Applicability of traceability systems for CITES-listed medicinal and ornamental plants (Appendices II and III)

Note designations employed presentation material imply expression opinion whatsoever part Secretariat United Nations legal status country, territory, city area, authorities, delimitations frontiers boundaries. Material publication freely quoted reprinted, acknowledgement requested, reference document number. copy publication quotation reprint, UNCTAD secretariat: Palais des Nations, 1211, Geneva 10, Switzerland. publication edited externally. information UNCTAD’ BioTrade Initiative consult website: http://www.unctad.org/biotrade, contact: biotrade@unctad.org Acknowledgements document prepared Heiner Lehr (UNCTAD consultant) Lorena Jaramillo (Economic Affairs Offi cer, UNCTAD), guidance Bonapas Onguglo (Senior Economic Affairs Offi cer, UNCTAD), Division International Trade Goods Services, Commodities (DITC). Neiva Rosa (UNCTAD consultant) Lalen Lleander (Economic Affairs Offi cer, UNCTAD) contributed. publication edited Vivien Stone. desktop publishing Rafe Dent, UNCTAD. Valuable inputs received CITES Secretariat staff including Tom de Meulenaer, Haruko Okusu, Milena Sosa Schmidt Markus Pikart. Signifi contributions received TRAFFIC, notably Anastasiya Timoshyna Vicki Crook medicinal plants’ study. Valuable inputs received variety public, private academic stakeholders civil society, listed Annex 1. publication edited Vivien Stone. document presents main fi ndings recommendations UNCTAD studies assessing traceability systems -timber plant species (ornamental medicinal plants) CITES Appendices II III. studies developed consultation CITES Secretariat, CITES Management / Scientifi Authorities BioTrade partners. complete studies : http://unctad.org/biotrade www.biotrade.org. draft document benefi ted extensive consultation process, including peer review presentation CITES SC66 (ornamental study) discussions technical workshop traceability systems CITES Appendices II- III-listed -timber forest plant species (ornamental medicinal plants) 22 September 2016 Johannesburg, South Africa. UNCTAD gratefully acknowledges support Swiss State Secretariat Economic Affairs SECO development publications traceability systems BioTrade Facilitation Programme III (BTFP III). Guillermo Valles Director Division International Trade Goods Services, Commodities 29 March 2017 UNCTAD/DITC/TED/2016/5 UNITED NATIONS PUBLICATION Copyright © United Nations, 2017 rights reserved iii Contents Note ........................................................................................................................................................ ii Acknowledgements ................................................................................................................................. ii Acronyms ............................................................................................................................................... iv 1. BACKGROUND .................................................................................................... 1 1.1 BioTrade relation CITES traceability .............................................................. 1 1.2 UNCTAD CITES collaboration .................................................................................................... 1 2. TRACEABILITY-RELATED ACTIVITIES ....................................................................... 3 3. MAIN FINDINGS OF THE TWO UNCTAD STUDIES TO ASSESS THE APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED ORNAMENTAL AND MEDICINAL PLANTS UNDER APPENDICES II AND III ............................................................................. 5 3.1 Traceability considerations -timber forest plant species .......................................................... 5 3.2 UNCTAD studies applicability traceability systems medicinal ornamental plants ..... 5 3.3 Main fi ndings ornamental plants’ study Andean Latin American countries ........... 7 3.4 Main fi ndings medicinal plants’ study Greater Mekong subregion .................................. 8 4. CAPACITY-BUILDING REQUIREMENTS .................................................................... 9 5. KEYS ISSUES FOR TRACEABILITY FRAMEWORKS FOR CITES-LISTED NON-TIMBER PLANT SPECIES ................................................................................................ 11 5.1 Role traceability CITES ..................................................................................................... 11 5.2 feasibility traceability selected species .............................................................. 11 5.3 CITES, traceability sample experiences CITES-listed plants .............................................. 11 5.4 Traceability – international domestic trade ................................................................................ 11 5.5 Level control products CITES-listed species .................................................................... 12 5.6 Cost traceability .......................................................................................................................... 12 5.7 Traceability tagging .................................................................................................................. 13 6. CONCLUSIONS .................................................................................................. 14 7. RECOMMENDATIONS ........................................................................................ 15 References .................................................................................................................................... 16 Notes ............................................................................................................................................ 23 Annex 1: Persons institutions consulted .................................................................17 Annex 2: Traceability recommendations ornamental plants’ study ...........................19 Annex 3: Traceability recommendations medicinal plants’ study ..............................21 iv Acronyms ASYCUDA Automated System Customs Data (UNCTAD Programme) BT (&) BioTrade Principles Criteria CART capacity-building requirements table CBD Convention Biological Diversity CITES Convention International Trade Endangered Species Wild Fauna Flora COP/ Conference Parties CTEs critical tracking events KDEs key data elements LAFs legal acquisition fi ndings MAPs medicinal aromatic plants MoU memorandum understanding NDFs -detriment fi ndings NTF -timber forest SWOT strengths, weaknesses, opportunities threats ToR terms reference 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 SC66 66th Standing Committee (CITES) List fi gures Figure 3.1 Generic principles traceability CITES-listed species .............................................................. 6 Figure 3.2 SWOT analysis proposed traceability system ........................................................................... 6 Figure 5.1 Recommended levels control traceability products MAPs listed CITES .. 12 Figure 5.2 Relationship cost precision traceability system level control ............................ 13 Figure A2.1 Recommendations traceability system ornamental plants CITES Appendices II III .................................................................................................................. 19 Figure A2.2 Risk management-based process decide verifi cation level ...................................................... 