CITES Non-detriment Findings (NDF) - Traffic...CITES Non-detriment Findings Guidance for Perennial Plants A nine-step process to support CITES Scientific Authorities making science-based

D.J. Leaman and T.E.E. Oldfield

CITES Non-detriment Findings Guidance for Perennial Plants

A nine-step process to support CITES Scientific Authorities making science-based non-detriment

findings (NDFs) for species listed in CITES Appendix II

Version 1.0

if appropriate go to Step 9

EVALUATE SEVERITY

Step 1. Review specimen

identification

OF CONCERNS, RISKS AND IMPACTS

Step 3. Review Scientific Step 2. Relevant Authority Review origin Exclusions Step 4. and source of

specimen and Evaluate NDF

Previously‐ conservation concerns

Request Made NDFs

Management Authority

Step 5. Permit ApplicationEvaluate intrinsic

biological risK Exporter

Step 6. APPROPRIATE AND PRECAUTIONARY MANAGEMANT

NDF AND RELATED ADVICE Evaluate harvest impacts

Positive advice or NDF

Step 9. Step 8. Make a Non‐Detriment

Finding or provide related advice

Evaluate if Step 7. management rigour is Evaluate de impac

appropriate to Negative advice or NDF

tra ts severity of concerns, risks, and impacts

BfN-Skripten 358

2014

CITES Non-detriment Findings Guidance for Perennial Plants

A nine-step process to support CITES

Scientific Authorities making science-based non-detriment findings (NDFs) for species

listed in CITES Appendix II

Version 1.0

D.J. Leaman T.E.E. Oldfield

Cover illustration:

Nine-step pathway for making Non-Detriment Findings for perennial plant species listed in CITES Appendix II

Authors’ addresses: Dr. Danna Leaman 98 Russell Avenue

Ottawa, Ontario, K1N 7X1 Canada E-Mail: [email protected]

Thomasina Oldfield TRAFFIC International 219a Huntingdon Road Cambridge CB3 0DL United Kingdom E-Mail: [email protected]

Project Supervisor: Dr. Uwe Schippmann Division II 1.2 „Plant Conservation“

This project was funded by the German Ministry of Environment, Nature Conservation and Nuclear Safety as Research & Development Project no. FKZ 3511860800.

This publication is included in the literature database “DNL-online” (www.dnl-online.de)

BfN-Skripten are not available in book trade but can be downloaded in a pdf version from the internet at: http://www.bfn.de/0502_skripten.html

Publisher: Bundesamt für Naturschutz (BfN) Federal Agency for Nature Conservation Konstantinstrasse 110 53179 Bonn, Germany URL: http://www.bfn.de

All rights reserved by BfN

The publisher takes no guarantee for correctness, details and completeness of statements and views in this report as well as no guarantee for respecting private rights of third parties.

Views expressed in the papers published in this issue of BfN-Skripten are those of the authors and do not necessarily represent those of the publisher.

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Printed by the printing office of the Federal Ministry of Environment, Nature Conservation and Nuclear Safety.

Printed on 100% recycled paper.

ISBN 978-3-89624-093-4

Bonn, Germany 2014

Table of Contents Making NDFs for perennial plants: A nine-step process ......................................................................7 Non-Detriment Findings in the CITES Context ........................................................................................7 Why is guidance for Non-Detriment Findings needed? ..........................................................................7 Using this NDF Guidance .........................................................................................................................9

Step 1 Review specimen identification ............................................................................................... 11 Rationale: why is this step important?................................................................................................ 11 Key questions and decision path for Step 1: ........................................................................................ 12 Review specimen identification ........................................................................................................... 12 Guidance for Step 1.............................................................................................................................. 12 Useful sources and examples of recommended information quality .................................................. 13

Step 2 Review compliance with requirements ................................................................................... 14 For artificial propagation...................................................................................................................... 14 Rationale: why is this step important?................................................................................................. 14 Key questions and decision path for Step 2: ........................................................................................ 15 Review compliance with artificial propagation requirements ............................................................. 15 Guidance for Step 2.............................................................................................................................. 15 Useful sources and examples of recommended information.............................................................. 17

Step 3 Review relevant exclusions and previously-made NDFs........................................................ 18 Rationale: why is this step important?................................................................................................ 18 Key questions and decision path for Step 3: ........................................................................................ 19 Review relevant exclusions and previously-made NDFs ...................................................................... 19 Guidance for Step 3.............................................................................................................................. 19 Useful sources and examples of recommended information.............................................................. 21

Step 4 Evaluate conservation concern ............................................................................................... 22 Rationale: why is this step important?................................................................................................ 22 Key questions and decision path for Step 4: ........................................................................................ 23 Evaluate conservation concern ............................................................................................................ 23 Guidance for Step 4.............................................................................................................................. 23 Useful sources and examples of recommended information.............................................................. 26 Factors to consider: conservation concerns........................................................................................ 26

Step 5 Evaluate potential intrinsic biological risks of wild harvest ................................................... 28 Rationale: why is this step important?................................................................................................ 28 Key questions and decision path for Step 5: ........................................................................................ 29 Evaluate potential intrinsic biological risk of wild harvest................................................................... 29 Guidance for Step 5.............................................................................................................................. 29 Useful sources and examples of recommended information quality .................................................. 31 Factors to consider: intrinsic biological risk of wild harvest ............................................................... 31

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Step 6 Evaluate Impacts of Wild Harvest............................................................................................ 35 Rationale: why is this step important?................................................................................................ 35 Key questions and decision path for Step 6: ........................................................................................ 36 Evaluate impacts of wild harvest ......................................................................................................... 36 Guidance for Step 6.............................................................................................................................. 36 Useful sources and examples of recommended information quality .................................................. 38 Factors to consider: impacts of wild harvest....................................................................................... 38

Step 7 Evaluate impacts of trade ........................................................................................................ 41 Rationale: why is this step important?................................................................................................ 41 Key questions and decision path for Step 7: ........................................................................................ 42 Evaluate impacts of trade..................................................................................................................... 42 Guidance for Step 7.............................................................................................................................. 42 Useful sources and examples of recommended information quality .................................................. 44 Factors to consider: impacts of trade.................................................................................................. 44

Step 8 Evaluate appropriate rigour of existing management measures ........................................... 46 Rationale: why is this step important?................................................................................................ 46 Key questions and decision path for Step 8: ........................................................................................ 47 Evaluate appropriate rigour of existing management measures......................................................... 47 Guidance for Step 8.............................................................................................................................. 47 Useful sources and examples of recommended information quality .................................................. 49 Factors to consider: existing management measures......................................................................... 50

Step 9 Non-Detriment Finding and related advice ............................................................................. 54 Rationale: why is this step important?................................................................................................ 54 Decisions for Step 9.............................................................................................................................. 55 Non-Detriment Findings and related decisions.................................................................................... 55 Guidance for Step 9.............................................................................................................................. 55

Annex Consolidated worksheets and draft report format ............................................................................ 60

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Acknowledgments We are deeply grateful to the Federal Agency for Nature Conservation (BfN) for funding this project. We especially thank Uwe Schippmann for his support, belief, expertise and determination to move this work forward. We thank Volker Homes, Diana Michalski and Vera Weissmann from WWF-Germany for their management of this project.

This project would not have been possible without the important body of work that has come before it and upon which much of our work is based, and so we are thankful to the many authors and organisations who have dedicated so much time and effort. A special thanks to the Mexican Management Authority for driving the process of developing guidance on NDFs forward, particularly through the International Experts meeting in Cancun in 2008. We are extremely grateful to the participants of that workshop for the great strides forward they made, especially in developing taxon-specific guidance, on which much of this work is founded.

We thank those that participated in our initial meeting in Mexico City in early 2012; Hesiquio Benitez Diaz, Alejandra García Naranjo, Uwe Schippmann, Patricia Ford, Noel McGough, Adrianne Sinclair, David Newton, Paola Mosig Reidl and Adrian Reuter. The continued input from all throughout the project, particularly the detailed reviews and in depth comments, has helped strengthen and improve the final output. A heartfelt thanks to their respective organisations in allowing them the time to devote their expertise. Many thanks to the team efforts of Environment Canada for their reviews of versions of the guidance, particularly to Gina Schalk.

We thank the CITES Management Authority of Viet Nam for hosting the workshop in October 2012 including the Director Do Quang Tung and we thank the attendees for their considerable efforts in improving this guidance process. We particularly thank Dr Nguyen Tien Hiep for his work in preparation of case studies and for his dynamic and engaging participation during the workshop. We thank Milena Sosa Schmidt from the CITES Secretariat and Noel McGough from the UK Scientific Authority for plants for their participation and invaluable input at that meeting. Naomi Doak and others in the TRAFFIC Viet Nam team (Dang Linh Huong, Nguyen Thi Mai, Nguyen Do Thu Minh and Brett Tolman) did a fantastic job of assisting the Viet Nam Management Authority in the preparation for and organization of the workshop.

Many thanks to Willow Outhwaite for her technical assistance and development of the graphics for this guidance, which have made the document much easier to follow. Finally, we express our sincere gratitude to a number of TRAFFIC colleagues for their help in reviewing and developing the guidance documents and their efforts and insights; Anastasiya Timoshyna, Steven Broad, Richard Thomas and Sabri Zain.

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MAKING NDFS FOR PERENNIAL PLANTS: A NINE-STEP PROCESS Non-Detriment Findings in the CITES Context Ensuring trade is within sustainable limits is at the core of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES). According to the Convention, Parties shall allow trade in specimens of species included in Appendices II only if the Scientific Authority of the State of export has:

a) Advised that “such export will not be detrimental to the survival of that species" (Article IV); and

b) Determined that the export of specimens of any such species should be limited in order to maintain that species throughout its range at a level consistent with its role in the ecosystems in which it occurs and well above the level at which that species might become eligible for inclusion in Appendix I (Article IV).

Collectively these requirements are referred to as ‘non-detriment findings’ (NDFs). How NDFs are made is the responsibility of the Scientific Authority of each Party. The Conference of the Parties (CoP) have decided not to adopt specific technical criteria for how NDFs are undertaken, instead the CoP adopted non-binding general guidelines on making NDFs, outlined in Resolution Conf. 16.7 on Non-detriment findings1 [http://www.cites.org/eng/res/16/16-07.php].

Why Is Guidance for Non-Detriment Findings Needed? Considerable efforts have been made by some Parties, IGOs, and the Secretariat over the years to develop general and taxon-specific guidance for making NDFs; in particular significant advances have been achieved for plant taxa.

Key milestones include:

• The publication (and supporting workshops) of the IUCN Species Survival Commission’s Guidance for CITES Scientific Authorities: Checklist to assist in making non-detriment findings for Appendix II exports2;

• The International Expert Workshop on CITES Non-Detriment Findings (Cancun, Mexico, 17-22 November 20083), in particular the development of guidance at the workshop for perennial plants combining the IUCN checklist with elements derived from the International Standard for sustainable Wild Collection of Medicinal and Aromatic Plants (ISSC-MAP, now included in the FairWild Standard version 2.04).

• The CITES Virtual College module on making NDFs5.

1 Resolutions may be revised at each CoP (e.g. Rev CoP16), links to these on the CITES website are updated accordingly. All are up to date post CoP16. 2 http://data.iucn.org/themes/ssc/our_work/wildlife_trade/citescop13/CITES/guidance.htm#guide 3 http://www.conabio.gob.mx/institucion/cooperacion_internacional/TallerNDF/taller_ndf.html 4 http://www.fairwild.org/standard 5 https://eva.unia.es/cites/

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http://www.cites.org/eng/res/16/16-07.php

http://data.iucn.org/themes/ssc/our_work/wildlife_trade/citescop13/CITES/guidance.htm#guide

http://www.conabio.gob.mx/institucion/cooperacion_internacional/TallerNDF/taller_ndf.html

http://www.fairwild.org/standard

https://eva.unia.es/cites/

The Guidance on CITES NDFs for Perennial Plants presented here in Version 1.0 is an output of the project “Development of Training Modules for CITES Non-Detriment Findings (NDF) for Plants”, executed by TRAFFIC International on behalf of WWF Germany, with financial support from the German Federal Agency for Nature Conservation (BfN). This project aims to improve the guidance and training tools available to assist Scientific Authorities in making NDFs for perennial plants, based on existing work and significant recent advances in approach.

Additional outputs of this project, complementary to this Guidance document, include:

• Consolidated Worksheets and Draft Report Format (see Annex) and • Concept for Training Modules for CITES Non-Detriment Findings for Perennial Plants.

This Guidance, designed to build on previous milestones, describes a nine-step process enabling Scientific Authorities to make NDFs that are science-based, using information with data quality appropriate to the severity of conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified for the species concerned.

Much of the content of this Guidance is based on the working group reports and case studies resulting from the “International Expert Workshop on CITES Non-Detriment Findings” hosted by the Government of Mexico, Cancun, Mexico, 17-22 November 2008. A first draft of this Guidance, and many useful contributions to its content, resulted from a small “Expert meeting on development of guidance and training for CITES non-detriment findings (NDF) for plants” hosted by TRAFFIC in Mexico City, Mexico, 1-3 February 2012. A second draft was tested in an NDF training workshop in Hanoi, Viet Nam, in October 2012, hosted by the CITES Management Authority for Viet Nam. The current version of this guidance incorporates the results of the Vietnam workshop and further comments from the participants in the Mexico City expert meeting.

Further revisions will be made to the current version of the nine-step process based on outcomes from test implementation and comments from Parties, which we see as a guide that we hope Parties will use and adapt to suit their own needs.

Although this document is intended to guide a Scientific Authority towards a decision, ultimately it will be necessary for the Scientific Authority to weigh up the risks and evidence to make its final NDF decision. This will require individual (or group) judgments; this guidance is designed draw out the information relevant to informing the process that leads to that final decision.

For more details on this Guidance, please contact:

Thomasina Oldfield TRAFFIC International 219a Huntingdon Road Cambridge CB3 0DL United Kingdom [email protected]

OR Uwe Schippmann Federal Agency for Nature Conservation Konstantinstr. 110 D-53179 Bonn Germany [email protected]

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mailto:[email protected]

mailto:[email protected]

Using this NDF Guidance This Guidance suggests nine steps that a Scientific Authority can take to make a science-based NDF. The overall process is shown in Figure 1.

• Steps 1-3 involve the evaluation of whether a detailed, science-based NDF is needed for the species and specimens concerned.

• Steps 4-7 involve the evaluation of conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts relevant to the species concerned, and their severity.

• Step 8 involves the evaluation of whether the management measures in place are sufficiently rigorous to mitigate (reduce the severity of) the concerns, risks, and impacts identified.

• Step 9 involves the making of a NDF or other advice to the Management Authority based on the outcomes of Steps 1-8.

Each of the Guidance steps is comprised of the following components:

• “Rationale: Why is this Step Important?” summarizing the contribution of the guidance step to the overall NDF process

• A graphic presentation of the “Key Questions and Decision Pathway” for each step • Guidance notes for each Key Question • A description of the Endpoint for each step • Useful sources and recommended information quality based on the severity of concerns,

risks, and impacts identified in the previous steps • (Steps 4-8 only) Tables of factors to consider in evaluating the severity of conservation

concerns, intrinsic biological risks, harvest impacts, and trade impacts, and the level of rigour of management measures in place.

A set of Consolidated Worksheets is provided in the Annex to this report. These worksheets can be used to record the sources consulted, the information relevant to each of the steps, and outcome of the process. The Consolidated Worksheets may be used as a draft report format for the final NDF.

This Guidance and the associated Consolidated Worksheets can be used in various ways, including:

• Self-training for members of Scientific Authorities needing guidance on how to make NDFs and related decisions, as a complement to the NDF Module of the CITES Virtual College

• Support material for training workshops • Structure for written NDF reports, where appropriate.

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Figure 1. Nine-Step Pathway for Making Non-Detriment Findings for Perennial Plant Species Listed in CITES Appendix II

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STEP 1 REVIEW SPECIMEN IDENTIFICATION

Rationale: why is this step important?

Correct identification of specimens and agreement on taxonomic names for species in trade are essential to CITES implementation, and the making of NDFs. Plant species can be difficult to distinguish from others that look alike, whether the specimen is a whole plant, a plant part, or a derivative. Substitution of “look-alike specimens” of CITES-listed species is a challenge for the detection of illegal trade.

The classification and naming of species is a dynamic process that can lead to uncertainty and lack of consensus about specimen and species taxonomy, and can create confusion between current and out-dated information sources. Uncertainty about the identity and taxonomic status of the specimens entering trade can undermine the ability of Scientific Authorities to gather and evaluate information relevant to the species involved when undertaking a NDF. Therefore, these concerns need to be addressed in the process of making an NDF.

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Key Questions and Decision Path for Step 1: Review Specimen Identification

Guidance for Step 1

Key Question 1.1. Is the Scientific Authority confident that the plant/specimen concerned has been correctly identified, and, is the scientific name used compliant with the appropriate CITES Standard?

Guidance notes:

The Scientific Authorities do not normally see the specimens for which a permit is being sought, therefore a judgement on the correct identification of the species must be made on the basis of the information supplied on the permit.

Identification of the specimen(s) may be considered clear if the following conditions are met:

a) The specimen(s) for export is/are identified on the permit application to the level of species, sub-species, or botanical variety as appropriate; AND

b) The taxon named on the export permit application is in accordance with the nomenclature adopted by CITES (see the link to CITES Resolution 12.11 (Rev. CoP16 http://www.cites.org/eng/res/12/12-11R16.php) under “Useful Sources and Examples of Recommended Information Quality”).

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http://www.cites.org/eng/res/12/12-11R16.php

Guidance for Step 1 The Scientific Authority may choose to correct a simple identification error or out-dated name where the correct name is obvious.

The Scientific Authority may refer concerns about taxonomic status of the specimen to the Nomenclature Specialist of the CITES Plants Committee (see the link to the Plants Committee Nomenclature Specialist under “Useful Sources and Examples of Recommended Information Quality”). It may be useful to check whether the specimen has been identified by an expert at this time or previously so that the specimens are highly likely to be those referred to on the permit application and if not request verification.

Without a clear taxonomic identification of the specimens involved, the Scientific Authority may be unable to confidently apply species-related information required to determine whether the proposed trade will not be detrimental to the survival of the species.

If “Yes” (conditions a and b are met OR the Scientific Authority has corrected a simple error or out-dated name): record concerns resolved and information sources used in the Worksheet for Step 1.

If “No” (condition a and b are not met) the Scientific Authority may call upon the Management Authority to investigate a concern about the intentional or unintentional substitution of another species for the one named in the permit application, particularly in cases where look-alike species have significant levels of illegal trade. If the MA is unable to resolve these concerns then describe any concerns about species identification in the Worksheet for Step 1, and go to Step 9: Decision 9.1.

Endpoint of Step 1: The Scientific Authority identifies any concerns about the identification of the specimens in trade. Confidence in the identification of specimens ensures that species information can be applied confidently to the rest of the NDF process to determine whether the proposed trade will not be detrimental to the survival of the species.

Useful Sources and Examples of Recommended Information Quality

Standard References adopted by CITES

• CITES Species Database (http://www.cites.org/eng/resources/species.html)

• List of standard references adopted by the Conference of the Parties / Flora [Annex 2, Res. Conf. 12.11 (Rev. CoP16 Standard nomenclature: http://www.cites.org/eng/res/12/12-11R16.php]

• Nomenclature specialist of the CITES Plants Committee (http://www.cites.org/eng/com/pc/member.php - currently Mr Noel McGough, [email protected])

References not adopted by CITES but which are useful guides

• World Checklist of Selected Plant Families (http://apps.kew.org/wcsp/home.do)

• Published national, regional, and global flora

• Identification guides and checklists reviewed by taxonomic experts

• Published papers or monographs reviewed by taxonomic experts

• Voucher specimens from the harvest site(s) specified in the application for export permit

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http://www.cites.org/eng/resources/species.html


http://apps.kew.org/wcsp/home.do

STEP 2 REVIEW COMPLIANCE WITH REQUIREMENTS FOR ARTIFICIAL PROPAGATION


International trade of specimens of plant species listed in CITES Appendix II that originate from artificial propagation sources does not require the Scientific Authority to make an NDF as for wild specimens. If an export applicant presents sufficient information for the Scientific Authority to determine that the specimens clearly meet all CITES requirements for artificially propagated as defined in Res. Conf. 11.11 (Rev. CoP15), a simple positive decision may be made to permit export. However, concerns about compliance with these requirements (such as illegal trade of wild-harvested specimens declared as artificially propagated, or use of wild parental stock for nursery propagation of seedlings for export trade) need to be investigated before allowing trade.

