Applicability of traceability systems for CITES-listed ornamental plants (Appendices II and III) - Andean and other Latin American countries: Preliminary assessment

PRELIMINARY ASSESSMENT APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED ORNAMENTAL PLANTS (APPENDICES II AND III) – ANDEAN AND OTHER LATIN AMERICAN COUNTRIES: AT 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). document developed consultation CITES Secretariat valuable inputs received Tom de Meulenaer, Haruko Okusu, Milena Sosa Schmidt Markus Pikart ( UNECE UN/CEFACT). Valuable inputs received Marcos Regis Silva ( CITES Secretariat staff), David Veintimilla (Ministerio del Ambiente de Ecuador), Diego Higuera (Ministerio de Ambiente Desarrollo Sostenible de Colombia), Harol Gutiérrez Peralta (Minsterio del Ambiente de ú), Pablo Sinovas (UNEP-WCMC), Lorena Endara (University Florida, United States America), Anastasiya Timoshyna (TRAFFIC), Andrea Niessen Juan Carlos Uribe (Orquivalle, Colombia), Nelson Omar Tello Benalcázar (Centro de Rescate de la Flora Amazónica, Ecuador), Karol Villena (Agro Oriente Viveros SAC, ú), Ursula Moser (Federal Food Safety Veterinarian Office, Switzerland), Noeleen Smyth (Royal Botanical Gardens Kew, United Kingdom), Franziska Staubli (MIGROS, Switzerland), Nathalie Nagalingum (Royal Botanic Garden Sydney, Australia), Jina Choi (expert), Mariona Cusi (UNCTAD), Neiva Rosa (UNCTAD) David Vivas (UNCTAD). document edited Vivien Stone, page layout Rafe Dent, Jean-Martial Ntemde Lorena Jaramillo. document submitted peer review process summer 2016. Valuable comments received : CITES Secretariat, Ministerio de Ambiente Desarrollo Sostenible/Ministerio de Relaciones Exteriores de Colombia, Ministerio del Ambiente de ú, Mexican Scientific Authority. IUCN - Global Species Programme, Jacob Phelps (Lancaster University), Amy Hinsley (University Kent), Nelson Omar Tello Benalcázar (Centro de Rescate de la Flora Amazónica, Ecuador) Marcos Regis Silva (expert). document discussed technical workshop traceability systems CITES Appendices II- III-listed -timber forest plant species (ornamental medicinal plants) organized 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 publication BioTrade Facilitation Programme III (BTFP III). Guillermo Valles Director Division International Trade Goods Services, Commodities (DITC) UNCTAD/WEB/DITC/TED/2016/8 http://www.unctad.org/biotrade mailto:biotrade@unctad.org ii Contents Acronyms ...................................................................................................................... iv EXECUTIVE SUMMARY ................................................................................................................................ 1 . INTRODUCTION ........................................................................................................................................ 2 1.1 Background ......................................................................................................................................... 2 1.2 Aim scope .................................................................................................................................... 3 1.3 Methodology ....................................................................................................................................... 4 II. THE MARKET CHAIN ................................................................................................................................ 5 2.1 Introduction ......................................................................................................................................... 5 2.2 Products .............................................................................................................................................. 7 2.2.1 Orchids ........................................................................................................................................ 7 2.2.2 Cycads ......................................................................................................................................... 8 2.2.3 Cacti ............................................................................................................................................. 9 2.3 Global trade ornamental plants considered Latin American countries .................................. 9 2.3.1 Orchids ........................................................................................................................................ 9 2.3.2 Cycads ....................................................................................................................................... 12 2.4 Issues market assessment ............................................................................................................ 14 III. SHORT REVIEW OF THE CITES REGULATORY FRAMEWORK ............................................................ 17 3.1 Introduction ....................................................................................................................................... 17 3.2 General framework ............................................................................................................................ 17 3.3 CITES definition artificially propagated ......................................................................................... 18 3.4 Identification artificially propagated plants ................................................................................... 20 IV. EXISTING TRACEABILITY SYSTEMS .................................................................................................... 21 4.1 Introduction traceability systems .................................................................................................. 21 4.1.1 trace: principles UI ............................................................................................ 21 4.1.2 record: principle recording CTEs .................................................................... 22 4.1.3 record: principle KDEs ..................................................................................... 22 4.2 Identification systems worldwide traceability ..................................................................... 22 4.3 Data carrier standards ...................................................................................................................... 25 4.4 Examples traceability control systems CITES-listed ornamental plants ........... 27 selected Latin American countries ................................................................................................... 27 4.4.1 Colombia ................................................................................................................................... 28 4.4.2 Ecuador ..................................................................................................................................... 29 4.4.3 Peru ........................................................................................................................................... 29 4.4.4 Main issues identified ................................................................................................................ 30 . TRACEABILITY SYSTEM FOR CITES-LISTED ORNAMENTAL PLANTS ................................................ 32 5.1 potential role traceability CITES processes ....................................................................... 32 5.2 Limitations traceability systems trade ornamental plants ............................. 32 5.3 Linking legal origination process ............................................................................................... 33 5.4 Robustness legal origination process ..................................................................................... 34 5.5 Conversion raw materials products ............................................................................ 35 iii 5.6 Linking export certificate legal origination process ............................................................. 35 5.7 permitting process ..................................................................................................................... 36 5.8 Strengths, weaknesses, opportunities threats recommended solution .......................... 37 5.9 Recommendations ............................................................................................................................ 37 5.10 Roadmap outputs recommendations study .............................. 38 References .................................................................................................................................................. 40 Annex 1: Persons institutions consulted .............................................................................................. 41 Notes ........................................................................................................................................................... 43 iv Acronyms AIDC automated identification data capture ASYCUDA Automated System Customs Data (UNCTAD Programme) B2B business business B2C business consumer CBD Convention Biological Diversity CITES Convention International Trade Endangered Species Wild Fauna Flora COP/ Conference Parties CTEs critical tracking events EU European Union GIZ German Society International Cooperation GLN global locator number GTC Global Traceability Conformance Standard GTIN global trade item number HS Harmonized Commodity Description Coding System (EU) IAC issuing agency code ISO International Standards Organization ITC International Trade Centre KDEs key data elements LAFs legal acquisition findings LF frequency MAE Ministry Environment (Ecuador) MINAM Ministry Environment (Peru) Minambiente Ministry Environment Sustainable Development (Colombia) MINCETUR Ministry Trade Tourism (Peru) MoU memorandum understanding NDFs -detriment findings POS point sale PROMPERU Commission Promotion Peruvian Exports Tourism RFID radio-frequency identification SDG Sustainable Development Goal SGTIN serialized global trade item number SSCC serial shipping container code SWOT strengths, weaknesses, opportunities threats ToR terms reference UEBT Union Ethical BioTrade UHF ultra-high frequency 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 URL unified resource locator (web address) 66SC 66th Standing Committee (CITES) Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 1 EXECUTIVE SUMMARY study analyses trade CITES Appendix II- Appendix III-listed ornamental plants (Cycadaceae, Orchidaceae, Bromeliaceae Euphorbiaceae) selected Andean (Plurinational State Bolivia, Colombia, Ecuador Peru) Latin American countries (Argentina, Brazil, Chile, Costa Rica, Guatemala, Mexico, Panama Bolivarian Republic Venezuela) analyses traceability systems tool strengthen existing CITES processes, legal acquisition findings (LAFs) -detriment findings (NDFs). Main findings: 1. floricultural trade worldwide experienced strong growth 12 cent annum period 2010–2014. total trade 2014 US$21.5 billion. 