Addressing corruption in CITES documentation processes

Trade in specimens of species listed in the CITES Appendices requires issuance of official trade documentation in the form of permits and certificates. This system gives rise to numerous possibilities for corrupt practice, both when documents are issued and upon inspection at border crossings. CITES permits and certificates are official documents issued by Management Authorities to authorize the export of a specimen of a species included in Appendix I or II, the export of a specimen of a species included in Appendix III from the State that included the species therein, or the import of a specimen of a species included in Appendix I. To be valid, a permit must conform to the requirements of the Convention and the Resolutions of the Conference of the Parties. Permits should only be issued if the CITES Authorities are satisfied that the export will not be detrimental to the survival of the species and that the specimens were obtained legally. Document abuse in CITES trade is a widespread issue, facilitated by corruption. Documented methods for abuse of CITES permits and certificates range widely, including intentional declaration of false information on documents, documents modified after issue, unofficial payment for documents, counterfeit documents, re-using or photocopying documents, expired documents, and stolen documents. Corrupt actions can be used to smooth the way for these abuses, avoid detection, and/or avoid penalties when they are detected. The CITES Secretariat issues Notifications to the Parties that contain information and reports on the implementation of the Convention. Notifications are used to officially communicate information on lost or stolen permits or security stamps, details on Parties' legislation, and forthcoming meetings, among other examples. The CITES Secretariat has issued nine Notifications between 2010 and May 2019 that involved document abuse, with seven issued because of concern over the authenticity of permits/certificates and three related to stolen/lost permits that could potentially be in circulation. Examples of CITES document abuse cases captured in reports on illegal wildlife trade cover a wide range of species and commodities, from caviar to timber, other plants, live reptiles, birds, and primates. Falsely declaring the source of CITES-listed specimens appears to be a common form of abuse, with many cases involving West and Central African countries and Southeast Asia. The diversity of examples indicates that this is a global problem. To address corruption in CITES documentation processes, multiple strategies are needed to reduce opportunities for abusing CITES permits and certificates. These include prosecuting corrupt officials for violating national laws and international conventions, introducing an e-permitting system, such as eCITES, to rapidly streamline and automate CITES processes and controls digitally, ensuring adequate monitoring and subsequent sanctions for violators of any permitting system, and ensuring adequate scientific and technical training for relevant officials to identify abuse when issuing and inspecting documents.