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Key Questions and Decision Path for Step 2: Review Compliance with Artificial Propagation Requirements

Guidance for Step 2

Key Question 2.1. Is the permit application for artificially propagated specimens?

Guidance notes:

In most cases the Scientific Authority does not see the specimens to which the permit application refers. It is therefore important that the permit application contains sufficient information to enable the Scientific Authority to answer this and the following Key Questions in Step 2.

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Guidance for Step 2 If the specimens were harvested from the wild, cultivated from wild collected material, or propagated from wild parental stock, they are treated as wild, requiring an NDF.

If “Yes”, record information sources used in the Worksheet for Step 2 and go to Key Question 2.2.

If “No”, record reasons for treating specimens as wild-harvested, if not declared as wild harvested, and information sources used in the Worksheet for Step 2; then go to Step 3.

Key Question 2.2. Is export of the artificially propagated specimens of this species permitted by national or relevant sub-national legislation?

Guidance notes:

National or sub-national legislation may specify exemptions or restrictions intended to support positive effects or limit detrimental impacts of artificial propagation on wild populations (e.g. collection of seeds and spores).

Advice of the Scientific Authority must comply with national or relevant sub-national legislation.

If “Yes”, record information sources used in the Worksheet for Step 2 and go to Key Question 2.3.

If “No", describe relevant legislation and record information sources used in the Worksheet for Step 2 and go to Step 9: Decision 9.2.

The Scientific Authority may call upon the Management Authority for additional information or refer to the responsible authority for enforcement.

Key Question 2.3. Do the specimens covered by the export permit application clearly meet all requirements for artificial propagation according to Res. Conf. 11.11 (Rev. CoP15)?

Guidance notes:

CITES requirements for artificial propagation are met if:

a) The parental stock has been legally acquired and cultivated or wild-harvested in accordance with Res. Conf. 11.11 (Rev. CoP15).

b) Specimens were produced from artificial propagation in accordance with Res. Conf. 11.11 (Rev. CoP15).

If an export permit application contains sufficient information for the Scientific Authority to determine that the specimens clearly meet all CITES requirements for artificial propagation according to Res. Conf. 11.11 (Rev. CoP15), a simple positive decision can be made allowing a permit to be issued for export. An NDF is not required.

If “Yes”, record requirements met and information sources used in the Worksheet for Step 2, and go to Step 9: Decision 9.3.

If “No”, record information sources used in Worksheet for Step 2 and go to Key Question 2.4.

NOTE: In some countries operations cultivating plants have introduced nursery registration schemes, which, if relevant in the country in question, may easily confirm the artificial propagation of the species. Where export permit applications for artificially propagated plants are frequently received for particular species, it may be useful for SAs and MAs to provide guidance on the necessary requirements for recognition of “artificial propagation” of those species under CITES. A register of nursery or cultivating operations meeting these requirements may also facilitate decision making.

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Guidance for Step 2

Key Question 2.4. Are there obvious concerns about compliance of the specimens with CITES requirements for artificial propagation that cannot be resolved by the Scientific Authority by undertaking a detailed NDF?

Guidance notes:

Concerns about compliance with Res. Conf. 11.11 (Rev. CoP15) may arise, for example:

• If there is significant uncertainty about whether the specimens are cultivated or from wild collection, or whether the parental stock was cultivated or from wild collection

• If the species is not known to be produced nationally according to CITES criteria for conditions for artificial propagation or in sufficient volume to supply the quantity of specimens covered by the export permit application

The Scientific Authority may be unable to state with confidence that the export of artificially propagated specimens complies with Res. Conf. 11.11 (Rev. CoP15) and will not have a detrimental impact on the wild population.

If “Yes”, record concerns and information sources used in the Worksheet for Step 2 and go to Step 9: Decision 9.4

The Scientific Authority may call upon the Management Authority for additional information or refer to the responsible authority for enforcement.

If “No", record information sources used in the Worksheet for Step 2 and go to Step 3.

Endpoint of Step 2: Scientific Authorities make an initial decision about whether the specimens covered by the export permit application meet the Convention’s requirements for artificial propagation, enabling issue of an export permit, whether a detailed NDF is required to investigate concerns about non-compliance and detrimental effects on wild populations, or whether concerns about non-compliance require a negative NDF and referral to the Management Authority or the responsible authority for enforcement.

Useful Sources and Examples of Recommended Information • Export permit application information concerning source of specimens (wild / artificial

propagation / unknown) • National and sub-national legislation relevant to export of this species • Res. Conf. 11.11 (Rev. CoP15): Regulation of trade in plants

(http://www.cites.org/eng/res/11/11-11R15.php) • Nursery surveys and inventories • Nursery registrations (http://www.cites.org/common/reg/e_nu.html)

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STEP 3 REVIEW RELEVANT EXCLUSIONS AND PREVIOUSLY-MADE NDFS


In addition to factors relating to specimen identification, taxonomic stability, and meeting criteria for artificial propagation, several other circumstances may make undertaking a detailed NDF unnecessary for Scientific Authorities. These circumstances include: if international export is banned by national legislation; if the relevant specimens are excluded from regulation by an annotation to the species listing in the CITES Appendices; or if the export permit application is consistent with previous science-based findings.

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Key Questions and Decision Path for Step 3: Review Relevant Exclusions and Previously-Made NDFs

Guidance for Step 3

Key Question 3.1. Is the export of wild-harvested specimens of this species permitted by national or relevant sub-national legislation or regulation?

Guidance notes:

• Advice of the Scientific Authority must comply with national or sub-national legislation.

If “Yes”, describe the legislation or regulation and its relevance in the Worksheet for Step 3, record information sources used, and go to Key Question 3.2.

If “No”, describe the legislation or regulation and its relevance in the Worksheet for Step 3, record information sources used, and go to Step 9: Decision 9.5

The Scientific Authority may refer to Management Authority for information or to the responsible authority for enforcement.

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Guidance for Step 3 Key Question 3.2. Is the specimen covered by CITES Appendix II?

Guidance notes:

• Some specimens are excluded from CITES control by the relevant numbered annotation to Appendix II.

• Specimens determined not to clearly meet all requirements for artificial propagation according to Res. Conf. 11.11 (Rev. CoP15) in Step 2 (Key Question 2.3) are not excluded from the NDF in that step.

If “Yes”, record information sources used in the Worksheet for Step 3, and go to Key Question 3.3.

If “No”, describe the reason for exclusion of the specimen from CITES Appendix II in the Worksheet for Step 3, record information sources used, and go to Step 9: Decision 9.6

Inform the Management Authority that an NDF and CITES export permit are not required.

Key Question 3.3. Has the Scientific Authority previously made a science-based NDF for this species that is still valid and is sufficient to evaluate the specimens for the current export permit application?

Guidance notes:

In some cases, it may be possible for a Scientific Authority to make an NDF based on a previous NDF that established a trade threshold deemed by the Scientific Authority to be non-detrimental to the species. The trade threshold might an export quota, harvest limit, or other management system in place.

• The previous NDF considered conservation concerns, intrinsic biological risk, harvest impacts, trade impacts, and management measures in place (see Steps 4-8 of this guidance document).

• Setting a national export quota that establishes the maximum number of specimens of a species that may be exported over the course of year without having a detrimental effect on the species’ survival may meet the CITES requirement for an NDF. Information used to determine a science-based quota is relevant to the steps recommended in this guidance.

o The current export permit application is consistent with the previous applications. o The proposed export of specimens is non-detrimental according to the previous

finding. o A Party may establish export quotas unilaterally but they can also be set by the CoP

(see: www.cites.org/eng/resources/quotas/index.php) o However, a Scientific Authority may determine a national export quota to be

detrimental to species survival. For example, the quantity of specimens to be exported may be within a pre-determined quota deemed to be non-detrimental to species survival, or the impact of export of a small number of specimens may be easily evaluated based on previous findings.

If “Yes”, describe the previously made NDF, record information sources used in the Worksheet for Step 3, and go to Step 9: Decision 9.7

If “No”, record absence or deficiencies of a previous NDF, information sources used, and go to Step 4.

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http://www.cites.org/eng/resources/quotas/index.php

Guidance for Step 3

Endpoint of Step 3: Scientific Authorities may not need to undertake a detailed NDF if export of the specimens involved is banned by national or sub-national legislation, if the specimens are not covered by CITES Appendix II, or if the export permit application is consistent with previous science-based findings.

Useful Sources and Examples of Recommended Information

National and sub-national legislation relevant to export of this species

CITES Species database (http://www.cites.org/eng/resources/species.html)

• Species Appendix listing

• Relevant annotations

Export permit application

• Type of material, part or product (whole plant, plant parts, derivatives)

• Quantity (Number of specimens / volume of material to be exported)

• Purpose of export

Records of trade in specimens and species included in Appendices I, II, and III (in accordance with Art. VIII.6) (http://www.unep-wcmc-apps.org/citestrade/expert_accord.cfm)

Managing nationally established export quotas

• Res. Conf. 14.7 (Rev. CoP15) on Management of nationally established export quotas (http://www.cites.org/eng/res/14/14-07R15.php)

• Periodic reports of the national CITES Authority to the CITES Secretariat, including updates on national export quotas (http://www.cites.org/eng/resources/quotas/index.shtml)

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http://www.cites.org/eng/resources/species.html

http://www.unep-wcmc-apps.org/citestrade/expert_accord.cfm


STEP 4 EVALUATE CONSERVATION CONCERN


This step considers existing conservation status assessments to document relevant threats and to support evaluation of the severity of conservation concern associated with the national population or sub-population(s) of the species concerned. It is not intended that the Scientific Authority will undertake conservation status assessments as part of the NDF where these are lacking, out-dated, or incomplete.

Conservation status is an assessment of the likelihood that a species (or sub-population of the species) will become extinct in the near future. Conservation status assessment systems have a variety of forms (e.g., Red Lists, Red Data Books, threatened species listings) and a range of geographic scope (sub-national, national, regional, or global). The definition of assessment criteria and categories describing extinction risk also varies among assessment systems. Existing assessments can provide information that supports the NDF by identifying general threats and severity of conservation concern (Step 4), including some of the factors that are considered in Steps 5-8 of this Guidance: intrinsic biological characteristics (Step 5), harvest impacts (Step 6), trade impacts (Step 7), and management measures in place (Step 8). A detailed, well-documented, and up-to-date conservation status assessment may therefore provide information relevant to several of the remaining steps of this Guidance.

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Key Questions and Decision Path for Step 4: Evaluate Conservation Concern

Guidance for Step 4

Key Question 4.1. Has the conservation status of the species been assessed at any geographic scope that includes the population or sub-population(s) within the range State undertaking the NDF?

Guidance notes:

Conservation status assessment systems exist in many forms (e.g., Red Lists, Red Data Books, Threatened Species listings, Species at Risk listings). Any such system that has been used to assess the conservation status of the target species may provide information useful for Step 4 and other steps of this Guidance (see Worksheet, Step 4).

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Guidance for Step 4 Conservation status assessment systems are applied to various geographic scopes:

• Global systems consider the conservation status of a species over its entire natural geographic range (e.g. IUCN Red List Categories and Criteria). For species endemic to one country, a national assessment is also a global assessment.

• Multi-country / regional systems consider conservation status of a species for only the part of its natural geographic range that occurs within the defined region (e.g., The Red Data Book for a particular country; regional applications of the IUCN Red List Categories and Criteria)

• National systems consider conservation status of a species for only the part of its natural geographic range that occurs within the national boundaries (e.g. national Red Lists of threatened species). For species endemic to one country, a national assessment is also a global assessment.

• Sub-national systems consider the conservation status of a species for only the part of its natural geographic range that occurs within a province, state, protected area, or other defined area within national boundaries.

Existing conservation status assessments of any geographic scope that include all or parts of the national population of the species may provide information useful for Step 4 and other steps of this Guidance (see Worksheet, Step 4). Current assessments should be used wherever available; out of date or old assessments may contain useful information but they should be treated with an understanding that the information on which they were based may no longer be accurate.

If “Yes”, record existing conservation status assessments relevant to the national or sub-national populations in the Worksheet for Step 4, and go to Key Question 4.2

If “No”, record results in the Worksheet for Step 4, and go to Step 5

Key Question 4.2. Considering the identified threats and other criteria contributing to existing conservation status assessments relevant to the national and sub-national population(s) of the species, what is the indicated severity (“Low”, “Medium”, “High”, or “Unknown”) and scope (“None”, “Local”, “National”, “Global”, or “Unknown”) of conservation concern?

Guidance notes:

Refer to the table of Factors to Consider: Conservation Concerns below to evaluate the severity and scope of conservation concern indicated by existing relevant conservation status assessments.

The Scientific Authority may find information useful for Step 4 (and steps 5-8) in this Guidance in any existing assessment. If the national population or sub-population(s) of the species have been included in more than one assessment system or geographic scope of assessment, the Scientific Authority may select one assessment to evaluate the Severity of Conservation Concern that best combines the following qualities:

• Most indicative of the threat of extinction of the national population and sub-populations of the species

• Most recent/up to date

• Most transparent and informative criteria for identifying threats and other factors on which the assessment is based

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Guidance for Step 4 A national conservation status assessment is most relevant to the national scope of NDFs, but many species included in CITES Appendix II do not have national assessments. In some jurisdictions species conservation status is evaluated only at sub-national levels (e.g. state or province), and some species may have been assessed only at the regional or global scope. (Note that for endemic species, a national assessment is also a global assessment.) Where a national assessment is lacking or out-dated, a global or regional assessment can provide useful information about threats and indicate the severity of concern. However, caution must be taken when considering the national implications of global conservation status, particularly for a widespread or globally distributed species. A national or sub-national population may be considered threatened (e.g., by localized impacts on locally small populations) while the global population may not qualify as threatened. Alternatively, the global population of a species may be considered threatened, but particular national or sub-national populations may be more secure (e.g., based on the absence of threats or the management in place).

Conservation status assessments may take many factors into account to evaluate risk of extinction. These factors may be relevant to other Steps in this Guidance. For example:

• Number of individual remaining in the population or sub-population being assessed, and recent trends in population size (Steps 5 and 6)

• Barriers to reproduction and dispersal, such as population fragmentation (Step 5)

• Known threats, such as harvest and trade impacts, loss or degradation of habitat (Steps 6 and 7)

• Existence and effectiveness of management systems in place (Step 8)

Use the Worksheet for Step 4 to record:

• Conservation status (category) assessed and relevant criteria contributing to the assessment, and the severity of conservation concern (“Low”, “Medium”, “High”, or “Unknown”) indicated in the table of Factors to Consider: Conservation Concerns

• Specific threats and their scope as indicated in the table of Factors to Consider: Conservation Concerns (if information about scope of threats is available in the existing assessments).

This response affects the quality of information recommended for Steps 5-8, the overall management rigour required to mitigate (reduce the severity of) the conservation concerns identified (Step 8), and the degree of precaution that should be applied to making the NDF (Step 9).

To support the evaluation of appropriate rigour of existing management measures (Step 8), summary lists of threats (and their scope) associated with “Low”, “Medium”, “High”, and “Unknown” severity of conservation concern will be transferred to the Worksheet for Step 8, Information Evaluation Matrix, Part 1.

Go to Step 5

Endpoint of Step 4: Based on existing (and current) conservation status assessments, threats contributing to the risk of extinction of the national population or sub-population(s) are documented, and their contribution to the severity of conservation concern is evaluated by the Scientific Authority. The contribution of information from existing conservation status assessments

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Guidance for Step 4 to identification of intrinsic risks (Step 5), wild-harvest impacts (Step 6), trade impacts (Step 7), and management measures (Step 8) is documented. Identified scope of conservation concern is particularly relevant to Step 8.

Useful Sources and Examples of Recommended Information

Sub-national and national conservation status assessment systems:

• State, provincial, and national Red Data books, nature conservation act listings

• On-line national Red Lists: (http://www.regionalredlist.com)

• Conservation Data Centres (for example, see www.natureserve-canada.ca/en/cdcs.htm)

Multi-country / regional conservation status assessment systems:

• NatureServe Explorer (United States and Canada) (http://www.natureserve.org/explorer/)

• Red Data Book of the Russian Federation (http://2mn.org/engl/rdbrf_en.htm)

• North Africa Freshwater Biodiversity (regional application of IUCN Red List categories and criteria) (http://www.iucn.org/about/union/secretariat/offices/iucnmed/iucn_med_programme/species/species_assessments/freshwater_habitats/freshwater_northafrica/)

Global conservation status assessment systems:

• IUCN Red List of Threatened Species (http://www.iucnredlist.org)

Factors to Consider: Conservation Concerns The factors and indicators defined in this table use information from existing conservation status assessments in simple rankings of severity and scope of conservation concern. These rankings use IUCN Red List categories and criteria as a benchmark against which Scientific Authorities can compare any existing assessment categories and criteria applied in national, sub-national, and other relevant conservation status assessment systems (http://www.iucnredlist.org/technical-documents/categories-and-criteria).

Used in combination with the Worksheet for Step 4, Scientific Authorities can evaluate the severity of conservation concern for the national or sub-national populations of species requiring NDFs. This record is needed for Step 8 (Evaluate Appropriate Rigour of Existing Management Measures) in preparation for Step 9 (NDF decision and advice to the CITES Management Authority).

If there is more than one relevant conservation status assessment, and the results differ, see the Guidance notes for Key Question 4.2 (above).

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http://www.regionalredlist.com/

http://www.natureserve-canada.ca/en/cdcs.htm

http://www.natureserve.org/explorer/

http://2mn.org/engl/rdbrf_en.htm

http://www.iucn.org/about/union/secretariat/offices/iucnmed/iucn_med_programme/species/species_assessments/freshwater_habitats/freshwater_northafrica/

http://www.iucn.org/about/union/secretariat/offices/iucnmed/iucn_med_programme/species/species_assessments/freshwater_habitats/freshwater_northafrica/

http://www.iucnredlist.org/

Factor Severity of

Conservation Concern

Indicator

Low

The species, population, or sub-population has been assessed and is not considered to be threatened. The assessment or listing is based on defined criteria (e.g., IUCN Red List category Least Concern/LC or equivalent categories used in other systems). Note that the absence of conservation status assessment cannot be assumed to indicate that the species, population, or sub-population is not threatened (see indictors for “unknown” below).

Medium

The species, population, or sub-population has been assessed and is considered to nearly qualify as threatened. The assessment or listing is based on defined criteria (e.g., IUCN Red List categories Near Threatened/NT, Vulnerable/VU, or equivalent categories used in other systems).

High

The species, population, or sub-population has been assessed and qualifies as threatened. The assessment or listing is based on defined criteria (e.g., IUCN Red List Critically Endangered/CR, Endangered/EN, or equivalent categories used in other systems).

Unknown • Conservation status has not been assessed for the species, population, or sub-population (e.g., IUCN Red List category Not Evaluated/NE, equivalent categories used in other systems, or absence of any assessment or listing; or

• Conservation status has been assessed but the severity of conservation concern cannot be determined: a) There is insufficient data to evaluate against defined

criteria (e.g., IUCN Red List category Data Deficient/DD or equivalent categories used in other systems); or

b) The existing assessment / listing criteria are not defined so that Severity of Conservation Concern cannot be evaluated; or

c) The assessment is out-dated or in doubt

Severity of conservation

concern

Explanation of this factor:

This factor considers any existing sub-national, national, regional, or global conservation status assessments that include population or sub-population(s) of the species within the country undertaking the NDF.

None The species is not considered threatened and no threats have been identified

Local Identified threats affect only one or a few sub-populations of the species, but other sub-populations are not affected

National Identified threats affect the national population of the species Global Identified threats affect the entire global population of the

species Unknown The conservation status of the species has not been assessed

Scope of conservation concern


This factor considers the geographic extent of identified threats in relation to the distribution of the species.

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STEP 5 EVALUATE POTENTIAL INTRINSIC BIOLOGICAL RISKS OF WILD HARVEST


Some plant species are naturally more susceptible to detrimental effects of wild harvest and commercial trade than other species, based on intrinsic biological characteristics. In this Guidance, “intrinsic biological risk” is understood to indicate that certain biological characteristics contribute to the risk that wild harvest will be detrimental to species survival. Using the intrinsic biological characteristics, Scientific Authorities can identify the particular biological factors that contribute to higher or lower severity of risk that wild harvest will be detrimental to species survival, and assess whether the overall risk to species survival is high, medium, or low. The higher the severity of risk, the greater the requirements for information quality, management rigour, and precaution that should be sought for the NDF in Steps 6-9.

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Key Questions and Decision Path for Step 5: Evaluate Potential Intrinsic Biological Risk of Wild Harvest

Guidance for Step 5

Key Question 5.1. Consider the intrinsic biological characteristics that affect the potential risk of wild harvest to species survival. Is the severity of intrinsic biological risk indicated for each of these factors “Low”, “Medium”, “High”, or “Unknown”?