2. CITES-listed ornamental plants plant products exported considered countries 2010–2014, Cycadaceae represented 63.5 cent 28.7 million exported products ( leaves, live plants, roots stems); Cactaceae represented 22.5 cent 10 million plant products (including seeds, live plants stems); Orchidaceae represented 8.7 cent 4 million plant products (live plants, leaves, roots stems) exported; Bromeliaceae represented 3.5 cent 1.5 million live plants; Euphorbiaceae Zamiaceae represented 1.8 cent million products (live plants, roots, wax). 3. Orchid exports chosen countries grown strongly 2012, experienced slowdown 2013; , due exceptional spike trade Brazil 2012. Costa Rica largest exporter 2010–2014 period. main markets United States America, Japan European Union (EU). 4. Trade CITES-listed Cycadaceae declining. Costa Rica important exporter; trade trader; Guatemala, standstill 2013. main markets EU United States America. 5. , market assessment difficult inconsistent reporting exporters importers. studied period 2010–2014, exporters reported 20 cent trade importers Orchidaceae 33 cent trade Cycadaceae. 6. studied countries, Orchidaceae represent important family trade ornamental plants; traded plants artificially propagated. 7. existing control systems, interviewed CITES Management Authorities operate comprehensive control system based issuance control operating licences1 control exported quantities/specimens CITES import export permits certificates. , determining species exported plants difficult. affects controls operating licences export control. private operators internal traceability systems. 8. Traceability contribute robustness LAFs, generate trade data improve NDFs. 9. Recording receptions plant material nurseries, creation database properly identified parental plants linking export permits identified parental plants, strongly strengthen CITES permitting process, coupled risk management systems controls operating licence issuance CITES import export permits certificates. 10. traceability system recommended based process elements, .. recording receptions, recording control stocks, linking CITES export permits certificates registered stocks. , socioeconomic impacts arising traceability system understood integrated pilot project. Recommendations development pilot study . Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 2 . INTRODUCTION 1.1 Background UNCTAD Convention International Trade Endangered Species Wild Fauna Flora (CITES) Secretariat long-standing partnership, defined memorandum understanding (MoU), signed 2010, commits organizations ensure conservation species, enhance livelihoods poor remote marginal areas, promote business opportunities entrepreneurs comply CITES requirements relevant national legislations. UNCTAD CITES Secretariat agreed collaborate matters related implementing special automated customs procedures CITES-listed species wild fauna flora UNCTAD Automated System Customs Data (ASYCUDA). relevance desirability integrate traceability system automated custom management systems, ASYCUDA. attention paid role economic incentives sustainable management CITES Appendices II- III-listed species benefit sharing resource owners. UNCTAD channels contribution BioTrade Initiative. 15th 16th meetings Conference Parties () CITES 2010 2013, decided development traceability systems assist ensuring sustainable CITES-listed species. response, UNCTAD CITES Secretariat undertook collaborate 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 (, , Ashley, 2014), comprehensive study undertaken. response UNCTAD prepared, consultation CITES Secretariat, BioTrade focal points, 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)2 considered 17th meeting Conference Parties (CoP17) CITES. complements Secretariat’ ongoing discussions United Nations Centre Trade Facilitation Electronic Business (UN/CEFACT) development business requirement specification international trade wildlife (AC28 Doc 14.2.1,3 SC66 DOC. 34.1 (Rev.1)). UNCTAD’ work developed distinctive phases. study focuses ornamental plants Latin American region, emphasis Andean subregion. study assessed feasibility traceability systems medicinal plants Asian region, emphasis Mekong subregion. consultation relevant chain stakeholders, studies assessed applicability traceability systems applied -timber plant species (ornamental medicinal plants) included CITES Appendix II Appendix III. analysis, findings recommendations work undertaken presented discussed interviews key stakeholders, 2016 ( content presented varying stages completion study): 1. ornamental plants study discussed Parties CITES side event, bilateral meetings disseminated information document (SC66 Inf.16) 66th meeting CITES Standing Committee January 2016. 2. findings recommendations studies ornamental plants peer reviewed summer 2016. 3. technical workshop discuss validate results studies (ornamental medicinal) organized UNCTAD consultation CITES Secretariat stakeholders involved traceability systems CITES-listed species, including government Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 3 officials, relevant private business international organizations. workshop organized 22 September Johannesburg, South Africa, margins CITES CoP17. 4. results studies disseminated IV BioTrade Congress 3 December 2016 Cancun, Mexico, organized context COP 13 Convention Biological Diversity (CBD) Biodiversity Business Forum. study, commissioned 2015, assesses applicability traceability systems applied ornamental plants included CITES Appendix II III Latin American region emphasis Andean subregion. countries included study: Argentina, Plurinational State Bolivia, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Panama, Peru Bolivarian Republic Venezuela. study supports discussion related submission Management Authority Switzerland Liechtenstein 22nd meeting CITES Plants Committee Tbilisi October 2015, suggesting exemption finished goods packaged ready retail trade components Appendix-II orchids (PC22 Doc. 22.1). submission, information gaps identified trade orchid products source final product, identification major industry sectors, -detriment findings (NDFs) , traceability chain, trade reporting, orchids' parts derivatives products, conservation concerns wild populations, . limited information matters, PC22 Doc22.14 document prepared IUCN (PC22 Inf.65). 1.2 Aim scope study aims contribute work traceability systems undertaken CITES Parties. , provide information trade CITES-listed ornamental plants originating Andean countries, Plurinational State Bolivia, Colombia, Ecuador Peru, Latin American countries: Argentina, Brazil, Chile, Costa Rica, Guatemala, Mexico, Panama Bolivarian Republic Venezuela. study focused ornamental plants -listed countries goal support sustainable legal trade CITES listed -timber forest plant species traceability. study’ ToR (terms reference) covered core activities: • -depth review existing information supply chains ornamental plants Latin American region, emphasis Andean region, focusing specimens CITES-listed species (appendices II II) supported BioTrade partners. • Interviews ongoing basis key stakeholders sourcing countries (governments, companies, producers, NGOs, .), industry members importing species, United Nations organizations involved trade, order obtain detailed information benefits, practices, lessons learned, challenges requirements traceability systems, small farmers landowners, validate findings study. • Identification review existing traceability systems ornamental plants, determine analysed framework study. • Mapping chains ornamental plants selected region, including identification role key stakeholders involved defining implementing traceability systems, identification livelihood benefits obtained upstream downstream stakeholders. • Analysis assessment selected systems implemented, including internal control systems (documentation methodology , key intervention points actors chain ensure systems’ effectiveness limit illegal harvesting trade species, .). selected systems categorized criteria defined jointly UNCTAD CITES Secretariat relevant partners. • Assessment socioeconomic implications (benefits, cost practical feasibility) selected systems, small farmers landowners, Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 4 governments industries, order define capacity-building fair distribution benefits generated chain. • Practical recommendations traceability system defined implemented -timber flora species CITES framework. roadmap recommendations study collaboration CITES Secretariat Parties ( relevant intergovernmental bodies) developed. outcome study, based international standards norms, includes, inter alia: • technical summary traceability systems ornamental plants. • Recommendations traceability system defined implemented address capacity-building requirements related small-scale farmers landowners, CITES Management Scientific Authorities industry; • Recommendations advancing study` outputs recommendations CITES Parties ( relevant intergovernmental bodies). 1.3 Methodology study analyses significant trade CITES-listed ornamental plants Appendix II III identifies products derived species dominate trade selected countries. study considers ornamental plants: bromeliads, cycads, Euphorbiaceae orchids. shown section 3, , main traded items Cycadaceae Orchidaceae families. analysis trade flows, , identifying main trade partners, trade volumes trade , undertaken part study. study identifies relevant efforts CITES Management Scientific Authorities ensuring traceability ornamental plants listed CITES Appendix II III Andean Latin American countries. compares efforts understand traceability systems contexts, projects undertaken CITES Parties species. study recommends development traceability system ornamental plants species listed CITES Appendix II III, consideration elements: • varying technical capabilities supply chain6 partners, small-scale growers; • varying availability technologies traceability, related automated identification data capture (AIDC) technologies data exchange technologies; • origin materials (wild artificially propagated), applicability traceability system derivatives; • robustness system respect fraudulent activities involving CITES-listed species ornamental plants; • impact capacity-building supply chain players small-scale growers, CITES Authorities industry, mitigate risk undue barriers trade. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 5 II. THE MARKET CHAIN 2.1 Introduction worldwide demand floricultural products grown significantly years. Global exports cut flowers, cut foliage, living plants flower bulbs grown US$8.5 billion 2001 US$18 billion 2010 US$21.5 billion 2014 (UN, 2016) ( inflation corrected). Figure 2.1 World export cut flowers, cut foliage, living plants flower bulbs, 2001 2014 ) Year 2001 Source: UN Comtrade. Note: Total market 2014 2.5 times larger 2001. ) Year 2014 Source: UN Comtrade. Note: Total market 2014 2.5 times larger 2001. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 6 strong growth general floricultural market, international trade ornamental plants growing. commercial trade wild-collected artificially propagated plants regulated countries order guarantee sustainability species. International trade regulated , .. trade family orchids, genera cycads number families subject regulations CITES. Latin American Andean countries important regions exporting CITES-listed plants species, region rich biodiversity, due extensive rainforests tropical climate. , Colombia Ecuador 9000 orchid species – 30 cent species (Givnish al., 2015; Pridgeon al., 2014). 