EXPLANATORY MEMORANDUM

1. On 1 April 1987 the Commission decided[1] to instruct its staff that all acts should be codified after no more than ten amendments, stressing that this is a minimum requirement and that departments should endeavour to codify at even shorter intervals the texts for which they are responsible, to ensure that their provisions are clear and readily understandable.

2. The codification of Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein[2] has been initiated by the Commission. The new Regulation was to have superseded the various acts incorporated in it[3].

3. In the meantime the Lisbon Treaty entered into force. Article 290 of the Treaty on the Functioning of the European Union (TFEU) allows the legislator to delegate to the Commission the power to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act. Article 291 of the TFEU allows the legislator to confer implementing powers on the Commission where uniform conditions for implementing legally binding Union acts are needed. Acts adopted by the Commission in accordance with those Articles are referred to in the terminology used by the TFEU as "delegated acts" (Article 290(3)) and as "implementing acts" (Article 291(4)), respectively.

4. Regulation (EC) No 338/97 contains provisions for which such a delegation of power or such a conferral of implementing powers would be opportune. It is therefore appropriate to transform the codification of Regulation (EC) No 338/97 into a recast in order to incorporate the necessary amendments.

5. The recast proposal was drawn up on the basis of a preliminary consolidation, in 22 official languages, of Regulation (EC) No 338/97 and the instruments amending it, carried out by the Publications Office of the European Union, by means of a data-processing system. Where the Articles have been given new numbers, the correlation between the old and the new numbers is shown in a table set out in Annex III to the recast Regulation.

ê 338/97 (adapted)

2012/0196 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the protection of species of wild fauna and flora by regulating trade therein

(Recast)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article Ö 192(1) Õ thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee[4],

Having regard to the opinion of the Committee of the Regions[5],

Acting in accordance with the ordinary legislative procedure[6],

Whereas:

ò new

(1) Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein[7] has been substantially amended several times[8]. Since further amendments are to be made, it should be recast in the interests of clarity.

ê 338/97 recital 1 (adapted)

ð new

(2) The purpose of Ö this Regulation Õ is to Ö ensure the protection of Õ species of Ö wild Õ fauna and flora Ö which are threatened by Õ trade ð or likely to be so threatened ï.

ê 338/97 recital 3

(3) The provisions of this Regulation do not prejudice any stricter measures which may be taken or maintained by Member States, in compliance with the Treaty, in particular with regard to the holding of specimens of species covered by this Regulation.

ê 338/97 recital 4

(4) It is necessary to lay down objective criteria for the inclusion of species of wild fauna and flora in the Annexes to this Regulation.

ê 338/97 recital 5 (adapted)

(5) The implementation of this Regulation necessitates the application of common conditions for the issue, use and presentation of documents relating to the authorisation of the introduction into the Ö Union Õ and the export or re-export from the Ö Union Õ of specimens of the species covered by this Regulation. It is necessary to lay down specific provisions relating to the transit of specimens through the Ö Union Õ.

ê 338/97 recital 6 (adapted)

(6) It is for a management authority of the Member State of destination, assisted by the scientific authority of that Member State and, where appropriate, taking into account any opinion of the Scientific Review Group, to decide on the requests for introduction of specimens into the Ö Union Õ.

ê 338/97 recital 7 (adapted)

(7) It is necessary to Ö provide for Õ a consultation procedure Ö in the framework of the provisions on re-export Õ, in order to limit the risk of infringement.

ê 338/97 recital 8 (adapted)

(8) In order to guarantee effective protection of species of wild fauna and flora, additional restrictions may be imposed on the introduction of specimens into, and the export thereof from, the Ö Union Õ. With regard to live specimens, these restrictions may be supplemented by restrictions at Ö Union Õ level on the holding or movement of such specimens within the Ö Union Õ.

ê 338/97 recital 9

(9) It is necessary to lay down specific provisions applicable to captive-born and bred, or artificially propagated specimens, to specimens which are personal or household effects, and to non-commercial loans, donations or exchanges between registered scientists and scientific institutions.

ê 338/97 recital 10 (adapted)

(10) There is a need, in order to ensure the broadest possible protection for species covered by this Regulation, to lay down provisions for controlling trade and movement of specimens within the Ö Union Õ, and the conditions for housing specimens. The certificates issued under this Regulation, which contribute to controlling those activities, should be governed by common rules on their issue, validity and use.

ê 338/97 recital 11 (adapted)

(11) Measures should be taken to minimise the adverse effects on live specimens of transport to their destination, from or within the Ö Union Õ.

ê 338/97 recital 12 (adapted)

(12) To ensure effective controls and to facilitate customs procedures, customs offices should be designated, with trained personnel responsible for carrying out the necessary formalities and corresponding checks where specimens are introduced into the Ö Union Õ, in order to assign them a customs-approved treatment or use within the meaning of Council Regulation (EEC) [No 2913/92 of 12 October 1992] establishing the Community Customs Code[9], or where they are exported or re-exported from the Ö Union Õ. There should also be facilities guaranteeing that live specimens are adequately housed and cared for.

ê 338/97 recital 13

(13) The implementation of this Regulation also calls for the designation of management and scientific authorities by the Member States.

ê 338/97 recital 14

(14) Informing the public and making them aware of the provisions of this Regulation, particularly at border crossing points, is likely to encourage compliance with these provisions.

ê 338/97 recital 15

(15) In order to ensure effective enforcement of this Regulation, Member States should closely monitor compliance with its provisions and, to that end, cooperate closely between themselves and with the Commission. This requires the communication of information relating to the implementation of this Regulation.

ê 338/97 recital 16

(16) The monitoring of levels of trade in the species of wild fauna and flora covered by this Regulation is of crucial importance for assessing the effects of trade on the conservation status of species. Detailed annual reports should be drawn up in a common format.

ê 338/97 recital 17

(17) In order to guarantee compliance with this Regulation, it is important that Member States impose sanctions for infringements in a manner which is both sufficient and appropriate to the nature and gravity of the infringement.

ê 338/97 recital 19

(18) The multitude of biological and ecological aspects to be considered in the implementation of this Regulation requires the setting up of a Scientific Review Group, whose opinions will be forwarded by the Commission to the Committee and the management bodies of the Member States, to assist them in making their decisions.

ê 398/2009, recital 4 (adapted)

ð new

(19) ð In order to supplement or amend certain non-essential elements of this Regulation, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to ï the Commission should be empowered to adopt Ö in respect of the adoption of Õ certain measures regulating trade in species of wild fauna and flora, Ö of Õ certain amendments to the Annexes to Ö this Õ Regulation and Ö of Õ additional measures to implement resolutions of the Conference of the Parties to the Convention on international trade in endangered species of wild fauna and flora (CITES) (hereinafter referred to as ‘the Convention’), decisions or recommendations of the Standing Committee of the Convention and recommendations of the Convention Secretariat. Since those measures are of general scope and are designed to amend non-essential elements of Regulation (EC) No 338/97, inter alia by supplementing it with new non-essential elements, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC. ð It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. ï

ò new

(20) In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers[10],

ê 338/97

HAVE ADOPTED THIS REGULATION:

Article 1

Object

ê 338/97 (adapted)

ð new

The object of this Regulation is to protect species of wild fauna and flora and to guarantee their conservation by regulating trade therein in accordance with Articles Ö 2 to 22 and Annexes A to D as set out in Annex I, hereinafter referred to as "Annex A", "Annex B", "Annex C" and "Annex D" Õ.

This Regulation shall apply in compliance with the objectives, principles and provisions of the Convention defined in Article 2(b).