20 Figure A3.1 Breakdown supply chain units managed CITES Management Scientifi Authority ................................................................................................................ 21 Figure A3.2 Potential benefi ts private operators participating traceability system ............................... 22 List Tables Table 1.1 BioTrade sectors prioritized countries partners Africa, Asia Latin America ................ 1 Table 4.1 Capacity-building requirements table (CART) ................................................................................. 9 Table A2.1 quality assurance risk-based control methodology ........................................ 20 Table A3.1 Summary proposed traceability system ............................................................................. 23 List Boxes Box 1. BioTrade CITES cooperation .................................................................................................. 2 Box 2. Summary TORs outcomes studies applicability traceability systems CITES-listed -timber forest plant species listed Appendices II III, focusing ornamental medicinal plants .............................................................................. 4 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) 1PRELIMINARY ASSESSMENT: KEY FINDINGS 1. BACKGROUND 1.1 BioTrade relation CITES traceability United Nations Conference Trade Development (UNCTAD) United Nations (UN) focal point trade development, interrelated issues areas fi nance, technology, investment sustainable development. objective assist developing countries integrate benefi cially global economy. BioTrade Initiative UNCTAD practical programme aims promote conservation biodiversity sustainable development sustainable commercial variety sectors (Table 1.1). UNCTAD, close cooperation collaboration partners, implementing BioTrade1 Africa, Asia Latin America. 1.2 UNCTAD CITES collaboration UNCTAD2 CITES Secretariat enjoyed long-standing partnership early 2000 (Box 1), defi ned memorandum understanding (MoU), signed 2010. MoU, organizations committed ensuring conservation species, enhancing livelihoods poor remote marginal areas, promoting business opportunities entrepreneurs comply CITES requirements national legislation. attention paid role economic incentives sustainable management CITES Appendices II- III-listed species benefi sharing resource owners. UNCTAD channels contribution BioTrade Initiative. BioTrade Initiative concerned activities production, transformation commercialization products services derived native biodiversity (species ecosystems) social, economic environmental sustainability criteria.3 addition, UNCTAD CITES Secretariat agreed collaborate developing --shelf solution automation CITES permit procedures exchange electronic permits ASYCUDA eCITES. software solution Parties CITES permit management, including electronic permit application electronic fee payments, information exchange customs, CITES annual reporting, . note presents main fi ndings recommendations UNCTAD studies assessing traceability systems -timber plant species (ornamental medicinal plants) CITES Appendices II III. complete studies : http://unctad.org/biotrade www. biotrade.org. , complements information CoP17 Doc. 45 traceability, paragraph 12 annex 1 draft key fi ndings ornamental plants study: “12. Notable progress UNCTAD, cooperation CITES launched project 2015 assess traceability systems -timber plant species listed CITES Appendices II III. fi rst assessment study BioTrade refers activities production, transformation commercialization products services derived native biodiversity (species ecosystems) social, economic environmental sustainability criteria. Table 1.1 BioTrade sectors prioritized countries partners Africa, Asia Latin America Sector Type product Personal care Essential oils, natural dyes, soaps, creams butters, cosmetics, . Pharmaceutical (phyto-pharma) Extracts, capsules infusions medicinal plants, . Food Fruits pulps, juices, jams, cookies, sauces, spices, nuts, tubers, snacks, food supplements, meat caiman fi sh, . Fashion Skins, belts, bags Caiman yacare, . Ornamental fl ora fauna Heliconias, orchids, butterfl ies, . Handicrafts Jewellery, decorative items based native species, garments, . Textiles natural fi bres Furniture decorative items based natural fi bres, bags, shoes, . Sustainable tourism Ecotourism, nature-based tourism, community-based tourism, . 2 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) focused ornamental plants Andean - region, included extensive consultation representatives government, industry civil society. report preliminary fi ndings submitted SC66 information document4 discussed side event SC66. study medicinal plants Mekong subre- gion. studies submitted peer review, workshop organized discuss main fi ndings stakeholder representatives subregions…... fi nal report submitted CoP17 information document.” Box 1. BioTrade CITES cooperation 2001, BioTrade Initiative, UNCTAD CITES Secretariat long-standing partnership enhance conservation CITES-listed species, order improve livelihoods poor people remote marginal areas harvest trade species, promote opportunities businesses comply CITES requirements national legislation. cooperation encourages consultations BioTrade partners CITES authorities including species listed CITES Appendices BioTrade programmes chains; facilitates capacity-building developing countries issues relating organization chains species listed CITES. BioTrade Principles Criteria (BT &) guide intervention activities implemented ground, instance development businesses, chains sectors. principles include, inter alia, conservation sustainable biodiversity, legal compliance national international regulations, respect rights actors – line CITES goals. UNCTAD’ BioTrade CITES Secretariat, selected Parties, implemented concrete actions support sustainable management species variety sectors personal care, pharmaceuticals, food, ornamentals fl ora fauna, fashion CITES-listed species supported. CITES-listed species sectors, include, , Caiman yacare vicuñ fashion industry, paiche (Arapaima gigas) food sector, orchids amphibians ornamental fl ora fauna sectors, . years, UNCTAD worked CITES traceability issues, python skins South-East Asia -timber plant species. 3PRELIMINARY ASSESSMENT: KEY FINDINGS 2. TRACEABILITY-RELATED ACTIVITIES 15th 16th meetings Conference Parties () CITES 20101 2013, decided development traceability systems assist ensuring sustainable CITES-listed species. response, UNCTAD CITES Secretariat collaborated drafting technical documents organizing workshops traceability issues understand requirements developing systems species supply chain, sourcing market fi nal consumption consumers. 