2010–2014, CITES Trade Database shows main traded CITES-listed plants families countries considered report,7 cycads ( genus: Cycas), cacti, orchids Tillandsia ( genus Bromeliaceae family), (99 cent) artificially propagated. Costa Rica Guatemala major exporters Cycas period studied. Mexico main exporter cacti case orchids, main exporters vary year Costa Rica Brazil . fourth place Bromeliaceae family , , Tillandsia live plants exported Guatemala (99.7 cent). Zamiaceae, suborder cycads, traded trade volume Cycas main exporters Costa Rica Guatemala (CITES Trade Database, 2014). Table 2.1 shows main exported plant families trade terms. combination large growing trade volume endangered natural habitats, puts pressure robustness efficiency control monitoring systems ornamental plants trade. Table 2.1 Commercial exports Bromeliaceae, Cactaceae, Cycadaceae, Euphorbiaceae, Orchidaceae Zamiaceae study countries 2010-2014 kg ml (blank) Bodies 300 Carvings 70 622 50 Cultures 56 Derivatives Dried plants 1429 2 Extract 33 Flower pots Leaves 17 910 571 Live 8 362 167 Logs Powder 1258 9 Roots 1 588 909 Seeds 10 150 000 Specimens 1040 Stems 92 194 43 755 876 395 Timber Timber pieces 17 165 Source: CITES Trade Database. Note: List countries covered. Note trade records, unit measure (left “blank”), exception carvings timber pieces Cactaceae registered metres number specimens ( bodies) 2010–2014. exports Opuntia streptacantha Mexico Japan unit "bodies" 2010. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 7 compare importance trade related families ornamental species, unit metres easily compared “pieces” (.. unit cell left blank). , Table 2.2 shows comparison exports countries period recorded unit blank ( cases frequent unit). Table 2.2 main exported plant families traded terms unit = blank selected Latin American countries 2010-2014 ( commercial purposes) ro el ia ce ae ac ta ce ae yc ad ac ea ho rb ia ce ae rc ac ea ia ce ae Bodies 300 Carvings 70 672 Cultures 83 Derivatives Dried plants 1429 1255 Extract 33 Flower pots Flowers Fruit 9 528 Graft rootstocks 000 Leather Leaves 20 204 248 71 613 66 640 Live 1 175 966 9349 4 433 005 288 736 3 838 170 248 999 Logs Powder 1267 Roots 1 474 108 42 304 78 640 62 385 Seeds 10 150 147 0 Specimens 2513 Stems 148 534 812 860 58 010 59 590 Timber Timber pieces 17 165 Wax 6 690 183 Source: CITES Trade Database. study analyses existing control traceability systems Latin American region, focusing Andean subregion, evaluates role strengthening CITES processes, recommendations. region’ principal exported plants orchids, cycads cacti, section assesses market species. 2.2 Products 2.2.1 Orchids Orchids comprise largest family flowering plants 25 000 35 000 species belonging 600– 800 genera (Givnish al., 2015). constitute large part global trade ornamental plants. CITES Trade Database, orchids widely traded ornamental ; main type Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 8 trade commercial small portion belonging scientific personal . Table 2.3 summarizes main traded products (locally internationally) derived orchids . Figure 2.2 shows commercial international trade volumes orchids cycads share trade purposes. Table 2.3 Orchids products types trade Plant Plant parts Products Trade types Orchids plant Foliage Cut flowers Root Dried plants Derivatives cultures Ornamental plants Commercial, scientific, personal (.. private collectors) Medicinal plants Ingredients personal care products Food ingredients food products ornamental products, main traded products : plants ( potted); seedlings, seedpods, cultures plant parts propagation; cut flowers. Figure 2.2 Cycads orchids international trade categories, 2010-2014 ) Orchids Source: CITES trade database. ) Cycads 2.2.2 Cycads Cycads plants stout, woody stems large, stiff evergreen leaves. Varying greatly shape size (ranging 30 cm 13 tall), grow climatic zones rainforest semi-desert. Cycads comprise families (Cycadaceae, Zamiaceae Stangeriaceae) 331 species (Osborne al., 2012) similar orchids, variety products. Table 2.4 summarizes main traded products . CITES data show substantial trade leaves, species Cycas spp., floral arrangements. bulk trade cultivated plants Costa Rica, principal exporter. Cycads traded ornamental plants, 59 million plants8 traded 2002 2014 (CITES Trade Database, 2014). exports, 90 cent belong Cycas revoluta native Latin America Japan. Table 2.4 Cycad products types trade Plant Plant parts Products Trade types Cycads plant Leaves Stems Seeds Root Derivatives cultures Dried plants Ornamental plants Commercial, scientific, personal (.. private collectors) Medicinal plants Handicrafts Food ingredients food products Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 9 ornamental products, main traded products : plants; leaves; roots; stems. 2.2.3 Cacti Cacti group plants cactus family Cactaceae. Cacti succulent plants , succulent plants, possess tissue conserve water. Cacti endemic Americas exception genus, Rhipsalis, distribution stretches South America southern Africa Sri Lanka. “hot spots” species diversity (Royal Botanic Gardens Kew/CITES, 2012). Prime Mexico adjacent southwestern United States America 30 cent cacti genera endemic 600 species native. arid areas southwestern Andes subregion provide “hot spot”, covering parts Peru, Plurinational State Bolivia, Chile Argentina. Eastern Brazil, including dry caatinga rocky high terrain campo rupestre, final “hot spot”. Mexico highest abundance, Brazil, Peru, Plurinational State Bolivia Argentina (Royal Botanic Gardens Kew/CITES, 2012). CITES Trade Database, cacti traded terms seeds, stems carvings, forms shown Table 2.5. Table 2.5 Cacti products types trade Plant Plant parts Products Trade types Cacti Live plant Carvings Powder Seeds Stems Timber pieces Dried plants Ornamental plants Commercial, scientific, personal (.. private collectors) Medicinal plants Handicrafts Food (fruits vegetables) ingredients food products Cacti traded live plants, numbers comparison plant parts. seeds traded artificial propagation, source carvings stems wild. 2.3 Global trade ornamental plants considered Latin American countries 2.3.1 Orchids CITES Trade Database, 99.9 cent traded orchids Appendix II (Figure 2.3) sourced artificially propagated plants. trade data show countries considered, Costa Rica largest exporter9 selected period 70 cent total volume, Brazil (20.6 cent) Ecuador (5.7 cent). Figure 2.4 shows cumulative volumes exported orchids orchid-derived products10 period 2010–2014 reported exporters. significant decrease export orchids 2014 due incomplete reporting date consultation (December 2015). main importers Andean Latin American orchids – reported exporters – United States America Japan, Germany Canada. Figure 2.5, main importers sorted quantity. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 10 Figure 2.3 Trade CITES appendix reported importers, 2009-2013 Source: CITES Trade Database. Figure 2.4 Global export volumes orchids region, reported exporters Source: CITES Trade Database. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 11 Figure 2.5 Cumulative trade volumes orchids region, 2010-2014 Source: CITES Trade Database. Figure 2.6 Exports ornamental plants EU HS codes 06012030 06031300, reported importers Source: EUROSTAT. study orchid markets depth, trade data European Union (EU) analysed, Europe main trade hub (import/export) floriculture products , , orchids, Figure 2.1. Figure 2.6 shows exports logged EU’ Harmonised System (HS) codes 0601203011 0603130012 countries. Ecuador largest exporter EU weight ( exception 2011, Guatemala largest exporter). note applied HS codes include ornamental plants. , dedicated HS codes ornamental plant families considered report. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 12 Table 2.6 Exports ornamental plants EU HS codes 06012030 06031300, reported importers, (euro) Exporter 2010 2011 2012 2013 2014 Argentina 3808 1774 0 0 0 Plurinational State Bolivia 0 0 0 0 0 Brazil 28 475 15 655 16 270 12 442 17 746 Chile 0 0 0 0 31 132 Colombia 20 287 11 181 20 410 17 228 16 048 Costa Rica 1275 2487 2 862 646 0 Ecuador 92 755 17 112 130 697 118 662 101 409 Guatemala 0 14 324 0 0 0 Mexico 6063 0 0 7190 7481 Panama 72 0 0 5 248 0 Peru 12 010 9866 12 675 16 708 13 223 Bolivarian Republic Venezuela 0 0 650 0 1505 Source: EUROSTAT. Note: HS codes include orchids, numbers Figure 2.6 Table 2.6, interpreted refer orchids . 2.3.2 Cycads mentioned previously, main largest exporter cycads-derived products 2000 2014 Costa Rica Guatemala (CITES Trade Database, 2014). , 2010 2014 exporters products countries study.13 stated , substantial trade leaves, live plants stems, considered analysing trade data live cycads, terms CITES reports misleading (Royal Botanic Gardens Kew/CITES, 2014). Cycads traded ornamental plants destined landscaping considerable size shipped stems , leaves roots, reported stems, logs timber pieces. Similarly, trade small plants subterranean stems, young plants large proportion root, reported roots. CITES records 2010 2014 show 20 million leaves traded cycads (CITES Trade Database, 2014). main importers cycads region – reported exporters – Netherlands, United States America, Poland Germany. Figure 2.8 shows main importers, quantity. Figure 2.7 Quantities exported cycads, reported exporters Source: CITES Trade Database. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 13 Figure 2.8 Cumulative trade volumes cycads region, reported exporters importers, 2010-2014 Source: CITES Trade Database. Figure 2.9 Quantities exported cacti, reported exporters Source: CITES Trade Database. CITES Trade Database shows main exporters cacti 2010–2014 Mexico. traded product cacti seeds; seeds 100 cent artificially propagated. Netherlands major importer cacti 99.7 cent trade, United States America 0.08 cent. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 14 2.4 Issues market assessment analysing assessing trade data orchids cycads, discrepancies observed specially terms reported quantities importer exporter. figures 2.5 2.8, quantities reported exporters importers identical. Reasons differences : () export permits ; (ii) misalignment reporting periods; (iii) misreporting; (iv) data quality issues ( incomplete reporting); () trade fraud; (vi) reasons. Figures 2.10 2.11 show difference reported quantities cycads orchids. Positive differences exporter reported higher volume importer. cases, , quantity reported exporters higher quantity reported importers. case orchids considered countries 2010–2014, 663 053 additional specimens reported exporters ( reported importers), representing 19.5 cent trade. cycads, difference 6 709 745 specimens 33.1 cent trade. issue inconsistency trade data limited CITES Trade Database. Reported quantities exporters importers HS code 060313 (fresh orchids) UN Comtrade database14 identical. Figure 2.10 Differences reported volumes cycads exporter importers expressed percentage reported export volumes, 2010-2014 Source: CITES Trade Database. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 15 Figure 2.11 Differences reported volumes orchids exporter importers expressed percentage reported export volumes, 2010-2014 Source: CITES Trade Database. UN Comtrade statistics show United States America, Mexico Canada top importers considered countries ( figures reported exporters), case trade volumes reported importers. Figure 2.12 shows trade volume 2010–2014. Table 2.7 shows top destinations HS code 060313 considered countries exporters’ declarations base (lefthand side) importers’ declarations (righthand side). , significant difference ranking. Table 2.7 Export import HS code 060313 top export countries import destinations, reported , 2010-2014 Sum trade (US$) reported exporter Sum trade (US$) reported importer United States America 508 675 Mexico 586 024 Mexico 378 550 Australia 417 699 Azerbaijan 86 356 Czech Republic 180 409 Panama 77 055 Canada 127 765 Canada 66 658 United States America 124 227 Curaçao 45 880 Guatemala 91 303 Source: UN Comtrade database. Minor discrepancies present due differences exchange rates. inconsistencies trade data, markets orchids products correctly reflected statistics shown . Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 16 -designed comprehensive traceability system significantly improve trade data. Figure 2.12 Volume reported top importers exporters HS code 060313, 2010- 2014 Source: UN Comtrade database. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 17 III. SHORT REVIEW OF THE CITES REGULATORY FRAMEWORK 3.1 Introduction CITES permits certificates regulate international trade species listed CITES Appendices. Trade listed species controlled specimen level.15 Parties Convention designate Management Authority issues permits certificates export import specimens CITES-listed species Article IX Convention. obtain permit, entities apply , national Single Window16 Management Authority. process grant permit/certificate, Management Authority : • legality trade process; • sustainability, “-detriment” trade survival species wild ( determined Scientific Authority country). 3.2 General framework 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 artificial specimens cases. Exemptions apply parts products (seeds, pollinia, plants vitrocultures, cut flowers artificially propagated plants, fruits, parts derivatives artificially propagated Vanilla plants) traded harming Appendix II-listed species. Tables 3.1 3.2 summarize exemptions inclusions. case cycads, species included Appendix II, Cycas beddomei, native India, Appendix . greatest trade cycads ornamental plants, 90 cent belongs species: Cycas revoluta. CITES records show substantial trade leaves, species Cycas spp., floral arrangements. main exports cultivated plants Costa Rica. Table 3.1 Inclusion orchids products Appendices , II, III Appendix Appendices II III readily recognizable part derivative included readily recognizable part derivative included Plant parts derivatives included Plant derivatives Included specified17 Plant hybrids applicable unannotated Plant hybrids Included excluded Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 18 Table 3.2 CITES exemptions key plant families derived products Appendix Appendices II III rc ro uc ts xe te Seedling tissue cultures obtained vitro, solid liquid media, transported sterile containers subject provisions Convention ( artificially propagated CITES): - Aerangis ellisii - Dendrobium cruentum - Laelia jongheana - Laelia lobate - Paphiopedilum spp. - Peristeria elata - Phragmipedium spp. - Renanthera imschootiana Seed, spores pollen (including pollinia)18 Seedling tissue cultures obtained vitro ( glass vessels), solid liquid media, transported sterile containers Cut flowers artificially propagated plants Fruits parts derivatives thereof artificially propagated plants genus Vanilla family Cactaceae covered CITES. yc ad ro uc ts em te Seed, spores pollen (including pollinia) Seedling tissue cultures obtained vitro ( glass vessels), solid liquid media, transported sterile containers Cut flowers artificially propagated plants. ac ti ro uc ts xe te Pereskia spp., Pereskiopsis spp. Quiabentia spp. Artificially propagated hybrids / cultivars Hatiora graeseri, Schlumberga buckleyi, Schlumberga russelliana, Schlumberga truncata, Schlumberga orssichiana, Schlumberga truncata, Schlumberga opuntioides, Schlumberga truncata, Schlumberga truncata (cultivars), Cactaceae species colour mutants grafted grafting stocks: Harrisia “Jusbertii”, Hylocereus trigonus Hylocereus undulatus, Opuntia microdasys (cultivars) controlled CITES parts derivatives Appendix II cacti controlled : - Seeds, Cactaceae species exported Mexico - Seedling tissue culture obtained vitro, solid liquid media, transported sterile containers - Cut flowers artificially propagated plants - Fruits parts derivatives thereof naturalized artificially propagated plants family Cactaceae - Stems, flowers, parts derivatives thereof naturalized artificially propagated plants genera Opuniia subgenus Opuntia Selenicereus 3.3 CITES definition artificially propagated CITES definition “artificially propagated” included Resolution Conf. 11.11: (Rev. CoP15) Regulation trade plants Article VII, paras 4 5 Convention. definition refers (CITES Secretariat, 1994): ) “ controlled conditions”: means -natural environment intensively manipulated human intervention purpose plant production. General characteristics controlled conditions include, limited , tillage, fertilization, weed pest control, irrigation, nursery operations potting, bedding protection weather; Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 19 ) “cultivated parental stock”: means ensemble plants grown controlled conditions reproduction, , satisfaction designated CITES authorities exporting country: . established accordance provisions CITES relevant national laws manner detrimental survival species wild; ii. maintained sufficient quantities propagation minimize eliminate augmentation wild, augmentation occurring exception limited amount maintain vigour productivity cultivated parental stock; ) “cultivar” means, definition 8th edition International Code Nomenclature Cultivated Plants, assemblage plants () selected character combination characters; (ii) distinct, uniform, stable characters; (iii) propagated means, retains characters. term “artificially propagated” interpreted refer plant specimens: ) Grown controlled conditions; ) Grown seeds, cuttings, divisions, callus tissues plant tissues, spores propagules exempt provisions Convention derived cultivated parental stock. Plants grown cuttings divisions considered artificially propagated traded specimens material collected wild; recommended exception granted specimens deemed artificially propagated grown wild-collected seeds spores , taxon involved: ) . establishment cultivated parental stock presents significant difficulties practice specimens long time reach reproductive age, tree species; ii. seeds spores collected wild grown controlled conditions range State, country origin seeds spores; iii. relevant Management Authority range State determined collection seeds spores legal consistent relevant national laws protection conservation species; iv. relevant Scientific Authority range State determined : . collection seeds spores detrimental survival species wild; . allowing trade specimens positive effect conservation wild populations; ) minimum, comply subparagraphs IV. ) ) : . Collection seeds spores purpose limited manner regeneration wild population; ii. portion plants produced circumstances establish plantations serve cultivated parental stock future additional source seeds spores reduce eliminate collect seeds spores wild; iii. portion plants produced circumstances replanting wild, enhance recovery existing populations -establish populations extirpated; ) case operations propagating Appendix- species commercial purposes conditions registered CITES Secretariat accordance Resolution Conf. 9.19 (Rev. CoP15) Guidelines registration nurseries exporting artificially propagated specimens Appendix species. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 20 3.4 Identification artificially propagated plants CITES (CITES World, 2002), nurseries produce annually 35 million orchid plants, sold national markets. legal trade wild collected orchids forms small proportion total volume,19 important illegal trade . form orchids traded, .. flowers, difficult identify species. critical distinction combating illegal trade ability distinguish wild-collected artificially propagated plants. key points CITES definition artificially propagated plants (Royal Botanic Gardens Kew/CITES, 2014): • Plants grown controlled conditions. means, , plants manipulated -natural environment promote prime growing conditions exclude predators. traditional nursery simple greenhouse “controlled conditions”. managed tropical shade house “controlled conditions”. Temporary management piece natural vegetation wild specimens plants occur “controlled conditions”. • Wild-collected plants considered wild cultivated controlled conditions time. cultivated parent stock established manner detrimental survival species wild managed manner ensures long term maintenance cultivated stock. cultivated parental stock established accordance provisions CITES relevant national laws. means stock obtained legally CITES terms terms national laws country origin. , plant illegally collected country origin cultivated local nursery offspring exported declared artificially propagated. , offspring considered artificially propagated CITES terms due illegal collection parent plants. • Seeds considered artificially propagated plants fulfil CITES definition artificially propagated. Specimens grown wild- collected seeds exceptionally regarded artificially propagated grown range State fulfil precautionary conditions (CITES Secretariat, 1994). Table 3.3 summarizes key characteristics wild artificially propagated plants. Table 3.3 Key characteristics wild artificially propagated plants Key characteristics Wild Artificially propagated General appearance Irregular shape size Wounds insect damage fire damage Uniform Healthy plant parts Roots Irregular Dead broken Coarsely cut removed wild shape pot Roots cut healthy Soil Local soils plants clean soil Horticultural soil present (.. peat, sand, perlite, rockwool) Leaves Crushed, torn bent turgid Cracked midrib cell collapse removed wild Uniform Healthy Clean fresh Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 21 IV. EXISTING TRACEABILITY SYSTEMS 4.1 Introduction traceability systems 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) definition flexible applications, .. methods “recorded identifications” paper records electronic records, traceability systems depend unique identification (UI), critical tracking events (CTEs) key data elements (KDEs). , key questions answered establishing traceability system : • trace • record • record Table 4.1 Basic ingredients traceability Element traceability Unique identification Key data element Critical tracking point Examples • Single units • Unique identifier • Reception • Batches • Supplier ID • Processing • Barrels • Quantity • Mixing/grading • Boxes • Date • Dispatch Performance dimensions Precision Breadth Depth 4.1.1 trace: principles UI Traceability aims establish