Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES)
Das Convention on International Trade in Endangered Species, internationally known as CITES (Convention on International Trade in Endangered Species of Wild Fauna and Flora), is an international treaty for the protection of endangered wild animal and plant species. The aim of the convention is to regulate international trade in certain species through a graduated licensing system, so as not to endanger their survival. Since its entry into force in 1975, the CITES agreement has been the central multilateral instrument for species protection in the area of international trade in goods.
Origin and Objectives
Background and History
The Convention on International Trade in Endangered Species was signed on March 3, 1973, in Washington, D.C., by an initial 21 states and entered into force internationally on July 1, 1975. The reason for the agreement was the observed decline of many wild species as a result of unregulated international demand for animals, plants, and their products. Meanwhile, more than 180 parties have joined the convention, including the European Union.
Key Objectives
CITES pursues the overarching goal of regulating international trade in wild animal and plant species, including their parts and derivatives, so that the survival of these species is not jeopardized. The convention explicitly refers to trade, but not to national conservation regulations or other measures for the preservation of species.
Legal Foundations and Systematics
International Legal Framework
The Convention on International Trade in Endangered Species is a multilateral intergovernmental treaty within the meaning of international environmental law. Its provisions are binding on the contracting states, which are obligated to implement the contents of the convention through national legislation and administration. Compliance with the convention is monitored by a Standing Committee and through regular Conferences of the Parties.
Status in German Law and EU Law
In Germany, CITES was ratified under international law and implemented into national law on June 20, 1976, by the Act on the Convention on International Trade in Endangered Species of Wild Fauna and Flora. Within the European Union, the contents of CITES are directly applicable through various regulations, in particular Regulation (EC) No. 338/97 (Species Protection Regulation) and corresponding implementing regulations.
Species Protection Systematics and Appendices
Classification of Species in Appendices
The convention distinguishes a three-tiered protection mechanism:
- Appendix I: Species that are threatened with extinction and for which international trade is generally prohibited, unless it is for non-commercial purposes (such as science, research) and under strict conditions.
- Appendix II: Species that may become threatened by trade. Their international trade is permitted but subject to strict licensing and control requirements.
- Appendix III: Species that are protected in at least one contracting state, which has requested the help of other states in controlling the trade.
Inclusion and Amendment of the Lists
The inclusion and removal of species in the respective appendices is decided by the Conferences of the Parties based on scientific recommendations. Amendments to the appendices become legally binding for the parties under international law after the expiration of a specified period.
Licensing Procedures and Control Mechanisms
Basic Structure of the Licensing System
International trade in CITES-listed species generally requires the prior issuance of export, import, or re-export permits. The competent authorities are the national enforcement bodies (in Germany, for example, the Federal Agency for Nature Conservation), which verify compliance of the proposed trade with CITES requirements.
- For species in Appendix I, both export and import permits are required.
- For Appendix II species, an export or re-export permit is generally sufficient.
Requirements and Assessment Criteria
Permits are only granted if it can be demonstrated that
- the trade has no adverse effect on the survival of the species concerned (“Non-Detriment Finding”),
- the specimen was lawfully acquired,
- the transport conditions ensure the protection and welfare of the animals (in the case of live animals).
Documentation Obligations and Controls
In cross-border trade, the beneficiary must carry the relevant CITES permits or certificates and present them to the competent customs authorities. Violations of the regulations are prosecuted as administrative or criminal offenses and may incur substantial sanctions under national law.
Cooperation and Implementation
International Cooperation
In addition to the contracting states, non-governmental organizations and scientific and advisory bodies are also involved in the implementation and further development of CITES. The contracting states are obliged to cooperate, particularly in the fields of law enforcement, control measures, and training of enforcement officers.
National Enforcement Measures
Implementation of the agreement is carried out by national authorities, which are responsible for issuing permits, maintaining trade registers, control, and sanctions. State agencies also ensure contact with international CITES bodies and report regularly on compliance with obligations.
Significant Case Law and Sanctions
Legal Sanctions for Violations
Violations against CITES can have significant consequences at both national and international level. Nationally, penalties may include fines, imprisonment, or the revocation of licenses. Internationally, violations may lead to trade restrictions or other actions imposed by the parties.
Important Precedents
Court proceedings regarding the CITES agreement primarily concern individual trade cases, such as the import of prohibited souvenirs, the export of protected animal species, or the smuggling of ivory or other specially protected products.
Significance and Impact
Impact on Nature Conservation
CITES is one of the most influential instruments for the global regulation of species trade and has significantly contributed to raising awareness for international species protection. It is seen as a key component of international environmental agreements and complements national and regional species protection laws.
Limits and Challenges
Despite its importance, the Convention on International Trade in Endangered Species faces challenges such as enforcement deficits, illegal trade in species, and the adaptability of regulations to new threats, for example, online trade in protected species.
