims policy briefs 4.5 Types transformation rules 4.6 Chain certification type traceability systems 4.7 role certification schemes supporting traceability 4.7.1 FairWild Standard 4.7.1.1 FairWild Standard traceability 4.7.1.2 FairWild implementation 4.7.2 Union Ethical BioTrade (UEBT) Standard 4.8 Implementation public sector traceability systems 5 Traceability CITES-listed medicinal plants 5.1 potential role traceability CITES processes 5.2 Limitations traceability systems trade medicinal plants 5.3 Applying UN/CEFACT traceability framework medicinal plants 5.4 Auditing traceability system 5.5 Costs benefits application traceability framework 5.6 Capacity-building requirements 5.7 Recommendations References Annex 1: Persons institutions consulted Annex 2: Greater Mekong subregion CITES-listed medicinal plants Annex 3: Reported exports CITES-listed medicinal plants Greater Mekong subregion, 2005–2014 Annex 4: Certification protocol UEBT/UTZ herbal tea