Guidance notes:

From the many intrinsic biological characteristics that might be considered relevant to the impact of wild harvest on species survival, the following have been consistently identified in CITES discussions and documents related to making science-based NDFs (See Cancun NDF Workshop Perennial plants working group results www.conabio.gob.mx/institucion/cooperacion_internacional/TallerNDF/wg2.html

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http://www.conabio.gob.mx/institucion/cooperacion_internacional/TallerNDF/wg2.html

Guidance for Step 5 IUCN Checklist http://data.iucn.org/themes/ssc/our_work/wildlife_trade/citescop13/CITES/guidance.htm, Res. Conf. 16.7 http://www.cites.org/eng/res/16/16-07.php):

1) Plant part harvested and plant life form

2) Geographic distribution

3) National population size and abundance

4) Habitat specificity and vulnerability

5) Regeneration

6) Reproduction

7) Role of the species in its ecosystem

Indicators of severity of risk associated with each of these intrinsic biological characteristics that affect the risk of wild harvest to species survival are elaborated below in the table of Factors to Consider: Intrinsic Risk of Wild Harvest to Species Survival.

Recommended information quality: For species lacking relevant conservation status assessments in Step 4, Scientific Authorities will need to gather any available information about intrinsic biological characteristics for Step 5. For species with conservation status identified in Step 4 as “low concern”, it is likely sufficient for Scientific Authorities to use routine verification sources (see first column of table “Useful Sources and Examples of Recommended Information Quality”) to gather any additional information needed about the species’ intrinsic biological characteristics to complete Step 5. For species identified in Step 4 as “Medium”, “High” or “Unknown” conservation concern, the effort to locate available higher-quality information is recommended to fill any remaining information gaps for Step 5.

Use the Worksheet for Step 5 to record available information corresponding to each of these factors and the severity of risk indicated.

To support the evaluation of appropriate rigour of existing management measures (Step 8), summary lists of “Low”, “Medium”, “High”, and “Unknown” intrinsic biological risk factors will be transferred to the Worksheet for Step 8, Information Evaluation Matrix, Part 1.

Go to Key Question 5.2.

Key Question 5.2. Considering the potential severity of intrinsic biological risk indicated for the selected factors, is the indicated overall severity of risk to species survival from wild harvest “Low”, “Medium”, “High”, or “Unknown”?

Guidance notes:

If there is a majority of factors associated with one severity level of intrinsic biological risk in the responses to Key Question 5.1, record that severity of risk in the Worksheet for Step 5.

If there is not a majority of factors associated with one risk severity level, the precautionary response is to record the highest risk severity level indicated by available information about the intrinsic biological risk factors (e.g. “Precautionary Medium” or “Precautionary High”).

This response affects the quality of information recommended for Steps 6-7, the overall man-agement rigour required to mitigate (reduce the severity of) the intrinsic biological risks identified (Step 8), and the degree of precaution that should be applied to making the NDF (Step 9).

Go to Step 6.

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http://data.iucn.org/themes/ssc/our_work/wildlife_trade/citescop13/CITES/guidance.htm

http://www.cites.org/eng/res/16/16-07.php

Guidance for Step 5

Endpoint of Step 5: Ranking of intrinsic biological risk is used to guide Scientific Authorities to seek higher quality information about harvest and trade impacts related to higher risk and unknown intrinsic biological characteristics (Steps 6 and 7), to require greater management rigour for higher levels of severity of risk (Step 8), and to use greater precaution in making NDFs for those species with overall higher intrinsic biological risk (Step 9).

Useful Sources and Examples of Recommended Information Quality All Species / Specimens

Requiring a Detailed NDF Species with Medium, High,

and Unknown Severity of Conservation Concern

Identified in Step 4

Species with High and Unknown Severity of Conservation Concern

Identified in Step 4 Routine verifications: • Permit application • Results of detailed

conservation status assessments (outputs from Step 4 recorded in Worksheet for Step 4)

• Scientific publications and databases providing taxonomic description of species, floras, vegetation type / zone maps

Existing qualitative information:• Herbarium records • Vegetation surveys and

inventories • Ecological risk assessments • Relevant knowledge and

expertise from scientists, harvesters, local communities, other resource managers

• Management plans

Existing quantitative information: • Comprehensive mapping of

suitable habitat combined with field verification

• Resource assessment • Sampled and modelled

population parameters and demographic studies (e.g., abundance, population trends, regeneration rates)

• Analyses of satellite imagery (changes in vegetation cover over time)

Factors to Consider: Intrinsic Biological Risk of Wild Harvest The factors and indicators defined in this table use information about the intrinsic biological characteristics of the species concerned with a ranking of risk severity level: low, medium, high, and unknown. Scientific Authorities can identify specific factors of risk and evaluate the general severity of risk of wild harvest to species survival by using this table in combination with the Worksheet for Step 5.

For most species, information will be available for Factors 1 and 2, but not for all of the factors included in the table. Record available information and unknown factors in the Worksheet for Step 5: this record is needed for Step 8 (Evaluate Appropriate Rigour of Existing Management Measures) in preparation for Step 9 (NDF decision and advice to the CITES Management Authority).

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Intrinsic biological factors related to risk

Risk severity

Indicator

Low Harvest of abundant leaves, flowers or fruits Medium Exudates (sap, resin); harvest of offshoots from parent plant

(e.g., cycads) High Harvest of whole plants; harvest of bulbs, bark or roots;

apical meristems (growing tip) of monocarpic species (plants that flower and produce seeds only once in their lifetime).

Unknown Information about this factor is unavailable.

1. Plant part harvested versus life form of species


The resilience of the species concerned is dependent on the plant part that is harvested in relation to the ability of the individual plant and the harvested population to recover. For example, harvest of leaves from a tree species is regarded as having a low risk of killing the tree or decreasing the population over time, while harvest of roots from an herbaceous species rates as high risk because each plant harvested may be destroyed by the harvest. For the evaluation of this factor, the life form of the species (annual, biennial, perennial, geophyte, shrub, and tree) has to be taken into account.

The impacts of harvest practices that are more destructive than necessary to obtain the material used in trade (e.g., if entire tree branches are cut to harvest leaves), are considered in Step 6, Factor 1: “impact of harvest on individual plants”

Low Distribution is widespread, commonly occurring through the country (likely in several countries / more than one continent).

Medium Distribution is restricted to a relatively small part of the country (and likely to few countries).

High Distribution is locally restricted, i.e. endemic, found in only one or few localities.


2. Geographic distribution


This factor assesses the known (primarily) national / (secondarily) global range and distribution of the species. Consider whether the distribution of the species is broad and continuous, or to what degree it is restricted and fragmented.

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Risk severity

Indicator

Low Sub-populations of the national population are large and spread homogeneously across the landscape

Medium Sub-populations of the national population mostly medium-sized, sometimes large, unevenly distributed

High Sub-populations of the national population are always small; scattered in low density across the landscape

Unknown Information about this factor is unavailable. 3. National population size and abundance


This factor assesses the spatial distribution across the range of the species. It assesses whether populations are large, abundant and homogeneous or small, clumped and scattered. This factor may be assessed differently in different range countries because a species that is distributed across national political boundaries may be more abundant in the centre of its natural range and less abundant at the periphery, as well as other factors affecting the species.

Low Species is highly adaptable to various habitat types; the habitat is stable (not declining in area or quality)

Medium Species is adapted to a few stable habitat types or is adapted to a variety of habitat types that are declining in area or quality

High Species is narrowly specific to one habitat type or to only a few threatened habitat types that are declining in area or quality


4. Habitat specificity and vulnerability


This factor assesses habitat preference of the species concerned. It looks at the availability and abundance of habitats occupied and also at the threat to these habitats.

Low Species is fast growing, reproduces early and/or easily re-sprouting after harvest;

Medium Growth rate medium and partly re-sprouting after harvest High Species is slow growing, late to reproduce and/or not re-

sprouting. Unknown Information about this factor is unavailable 5. Regeneration

Explanation of this factor: This factor assesses the recovery capacity of the individual plant: i.e., the ability to regenerate the material harvested. Aspects of this are the general growth rate and especially the (re-)sprouting capability (rhizomes, creepers, clonal growth) of perennials.

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Risk severity

Indicator

Low Species reproduces asexually or is wind pollinated; many viable seeds with abiotic dispersal; long-lived seed bank

Medium Species reproduces mainly sexually and has common pollinators; seed dispersal biotic with common dispersers

High Species is dioecious (male and female flowers on separate plants) or monocarpic (flowers and sets seed only once); adapted to specialised pollinators and/or seed dispersers; produces few viable seeds; short-lived seed bank

Unknown Information about this factor is unavailable

6. Reproduction


This factor evaluates the relative reproductive specialization of the species concerned, where asexual reproduction, abiotic pollination and seed dispersal (e.g., by wind or water), and abundant pollinators and seed dispersers are less specialized than sexual reproduction, biotic pollination and seed dispersal, and infrequent pollinators and seed dispersers, as well as whether species have short or long-lived seed banks for regeneration. A reduction in availability of individual plants or reproductive parts (flowers, seeds) will have a greater impact on plant species with more specialized adaptations.

This factor very generally addresses the recovery capacity of the harvested population: i.e., the ability of the remaining plants to rebuild the population or to repopulate areas where individuals or sub-populations have been removed.

Low No known dependent species or key functions Medium Not relevant: see explanation below High Keystone species, nurse plant, major food source for other

species Unknown Information about this factor is not available.

7. Role of the species in its ecosystem


This factor considers the role of the species in the ecosystem and whether ecosystem processes are interrupted or changed by the harvest of the species. Is the species a keystone or guild species, do other species depend on it for survival (e.g., food source)?

Note: Information about this factor is not commonly available, but may be included in some detailed conservation status assessments. A “medium” indicator is not meaningful for this factor. A species either does, or does not, have a known key ecosystem function as defined.

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STEP 6 EVALUATE IMPACTS OF WILD HARVEST


The impacts of wild harvest can be detrimental to the individual plants, to the harvested populations, and to the national population of the species concerned overall, as well as to the species’ ecosystem and other species on which it depends. Scientific Authorities can identify and evaluate these impacts by considering the best currently available information about the harvest practice used and harvest intensity (e.g., proportion affected of the individual plant, harvested populations, and the national population overall). Although population decline may be caused by impacts unrelated to wild harvest (which may have been identified in existing conservation status assessments in Step 4), population trends can also be a useful indicator of detrimental impact of wild harvest.

In some cases, existing management measures may mitigate (reduce the severity of) harvest impacts. Therefore, this Step considers actual impact rather than potential impact. Management measures are considered in Step 8.

The greater the severity of wild harvest impact on the species concerned, the greater are the requirements of information quality, management rigor, and precaution that Scientific Authorities should apply to the NDF.

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Key Questions and Decision Path for Step 6: Evaluate Impacts of Wild Harvest

Guidance for Step 6

Key Question 6.1. Considering the impacts of wild harvest on species survival, is the severity of harvest impact on individual plants, target populations, the national population, and on other species “Low”, “Medium”, “High”, or “Unknown”?

Guidance notes:

Factors that affect the impact of wild harvest on species survival are elaborated below in the table Factors to Consider: Impacts of Wild Harvest.

Recommended information quality: For species identified in Step 4 as “Medium”, “High” or “Unknown” conservation concern, or identified in Step 5 as “Medium”, “High”, or “Unknown” risk, the effort to locate available higher-quality information is recommended to fill any remaining information gaps for Step 6. For species lacking relevant conservation status

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Guidance for Step 6 assessments in Step 4, Scientific Authorities will need to gather any available information on harvest impacts for Step 6. For species with conservation status identified in Step 4 as “low concern” and “intrinsic biological risk” identified as “Low” in Step 5, it is likely sufficient for Scientific Authorities to use routine verification sources to gather any additional information needed about actual harvest impacts to complete Step 6.

Use the Worksheet for Step 6 to record available information corresponding to each of the harvest impact factors and the severity of impact indicated (see table of Factors to Consider: Impacts of Wild Harvest, below).

In some cases, existing management measures may mitigate (reduce the severity of) harvest impacts. This information should be noted under the relevant impact factor. This information will be considered in Step 8.

To support the evaluation of appropriate rigour of existing management measures (Step 8), summary lists of “Low”, “Medium”, “High”, and “Unknown” harvest impact factors will be transferred to the Worksheet for Step 8, Information Evaluation Matrix, Part 1.


Key Question 6.2. Considering the severity of harvest impact indicated for the selected factors, is the indicated overall severity of harvest impact on species survival “Low”, “Medium”, “High”, or “Unknown”?

Guidance notes:

If there is a majority of factors associated with one level of harvest impact severity in the responses to Key Question 6.1, record that severity of impact in Worksheet and Draft Report (Step 6).

If there is not a majority of factors associated with one impact severity level, the precautionary response is to record the highest impact severity level indicated by available information harvest impact factors (e.g. “Precautionary Medium” or “Precautionary High”).

This response affects the quality of information recommended for Steps 7 and 8, the overall management rigour required to mitigate (reduce the severity of) the harvest impacts identified (Step 8), and the degree of precaution that should be applied to making the NDF (Step 9).

Go to Step 7.

Endpoint of Step 6: Based on the best available information of recommended quality, Scientific Authorities determine the severity of impact of wild harvest on individual plants, on the harvested populations, the national population, and on other species. An overall ranking of harvest impact is used to guide Scientific Authorities to expect greater management rigour for higher levels of severity of harvest impact (Step 8), and to use greater precaution in making NDFs for those species with overall higher or unknown severity of harvest impact (Step 9)

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Useful Sources and Examples of Recommended Information Quality All Species / Specimens

Requiring a Detailed NDF Species with Medium, High and Unknown Severity of

Conservation Concern or Risk Identified in Steps 4-5

Species with High and Unknown Severity of

Conservation Concern or Risk Identified in Steps 4-5:

Routine verifications: • Permit application (number

or volume of specimens included in relation to other permits for the same species in the current year)

• Conservation status assessments (Step 4) – population trends and harvest impacts

• Scientific publications / reports describing harvesting practices, population trends

Existing qualitative information:• Harvest method (e.g.,

written or verbal instructions for harvesters, Good Practice guidelines, Standard Operating Procedures)

• Management plans • Vegetation surveys and

inventories (e.g. surveys conducted at harvest locations and at sites protected from harvest)

• Expert, harvester, local community, resource manager reports of actual harvest practices used

• Qualitative indices (e.g., harvesters’ perceptions of change in resource availability and quality)

Existing quantitative information: • Records of harvest yields

(e.g., volume/area/year) and frequencies

• Commercial census • Quantitative indices (e.g.,

roots per pound harvested as an indicator of population size and age-class distribution)

• Monitoring data, sampled and modelled population parameters (e.g., changes in abundance, distribution, age or size-class structure, regeneration)

Factors to Consider: Impacts of Wild Harvest The factors and indicators defined in this table use information about the harvest practices, and population trends in a simple ranking of impact severity: low, medium, high, and unknown. Scientific Authorities can identify and evaluate detrimental impacts of wild harvest on the individuals, target populations, and species concerned by using this table of factors in combination with the Worksheet for Step 6.

For most species, information will be available for Factor 1 but may be more difficult to locate for Factors 2-4. Record available information and unknown factors in the Worksheet for Step 6: this record is needed for Step 8 (Evaluate Appropriate Rigour of Existing Management Measures) in preparation for Step 9 (NDF decision and advice to the CITES Management Authority).

Factor Harvest impact severity

Indicator

Low • Non-lethal harvest (plant part harvested and practice used*) • Small proportion of the yield (e.g. leaves, seeds, fruit) per

plant is harvested and is unlikely to reduce reproductive success

• Harvest frequency is low relative to the rate of regeneration of the part harvested (e.g., once per season)

1. Impact of harvest on individual plants

Medium • Harvest (plant part harvested and practice used*) sometimes lethal

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Harvest Indicator Factor impact

severity • Small proportion of yield of sap, resin, bark, roots per plant is

harvested OR large proportion of yield of leaves, seeds, fruit per plant is harvested, and is likely to reduce reproductive success

• Harvest frequency is low relative to the rate of regeneration of the part harvested (e.g., once per season)

High • Harvest (plant part harvested and practice used*) is lethal • Large proportion (whole plants, bulbs, bark, roots, apical

meristems of monocarpic species) per plant is harvested • Harvest frequency is high relative to the rate of regeneration

of the part harvested (e.g., numerous times per season) Unknown • Information about this factor is unavailable Explanation:

This factor considers the characteristics of wild harvest that affect the survival and reproductive capacity of individual plants.

*Note that the part of a plant harvested is not always just the part used: e.g., it is possible that the common harvest practice may be lethal for individual plants whereas the targeted plant parts could be harvested in a non-lethal manner (e.g., cutting down a tree to harvest the fruit or leaves).

Low • Harvest spread over a broad range of age/size-classes • Small proportion of individual plants in the population is

affected by harvest (quantity harvested is small in comparison with quantity available for harvest)

Medium • Moderately selective harvest of age/size class • Moderate proportion of individual plants in the population is

affected by harvest (quantity harvested is moderate in comparison with quantity available for harvest)

High • Highly selective harvest of one age/size- class (except if age-class selected is no longer reproducing)

• Large proportion of individual plants in the population is harvested (quantity harvested is large in comparison with quantity available for harvest)

Unknown • Information about this factor is unavailable

2. Impact of harvest on target populations

Explanation:

This factor considers the characteristics of wild harvest that affect the long-term viability of breeding populations, such as recruitment (the addition of individuals to a breeding population through reproduction and/or dispersal from other populations). For example, if the target population is very small, collecting most of the seeds may have a large impact on population viability and species survival. The actual off-take should be considered, which may include a large proportion of wasted material that is not accounted for in documentation of material in trade.

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Factor Harvest impact severity

Indicator

Low • A small proportion of national population affected by wild harvest

• Harvest infrequent with respect to the rate of replacement of harvested individuals

• Population numbers and distribution stable or increasing Medium • Harvest occurs regularly but low-to-moderate proportion of

the national population affected • Population numbers and distribution stable

High • High proportion of national population accessible and targeted for harvest

• Long term, continuous harvest • Population numbers and distribution declining due to harvest


3. Impact of harvest on national population of targeted species

Explanation:

This factor considers the characteristics of wild harvest that affect scope of harvest impact, and the long-term viability of (primarily) the national population of the species concerned.

Note: information about population trend (increasing, stable, or decreasing) may be available from existing conservation status assessments (Step 4).

Low • Target species easy to identify, unlikely to be confused with other species

• Harvest practices have a minimal (or even positive) effect on non-target species and the environment (e.g., animals that eat fruit, seeds; removal of an alien/invasive species)

Medium • Target species occasionally confused with other species • Harvest practices occasionally disruptive to non-target

species or environment • Harvest has a moderate effect on resources available for

other species High • Target species is easily confused with other species;

indiscriminate harvest of the target species in place of another look-alike species, or of another look-alike species in place of the target species

• Harvest practices have a substantially negative effect on non-target species or the environment


4. Harvest impact on other species

Explanation: Article IV paragraph 3 of the Convention text states that “the export of specimens of any such species should be limited in order to maintain that species throughout its range and at a level consistent with its role in the ecosystems in which it occurs”.

This factor considers the characteristics of wild harvest that may impact other species either accidentally (as in the case of harvest of look-alike species) or species that depend on the species concerned (e.g., for food or micro-habitat, as in the case of some epiphytes). Harvest damage to the target species’ ecosystem or to other species on which it depends can reduce the viability of the target population.

40

STEP 7 EVALUATE IMPACTS OF TRADE


The impacts of trade can be detrimental to survival of the species concerned. Trade is the potential threat most relevant to CITES. Scientific Authorities can identify and evaluate these impacts by considering the available information about the scale and trend of legal and illegal trade. Although the impact of all harvest is considered (in step 6) whether for domestic or international trade, it is useful to consider the impact of international trade in relation to that of any domestic trade (including any illegal trade). The greater the severity of trade impact on the species concerned, the greater are the requirements of information quality, management rigor, and precaution that Scientific Authorities should apply to making an NDF.

In some cases, existing management measures may mitigate (reduce the severity of) trade impacts. Therefore, this Step considers actual impact rather than potential impact. Management measures are considered in Step 8.

41

Key Questions and Decision Path for Step 7: Evaluate Impacts of Trade

Guidance for Step 7

Key Question 7.1. Considering the impacts of trade on species survival, is the severity of legal and illegal trade impact on national populations of the species concerned “Low”, “Medium”, “High”, or “Unknown”?

Guidance notes:

Factors that affect the impact of trade on species survival are elaborated below in the table Factors to Consider: Impacts of Trade.