References and Further Information
- Text versions and further information can be found on the official CITES website.
- Relevant in Germany: Federal Agency for Nature Conservation (BfN), species protection law information portal.
- European level: EU database of trade flows in protected species.
Conclusion: The Convention on International Trade in Endangered Species represents the central international legal framework for regulating international trade in endangered species. It features a differentiated protection system, comprehensive licensing and control mechanisms, and an obligation to international cooperation. The strength of enforcement and adaptability remain decisive for the effectiveness of the agreement.
Frequently Asked Questions
What legal obligations arise for contracting states of the Convention on International Trade in Endangered Species (CITES)?
Contracting states of the Convention on International Trade in Endangered Species (CITES) are legally required to integrate the provisions of the convention into their national legal systems and to establish corresponding enforcement mechanisms. This includes in particular the establishment of management and scientific authorities responsible for the implementation and monitoring of imports, exports, and re-exports of animal and plant species listed in the CITES appendices. They are also required to introduce licensing procedures to ensure that trade in such species takes place exclusively on the basis of verified and approved documents. Furthermore, contracting states must regularly submit reports to the CITES Secretariat, providing information on their measures, enforcement experiences, and violations. Violations of the regulations must be recorded and prosecuted; legal sanctions are to be imposed and enforced where appropriate.
How is the licensing procedure for trade in CITES species legally regulated?
The licensing procedure for international trade in CITES species is detailed in the convention and its annexes. Depending on the level of protection (Appendix I, II, or III), different legal requirements apply: For Appendix I species, which are threatened with extinction, both an export and an import permit are required; commercial trade is generally prohibited. For Appendix II species, which are not immediately threatened with extinction but require protection, an export permit is generally sufficient, and is only issued if no threat to the species is expected. Permits may only be issued by the respective competent national authorities after a so-called Non-Detriment Finding has been carried out. The CITES provisions oblige the parties to document these assessments and permits carefully and to disclose them upon request to other parties or the secretariat.
What legal consequences arise from violations of the CITES agreement?
Violations of the provisions of the CITES agreement result in various legal consequences, the nature of which is essentially left to the national law of the parties. Typical sanctions include confiscation and seizure of illegally traded specimens, administrative penalties, fines, and, in serious cases, criminal sanctions such as imprisonment. Contracting states are required to enact national criminal law provisions to ensure effective prosecution of CITES violations. On an international level, in the event of repeated violations, the CITES Secretariat may recommend measures up to and including the suspension of trade privileges for the relevant state.
How is legal control and monitoring of international CITES trade carried out?
The control and monitoring of international trade in CITES-protected species is the responsibility of the management authorities designated in each contracting state. Legally, they are obliged to inspect, document, and communicate all imports and exports on the basis of issued permits with other states and the CITES Secretariat. Border authorities, especially customs authorities, are the first control instance and must ensure that no CITES goods cross borders without proper documentation. Authorities are also required to conduct regular inspections and verify that national laws are in line with and implement the CITES agreement. Cooperation with Interpol, the World Customs Organization, and other international bodies is legally foreseen and supplemented by multilateral agreements.
What legal specifics apply to the trade in so-called derivatives and products of CITES species?
The legal protection of the CITES appendices covers not only live or dead specimens of the listed species, but explicitly also their parts and products derived from them (“derivatives”). These include, for example, skins, furs, ivory, musical instruments, or prepared specimens. Trade in such products is subject to the same legal licensing requirements as trade in actual specimens; all documentation, licensing, and monitoring requirements apply. In some cases, the extent of legal protection may be specified by interpretive decisions of the CITES Conference, for example, to clarify which products are covered by the regulations. It is important to interpret the respective positions in the CITES appendices precisely.
How is the CITES agreement legally adapted to changed biological and economic conditions?
The CITES agreement provides for regular Conferences of the Parties within its legal framework, where amendments to the appendices (list of protected species) can be adopted. Such amendments come into force in accordance with the provisions of Article XV of the agreement and are legally binding for all contracting states, unless a state formally files an objection within the specified period. The resolutions are transposed into national law by means of appropriate legal acts. In addition, so-called resolutions and interpretative guidelines can be adopted, serving the legal interpretation and application of the agreement.
How do CITES legal obligations relate to other international and national species protection laws?
The obligations from the CITES agreement set minimum legal requirements for species protection and must be harmonized with other international agreements (e.g., Convention on Biological Diversity, Bern Convention) and national laws. Contracting states may introduce further-reaching, i.e., stricter, measures in favor of species protection, but may not adopt less stringent provisions. This ensures that the international protective effect guaranteed by the CITES agreement cannot be undermined by national regulations. In particular, national implementing legislation defines specific penalty frameworks, control mechanisms, and administrative regulations that make the international agreement practically applicable.