2014, UNCTAD CITES jointly conducted study assess traceability systems sustainable international trade South-East Asian python skins (Ashley, 2014) response CITES Decisions 16.102, 16.103 16.105 (CITES, 2013). Complementing work, UNCTAD, consultation CITES Secretariat, selected CITES Management Scientifi Authorities, BioTrade partners, started work traceability issues CITES-listed (Appendices II III) -timber plant species 2015. , comprehensive studies developed facilitate work related tracing CITES-listed -timber forest (NTF) plant species, focusing ornamental medicinal plants. fi rst study assessed applicability traceability systems ornamental plants Latin America emphasis Andean subregion. Preliminary fi ndings recommendations submitted CITES Secretariat (document SC66.Inf.16 (Lehr, 2016a) 66th Standing Committee meeting (SC66) January 2016, discussed side event. Additionally, draft study discussed experts CITES Parties bilateral consultations, peer review process place summer 2016. study assessed applicability traceability systems medicinal plants Asian region, Greater Mekong subregion. developed consultation CITES Secretariat, selected Parties, BioTrade partners industry. fi ndings discussed selected Parties stakeholders. studies analyse traceability systems tool strengthen existing CITES processes, , legal acquisition fi ndings (LAFs) -detriment fi ndings (NDFs), ornamental medicinal plants, listed CITES Appendices II III. Additionally, work UNCTAD aims contribute ongoing traceability discussions provide umbrella traceability mechanism CITES-listed species noted Standing Committee document SC66 Doc. 34.1 (Rev.1)5 considered CITES CoP17. complements Secretariat’ discussions United Nations Centre Trade Facilitation Electronic Business (UN/CEFACT) development business requirement specifi cation international trade wildlife (AC28 Doc. 14.2.1,6 SC66 Doc. 34.1 (Rev.1)). terms reference (TOR) studies outlined Box 2. fi ndings recommendations studies discussed validated workshop traceability systems CITES-listed -timber forest plant species (ornamental medicinal plants) 22 September 2016 Johannesburg, South Africa. event organized margins 17th meeting CITES CoP17 held Johannesburg 24 September 5 October 2016. information workshop : http://unctad.org/en/ Pages/MeetingDetails.aspxmeetingid=1182. results studies disseminated IV BioTrade Congress 3 December 2016, Cancun, Mexico, organized context COP 13 Convention Biological Diversity (CBD) Biodiversity Business Forum. 4 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) Box 2. Summary TORs outcomes studies applicability traceability systems CITES-listed -timber forest plant species listed Appendices II III, focusing ornamental medicinal plants • Develop outline methodology carry study, discussed validated UNCTAD CITES Secretariat. • Discuss United Nations organizations working traceability systems, standards development CITES traceability system medicinal ornamental plants Asian region, emphasis Mekong subregion. • Carry -depth review existing information chains medicinal aromatic plants (MAPs) selected regions, focusing CITES-listed species supported BioTrade partners. • Identify review existing traceability systems medicinal ornamental plants, determine analysed framework study. • Map chains medicinal ornamental plants selected regions. include identifying key stakeholders role defining implementing traceability systems, identifying livelihood benefits obtained upstream downstream stakeholders. • Analyse assess selected systems implemented, including internal control systems (documentation methodology , key intervention points actors chain ensure system’ effectiveness limit illegal harvesting trade species, .) categorize criteria defined jointly UNCTAD CITES Secretariat. • Assess socioeconomic implications benefits selected systems, small farmers landowners, governments industries, define capacity- building fair distribution benefits generated chain. • Provide practical recommendations traceability system defined implemented -timber flora species CITES framework, account previous technical studies developed UNCTAD . • Prepare draft initial findings recommendations study peer reviewed / discussed relevant stakeholders, UNCTAD CITES Secretariat. • Present studies validate findings recommendations relevant stakeholders involved traceability systems CITES-listed species regional workshop organized UNCTAD consultation CITES Secretariat stakeholders 22 September 2016. • Prepare short note submitted CITES CoP17 information document, summarizing findings key recommendations work undertaken. • Participate present study UNCTAD dissemination events required. outcome studies, based international standards norms, include, inter alia: ◊ technical summary traceability systems medicinal ornamental plants. ◊ Recommendations traceability system defi ned implemented address capacity-building requirements small farmers landowners, CITES Management Scientifi Authorities. ◊ Recommendations advancing studies’ outputs recommendations CITES ( relevant intergovernmental bodies). 5PRELIMINARY ASSESSMENT: KEY FINDINGS 3. MAIN FINDINGS OF THE TWO UNCTAD STUDIES TO ASSESS THE APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES- LISTED ORNAMENTAL AND MEDICINAL PLANTS UNDER APPENDICES II AND III 3.1 Traceability considerations - timber forest plant species Traceability defi ned “ ability access information relating consideration, entire life cycle, means recorded identifi cation.”7 words, traceability enables recover history asset linking records supply chain. Traceability systems constructed elements: • Unique identification: identify assets ( product unit business operator). • Critical tracking events (CTEs): Critical points time recording data asset break traceability. Typically, categories CTE entity: reception, processing dispatch. • Key data elements (KDEs): Information elements stored CTE. general, KDEs include basic descriptive elements, origin destination, processes applied product legal status. traceability system define specific KDEs CTE. CITES processes, traceability system concrete contributions : • Legal acquisition findings (LAFs): Traceability provide link production source. CITES Management Authorities stronger legal acquisition finding. • -detriment findings (NDFs): traceability system beneficial providing improved trade statistics. regard, system contribute achieving consistent global trade volumes. 3.2 UNCTAD studies applicability traceability systems medicinal ornamental plants UNCTAD studies provide analysis traceability systems tool strengthen existing CITES processes (LAFs NDFs) -timber plant species, medicinal ornamental plants, listed CITES Appendices II III. studies analysed trade countries species: • Ornamental plants (Cycadaceae, Orchidaceae, Bromeliaceae Euphorbiacecae) Andean countries (Plurinational State Bolivia, Colombia, Ecuador Peru) selected Latin American countries (Argentina, Brazil, Chile, Costa Rica, Guatemala, Mexico, Panama Bolivarian Republic Venezuela); • Medicinal plants (Aquilaria crassna – agarwood, Gastrodia elata Dendrobium nobile) Asian region emphasis Greater Mekong subregion countries: Cambodia, China, Lao People’ Democratic Republic, Myanmar, Thailand Viet Nam. studies, analysis market chain ornamental medicinal plants presented selected species regions. examples existing traceability control systems applicable CITES-listed -timber forest plant species. proposed traceability system cases recommended, assessments capacity-building involved stakeholders. important note studies potential internationally accepted traceability methodologies strategies, adapted species countries studied. Key common fi ndings applicability traceability systems ornamental medicinal plants: 1. Traceability contribute robustness LAFs, generate trade data improve NDFs strong collaborative partnerships private public sectors. 2. account internationally recognized frameworks practice, study medicinal plants proposes traceability system based United Nations Economic Commission Europe (UNECE) traceability framework. framework built definitions () policy claim mandate 6 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) traceability system, () specification entry/ exit points defining part supply chain policy claim applies; () audit process. framework support CITES data requirements issuance export permits certificates. 