links supply chain partners supply chain product unit. important identify companies products uniquely supply chain. unique identification, traceability systems link specific information elements companies. , trader buy identical raw material 123 suppliers (, , ), store indiscriminately raw material storage produce product 459 , knowledge supplier’ raw material lost. , hand, supplier identified raw material, traceability supplier . Figure 4.1 unique identification code combining company identification product unit identification unique identification important ingredient traceability, multiple coding systems proposed multiple organizations founded supply market unique identifiers. GS120 global provider unique identification products. providers : https://.ymcdn./sites/aimglobal.site-ym./resource/resmgr/Registration_Authority/Register-IAC- Def_012516.pdf. Ideally, companies employ international standards identifying suppliers, products, trade logistics units, , ISO/IEC 15459. https://.ymcdn./sites/aimglobal.site-ym./resource/resmgr/Registration_Authority/Register-IAC-Def_012516.pdf https://.ymcdn./sites/aimglobal.site-ym./resource/resmgr/Registration_Authority/Register-IAC-Def_012516.pdf Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 22 4.1.2 record: principle recording CTEs Traceability aims identify path product production process supply chain. achieve goal, essential supply chain partner records actions information . principle recording transformations states transformation product recorded traceability system trace track product unit process. Examples transformations mixing, processing splitting. instance, traders mix flowers origins, record origins put box. 4.1.3 record: principle KDEs CTEs define actions trigger data recording. Typically, main categories CTEs entity: reception, processing dispatch, depicted Figure 4.2. traceability system define KDEs recorded CTEs, degree differentiation CTEs. , processor ornamental plants define separate processing CTEs mixing drying, process composition good . achieve traceability, essential KDEs recorded beginning transformation process link inputs outputs. Figure 4.2 Typical CTEs common KDEs length supply chain covered traceability system called depth depends purpose. cases, supply chain steps, distribution, excluded traceability systems. KDEs consist important information traceability perspective CTE. KDEs defined tracking tracing CTE . , include information achieve purpose traceability system. , KDEs artificially propagated ornamental plants species, propagation method, operator code parent plant. KDEs differ supply chain product transformed information relevant. general, KDEs include basic description elements, origin destination, processes applied product legal status. traceability system define specific KDEs CTE. amount information recorded KDE commonly called breadth traceability system. 4.2 Identification systems worldwide traceability Globally UI key principles required traceability. item traded globally requires globally unique identification, history retraced, processes procedures Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 23 applied identified risks/hazards, instance, related lack compliance avoided. Local identification products, traceable units ( product instances21), logistic units, business sites, . globally unique generally acceptable identified product leave premises business. Globally unique identifiers required : • Businesses; • Locations; • Product types; • Product instances (trade units); • Logistic units (cartons, pallets, containers). identifiers identify, instance, returnable fixed assets, business relationships, . , traceability products important. cases, implementation globally unique identification carries similar cost implementation locally unique identification. cases, locally unique identification carries advantages, globally unique identification system : GLOBALLY UNIQUE ID = PREFIX + LOCALLY UNIQUE ID , government departments globally unique identification issue local identifiers. malpractice leads unnecessary proliferation identifiers businesses official communication authority, international trade, lack uniqueness. cost locally unique identifiers created chain underestimated. consequence locally unique identifiers, businesses -label goods fit internal procedures assign globally unique identifier good. -labelling major source errors typically break point information originating system lost. , globally unique identification facilitates identification parties public authorities involved supply chain. export permits require collaboration authorities. collaboration difficult identifiers businesses, locations, trade units logistic units. major obstacle globally unique identification globally unique identification systems free charge businesses public authorities. costs adopting locally unique identification schemes seldom explicit affect issuer receiver, governmental agencies design -unique schemes. Globally unique identification schemes standardized ISO 15459. ISO runs register identification schemes, entities identification products identify suppliers products guaranteed comply ISO 15459. entities called issuing agencies identified issuing agency code (IAC). IAC prefix differentiates individual identification schemes. scheme rules remainder code, IAC tells user interpret code. Issuing agencies full liberty structure code segment IAC. GS1, global --profit organization dealing standardization identification, special IAC. globally unique identifier starting number (0–9) considered context GS1’ set identifiers (Lehr, 2013).22 context GS1’ products, global trade item number (GTIN) identify product supply chain partners. batches product identified adding serial number GTIN, forming -called serialized global trade item number (SGTIN). production location identified global location number (GLN). Logistic units, pallets identified serial shipping container code (SSCC). traceable unit typically batch identified SGTIN combination GTIN production/ date. Higher items identified uniquely SGTIN. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 24 Access unique identification key issues global traceability (Lehr, 2013). true small operators early chain. , identification products generally due lack understanding, access obstacles leading identity providers ( lack support training). promising initiative United Nations Global Compact, International Trade Centre (ITC) GS1 mentioned, pilot stage (Bracken, 2015). Blue Number Initiative23 concrete contribution Sustainable Development Goal (SDG) hunger, achieve food security improved nutrition, promote sustainable agriculture. Blue Number unique ID individual, entity asset contributing food system. specific GLN identifies farm small medium-sized enterprise part food agriculture chain. holder universal identifier appended additional information international registries, databases information storage infrastructures. Blue Number issued GS1, obtained dedicated global online system : • Farmers agribusinesses register volunteer information ; • Farmers agribusinesses create sustainability profile products, services capacity, including trade export; • Information shared stakeholders, trading partners regulators; • Farmers agribusinesses declare ready capacity-building support national stakeholders, governments UN agencies. big small traceable units , called precision traceability system depends resources practicability; Figure 4.3. Figure 4.3 Precision traceability identification system commonly, UI form alphanumeric codes, encoded barcodes radio-frequency identification (RFID) tags – -called AIDC technologies. Special mechanisms encode additional information faster data transmission, weight, lot number, expiration date, destination elements. GTIN additional barcoded information shown Figure 4.4. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 25 Figure 4.4 GTIN additional barcoded information, expiration date lot number recommended government agencies CITES Parties collaborate GS1 issuing agencies registered ISO 15459 point businesses products identified globally uniquely. 4.3 Data carrier standards area confusion difference identifiers, traceability data carriers. Figure 4.5 Data carriers agrifood chains Data carriers simple function carry information chain. Data carriers human readable labels, interest AIDC, today understood machine readable information carriers. ongoing dichotomy data carriers carrying identifiers, information held , typically IT system data carriers attempt carry relevant information independently (Ashley, 2014; UN, 2016). purpose discussion assume identifiers transported. important data carrier today -dimensional barcode. number formats exist, EAN/UPC Code128 barcode , represented items globally sold supermarkets. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 26 EAN/UPC • retail point sale (POS) designed high volume scanning environment; • POS logistics; • Limited carrying GS1 keys special identifiers restricted applications variable measure trade items internal numbering. logistic operations GS1-128 (UCC/EAN-128) bar code SSCC. carry GS1 keys, items crossing POS. times, -dimensional bar codes popular. standards : DataMatrix • DataMatrix "2- matrix" symbol logistics health care; • (GS1) items crossing POS; • typically 2335 alphanumeric characters; • Size determines readability; error correction codes attempt increase reliability. QR Code24 • QR codes "2- matrix" symbol consumer facing activities; • encode URLs; • 4296 characters, readability depends size; • (GS1) restricted applications involve imaging scanners mobile devices POS processing. DataMatrix standard business business (B2B) transactions. main purpose hold serialized information lot number, expiration/ dates similar data machine readable format. QR code business consumer (B2C) transactions , , encode unique resource locators (URLs) marketing easy consumer access information. unique capability store URLs optimization mobile devices code suitable activities. companies today wishing transport information consumers select QR code. , B2B transactions limited. data carriers require line sight scanning . reception bay, pallets unpacked, individual cartons scanned, pallet rebuilt. automation step, RFID invented remedy shortcomings line--sight barcodes. RFIDs wireless -contact radio-frequency electromagnetic fields transfer data, purposes automatically identifying tracking tags attached objects. data carriers, transmit identities data. purpose study, assumed transmit identities . basic RFID types: • Active tags battery emit signal; • Passive tags respond external activation reader. Figure 4.6 EPC RFID tag Wal-Mart Source: Wikipedia Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 27 active tags, typically easier achieve 100 cent read rates, anti-theft systems. higher price, limited simple identification purposes. frequency bands employed purposes. , frequency (LF) tags widely animal identification ultra-high frequency (UHF) tags logistics. , frequency bands standardized globally. Modern readers deal easily, tags issued country illegal country. importance stress data carriers establish traceability. RFID facilitates chain information management, eases automated data capture process, establish traceability . Traceability requires association identifiers locations processes, identifiers chain emergence obliteration. 