Article 2

Definitions

For the purposes of this Regulation, the following definitions shall apply:

(a) ‘Committee’ means the Committee Ö referred to in Õ Article 21(1);

(b) ‘Convention’ means the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES);

(c) ‘country of origin’ means the country in which a specimen was taken from the wild, captive-bred or artificially propagated;

(d) ‘import notification’ means the notification given by the importer or his agent or representative, at the time of the introduction into the Ö Union Õ of a specimen of a species included in Annexes C or D, on ð the ï a form ð provided for in Article 19(2) ï . prescribed by the Commission in accordance with the procedure referred to in Article 18(2);

(e) ‘introduction from the sea’ means the introduction into the Ö Union Õ of any specimen which was taken in, and is being introduced directly from, the marine environment not under the jurisdiction of any State, including the air-space above the sea and the sea-bed and subsoil beneath the sea;

(f) ‘issuance’ means the completion of all procedures involved in preparing and validating a permit or certificate and its delivery to the applicant;

(g) ‘management authority’ means a national administrative authority designated, in the case of a Member State, in accordance with Article 13(1) or, in the case of a third country party to the Convention, in accordance with Article IX of the Convention;

(h) ‘Member State of destination’ means the Member State of destination mentioned in the document used to export or re-export a specimen; in the event of introduction from the sea, it shall mean the Member State within whose jurisdiction the place of destination of a specimen lies;

(i) ‘offering for sale’ means offering for sale and any action that may reasonably be construed as such, including advertising or causing to be advertised for sale and invitation to treat;

(j) ‘personal or household effects’ means dead specimens, parts and derivatives thereof, that are the belongings of a private individual and that form, or are intended to form, part of his normal goods and chattels;

(k) ‘place of destination’ means the place at which at the time of introduction into the Ö Union Õ, it is intended that specimens will normally be kept; in the case of live specimens, this shall be the first place where specimens are intended to be kept following any period of quarantine or other confinement for the purposes of sanitary checks and controls;

(l) ‘population’ means a biologically or geographically distinct total number of individuals;

(m) ‘primarily commercial purposes’ means all purposes the non-commercial aspects of which do not clearly predominate;

(n) ‘re-export from the Ö Union Õ’ means export from the Ö Union Õ of any specimen that has previously been introduced;

(o) ‘re-introduction into the Ö Union Õ’ means introduction into the Ö Union Õ of any specimen that has previously been exported or re-exported;

(p) ‘sale’ means any form of sale. For the purposes of this Regulation, hire, barter or exchange shall be regarded as sale; cognate expressions shall be similarly construed;

(q) ‘scientific authority’ means a scientific authority designated, in the case of a Member State, in accordance with Article 13(2) or, in the case of a third country party to the Convention, in accordance with Article IX of the Convention;

(r) ‘Scientific Review Group’ means the consultative body established under Article 17;

(s) ‘species’ means a species, subspecies or population thereof;

(t) ‘specimen’ means any animal or plant, whether alive or dead, of the species listed in Annexes A to D, any part or derivative thereof, whether or not contained in other goods, as well as any other goods which appear from an accompanying document, the packaging or a mark or label, or from any other circumstances, to be or to contain parts or derivatives of animals or plants of those species, unless such parts or derivatives are specifically exempted from the provisions of this Regulation or from the provisions relating to the Annex in which the species concerned is listed by means of an indication to that effect in the Annexes concerned.

A specimen shall be considered to be a specimen of a species listed in Annexes A to D if it is, or is part of or derived from, an animal or plant at least one of whose ‘parents’ is of a species so listed. In cases where the ‘parents’ of such an animal or plant are of species listed in different Annexes, or of species only one of which is listed, the provisions of the more restrictive Annex shall apply. However, in the case of specimens of hybrid plants, if one of the ‘parents’ is of a species listed in Annex A, the provisions of the more restrictive Annex shall apply only if that species is annotated to that effect in the Annex;

(u) ‘trade’ means the introduction into the Ö Union Õ, including introduction from the sea, and the export and re-export from the Union, as well as the use, movement and transfer of possession within the Ö Union Õ, including within a Member State, of specimens subject to the provisions of this Regulation;

(v) ‘transit’ means the transport of specimens between two points outside the Ö Union Õ through the territory of the Ö Union Õ which are shipped to a named consignee and during which any interruption in the movement arises only from the arrangements necessitated by this form of traffic;

(w) ‘worked specimens that were acquired more than 50 years previously’ means specimens that were significantly altered from their natural raw state for jewellery, adornment, art, utility, or musical instruments, before 3 March 1947 and that have been, to the satisfaction of the management authority of the Member State concerned, acquired in such conditions. Such specimens shall be considered as worked only if they are clearly in one of the aforementioned categories and require no further carving, crafting or manufacture to effect their purpose;

(x) ‘checks at the time of introduction, export, re-export and transit’ means documentary checks on the certificates, permits and notifications provided for in this Regulation and, in cases where Ö Union Õ provisions so provide or in other cases by representative sampling of the consignments, examination of the specimens, where appropriate accompanied by the taking of samples with a view to analysis or more detailed checks.

Article 3

Scope

1. Annex A shall contain:

(a) the species listed in Appendix I to the Convention for which the Member States have not entered a reservation;

(b) any species:

(i) which is, or may be, in demand for utilisation in the Ö Union Õ or for international trade and which is either threatened with extinction or so rare that any level of trade would imperil the survival of the species,

or

(ii) which is in a genus of which most of the species or which is a species of which most of the subspecies are listed in Annex A in accordance with the criteria in point (a) or (b)(i) and whose listing in that Annex is essential for the effective protection of those taxa.

2. Annex B shall contain:

(a) the species listed in Appendix II to the Convention, other than those listed in Annex A, for which the Member States have not entered a reservation;

(b) the species listed in Appendix I to the Convention for which a reservation has been entered;

(c) any other species not listed in Appendices I or II to the Convention:

(i) which is subject to levels of international trade that might not be compatible:

– with its survival or with the survival of populations in certain countries, or

– with the maintenance of the total population at a level consistent with the role of the species in the ecosystems in which it occurs;

or

(ii) whose listing in the Annex for reasons of similarity in appearance to other species listed in Annex A or B, is essential in order to ensure the effectiveness of controls on trade in specimens of such species;

(d) species in relation to which it has been established that the introduction of live specimens into the natural habitat of the Ö Union Õ would constitute an ecological threat to wild species of fauna and flora indigenous to the Ö Union Õ.

3. Annex C shall contain:

(a) the species listed in Appendix III to the Convention, other than those listed in Annex A or B, for which the Member States have not entered a reservation;

(b) the species listed in Appendix II to the Convention for which a reservation has been entered.

4. Annex D shall contain:

(a) species not listed in Annexes A, B and C which are imported into the Ö Union Õ in such numbers as to warrant monitoring;

(b) the species listed in Appendix III to the Convention for which a reservation has been entered.

5. Where the conservation status of species covered by this Regulation warrants their inclusion in one of the Appendices to the Convention, the Member States shall contribute to the necessary amendments.

Article 4

Introduction into the Ö Union Õ

1. The introduction into the Ö Union Õ of specimens of the species listed in Annex A shall be subject to completion of the necessary checks and the prior presentation, at the border customs office at the point of introduction, of an import permit issued by a management authority of the Member State of destination.

The import permit may be issued only in accordance with the restrictions established pursuant to paragraph 6 and when the following conditions have been met:

(a) the competent scientific authority, after considering any opinion of the Scientific Review Group, has advised that the introduction into the Ö Union Õ:

(i) would not have a harmful effect on the conservation status of the species or on the extent of the territory occupied by the relevant population of the species,

(ii) is taking place:

– for one of the purposes referred to in Article 8(3)(e), (f) and (g), or

– for other purposes which are not detrimental to the survival of the species concerned;

(b) (i) the applicant provides documentary evidence that the specimens have been obtained in accordance with the legislation on the protection of the species concerned which, in the case of import from a third country of specimens of a species listed in the Appendices to the Convention, shall be an export permit or re-export certificate, or copy thereof, issued in accordance with the Convention by a competent authority of the country of export or re-export,

(ii) however, the issuance of import permits for species listed in Annex A in accordance with Article 3(1)(a) shall not require such documentary evidence, but the original of any such import permit shall be withheld from the applicant pending presentation of the export permit or re-export certificate;

(c) the competent scientific authority is satisfied that the intended accommodation for a live specimen at the place of destination is adequately equipped to conserve and care for it properly;

(d) the management authority is satisfied that the specimen is not to be used for primarily commercial purposes;

(e) the management authority is satisfied, following consultation with the competent scientific authority, that there are no other factors relating to the conservation of the species which militate against issuance of the import permit; and

(f) in the case of introduction from the sea, the management authority is satisfied that any live specimen will be so prepared and shipped as to minimise the risk of injury, damage to health or cruel treatment.