Recommended information quality: For species identified in Step 4 as “Medium”, “High” or “Unknown” conservation concern, and/or identified in Step 5 as “Medium”, “High”, or

42

Guidance for Step 7 “Unknown” risk, and/or identified in Step 6 as “Medium, “High”, or “Unknown” harvest impact, the effort to locate available higher-quality information is recommended to fill any remaining information gaps for Step 7. For species lacking relevant conservation status assessments in Step 4, Scientific Authorities will need to gather any available information about trade impacts for Step 7. For species with conservation status identified in Step 4 as “Low concern”, “intrinsic biological risk” identified as “Low” in Step 5, and harvest impact identified as “Low” in Step 6, it is likely sufficient for Scientific Authorities to use routine verification sources to gather any additional information needed about actual trade impacts to complete Step 7.

Use the Worksheet for Step 7 to record available information corresponding to each of these factors and the severity of impact indicated.

In some cases, existing management measures may mitigate (reduce the severity of) trade impacts. This information should be noted under the relevant impact factor. This information will be considered in Step 8.

To support the evaluation of appropriate rigour of existing management measures (Step 8), summary lists of “Low”, “Medium”, “High”, and “Unknown” trade impact factors will be transferred to the Worksheet for Step 8, Information Evaluation Matrix, Part 1.


Key Question 7.2. Considering the severity of trade impact indicated for the selected factors, is the indicated overall severity of trade impact on species survival “Low”, “Medium”, “High”, or “Unknown”?

Guidance notes:

If there is a majority of factors associated with one trade impact severity level in the responses to Key Question 7.1, record that level of impact severity in Worksheet and Draft Report (Step 7).

If there is not a majority of factors associated with one impact severity level, the precautionary response is to record the highest impact severity level indicated by available information harvest impact factors (e.g. “Precautionary Medium” or “Precautionary High”).

This response affects the quality of information recommended for Step 8, the overall management rigour required to mitigate (reduce the severity of) the trade impacts identified (Step 8), and the degree of precaution that should be applied to making the NDF (Step 9).

Go to Step 8.

Endpoint of Step 7: Based on the best available information quality, Scientific Authorities determine the severity of impact of legal and illegal trade on the species concerned. An overall ranking of trade impact is used to guide Scientific Authorities to expect greater management rigour for higher severity of trade impact (Step 8), and to use greater precaution in making NDFs for those species with overall higher or unknown severity of trade impact (Step 9)

43

Useful Sources and Examples of Recommended Information QualityAll Species / Specimens


and Unknown Severity of Conservation Concern, Risk, or Impact Identified in Steps 4-6

Species with High and Unknown Severity of

Conservation Concern, Risk, or Impact Identified in Steps 4-6

Routine verifications: • Export permit application

(proposed volume or number of specimens)

• Export trade history • National trade data:

records of current and past years’ trade levels from the CITES trade database (http://www.cites.org/eng/resources/trade.shtml)

• Internet searches for both common and scientific names can give an indication of demand.

Existing qualitative information: • Additional information from

the CITES trade database (http://www.cites.org/eng/resources/trade.shtml also see guide to using the trade database http://www.unep-wcmc-apps.org/citestrade/docs/CITESTradeDatabaseGuide_v7.pdf ) o Market reports o Enforcement reports

(including seizure data) o Reports of exports and

imports from other Parties

• Field and market surveys • Information from traders,

harvesters, wildlife managers

Existing quantitative information: • Quantitative information

on numbers of specimens exported (CITES trade database)

• Trends in volume of national exports

• Trends in volume of domestic trade (if available)

• USF&WS LEMIS and EU-Twix databases (for illegal trade)

Factors to Consider: Impacts of Trade The factors and indicators defined in this table use information about the characteristics of trade in the species concerned, and trends in legal and illegal trade to rank trade impact severity: Low, Medium, High, and Unknown. Scientific Authorities can identify and evaluate detrimental impacts of trade to the species concerned by using this table of factors in combination with the Worksheet for Step 7

For most species, information will be available for Factor 1 but may be more difficult to locate for Factor 2. Record available information and unknown factors in the Worksheet for Step 7: this record is needed for Step 8 (Evaluate Appropriate Rigour of Existing Management Measures) in preparation for Step 9 (NDF decision and advice to the CITES Management Authority).

Factor Trade impact severity

Indicator

Low • Number or volume of specimens in trade is small in relation to abundance of the species (information from Steps 4 and 5)

• Trade volume / market demand decreasing over time • No shortage of material in trade observed

1. Magnitude and trend of legal trade

Medium • Number or volume of specimens in trade neither small nor large in relation to abundance of the species (Steps 4 and 5)

44

http://www.cites.org/eng/resources/trade.shtml




http://www.unep-wcmc-apps.org/citestrade/docs/CITESTradeDatabaseGuide_v7.pdf





Trade impact Indicator Factor severity

• Trade volume / market demand stable or slowly increasing over time

High • Multiple uses in commercial trade (i.e. the species supplies several products to different types of markets)

• Trade volume / market demand high in relation to information about abundance of species and part used (Steps 4 and 5)

• Trade volume / market demand increasing quickly, or decreasing in response to limited resource availability

• Shortages of material in trade Unknown • Information about this factor is unavailable

Explanation:

This factor considers the characteristics of trade magnitude in relation to harvest and trade volume trend (decreasing, stable, or increasing).

Trade might be increasing or decreasing which could indicate changes in supply or demand. Price changes might indicate that a decreasing trade volume is due to declining resource, driving up the price.

Low • Good documentation of domestic and international trade • Trade chain transparent • Little concern about substitution for a look-alike species • Estimated harvest and estimated volume in legal domestic and

reported export trade are approximately equal Medium • Poor documentation of trade (domestic and international)

• Trade chain difficult to follow • Some concern about substitution for a look-alike species • Some concerns about whether estimated harvest and volume

in legal domestic and reported export trade are approximately equal

High • Documented illegal trade • Little documentation of legal domestic and international trade • Trade chain not transparent • Great concern about substitution for a look-alike species • Quantities legally exported are significantly smaller than

quantities reported by importing countries Unknown • Information about this factor is unavailable

2. Magnitude of illegal trade

Explanation:

This factor considers whether the magnitude and trend in legal trade is significant in proportion to the abundance of the species, whether known illegal trade exists, whether illegal trade is significant in proportion to the overall volume of trade, and whether the substitution for a look-alike species in trade has a significant influence on the species of concern’s survival.

45

STEP 8 EVALUATE APPROPRIATE RIGOUR OF EXISTING

MANAGEMENT MEASURES


For most wild-harvested perennial plant species included in CITES Appendix II, non-detrimental trade requires the effective implementation of management measures. The level of management rigour needs to be appropriate to mitigate (reduce the severity of) the specific conservation concerns, intrinsic risks, harvest impacts, and trade impacts identified for the species concerned and populations. In many cases the management required may be simple and informal if the resource is well known to the national experts and there is little risk to the survival of the species.

Steps 4-7 of this Guidance have supported Scientific Authorities to rank the species concerned as “Low”, “Medium”, or “High” for conservation concern, intrinsic biological risk, harvest impact, and trade impact, and to identify the particular factors that contribute to the severity of concern, risk, and impact. Step 8 supports use of available information to evaluate whether the management measures in place have the appropriate level of rigour and are effectively implemented to mitigate (reduce the severity of) the identified conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts.

In some cases, existing management measures may mitigate (reduce the severity of) conservation concerns, harvest impacts, and trade impacts; therefore, it is not possible to consider conservation concern, harvest impact, and trade impact as independent factors in a non-detriment finding process (for example, if existing management measures are appropriate, conservation concerns, harvest impacts, and trade impacts will not be “High”). Management measures in place may have already been identified in Steps 4-7 of this Guidance. Scientific Authorities will need to consider these mitigating effects in evaluating the appropriate rigour of existing management measures in relation to concerns, risks, and impacts in Step 8.

46

Key Questions and Decision Path for Step 8: Evaluate Appropriate Rigour of Existing Management Measures

Guidance for Step 8

Key Question 8.1. Considering the characteristics of management measures in place related to conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts, is their level of rigour “Minimal”, “Moderate”, or “Intense”?

Guidance Notes:

Response to this Key Question has two parts:

Part 1: Using the Information Evaluation Matrix for Step 8, Part 1 in the Worksheet for Step 8, transfer summary information about conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified in Steps 4-7. It is not necessary to duplicate detailed

47

Guidance for Step 8 information, but helpful to highlight the relevant information from the previous steps in this Guidance and its location in the worksheets for Steps 4-7.

Part 2: Referring to the Factor Table for Step 8 in the Guidance document (below), and using the Information Evaluation Matrix for Step 8, Part 2 in the Worksheet for Step 8, record summary information about the existing management measures relevant to the severity of conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified in Steps 4-7.

Record the information sources used in the Worksheet for Step 8, Key Question 8.1.

Level of Management Rigour: Characteristics that indicate the rigour of management measures related to severity of conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts, are elaborated below in the table Factors to Consider: Management Measures.

Recommended information quality: For species identified in Steps 4-7 as “Low” severity of conservation concern, intrinsic biological risk, harvest impact, and trade impact, this Guidance considers it sufficient for Scientific Authorities to use routine verification sources to gather any additional information needed about management measures in place to complete Step 8. For species identified in Steps 4-7 as “Medium”, “High”, or “Unknown” severity of conservation concern, intrinsic biological risk, harvest impact, or trade impact, the Guidance considers the effort to consult available higher-quality information recommended to complete Step 8.

Sources consulted for Steps 4-7 may contain information about management measures. Sources should be noted in the Worksheet for Step 8, Key Question 8.1, and the relevant information about management measures in place should be summarized in the Worksheet for Step 8, Information Evaluation Matrix for Step 8, Part 2.

It may be necessary to refer back to the completed worksheets for Steps 4-7 and the Worksheet for Step 8 to complete responses to Key Question 8.1.

Go to Key Question 8.2

Key Question 8.2. Do existing management measures adequately mitigate (reduce the severity of) the conservation concerns, intrinsic biological risks, harvest impacts and trade impacts identified for the populations and sub-populations of the species concerned affected by the proposed trade?

Guidance notes:

Use the Worksheet for Step 8, Information Evaluation Matrix for Step 8, Part 3 to evaluate whether management measures in place are appropriately rigorous to reduce the severity of concern, risk, and impact, based on the following conditions for appropriate management rigour:

a) Management measures in place address the type and geographic scope of identified concerns, risks, and impacts.

b) Management measures in place have at minimum the appropriate level of rigour required to reduce the severity of identified concerns, risks, and impacts.

c) There is evidence that the existing management measures are effectively implemented to mitigate (reduce the severity of) the identified concerns, risks and impacts.

d) Management measures in place are sufficiently precautionary to address unknown concerns, risks, and impacts.

48

Guidance for Step 8 This Guidance treats “unknown” concern, risk, impact as equal to a “high” level of severity, requiring intense management rigour.

Taking the Guidance into consideration, make an overall judgement of whether rigour of management measures in place are appropriate to the severity of conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified,

Identify and record gaps between management measures required and in place.

Go to Step 9: Decision 9.8

Example: A species may be slow growing and produce few viable seeds (therefore identified as “high severity of intrinsic risk” for those factors in Step 5. If wild collection targets fruits of mature plants, this would be non-lethal, but potentially have a high impact on the targeted populations by selectively targeting a limited resource important for population replacement. The management measures in place would need to consider the minimum number or proportion of fruits that can be harvested without reducing the viability of the harvested population(s), and have a system in place to monitor the intensity and longer-term impacts of harvest.

Endpoint of Step 8: Based on available information, Scientific Authorities identify the level of rigour of management measures in place for the target species and populations, and evaluate whether these are appropriate and effective to mitigate (reduce the severity of) the conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified in Steps 4-7.

Useful Sources and Examples of Recommended Information QualityAll Species / Specimens


and Unknown Severity of Concern, Risk, or Impact

Identified in Steps 4-7

Species with High and Unknown Severity of Concern,

Risk, or Impact Identified in Steps 4-7

Routine verifications: • Export permit application • Conservation status

assessments specifying existing management

• Information on existing quotas (and the basis for setting them), monitoring of harvest and trade levels and impacts, enforcement

• National legislation (conservation, harvest, trade of species concerned)

Existing qualitative information: • Approved local / national /

state / provincial management plan(s)

• Interviews with harvesters, traders, resource managers, enforcement officers, and other stakeholders along the supply chain

• Harvester instructions, including harvest practices, impact mitigation measures, volume and quality controls

Existing quantitative information: • GIS layers of harvesting

areas and land tenure • Quantitative monitoring in

protected and harvest areas

• Quantitative monitoring of domestic and export trade

• Quantitative off-take thresholds (e.g., estimates of maximum sustainable yield, minimum viable -population)

49

Fact

ors t

o Co

nsid

er:

Exis

ting

Man

agem

ent M

easu

res

The

fact

ors a

nd in

dica

tors

def

ined

in th

is ta

ble

rank

man

agem

ent p

roce

dure

s rel

evan

t for

con

serv

atio

n co

ncer

ns, i

ntrin

sic b

iolo

gica

l risk

fact

ors,

har

vest

im

pact

s, a

nd tr

ade

impa

cts a

ccor

ding

to ri

gour

(com

plex

ity, a

ccur

acy,

pre

cisio

n).

Thes

e sh

ould

be

cons

ider

ed a

s exa

mpl

es o

f the

type

s of m

anag

emen

t m

easu

res a

ppro

pria

te fo

r “Lo

w”,

“M

ediu

m”

and

“Hig

h” le

vels

of c

onse

rvat

ion

conc

ern,

intr

insic

bio

logi

cal r

isk, h

arve

st im

pact

, and

trad

e im

pact

. It

is no

t ex

pect

ed o

r nec

essa

ry th

at m

anag

emen

t mea

sure

s in

plac

e w

ill h

ave

all o

f the

cha

ract

erist

ics o

utlin

ed in

this

tabl

e. S

cien

tific

Aut

horit

ies c

an e

valu

ate

the

exist

ing

man

agem

ent p

roce

dure

s for

the

targ

et sp

ecie

s and

pop

ulat

ions

as “

Unc

erta

in”,

“M

inim

al”,

“M

oder

ate”

or “

Inte

nse”

usin

g th

is ta

ble

in c

ombi

natio

n w

ith W

orks

heet

for S

tep

8 Pa

rt 3

, and

then

eva

luat

e w

heth

er th

e ex

istin

g m

anag

emen

t mea

sure

s are

app

ropr

iate

in W

orks

heet

for S

tep

8, P

art 4

.

Leve

l of

exis

ting

man

agem

ent

rigou

r

Man

agem

ent o

f con

serv

atio

n co

ncer

ns

(Ste

p 4)

Man

agem

ent o

f int

rinsi

c bi

olog

ical

risk

s (S

tep

5)

Man

agem

ent o

f wild

har

vest

im

pact

s (S

tep

6)

Man

agem

ent o

f tra

de

impa

cts

(Ste

p 7)

Unc

erta

in

• N

o in

form

atio

n av

aila

ble

abou

t man

agem

ent s

yste

m

or c

ontr

ol m

easu

res r

elat

ing

to c

onse

rvat

ion

conc

erns

fo

r the

targ

et sp

ecie

s or

popu

latio

ns

• N

o in

form

atio

n av

aila

ble

abou

t man

agem

ent s

yste

m

or c

ontr

ol m

easu

res r

elat

ing

to in

trin

sic b

iolo

gica

l risk

s fo

r the

targ

et sp

ecie

s or

popu

latio

ns

• N

o in

form

atio

n av

aila

ble

abou

t m

anag

emen

t sys

tem

or c

ontr

ol

mea

sure

s rel

atin

g to

har

vest

im

pact

s on

the

targ

et sp

ecie

s or

pop

ulat

ions

• N

o in

form

atio

n av

aila

ble

abou

t man

agem

ent

syst

em o

r con

trol

m

easu

res r

elat

ing

to

trad

e im

pact

s (do

mes

tic

or in

tern

atio

nal)

on th

e ta

rget

spec

ies o

r sp

ecim

ens

Min

imal

• Pr

opor

tion

of th

e sp

ecie

s’

natu

ral r

ange

or p

opul

atio

n th

at is

in a

pro

tect

ed a

rea

none

or s

mal

l (<5

%)

• N

o or

few

ex

situ

colle

ctio

ns

(see

ds, w

hole

pla

nts,

oth

er

germ

plas

m)

• In

form

al (u

sual

ly v

erba

l) ha

rves

t gui

delin

es a

nd

cont

rols

desc

ribin

g ac

cept

ed p

ract

ices

•

Good

pra

ctic

es d

efin

ed a

s ge

nera

l gui

delin

es (“

rule

s of

thum

b”)

• M

ultip

le c

onfli

ctin

g us

es

with

cum

ulat

ive

harv

ests

(e

.g.,

seve

ral g

roup

s of

harv

este

rs c

ompe

ting

for

the

sam

e pl

ant p

arts

in th

e

• In

form

al (u

sual

ly v

erba

l) ha

rves

t gui

delin

es a

nd c

ontr

ols

desc

ribin

g ac

cept

ed p

ract

ices

•

Good

pra

ctic

es d

efin

ed a

s ge

nera

l gui

delin

es (“

rule

s of

thum

b”)

• M

ultip

le c

onfli

ctin

g us

es w

ith

cum

ulat

ive

harv

ests

(e.g

., se

vera

l gro

ups o

f har

vest

ers

com

petin

g fo

r the

sam

e pl

ant

part

s in

the

sam

e ta

rget

po

pula

tion)

• Q

ualit

ativ

e m

onito

ring

of

tren

d of

regu

late

d an

d un

regu

late

d tr

ade

(incr

easin

g, st

able

, or

decr

easin

g)

50

Leve

l of

exis

ting

man

agem

ent

rigou

r

Man

agem

ent o

f con

serv

atio

n co

ncer

ns

(Ste

p 4)

Man

agem

ent o

f int

rinsi

c bi

olog

ical

risk

s (S

tep

5)

Man

agem

ent o

f wild

har

vest

im

pact

s (S

tep

6)

Man

agem

ent o

f tra

de

impa

cts

(Ste

p 7)

sam

e ta

rget

pop

ulat

ion)

•

Loca

l con

trol

ove

r acc

ess t

o an

d us

e of

har

vest

are

a un

cert

ain

or w

eak

(ope

n ac

cess

)

• Lo

cal c

ontr

ol o

ver a

cces

s to

and

use

of h

arve

st a

rea

unce

rtai

n or

wea

k (o

pen

acce

ss)

Mod

erat

e

• N

atio

nal c

onse

rvat

ion

stat

us a

sses

smen

t exi

sts

• Pr

opor

tion

of sp

ecie

s na

tura

l ran

ge o

r pop

ulat

ion

that

is in

a p

rote

cted

are

a 5-

15%

•

Mon

itorin

g an

d qu

alita

tive

docu

men

tatio

n of

har

vest

in

prot

ecte

d ar

eas

• Do

cum

ente

d ex

situ

co

llect

ions

of s

eed,

oth

er

germ

plas

m o

r who

le p

lant

s fo

r con

serv

atio

n pu

rpos

es

• Lo

cal m

anag

emen

t with

cl

early

def

ined

har

vest

co

ntro

ls (s

ee e

xam

ples

un

der S

tep

6 co

lum

n at

rig

ht)

• M

onito

ring

of h

arve

st

cont

rols

• Lo

cal m

anag

emen

t with

cle

arly

de

fined

har

vest

con

trol

s, e

.g.

o

Max

imum

/ m

inim

um a

ge

or si

ze c

lass

es re

stric

tions

o

Ha

rves

t sea

sons

o

M

axim

um h

arve

st q

uant

ity

(oft

en e

xpre

ssed

as a

pr

opor

tion

of a

vaila

ble

plan

t par

ts /

indi

vidu

als)

o

Ha

rves

t fre

quen

cy

o

Num

ber o

f har

vest

ers (

per

seas

on)

o

Type

and

met

hods

of u

se

of h

arve

st e

quip

men

t •

Mon

itorin

g of

har

vest

con

trol

s

• So

me

poin

ts in

cha

in o

f cu

stod

y kn

own

and

mon

itore

d •

Qua

litat

ive

indi

cato

rs o

f ch

ange

s in

supp

ly a

nd

dem

and

(bot

h do

mes

tic

and

inte

rnat

iona

l) •

Qua

litat

ive

indi

cato

rs o

f sc

ale

and

tren

d of

trad

e (d

omes

tic a

nd

inte

rnat

iona

l) •

Qua

litat

ive

indi

ctor

s of

regu

late

d an

d un

regu

late

d tr

ade

• Pr

ecau

tiona

ry (l

imite

d da

ta) e

xpor

t quo

tas

Inte

nse

• N

atio

nal a

nd g

loba

l co

nser

vatio

n st

atus

as

sess

men

t reg

ular

ly

revi

ewed

and

upd

ated

•

Nat

iona

l and

loca

l m

anag

emen

t pla

ns m

itiga

te

(red

uce

the

seve

rity

of)