4.4 Examples traceability control systems CITES-listed ornamental plants selected Latin American countries Figure 4.7 Schematic representation chain ornamental plants countries studied Source: Lehr, 2013. section, examples control systems exports CITES-listed ornamental plants detail. export chain depicted Figure 4.7; extremely short, basically consisting single step, nursery. Interviewed nurseries obtain mother plants rarely; principle possibility exists collector obtains material wild ( proper permit), nurseries remember concrete case. Nurseries buy material nurseries, basically propagate species . Nurseries export plants , .. traders. Exports controlled authorities, CITES Management Authority . , economic activity nurseries . , active management wild resource, interviewed countries part chain . implementation traceability control system affect nurseries . Traceability systems ornamental plants confines single company . traceability system identified ( ), related system covering parts nursery’ internal operation; main function return plants brought greenhouse sales area original location. , countries interviewed, control system Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 28 present. control system involved typically branches Ministry Agriculture Environment. case studies, Management Authorities countries interest operate similar procedures. main controlling elements annual operating licence – issued typically local branch Ministry Agriculture – register parental stock estimation production levels. correctness reported stocks checked physical visit. Export permits subject plant material operating licence. degree verification varies countries annual verification visit sample-based inspection exported goods physical visits consignment. Common good practices countries interviewed : • annual visit verify parental stock sample basis part issuance annual operating licence; • Inspection export consignments border. Countries implement stricter regimes find resistance private sector. Timeliness exports essential live plant exports arranging physical visits remoter areas nurseries located, potentially time delays. 4.4.1 Colombia25 Colombia operates comprehensive control system CITES-listed plants. system concerns orchids, largest export item. 2010 2014, 39 684 exported CITES-listed plant specimens 38 022 (95.8 cent) Orchidaceae family. Colombia, nurseries export orchids . Smaller nurseries operational, produce local market. trading orchids (.. exporters producers entities). nurseries import species -export . Resolution Conf. 91.19 (Rev. Cop15): Registration nurseries artificially propagate specimens Appendix plant species export purposes. Colombia nursery listed: https://cites.org/eng/common/reg/nu/CO. nurseries subject operating permit issued Ministry Environment Sustainable Development (Ministerio de Ambiente Desarrollo Sostenible, Minambiente). exported orchids artificially propagated. possibility request permit direct export parental plants exists, . Nurseries principle obtain species wild, permit requested granted research purposes. orchids protection 1977 onwards, unverifiable claim specimens obtained date. obtain operating permit, nurseries submit annually inventory plants Minambiente. responsible regional department perform physical inspection sample plants checked. physical check conducted trained inspectors, plant species identification complex. Based information collected visit projections nursery, maximum export quantity established CITES Management Authority, located Minambiente. nursery wishes export, submits request national single window (Ventanilla Unica de Comercio Exterior26). supporting documentation, company submits copy inventory time application permit. CITES Management Authority determines LAF based operating permit nursery current inventory specimens. explicitly pre-established maximum limit exports species nursery. export shipments physically inspected leave country. exceptional cases, CITES Management Authority documentary check. shipment inspected, expert botanists crucial exit points, airports. identification species critical issue. https://cites.org/eng/common/reg/nu/CO Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 29 Colombia interest promoting sustainable trade orchids, cacti Zamia. reason, country undergoing revision respective laws regulations. design regulations private collection. strategy improving trade situation legality support small medium-sized producers nurseries enabling increase competitiveness. 4.4.2 Ecuador27 Ecuador operates comprehensive control system CITES-listed plants. concerns orchids, largest export item. 2010 2014, 245 996 exported CITES- listed specimens, 231 330 Orchidaceae family. Orchidaceae represented 98.8 cent exported plant species Ecuador period. Ecuador, nurseries export orchids trading orchids (.. exporters producers entities). 70–80 cent produced orchids exported; Ecuador, demand hybrids. nurseries subject operating licence issued Ministry Environment (Ministerio del Ambiente Ecuador – MAE). exported orchids artificially propagated. principle, nurseries obtain species wild, permit requested granted research purposes. , rarely. nurseries operating hundreds thousands species portfolios. Private collections regulated. obtain operating licence, nurseries submit annually list plants (identified company internal code, locally unique identifier) projection sales MAE. responsible regional department perform physical inspection sample plants checked. Based information collected visit projections nursery, maximum export quantity established CITES Management Authority, located MAE. nursery wishes export, submits request national single window. supporting documentation (bill), species identified company internal code initial submission stocks. national system collects codes. CITES permit process linked phyto-sanitary certificate process. CITES Management Authority determines LAF based operating permit nursery current number exported specimens maximum limit. Ecuador risk management approach border controls, export shipments physically inspected leave country. shipment inspected, expert botanists crucial exit points, airports. identification species critical issue. 4.4.3 Peru28 GS1 Peru conjunction AGRO ORIENTE VIVEROS SAC implemented internal traceability system framework BioTrade project "Proyecto úbiodiverso – PBD". project funded Swiss State Secretariat Economic Affairs SECO German Society International Cooperation (GIZ), local counterparts Ministry Trade Tourism (MINCETUR), Commission Promotion Peruvian Exports Tourism (PROMPERU) Ministry Environment (MINAM). project GS1 Peru (2006) consisted : • Elaboration traceability manual; • Implementation manual nursery sales room; • Audit GS1 Global Traceability Conformance (GTC) Standard 105 traceability indicators evaluated. Figure 4.8 Plant species identification GTIN-13 Source: GS1 Peru. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 30 project, GS1’ identification standards implemented. , plant, species mapped GTIN-13 ( section 4.2) plants identified barcode; Figure 4.7. addition species, nursery section , section, specific table plants stored registered. main purpose identification facilitate species identification nursery operation. internal traceability system recorded information steps: • Division: vitro propagation, production seeds, acclimatizing transport; • Preparation: Identification tables, preparation soil, division plants, planting returning greenhouse; • Cultivation: Cultivation activities, phyto-sanitary controls treatments, identification; • Sales: Transport plants point sales, identification returns. addition, register created providers, transporters, clients addition internal personnel. pilot project successful nursery obtained GTC certificate. usefulness CITES purposes limited, , plants individually batch identified control specimen level facilitated. Identification barcode species enforcement, equipment barcode looked compared physical plant. access database photos mobile phone, adding barcode . 4.4.4 Main issues identified systems countries control exports orchids rigorous reasonable level control. physical controls reasonable level streamline export process, consistent identification mother plant exported material added present control systems order strengthen . apparent interviews electronic registry mother plants highly beneficial coordination local Department Agriculture authority CITES Management Authorities. limit economic impact additional measures public service organizations, inclusion risk-based controls considered. current control systems stringent proposed modifications large impact economic operators. additional effort, .. creation electronic registry mother plants, compensated additional management benefits physical controls inclusion risk-based management concepts. main issue raised stakeholders ( private public sides; section 7 identification species, visits nurseries regional officers, border. Identification species ornamental plants highly specialized task requires significant training. plant flowers, task easier, case, simple due large number species orchids. border, plants arrive flower identification difficult – specialist’ task. Producing pictorial identification material plants shipped border officers identify species substitution, greatest risk control system. , efforts Parties increase availability identification materials custom’ officials .29 Differentiation artificially propagated wild material necessarily easy. Material harvested identifiable insect bites marks naturally occur wild plants nurseries don’ . , wild harvested plant left sufficient time nursery controlled environment, natural markings disappear. risk-based methodology conduct DNA testing sample basis. country assign suitable number DNA tests annually (based budget allocation) risk-based methodology assign tests individual verification activities, nursery border. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 31 addition, public stakeholders countries expressed concerns training status regional border officials. Regular training species identification, differentiation wild artificially propagated plants, sampling plant material risk-based methodologies worthwhile strengthen control processes. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 32 . TRACEABILITY SYSTEM FOR CITES-LISTED ORNAMENTAL PLANTS 5.1 potential role traceability CITES processes stated section 3.1, CITES Management Authority process grant import, export, -export permit certificates: • legality trade process; • sustainability, “-detriment” trade survival species wild ( determined Scientific Authority country). Figure 5.1 Potential roles traceability strenghtening CITES processes Legal acquisition finding (LAF) -detriment finding (NDF) - Link production source - Additional information enforcement - Trade statistics linked countries origin - Consistent global trade volumes Information origin, supply chain steps process determine material acquired legally. addition, traceability links trade statistics production origin origin parent plant. information nations efforts NDFs ( Figure 5.1). Traceability developing statistics databases inputs NDFs review significant trade CITES. , traceability support LAFs, , document relationship goods exported legal origin process ( section 5.3). 