2. The introduction into the Ö Union Õ of specimens of the species listed in Annex B shall be subject to completion of the necessary checks and the prior presentation, at the border customs office at the point of introduction, of an import permit issued by a management authority of the Member State of destination.

The import permit may be issued only in accordance with the restrictions established pursuant to paragraph 6 and when:

(a) the competent scientific authority, after examining available data and considering any opinion of the Scientific Review Group, is of the opinion that the introduction into the Ö Union Õ would not have a harmful effect on the conservation status of the species or on the extent of the territory occupied by the relevant population of the species, taking account of the current or anticipated level of trade. This opinion shall be valid for subsequent imports as long as the abovementioned aspects have not changed significantly;

(b) the applicant provides documentary evidence that the intended accommodation for a live specimen at the place of destination is adequately equipped to conserve and care for it properly;

(c) the conditions referred to in paragraph 1(b)(i), (e) and (f) have been met.

3. The introduction into the Ö Union Õ of specimens of the species listed in Annex C shall be subject to completion of the necessary checks and the prior presentation, at the border customs office at the point of introduction, of an import notification and:

(a) in the case of export from a country mentioned in relation to the species concerned in Annex C, the applicant shall provide documentary evidence, by means of an export permit issued in accordance with the Convention by an authority of that country competent for the purpose, that the specimens have been obtained in accordance with the national legislation on the conservation of the species concerned; or

(b) in the case of export from a country not mentioned in relation to the species concerned in Annex C or re-export from any country, the applicant shall present an export permit, a re-export certificate or a certificate of origin issued in accordance with the Convention by an authority of the exporting or re-exporting country competent for the purpose.

4. The introduction into the Ö Union Õ of specimens of the species listed in Annex D shall be subject to completion of the necessary checks and the prior presentation of an import notification at the border customs office at the point of introduction.

5. The conditions for the issuance of an import permit as referred to in paragraph 1(a) and (d) and in paragraph 2(a), (b) and (c) shall not apply to specimens for which the applicant provides documentary evidence:

(a) that they had previously been legally introduced into or acquired in the Ö Union Õ and that they are, modified or not, being reintroduced into the Ö Union Õ; or

(b) that they are worked specimens that were acquired more than 50 years previously.

ê 398/2009 Art. 1 pt. 1(a) (adapted)

ð new

6. In consultation with the countries of origin concerned, in accordance with the regulatory procedure referred to in Article 18(2) and taking account of any opinion of the Scientific Review Group, the Commission may ð , by means of implementing acts, ï establish general restrictions, or restrictions relating to certain countries of origin, on the introduction into the Ö Union Õ:

ê 338/97 (adapted)

(a) on the basis of the conditions referred to in paragraph 1(a)(i) or (e), of specimens of species listed in Annex A;

(b) on the basis of the conditions referred to in paragraph 1(e) or paragraph 2(a), of specimens of species listed in Annex B; and

(c) of live specimens of species listed in Annex B which have a high mortality rate during shipment or for which it has been established that they are unlikely to survive in captivity for a considerable proportion of their potential life span; or

(d) of live specimens of species for which it has been established that their introduction into the natural environment of the Ö Union Õ presents an ecological threat to wild species of fauna and flora indigenous to the Ö Union Õ.

ò new

The implementing acts referred to in the first subparagraph shall be adopted in accordance with the examination procedure referred to in Article 21(2).

ê 338/97 (adapted)

The Commission shall on a quarterly basis publish a list of restrictions Ö established in accordance with the first subparagraph Õ, if any, in the Official Journal of the European Union.

ê 398/2009 Art. 1 pt. 1(b) (adapted)

ð new

7. Where special cases of transhipment, air transfer or rail transport occur following the introduction into the Ö Union Õ, ð the Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning the granting of ï derogations from the completion of the checks and the presentation of import documents at the border customs office at the point of introduction which are referred to in paragraphs 1 to 4 Ö of this Article, Õ shall be granted by the Commission in order to permit such checks and the presentation to be carried out at another customs office designated in accordance with Article 12(1).

Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ê 338/97 (adapted)

Article 5

Export or re-export from the Ö Union Õ

1. The export or re-export from the Ö Union Õ of specimens of the species listed in Annex A shall be subject to completion of the necessary checks and the prior presentation, at the customs office at which the export formalities are completed, of an export permit or re-export certificate issued by a management authority of the Member State in which the specimens are located.

2. An export permit for specimens of the species listed in Annex A may be issued only when the following conditions have been met:

(a) the competent scientific authority has advised in writing that the capture or collection of the specimens in the wild or their export will not have a harmful effect on the conservation status of the species or on the extent of the territory occupied by the relevant population of the species;

(b) the applicant provides documentary evidence that the specimens have been obtained in accordance with the legislation in force on the protection of the species in question; where the application is made to a Member State other than the Member State of origin, such documentary evidence shall be furnished by means of a certificate stating that the specimen was taken from the wild in accordance with the legislation in force on its territory;

(c) the management authority is satisfied that:

(i) any live specimen will be so prepared and shipped as to minimise the risk of injury, damage to health or cruel treatment, and

(ii) – the specimens of species not listed in Appendix I to the Convention will not be used for primarily commercial purposes, or

– in the case of export to a State party to the Convention of specimens of the species referred to in Article 3(1)(a) of this Regulation, an import permit has been issued;

and

(d) the management authority of the Member State is satisfied, following consultation with the competent scientific authority, that there are no other factors relating to the conservation of the species which militate against issuance of the export permit.

3. A re-export certificate may be issued only when the conditions referred to in paragraph 2(c) and (d) have been met and when the applicant provides documentary evidence that the specimens:

(a) were introduced into the Ö Union Õ in accordance with the provisions of this Regulation;

(b) if introduced into the Ö Union Õ before 3 March 1997, were introduced in accordance with the provisions of Council Regulation (EEC) No 3626/82[11]; or Ö if Õ introduced into the Ö Union Õ before the entry into force of this Regulation but after 3 March 1997, were introduced into the Ö Union Õ in accordance with the provisions of Regulation (EC) No 338/97; Ö or Õ

(c) if introduced into the Ö Union Õ before 1984, entered international trade in accordance with the provisions of the Convention; or

(d) were legally introduced into the territory of a Member State before the provisions of the Regulations referred to in (a) and (b) or of the Convention became applicable to them, or became applicable in that Member State.

4. The export or re-export from the Ö Union Õ of specimens of the species listed in Annexes B and C shall be subject to completion of the necessary checks and the prior presentation, at the customs office at which the export formalities are completed, of an export permit or re-export certificate issued by a management authority of the Member State in whose territory the specimens are located.

An export permit may be issued only when the conditions referred to in paragraph 2(a), (b), (c)(i) and (d) have been met.

A re-export certificate may be issued only when the conditions referred to in paragraph 2(c)(i) and (d) and in paragraph 3(a) to (d) have been met.

ê 398/2009 Art. 1 pt. 2(a) (adapted)

ð new

5. Where an application for a re-export certificate concerns specimens introduced into the Ö Union Õ under an import permit issued by another Member State, the management authority must first consult the management authority which issued the permit. ð The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning the establishment of ï the consultation procedures and Ö of Õ the cases in which consultation is necessary. shall be established by the Commission. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ê 338/97

6. The conditions for the issuance of an export permit or re-export certificate as referred to in paragraph 2(a) and (c)(ii) shall not apply to:

(a) worked specimens that were acquired more than 50 years previously; or

ê 338/97 (adapted)

(b) dead specimens and parts and derivatives thereof for which the applicant provides documentary evidence that they were legally acquired before the provisions of this Regulation, Ö of Regulation (EC) No 338/97 Õ or of Regulation (EEC) No 3626/82 or of the Convention became applicable to them.

ê 338/97

7. The competent scientific authority in each Member State shall monitor the issuance of export permits by that Member State for specimens of species listed in Annex B and actual exports of such specimens. Whenever such a scientific authority determines that the export of specimens of any such species should be limited in order to maintain that species throughout its range at a level consistent with its role in the ecosystem in which it occurs, and well above the level at which that species might become eligible for inclusion in Annex A in accordance with Article 3(1)(a) or (b)(i), the scientific authority shall advise the competent management authority, in writing, of suitable measures to be taken to limit the issuance of export permits for specimens of that species.