• N

atio

nal a

nd lo

cal

man

agem

ent p

lans

miti

gate

(r

educ

e th

e se

verit

y of

) the

in

trin

sic b

iolo

gica

l risk

s •

Harv

est g

uide

lines

and

co

ntro

ls es

tabl

ished

bas

ed

on e

stim

ated

qua

ntiti

es o

f

• Ha

rves

t gui

delin

es a

nd c

ontr

ols

esta

blish

ed b

ased

on

estim

ated

qua

ntiti

es o

f re

gula

ted

(man

aged

) ver

sus

unre

gula

ted

(unm

anag

ed

incl

udin

g ill

egal

) har

vest

•

Appr

oved

and

coo

rdin

ated

• Ex

port

quo

ta sy

stem

ba

sed

on b

iolo

gica

lly

deriv

ed lo

cal a

nd

natio

nal d

ata

[a p

roce

ss

equi

vale

nt to

mak

ing

NDF

s]; a

nnua

lly

revi

ewed

; may

spec

ify

51

Leve

l of

exis

ting

man

agem

ent

rigou

r

Man

agem

ent o

f con

serv

atio

n M

anag

emen

t of i

ntrin

sic

Man

agem

ent o

f wild

har

vest

M

anag

emen

t of t

rade

co

ncer

ns

(Ste

p 4)

bi

olog

ical

risk

s (S

tep

5)

impa

cts

(Ste

p 6)

im

pact

s (S

tep

7)

cons

erva

tion

conc

erns

•

Aim

of t

he m

anag

emen

t pl

an is

con

serv

atio

n be

nefit

•

Prop

ortio

n of

spec

ies

natu

ral r

ange

or p

opul

atio

n th

at is

in a

pro

tect

ed a

rea

> 15

%

• Q

uant

itativ

e m

onito

ring

of

harv

est i

n pr

otec

ted

area

s •

Harv

est p

ract

ices

spec

ify

rest

orat

ion

mea

sure

s (e.

g.,

plan

ting

seed

whe

n w

hole

pl

ant i

s rem

oved

) •

Ex si

tu c

olle

ctio

ns w

hich

, in

ter a

lia, t

ake

gene

tic

dive

rsity

into

acc

ount

•

Indi

vidu

als p

rote

cted

in si

tu

to p

rovi

de se

ed st

ock

for

rest

orat

ion

purp

oses

•

Rest

orat

ion,

alle

viat

ion

or

re-in

trod

uctio

n pl

ans e

xist

/ ar

e be

ing

impl

emen

ted

• In

cent

ives

for s

peci

es a

nd

habi

tat c

onse

rvat

ion

prov

ided

by

wild

-har

vest

ing

(e.g

., co

ntro

lled

and

man

aged

wild

har

vest

re

duce

s ille

gal h

arve

st a

nd

trad

e, o

r har

vest

ers

regu

late

d (m

anag

ed) v

ersu

s un

regu

late

d (u

nman

aged

in

clud

ing

illeg

al) h

arve

st

• Ac

cess

to th

e ha

rves

t are

a de

fined

, mon

itore

d an

d en

forc

ed b

y a

reco

gnize

d au

thor

ity (e

.g.:

a lo

cal

com

mun

ity, p

rivat

e la

ndow

ner,

gove

rnm

ent

agen

cy re

spon

sible

for

man

agin

g an

d re

gula

ting

the

harv

est)

.

natio

nal a

nd lo

cal (

site

spec

ific)

ha

rves

t man

agem

ent p

lans

w

ith c

lear

mon

itorin

g re

quire

men

ts, e

.g.:

o

Mai

ntai

ning

har

vest

re

cord

s o

Do

cum

entin

g ha

rves

t pr

actic

e o

Re

sour

ce in

vent

ory

and

yiel

d da

ta

o

Rege

nera

tion

data

•

Man

agem

ent a

ppro

ach

is ad

aptiv

e, e

.g.:

o

Regu

lar r

evie

w o

f ha

rves

t rec

ords

o

Re

gula

r har

vest

impa

ct

mon

itorin

g o

Re

gula

r adj

ustm

ent o

f ha

rves

t ins

truc

tions

•

Harv

est r

estr

ictio

ns (i

nclu

ding

qu

otas

) bas

ed o

n re

sear

ch a

nd

mon

itorin

g re

sults

, e.g

.: o

Es

timat

ed m

inim

um

viab

le p

opul

atio

n o

M

axim

um su

stai

nabl

e ha

rves

t qua

ntity

o

Pr

opor

tion

of m

atur

e,

repr

oduc

ing

indi

vidu

als

to b

e re

tain

ed

prod

uct t

ypes

•

Chai

n of

cus

tody

wel

l do

cum

ente

d •

Qua

ntita

tive

indi

cato

rs o

f ch

ange

s in

supp

ly a

nd

dem

and

(bot

h do

mes

tic

and

inte

rnat

iona

l) •

Qua

ntita

tive

indi

cato

rs o

f sc

ale

and

tren

d of

trad

e (d

omes

tic a

nd

inte

rnat

iona

l) •

Qua

ntita

tive

indi

cato

rs /

estim

ates

of r

egul

ated

/ un

regu

late

d tr

ade

52

Leve

l of

exis

ting

man

agem

ent

rigou

r

Man

agem

ent o

f con

serv

atio

n co

ncer

ns

(Ste

p 4)

Man

agem

ent o

f int

rinsi

c bi

olog

ical

risk

s (S

tep

5)

Man

agem

ent o

f wild

har

vest

im

pact

s (S

tep

6)

Man

agem

ent o

f tra

de

impa

cts

(Ste

p 7)

cont

ribut

e to

enf

orce

men

t of

con

trol

led

acce

ss to

the

colle

ctio

n ar

ea)

• Re

stor

atio

n, a

llevi

atio

n, o

r re

intr

oduc

tion

plan

s or

mea

sure

s exi

st /

are

bein

g im

plem

ente

d (e

.g.,

plan

ting

seed

whe

n w

hole

pla

nt is

re

mov

ed)

• Pe

riods

of a

llow

ed h

arve

st

dete

rmin

ed u

sing

relia

ble

and

prac

tical

indi

cato

rs (e

.g.,

seas

onal

ity, p

reci

pita

tion

cycl

es, f

low

erin

g an

d fr

uitin

g tim

es) a

nd b

ased

on

info

rmat

ion

abou

t the

re

prod

uctiv

e cy

cles

of t

arge

t sp

ecie

s.

• De

mog

raph

ic a

sses

smen

ts (e

.g.

size

or a

ge-c

lass

dist

ribut

ions

) us

e re

liabl

e an

d pr

actic

al d

ata

(e.g

., pl

ant d

iam

eter

/ DB

H,

heig

ht, f

ruiti

ng a

nd fl

ower

ing,

lo

cal h

arve

ster

s’ k

now

ledg

e).

• Ac

cess

to th

e ha

rves

t are

a de

fined

, mon

itore

d an

d en

forc

ed b

y a

reco

gnize

d au

thor

ity (e

.g.:

a lo

cal

com

mun

ity, p

rivat

e la

ndow

ner,

gove

rnm

ent a

genc

y re

spon

sible

for m

anag

ing

and

regu

latin

g th

e ha

rves

t).

53

STEP 9 NON-DETRIMENT FINDING AND RELATED

ADVICE


Steps 1-8 of this Guidance have been structured to guide Scientific Authorities through a series of Key Questions and Decision Paths to make “a science-based assessment that verifies whether a proposed export is detrimental to the survival of that species”.6

These steps and the related guidance support various outcomes, depending on:

• (Step 1) whether there are concerns about specimen identification

• (Step 2) whether the specimen(s) clearly meet all requirements for artificial propagation according to Res. Conf. 11.11 (Rev. CoP15)

• (Step 3) whether the specimens can be excluded from a detailed NDF by legislation banning export, CITES listing annotations, or compliance with a previously made, science-based NDF

• (Step 8) whether existing management measures adequately mitigate (reduce the severity of) conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified in Steps 4-7.

This Guidance additionally supports Scientific Authorities to gather, evaluate, and document relevant information for which the data quality is “proportionate to the vulnerability of the species concerned”.7

The task remaining for the Scientific Authority is to make a positive or negative NDF or related decision, and to advise the Management Authority whether to allow the proposed export of specimens based on the outcome of the previous steps of this Guidance.

6 Resolution Conf. 16.7, Non-detriment findings [http://www.cites.org/eng/res/16/16-07.php]

7 Ibid.

54

Decisions for Step 9 Non-Detriment Findings and Related Decisions

Guidance for Step 9

Decision 9.1

The outcome of Step 1, Key Question 1.1: The Scientific Authority is not confident that the plant/specimen concerned has been correctly identified, and that the scientific name used is compliant with the appropriate CITES Standard.

Guidance notes:

Without a clear taxonomic identification (i.e. the naming of the species is in accordance with the adopted CITES references) of the specimens involved, the Scientific Authority may be unable to confidently apply species-related information required to determine whether the proposed trade will not be detrimental to the survival of the species.

Information sources: Worksheet for Step 1, Responses and outcomes for Key Question 1.1; Guidance for Key Question 1.1.

55

Guidance for Step 9 The Scientific Authority’s advice supported by this Guidance is Negative NDF

Concerns over the species’ identity were identified by the Scientific Authority and were not easily corrected or resolved by consultation with the Nomenclature specialist of the Plants Committee or the Management Authority. Record the justification for this finding in the Worksheet for Step 9, Outcome 9.1.

If the Scientific Authority decides to make a positive NDF, the basis for the finding should be documented.

Decision 9.2

The outcome of Step 2, Key Question 2.2 is: Export of artificially propagated specimens of this species is not permitted by national or relevant sub-national legislation

Guidance notes:

Advice of the Scientific Authority must comply with national or relevant sub-national legislation.


The Scientific Authority’s advice to the Management Authority, supported by this Guidance, is Negative decision: Advise the MA that NDF cannot be made.

The Scientific Authority may refer to the Management Authority to investigate or to the responsible authority for enforcement.

Record the basis for the decision in the Worksheet for Step 9, Outcome 9.2 or refer to the response in the Worksheet for Step 2, Key Question 2.2.

If the Scientific Authority advises a positive decision (approval of the export permit), the basis for this advice should be documented.

Decision 9.3

The outcome of Step 2, Key Question 2.3 is: Specimens covered by the export permit application clearly meet all requirements for artificial propagation according to Res. Conf. 11.11 (Rev. CoP15)

Guidance notes:

A NDF is not required. Inform Management Authority that an CITES NDF and export permit are not required.


The Scientific Authority’s advice to the Management Authority, supported by this Guidance, is Approve export permit

Record decision in the Worksheet for Step 9, Outcome 9.3.

Decision 9.4

The outcome of Step 2, Key Question 2.4 is: There are concerns about compliance of the specimens with CITES requirements for artificial propagation that cannot be resolved by Scientific Authority by undertaking a detailed NDF

56

Guidance for Step 9 Guidance notes:

The Scientific Authority may be unable to state with confidence that the export of artificially propagated specimens complies with Res. Conf. 11.11 (Rev. CoP15) and will not have a detrimental impact on the wild population.


The Scientific Authority’s decision supported by this Guidance is Negative NDF



If the Scientific Authority decides to make a positive NDF, the basis for the decision should be documented.

Decision 9.5

The outcome of Step 3, Key Question 3.1 is: Export of wild-harvested specimens of this species is not permitted by national or relevant sub-national legislation or regulation

Guidance notes:

Advice of the Scientific Authority must comply with national or relevant sub-regional legislation.


The Scientific Authority’s advice to the Management Authority, supported by this Guidance, is Deny export permit



Decision 9.6

The outcome of Step 3, Key Question 3.2 is: The specimen is not covered by CITES Appendix II

Guidance notes:

A NDF is not required.


The Scientific Authority’s advice to the Management Authority, supported by this Guidance, is CITES Export permit is not required


Decision 9.7

The outcome of Step 3, Key Question 3.3 is: Science used for a previous NDF is still valid and sufficient to evaluate the current export permit application

57

Guidance for Step 9 Guidance notes:

If there is a standing NDF or a national quota that has been established based on an NDF, a new NDF may not be required.


The Scientific Authority’s advice to the Management Authority, supported by this Guidance, is Positive NDF if the proposed export is within the limits defined by the previous NDF

Negative NDF if the proposed export is not within the limits defined by the previous NDF


Decision 9.8

Step 8, Key Question 8.2 is: Do existing management measures adequately mitigate (reduce the severity of) conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified for the populations and sub-populations of the target species affected by the proposed trade?

Guidance notes:

For species requiring a detailed NDF, the Key Questions and Decision Paths in Steps 4-7 have supported evaluation of conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts and their severity, using information with a data quality recommended for the severity of concerns, risks, and impacts. Key Questions and the Decision Path for Step 8 have supported identification of management measures in place that are relevant to the identified concerns, risks, and impacts, and evaluation of whether existing management measures are sufficiently rigorous and effective to mitigate (reduce the severity of) the concerns, risks, and impacts identified.


The Scientific Authority’s decision supported by this Guidance is

Positive NDF if the evaluation of available information indicates “Yes”, management measures in place are sufficiently rigorous and effective, or “Yes” with advice on key management gaps identified in the Worksheet for Step 8, Key Question 8.2, to be defined in the NDF.

Negative NDF if the evaluation of available information indicates “No or Uncertain”, management measures in place are not sufficiently rigorous and effective


Endpoint of Step 9: Scientific Authorities make science-based positive or negative NDFs, or other relevant decisions concerning the proposed export of specimens, guided by the outcome of Steps 1-8 of this Guidance. NDFs are justified by evaluating whether the existing management procedures are appropriate and effective to mitigate (reduce the severity of) the identified conservation concerns, intrinsic biological risks, wild harvest impacts, and trade impacts. If there is insufficient information to enable the Scientific Authority to determine with confidence that the proposed trade will not be detrimental to the survival of the population or species, the precautionary approach supports a negative NDF.

58

Guidance for Step 9 Quality of information gathered and evaluated (and the associated time and effort of the Scientific Authority) to support the NDF and related advice is appropriate to the severity of conservation concerns, intrinsic biological risks, harvest impacts, and trade impacts identified.

In accordance with Res. Conf. 10.3, paragraph j. Scientific Authorities may define any permit adjustments, qualification, precautions, or information gaps that should be communicated to the CITES Management Authority.

59

Annex

Consolidated Worksheets and Draft Report Format

A download of this Annex in MS Word format is available at http://www.bfn.de/0302_wa.html.

60

http://www.bfn.de/0302_wa.html

HOW TO USE THESE WORKSHEETS The Worksheets for Steps 1-9 are intended to assist Scientific Authorities to document the basis for a non-detriment finding and the information sources used. Each Worksheet is designed to provide a record of responses to the Key Questions for each of the nine Steps outlined in the companion document CITES Non-Detriment Findings: Guidance for Perennial Plants. In the absence of a preferred NDF report format, Scientific Authorities may find the consolidated worksheets helpful as a draft report format for the NDF and related advice to the CITES Management Authority.

61

NDF INFORMATION PAGE Species name: (Genus and species, sub-species, or botanical variety as appropriate) Trade name(s) or synonyms found on permit application:

Permit application reference number: Completion date of NDF: Contact / Author(s) of NDF:

62

INFO

RMAT

ION

SO

URC

ES C

ON

SULT

ED

This

tabl

e ca

n be

use

d to

kee

p a

deta

iled

reco

rd o

f inf

orm

atio

n so

urce

s con

sulte

d to

mak

e th

e N

DF.

This

reco

rd w

ill b

e he

lpfu

l in

com

pilin

g an

d ju

stify

ing

the

NDF

(Ste

ps 1

-9).

Le

vel o

f con

fiden

ce in

info

rmat

ion

sour

ce

• Hi

gh:

up-t

o-da

te, d

irect

ly re

leva

nt to

the

spec

ies c

once

rned

, pub

lishe

d an

d pe

er-r

evie

wed

; ref

eren

ce re

cogn

ized

by C

ITES

•

Med

ium

: so

mew

hat d

ated

, ind

irect

ly re

leva

nt to

the

spec

ies c

once

rned

, unp

ublis

hed

or n

ot p

eer-

revi

ewed

•

Low

: ou

t-of

-dat

e, le

ss re

leva

nt to

the

spec

ies c

once

rned

Cita

tion

used

in

Wor

kshe

ets f

or S

teps

1-9

So

urce

(Ful

l ref

eren

ce)

Rele

vant

Ste

ps

Leve

l of c

onfid

ence

in

sour

ce

[Num

ber,

auth

or &

dat

e, o

r al

tern

ativ

e pr

efer

red

form

at]

[See

Use

ful S

ourc

es a

nd E

xam

ples

of R

ecom

men

ded

Info

rmat

ion

Qua

lity

prop

osed

in G

uida

nce

for S

teps

1-9

] [S

teps

to w

hich

this

sour

ce co

ntrib

uted

in

form

atio

n]

[Hig

h, m

ediu

m, l

ow]

63

WO

RKSH

EET

FOR

STEP

1. R

EVIE

W S

PECI

MEN

IDEN

TIFI

CATI

ON

Key

ques

tions

for S

tep

1 Re

spon

ses a

nd o

utco

mes

In

form

atio

n so

urce

s use

d [R

ecor

d nu

mbe

r or c

itatio

n fr

om

Info

rmat

ion

Sour

ces C

onsu

lted]

1.1

Is th

e Sc

ient

ific

Auth

ority

co

nfid

ent t

hat t

he p

lant

/spe

cim

en

conc

erne

d ha

s bee

n co

rrec

tly

iden

tifie

d, a

nd, i

s the

scie

ntifi

c na

me

used

com

plia

nt w

ith th

e ap

prop

riate

CIT

ES S

tand

ard?

Refe

r to

Guid

ance

for S

tep

1

Yes

•

Cond

ition

s a a

nd b

are

met

OR

the

Scie

ntifi

c Aut

horit

y ha

s co

rrec

ted

a sim

ple

erro

r or o

ut-d

ated

nam

e an

d ta

xono

mic

conc

erns

hav

e be

en re

solv

ed

• De

scrib

e co

ncer

ns o

r err

or(s

) res

olve

d be

low

Go

to S

tep

2

N

o

• Co

nditi

ons a

and

b a

re n

ot m

et

• Co

ncer

ns ca

nnot

be

reso

lved

by

the

Scie

ntifi

c Au

thor

ity o

r re

ferr

al to

the

Nom

encl

atur

e Sp

ecia

list o

f the

CIT

ES P

lant

s Co

mm

ittee

Co

ncer

ns re

mai

n ov

er th

e sp

ecie

s or c

lear

iden

tifica

tion

of

spec

imen

s G

o to

Ste

p 9:

Dec

ision

9.1

Co

ncer

ns a

bout

cle

ar id

entif

icat

ion

(incl

udin

g co

ncer

ns to

be

refe

rred

to th

e M

anag

emen

t Aut

horit

y or

to th

e re

spon

sible

aut

horit

y fo

r enf

orce

men

t):

Endp

oint

of S

tep

1: S

cien

tific

Aut

horit

ies i

dent

ify c

once

rns a

bout

taxo

nom

ic c

larit

y an

d st

abili

ty th

at m

ay su

ppor

t a n

egat

ive

NDF

if sp

ecie

s-ba

sed

info

rmat

ion

cann

ot b

e co

nfid

ently

app

lied

to d

eter

min

e w

heth

er th

e pr

opos

ed tr

ade

will

not

be

detr

imen

tal t

o th

e su

rviv

al o

f the

spec

ies.

64

WO

RKSH

EET

FOR

STEP

2. R

EVIE

W C

OM

PLIA

NCE

WIT

H AR

T. P

ROP.

REQ

UIR

EMEN

TS

Key

ques

tions

for S

tep

2

Resp

onse

s and

out

com

es

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber

or

cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

2.1

Is th

e pe

rmit

appl

icat

ion

for

artif

icia

lly p

ropa

gate

d sp

ecim

ens?

Refe

r to

Guid

ance

for S

tep

2

Yes

Go

to K

ey Q

uest

ion

2.2

N

o • De

scrib

e re

ason

s for

trea

ting

spec

imen

s as w

ild-h

arve

sted

, if

not d

ecla

red

as w

ild-h

arve

sted

Go

to S

tep

3

• Ex

port

per

mit

appl

icat

ion

2.2

Is th

e ex

port

of a

rtifi

cial

ly

prop

agat

ed sp

ecim

ens o

f thi

s sp

ecie

s per

mitt

ed b

y na

tiona

l or

rele

vant

sub-

natio

nal l

egisl

atio

n?

