This document provides an overview of exemptions and special cases under the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES). It discusses exemptions for specimens in transit, pre-Convention specimens, personal and household effects, captive-bred or artificially propagated specimens, and those exchanged between scientific institutions. Special procedures also apply to traveling exhibitions. The document outlines the conditions for various exemptions and recommends verification of permits for specimens in transit to help prevent illegal trade.

1. 1
Convention on International Trade in Endangered
Species of Wild Fauna and Flora
Exemptions and special
cases
1
www.CITES.org
© Copyright CITES Secretariat 2005

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 / 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)
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. CoP13)
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. 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
7

8. 8
Pre-Convention Specimens
8

9. 9
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 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 the
Conference of the Parties has recommended a uniform
interpretation of ‘pre-Convention specimens’
• 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
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. CoP14) :
• 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. CoP14)
– Caviar: maximum 125 grams, container has to be labelled in
accordance with Resolution Conf. 12.7 (Rev. CoP14)
– 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. CoP14)
• 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. CoP14)
• 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
– 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
XX
XXF1
F1
W
W X
F1

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. CoP14)
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. CoP14)
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 (3/30)
• 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)
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. CoP14), section VI

57. 57
Travelling exhibitions
• 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)

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