3. Recording reception plant material nurseries plantations, creation database properly identified parental plants linking export permits identified parental plants, significantly strengthen CITES Management Authorities’ permit process, coupled risk management systems controls operating licence issuance CITES import export permits certificates. 4. traceability architecture proposed Figure 3.1 Generic principles traceability CITES-listed species Figure 3.2 SWOT analysis proposed traceability system Strengths • Generic, standards-based model traceability CITES-listed species. • levels complexity , depending technical capacity. • Step-wise improvement . • Strengthens CITES management decisions, LAF. Weaknesses • Replacement species . • documentation systems, addresses white grey market. • Works supported electronic system. • Involves effort cost private public stakeholders. Opportunities • Helps avoid laundering. • trade data. • efficient effective control. • integration approved trader similar schemes. • Partnerships certification schemes. Threats • identification clear benefits private operators. • Lack capacity, developing nations. • address illegal trade. Traceability tool strengthening CITES management decisions Controls managed authority; (-)certificates means control authorities.1 authority policy claim establish entry exit points, transformation rules.2 Close control natural resource, mass balance type control derivatives recommended. Final products excluded control provisions exist3 Legal origination processes established operating permits, natural resource registries controls wild collection, ideally electronc format4 Risk management principles controlling traceability system effectiveness resource efficiency.5 7PRELIMINARY ASSESSMENT: KEY FINDINGS renders stricter control early stages chain risk introduction illegally harvested material greatest. stages chain, controls tight adapted realities mixing medicinal plant species final products. ornamental study, , proposes risk management methodology. 5. role private public sectors play developing traceability framework crucial, management relationship keys successful implementation. key principle UNECE traceability framework. 6. socioeconomic impacts arising traceability framework properly understood. practical project implement traceability framework define socioeconomic implications, costs benefits chain actors. 7. Building existing structures certification schemes alternative advancing process. instance, establishing partnership wild-collected plant species standard certification scheme (FairWild, Union Ethical BioTrade, .) similar, facilitating implementation traceability system introducing financial benefits local stakeholders, small farm holders local wild collectors. information, sections 4.6., 4.7 5.5 UNCTAD medicinal plants study (Lehr, 2016c). 8. Recommendations development traceability framework project deepen understanding approach implementing traceability -timber plant species, mix positive negative incentives. addition, studies traceability workshop 22 September 2016 valuable information defi ne generic principles traceability systems -timber plant species listed CITES Appendices II III (Figure 3.1), applicable species. strengths, weaknesses, opportunities threats (SWOT) analysis proposed solutions presented Figure 3.2. 3.3 Main fi ndings ornamental plants’ study Andean Latin American countries 1. floricultural trade experienced strong worldwide growth 12 cent annum 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 22.5 cent 10 million plant products (including seeds, live plants stems); Orchidaceae 8.7 cent 4 million plant products (live plants, leaves, roots stems); Bromeliaceae represented 3.5 cent 1.5 million live plants; Euphorbiaceae Zamiaceae represented remaining 1.8 cent 1 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. 4. Trade CITES-listed Cycadaceae declining. Costa Rica important exporter; trade trader, Guatemala, standstill 2013. main markets European Union 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 licences8 control exported quantities/specimens CITES import export permits certificates. , determining species exported plants 8 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) difficult. affects controls operating licences export control. private operators internal traceability systems. 3.4 Main fi ndings medicinal plants’ study Greater Mekong subregion 1. Globally, 60 000 species wild collected plants medicinal properties. 2. 33 CITES-listed medicinal plants identified originating Greater Mekong region countries. CITES trade data analysis conducted . species: Aquilaria crassna Gastrodia elata selected -depth study, Dendrobium nobile selected desktop review. 3. Medicinal plants source traditional modern medicines, important contribution rural livelihoods, cultural . Harvesters poorest vulnerable members society. Wild plants source supplementary income households, providing seasonal work villagers rural areas. 4. wild harvesting occurs medicinal plants difficult track source estimate due long trade chains. Trade illegal, unregulated / unreported “hidden harvest”. Tracking complex forms species traded aggregation export codes. 5. selected CITES-listed medicinal plants (Aquilaria crassna, Gastrodia elata Dendrobium nobile), derived plant products, exported ( commercial ) study countries Greater Mekong subregion 2005–2014, Aquilaria crassna represented 99 cent global trade species 3 547 666 specimens; Gastrodia elata 91 cent global trade 80 140 specimens; Dendrobium nobile 26 cent global trade 215 626 specimens registered. 6. Trade CITES-listed Aquilaria crassna consistent 2011 varying fluctuations quantities traded. Thailand Viet Nam major exporters produce destined China, Indonesia, Lao People’ Democratic Republic Myanmar. question complexity legality wild-harvested agarwood suggests , current definitions, trade deemed illegal. Seizure data show increase illegal trade agarwood products wild-harvested Aquilaria crassna. Difficulties distinguishing wild propagated harvesting enforcing legal compliancy difficult. 7. Trade CITES-listed Gastrodia elata shows export fluctuations: data suggest shift trading commodity reporting practices period. 90 cent exports species Greater Mekong subregion 99 cent originating China; commercial purposes. China, declarations suspicion illegal harvesting lead additional authorization processes. Republic Korea main destination (82 cent) Japan (9 cent). Mismatches trade data reported complicates assumptions trade analysis Gastrodia elata. 8. Trade CITES-listed Dendrobium nobile increased slightly year countries studied, varying fluctuations reported. exports originate China, Thailand Viet Nam propagated live plants. Noteworthy 2009 2013 extraordinary export records registered, showing sharp spike trade. major importers Republic Korea Singapore. 9. Market assessment complex due inconsistent reporting exporters importers. , period studies (2005–2014), 13 cent Dendrobium nobile imports recorded exports shipped. 10. studied countries, Dendrobium nobile represents important family trade medicinal plants; traded plants artificially propagated, 88 perc cent reported live exports. 11. existing control systems, CITES Management Authorities Thailand implemented control system based issuance control operating licences. 