5.2 Limitations traceability systems trade ornamental plants number limitations traceability systems trade specimens CITES- listed ornamental plants. portion ornamental plant trade illegal, unregulated / unreported; black market activities, traceability ideal tool ( Box 1). buyer seller act knowingly law, document transactions information form. Traceability law enforcement activities extent () analysis product flows provide hints illegal activity; () companies held accountable based data previously submitted. , impact traceability reducing black market transactions overestimated. main benefit traceability system CITES trade avoidance entry illegal material legal chains, .. avoidance “laundering”. 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. Arguably, success future traceability system depend determination Parties implement , created supply chain, early stages. important measures positive discrimination work legally ornamental plants products. legal trade exclusively related artificially propagated species, positive discrimination connected ease trade reliable nurseries ( ). Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 33 limitation assumption legal origination process exists. Latin American countries consulted purpose study, required operating permit nurseries. operating permit depends inventory nursery, turn validated (regional) authority. LAF includes validation number specimens exported accordance inventory / maximum production limit. , quality data captured legal origination process monitored Parties implementing traceability. Traceability understood system claims30 requires verification data held traceability system valid. traceability system sufficiently robust, introduction create smokescreen legality fail address actual problem, .. pressure population ornamental plant species. 5.3 Linking legal origination process traceability system suggested Parties CITES links export/import permit certificate process legal origination process combines risk-based control method. Legal origination ornamental plants refers legal collection specimen wild, legal purchase specimen legal creation specimen, .. artificial propagation. Box 1 Traceability legal compliance white markets, customers producers trade legal goods, traceability act assurance legality claims. traceability identifies partner supply chain, supports claim good sourced legally. valuable risk illegally sourced product entering legal market, customers demand assurance product sourced manufactured accordance legal standards. Consumers access data; knowing officials access sufficient assurance. feature equally valuable grey markets, illegal products laundered legal business chains illegal origin goods deliberately clients. markets, traceability provide evidence good sourced legally. law enforcement points products questionable sourcing. black markets, customers producers aware trading illegally, traceability support law enforcement lack documentation trail highlight products questionable origin. Traceability function gatekeeper deny illegally sourced products market entry increase risk participating black markets. , sellers buyers agree illegal transactions, traceability . legal origination process ornamental plants consist steps: 1. entries CITES-listed ornamental plants, plant parts seeds recorded : . Date; . Supplier (, business registration number similar); . CITES permit information ( applicable); . Species; . Number specimens; . Identification codes ( point 2). 2. Registration parental plants, .. specimens collected wild plants purchased propagation. Plants species registered batch origin (.. supplier CITES permit). applies seeds plants parts. Preferentially, , plants individually identified. identifiers globally unique unique context operator. 3. inventory parental plants, seeds plant parts registered, ideally electronic system. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 34 5.4 Robustness legal origination process legal origination process sufficiently robust order add process. current practice review annual basis current inventory. recommendation include registered receptions, combine verification process risk management system, electronically record verification process. risk management system provide values ( independently extent): - sample size verification (0–100 cent); - plants check. Table 5.1 risk factors determining sample size Factor Sample size Higher Individual identification plants partly batch identification plants registered wild harvested Significant amount plants imported control favourable Issues export permits control … , sample size calculated (.. spreadsheet tool). sample size average countries current practice. , nurseries higher risk profile, fuller checks nurseries risk. Table 5.1 collects potential factors influencing sample size exhaustive. principle, small sample size allocated year nursery risk profile. sample size calculated cent, keeping proportion plants checked nursery constant. applied total number (parent) plants obtain number plants check. Alternatively, sample size determined total number, keeping average effort nursery constant. , Table 5.2. proportionally check plants smaller nurseries larger , easier planning authority undertaking verification. Table 5.2 highlighting difference constant sample percentage constant sample size checking nursery stocks Approach () Large nursery Small nursery Stock Plants checked cent stock checked Stock Sample cent stock Constant sample percentage 5% 10 000 500 5% 2000 40 5% Constant sample size 100 10 000 100 1% 2000 100 5% individual plants check, list parental specimens electronically , risk management approach , . Potential risk factors shown Table 5.3. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 35 Table 5.3 risk factors determining plants check Factor Sample size Higher Individually identified plant Batch identified plant parts Wild harvested origin Imported origin control CITES Imported free trade zone control favourable Significant number descendants earlier export issues descendants plant/batch … Applying principles nursery inventory parental plants, plant material seeds identify individual plants batches check. Inspectors recommended check parental plant descendants. 5.5 Conversion raw materials products conversion factors applied products raw material, exported plants artificial propagation upper limit plants generated single parental plant. Similarly, plant sold parts (tissue), controllable limit easily established. limit (usable) plant weight, easy establish control. plants, exports disallowed conversion factor trivial. 5.6 Linking export certificate legal origination process strengthen CITES export permit issuance process traceability, recommended record originating plant batch identifier() export, -export permit certificate. graphically represented Figure 5.2. Figure 5.2 Stengthening CITES processes traceability Source: Lehr, 2016a © Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 36 principle, originating plant batch annotated permit . CITES permits extendable, text field easily added. , clear traceability originating plant importing country adds , externally accessible register originating plants batches. Table 5.4 collects ornamental plant products identification strategy export permit applications. case electronic register plants , identifiers permit certificate application verified. addition, similar checks : • Number descendent specimens plant batch total; • Number descendent specimens plant batch current year; • Identifier exporter; • Number exported plants species; • Quantity exported plant parts seeds. Table 5.4 products recommended identification Type specimen exported Identification Artificially propagated single plant batch Parental plant identifier parental plant batch identifier Artificially propagated mixed parental plants List identifiers individual plants batches Hybrid List identifiers individual plants batches Plant parts seeds List identifiers individual plants batches 5.7 permitting process permitting process extension process shown Figure 5.2. provide basis risk-based check, form alert border authorities perform documentary check physical inspection. Alternatively, CITES permits certificate issuance part issuance phyto-sanitary certificate31 ( require physical inspection), inspectors alerted carry additional checks ( Table 5.3). Figure 5.3 Risk management based process decide verification level Source: Lehr, 2016a Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 37 CITES Management Authority suggest phyto-sanitary inspectors / border inspectors perform inspection percentage goods related CITES documentation. export process, probability verified agents depend risk factors listed Table 5.3. Table 5.5 risk factors export verification documentary check physical inspection Factor Inspection Documentary check Control frequency Higher Total number exported plants higher expected Number plants inconsistent inventory High number imported plants Main exported species exporter certificate issues 12 months control favourable Parent plants identified individually 5.8 Strengths, weaknesses, opportunities threats recommended solution Strengths Simple levels complexity , depending technical capacity Step-wise improvement Applicable CITES-listed species Weaknesses Replacement species documentation systems, addresses white grey market Works supported electronic system Opportunities Strengthens Legal Acquisition extent -Detriment Finding faster control Management Authority integration Approved Trader similar schemes Threats Lack capacity, developing nations address black market, sizeable portion trade ornamental plants 5.9 Recommendations General experience implementing traceability food, fishery, livestock sectors shows implementation traceability detailed process. cases, implementation straightforward, , motivation private sectors, successful. cases, implementation proven lengthy complicated, mixed results . combination public private sector support absolutely essential success. Traceability tool strengthening CITES Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 38 , implementation traceability system strengthen CITES processes tested depth considered proven traceability positive impact final goal, conservation, legal sustainable CITES-listed species. number elements critical success: • Technical viability, , identification record keeping nurseries, including small-scale nurseries. • Designing mix positive negative incentives private industry participate. • Adherence international standards norms , including joint work standard setting organizations. • Provision capacity-building initiatives developing countries , , developed countries lacking adequate infrastructure implement traceability systems. • Obtaining buy- Parties strengthen CITES processes traceability systems ornamental plants. • Provision traceability toolkit ( integration -permitting toolkit), traceability easy implement, meaningful CITES Management Scientific Authorities. • Feasibility recommended processes technical, economic conservational aspects demonstrated .. conducting socioeconomic impact analysis. checked subsequent phase, instance pilot project. pilot project , inter alia, criteria: • large measurable impact; ideally cover Management Authorities period time (.. months). • Parties participating pilot legal origination process; ideally support electronic recording parental plants batches. • involve developing country, , technical feasibility assessment. Ideally – budget – include country technological capacity gain practical experience process implemented difficult circumstances. • socioeconomic impact assessment compares implementation operation cost impact CITES-listed species. • attempt quantify amount illegal unreported trade local expert knowledge. • involve trading partner history strong interest sustainable ornamental plants products provide motivation food business operators. • concentrate ornamental products , mixing involved. , methodology expanded medicinal personal care . • firstly Parties risk management export related procedures. 