Refe

r to

Guid

ance

for S

tep

2

Yes

Go

to K

ey Q

uest

ion

2.3

N

o • De

scrib

e re

leva

nt le

gisla

tion

belo

w

G

o to

Ste

p 9:

Dec

ision

9.2

Re

leva

nt le

gisl

atio

n (in

clud

ing

conc

erns

refe

rred

to th

e N

omen

clat

ure

Spec

ialis

t of t

he C

ITES

Pla

nts C

omm

ittee

):

2.3

Is sp

ecim

ens c

over

ed b

y th

e ex

port

per

mit

appl

icat

ion

clea

rly

mee

t all

requ

irem

ents

for

artif

icia

l pro

paga

tion

acco

rdin

g to

Re

s. C

onf.

11.1

1 (R

ev. C

oP15

)?

Refe

r to

Guid

ance

for S

tep

2

Yes

•

Requ

irem

ents

a a

nd b

are

met

•

Desc

ribe

requ

irem

ents

met

bel

ow

G

o to

Ste

p 9:

Dec

ision

9.3

No •

Desc

ribe

unm

et re

quire

men

ts in

this

colu

mn

G

o to

Key

Que

stio

n 2.

4

65

Key

ques

tions

for S

tep

2

Resp

onse

s and

out

com

es

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber

or

cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

Requ

irem

ents

met

for a

rtifi

cial

pro

paga

tion:

U

nmet

requ

irem

ents

for a

rtifi

cial

pro

paga

tion:

2.4

Are

ther

e co

ncer

ns a

bout

co

mpl

ianc

e of

the

spec

imen

s w

ith C

ITES

requ

irem

ents

for

artif

icia

l pro

paga

tion

that

can

not

be re

solv

ed b

y Sc

ient

ific

Auth

ority

by

unde

rtak

ing

a de

taile

d N

DF?

Refe

r to

Guid

ance

for S

tep

2

Yes

•

Desc

ribe

conc

erns

bel

ow

G

o to

Ste

p 9:

Dec

ision

9.4

No •

Desc

ribe

conc

erns

to b

e ad

dres

sed

in a

det

aile

d ND

F be

low

Go

to S

tep

3 Co

ncer

ns a

bout

com

plia

nce

of sp

ecim

ens w

ith C

ITES

requ

irem

ents

fo

r art

ifici

al p

ropa

gatio

n (if

not

alre

ady

incl

uded

abo

ve fo

r Key

Q

uest

ion

2.3,

and

incl

udin

g co

ncer

ns to

be

refe

rred

to th

e M

anag

emen

t Aut

horit

y or

to th

e re

spon

sible

aut

horit

y fo

r en

forc

emen

t):

Endp

oint

of S

tep

2: S

cien

tific

Aut

horit

ies m

ake

an in

itial

dec

ision

abo

ut w

heth

er th

e sp

ecim

ens c

over

ed b

y th

e ex

port

per

mit

appl

icat

ion

mee

t the

Co

nven

tion’

s req

uire

men

ts fo

r art

ifici

al p

ropa

gatio

n, e

nabl

ing

issue

of a

n ex

port

per

mit,

whe

ther

a d

etai

led

NDF

is re

quire

d to

inve

stig

ate

conc

erns

abo

ut

non-

com

plia

nce

and

detr

imen

tal e

ffect

s on

wild

pop

ulat

ions

, or w

heth

er c

once

rns a

bout

non

-com

plia

nce

requ

ire a

neg

ativ

e N

DF a

nd re

ferr

al to

the

Man

agem

ent A

utho

rity

or th

e re

spon

sible

aut

horit

y fo

r enf

orce

men

t.

66

WO

RKSH

EET

FOR

STEP

3. R

EVIE

W R

ELEV

ANT

EXCL

USI

ON

S AN

D PR

EVIO

USL

Y-M

ADE

NDF

S

Key

ques

tions

for S

tep

3 Re

spon

ses a

nd o

utco

mes

In

form

atio

n so

urce

s use

d [R

ecor

d nu

mbe

r or c

itatio

n fr

om

Info

rmat

ion

Sour

ces C

onsu

lted]

3.

1. I

s the

exp

ort o

f wild

-har

vest

ed

spec

imen

s of t

his s

peci

es p

erm

itted

by

nat

iona

l or r

elev

ant s

ub-n

atio

nal

legi

slatio

n or

regu

latio

n?

Refe

r to

Guid

ance

for S

tep

3

Yes

•

Desc

ribe

legi

slatio

n or

regu

latio

n an

d its

rele

vanc

e be

low

Go

to K

ey Q

uest

ion

3.2

N

o • De

scrib

e re

leva

nt le

gisla

tion

or re

gula

tion

belo

w

G

o to

Ste

p 9:

Dec

ision

9.5

Re

leva

nt n

atio

nal o

r rel

evan

t sub

-nat

iona

l leg

isla

tion

or re

gula

tion

(incl

udin

g co

ncer

ns to

be

refe

rred

to th

e M

anag

emen

t Aut

horit

y or

to

the

resp

onsib

le a

utho

rity

for e

nfor

cem

ent)

:

3.2.

Is th

e sp

ecim

en c

over

ed b

y CI

TES

Appe

ndix

II?

Refe

r to

Guid

ance

for S

tep

3

Yes

Go

Key

Que

stio

n 3.

3

No •

Desc

ribe

the

reas

on fo

r exc

lusio

n of

the

spec

imen

from

CIT

ES

Appe

ndix

II (e

.g. t

he re

leva

nt #

# an

nota

tion)

in th

is co

lum

n

Go

to S

tep

9: D

ecisi

on 9

.6

Reas

on fo

r exc

lusi

on o

f the

spec

imen

from

CIT

ES A

ppen

dix

II (a

nd

info

rmat

ion

for t

he M

anag

emen

t Aut

horit

y th

at a

n N

DF a

nd C

ITES

ex

port

per

mit

are

not r

equi

red)

67

Key

ques

tions

for S

tep

3 Re

spon

ses a

nd o

utco

mes

In

form

atio

n so

urce

s use

d [R

ecor

d nu

mbe

r or c

itatio

n fr

om

Info

rmat

ion

Sour

ces C

onsu

lted]

3.

3. H

as th

e Sc

ient

ific

Auth

ority

pr

evio

usly

mad

e a

scie

nce-

base

d N

DF

for t

his s

peci

es th

at is

still

val

id a

nd

suffi

cien

t to

eval

uate

the

curr

ent

expo

rt p

erm

it ap

plic

atio

n?

Refe

r to

Guid

ance

for S

tep

3

Yes

•

Desc

ribe

prev

ious

ly-m

ade

NDFs

bel

ow

G

o to

Ste

p 9:

Dec

ision

9.7

No •

Reco

rd a

ny re

ason

s tha

t evi

denc

e us

ed fo

r a p

revi

ous N

DF is

no

t val

id a

nd su

ffici

ent t

o ev

alua

te th

e cu

rren

t per

mit

appl

icat

ion

belo

w

G

o to

Ste

p 4

Prev

ious

ly-m

ade

NDF

:

Endp

oint

of S

tep

3: S

cien

tific

Aut

horit

ies m

ay n

ot n

eed

to u

nder

take

a d

etai

led

NDF

if e

xpor

t of t

he sp

ecim

ens i

nvol

ved

is ba

nned

by

natio

nal o

r sub

-na

tiona

l leg

islat

ion,

if th

e sp

ecim

ens a

re n

ot c

over

ed b

y CI

TES

Appe

ndix

II o

r if t

he e

xpor

t per

mit

appl

icat

ion

is co

nsist

ent w

ith p

revi

ous s

cien

ce-b

ased

fin

ding

s.

68

WO

RKSH

EET

FOR

STEP

4. E

VALU

ATE

CON

SERV

ATIO

N C

ON

CERN

Key

ques

tions

for S

tep

4 Re

spon

ses a

nd o

utco

mes

Se

verit

y of

Co

nser

vatio

n Co

ncer

n

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

4.1.

Has

the

cons

erva

tion

stat

us o

f the

spec

ies b

een

asse

ssed

at a

ny g

eogr

aphi

c sc

ope

that

incl

udes

the

natio

nal o

r sub

-nat

iona

l po

pula

tion(

s) w

ithin

the

rang

e St

ate

unde

rtak

ing

the

NDF

?

Refe

r to

Guid

ance

for S

tep

4

No

Alth

ough

not

dire

ctly

rele

vant

to th

e ND

F, it

may

be

usef

ul to

not

e be

low

any

ex

istin

g co

nser

vatio

n st

atus

ass

essm

ents

that

exc

lude

the

natio

nal o

r sub

-nat

iona

l po

pula

tions

.

Go

to S

tep

5

Y

es

• Li

st a

ny re

leva

nt n

atio

nal o

r sub

-nat

iona

l, re

gion

al, o

r glo

bal c

onse

rvat

ion

stat

us a

sses

smen

ts b

elow

.

Go

to K

ey Q

uest

ion

4.2

Ex

istin

g co

nser

vatio

n st

atus

ass

essm

ents

:

Refe

r to

the

Fact

or T

able

for S

tep

4 in

the

Guid

ance

doc

umen

t 4.

2. Co

nsid

erin

g th

e id

entif

ied

thre

ats a

nd o

ther

crit

eria

co

ntrib

utin

g to

exi

stin

g co

nser

vatio

n st

atus

as

sess

men

ts re

leva

nt to

th

e na

tiona

l and

sub-

natio

nal p

opul

atio

n(s)

of

the

spec

ies,

wha

t is t

he

indi

cate

d se

verit

y an

d sc

ope

of c

onse

rvat

ion

conc

ern?

Seve

rity

of co

nser

vatio

n co

ncer

n:

If “L

ow”,

“Med

ium

”, o

r “Hi

gh”:

•

Reco

rd c

onse

rvat

ion

stat

us (c

ateg

ory)

ass

esse

d an

d re

leva

nt c

riter

ia c

ontr

ibut

ing

to th

e as

sess

men

t:

If “U

nkno

wn”

is se

lect

ed fo

r an

exist

ing

asse

ssm

ent:

• Re

cord

the

reas

on(s

) for

this

sele

ctio

n:

L

ow

M

ediu

m

H

igh

Unk

now

n

69

Key

ques

tions

for S

tep

4 Re

spon

ses a

nd o

utco

mes

Se

verit

y of

Co

nser

vatio

n Co

ncer

n

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

Iden

tifie

d Th

reat

s and

Sco

pe o

f con

serv

atio

n co

ncer

n

• Re

cord

iden

tifie

d th

reat

s, a

nd in

dica

te th

e sc

ope

if in

form

atio

n is

avai

labl

e in

exi

stin

g co

nser

vatio

n st

atus

as

sess

men

ts.

•

Reco

rd h

arve

st th

reat

s ide

ntifi

ed in

the

Wor

kshe

et fo

r St

ep 6

: 6.1

•

Reco

rd tr

ade

thre

ats i

dent

ified

in th

e W

orks

heet

for

Step

7: 7

.1

• Re

cord

info

rmat

ion

abou

t man

agem

ent m

easu

res i

n pl

ace

in th

e W

orks

heet

for S

tep

8: 8

.1

[Thr

eat/

scop

e]:

N

one

L

ocal

Nat

iona

l

Glo

bal

U

nkno

wn

• To

supp

ort t

he e

valu

atio

n of

app

ropr

iate

rigo

ur o

f exi

stin

g m

anag

emen

t mea

sure

s (S

tep

8):

In th

e W

orks

heet

for S

tep

8, In

form

atio

n Ev

alua

tion

Mat

rix, P

art 1

, list

or

sum

mar

ize th

e th

reat

s (an

d th

eir s

cope

) ide

ntifi

ed re

late

d to

“Low

”, “M

ediu

m”,

“H

igh”

, and

“Unk

now

n” se

verit

y of

cons

erva

tion

conc

ern

G

o to

Ste

p 5

Endp

oint

of S

tep

4: B

ased

on

exist

ing

cons

erva

tion

stat

us a

sses

smen

ts, t

hrea

ts c

ontr

ibut

ing

to th

e ris

k of

ext

inct

ion

of th

e na

tiona

l pop

ulat

ion

or su

b-po

pula

tion(

s) a

re d

ocum

ente

d, a

nd th

eir c

ontr

ibut

ion

to th

e se

verit

y of

con

serv

atio

n co

ncer

n is

eval

uate

d. T

he c

ontr

ibut

ion

of in

form

atio

n fr

om e

xist

ing

cons

erva

tion

stat

us a

sses

smen

ts to

iden

tific

atio

n of

intr

insic

risk

s (St

ep 5

), w

ild-h

arve

st im

pact

s (St

ep 6

), tr

ade

impa

cts (

Step

7),

and

man

agem

ent

mea

sure

s (St

ep 8

) is d

ocum

ente

d. I

dent

ified

scop

e of

con

serv

atio

n co

ncer

n is

part

icul

arly

rele

vant

to S

tep

8.

70

WO

RKSH

EET

FOR

STEP

5. E

VALU

ATE

POTE

NTI

AL IN

TRIN

SIC

BIO

LOGI

CAL

RISK

S O

F W

ILD

HARV

EST

Resp

onse

s and

out

com

es

Key

ques

tions

for S

tep

5 Se

lect

ed In

trin

sic

Biol

ogic

al C

hara

cter

istic

s Ri

sk se

verit

y

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

• Re

fer t

o th

e in

dica

tors

of r

isk se

verit

y fo

r eac

h ch

arac

teris

tic in

clude

d in

the

Fact

or T

able

for S

tep

5 in

the

Gui

danc

e do

cum

ent

• Re

cord

the

rele

vant

info

rmat

ion

avai

labl

e an

d th

e ris

k se

verit

y in

dica

ted

for e

ach

fact

or b

elow

•

To su

ppor

t the

eva

luat

ion

of a

ppro

pria

te ri

gour

of e

xist

ing

man

agem

ent m

easu

res (

Step

8):

In th

e W

orks

heet

for S

tep

8,

Info

rmat

ion

Eval

uatio

n M

atrix

, Par

t 1, l

ist o

r sum

mar

ize th

e fa

ctor

s id

entif

ied

as “

Low

”, “M

ediu

m”,

“Hig

h”, a

nd “

Unkn

own”

intr

insic

bi

olog

ical

risk

Go

to K

ey Q

uest

ion

5.2

Plan

t par

t har

vest

ed a

nd li

fe fo

rm o

f spe

cies

:

L

ow

M

ediu

m

H

igh

U

nkno

wn

Geog

raph

ic d

istrib

utio

n:

L

ow

M

ediu

m

H

igh

U

nkno

wn

Nat

iona

l pop

ulat

ion

size

and

abun

danc

e:

L

ow

M

ediu

m

H

igh

U

nkno

wn

5.1.

Cons

ider

ing

intr

insic

bio

logi

cal

char

acte

ristic

s tha

t affe

ct th

e po

tent

ial r

isk o

f wild

har

vest

to

spec

ies s

urvi

val,

is th

e se

verit

y of

in

trin

sic b

iolo

gica

l risk

indi

cate

d fo

r eac

h of

thes

e fa

ctor

s “Lo

w”,

“M

ediu

m”,

“Hi

gh”,

or

“Unk

now

n”?

Habi

tat s

peci

ficity

and

vul

nera

bilit

y:

L

ow

M

ediu

m

H

igh

U

nkno

wn

71

Resp

onse

s and

out

com

es

Key

ques

tions

for S

tep

5 Se

lect

ed In

trin

sic

Biol

ogic

al C

hara

cter

istic

s

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

Ri

sk se

verit

y In

form

atio

n So

urce

s Con

sulte

d]

Rege

nera

tion:

L

ow

M

ediu

m

H

igh

U

nkno

wn

Repr

oduc

tion:

L

ow

M

ediu

m

H

igh

U

nkno

wn

Role

of t

he sp

ecie

s in

its e

cosy

stem

Low

Med

ium

Hig

h

Unk

now

n

5.2.

Cons

ider

ing

the

pote

ntia

l se

verit

y of

intr

insic

bio

logi

cal r

isk

indi

cate

d fo

r the

sele

cted

fa

ctor

s, is

the

over

all s

ever

ity o

f ris

k to

spec

ies s

urvi

val f

rom

wild

ha

rves

t “Lo

w”,

“M

ediu

m”,

“H

igh”

, or “

Unk

now

n”?

• Re

cord

the

over

all l

evel

of s

ever

ity o

f int

rinsic

bi

olog

ical

risk

indi

cate

d by

the

maj

ority

of f

acto

rs

in K

ey Q

uest

ion

5.1.

If th

ere

is no

t a m

ajor

ity o

f fa

ctor

s ass

ocia

ted

with

one

risk

seve

rity

leve

l, th

e pr

ecau

tiona

ry re

spon

se is

to re

cord

the

high

est

risk

seve

rity

leve

l ind

icat

ed b

y av

aila

ble

info

rmat

ion

abou

t the

intr

insic

bio

logi

cal r

isk

fact

ors (

e.g.

“Pr

ecau

tiona

ry M

ediu

m”

or

“Pre

caut

iona

ry H

igh”

). •

This

resp

onse

affe

cts t

he q

ualit

y of

info

rmat

ion

reco

mm

ende

d fo

r Ste

ps 6

-8, t

he o

vera

ll m

anag

emen

t rig

our r

equi

red

to m

itiga

te (r

educ

e th

e se

verit

y of

) the

intr

insic

bio

logi

cal r

isks

iden

tifie

d (S

tep

8), a

nd th

e de

gree

of p

reca

utio

n th

at sh

ould

be

appl

ied

to m

akin

g th

e N

DF (S

tep

9).

G

o to

Ste

p 6

L

ow

M

ediu

m

H

igh

U

nkno

wn

P

reca

utio

nary

M

ediu

m

P

reca

utio

nary

Hi

gh

72

Endp

oint

of S

tep

5: R

anki

ng o

f int

rinsic

bio

logi

cal r

isk is

use

d to

gui

de S

cien

tific

Aut

horit

ies t

o se

ek h

ighe

r qua

lity

info

rmat

ion

abou

t har

vest

and

trad

e im

pact

s rel

ated

to h

ighe

r risk

and

unk

now

n in

trin

sic b

iolo

gica

l cha

ract

erist

ics (

Step

s 6 a

nd 7

), to

requ

ire g

reat

er m

anag

emen

t rig

our f

or h

ighe

r sev

erity

of

risk

(Ste

p 8)

, and

to u

se g

reat

er p

reca

utio

n in

mak

ing

NDF

s for

thos

e sp

ecie

s with

ove

rall

high

er in

trin

sic b

iolo

gica

l risk

(Ste

p 9)

.

73

WO

RKSH

EET

FOR

STEP

6. E

VALU

ATE

ACTU

AL IM

PACT

S O

F W

ILD

HARV

EST

Resp

onse

s and

out

com

es

Key

ques

tions

for S

tep

6 Se

lect

ed W

ild H

arve

st Im

pact

Fac

tors

Ha

rves

t Im

pact

se

verit

y

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

• Re

fer t

o th

e in

dica

tors

of h

arve

st im

pact

for e

ach

fact

or in

clud

ed in

th

e Fa

ctor

Tab

le fo

r Ste

p 6

in th

e G

uida

nce

docu

men

t •

Reco

rd th

e re

leva

nt in

form

atio

n av

aila

ble

and

the

impa

ct se

verit

y in

dica

ted

for e

ach

fact

or b

elow

. •

Whe

re m

anag

emen

t mea

sure

s in

plac

e ar

e kn

own

to m

itiga

te (r

educ

e th

e se

verit

y of

) har

vest

impa

cts,

note

thes

e un

der t

he re

leva

nt im

pact

fa

ctor

. •

To su

ppor

t the

eva

luat

ion

of a

ppro

pria

te ri

gour

of e

xist

ing

man

agem

ent m

easu

res (

Step

8):

In th

e W

orks

heet

for S

tep

8,

Info

rmat

ion

Eval

uatio

n M

atrix

, Par

t 1, l

ist o

r sum

mar

ize th

e fa

ctor

s id

entif

ied

as “

Low

”, “M

ediu

m”,

“Hig

h”, a

nd “

Unkn

own”

har

vest

im

pact

seve

rity.

•

In th

e W

orks

heet

for S

tep

8, In

form

atio

n Ev

alua

tion

Mat

rix, P

art 2

, lis

t or s

umm

arize

any

info

rmat

ion

reco

rded

bel

ow co

ncer

ning

m

anag

emen

t mea

sure

s in

plac

e.

G

o to

Key

Que

stio

n 6.

