1. 1 Exemptions and special procedures CITES Secretariat

2. 2 Overview The paragraphs of Article VII of the Convention list a number of cases for which the provisions of Articles III, IV and V of the Convention do not apply This can result in exemptions to the normal procedures and where no CITES documentation is required, or in special procedures, where: Trade is regulated, but the specimens are subject to the provisions of an Appendix different to the one in which it is listed, or Other documents than the normal CITES documentation are required 2

3. 3 Overview These procedures relate to specimens that are: –In transit or transhipment –Pre-Convention –Personal or household effects –Captive-bred or artificially propagated –Exchanged between registered scientific institutions –Traveling exhibitions 3

4. 4 Transit / Transhipment 4

5. 5 Transit and transhipment refers only to specimens: –That remain in Customs control –That are in the process of shipment to a named consignee through or in the territory of a third Party –For which interruption in their movement is only due to arrangements necessitated by the requirements of transport In these cases the provisions of Article III, IV or V do not apply (Article VII, Paragraph 1) 5

6. 6 Transit / Transhipment However, in the past this exemption was too frequently used to move illegal specimens, or to temporarily store these in customs zones Therefore, Resolution Conf. 9.7 (Rev. CoP15) recommends that, if their national legislation allows, Parties should: –Verify the presence of valid CITES documents –Seize/confiscate specimens without valid documentation 6

7. 7 Transit / Transhipment Resolution Conf. 9.7 (Rev. CoP15) also recommends that: -If confiscation is not possible, shipment details should be sent to the country of final destination, other countries of transhipment and to the CITES Secretariat -These procedures should also apply if the country of origin and/or country of final destination are non- Parties 7

8. 8 Pre-Convention Specimens 8

9. 9 The provisions of Articles III, IV and V do not apply to traded specimens if they were acquired before the Convention applied to them (Article VII, Paragraph 2) If the Management Authority is satisfied that this is the case, it can issue a certificate to that effect (a pre-Convention certificate) 9

10. 10 Pre-Convention Specimens Definition: –Generally specimens that were acquired before the date on which the specimens concerned was first included in the Appendices Characteristics: –The specimens can be used for commercial purposes if the Management Authority agrees to their pre-Convention status 10

11. 11 Pre-Convention Specimens With the adoption of Resolution Conf. 13.6 (Rev. CoP16) the Conference of the Parties has recommended a uniform interpretation of ‘pre- Convention specimens’ Resolution Conf. 13.6 (Rev. CoP16) refers to two dates: –the date from which the Convention applied to it (the so-called date of reference), and –the date of acquisition of a specimen These dates need to be determined before deciding on whether a specimen is pre-Convention or not 11

12. 12 Pre-Convention Specimens The date from which the Convention applied to the specimen is the date on which the species was first included in the Appendices This definition is very straightforward and guarantees a uniform interpretation by all Parties, irrespective of their date of accession to the Convention or the date of the withdrawal of a Reservation The dates when species were included in the Appendices can be found in the Annotated CITES Appendices and Reservations published by the Secretariat or on the CITES web site (www.cites.org) 12

13. 13 Pre-Convention Specimens The date of acquisition is the date on which the specimen was known to be either –removed from the wild, or –born in captivity or artificially propagated in a controlled environment; or If such date is unknown or cannot be proved, any subsequent and provable date on which it was first possessed by a person 13

14. 14 Pre-Convention Specimens Is the specimen pre-Convention? If it was acquired before the Convention applied to it – Yes It is up to the Management Authority to decide whether to issue a pre-Convention certificate 14

15. 15 Pre-Convention Specimens A pre-Convention Certificate must indicate: –the precise date of acquisition, OR –a statement that the specimens were acquired before a specific date 15

16. 16 Pre-Convention Specimens Parties should advise the holder of a pre-Convention certificate to check with potential importers or with the Management Authority of the intended country of destination whether the latter will accept the certificate for import Parties should take any necessary measures in order to prevent excessive acquisition of specimens of a species between the date at which the Conference of the Parties approves the inclusion of that species in Appendix I and the date at which the inclusion takes effect 16