12. Importing nations significant role play refusing purchase illegal unsustainable agarwood medicinal plants encouraging sourcing sustainable legal products/ingredients. 9PRELIMINARY ASSESSMENT: KEY FINDINGS 4. CAPACITY-BUILDING REQUIREMENTS Capacity-building important supply chain supporting development traceability system. Key stakeholders (including small farmers landowners, CITES Management Scientifi Authorities) supply chain capacity-building gaps identifi ed plans improve fi . true developing nations lack basic infrastructure support implementation traceability system. capacity-building gaps identifi ed research document, interviews conducted stakeholders. gaps identifi ed : • Awareness CITES-listing, requirements documentation, government agencies, companies relevant stakeholders (producers, collectors, .) trade supply chains; • tools identification materials; • Skills support primary producing communities develop sustainable chains; • financing capacity-building activities wild collectors, collection operations farmers (access development services processing equipment); • addition (processing equipment), control systems improvement; • Awareness industry associations role supporting members carry business legally, , sourcing raw materials legal sources; • systematic application standards production medicinal ornamental plants; • Awareness importing nations significant role refusing purchase illegal unsustainable -timber forest plant species agarwood; • Training customs officers identify species legally illegally sourced goods; • Training law enforcement officials countries involved trade medicinal ornamental goods. capacity-building gaps related functioning traceability system: • Developing project management communication skills identify communicate stakeholder benefits reach private sector buy- traceability; • Training traceability functions supply chain; • Training record keeping product tagging ( required); • Understanding upstream downstream supply chain actors (.. knowing sources ingredient batches destination product batches, “ step , step ” system); • Clarification legal/illegal sourcing plants, medicinal plants; • Education supporting implementation sustainable development practices, environmental business . project level, capacity-building requirements identifi ed adapted capacity-building requirements table (CART) ( Table 4.1). project, CART show requirements Table 4.1 Capacity-building requirements table (CART) Capacity-building dimensions Objective: Developing traceability architecture Financial support Institutional reform Skills training Business benefi ts Personnel resourcing addition Wild collector Nursery Customs Transportation Supply chain Public authority Private business Project management Law enforcement 10 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) critical dimensions. row focuses primary objective ( stakeholders) tracked capacity-building dimensions. helps ensure possibilities considered. stakeholder supply chain identifi ed assessed dimension, identify gaps. project coordinator manager review capacity-building CART plans ensure key dimensions addressed traceability project implemented successfully. mentioned previous sections, traceability projects frequently fail. partly due stakeholders involved skills resources enable succeed, understand identify benefi ts supporting implementation traceability project. ultimate aim ensure identifi ed stakeholders’ capacity-building addressed, reducing risk potentially undermine success traceability project. 11PRELIMINARY ASSESSMENT: KEY FINDINGS 5. KEY ISSUES FOR TRACEABILITY FRAMEWORKS FOR CITES-LISTED NON- TIMBER PLANT SPECIES section details main issues discussed workshop 22 September 2016, bilateral meetings organized selected CITES Parties BioTrade partners, regional organizations civil society. 5.1 Role traceability CITES objective traceability CITES support management decisions LAFs. Traceability means , “fi ” implementation CITES processes country. considered panacea . Traceability supporting tool capacity strengthen managerial decisions, discover areas needing improvement implementation CITES processes national level. 5.2 feasibility traceability selected species traceability increasing variety reasons. Supply chains CITES-listed species begun implementing traceability systems (.. reptiles, sharks, timber, .), including led private stakeholders. ensure sustainable supply raw materials respond increasing number environmentally socially conscious consumers. Global traceability systems implemented variety commodities, tea, coffee, palm oil, cotton, soya fi sh. Major importing regions, European Union United States America, require exporting nations traceability ( products). , traceability pipeline species listed CITES; expanding work issue crucial. topic highlighted interest implementing Single Window9 sustainable trade wildlife. 5.3 CITES, traceability sample experiences CITES-listed plants , opportunity guide discussions traceability defi nitions, uncoordinated, unaligned incompatible implementation systems proliferate. Laying common traceability principles CITES Parties ensure traceability frameworks employ common language compatible. international standards important context. , UN/CEFACT standards traceability CITES-listed species. ornamental medicinal plants, interesting cases traceability systems implemented, Peru Thailand, illustrating feasibility aspects benefi ts generated. Peru implemented limited traceability system orchids National BioTade Programme, experience helped nurseries improve organization, increase control parental stock identify good business practices. Peru hopes extend practices operators reach international markets. benefi ts operators increased effi ciency access higher markets. Thailand reported successful experience implemented fully electronic system issues operating permits, registers parental stock links export permits. Thailand started geo- reference plantations comply forest law prohibits trade specimens extracted wild, orchids agarwood. 5.4 Traceability – international domestic trade CITES primarily trade convention aims ensure sustainable trade disrupted. Strong CITES processes contribute signifi cantly ensuring sustainability trade CITES-listed species. , successful implementation traceability- based control systems, Costa Rica, Thailand Peru, shown systems effective limited specimens destined international trade . Based experiences discussions, successful implementation traceability-based control systems require national legislation applicable trade cross-border internal/domestic, CITES mandate. , suggestions CITES Parties framework, implementation guidelines processes 12 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) standards consideration implementing improving internal cross-border processes related Convention. opportunity adopt traceability supporting technology. 5.5 Level control products CITES-listed species order disrupt sustainable trade, controls place undue burden operators trading legally CITES-listed species products. Naturally, fi nding balance diffi cult, depends concrete benefi ts obtained private operators. Premiums identifi ed clearest foundation business case, potentially achieved partnering certifi cation schemes ( traceability shared). general, raw materials controlled closely. derivatives, simpler control mechanisms accepted; mass balance chain--custody- systems case full batch traceability. Figure 5.1 shows control traceability products CITES-listed -timber plant species – simpler unprocessed MAPs processed mixed. 