ê 398/2009 Art. 1 pt. 2(b) (adapted)

ð new

Whenever a management authority is advised of the measures referred to in the first subpragraph, it shall inform and send comments to the Commission. If appropriate, ð the Commission shall, by means of implementing acts, ï recommend restrictions on exports of the species concerned in accordance with the regulatory procedure referred to in Article 18(2). ð Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). ï

ê 338/97

Article 6

Rejection of applications for permits and certificates referred to in Articles 4, 5 and 10

1. When a Member State rejects an application for a permit or certificate in a case of significance in respect of the objectives of this Regulation, it shall immediately inform the Commission of the rejection and of the reasons for rejection.

2. The Commission shall communicate information received in accordance with paragraph 1 to the other Member States in order to ensure the uniform application of this Regulation.

3. When an application is made for a permit or certificate relating to specimens for which such an application has previously been rejected, the applicant must inform the competent authority to which the application is submitted of the previous rejection.

4. Member States shall recognise the rejection of applications by the competent authorities of the other Member States, where such rejection is based on the provisions of this Regulation.

However, the first subparagraph shall not apply where the circumstances have significantly changed or where new evidence to support an application has become available. In such cases, if a management authority issues a permit or certificate, it shall inform the Commission thereof, stating the reasons for issuance.

Article 7

Derogations

1. Specimens born and bred in captivity or artificially propagated

Save where Article 8 applies, specimens of species listed in Annex A that have been born and bred in captivity or artificially propagated shall be treated in accordance with the provisions applicable to specimens of species listed in Annex B.

In the case of artificially propagated plants, the provisions of Articles 4 and 5 may be waived under special conditions. laid down by the Commission

ê 398/2009 Art. 1 pt. 3(a) (adapted)

ð new

ð The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning: ï

(a) the criteria for determining whether a specimen has been born and bred in captivity or artificially propagated and whether for commercial purposes;

(b) the special conditions referred to in the second subparagraph of this paragraph relating to:

(i) the use of phytosanitary certificates;

(ii) trade by registered commercial traders and by the scientific institutions referred to in paragraph 4 of this Article; and

(iii) trade in hybrids.

, shall be specified by the Commission. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ê 338/97 (adapted)

2. Transit

By way of derogation from Article 4, where a specimen is in transit through the Ö Union Õ, checks and presentation at the border customs office at the point of introduction of the prescribed permits, certificates and notifications shall not be required.

In the case of species listed in the Annexes in accordance with Article 3(1) and Article 3(2)(a) and (b), the derogation referred to in the first subparagraph of this paragraph shall apply only where a valid export or re-export document provided for by the Convention, relating to the specimens that it accompanies and specifying the destination of the specimens, has been issued by the competent authorities of the exporting or re-exporting third country.

ê 398/2009 Art. 1 pt. 3(b)

ð new

If the document referred to in the second subparagraph has not been issued before export or re-export, the specimen must be seized and may, where applicable, be confiscated unless the document is submitted retrospectively in compliance with ð special ï the conditionsspecified by the Commission. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ò new

The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning the special conditions for submitting an export or re-export document retrospectively.

ê 398/2009 Art. 1 pt. 3(c) (adapted)

ð new

3. Personal and household effects

By way of derogation from Articles 4 and 5, the provisions of those Articles shall not apply to dead specimens, parts and derivatives of species listed in Annexes A to D which are personal or household effects being introduced into the Ö Union Õ, or exported or re-exported from the Union, in compliance with ð special ï provisions. that shall be specified by the Commission. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ò new

The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning the special provisions regarding the introduction, export or re-export of personal or household effects.

ê 398/2009 Art. 1 pt. 3(c) (adapted)

4. Scientific institutions

The documents referred to in Articles 4, 5, 8 and 9 shall not be required in the case of non-commercial loans, donations and exchanges between scientists and scientific institutions, registered by the management authorities of the States in which they are located, of herbarium specimens and other preserved, dried or embedded museum specimens, and of live plant material, bearing a label, the model of which has been established in accordance with the regulatory procedure referred to in Article 18(2) Ö second subparagraph of this paragraph Õ or a similar label issued or approved by a management authority of a third country.

ò new

The Commission shall, by means of implementing acts, establish a model for a label for live plant material. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2).

ê 338/97 (adapted)

Article 8

Provisions relating to the control of commercial activities

1. The purchase, offer to purchase, acquisition for commercial purposes, display to the public for commercial purposes, use for commercial gain and sale, keeping for sale, offering for sale or transporting for sale of specimens of the species listed in Annex A shall be prohibited.

2. Member States may prohibit the holding of specimens, in particular live animals of the species listed in Annex A.

3. In accordance with the requirements of other Ö Union Õ legislation on the conservation of wild fauna and flora, exemptions from the prohibitions referred to in paragraph 1 may be granted by the issuance of a certificate to that effect by a management authority of the Member State in which the specimens are located, on a case-by-case basis where the specimens:

(a) were acquired in, or were introduced into, the Ö Union Õ before the provisions relating to species listed in Appendix I to the Convention or in Annex C1 to Regulation (EEC) No 3626/82 or in Annex A Ö to Regulation (EC) No 338/97 or to this Regulation Õ became applicable to the specimens; or

(b) are worked specimens that were acquired more than 50 years previously; or

(c) were introduced into the Ö Union Õ in compliance with the provisions of Ö Regulation (EC) No 338/97 or of Õ this Regulation and are to be used for purposes which are not detrimental to the survival of the species concerned; or

ê 338/97

(d) are captive-born and bred specimens of an animal species or artificially propagated specimens of a plant species or are parts or derivatives of such specimens; or

(e) are required under exceptional circumstances for the advancement of science or for essential biomedical purposes pursuant to Council Directive 86/609/EEC[12] where the species in question proves to be the only one suitable for those purposes and where there are no specimens of the species which have been born and bred in captivity; or

(f) are intended for breeding or propagation purposes from which conservation benefits will accrue to the species concerned; or

(g) are intended for research or education aimed at the preservation or conservation of the species; or

(h) originate in a Member State and were taken from the wild in accordance with the legislation in force in that Member State.

ê 398/2009 Art. 1 pt. 4 (adapted)

ð new

4. ð The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning ï general derogations from the prohibitions referred to in paragraph 1 of this Article based on the conditions referred to in paragraph 3, as well as general derogations with regard to species listed in Annex A in accordance with point (ii) of Article 3(1)(b) may be defined by the Commission. Any such derogations must be in accordance with the requirements of other Ö Union Õ legislation on the conservation of wild fauna and flora. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ê 338/97 (adapted)

5. The prohibitions referred to in paragraph 1 shall also apply to specimens of the species listed in Annex B except where it can be proved to the satisfaction of the competent authority of the Member State concerned that such specimens were acquired and, if they originated outside the Ö Union Õ, were introduced into it, in accordance with the legislation in force for the conservation of wild fauna and flora.

6. The competent authorities of the Member States shall have discretion to sell any specimen of the species listed in Annexes B, C and D they have confiscated under this Regulation, provided that it is not thus returned directly to the person or entity from whom it was confiscated or who was party to the offence. Such specimens may then be treated for all purposes as if they had been legally acquired.

Article 9

Movement of live specimens

1. Any movement within the Ö Union Õ of a live specimen of a species listed in Annex A from the location indicated in the import permit or in any certificate issued in compliance with this Regulation shall require prior authorisation from a management authority of the Member State in which the specimen is located. In other cases of movement, the person responsible for moving the specimen must be able, where applicable, to provide proof of the legal origin of the specimen.

2. Such authorisation shall:

(a) be granted only when the competent scientific authority of such Member State or, where the movement is to another Member State, the competent scientific authority of the latter, is satisfied that the intended accommodation for a live specimen at the place of destination is adequately equipped to conserve and care for it properly;

(b) be confirmed by issuance of a certificate; and

(c) where applicable, be immediately communicated to a management authority of the Member State in which the specimen is to be located.

3. However, no such authorisation shall be required if a live animal must be moved for the purpose of urgent veterinary treatment and is returned directly to its authorised location.

4. Where a live specimen of a species listed in Annex B is moved within the Ö Union Õ, the holder of the specimen may relinquish it only after ensuring that the intended recipient is adequately informed of the accommodation, equipment and practices required to ensure the specimen will be properly cared for.