2

Impa

ct o

f har

vest

on

indi

vidu

al p

lant

s [N

ote

any

man

agem

ent m

easu

res t

hat a

re k

now

n to

be

redu

cing

or e

ntire

ly m

itiga

ting

impa

cts]

L

ow

M

ediu

m

H

igh

U

nkno

wn

6.1.

Cons

ider

ing

the

actu

al im

pact

s of

wild

har

vest

on

spec

ies

surv

ival

, is t

he se

verit

y of

ha

rves

t im

pact

on

indi

vidu

al

plan

ts, t

arge

t pop

ulat

ions

, the

na

tiona

l pop

ulat

ion,

and

on

othe

r spe

cies

“Lo

w”,

“M

ediu

m”,

“H

igh”

, or “

Unk

now

n”?

Impa

ct o

f har

vest

on

targ

et p

opul

atio

ns

[Not

e an

y m

anag

emen

t mea

sure

s tha

t are

kno

wn

to

be re

duci

ng o

r ent

irely

miti

gatin

g im

pact

s]

L

ow

M

ediu

m

H

igh

U

nkno

wn

74

Resp

onse

s and

out

com

es

Key

ques

tions

for S

tep

6 Se

lect

ed W

ild H

arve

st Im

pact

Fac

tors

Ha

rves

t Im

pact

se

verit

y

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

Impa

ct o

f har

vest

on

natio

nal p

opul

atio

n of

targ

eted

sp

ecie

s [N

ote

any

man

agem

ent m

easu

res t

hat a

re k

now

n to

be

redu

cing

or e

ntire

ly m

itiga

ting

impa

cts]

L

ow

M

ediu

m

H

igh

U

nkno

wn

Impa

ct o

n ot

her s

peci

es (h

arve

st sp

ecifi

city

) [N

ote

any

man

agem

ent m

easu

res t

hat a

re k

now

n to

be

redu

cing

or e

ntire

ly m

itiga

ting

impa

cts]

L

ow

M

ediu

m

H

igh

U

nkno

wn

6.2.

Cons

ider

ing

the

actu

al se

verit

y of

har

vest

impa

ct in

dica

ted

for

the

sele

cted

fact

ors,

is th

e in

dica

ted

over

all s

ever

ity o

f ha

rves

t im

pact

on

spec

ies

surv

ival

“Lo

w”,

“M

ediu

m”,

“H

igh”

, or “

Unk

now

n”?

• Re

cord

the

over

all s

ever

ity o

f har

vest

impa

ct

indi

cate

d by

the

maj

ority

of f

acto

rs in

Key

Q

uest

ion

6.1.

If t

here

is n

ot a

maj

ority

of f

acto

rs

asso

ciat

ed w

ith o

ne h

arve

st im

pact

seve

rity

leve

l, th

e pr

ecau

tiona

ry re

spon

se is

to re

cord

the

high

est i

mpa

ct se

verit

y le

vel i

ndica

ted

by th

e av

aila

ble

info

rmat

ion

(e.g

. “Pr

ecau

tiona

ry

Med

ium

” or “

Prec

autio

nary

Hig

h”).

• Th

is re

spon

se a

ffect

s the

qua

lity

of in

form

atio

n re

com

men

ded

for S

teps

7 a

nd 8

, the

ove

rall

man

agem

ent r

igou

r req

uire

d to

miti

gate

(red

uce

the

seve

rity

of) t

he h

arve

st im

pact

s ide

ntifi

ed

(Ste

p 8)

, and

the

degr

ee o

f pre

caut

ion

that

sh

ould

be

appl

ied

to m

akin

g th

e ND

F (S

tep

9).

G

o to

Ste

p 7

L

ow

M

ediu

m

H

igh

U

nkno

wn

P

reca

utio

nary

M

ediu

m

P

reca

utio

nary

Hi

gh

75

Endp

oint

of S

tep

6: B

ased

on

the

best

ava

ilabl

e in

form

atio

n of

reco

mm

ende

d qu

ality

, Sci

entif

ic A

utho

ritie

s det

erm

ine

the

seve

rity

of im

pact

of w

ild h

arve

st

on in

divi

dual

pla

nts,

on

the

harv

este

d po

pula

tions

, the

nat

iona

l pop

ulat

ion,

and

on

othe

r spe

cies

. An

ove

rall

rank

ing

of h

arve

st im

pact

is u

sed

to g

uide

Sc

ient

ific

Auth

oriti

es to

exp

ect g

reat

er m

anag

emen

t rig

our f

or h

ighe

r sev

erity

of h

arve

st im

pact

(Ste

p 8)

, and

to u

se g

reat

er p

reca

utio

n in

mak

ing

NDF

s for

th

ose

spec

ies w

ith o

vera

ll hi

gher

or u

nkno

wn

seve

rity

of h

arve

st im

pact

(Ste

p 9)

76

WO

RKSH

EET

FOR

STEP

7. E

VALU

ATE

ACTU

AL IM

PACT

S O

F TR

ADE

Resp

onse

s and

out

com

es

Key

ques

tions

for S

tep

7 Se

lect

ed T

rade

Impa

ct F

acto

rs

Trad

e Im

pact

se

verit

y

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

• Re

fer t

o th

e in

dica

tors

of t

rade

impa

ct fo

r eac

h fa

ctor

inclu

ded

in th

e Fa

ctor

Tab

le fo

r Ste

p 7

in

the

Gui

danc

e do

cum

ent

• Re

cord

the

rele

vant

info

rmat

ion

avai

labl

e an

d th

e im

pact

seve

rity

indi

cate

d fo

r eac

h fa

ctor

be

low

•

Whe

re m

anag

emen

t mea

sure

s in

plac

e ar

e kn

own

to m

itiga

te (r

educ

e th

e se

verit

y of

) tra

de

impa

cts,

note

thes

e un

der t

he re

leva

nt im

pact

fa

ctor

. •

To su

ppor

t the

eva

luat

ion

of a

ppro

pria

te ri

gour

of

exi

stin

g m

anag

emen

t mea

sure

s (St

ep 8

): In

th

e W

orks

heet

for S

tep

8, In

form

atio

n Ev

alua

tion

Mat

rix, P

art 1

, list

or s

umm

arize

the

fact

ors i

dent

ified

as “

Low

”, “M

ediu

m”,

“Hi

gh”,

an

d “U

nkno

wn”

trad

e im

pact

seve

rity.

•

In th

e W

orks

heet

for S

tep

8, In

form

atio

n Ev

alua

tion

Mat

rix, P

art 2

, list

or s

umm

arize

any

in

form

atio

n re

cord

ed b

elow

conc

erni

ng

man

agem

ent m

easu

res i

n pl

ace.

Go to

Key

Que

stio

n 7.

2

7.1.

Cons

ider

ing

the

actu

al im

pact

s of

trad

e on

spec

ies s

urvi

val,

is th

e se

verit

y of

lega

l and

ille

gal

trad

e im

pact

on

natio

nal

popu

latio

ns o

f the

spec

ies

conc

erne

d “L

ow”,

“M

ediu

m”,

“H

igh”

, or “

Unk

now

n”?

Mag

nitu

de a

nd tr

end

of le

gal t

rade

[N

ote

any

man

agem

ent m

easu

res t

hat a

re k

now

n to

be

redu

cing

or e

ntire

ly m

itiga

ting

impa

cts]

L

ow

M

ediu

m

H

igh

U

nkno

wn

77

Resp

onse

s and

out

com

es

Key

ques

tions

for S

tep

7 Se

lect

ed T

rade

Impa

ct F

acto

rs

Trad

e Im

pact

se

verit

y

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

Mag

nitu

de o

f ille

gal t

rade

[N

ote

any

man

agem

ent m

easu

res t

hat a

re k

now

n to

be

redu

cing

or e

ntire

ly m

itiga

ting

impa

cts]

L

ow

M

ediu

m

H

igh

U

nkno

wn

7.2.

Cons

ider

ing

the

actu

al se

verit

y of

trad

e im

pact

indi

cate

d fo

r the

se

lect

ed fa

ctor

s, is

the

indi

cate

d ov

eral

l sev

erity

of t

rade

impa

ct

on sp

ecie

s sur

viva

l “Lo

w”,

“M

ediu

m”,

“Hi

gh”,

or

“Unk

now

n”?

• Re

cord

the

over

all s

ever

ity o

f tra

de im

pact

in

dica

ted

by th

e m

ajor

ity le

vel o

f im

pact

seve

rity

assig

ned

in K

ey Q

uest

ion

7.1.

If th

ere

is no

t a

maj

ority

of i

ndica

tors

ass

ocia

ted

with

one

impa

ct

seve

rity

leve

l, th

e pr

ecau

tiona

ry re

spon

se is

to

reco

rd th

e hi

ghes

t im

pact

seve

rity

indi

cate

d by

av

aila

ble

info

rmat

ion

(e.g

. “Pr

ecau

tiona

ry

Med

ium

” or “

Prec

autio

nary

Hig

h”).

• Th

is re

spon

se a

ffect

s the

qua

lity

of in

form

atio

n re

com

men

ded

for S

tep

8, th

e ov

eral

l m

anag

emen

t rig

our r

equi

red

to m

itiga

te (r

educ

e th

e se

verit

y of

) the

trad

e im

pact

s ide

ntifi

ed (S

tep

8), a

nd th

e de

gree

of p

reca

utio

n th

at sh

ould

be

appl

ied

to m

akin

g th

e ND

F (S

tep

9).

G

o to

Ste

p 8

L

ow

M

ediu

m

H

igh

U

nkno

wn

P

reca

utio

nary

M

ediu

m

P

reca

utio

nary

Hi

gh

Endp

oint

of S

tep

7: R

anki

ng o

f tra

de im

pact

is u

sed

to g

uide

Sci

entif

ic A

utho

ritie

s to

requ

ire g

reat

er m

anag

emen

t rig

our f

or h

ighe

r sev

erity

of i

mpa

cts

(Ste

p 8)

, and

to u

se g

reat

er p

reca

utio

n in

mak

ing

NDF

s for

thos

e sp

ecie

s with

ove

rall

high

er o

r unk

now

n se

verit

y of

trad

e im

pact

(Ste

p 9)

.

78

WO

RKSH

EET

FOR

STEP

8. E

VALU

ATE

APPR

OPR

IATE

RIG

OU

R O

F EX

ISTI

NG

MAN

AGEM

ENT

MEA

SURE

S

Key

Que

stio

ns fo

r Ste

p 8

Resp

onse

s and

out

com

es

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

In

form

atio

n So

urce

s Con

sulte

d]

8.1.

Cons

ider

ing

the

char

acte

ristic

s of

man

agem

ent m

easu

res i

n pl

ace

rela

ted

to

cons

erva

tion

conc

erns

, in

trin

sic b

iolo

gica

l risk

s,

harv

est i

mpa

cts,

and

tr

ade

impa

cts,

is th

e le

vel

of ri

gour

“M

inim

al”,

“M

oder

ate”

, or

“Int

ense

”?

N

o in

form

atio

n so

urce

s for

man

agem

ent m

easu

res w

ere

foun

d.

I

nfor

mat

ion

sour

ces f

or m

anag

emen

t mea

sure

s are

list

ed in

the

colu

mn

to th

e rig

ht.

Usin

g th

e in

form

atio

n ev

alua

tion

mat

rix fo

r Ste

p 8

(see

bel

ow):

Part

1:

Tran

sfer

sum

mar

y in

form

atio

n ab

out c

onse

rvat

ion

conc

erns

, int

rinsic

bi

olog

ical

risk

s, ha

rves

t im

pact

s, an

d tr

ade

impa

cts i

dent

ified

in S

teps

4-7

. It

is no

t ne

cess

ary

to d

uplic

ate

deta

iled

info

rmat

ion,

but

hel

pful

to h

ighl

ight

the

rele

vant

in

form

atio

n fr

om th

e pr

evio

us st

eps i

n th

is G

uida

nce

and

its lo

catio

n in

the

wor

kshe

ets f

or S

teps

4-7

.

Part

2:

Refe

rrin

g to

the

Fact

or T

able

for S

tep

8 in

the

Gui

danc

e do

cum

ent,

reco

rd

sum

mar

y in

form

atio

n ab

out t

he e

xist

ing

man

agem

ent m

easu

res r

elev

ant t

o th

e se

verit

y of

con

serv

atio

n co

ncer

ns, i

ntrin

sic b

iolo

gica

l risk

s, ha

rves

t im

pact

s, an

d tr

ade

impa

cts i

dent

ified

in S

teps

4-7

.

Go

to K

ey Q

uest

ion

8.2

8.2.

Do

exist

ing

man

agem

ent

mea

sure

s ade

quat

ely

miti

gate

(red

uce

the

seve

rity

of) t

he

cons

erva

tion

conc

erns

, in

trin

sic b

iolo

gica

l risk

s,

harv

est i

mpa

cts a

nd tr

ade

impa

cts i

dent

ified

for t

he

popu

latio

ns a

nd su

b-po

pula

tions

of t

he sp

ecie

s co

ncer

ned

affe

cted

by

the

Usin

g th

e in

form

atio

n ev

alua

tion

mat

rix fo

r Ste

p 8

(see

bel

ow):

Part

3:

Taki

ng in

to a

ccou

nt th

e co

nditi

ons f

or a

ppro

pria

te m

anag

emen

t rig

our

defin

ed in

the

Guid

ance

Not

es fo

r Key

Que

stio

n 8.

3, c

ompa

re th

e co

nser

vatio

n co

ncer

ns, i

ntrin

sic b

iolo

gica

l risk

s, ha

rves

t im

pact

s, an

d tr

ade

impa

cts i

dent

ified

in

Part

1 o

f the

Info

rmat

ion

Eval

uatio

n M

atrix

for S

tep

8 w

ith th

e as

soci

ated

rigo

ur o

f m

anag

emen

t mea

sure

s in

plac

e id

entif

ied

in P

art 2

of t

he In

form

atio

n Ev

alua

tion

Mat

rix fo

r Ste

p 8.

Indi

cate

whe

ther

man

agem

ent m

easu

res i

n pl

ace

are

appr

opria

tely

rigo

rous

to

redu

ce th

e se

verit

y of

conc

ern,

risk

, and

impa

ct, b

ased

on

the

cond

ition

s def

ined

for

79

Info

rmat

ion

sour

ces u

sed

[Rec

ord

num

ber o

r cita

tion

from

Ke

y Q

uest

ions

for S

tep

8 Re

spon

ses a

nd o

utco

mes

In

form

atio

n So

urce

s Con

sulte

d]

prop

osed

trad

e?

ap

prop

riate

man

agem

ent r

igou

r in

the

Gui

danc

e fo

r Ste

p 8:

a)

Man

agem

ent m

easu

res

in p

lace

add

ress

the

type

and

geo

grap

hic

scop

e of

id

entif

ied

conc

erns

, ris

ks, a

nd im

pact

s.

b)

Man

agem

ent m

easu

res

in p

lace

hav

e at

min

imum

the

appr

opria

te le

vel o

f rig

our

requ

ired

to re

duce

the

seve

rity

of id

entif

ied

conc

erns

, ris

ks, a

nd im

pact

s.

c)

Ther

e is

evi

denc

e th

at th

e ex

istin

g m

anag

emen

t mea

sure

s ar

e ef

fect

ivel

y im

plem

ente

d to

miti

gate

(red

uce

the

seve

rity

of) t

he id

entif

ied

conc

erns

, ris

ks

and

impa

cts.

d)

Man

agem

ent m

easu

res

in p

lace

are

suf

ficie

ntly

pre

caut

iona

ry to

add

ress

un

know

n co

ncer

ns, r

isks

, and

impa

cts.

Iden

tify

and

reco

rd g

aps b

etw

een

man

agem

ent m

easu

res r

equi

red

and

in p

lace

.

Mak

e an

ove

rall

judg

emen

t tak

ing

the

Gui

danc

e in

to c

onsid

erat

ion.

G

o to

Ste

p 9.

8

Endp

oint

of S

tep

8: B

ased

on

avai

labl

e in

form

atio

n, S

cien

tific

Aut

horit

ies i

dent

ify th

e le

vel o

f rig

our o

f man

agem

ent m

easu

res i

n pl

ace

for t

he ta

rget

sp

ecie

s and

pop

ulat

ions

, and

eva

luat

e w

heth

er th

ese

are

appr

opria

te a

nd e

ffect

ive

to m

itiga

te (r

educ

e th

e se

verit

y of

) the

seve

rity

of c

onse

rvat

ion

conc

erns

, int

rinsic

bio

logi

cal r

isks,

har

vest

impa

cts,

and

trad

e im

pact

s ide

ntifi

ed in

Ste

ps 4

-7.

In

form

atio

n Ev

alua

tion

Mat

rix fo

r Ste

p 8,

Key

Que

stio

n 8.

1 Pa

rt 1

. Se

verit

y of

Con

serv

atio

n Co

ncer

n, In

trin

sic

Risk

, Har

vest

and

Tra

de Im

pact

Pr

evio

us S

teps

in

Guid

ance

Lo

w

Med

ium

Hi

gh

Unk

now

n

Co

nse

rvat

ion

co

nce

rn

(Wo

rksh

eet

for

Ste

p 4

)

(Fro

m K

ey Q

uest

ion

4.2)

Not

thre

aten

ed; t

here

are

no

kno

wn

thre

ats

N

ot th

reat

ened

; thr

eats

[Fro

m K

ey Q

uest

ion

4.2,

list

or

sum

mar

ize co

nser

vatio

n fa

ctor

s ide

ntifi

ed a

s “m

ediu

m”

conc

ern

and

the

scop

e of

[Fro

m K

ey Q

uest

ion

4.2,

list

or

sum

mar

ize co

nser

vatio

n fa

ctor

s ide

ntifi

ed a

s “hi

gh”

conc

ern

and

the

scop

e of

N

o as

sess

men

ts e

xist

(F

rom

Key

Que

stio

n 4.

1)

E

xist

ing

asse

ssm

ents

do

not i

nclu

de th

e re

leva

nt

80

Info

rmat

ion

Eval

uatio

n M

atrix

for S

tep

8, K

ey Q

uest

ion

8.1

Part

1.

Seve

rity

of C

onse

rvat

ion

Conc

ern,

Intr

insi

c Ri

sk, H

arve

st a

nd T

rade

Impa

ct

Prev

ious

Ste

ps in

Gu

idan

ce

Low

M

ediu

m

High

U

nkno

wn

are

know

n bu

t app

ropr

iate

m

anag

emen

t is i

n pl

ace

[List

or s

umm

arize

any

kno

wn

thre

ats t

hat q

ualif

y as

“low

” an

d th

e sc

ope

of id

entif

ied

thre

ats]

iden

tifie

d th

reat

s]

iden

tifie

d th

reat

s]

natio

nal o

r sub

-nat

iona

l po

pula

tions

of t

he sp

ecie

s (F

rom

Key

Que

stio

n 4.

1)

E

xist

ing

asse

ssm

ents

are

da

ta d

efic

ient

, or t

he

seve

rity

of th

reat

is

unsp

ecifi

ed (F

rom

Key

Q

uest

ion

4.2)

Intr

insi

c b

iolo

gic

al

risk

(W

ork

shee

t fo

r S

tep

5)

[Fro

m K

ey Q

uest

ion

5.1,

list

or

sum

mar

ize in

trin

sic b

iolo

gica

l fa

ctor

s ide

ntifi

ed a

s “Lo

w”

risk]

[Fro

m K

ey Q

uest

ion

5.1,

list

or

sum

mar

ize in

trin

sic b

iolo

gica

l fa

ctor

s ide

ntifi

ed a

s “M

ediu

m”

risk]

[Fro

m K

ey Q

uest

ion

5.1,

list

or

sum

mar

ize in

trin

sic b

iolo

gica

l fa

ctor

s ide

ntifi

ed a

s “Hi

gh”

risk]

[Fro

m K

ey Q

uest

ion

5.1,

list

or

sum

mar

ize in

trin

sic b

iolo

gica

l fa

ctor

s ide

ntifi

ed a

s “U

nkno

wn”

risk

]

Har

vest

imp

act

(Wo

rksh

eet

for

Ste

p 6

)

[Fro

m K

ey Q

uest

ion

6.1,

list

or

sum

mar

ize h

arve

st fa

ctor

s id

entif

ied

as “

Low

” har

vest

im

pact

]

[Fro

m K

ey Q

uest

ion

6.1,

list

or

sum

mar

ize h

arve

st fa

ctor

s id

entif

ied

as “

Med

ium

” har

vest

im

pact

]

[Fro

m K

ey Q

uest

ion

6.1,

list

or

sum

mar

ize h

arve

st fa

ctor

s id

entif

ied

as “

High

” har

vest

im

pact

]

[Fro

m K

ey Q

uest

ion

6.1,

list

or

sum

mar

ize h

arve

st fa

ctor

s id

entif

ied

as “

Unkn

own”

ha

rves

t im

pact

]

Tra

de

imp

act

(Wo

rksh

eet

for

Ste

p 7

)

[Fro

m K

ey Q

uest

ion

7.1,

list

or

sum

mar

ize tr

ade

fact

ors

iden

tifie

d as

“lo

w” t

rade

im

pact

]

[Fro

m K

ey Q

uest

ion

7.1,

list

or

sum

mar

ize tr

ade

fact

ors

iden

tifie

d as

“m

ediu

m” t

rade

im

pact

]

[Fro

m K

ey Q

uest

ion

7.1,

list

or

sum

mar

ize tr

ade

fact

ors

iden

tifie

d as

“hi

gh” t

rade

im

pact

]

[Fro

m K

ey Q

uest

ion

7.1,

list

or

sum

mar

ize tr

ade

fact

ors

iden

tifie

d as

“un

know

n” tr

ade

impa

ct]

81

In

form

atio

n Ev

alua

tion

Mat

rix fo

r Ste

p 8,

Key

Que

stio

n 8.

