www.cites.org 1 Special Procedures Copyright CITES Secretariat 2005 Convention on International Trade in Endangered Species of Wild Fauna and Flora
Overview 2 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, 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
Overview 3 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
4 Transit / Transhipment
Transit / Transhipment 5 This 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 (Artricle VII, Paragraph 1)
Transit / Transhipment 6 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. CoP13) recommends that, if their national legislation allows, Parties should: Verify the presence of valid CITES documents Seize/confiscate specimens without valid documentation
Transit / Transhipment 7 Resolution Conf. 9.7 (Rev. CoP13) 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
8 Pre-Convention Specimens
Pre-Convention Specimens 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)
Pre-Convention Specimens 10 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
Pre-Convention Specimens 11 This Article was introduced because it was felt that Parties could not be expected to prohibit trade in specimens that were legally imported into their country before they became a Party to CITES, or before the species were included in the Appendices However, many Parties felt uncomfortable having to accept pre-convention stocks from other countries without the requirements of Articles III to V being met With the adoption of Resolution Conf. 13.6 the Conference of the Parties has recommended a uniform interpretation of pre-convention specimens
Pre-Convention Specimens 12 Resolution Conf. 13.6 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
Pre-Convention Specimens 13 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)
Pre-Convention Specimens 14 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
Pre-Convention Specimens 15 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
Pre-Convention Specimens 16 A pre-convention Certificate must indicate: the precise date of acquisition, OR a statement that the specimens were acquired before a specific date
Pre-Convention Specimens 17 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
Pre-Convention Specimens 18 Important Pre-Convention specimens of wild origin of species included in Appendix I can be traded for primarily commercial purposes Therefore, abuse of the pre-convention declaration can be an important source of fraud
19 Personal & Household Effects
Personal & Household Effects 20 Definition (Resolution Conf. 13.7) : Personal effects means specimens that are: Personally owned or possessed for noncommercial purposes; Legally acquired; and At the time of import, export or re-export either: Worn or carried or included in personal baggage; or Part of a household move
Personal & Household Effects 21 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
Personal & Household Effects 22 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
Personal Effects 23 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
Personal Effects 24 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
Personal Effects 25 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
Personal Effects 26 Special exemptions per person (Resolution Conf. 13.7) Caviar: maximum 250 grams 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
Personal Effects 27 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)
Personal Effects 28 For Appendix III specimens, all personal or household effects are exempt from the provisions of the Convention No CITES documentation is required Walrus ivory (Appendix III)
Tourist Souvenirs 29 Resolution Conf. 13.7 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
Tourist Souvenirs 30 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
31 Captive-breeding & Artificial propagation The definition of artificially propagated is dealt with in a separate presentation on CITES and Plants
32 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 )
33 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
Definition of Bred in Captivity 34 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
Definition of Bred in Captivity 35 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 secondgeneration offspring in a controlled environment
Definition of Bred in Captivity 36 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
Definition of Bred in Captivity 37 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
Definition of Bred in Captivity 38 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 For exceptional use as breeding stock
Definition of Bred in Captivity 39 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
Definition of Bred in Captivity 40 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
Definition of Bred in Captivity 41 W X W W X W F1 X F1 X W W X F2 F1 F1
Definition of Bred in Captivity 42 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
Export of Appendix-I Captive-Bred for Commercial Purposes 43 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
Export of Appendix-I Captive-Bred for Commercial Purposes 44 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. CoP13) Ara araurana; ; Photo Peter Dollinger
Import of Appendix-I Captive-Bred for Commercial Purposes 45 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. CoP13)
Appendix-I Species in Registered Commercial Captive Breeding Operations 46 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 (3/30) Birds: Cacatua moluccensis (1/1) Caloenas nicobarica (1/1) Eos histrio (1/1) Falco jugger (1/1) Falco plegrinoides (1/1) Falco peregrinus (6/16) F. p. anatum (1/1) Falco rusticolus (5/14) Guarouba guarouba (2/2) Psephotus dissimilis (1/1) Tragopan caboti (1/1) (countries / operations)
Captive-Bred Specimens 47 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
Captive-Bred Specimens 48 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
49 Scientific Exchange
Scientific Exchange 50 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
Scientific Exchange 51 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
Scientific Exchange 52 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
Scientific Exchange 53 Individual scientists who keep private collections should affiliate with registered scientific institutions
Travelling Exhibitions 54
Travelling exhibitions 55 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:
Travelling exhibitions 56 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.
Travelling exhibitions 57 Already at the 8th meeting of the Conference of the Parties 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. CoP13), section VI
Travelling exhibitions 58 To avoid any conflict with the provisions of Resolution Conf. 13.6 (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)
Travelling exhibitions 59 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