5. When any live specimens are transported into, from or within the Ö Union Õ or are held during any period of transit or transhipment, they shall be prepared, moved and cared for in a manner such as to minimise the risk of injury, damage to health or cruel treatment and, in the case of animals, in conformity with Ö Union Õ legislation on the protection of animals during transport.

ê 398/2009 Art. 1 pt. 5 (adapted)

ð new

6. The Commission ð shall be empowered to adopt delegated acts in accordance with Article 20 concerning ï may establish restrictions on the holding or movement of live specimens of such species in relation to which restrictions on introduction into the Ö Union Õ have been established in accordance with Article 4(6). Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ê 338/97

Article 10

Certificates to be issued

On receiving an application, together with all the requisite supporting documents, from the person concerned and provided that all the conditions governing their issuance have been fulfilled, a management authority of a Member State may issue a certificate for the purposes referred to in Article 5(2)(b), Article 5(3) and (4), Article 8(3) and Article 9(2)(b).

Article 11

Validity of and special conditions for permits and certificates

ê 338/97 (adapted)

1. Without prejudice to stricter measures which the Member States may adopt or maintain, permits and certificates issued by the competent authorities of the Member States in accordance with this Regulation shall be valid throughout the Ö Union Õ.

2. Any such permit or certificate, as well as any permit or certificate issued on the basis of it, shall be deemed void if a competent authority or the Commission, in consultation with the competent authority which issued the permit or certificate, establishes that it was issued on the false premise that the conditions for its issuance were met.

Specimens situated in the territory of a Member State and covered by such documents shall be seized by the competent authorities of that Member State and may be confiscated.

3. Any permit or certificate issued in accordance with this Regulation may stipulate conditions and requirements imposed by the issuing authority to ensure compliance with the provisions thereof. Where such conditions or requirements need to be incorporated in the design of permits or certificates, Member States shall inform the Commission thereof.

4. Any import permit issued on the basis of a copy of the corresponding export permit or re-export certificate shall be valid for the introduction of specimens into the Ö Union Õ only when accompanied by the original of the valid export permit or re-export certificate.

ê 398/2009 Art. 1 pt. 6 (adapted)

ð new

5. The Commission shall ð be empowered to adopt delegated acts in accordance with Article 20 concerning the ï establish time limits for the issuance of permits and certificates. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ê 338/97 (adapted)

Article 12

Places of introduction and export

1. Member States shall designate customs offices for carrying out the checks and formalities for the introduction into and export from the Ö Union Õ, in order to assign to them a customs-approved treatment or use, within the meaning of Regulation (EEC) No 2913/92, of specimens of species covered by this Regulation and shall state which offices are specifically intended to deal with live specimens.

2. All offices designated in accordance with paragraph 1 shall be provided with sufficient and adequately trained staff. Member States shall ensure that accommodation is provided in accordance with relevant Ö Union Õ legislation as regards the transport and accommodation of live animals and that, where necessary, adequate steps are taken for live plants.

3. All offices designated in accordance with paragraph 1 shall be notified to the Commission which shall publish a list of them in the Official Journal of the European Union.

ê 398/2009 Art. 1 pt. 7 (adapted)

ð new

4. In exceptional cases and in accordance with ð special ï the criteria defined by the Commission, a management authority may authorise the introduction into the Ö Union Õ or the export or re-export from the Union at a customs office other than one designated in accordance with paragraph 1. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

ò new

The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning the special criteria in accordance with which the introduction, export or re-export at another customs office may be authorised.

ê 338/97

ð new

5. Member States shall ensure that at border crossing-points the public are informed of the implementing provisions ð adopted pursuant to ï of this Regulation.

ê 338/97

Article 13

Management and scientific authorities and other competent authorities

1. Each Member State shall designate a management authority with primary responsibility for the implementation of this Regulation and for communication with the Commission.

Each Member State may also designate additional management authorities and other competent authorities to assist in the implementation, in which case the primary management authority shall be responsible for providing the additional authorities with all the information required for the correct application of this Regulation.

2. Each Member State shall designate one or more scientific authorities with appropriate qualifications whose duties shall be separate from those of any designated management authority.

ê 338/97 (adapted)

3. Not later than Ö 3 March 1997 Õ Member States shall forward the names and addresses of the designated management authorities, other authorities competent to issue permits or certificates and scientific authorities to the Commission, which shall publish this information in the Official Journal of the European Union.

ê 338/97

Each management authority referred to in the first subparagraph of paragraph 1 shall, if so requested by the Commission, communicate to it within two months the names and specimen signatures of the persons authorised to sign permits or certificates, and impressions of the stamps, seals or other devices used to authenticate permits or certificates.

Member States shall communicate to the Commission any changes in the information already provided, not later than two months after the implementation of such change.

Article 14

Monitoring of compliance and investigation of infringements

1. The competent authorities of the Member States shall monitor compliance with the provisions of this Regulation.

If, at any time, the competent authorities have reason to believe that these provisions are being infringed, they shall take the appropriate steps to ensure compliance or to instigate legal action.

Member States shall inform the Commission and, in the case of species listed in the Appendices to the Convention, the Convention Secretariat of any steps taken by the competent authorities in relation to significant infringements of this Regulation, including seizures and confiscations.

2. The Commission shall draw the attention of the competent authorities of the Member States to matters whose investigation it considers necessary under this Regulation. Member States shall inform the Commission and, in the case of species listed in the Appendices to the Convention, the Convention Secretariat of the outcome of any subsequent investigation.

3. An enforcement group shall be established consisting of the representatives of each Member State's authorities with responsibility for ensuring the implementation of the provisions of this Regulation. The group shall be chaired by the representative of the Commission.

The enforcement group shall examine any technical question relating to the enforcement of this Regulation raised by the chairman, either on his own initiative or at the request of the members of the group or the Committee.

The Commission shall convey the opinions expressed in the enforcement group to the Committee.

Article 15

Communication of information

1. The Member States and the Commission shall communicate to one another the information necessary for implementing this Regulation.

ê 338/97

ð new

The Member States and the Commission shall ensure that the necessary steps are taken to make the public aware and inform it of the provisions regarding the implementation of the Convention and of this Regulation and of the latter's implementing measures ð adopted pursuant to this Regulation ï.

ê 338/97

2. The Commission shall communicate with the Convention Secretariat so as to ensure that the Convention is effectively implemented throughout the territory to which this Regulation applies.

3. The Commission shall immediately communicate any opinion of the Scientific Review Group to the management authorities of the Member States concerned.

ê 338/97 (adapted)

è1 398/2009 Art. 1 pt. 8(a)(i)

è2 398/2009 Art. 1 pt. 8(a)(ii)

ð new

4. The management authorities of the Member States shall communicate to the Commission before 15 June each year all the information relating to the preceding year required for drawing up the reports referred to in Article VIII.7(a) of the Convention and equivalent information on international trade in all specimens of species listed in Annexes A, B and C and on introduction into the Ö Union Õ of specimens of species listed in Annex D. Ö The Commission shall, Õ ð by means of implementing acts, ï Ö specify Õ è1 the information to be communicated and the format for its presentation in accordance with the regulatory procedure referred to in Article 18(2). ç ð Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). ï

On the basis of the information referred to in the first subparagraph, the Commission shall publish before 31 October each year a statistical report on the introduction into, and the export and re-export from, the Ö Union Õ of specimens of the species to which this Regulation applies and shall forward to the Convention Secretariat information on the species to which the Convention applies.

Without prejudice to Article 22, the management authorities of the Member States shall, before 15 June of each second year, and for the first time in 1999, communicate to the Commission all the information relating to the preceding two years required for drawing up the reports referred to in Article VIII.7(b) of the Convention and equivalent information on the provisions of this Regulation that fall outside the scope of the Convention. Ö The Commission shall, Õ ð by means of implementing acts, ï Ö specify Õ è2 the information to be communicated and the format for its presentation in accordance with the regulatory procedure referred to in Article 18(2). ç ð Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). ï

On the basis of the information referred to in the third subparagraph, the Commission shall, before 31 October of each second year, and for the first time in 1999, draw up a report on the implementation and enforcement of this Regulation.