5.10 Roadmap outputs recommendations study study intended contribute general study traceability CITES-listed - timber plant species. steps recommended implementation outputs recommendations: 1. Complement current study study plant products, notably processed plant products, products medicinal herbs. 2. Provide validated studies case studies traceability working group recommended SC66. 3. Integrate recommendations Guide Practice Implementation Traceability Systems, development UN/CEFACT. Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 39 4. Identify pilot project criteria listed implement , including socioeconomic impact study. Draw conclusions pilot propose traceability system adoption Parties. 5. Present recommendations pilot results relevant committees CITES. expected points 2 3, evidence developed point 4, contribute development umbrella traceability system suitable CITES Parties. References 40 References Africa , Muñoz (2009). Orchid conservation trade: concepts incompatible Proceedings Scientific Conference Andean Orchids. 46–55. Ashley (2014). Traceability systems sustainable international trade South-East Asian python skins. United Nations Conference Trade Development: York Geneva. : http://unctad.org/en/PublicationsLibrary/ditcted2013d6_en.pdf. Bracken (2015). GS1 sustainable agriculture. CITES Secretariat (1994). Resolution Conf. 11.11 (Rev. CoP15). : https://www.cites.org/eng/res/11/11-11R15.php. [Accessed: 02-Nov-2015]. CITES Secretariat (2002). CITES World. 9:3–6. CITES Trade Database (2014). : http://trade.cites.org/. Givnish TJ, Spalink , Ames , Lyon SP, Hunter SJ, Zuluaga al. (2015). Orchid phylogenomics multiple drivers extraordinary diversification. Proceedings, Biological Sciences. 282(1814). GS1 Peru (2006). Proyecto Trazabilidad en Orquídeas Agro Oriente Viveros SAC. Lehr (2013). Communicating Food safety, authenticity consumer choice. Field experiences. Patents Food, Nutrition & Agriculture 5:19–34. Olsen , Borit (2013). define traceability. Trends Food Science & Technology. 29(2):142–150. :http://linkinghub.elsevier./retrieve/pii/S0924224412002117. Osborne , Calonje MA, Hill KD, Stanberg , Stevenson DW (2012). World List Cycads. Proceedings 8th International Conference Cycad Biology (CYCAD 2008). 106(14):480–510. Pridgeon AM, Cribb PJ, Chase MW, Rasmussen FN (2014). Genera Orchidacearum Epidendroideae (Part 3). Oxford University Press: Oxford, United Kingdom. Royal Botanic Gardens Kew/CITES (2012). CITES cacti: user' guide. Royal Botanic Gardens Kew/CITES (2014). CITES cycads: user' guide. UN (2016). UN Comtrade database. : http://comtrade..org/data/. UNCTAD (2016). Meeting report UNCTAD side event – Traceability systems ornamental plants. Geneva. Sinovas , King , Hinsley (2015). Trazabilidad del comercio de vida silvestre en Ecuador. Informe écnico preparado para el Ministerio del Ambiente de Ecuador el Programa ProCamBí-GIZ. Cambridge, United Kingdom. Annex1: Persons institutions consulted 41 Annex 1: Persons institutions consulted Organization Country Individual CITES CITES Secretariat Switzerland Haruko Osuko Marcos Regis Silva (Retired) Markus Pikart Milena Sosa Schmidt Tom de Meulenaer Daniel Kachelriess Dave Henson Mrigesh Kshatriya Karen Gaynor CITES Management Authorities Ministerio del Ambiente Ecuador David Veintemilla Ministerio de Ambiente Desarrollo Sostenible Colombia Diego Higuera Ministero del Ambiente Energí Costa Rica José Joaquí Calvo Ministerio del Ambiente Peru Mirbel Epiquié Rivera Isela del Carmen Arce Castañeda Vanessa Ingar Elliott Harol Gutiérrez Peralta Comisió Nacional para el Conocimiento Uso de la Biodiversidad (CONABIO) Mexico Marí Isabel Camarena Osorno Federal Food Safety Veterinarian Office Switzerland Ursula Moser Mathias örtscher Department Agriculture Thailand Duangduen Sripotar National Institute Biological Resources Republic Korea Byoung Yoon Lee Tae-Kwon Noh International organizations UNEP-WCMC United Kingdom Pablo Sinovas Kelly Malsch UNECE UN/CEFACT Switzerland Markus Pikart UNCTAD Switzerland Bonapas Onguglo Lorena Jaramillo Mariona Cusi UNDP Thailand Lisa Farroway ITC Switzerland Joe Wozniak Private sector stakeholders Orquivalle Colombia Andrea Niessen Juan Carlos Uribe Agro Oriente Viveros SAC Peru Karol Villena Centro De Rescate De La Flora Amazónica Ecuador Omar Tello Migros Switzerland Franziska Staubli -governmental organizations TRAFFIC United Kingdom Anastasiya Timoshyna Annex1: Persons institutions consulted 42 Organization Country Individual IUCN United Kingdom Daniel Challender Dena Cator Richard Jerkins GS1 Global Belgium Jim Bracken GS1 Switzerland Switzerland Anders Grangard Plant experts University Florida United States America Lorena Endara Tradmed United States America Josef Brinckmann Royal Botanic Garden Sydney Australia Nathalie Nagalingum Royal Botanic Gardens KEW United Kingdom Noeleen Smyth Applicability traceability systems CITES-listed ornamental plants (Appendices II III) - Andean Latin American countries: Preliminary assessment 43 Notes 1 licence company legally operate renewed annual basis. 2 https://cites.org/sites/default/files/eng//sc/66/-SC66-34-01-Rev1x.pdf 3 https://cites.org/sites/default/files/eng//ac/28/-AC28-14-02-01%28Rev1%29.pdf. 4 https://cites.org/sites/default/files/eng//pc/22/-PC22-22-01.pdf. 5 https://cites.org/sites/default/files/eng//pc/22/Inf/-PC22-Inf-06.pdf. 6 supply chain refers sequence processes involved production distribution commodity, companies. chain refers sequence processes companies add article; includes activities marketing -sales services typically included supply chains. 7 Argentina, Plurinational State Bolivia, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Panama, Peru,Bolivarian Republic Venezuela. 8 Trade quantity measured number live plants, leaves roots. figure include data showing trade parts derivatives (.. stems, seeds, dried plants, .) trade recorded units (.. kg, , ³, ²,shipments, sets .). 9 Based quantities reported exporter. 10 Trade quantity measured number live plants, leaves roots. figure include data trade parts derivatives (.. specimens, cultures, stems, .) trade recorded units (.. kg, , ³, ², shipments, sets .). figure filtered specific trade term. 11 Orchid, Hyacinth, Narcissi Tulip bulbs, growth flower. 12 Fresh cut orchids buds, kind suitable bouquets ornamental purposes. 13 Trade quantity measured number live plants, leaves, roots stems. figure include trade data parts derivatives (.. specimens, cultures, seeds, .) trade recorded units (.. kg, , ³, ²,shipments, sets .). 14 http://comtrade..org/. 15 https://www.cites.org/eng/disc/text.php. 16 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). 17 CITES Parties agreed plant species included Appendix II, absence annotation relating species readily recognizable parts derivatives included. Finished products Appendices II III plants generally included CITES, specifically excluded. 18 apply seeds Cactaceae exported Mexico, seeds Beccariophoenix madagascariensis Neodypsis decaryi exported Madagascar. 19 2010–2014, considered countries, total 6906 specimens exported, compared 4 032 879 specimens artificial propagation 11 793 specimens bred captivity. Source: CITES Trade Database. 20 www.gs1.org. 21 product instance unit product type, .. individual plant species nursery. 22 http://www.gs1.org/barcodes. 23 http://www.gs1.org/sites/default/files/docs/retail/BlueNumber-1pagerA4.pdf 24 Quick response codes. 25 Information based interviews Diego Higuera, Andrew Niessen Juan Carlos Uribe discussions event (UNCTAD, 2016). 26 http://www.vuce.gov./. 27 Information based interviews Pablo Sinovas, David Veintemilla Omar Tello, (Sinovas, 2015) discussions event (UNCTAD, 2016). 28 Information based interviews Mirbel Epiquié Rivera, Isela del Carmen Arce Castañeda, Vanessa Ingar Elliott, Harol Gutierrez Peralta Karol Villena discussions event (UNCTAD, 2016). 29 : review identification guidance material (Decision 16.59), cites.org/sites/default/files/eng//ac/28/-AC28-10.pdf. 30 , records claims. Claims turn facts verification. 31 Countries phyto-sanitary certificates certificates authorize export artificially propagated specimens Appendix II plant species. : https://cites.org/eng/resources/reference.php#phyto. https://cites.org/sites/default/files/eng//ac/28/-AC28-14-02-01%28Rev1%29.pdf https://cites.org/sites/default/files/eng//pc/22/-PC22-22-01.pdf https://cites.org/sites/default/files/eng//pc/22/Inf/-PC22-Inf-06.pdf https://www.cites.org/eng/disc/text.php http://www.gs1.org/barcodes http://www.gs1.org/sites/default/files/docs/retail/BlueNumber-1pagerA4.pdf http://www.vuce.gov./ https://cites.org/sites/default/files/eng//ac/28/-AC28-10.pdf https://cites.org/eng/resources/reference.php#phyto Acronyms EXECUTIVE SUMMARY . INTRODUCTION 1.1 Background 1.2 Aim scope 1.3 Methodology II. THE MARKET CHAIN 2.1 Introduction 2.2 Products 2.2.1 Orchids 2.2.2 Cycads 2.2.3 Cacti 2.3 Global trade ornamental plants considered Latin American countries 2.3.1 Orchids 2.3.2 Cycads 2.4 Issues market assessment III. SHORT REVIEW OF THE CITES REGULATORY FRAMEWORK 3.1 Introduction 3.2 General framework 3.3 CITES definition artificially propagated 3.4 Identification artificially propagated plants IV. EXISTING TRACEABILITY SYSTEMS 4.1 Introduction traceability systems 4.1.1 trace: principles UI 4.1.2 record: principle recording CTEs 4.1.3 record: principle KDEs 4.2 Identification systems worldwide traceability 4.3 Data carrier standards 4.4 Examples traceability control systems CITES-listed ornamental plants selected Latin American countries 4.4.1 Colombia 4.4.2 Ecuador 4.4.3 Peru 4.4.4 Main issues identified . TRACEABILITY SYSTEM FOR CITES-LISTED ORNAMENTAL PLANTS 5.1 potential role traceability CITES processes 5.2 Limitations traceability systems trade ornamental plants 5.3 Linking legal origination process 5.4 Robustness legal origination process 5.5 Conversion raw materials products 5.6 Linking export certificate legal origination process 5.7 permitting process 5.8 Strengths, weaknesses, opportunities threats recommended solution 5.9 Recommendations 5.10 Roadmap outputs recommendations study References Annex 1: Persons institutions consulted Notes