Listing Criteria for Plant Species under CITES
Purpose: To explain how plant species are evaluated and proposed for inclusion in CITES Appendices, and what scientific and trade evidence is required.
A. General Principles of Listing
Plant species are listed under CITES when international trade is, or may become, a threat to their survival.
Key Principles:
- Listings are science-based and precautionary
- Trade impact is a central consideration
- Both biological status and trade dynamics are assessed
B. Biological Criteria (Plant-Specific)
Evaluation considers:
- Population size and density
- Geographic distribution and fragmentation
- Growth rate and regeneration capacity
- Reproductive biology and time to maturity
High-Risk Traits:
- Slow-growing or late-maturing species
- Limited natural distribution
- Low natural regeneration
C. Trade Criteria
CITES focuses heavily on trade-driven risk.
Assessments include:
- Volume and value of international trade
- Trends in demand and price escalation
- Evidence of illegal or unsustainable harvesting
- Ease of concealment or misidentification
D. Appendix-Specific Thresholds
Appendix I (Highest Risk):
- Species is threatened with extinction
- International trade has, or may have, a severe impact
Appendix II (Managed Risk):
- Species may become threatened without regulation
- Trade levels are significant or increasing
Appendix III (National Concern):
- Species protected domestically by a Party
- International cooperation needed to enforce controls
E. Special Considerations for Plants
- Artificial propagation can allow continued trade
- Parts and derivatives may be annotated differently
- Plant listings often include annotations specifying covered products
Professional Insight: For plants, listing does not equal prohibition—it often formalizes sustainable trade.
F. Agarwood as a Case Example
Agarwood species were listed because:
- High global demand and price escalation
- Destructive wild harvesting practices
- Difficulty distinguishing legal vs illegal material
CITES listing:
- Enabled plantation-based trade
- Encouraged artificial propagation
- Improved traceability and market legitimacy
Learning Outputs
- Understanding of how plant species qualify for CITES listing
- Ability to distinguish biological vs trade-driven criteria
- Capacity to explain why agarwood and similar species are listed in Appendix II
7. Sustainable Use, CBD, SDGs & ESG Alignment
Purpose: To position wildlife and high-value plant trade—particularly agarwood—within globally recognized sustainability, biodiversity, and responsible investment frameworks.
A. Sustainable Use – Core Principle
Definition: Sustainable use refers to the utilization of biological resources at a rate and manner that does not lead to long-term decline of biodiversity, ensuring availability for present and future generations.
In Practice (Plant Trade):
- Plantation-based production and artificial propagation
- Regulated harvesting cycles and yield limits
- Science-based management (growth data, regeneration rates)
- Continuous monitoring and traceability
For Agarwood:
- Resin induction as an alternative to destructive wild harvesting
- Long-term plantation management aligned with harvest rotations
B. Convention on Biological Diversity (CBD)
The CBD provides the overarching international framework for biodiversity conservation, sustainable use, and fair benefit-sharing.
Three Pillars of CBD:
- Conservation of biological diversity
- Sustainable use of its components
- Fair and equitable sharing of benefits (ABS)
Key CBD Instruments Relevant to Trade:
- National Biodiversity Strategies and Action Plans (NBSAPs)
- Access and Benefit-Sharing (ABS)
- Traditional knowledge protection
CBD–CITES Relationship:
- CBD sets sustainability objectives
- CITES operationalizes trade controls
- Together they regulate how biodiversity enters markets legally
C. Sustainable Development Goals (SDGs)
High-value plant trade intersects directly with multiple UN SDGs:
- SDG 12 – Responsible Consumption & Production
Legal sourcing, traceability, waste reduction - SDG 15 – Life on Land
Forest conservation, biodiversity protection, anti-illegal trade - SDG 8 – Decent Work & Economic Growth
Rural livelihoods, ethical value chains - SDG 9 – Industry, Innovation & Infrastructure
Biotech, traceability systems, value addition - SDG 17 – Partnerships for the Goals
Public–private–community collaboration
D. ESG (Environmental, Social & Governance) Alignment
Why ESG Matters:
- Required by institutional investors
- Embedded in EU, GCC, and global supply chain regulations
- Increasingly linked to market access and financing
Environmental (E):
- Biodiversity conservation
- Sustainable sourcing and land management
- Reduced pressure on wild populations
Social (S):
- Indigenous and community participation
- Benefit-sharing mechanisms
- Fair labor and cooperative models
Governance (G):
- Legal permits and CITES compliance
- Transparent documentation and audits
- Anti-corruption and risk management
ESG–CITES Synergy:
CITES compliance provides the minimum legal baseline; ESG frameworks elevate trade to investment-grade sustainability.
8. Role of Traceability and Transparency
Purpose: To demonstrate how traceability and transparency function as the operational backbone of legal trade, sustainability assurance, and market trust.
A. Why Traceability Is Essential
Traceability is the ability to track a product’s journey from origin to end market, verifying legality, source, and handling at every stage.