17. 17 Pre-Convention Specimens Important Pre-Convention specimens of wild origin of species included in Appendix I can be traded for primarily commercial purposes 17 Therefore, abuse of the pre-Convention declaration can be an important source of fraud

18. 18 Personal & Household Effects 18

19. 19 Personal & Household Effects Definition (Resolution Conf. 13.7 Rev. CoP16) : Personal effects means specimens that are: a)Personally owned or possessed for non- commercial purposes; b)Legally acquired; and c)At the time of import, export or re-export either: Worn or carried or included in personal baggage; or Part of a household move 19

20. 20 Personal & Household Effects Personal effect exemptions do not apply to live specimens These still require permits, either in accordance with the provisions of Articles III, IV and V or with Resolution Conf. 10.20 (Frequent cross-border movements of personally owned live animals) 20

21. 21 Article VII, paragraph 3, states that the provisions of Articles III, IV and V shall not apply to specimens that are personal or household effects Note that this is the only true exemption where no CITES documentation is required for specimens of species included in the Appendices BUT…… 21 Personal & Household Effects

22. 22 The paragraph then continues with the description of a number of cases in which the exemption does NOT apply These all relate to a person returning to his State of usual residence with a CITES specimen for personal use 22 Personal Effects

23. 23 Personal Effects The exemption does NOT apply for Appendix-I specimens when a person obtains a specimen in a country other than his/her country of usual residence, and returns home with it This is considered to be an import

24. 24 The exemption does NOT apply to Appendix-II specimens when: –The specimen was acquired in the State where it was removed from the wild and which is not the person’s State of usual residence, and –The specimen is being imported into the owner’s State of usual residence, and –The State where removal from the wild occurred requires the issuance of an export permit before export In these cases an export permit is required 24 Personal Effects

25. 25 Personal Effects Special exemptions per person (Resolution Conf. 13.7 Rev. CoP16) –Caviar: maximum 125 grams, container has to be labelled in accordance with Resolution Conf. 12.7 (Rev. CoP16) –Rainsticks of Cactaceae: up to three –Specimens of crocodilian species: up to four –Queen conch (Strombus gigas) shells: up to three –Giant clams (Tridacnidae) : three dead specimens (or 3 x 2 matching halves), no more than 3 kg –Seahorses (Hippocampus spp.): four specimens

26. 26 Personal Effects Parties that do not accept the afore-mentioned specified exemptions should inform the Secretariat The Secretariat will inform all Parties through a Notification, and will include the information on its web site In addition, a number of countries (including all the member countries of the EU) have taken stricter domestic measures, and do not allow exemptions for personal effects (except for the afore-mentioned ones, or when a Party has informed them that they do not require permits for souvenir specimens) 26

27. 27 For Appendix III specimens, all personal or household effects are exempt from the provisions of the Convention No CITES documentation is required 27 Personal Effects Walrus ivory (Appendix III)

28. 28 Tourist Souvenirs Resolution Conf. 13.7 (Rev. CoP16) The term ‘tourist souvenir specimen’ applies only to personal and household effects acquired outside a person’s State of usual residence The term ‘tourist souvenir specimen’ does not apply to live specimens 28

29. 29 Tourist Souvenirs Resolution Conf. 13.7 (Rev. CoP16) Tourist souvenir specimens of species listed in Appendix I should not be exempted from the usual CITES provisions for Appendix-I species Sale of tourist souvenirs of Appendix-I species in places of international departure/arrival that are beyond Customs controls should be prohibited 29

30. 30 Captive-breeding & Artificial propagation Note: The definition of ‘artificially propagated’ is dealt with in a separate presentation on ‘CITES and Plants’ 30

31. 31 Captive-breeding/Artificial propagation Article VII contains two special provisions which must be applied separately: –Paragraph 4: Appendix-I artificially propagated plant and captive-bred animal specimens produced for commercial purposes can be traded under the provisions of Article IV (‘deemed to be a species included in Appendix II’) 31

