1 exemptions and special procedures cites secretariat
TRANSCRIPT
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Exemptions and special procedures
CITES Secretariat
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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
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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
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Transit / Transhipment
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Transit / Transhipment
• 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)
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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
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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
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Pre-Convention Specimens
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Pre-Convention Specimens
• 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 issatisfied that this is the case, it can issue a certificate to that effect (a pre-Convention certificate)
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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
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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
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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)
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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
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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
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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
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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
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Pre-Convention Specimens
Important
Pre-Convention specimens of wild origin of species included in Appendix I can be traded for primarily commercial purposes
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Therefore, abuse of the pre-Convention declaration can be an important source
of fraud
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Personal & Household Effects
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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
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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)
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• 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……
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Personal & Household Effects
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• 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
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Personal Effects
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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
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• 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
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Personal Effects
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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
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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)
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• For Appendix III specimens, all personal or household effects are exempt from the provisions of the Convention
• No CITES documentation is required
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Personal Effects
Walrus ivory (Appendix III)Walrus ivory (Appendix III)
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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
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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
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Captive-breeding&
Artificial propagation
Note: The definition of ‘artificially propagated’ is dealt with in a separate presentation on ‘CITES and Plants’
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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’)
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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
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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’
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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
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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
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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
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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
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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
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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
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Definition of ‘Bred in Captivity’
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W WW W
F1
F2
XX
XXF1
F1
W
W X
F1
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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
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• 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
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Export of Appendix-I Captive-Bredfor Commercial Purposes
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Export of Appendix-I Captive-Bredfor 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)
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Ara araurana; Photo Peter DollingerAra araurana; Photo Peter Dollinger
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Import of Appendix-I Captive-Bredfor 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)
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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)
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(countries / operations)(countries / operations)
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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
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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
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Scientific Exchange
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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
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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
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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
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Scientific Exchange
• Individual scientists who keep private collections should affiliate with registered scientific institutions
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Travelling Exhibitions
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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:
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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 transportedin a manner that minimizes injury etc.
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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
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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)
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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 readerMicrochip reader
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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
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CITES SecretariatGeneva