1 Pa

rt 2

. Man

agem

ent M

easu

res i

n Pl

ace

Man

agem

ent

Mea

sure

s M

inim

al o

r Unc

erta

in

Mod

erat

e In

tens

e

Type

and

rigo

ur o

f m

anag

emen

t m

easu

res i

n pl

ace

(Ste

p 8)

[Fro

m so

urce

s ind

icat

ed in

re

spon

se to

Key

Que

stio

n 8.

1,

list o

r sum

mar

ize m

anag

emen

t m

easu

res i

dent

ified

that

co

rres

pond

to “m

inim

al”

or

“unc

erta

in” r

igou

r ind

icat

ed in

Fa

ctor

Tab

le fo

r Ste

p 8

in th

e Gu

idan

ce d

ocum

ent]

[Fro

m so

urce

s ind

icat

ed in

re

spon

se to

Key

Que

stio

n 8.

1,

list o

r sum

mar

ize m

anag

emen

t m

easu

res i

dent

ified

that

co

rres

pond

to “m

oder

ate”

rig

our i

ndic

ated

in F

acto

r Tab

le

for S

tep

8 in

the

Guid

ance

do

cum

ent]

[Fro

m so

urce

s ind

icat

ed in

resp

onse

to K

ey Q

uest

ion

8.1,

list

or

sum

mar

ize m

anag

emen

t mea

sure

s ide

ntifi

ed th

at co

rres

pond

to

“int

ense

” rig

our i

ndic

ated

in F

acto

r Tab

le fo

r Ste

p 8

in th

e Gu

idan

ce d

ocum

ent]

In

form

atio

n Ev

alua

tion

Mat

rix fo

r Ste

p 8

Part

3. E

valu

atio

n of

App

ropr

iate

Man

agem

ent R

igou

r to

Miti

gate

(red

uce

the

seve

rity

of) I

dent

ified

Con

cern

s, R

isks

, and

Impa

cts

Resp

onse

to K

ey

Que

stio

n 8.

2 Lo

w

Min

imal

or U

ncer

tain

M

ediu

m

Mod

erat

e Hi

gh o

r Unk

now

n In

tens

e

Man

agem

ent

mea

sure

s are

ap

prop

riate

N

ot re

leva

nt (n

o “L

ow”

seve

rity

conc

erns

, ris

ks, o

r im

pact

s wer

e id

entif

ied)

a)

M

anag

emen

t mea

sure

s in

plac

e ad

dres

s the

type

and

ge

ogra

phic

scop

e of

id

entif

ied

conc

erns

, risk

s,

and

impa

cts

Y

es

N

o or

Unc

erta

in

N

ot re

leva

nt (n

o “M

ediu

m”

seve

rity

conc

erns

, risk

s, o

r im

pact

s wer

e id

entif

ied)

a)

M

anag

emen

t mea

sure

s in

plac

e ad

dres

s the

type

and

ge

ogra

phic

scop

e of

id

entif

ied

conc

erns

, risk

s,

and

impa

cts

Y

es

N

o or

Unc

erta

in

N

ot re

leva

nt (n

o “H

igh”

seve

rity

conc

erns

, risk

s, o

r im

pact

s wer

e id

entif

ied)

a)

M

anag

emen

t mea

sure

s in

plac

e ad

dres

s the

type

and

ge

ogra

phic

scop

e of

iden

tifie

d co

ncer

ns, r

isks,

and

impa

cts

Y

es

N

o or

Unc

erta

in

b)

Man

agem

ent m

easu

res i

n pl

ace

have

at m

inim

um th

e ap

prop

riate

leve

l of r

igou

r req

uire

d to

redu

ce th

e se

verit

y of

id

entif

ied

conc

erns

, risk

s, a

nd im

pact

s

82

Info

rmat

ion

Eval

uatio

n M

atrix

for S

tep

8 Pa

rt 3

. Eva

luat

ion

of A

ppro

pria

te (r

ede

seve

rity

of) I

dent

ified

Con

cern

s, R

isks

, and

Impa

cts

Man

agem

ent R

igou

r to

Miti

gate

uce

thRe

spon

se to

Key

Q

uest

ion

8.2

Low

M

inim

al o

r Unc

erta

in

Med

ium

M

oder

ate

High

or U

nkno

wn

Inte

nse

b)

Man

agem

ent m

easu

res i

n pl

ace

have

at m

inim

um

the

appr

opria

te le

vel o

f rig

our r

equi

red

to re

duce

th

e se

verit

y of

iden

tifie

d co

ncer

ns, r

isks,

and

im

pact

s

Yes

No

or U

ncer

tain

c)

Th

ere

is ev

iden

ce th

at th

e ex

istin

g m

anag

emen

t m

easu

res a

re e

ffect

ivel

y im

plem

ente

d to

miti

gate

(r

educ

e th

e se

verit

y of

) the

id

entif

ied

conc

erns

, risk

s an

d im

pact

s

Yes

No

or U

ncer

tain

Re

cord

man

agem

ent g

aps a

nd

othe

r com

men

ts:

b)

Man

agem

ent m

easu

res i

n pl

ace

have

at m

inim

um

the

appr

opria

te le

vel o

f rig

our r

equi

red

to re

duce

th

e se

verit

y of

iden

tifie

d co

ncer

ns, r

isks,

and

im

pact

s

Yes

No

or U

ncer

tain

c)

Th

ere

is ev

iden

ce th

at th

e ex

istin

g m

anag

emen

t m

easu

res a

re e

ffect

ivel

y im

plem

ente

d to

miti

gate

(r

educ

e th

e se

verit

y of

) the

id

entif

ied

conc

erns

, risk

s an

d im

pact

s

Yes

No

or U

ncer

tain

Re

cord

man

agem

ent g

aps a

nd

othe

r com

men

ts:

Y

es

N

o or

Unc

erta

in

c)

Ther

e is

evid

ence

that

the

exist

ing

man

agem

ent m

easu

res

are

effe

ctiv

ely

impl

emen

ted

to m

itiga

te (r

educ

e th

e se

verit

y of

) the

iden

tifie

d co

ncer

ns, r

isks a

nd im

pact

s

Yes

No

or U

ncer

tain

d)

M

anag

emen

t mea

sure

s in

plac

e ar

e su

ffici

ently

pr

ecau

tiona

ry to

add

ress

unk

now

n co

ncer

ns, r

isks,

and

im

pact

s

Yes

No

or U

ncer

tain

Re

cord

man

agem

ent g

aps a

nd o

ther

com

men

ts:

83

WO

RKSH

EET

FOR

STEP

9: N

ON

-DET

RIM

ENT

FIN

DIN

G AN

D RE

LATE

D AD

VICE

Po

ssib

le O

utco

mes

of t

he N

DF p

roce

ss b

ased

on

this

Guid

ance

are

list

ed in

in th

is w

orks

heet

. Ea

ch e

xpor

t per

mit

appl

icat

ion

shou

ld h

ave

just

one

of

the

follo

win

g ou

tcom

es.

The

Wor

kshe

et, t

oget

her w

ith m

ore

deta

iled

info

rmat

ion

in th

e re

leva

nt W

orks

heet

s for

pre

viou

s ste

ps, m

ay b

e us

eful

as a

su

mm

ary

repo

rt o

f the

NDF

resu

lts a

nd re

late

d ad

vice

to th

e CI

TES

Man

agem

ent A

utho

rity.

Out

com

e of

NDF

Pro

cess

NDF

Res

ults

and

Rel

ated

Adv

ice

9.

1. Th

e ou

tcom

e of

Ste

p 1,

Key

Q

uest

ion

1.1

is:

Iden

tifica

tion

of th

e sp

ecim

en(s

) is n

ot cl

ear,

and

conc

erns

abo

ut ta

xono

mic

iden

tifica

tion

are

not e

asily

re

solv

ed b

y th

e Sc

ient

ific

Auth

ority

or r

efer

ral t

o th

e M

anag

emen

t Aut

horit

y th

e N

omen

clat

ure

Spec

ialis

t of

the

CITE

S Pl

ants

Com

mitt

ee

N

egat

ive

NDF

(sup

port

ed b

y th

is G

uida

nce)

Pos

itive

NDF

Oth

er:

e.g.

, Neg

ativ

e N

DF p

endi

ng re

ferr

al to

the

Man

agem

ent A

utho

rity

Just

ifica

tion

for t

he a

dvic

e of

Sci

entif

ic A

utho

rity:

[S

umm

ary,

or r

efer

to W

orks

heet

1, K

ey Q

uest

ion

1.1]

Sp

ecifi

c m

anag

emen

t pro

cedu

res,

pre

caut

ions

, oth

er a

ctio

ns th

at n

eed

to b

e un

dert

aken

to e

nsur

e th

e su

rviv

al

of th

e sp

ecie

s:

9.2.

The

outc

ome

of S

tep

2, K

ey

Que

stio

n 2.

2 is:

Exp

ort o

f ar

tifici

ally

pro

paga

ted

spec

imen

s of t

his s

peci

es is

no

t per

mitt

ed b

y na

tiona

l or

rele

vant

sub-

natio

nal

legi

slatio

n

N

egat

ive

deci

sion

(den

y ex

port

per

mit)

(sup

port

ed b

y th

is G

uida

nce)

Pos

itive

dec

ision

(app

rove

exp

ort p

erm

it)

O

ther

: e.

g., N

egat

ive

deci

sion

pend

ing

refe

rral

to th

e M

anag

emen

t Aut

horit

y to

inve

stig

ate

or to

the

resp

onsib

le a

utho

rity

for e

nfor

cem

ent

Just

ifica

tion

for a

dvic

e of

Sci

entif

ic A

utho

rity:

[S

umm

ary,

or r

efer

to W

orks

heet

2, K

ey Q

uest

ion

2.2]

84

Out

com

e of

NDF

Pro

cess

NDF

Res

ults

and

Rel

ated

Adv

ice

Sp

ecifi

c m

anag

emen

t pro

cedu

res,

pre

caut

ions

, oth

er a

ctio

ns th

at n

eed

to b

e un

dert

aken

to e

nsur

e th

e su

rviv

al

of th

e sp

ecie

s:

9.

3. Th

e ou

tcom

e of

Ste

p 2,

Key

Q

uest

ion

2.3

is: S

peci

men

s co

vere

d by

the

expo

rt p

erm

it ap

plic

atio

n cl

early

mee

t all

requ

irem

ents

for a

rtifi

cial

pr

opag

atio

n ac

cord

ing

to

Res.

Conf

. 11.

11 (R

ev. C

oP15

)

N

egat

ive

deci

sion

(den

y ex

port

per

mit)

P

ositi

ve d

ecisi

on (a

ppro

ve e

xpor

t per

mit)

(sup

port

ed b

y th

is G

uida

nce)

O

ther

:

Just

ifica

tion

for a

dvic

e of

Sci

entif

ic A

utho

rity:

[S

umm

ary,

or r

efer

to W

orks

heet

2, K

ey Q

uest

ion

2.3]

Sp

ecifi

c m

anag

emen

t pro

cedu

res,

pre

caut

ions

, oth

er a

ctio

ns th

at n

eed

to b

e un

dert

aken

to e

nsur

e th

e su

rviv

al

of th

e sp

ecie

s:

9.

4. Th

e ou

tcom

e of

Ste

p 2,

Key

Q

uest

ion

2.2

is: T

here

are

co

ncer

ns a

bout

com

plia

nce

of th

e sp

ecim

ens w

ith C

ITES

re

quire

men

ts fo

r art

ifici

al

prop

agat

ion

that

can

not b

e re

solv

ed b

y Sc

ient

ific

Auth

ority

by

unde

rtak

ing

a de

taile

d N

DF

N

egat

ive

NDF

(sup

port

ed b

y th

is G

uida

nce)

Pos

itive

NDF

Oth

er:

e.g.

, Neg

ativ

e N

DF p

endi

ng re

ferr

al to

the

Man

agem

ent A

utho

rity

to in

vest

igat

e or

to th

e re

spon

sible

au

thor

ity fo

r enf

orce

men

t Ju

stifi

catio

n fo

r adv

ice

of S

cien

tific

Aut

horit

y:

[Sum

mar

y, o

r ref

er to

Wor

kshe

et 2

, Key

Que

stio

n 2.

4]

Spec

ific

man

agem

ent p

roce

dure

s, p

reca

utio

ns, o

ther

act

ions

that

nee

d to

be

unde

rtak

en to

ens

ure

the

surv

ival

of

the

spec

ies:

85

Out

com

e of

NDF

Pro

cess

NDF

Res

ults

and

Rel

ated

Adv

ice

9.

5. Th

e ou

tcom

e of

Ste

p 3,

Key

Q

uest

ion

3.1

is: E

xpor

t of

wild

-har

vest

ed sp

ecim

ens o

f th

is sp

ecie

s is n

ot p

erm

itted

by

nat

iona

l or r

elev

ant s

ub-

natio

nal l

egisl

atio

n or

re

gula

tion

N

egat

ive

deci

sion

(den

y ex

port

per

mit)

(sup

port

ed b

y th

is G

uida

nce)

Pos

itive

dec

ision

(app

rove

exp

ort p

erm

it)

O

ther

: e.

g., N

egat

ive

deci

sion

pend

ing

refe

rral

to th

e M

anag

emen

t Aut

horit

y to

inve

stig

ate

or to

the

resp

onsib

le a

utho

rity

for e

nfor

cem

ent

Just

ifica

tion

for a

dvic

e of

Sci

entif

ic A

utho

rity:

[S

umm

ary,

or r

efer

to W

orks

heet

3, K

ey Q

uest

ion

3.1]

Sp

ecifi

c m

anag

emen

t pro

cedu

res,

pre

caut

ions

, oth

er a

ctio

ns th

at n

eed

to b

e un

dert

aken

to e

nsur

e th

e su

rviv

al

of th

e sp

ecie

s:

9.

6. Th

e ou

tcom

e of

Ste

p 3,

Key

Q

uest

ion

3.2

is: T

he

spec

imen

is n

ot co

vere

d by

CI

TES

Appe

ndix

II

C

ITES

Exp

ort p

erm

it no

t req

uire

d (s

uppo

rted

by

this

Gui

danc

e)

O

ther

:

Just

ifica

tion

for a

dvic

e of

Sci

entif

ic A

utho

rity:

[S

umm

ary,

or r

efer

to W

orks

heet

3, K

ey Q

uest

ion

3.2]

Sp

ecifi

c m

anag

emen

t pro

cedu

res,

pre

caut

ions

, oth

er a

ctio

ns th

at n

eed

to b

e un

dert

aken

to e

nsur

e th

e su

rviv

al

of th

e sp

ecie

s:

9.

7. Th

e ou

tcom

e of

Ste

p 3,

Key

Q

uest

ion

3.4

is: E

vide

nce

used

for a

pre

viou

s NDF

is

still

val

id a

nd su

ffici

ent t

o ev

alua

te th

e cu

rren

t exp

ort

perm

it ap

plic

atio

n

P

ositi

ve N

DF, p

ropo

sed

expo

rt is

with

in th

e lim

its d

efin

ed b

y th

e pr

evio

us N

DF

N

egat

ive

NDF

, pro

pose

d ex

port

is n

ot w

ithin

the

limits

def

ined

by

the

prev

ious

NDF

O

ther

:

Just

ifica

tion

for a

dvic

e of

Sci

entif

ic A

utho

rity:

[S

umm

ary,

or r

efer

to W

orks

heet

3, K

ey Q

uest

ion

3.4]

86

Out

com

e of

NDF

Pro

cess

NDF

Res

ults

and

Rel

ated

Adv

ice

Spec

ific

man

agem

ent p

roce

dure

s, p

reca

utio

ns, o

ther

act

ions

that

nee

d to

be

unde

rtak

en to

ens

ure

the

surv

ival

of

the

spec

ies:

9.8.

Step

8, K

ey Q

uest

ion

8.2

is:

Do e

xist

ing

man

agem

ent

mea

sure

s ade

quat

ely

miti

gate

(red

uce

the

seve

rity

of) c

onse

rvat

ion

conc

erns

, in

trin

sic b

iolo

gica

l risk

s, ha

rves

t im

pact

s, an

d tr

ade

impa

cts i

dent

ified

for t

he

popu

latio

ns a

nd su

b-po

pula

tions

of t

he sp

ecie

s co

ncer

ned

affe

cted

by

the

prop

osed

trad

e?

P

ositi

ve N

DF if

the

evid

ence

indi

cate

s “Ye

s” o

r “Ye

s, w

ith sp

ecifi

c co

nditi

ons”

N

egat

ive

NDF

if th

e ev

iden

ce in

dica

tes “

No

or U

ncer

tain

”

O

ther

: e.

g., N

egat

ive

NDF

pen

ding

add

ition

al in

form

atio

n re

quire

d to

eva

luat

e co

nser

vatio

n co

ncer

ns,

intr

insic

bio

logi

cal r

isks,

har

vest

impa

cts,

trad

e im

pact

s, o

r man

agem

ent r

igou

r Ju

stifi

catio

n fo

r adv

ice

of S

cien

tific

Aut

horit

y:

[Sum

mar

y, o

r ref

er to

Wor

kshe

et 8

, Key

Que

stio

n 8.

2]

Spec

ific

man

agem

ent p

roce

dure

s, p

reca

utio

ns, o

ther

act

ions

that

nee

d to

be

unde

rtak

en to

ens

ure

the

surv

ival

of

the

spec

ies:

Endp

oint

of S

tep

9: S

cien

tific

Aut

horit

ies m

ake

scie

nce-

base

d po

sitiv

e or

neg

ativ

e N

DFs,

or o

ther

rele

vant

dec

ision

s con

cern

ing

the

prop

osed

exp

ort

of sp

ecim

ens,

gui

ded

by th

e ou

tcom

e of

Ste

ps 1

-8 o

f thi

s Gui

danc

e. N

DFs a

re ju

stifi

ed b

y ev

alua

ting

whe

ther

the

exist

ing

man

agem

ent p

roce

dure

s ar

e ap

prop

riate

and

effe

ctiv

e to

miti

gate

(red

uce

the

seve

rity

of) t

he id

entif

ied

cons

erva

tion

conc

erns

, int

rinsic

bio

logi

cal r

isks,

wild

har

vest

impa

cts,

an

d tr

ade

impa

cts.

If t

here

is in

suffi

cien

t inf

orm

atio

n to

ena

ble

the

Scie

ntifi

c Au

thor

ity to

det

erm

ine

with

con

fiden

ce th

at th

e pr

opos

ed tr

ade

will

not

be

det

rimen

tal t

o th

e su

rviv

al o

f the

pop

ulat

ion

or sp

ecie

s, th

e pr

ecau

tiona

ry a

ppro

ach

supp

orts

a n

egat

ive

NDF

.

Qua

lity

of in

form

atio

n ga

ther

ed a

nd e

valu

ated

(and

the

asso

ciat

ed ti

me

and

effo

rt o

f the

Sci

entif

ic A

utho

rity)

to su

ppor

t the

NDF

and

rela

ted

advi

ce is

ap

prop

riate

to th

e se

verit

y of

con

serv

atio

n co

ncer

ns, i

ntrin

sic b

iolo

gica

l risk

s, h

arve

st im

pact

s, a

nd tr

ade

impa

cts i

dent

ified

.

87

In a

ccor

danc

e w

ith R

es. C

onf.

10.3

, Sci

entif

ic A

utho

ritie

s may

def

ine

any

perm

it ad

just

men

ts, q

ualif

icat

ion,

pre

caut

ions

, or i

nfor

mat

ion

gaps

that

sh

ould

be

com

mun

icat

ed to

the

CITE

S M

anag

emen

t Aut

horit

y.

88

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