32. 32 Captive-breeding/Artificial propagation –Paragraph 5: If a Management Authority is satisfied that a specimen of an Appendix-II or –III species has been captive-bred or artificially propagated for any purpose, or an Appendix-I specimen has been bred or propagated for non-commercial purposes, a certificate stating this can be accepted 32

33. 33 Definition of ‘Bred in Captivity’ The definition of ‘bred in captivity’ [in Resolution Conf. 10.16 (Rev.)] applies to all animal species in all three Appendices, whether they are bred for commercial or for non-commercial purposes A number of criteria must ALL be met in order for a specimen to qualify as ‘bred in captivity’ 33

34. 34 Definition of ‘Bred in Captivity’ These criteria are: –Specimens must have been born or produced in a controlled environment –The parents mated (or gametes were transferred) in a controlled environment –The breeding stock was established and is maintained in accordance with Resolution Conf. 10.16 (Rev.) –Production of a second generation or subsequent generations, or managed in a manner that has been demonstrated to be capable of reliably producing second- generation offspring in a controlled environment 34

35. 35 Definition of ‘Bred in Captivity’ A ’controlled environment’ is an environment manipulated to produce specific animal species, with boundaries to prevent animals, eggs or gametes from leaving the controlled environment General characteristics of a controlled environment may include: Artificial housing / protection from predators Artificially supplied food / waste removal Health care 35

36. 36 Definition of ‘Bred in Captivity’ The ‘breeding stock’ is the ensemble of animals in an operation that are used for reproduction Breeding stock must have been established: –in a manner not detrimental to the survival of the species in the wild –in accordance with the provisions of CITES and relevant national laws 36

37. 37 Definition of ‘Bred in Captivity’ Breeding stock must be maintained without the introduction of wild specimens, except for occasional addition of animals, eggs or gametes in a manner not detrimental to the survival of species in the wild, as advised by the Scientific Authority: –To prevent or alleviate deleterious inbreeding –To dispose of confiscated animals in accordance with Resolution Conf. 10.7 (Rev. CoP-15) –For exceptional use as breeding stock 37

38. 38 Definition of ‘Bred in Captivity’ The breeding stock has produced at least F2 offspring in a controlled environment, or is managed in a manner demonstrated to be capable of reliably producing F2 offspring in a controlled environment 38

39. 39 Definition of ‘Bred in Captivity’ First-generation offspring (F1) are specimens produced in a controlled environment with at least one parent taken from the wild or conceived in the wild Second or subsequent generation offspring (F2, F3, F4 etc.) are specimens produced in a controlled environment by specimens also produced in a controlled environment 39

40. 40 Definition of ‘Bred in Captivity’ 40 W WW W F1 F2 X X XX F1 W W X

41. 41 Definition of ‘Bred in Captivity’ Marking of Captive-bred Specimens Resolution Conf. 10.16 (Rev.) further recommends that trade in specimens bred in captivity should be permitted only if: –The specimen is marked in accordance with Resolutions on marking, and if –The type and number of the mark are indicated on the permit/certificate 41

42. 42 The following conditions must be met for export: –The operation must produce specimens in accordance with Resolution Conf. 10.16 (Rev.) –The Management Authority must have registered the operation with the Secretariat –The specimens must be marked in accordance with the appropriate resolution –The ‘mark-numbers’ must be included on the export permit –The letter ”D" must be indicated in the "source" box on the export permit 42 Export of Appendix-I Captive-Bred for Commercial Purposes

43. 43 Export of Appendix-I Captive-Bred for Commercial Purposes Captive bred specimens of Appendix-I species can only be traded for commercial purposes when they originate in registered captive-breeding operations The requirements for registration of such operations are included in Resolution Conf. 12.10 (Rev. CoP15) 43 Ara araurana; Photo Peter Dollinger

44. 44 Import of Appendix-I Captive-Bred for Commercial Purposes Parties shall restrict their imports of captive-bred specimens for commercial purposes to those produced by operations registered with the Secretariat Comparable documentation from non-Parties be only accepted after consultation with the Secretariat Resolution Conf. 12.10 (Rev. CoP15) 44