ê 398/2009 Art. 1 pt. 8(b)

ð new

5. With a view to the preparation of amendments to the Annexes, the competent authorities of the Member States shall forward all relevant information to the Commission. The Commission shall ð , by means of implementing acts, ï specify the information required, in accordance with the regulatory procedure referred to in Article 18(2). ð Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). ï

ê 338/97 (adapted)

è1 Corrigendum 338/97 (OJ L 298, 1.11.1997, p. 70)

6. è1 Without prejudice to Directive Ö 2003/4/EC of the European Parliament and of the Council Õ ç[13], the Commission shall take appropriate measures to protect the confidentiality of information obtained in the implementation of this Regulation.

Article 16

Sanctions

1. Member States shall take appropriate measures to ensure the imposition of sanctions for at least the following infringements of this Regulation:

(a) introduction into, or export or re-export from, the Ö Union Õ of specimens without the appropriate permit or certificate or with a false, falsified or invalid permit or certificate or one altered without authorisation by the issuing authority;

(b) failure to comply with the stipulations specified on a permit or certificate issued in accordance with this Regulation;

(c) making a false declaration or knowingly providing false information in order to obtain a permit or certificate;

(d) using a false, falsified or invalid permit or certificate or one altered without authorisation as a basis for obtaining a Ö Union Õ permit or certificate or for any other official purpose in connection with this Regulation;

(e) failure to make an import notification or making a false import notification;

(f) shipment of live specimens not properly prepared so as to minimise the risk of injury, damage to health or cruel treatment;

(g) use of specimens of species listed in Annex A other than in accordance with the authorisation given at the time of issuance of the import permit or subsequently;

(h) trade in artificially propagated plants contrary to the provisions laid down in accordance with the second subparagraph of Article 7(1);

(i) shipment of specimens into or out of or in transit through the territory of the Ö Union Õ without the appropriate permit or certificate issued in accordance with this Regulation and, in the case of export or re-export from a third country party to the Convention, in accordance therewith, or without satisfactory proof of the existence of such permit or certificate;

(j) purchase, offer to purchase, acquisition for commercial purposes, use for commercial gain, display to the public for commercial purposes, sale, keeping for sale, offering for sale or transporting for sale of specimens in breach of Article 8;

(k) use of a permit or certificate for any specimen other than one for which it was issued;

(l) falsification or alteration of any permit or certificate issued in accordance with this Regulation;

(m) failure to disclose the rejection of an application for a Ö Union Õ import, export or re-export permit or certificate, in accordance with Article 6(3).

2. The measures referred to in paragraph 1 shall be appropriate to the nature and gravity of the infringement and shall include provisions relating to the seizure and, where appropriate, confiscation of specimens.

3. Where a specimen is confiscated, it shall be entrusted to a competent authority of the Member State of confiscation which:

(a) following consultation with a scientific authority of that Member State, shall place or otherwise dispose of the specimen under conditions which it deems to be appropriate and consistent with the purposes and provisions of the Convention and this Regulation; and

(b) in the case of a live specimen which has been introduced into the Ö Union Õ, may, after consultation with the State of export, return the specimen to that State at the expense of the convicted person.

4. Where a live specimen of a species listed in Annex B or C arrives at a point of introduction into the Ö Union Õ without the appropriate valid permit or certificate, the specimen must be seized and may be confiscated or, if the consignee refuses to acknowledge the specimen, the competent authorities of the Member State responsible for the point of introduction may, if appropriate, refuse to accept the shipment and require the carrier to return the specimen to its place of departure.

Article 17

The Scientific Review Group

1. A Scientific Review Group is hereby established, consisting of the representatives of each Member State's scientific authority or authorities and chaired by the representative of the Commission.

2. The Scientific Review Group shall examine any scientific question relating to the application of this Regulation — in particular concerning Article 4(1)(a), (2)(a) and (6) — raised by the chairman, either on his own initiative or at the request of the members of the Group or the Committee.

3. The Commission shall convey the opinions of the Scientific Review Group to the Committee.

ê 398/2009 Art. 1 pt. 10 (adapted)

ð new

Article 18

Ö Further delegated powers Õ

1. In accordance with the regulatory procedure referred to in Article 18(2), the Commission shall adopt the measures referred to in Article 4(6), Article 5(7)(b), Article 7(4), the first and the third subparagraphs of Article 15(4), Article 15(5) and Article 21(3).

2. The Commission shall adopt the measures referred to in Article 4(7), Article 5(5), the third subparagraph of Article 7(1), the third subparagraph of Article 7(2), Article 7(3), Article 8(4), Article 9(6), Article 11(5) and Article 12(4). Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

1. The Commission shall ð be empowered to adopt delegated acts in accordance with Article 20 concerning the ï uniform conditions and criteria for:

(a) the issue, validity and use of the documents referred to in Article 4, Article 5, Article 7(4) and Article 10;

(b) the use of phytosanitary certificates referred to in point (a) of the second subparagraph of Article 7(1);

(c) the establishment of procedures, where necessary, for marking specimens in order to facilitate identification and ensure enforcement of the provisions of this Regulation.

Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

2. The Commission shall ð be empowered to ï adopt, where necessary, ð delegated acts in accordance with Article 20 concerning ï additional measures to implement resolutions of the Conference of the Parties to the Convention, decisions or recommendations of the Standing Committee of the Convention and recommendations of the Convention Secretariat. Those measures, designed to amend non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3).

3. The Commission shall ð be empowered to adopt delegated acts in accordance with Article 20 for the purpose of ï Ö amending Õ Annexes A to D, except in the case of amendments to Annex A which do not result from decisions of the Conference of the Parties to the Convention. Those measures, designed to amend non-essential elements of this Regulation, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(4).

Article 19

Ö Further implementing powers Õ

1. The Commission shall ð , by means of implementing acts, ï determine the design of the documents referred to in Article 4, Article 5, Article 7(4) and Article 10 in accordance with the regulatory procedure referred to in Article 18(2). ð Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). ï

ò new

2. The Commission shall, by means of implementing acts, prescribe a form for the presentation of the import notification. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2).

Article 20

Exercise of the delegation

1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2. The power to adopt delegated acts referred to in Article 4(7), Article 5(5), Article 7(1), (2) and (3), Article 8(4), Article 9(6), Article 11(5), Article 12(4) and Article 18(1), (2) and (3) shall be conferred on the Commission for an indeterminate period of time from [the date of entry into force of the basic legislative act or from any other date set by the legislator].

3. The delegation of powers referred to in Article 4(7), Article 5(5), Article 7(1), (2) and (3), Article 8(4), Article 9(6), Article 11(5), Article 12(4) and Article 18(1), (2) and (3) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5. A delegated act adopted pursuant to Article 4(7), Article 5(5), Article 7(1), (2) and (3), Article 8(4), Article 9(6), Article 11(5), Article 12(4) and Article 18(1), (2) and (3) shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of [two months] of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by [two months] at the initiative of the European Parliament or the Council.

ê 1882/2003 Art. 3 and Annex III pt. 66 (adapted)

Article 21

Ö Committee procedure Õ

1. The Commission shall be assisted by Ö a Committee which shall be referred to as the Committee on Trade in Wild Fauna and Flora Õ. Ö That committee shall be a committee within the meaning of Regulation (EU) No 182/2011. Õ

ê 1882/2003 Art. 3 and Annex III pt. 66

2. Where reference is made to this Article, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months. As regards the Committee's tasks referred to in points 1 and 2 of Article 19, if, on the expiry of a period of three months from the date of referral to the Council, the Council has not acted, the proposed measures shall be adopted by the Commission.

ê 398/2009 Art. 1 pt. 9(a)

3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

ê 398/2009 Art. 1 pt. 9(b)

4. Where reference is made to this paragraph, Article 5a(1) to (4) and (5)(b) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The time limits laid down in Article 5a(3)(c) and (4)(b) and (e) of Decision 1999/468/EC shall be set at one month, one month and two months respectively.

ò new

2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

ê 338/97

Article 22

Final provisions

Each Member State shall notify the Commission and the Convention Secretariat of the provisions which it adopts specifically for the implementation of this Regulation and of all legal instruments used and measures taken for its implementation and enforcement.

The Commission shall communicate that information to the other Member States.

ê

Article 23

Repeal

Regulation (EC) No 338/97 is repealed.

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Annex III.