Critical Functions:
- Distinguishes legal from illegal products
- Supports CITES permit issuance and verification
- Enables Non-Detriment Findings (NDFs)
- Reduces laundering of wild-sourced materials
For High-Value Plant Products:
- High price-to-volume ratio increases fraud risk
- Physical appearance alone cannot confirm legality
B. Transparency in Trade Systems
Transparency refers to the accessibility, accuracy, and reliability of information shared among stakeholders (regulators, traders, buyers, investors).
Transparency Enables:
- Regulatory confidence and faster approvals
- Buyer trust and premium pricing
- Investor due diligence and ESG validation
- Reduced enforcement risk
C. Core Elements of a Traceability System
A compliant traceability system typically includes:
- Farm or plantation registration
- Species and source verification
- Batch or lot identification
- Harvest and processing records
- Transport and storage documentation
- Export–import documentation linkage
D. Tools & Technologies
Common Tools:
- QR codes and batch IDs
- Digital farm logs and registries
- Chain-of-custody documentation
Advanced Tools:
- Blockchain and distributed ledgers
- DNA, chemical, or isotopic profiling
- Remote sensing and geotagging
E. Regulatory & Market Expectations
Regulators Expect:
- Verifiable origin and source codes
- Consistency across permits and shipments
- Auditable records
Markets Increasingly Demand:
- Proof of sustainability and legality
- ESG-aligned disclosures
- Transparent supplier relationships
Learning Outputs
- Understanding of traceability as a legal and sustainability requirement
- Ability to identify key traceability data points in plant trade
- Capacity to explain transparency systems to regulators, buyers, and investors
A. Sustainable Use – Core Principle
Definition: Sustainable use refers to the utilization of biological resources at a rate and manner that does not lead to long-term decline of biodiversity, ensuring availability for present and future generations.
In Practice (Plant Trade):
- Plantation-based production and artificial propagation
- Regulated harvesting cycles and yield limits
- Science-based management (growth data, regeneration rates)
- Continuous monitoring and traceability
For Agarwood:
- Resin induction as an alternative to destructive wild harvesting
- Long-term plantation management aligned with harvest rotations
B. Convention on Biological Diversity (CBD)
The CBD provides the overarching international framework for biodiversity conservation, sustainable use, and fair benefit-sharing.
Three Pillars of CBD:
- Conservation of biological diversity
- Sustainable use of its components
- Fair and equitable sharing of benefits (ABS)
Key CBD Instruments Relevant to Trade:
- National Biodiversity Strategies and Action Plans (NBSAPs)
- Access and Benefit-Sharing (ABS)
- Traditional knowledge protection
CBD–CITES Relationship:
- CBD sets sustainability objectives
- CITES operationalizes trade controls
- Together they regulate how biodiversity enters markets legally
C. Sustainable Development Goals (SDGs)
High-value plant trade intersects directly with multiple UN SDGs:
- SDG 12 – Responsible Consumption & Production
Legal sourcing, traceability, waste reduction - SDG 15 – Life on Land
Forest conservation, biodiversity protection, anti-illegal trade - SDG 8 – Decent Work & Economic Growth
Rural livelihoods, ethical value chains - SDG 9 – Industry, Innovation & Infrastructure
Biotech, traceability systems, value addition - SDG 17 – Partnerships for the Goals
Public–private–community collaboration
Professional Insight: SDGs translate conservation compliance into development legitimacy for investors and governments.
D. ESG (Environmental, Social & Governance) Alignment
Why ESG Matters:
- Required by institutional investors
- Embedded in EU, GCC, and global supply chain regulations
- Increasingly linked to market access and financing
Environmental (E):
- Biodiversity conservation
- Sustainable sourcing and land management
- Reduced pressure on wild populations
Social (S):
- Indigenous and community participation
- Benefit-sharing mechanisms
- Fair labor and cooperative models
Governance (G):
- Legal permits and CITES compliance
- Transparent documentation and audits
- Anti-corruption and risk management
ESG–CITES Synergy:
CITES compliance provides the minimum legal baseline; ESG frameworks elevate trade to investment-grade sustainability.
Learning Outputs
- Ability to link CITES compliance with global sustainability frameworks
- Understanding of CBD, SDG, and ESG relevance to plant trade
- Capacity to communicate sustainability credentials to regulators and investors
Module 2: CITES Convention – Structure, Principles & Legal Force (6 hours)
History and Purpose of CITES
Purpose of this Section: To provide a clear historical foundation and explain why CITES exists, what problems it addresses, and how it functions as a trade—not conservation-only—instrument.
A. Historical Background of CITES
The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) was developed in response to growing international concern in the mid-20th century over the unsustainable exploitation of wildlife driven by global trade.
Key Historical Milestones:
- 1960s: Rapid growth in international wildlife trade; rising extinction risks for many species
- 1963: IUCN first proposes an international agreement to regulate wildlife trade
- 1973: CITES text finalized and adopted in Washington, D.C.
- 1975: CITES enters into force
- Today: Over 180 Parties (countries and regional organizations)
CITES emerged not to stop trade entirely, but to prevent international trade from threatening species survival.
B. Core Purpose of CITES
CITES has a single central objective:
To ensure that international trade in specimens of wild animals and plants does not threaten their survival.