5.6 Cost traceability early stages production, small- scale operators, cost implementing traceability concern. , costs increase precision traceability system10 level control, shown Figure 5.2. , costs signifi close control attempted precision system adjusted correctly. comprehensive cost benefi analysis fi balance. , United Nations Environment Programme/World Conservation Monitoring Centre (UNEP-WCMC) reported Ecuadorian experiences traceability variety fl ora fauna species listed CITES. highlighted diffi culties tagging plants plant parts, concern costs private stakeholders country. consistent general experience implementing traceability globally. Traceability simplest form based simple record keeping. requires supply chain partners consistently record information paper, practically cost. Implementation computerized systems costlier, generally mobile technology professional databases free -commercial purposes drive costs projects. Providing options information technology (IT) systems related CITES lead confusion; complex decision-making resulting adoption rates. Key controlling costs driving adoption system simple Figure 5.1 Recommended levels control traceability products MAPs listed CITES • Source species identifiable. • Intellectual property issues. • Heavy mixing . • traced source region/areas. • Mixing species tracing complicated. • controlled raw materials, control. • Includes simple transformation (drying ). • controlled avoid laundering. ro ro , ix ro ts ta Finished goods ready retail 13PRELIMINARY ASSESSMENT: KEY FINDINGS balanced costs benefi ts. high cost IT systems result attempting single tool. mentioned UNCTAD ASYCUDA elaborated draft CITES management module free charge Parties; module cover raw material traceability (.. registration receptions, mother plants link CITES permits) easily, availability funds. 5.7 Traceability tagging Traceability systems tagging (.. physical identifi cation) systems part traceability framework. tagging system , , establish traceability. Traceability achieved conditions:11 • Unique identification ( collection ) traceable assets, bark, flowers, agarwood seeds; • Recording key information elements12 critical points13 (supply) chain (.. recording supplier, supply date, product quantity raw material reception). Tagging satisfi es – properly – fi rst condition, . , investment specifi tagging solution generally recommended, embedded traceability framework balanced benefi ts private operators. highly specifi tagging solution generic cover large variety products CITES- listed species. Moving discussion specifi tagging solutions generic traceability framework favoured. , aspects outlining: common defi nition; elaboration recommendable governance models; common description traceability architecture; guidelines process implementing traceability; clear indications benefi ts private sector, potentially collaboration schemes, certifi cations benefi sharing schemes. instance, UN/CEFACT framework interesting methodology , shown medicinal plants . , traceability framework, essential demonstrate feasibility assess costs benefi ts private sector. Figure 5.2 Relationship cost precision traceability system level control st Precision Level control 14 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) 6. CONCLUSIONS implementation traceability detailed complex process, straightforward successful private sector government join forces establish win-win frameworks benefi stakeholders involved. cases, implementation proven lengthy complicated, , , mixed results. CITES supply chains, fi nal products includes mixture species, complex due : number type stakeholders involved; degree processing CITES-listed species; fact illegal poorly controlled wild harvesting Appendix II plant species medicinal ornamental purposes due constrained capacity. traceability framework proposed studies aims balance control legality raw material source practicalities businesses. recommends stricter control raw materials operating permits, registries natural resources, records collection inputs artifi cial propagation, annual reports raw material receptions products dispatched. stages supply chain, suggests strict controls, form mass balance systems, operating permits annual reports materials received dispatched. heavily processed goods, recommendation chain--custody type system supply chain partners reported, necessarily quantities materials. system include possibility excluding fi nished products ready retail CITES controls, stages adequately controlled documented. 15PRELIMINARY ASSESSMENT: KEY FINDINGS 7. RECOMMENDATIONS combination public private sector support essential success, open collaborative discussion highly recommended, .. form national traceability tables. robust, generic traceability system implemented support CITES policy claims, trade data collection documented NDFs. international standards highly recommended; assessment traceability systems medicinal plants employ UNECE traceability architecture. complexity system fully processed goods CITES-listed species, implementation approached carefully embedded general framework activities, improving trade data collection, capacity building awareness creation stakeholders, information dissemination, smaller players, market prices relevant data. ensure stakeholders supply chain direct benefi advantage participation, consideration working existing structures establishing partnerships sustainability certifi cation benefi -sharing schemes. Additionally, elements considered essential successfully implement traceability systems: • Demand-driven process, starting Parties interest request strengthen CITES processes traceability systems. • Carry local assessment recommended traceability framework respect technical, economic conservation aspects, instance conducting socioeconomic impact analysis. • Validate proposed traceability architecture generic adapted types supply chains countries regions, .. -timber forest plant species. • Develop traceability toolkit ( integration CITES -permitting toolkit), traceability easier implement, meaningful CITES Management Scientific Authorities. • Provide capacity-building initiatives dedicate funds implement traceability framework, countries lacking adequate infrastructure implement . • country, identify strong project management team work collaboratively public private sectors ensure standards requirements considered. • Design mix positive negative incentives private industry participate traceability. • Improve cross-border reporting exports imports ensure understanding traded volumes medicinal species effectively managing reporting endangered medicinal plant resources. • Improve identification procedures plant species sourced, wild collected artificially propagated. • Adhere international standards norms , including joint work traceability frameworks (.. UNECE) standard-setting organizations. , analyse benefits costs partners certification good practice schemes ensure benefits small stakeholders supply chain. work undertaken UNCTAD starting point identify approach developing uniform, umbrella, traceability framework CITES- listed species. development needed practical implementation ground, .. traceability framework project confi rm approach, identify costs benefi ts, test implementation methodology seek partnerships stakeholders generate benefi ts private sector operators sourcing communities. Ideally project built existing structures projects promoting sustainable trade biodiversity-derived products, BioTrade programmes