ê 338/97 (adapted)

Article 24

Ö Entry into force Õ

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels,

For the European Parliament For the Council

The President The President

ê 101/2012 Art. 1 and Annex

ANNEX I

Notes on interpretation of Annexes A, B, C and D

1. Species included in these Annexes A, B, C and D are referred to:

(a) by the name of the species; or

(b) as being all of the species included in a higher taxon or designated part thereof.

2. The abbreviation “spp.” is used to denote all species of a higher taxon.

3. Other references to taxa higher than species are for the purposes of information or classification only.

4. Species printed in bold in Annex A are listed there in consistency with their protection as provided for by Council Directive 2009/147/EC[14] or Council Directive 92/43/EEC[15].

5. The following abbreviations are used for plant taxa below the level of species:

(a) “ssp.” is used to denote subspecies;

(b) “var(s).” is used to denote variety (varieties); and

(c) “fa.” is used to denote forma.

6. The symbols “(I)”, “(II)” and “(III)” placed against the name of a species or higher taxon refer to the Appendices to the Convention in which the species concerned are listed as indicated in notes 7 to 9. Where none of these annotations appears, the species concerned are not listed in the Appendices to the Convention.

7. (I) against the name of a species or higher taxon indicates that the species or higher taxon concerned is included in Appendix I to the Convention.

8. (II) against the name of a species or higher taxon indicates that the species or higher taxon concerned is included in Appendix II to the Convention.

9. (III) against the name of a species or higher taxon indicates that it is included in Appendix III to the Convention. In this case the country with respect to which the species or higher taxon is included in Appendix III is also indicated.

10. “Cultivar” means, following the definition of the 8th edition of the International Code of Nomenclature for Cultivated Plants, an assemblage of plants that (a) has been selected for a particular character or combination of characters, (b) is distinct, uniform, and stable in these characters, and (c) when propagated by appropriate means, retains those characters. No new taxon of a cultivar can be regarded as such until its category name and circumscription has been formally published in the latest edition of the International Code of Nomenclature for Cultivated Plants.

11. Hybrids may be specifically included in the Appendices but only if they form distinct and stable populations in the wild. Hybrid animals that have in their previous four generations of the lineage one or more specimens of species included in Annexes A or B shall be subject to the provisions of this Regulation just as if they were full species, even if the hybrid concerned is not specifically included in the Annexes.

12. When a species is included in Annex A, B or C, all parts and derivatives of the species are also included in the same Annex unless the species is annotated to indicate that only specific parts and derivatives are included. In accordance with Article 2(t) of this Regulation, the symbol “#” followed by a number placed against the name of a species or higher taxon included in Annex B or C designates parts or derivatives which are specified in relation thereto for the purposes of the Regulation as follows:

#1 || Designates all parts and derivatives, except: (a) seeds, spores and pollen (including pollinia); (b) seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers; (c) cut flowers of artificially propagated plants; and (d) fruits and parts and derivatives thereof of artificially propagated plants of the genus Vanilla.

#2 || Designates all parts and derivatives, except: (a) seeds and pollen; and (b) finished products packaged and ready for retail trade.

#3 || Designates whole and sliced roots and parts of roots.

#4 || Designates all parts and derivatives, except: (a) seeds (including seedpods of Orchidaceae), spores and pollen (including pollinia). The exemption does not apply to seeds from Cactaceae spp. exported from Mexico, and to seeds from Beccariophoenix madagascariensis and Neodypsis decaryi exported from Madagascar; (b) seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers; (c) cut flowers of artificially propagated plants; (d) fruits and parts and derivatives thereof of naturalized or artificially propagated plants of the genus Vanilla (Orchidaceae) and of the family Cactaceae; (e) stems, flowers, and parts and derivatives thereof of naturalized or artificially propagated plants of the genera Opuntia subgenus Opuntia and Selenicereus (Cactaceae); and (f) finished products of Euphorbia antisyphilitica packaged and ready for retail trade.

#5 || Designates logs, sawn wood and veneer sheets.

#6 || Designates logs, sawn wood, veneer sheets and plywood.

#7 || Designates logs, wood-chips, powder and extracts.

#8 || Designates underground parts (i.e. roots, rhizomes): whole, parts and powdered.

#9 || Designates all parts and derivatives, except those bearing a label “Produced from Hoodia spp. material obtained through controlled harvesting and production in collaboration with the CITES Management Authorities of Botswana/Namibia/South Africa under agreement no. BW/NA/ZA xxxxxx”.

#10 || Designates logs, sawn wood, veneer sheets, including unfinished wood articles used for the fabrication of bows for stringed musical instruments.

#11 || Designates logs, sawn wood, veneer sheets, plywood, powder and extracts.

#12 || Designates logs, sawn wood, veneer sheets, plywood and essential oil, excluding finished products packaged and ready for retail trade.

#13 || Designates the kernel (also known as “endosperm”, “pulp” or “copra”) and any derivative thereof.

13. As none of the species or higher taxa of FLORA included in Annex A is annotated to the effect that its hybrids shall be treated in accordance with the provisions of Article 4.1 of the Regulation, this means that artificially propagated hybrids produced from one or more of these species or taxa may be traded with a certificate of artificial propagation, and that seeds and pollen (including pollinia), cut flowers, seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers of these hybrids are not subject to the provisions of the Regulation.

14. Urine, faeces and ambergris which are waste products and gained without the manipulation of the animal concerned are not subject to the provisions of the Regulation.

15. In respect of fauna species listed in Annex D, the provisions shall apply only to live specimens and whole, or substantially whole, dead specimens except for taxa which are annotated as follows to show that other parts and derivatives are also covered:

§ 1 || Any whole, or substantially whole, skins, raw or tanned.

§ 2 || Any feathers or any skin or other part with feathers on it.

16. In respect of flora species listed in Annex D, the provisions shall apply only to live specimens except for taxa which are annotated as follows to show that other parts and derivatives are also covered:

§ 3 || Dried and fresh plants, including, where appropriate; leaves, roots/rootstock, stems, seeds/spores, bark and fruits.

§ 4 || Logs, sawn wood and veneer sheets.

|| Annex A || Annex B || Annex C || Common name

FAUNA || || || ||

CHORDATA (CHORDATES) || || || ||

MAMMALIA || || || || Mammals

ARTIODACTYLA || || || ||

Antilocapridae || || || || Pronghorn

Antilocapra americana (I) (Only the population of Mexico; no other population is included in the Annexes to this Regulation) || || || Mexican pronghorn

Bovidae || || || || Antelopes, cattle, duikers, gazelles, goats, sheep etc.

Addax nasomaculatus (I) || || || Addax

|| Ammotragus lervia (II) || || Barbary sheep

|| || Antilope cervicapra (III Nepal) || Blackbuck

|| Bison bison athabascae (II) || || Wood bison

Bos gaurus (I) (Excludes the domesticated form referenced as Bos frontalis which is not subject to the provisions of this Regulation) || || || Gaur

Bos mutus (I) (Excludes the domesticated form referenced as Bos grunniens which is not subject to the provisions of this Regulation) || || || Wild yak

Bos sauveli (I) || || || Kouprey

|| || Bubalus arnee (III Nepal) (Excludes the domesticated form referenced as Bubalus bubalis, which is not subject to the provisions of this Regulation) || Wild Asiatic buffalo

Bubalus depressicornis (I) || || || Lowland anoa

Bubalus mindorensis (I) || || || Tamarau

Bubalus quarlesi (I) || || || Mountain anoa

|| Budorcas taxicolor (II) || || Takin

Capra falconeri (I) || || || Markhor

Capricornis milneedwardsii (I) || || || Chinese serow

Capricornis rubidus (I) || || || Red serow

Capricornis sumatraensis (I) || || || Sumatran serow

Capricornis thar (I) || || || Himalayan serow

|| Cephalophus brookei (II) || || Brooke’s duiker

|| Cephalophus dorsalis (II) || || Bay duiker

Cephalophus jentinki (I) || || || Jentink’s duiker

|| Cephalophus ogilbyi (II) || || Ogilby’s duiker

|| Cephalophus silvicultor (II) || || Yellow-backed duiker

|| Cephalophus zebra (II) || || Zebra duiker

|| Damaliscus pygargus pygargus (II) || || Bontebok

Gazella cuvieri (I) || || || Cuvier’s gazelle

|| || Gazella dorcas (III Algeria / Tunisia) || Dorcas gazelle

Gazella leptoceros (I) || || || Slender-horned gazelle

Hippotragus niger variani (I) || || || Giant sable antelope

|| Kobus leche (II) || || Lechwe

Naemorhedus baileyi (I) || || || Red goral

Naemorhedus caudatus (I) || || || Long-tailed goral

Naemorhedus goral (I) || || || Himalayan goral

Naemorhedus griseus (I) || || || Chinese goral

Nanger dama (I) || || || Dama gazelle

Oryx dammah (I) || || || Scimitar-horned oryx

Oryx leucoryx (I) || || || Arabian oryx

|| Ovis ammon (II) (Except for the subspecies included in Annex A) || || Argali

Ovis ammon hodgsonii (I) || || || Tibetan argali

Ovis ammon nigrimontana (I) || || || Kara Tau argali

|| Ovis canadensis (II) (Only the population of Mexico; no other population is included in the Annexes to this Regulation) || || Mexican bighorn sheep