To achieve this, CITES:
- Regulates cross-border trade through a permit system
- Applies science-based controls
- Differentiates species according to conservation risk
- Harmonizes trade rules among countries
C. Why CITES Focuses on Trade (Not Domestic Use)
CITES jurisdiction applies specifically to international trade.
Key Clarifications:
- CITES does not regulate domestic trade (unless a country chooses to)
- It does not prohibit all trade
- It does not replace national laws
Instead, CITES provides a common international framework so that:
- Exporting and importing countries apply consistent standards
- Trade decisions are science-informed
- Enforcement agencies can cooperate across borders
D. Evolution of CITES Scope
Originally focused on charismatic animal species, CITES has evolved to include:
- Timber and specialty woods (e.g., rosewood)
- Medicinal and aromatic plants
- High-value non-timber forest products (NTFPs)
Plant Trade Significance:
- Majority of CITES-listed species today are plants
- Listings increasingly address commercial demand, not just rarity
E. Relevance to Agarwood and High-Value Plant Products
Agarwood (Aquilaria and Gyrinops spp.) illustrates why CITES is necessary:
- High international demand
- Slow natural regeneration
- Risk of destructive wild harvesting
CITES Response:
- Allows trade from legal and sustainable sources
- Encourages plantation development and artificial propagation
- Requires documentation to distinguish legal from illegal material
Learning Outputs
- Understanding of why CITES was created and how it evolved
- Ability to explain CITES as a trade regulation tool
- Clear differentiation between CITES, CBD, and national laws
Module 3: Agarwood & Other CITES-Listed Plants – Trade Rules in Practice (6 hours)
Objectives:
- Apply CITES rules specifically to agarwood and similar high-value species.
Key Topics:
- Agarwood biology and resin economics
- Artificial propagation vs. wild sourcing
- Non-Detriment Findings (NDFs)
- CITES annotations for agarwood
- Exemptions, quotas, and source codes
Learning Outputs:
- Trade eligibility assessment
- Source code determination
Module 4: National Implementation & Domestic Policy Alignment (5 hours)
Objectives:
- Understand how CITES is implemented at national level.
Key Topics:
- Management Authority & Scientific Authority roles
- Enabling laws and administrative orders
- Permits, certificates, and approvals
- Inter-agency coordination (forestry, customs, agriculture)
Practical Exercise: National compliance workflow mapping
Module 5: Export–Import Compliance & Documentation (6 hours)
Objectives:
- Master end-to-end compliance for cross-border trade.
Key Topics:
- CITES permits & certificates (export, re-export, import)
- Commercial invoices, packing lists, HS codes
- Chain-of-custody documentation
- Customs inspections & seizures
- Common errors and red flags
Simulation: Export documentation preparation
Module 6: Traceability, Verification & Technology Systems (4 hours)
Objectives:
- Learn modern traceability tools for compliance and market access.
Key Topics:
- Farm-to-market traceability models
- QR codes, batch IDs, DNA & isotopic tools
- Blockchain and digital ledgers
- Audit trails and compliance reporting
Learning Outputs:
- Traceability system design (basic)
Module 7: Enforcement, Risk, and Compliance Management (4 hours)
Objectives:
- Anticipate and mitigate regulatory and enforcement risks.
Key Topics:
- Risk assessment for traders and investors
- Penalties, seizures, and prosecutions
- Internal compliance programs (ICP)
- Due diligence and supplier vetting
Case Studies:
- Seizure analysis
- Compliance failure scenarios
Module 8: Ethics, Indigenous Rights & Sustainable Trade Models (3 hours)
Objectives:
- Integrate ethical and social safeguards into trade systems.
Key Topics:
- Indigenous and community rights
- Benefit-sharing mechanisms
- Ethical sourcing standards
- Certification schemes (voluntary vs regulatory)
Discussion: Ethics vs profitability trade-offs
Module 9: Policy Advocacy, Reform & International Negotiations (2 hours)
Objectives:
- Equip participants to engage in policy development and reform.
Key Topics:
- CITES CoP processes
- Proposal drafting and lobbying
- National position papers
- Private sector engagement in policy
Output: Mini policy brief
Module 10: Capstone – Trade Compliance Strategy (Optional / 6 hours)
Objectives:
- Apply learning to a real or simulated enterprise.
Capstone Outputs:
- Full compliance roadmap
- Trade & permit strategy
- Risk mitigation plan
- Traceability and documentation system
Assessment Methods
- Knowledge checks per module
- Practical documentation exercises
- Case study analysis
- Capstone presentation
Professional Outcomes
Participants will be able to:
- Conduct CITES-compliant trade of regulated plant products
- Prepare and evaluate permits and documentation
- Design traceability and compliance systems
- Advise enterprises, cooperatives, and agencies on lawful trade
- Engage confidently with regulators and international buyers
Alignment & Recognition (Customizable)
- TESDA-ready / CPD-alignable
- Suitable for government, private sector, and NGO delivery
- Adaptable for agarwood, timber, medicinal plants, and other NTFPs