partners. project , inter alia, criteria: • Large long measurable impact. • Parties participating collaborate share information, ideally control system place, .. support electronic recording traceability records risk-based methodologies control systems. • involve developing country, enriching exercise country / 16 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) supply chain technological capacity, order replicated . • Carry -depth socioeconomic impact assessment, define stakeholders’ addressed opportunities seized. • attempt quantify amount illegal unreported trade local expert knowledge. • involve trading partner history strong interest sustainable biological resources motivate business operators. References Ashley (2014). Traceability systems sustainable international trade South-East Asian python skins. Geneva: United Nations Conference Trade Development. : http://unctad.org/en/ PublicationsLibrary/ditcted2013d6_en.pdf. CITES Secretariat (2013). CoP16 Decisions. : https://cites.org/sites/default/fi les/eng/dec/valid16/ E16-Dec.pdf. CITES Secretariat (2015a). AC28 Doc. 14.2.1. : https://cites.org/sites/default/fi les/eng//ac/28/- AC28-14-02-01%28Rev1%29.pdf. CITES Secretariat (2015b). SC66 Doc. 34.1 (Rev. 1). : https://cites.org/sites/default/fi les/eng// sc/66/-SC66-34-01-Rev1x.pdf. CITES Secretariat (2016). CoP17 Doc. 45. : https://cites.org/sites/default/fi les/eng//17/ WorkingDocs/-CoP17-45.pdf. Lehr (2013). Communicating food safety, authenticity consumer choice: Field experiences. Patents Food, Nutrition, Agriculture. 5 (1):19–34. Lehr (2016a). applicability traceability systems CITES ornamental plants focus Andean Latin American countries - preliminary assessment. York Geneva: United Nations Conference Trade Development. : https://cites.org/sites/default/fi les/eng//sc/66/ Inf/-SC66-Inf-16.pdf. (document SC66 Inf.16). Lehr (2016b). applicability traceability systems CITES ornamental plants focus Andean Latin American countries - preliminary assessment. York Geneva: United Nations Conference Trade Development. Advance copy: http://unctad.org/meetings/en/Contribution/ditc- ted-22092016-johannesberg-UNCTAD-traceability-1.pdf. Lehr (2016c). applicability traceability systems CITES medicinal plants focus Greater Mekong countries - preliminary assessment. York Geneva: United Nations Conference Trade Development. Advance copy: http://unctad.org/meetings/en/Contribution/ditc-ted-22092016- johannesberg-UNCTAD-traceability-2.pdf. Olsen , Borit (2013). defi ne traceability. Trends Food Science Technology. 29(2):142–150. http://doi.org/10.1016/.tifs.2012.10.003. UNCTAD (2006). Trade Facilitation Handbook Part II - Technical Notes Essential Trade Facilitation Measures. York Geneva: United Nations Conference Trade Development. (UNCTAD/SDTE/TLB/2005/2). : http://unctad.org/en/Docs/sdtetlb20052_en.pdf. UNCTAD (2016). Meeting report UNCTAD side event – Traceability systems ornamental plants. Geneva: United Nations Conference Trade Development. UNECE (2016). Traceability sustainable trade: framework design traceability systems cross border trade (ECE/TRADE/429). : www.unece.org/index.phpid=43763. 17PRELIMINARY ASSESSMENT: KEY FINDINGS ANNEX 1: PERSONS AND INSTITUTIONS CONSULTED Organization Country Individual CITES CITES Secretariat Switzerland Tom de Meulenaer Haruko Okusu Milena Sosa Schmidt Markus Pikart Daniel Kachelriess Dave Henson Mrigesh Kshatriya Karen Gaynor CITES Management Authorities Division Flora Affairs China Yue Zhang Ministerio de Ambiente Desarrollo Sostenible Colombia Diego Higuera Antonio José ómez Ministerio del Ambiente Energí Costa Rica José Joaquí Calvo Ministerio del Ambiente Ecuador David Veintemilla Comisió Nacional para el Conocimiento Uso de la Biodiversidad (CONABIO) Mexico Maria Isabel Camarena Osorno Ministerio del Ambiente Peru Mirbel Epiquié Rivera Isela del Carmen Arce Castañeda Harol Gutiérrez Peralta Vanessa Ingar Elliott National Institute Biological Resources Republic Korea Byoung Yoon Lee Tae-Kwon Noh Federal Food Safety Veterinarian Offi ce Switzerland Ursula Moser Mathias örtscher Department Agriculture Thailand Duangduen Sripotar Paweena Taraksa Sumalee Thongdonae international organizations Florida International University United States America Hong Liu International Trade Centre Switzerland Joe Wozniak UNCTAD Switzerland Bonapas Onguglo Lorena Jaramillo Lalen Lleander Mariona Cusi Neiva Rosa David Vivas Jina Choi UNDP Thailand Lisa Farroway UNEP-WCMC United Kingdom Pablo Sinovas Kelly Malsch UNECE (UN/CEFACT) Switzerland Markus Pikart Private sector stakeholders Orquivalle Colombia Andrea Niessen Juan Carlos Uribe Centro De Rescate De La Flora Amazónica Ecuador Omar Tello Klaus Duerbeck Consulting Germany Klaus Duerbeck Agro Oriente Viveros .. Peru Karol Villena 18 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) Migros Switzerland Franziska Staubli NuHerbs United States America Wilson Lau Traditional Medicinals United States America Josef Brinckmann BioTrade Implementation Group (BIG) Viet Nam Son Ta Minh Center Plant Conservation (CPC) Viet Nam Nguyen Tien Hiep NGOs/INGOs FairWild Foundation United Kingdom Bryony Morgan GS1 Global Belgium Jim Bracken GS1 Switzerland Switzerland Anders Grangard IUCN (Global Species Programme) United Kingdom Daniel Challender Richard Jenkins TRAFFIC United Kingdom Anastasiya Timoshyna Thomasina Oldfi eld James Compton Chen Hin Keong TRAFFIC China Zhou Fei Zeng Zhi TRAFFIC Viet Nam Thuy Nguyen Union Ethical BioTrade Netherlands Rik Kutsh Lojenga Winrock International United States America Joel Jurgens Experts Marcos Regis da Silva (ACTO, -CITES staff) Brazil Plant experts Kadoorie Farm Botanic Garden Hong Kong SAR, China Stephan Gale Xishuangbanna Tropical Botanic Garden, Chinese Academy China China Gao Jiangyun 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 Lancaster University United Kingdom Jacob Phelps University Kent United Kingdom Amy Hinsley 19PRELIMINARY ASSESSMENT: KEY FINDINGS ANNEX 2: TRACEABILITY RECOMMENDATIONS FROM THE ORNAMENTAL PLANTS’ STUDY (Lehr, 2016a) recommended parental stock nursery registered. Ideally parental plants identifi ed uniquely; alternatively, batches parental plants grouped . additions parental stock recorded source material. Ideally, register online. CITES permit application export process, link established exported specimen() parental plants stock. plants, expected individual level. Alternatively, batches plants parental plant grouped . products, plants parts, multiple source parental plants . CITES Management Authority run consistency checks support LAF. species identifi cation diffi cult, adding pictures registry ensure material export process species permit valid. legal origination process ornamental plants consists steps ( Figure A2.1): 1. receptions CITES-listed ornamental plants, plant parts seeds recorded : ◊ Date; ◊ Supplier (, business registration number similar); ◊ CITES permit information ( applicable); ◊ Species; ◊ Number specimens; ◊ Identifi cation 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 identifi ed; ◊ identifi ers globally unique unique context operator. 