45. 45 Appendix-I Species in Registered Commercial Captive Breeding Operations Reptiles: –Alligator sinensis (1/2) –Crocodylus acutus (2/3) –Crocodylus moreletii (1/3) –Crocodylus niloticus (1/1) –Crocodylus porosus (4/18) –Crocodylus rhombifer (1/1) –Crocodylus siamensis (3/27) Mammals: –Acinonyx jubatus (1/1) Fish: –Scleropages formosus (3/94) –Pangasianodon gigas (1/1) Birds: –Cacatua haematuropygia (1/1) –Cacatua moluccensis (1/2) –Caloenas nicobarica (1/1) –Eos histrio (1/1) –Falco jugger (1/1) –Falco plegrinoides (1/1) –Falco peregrinus (8/24) –F. p. anatum (1/1) –F. p. pealei (2/2) –Falco rusticolus (6/23) –Guarouba guarouba (2/2) –Psephotus dissimilis (1/1) –Tragopan caboti (1/1) 45 (countries / operations)

46. 46 Captive-Bred Specimens Only the declaration of a specimen as "bred in captivity" can justify its export from a country where the species does not occur in the wild, or it is re-exported when the species does not occur in the wild in the declared country of origin 46

47. 47 Captive-Bred Specimens It is essential that the definition and provisions for trade in captive-bred specimens be respected by all CITES Authorities in all Parties False declaration of the source “bred in captivity” is one of the most common and persistent types of CITES fraud 47

48. 48 Scientific Exchange 48

49. 49 Scientific Exchange Paragraph 6 of Article VII provides for the possibility to exempt the donation or exchange of certain types of scientific material from the provisions of Article III, IV or V if such specimens are being transferred between scientists or scientific institutions registered by a Management Authority of their State This applies only to herbarium specimens, live plant material, and preserved, dried or embedded museum specimens 49

50. 50 Scientific Exchange The conditions that apply are specified in Resolution Conf. 11.15 (Rev. CoP12) –The Management Authority of the State concerned should, upon advice of the Scientific Authority, register the scientific institution with the Secretariat, and is given a registration number 50

51. 51 Scientific Exchange The container in which the specimens are shipped should carry a label indicating: –the type of specimens, –the name and address of the exporting institution, and –the codes of the exporting and importing institution 51

52. 52 Scientific Exchange Individual scientists who keep private collections should affiliate with registered scientific institutions 52

53. 53 Travelling Exhibitions

54. 54 Travelling exhibitions Paragraph 7 of Article VII states that a Management Authority may waive the requirements of Articles III, IV or V and allow the movement of specimens in a travelling zoo, circus, menagerie, plant exhibition or other travelling exhibition provided that three conditions are met:

55. 55 Travelling exhibitions 1.Full details are registered with that Management Authority; 2.The specimens are either pre-Convention or captive-bred/artificially propagated; and 3.Live specimens are transported in a manner that minimizes injury etc.

56. 56 Travelling exhibitions Already at the 8th meeting of the Conference of the Parties (Kyoto, 1992) it was noted that the implementation of this paragraph poses technical problems and was a serious source of fraud The Parties therefore agreed to use a system of special travelling–exhibition certificates with a validity of three years and suited for multiple use for pre- Convention or captive-bred specimens Resolution Conf. 12.3 (Rev. CoP16), section VI

57. 57 Travelling exhibitions To avoid any conflict with the provisions of Resolution Conf. 13.6 (Rev. CoP16) (formerly Resolution Conf. 5.11), the travelling exhibition certificates should only be issued for specimens acquired before: –1 July 1975 or –the date on which the species was first included in any of the Appendices (this information can be obtained in the Annotated CITES Appendices and reservations CD-ROM or from the CITES website)

58. 58 Travelling exhibitions There are a number of other conditions, of which the most important is that the specimens must be marked or otherwise easily identifiable Microchip reader

59. 59 Summary Special procedures relate to specimens that are: –In transit or transhipment –Pre-Convention –Personal or household effects –Captive-bred or artificially propagated –Exchanged between registered scientific institutions –Traveling exhibitions

60. 60 CITES Secretariat Geneva