3. Inventory parental plants, seeds plant parts registered, ideally electronic system. technically identify plants plastic tag printable label plant pot. tag label relevant information explicitly identification code links entry online registry. Lehr (2016a) details. Figure A2.1 Recommendations traceability system ornamental plants CITES Appendices II III Source: Lehr, 2016a. 20 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) , strengthen CITES process, traceability system combined risk management methodology defi ne check shipment exporter ( Figure A2.2). means authorities calculate risk export processes factors, exporting history specifi exporter ( Table A2.1). encourage exporters legal , time, control resources effi ciently. contribute creating risk profi le database exporters shared border control risk management control processes. Figure A2.2 Risk management-based process decide verifi cation level Source: Lehr, 2016a. Table A2.1 quality assurance risk-based control methodology 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   certifi cate issues 12 months   control favourable   Parent plants identifi ed individually   …         21PRELIMINARY ASSESSMENT: KEY FINDINGS ANNEX 3: TRACEABILITY RECOMMENDATIONS FROM THE MEDICINAL PLANTS’ STUDY (Lehr 2016c) recommended traceability system medicinal aromatic plants confi rms view expressed study ornamental plants supply chain broken management units pertaining CITES Management Authority, shown Figure A3.1. Figure A3.1 Breakdown supply chain units managed CITES Management Scientifi Authority Source: Adapted UNECE, 2016. means traceability information collected realm CITES Management Authority exchanged authorities. aim traceability system support CITES managerial decisions strengthen CITES permits certifi cates. recommended traceability system differentiates traceable assets: • Unprocessed MAPs; • Processed MAPs mixing species; • Products MAPs; • Finished products packaged ready retail. proposes exercise levels control types assets. Raw materials, .. unprocessed MAPs closely controlled fashion specifi ed ornamental plants. operators obtain operating permit. Wild collectors record collection dates, areas amounts. Nurseries document receptions ( collectors nurseries), record parent plants link exports parental plants. -level processed MAPs (.. species mixed) recommended controlled mass balance system, .. operators operating permit fi le annual report detailing amounts unprocessed MAPs purchased ( species) amounts processed products produced. Issuance renewed operating licence depend reasonable values ratio.14 processed MAPs, .. form recipes, .. mixing occurs naturally species MAPs, including CITES-listed species, occur, controlled chain--custody type system. Operators operating licence fi le annual report detailing suppliers. suppliers valid operating licence. Voluntarily, operators volumes purchased suppliers. Finally, products ready retail receive treatment. Discussion CITES CoP17 considered change annotation orchids exempt fi nished goods ready retail; diffi cult complex issue. CITES-listed species annotation exists. traceability system 22 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) possibility exempt consumer goods manufacturers control; species annotation exist, rules products MAPs apply, .. operators operating permit fi le annual report suppliers. Special arrangements considered small-scale collectors nurseries. Small-scale primary producers records; purchasers document individual receptions (date collection, area collection, amount). recommended small-scale collectors nurseries excluded international trade, document legal origin materials. small-scale operators export, subject dispositions laid . system summarized Table A3.1. proposed system attempts fi good balance control burden supply chain. Sustainable trade MAPs disrupted control; hand, illegal informal trade MAPs diminishes livelihoods local communities. potential benefi ts traceability system private operators Figure A3.2. order implement complex system successfully, motivation private sector essential. paramount importance system clear benefi ts operators. general, benefi ts differentiated tangible (.. monetary benefi ts), semi-tangible benefi ts (.. measuring exact monetized impact diffi cult) fi nally intangible benefi ts appeal economic sentiments. Ideally, system benefi ts. understand full socioeconomic impacts arising traceability system, practical pilot project , costs benefi ts easily estimated based theoretical deliberations. Forming partnerships wild-collected plant species standard (FairWild, Union Ethical BioTrade similar) certifi cation similar scheme facilitate implementation traceability system introducing fi nancial benefi ts local stakeholders, small farm holders local wild collectors. Lehr (2016c) details. Figure A3.2 Potential benefi ts private operators participating traceability system 23PRELIMINARY ASSESSMENT: KEY FINDINGS Table A3.1 Summary proposed traceability system Asset type Type traceability Entry condition Transformation rule Exit condition (LAF) Unprocessed MAPS Batch Operating permit. receptions recorded: • wild: Collection date, species quantities recorded. • entities: Date, species quantity. Artifi cially propagated: Registry parent plants. Propagated plants linked parent. Annual report total quantity harvested sold. Trader holds valid operating permit. fi led annual report year . demonstrate request purchase records. Unprocessed MAPS (small-scale operators) Batch operating permit. record-keeping requirements. Small-scale traders eligible export permits. ii Processed MAPs mixing species Mass balance Operating permit. Annual report total purchased quantity species total quantity products produced. Trader holds valid operating permit. fi led annual report year . exported quantities substantiated. ii Processed MAPs ( small-scale operators) Reception control Mass balance Record sales date, species, weight price. Annual report total quantity species small-scale collectors. iii Products MAPs Chain custody Annual list suppliers fulfi lling dispositions . Voluntary: annual report purchased produced quantities. iv Finished products packaged ready retail Potentially excluded control; chain custody Notes 1 information, www.biotrade.org. 2 UNCTAD agency United Nations system dedicated interface trade development, promoting development-friendly integration developing countries world economy. words, UNCTAD focal point UN trade development. 1996, UNCTAD launched BioTrade Initiative aim promoting trade investment biodiversity means furthering sustainable development. initiative, UNCTAD supporting developing countries enhance biodiversity sectors create businesses trade sustainably produced added goods services national international markets. 3 information UNCTAD’ BioTrade Initiative, www.biotrade.org. 4 SC66 Inf.66 (https://cites.org/sites/default/fi les/eng//sc/66/Inf/-SC66-Inf-16.pdf). 5 https://cites.org/sites/default/fi les/eng//sc/66/-SC66-34-01-Rev1x.pdf. 6 https://cites.org/sites/default/fi les/eng//ac/28/-AC28-14-02-01%28Rev1%29.pdf. 7 Olsen , Borit (2013). defi ne traceability. Trends Food Science & Technology. 29(2):142–150. http://doi.org/10.1016/.tifs.2012.10.003. 8 licence company legally operate; renewed annual basis. 9 Single Window facility, stated UN/CEFACT, “enables parties involved trade transport lodge standardized information documents single entry point fulfi 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). 24 APPLICABILITY OF TRACEABILITY SYSTEMS FOR CITES-LISTED MEDICINAL AND ORNAMENTAL PLANTS (APPENDICES II AND III) 10 Precision refers specifi city identifi cation system: system specimens uniquely identifi ed considered precise system batch identifi cation. 11 called principles traceability (Lehr, 2013). 12 called key data elements (KDEs). 13 called critical tracking events (CTEs). 14 called “transformation factors”.