Ovis orientalis ophion (I) || || || Cyprus mouflon

|| Ovis vignei (II) (Except for the subspecies included in Annex A) || || Urial

Ovis vignei vignei (I) || || || Ladakh urial

Pantholops hodgsonii (I) || || || Chiru

|| Philantomba monticola (II) || || Blue duiker

Pseudoryx nghetinhensis (I) || || || Siola

Rupicapra pyrenaica ornata (I) || || || Abruzzo chamois

|| Saiga borealis (II) || || Mongolian saiga

|| Saiga tatarica (II) || || Steppe saiga

|| || Tetracerus quadricornis (III Nepal) || Four-horned antelope

Camelidae || || || || Camels, guanaco, vicuña

|| Lama guanicoe (II) || || Guanaco

Vicugna vicugna (I) (Except for the populations of: Argentina [the populations of the Provinces of Jujuy and Catamarca and the semi-captive populations of the Provinces of Jujuy, Salta, Catamarca, La Rioja and San Juan]; Bolivia [the whole population]; Chile [population of the Primera Región]; and Peru [the whole population]; which are included in Annex B) || Vicugna vicugna (II) (Only the populations of Argentina[16] [the populations of the Provinces of Jujuy and Catamarca and the semi-captive populations of the Provinces of Jujuy, Salta, Catamarca, La Rioja and San Juan]; Bolivia[17] [the whole population]; Chile[18] [population of the Primera Región]; Peru[19] [the whole population]; all other populations are included in Annex A) || || Vicuña

Cervidae || || || || Deer, huemuls, muntjacs, pudus

Axis calamianensis (I) || || || Calamian deer

Axis kuhlii (I) || || || Bawean deer

Axis porcinus annamiticus (I) || || || Indochina hog deer

Blastocerus dichotomus (I) || || || Marsh deer

|| Cervus elaphus bactrianus (II) || || Bactrian deer

|| || Cervus elaphus barbarus (III Algeria / Tunisia) || Barbary deer

Cervus elaphus hanglu (I) || || || Hangul

Dama dama mesopotamica (I) || || || Persian fallow deer

Hippocamelus spp. (I) || || || Huemuls

|| || Mazama temama cerasina (III Guatemala) || Central American red brocket

Muntiacus crinifrons (I) || || || Black muntjac

Muntiacus vuquangensis (I) || || || Giant muntjac

|| || Odocoileus virginianus mayensis (III Guatemala) || Guatemalan white-tailed deer

Ozotoceros bezoarticus (I) || || || Pampas deer

|| Pudu mephistophiles (II) || || Northern pudu

Pudu puda (I) || || || Southern pudu

Rucervus duvaucelii (I) || || || Barasingha

Rucervus eldii (I) || || || Eld’s deer

Hippopotamidae || || || || Hippopotamuses

|| Hexaprotodon liberiensis (II) || || Pygmy hippopotamus

|| Hippopotamus amphibius (II) || || Common hippopotamus

Moschidae || || || || Musk deer

Moschus spp. (I) (Only the populations of Afghanistan, Bhutan, India, Myanmar, Nepal and Pakistan; all other populations are included in Annex B) || Moschus spp. (II) (Except for the populations of Afghanistan, Bhutan, India, Myanmar, Nepal and Pakistan, which are included in Annex A) || || Musk deer

Suidae || || || || Babirusa, hogs, pigs

Babyrousa babyrussa (I) || || || Buru babirusa

Babyrousa bolabatuensis (I) || || || Bola Batu babirusa

Babyrousa celebensis (I) || || || North Sulawesi babirusa

Babyrousa togeanensis (I) || || || Malenge babirusa

Sus salvanius (I) || || || Pygmy hog

Tayassuidae || || || || Peccaries

|| Tayassuidae spp. (II) (Except for the species included in Annex A and excluding the populations of Pecari tajacu of Mexico and the United States, which are not included in the Annexes to this Regulation) || || Peccaries

Catagonus wagneri (I) || || || Chacoan peccary

CARNIVORA || || || ||

Ailuridae || || || ||

Ailurus fulgens (I) || || || Red panda

Canidae || || || || Dogs, foxes, wolves

|| || Canis aureus (III India) || Golden jackal

Canis lupus (I/II) (All populations except those of Spain north of the Duero and Greece north of the 39th parallel. Populations of Bhutan, India, Nepal and Pakistan are listed in Appendix I; all other populations are listed in Appendix II. Excludes the domesticated form and the dingo which are referenced as Canis lupus familiaris and Canis lupus dingo) || Canis lupus (II) (Populations of Spain north of the Duero and Greece north of the 39th parallel. Excludes the domesticated form and the dingo which are referenced as Canis lupus familiaris and Canis lupus dingo) || || Grey wolf

Canis simensis || || || Ethiopian wolf

|| Cerdocyon thous (II) || || Crab-eating fox

|| Chrysocyon brachyurus (II) || || Maned wolf

|| Cuon alpinus (II) || || Dhole

|| Lycalopex culpaeus (II) || || Culpeo

|| Lycalopex fulvipes (II) || || Darwin’s fox

|| Lycalopex griseus (II) || || South American grey fox

|| Lycalopex gymnocercus (II) || || Pampas fox

Speothos venaticus (I) || || || Bush dog

|| || Vulpes bengalensis (III India) || Bengal fox

|| Vulpes cana (II) || || Blanford’s fox

|| Vulpes zerda (II) || || Fennec fox

Eupleridae || || Cryptoprocta ferox (II) || || Fossa

|| Eupleres goudotii (II) || || Falanouc

|| Fossa fossana (II) || || Malagasy civet

Felidae || || || || Cats, cheetahs, leopards, lions, tigers etc.

|| Felidae spp. (II) (Except for the species included in Annex A. Specimens of the domesticated form are not subject to the provisions of this Regulation) || || Cats

Acinonyx jubatus (I) (Annual export quotas for live specimens and hunting trophies are granted as follows: Botswana: 5; Namibia: 150; Zimbabwe: 50. The trade in such specimens is subject to the provisions of Article 4.1 of this Regulation) || || || Cheetah

Caracal caracal (I) (Only the population of Asia; all other populations are included in Annex B) || || || Asian Caracal

Catopuma temminckii (I) || || || Asian golden cat

Felis nigripes (I) || || || Black-footed cat

Felis silvestris (II) || || || Wild cat

Leopardus geoffroyi (I) || || || Geoffroy’s cat

Leopardus jacobitus (I) || || || Andean mountain cat

Leopardus pardalis (I) || || || Ocelot

Leopardus tigrinus (I) || || || Oncilla

Leopardus wiedii (I) || || || Margay

Lynx lynx (II) || || || Eurasian lynx

Lynx pardinus (I) || || || Iberian lynx

Neofelis nebulosa (I) || || || Clouded leopard

Panthera leo persica (I) || || || Asiatic lion

Panthera onca (I) || || || Jaguar

Panthera pardus (I) || || || Leopard

Panthera tigris (I) || || || Tiger

Pardofelis marmorata (I) || || || Marbled cat

Prionailurus bengalensis bengalensis (I) (Only the populations of Bangladesh, India and Thailand; all other populations are included in Annex B) || || || Bengal leopard cat

Prionailurus iriomotensis (II) || || || Iriomote cat

Prionailurus planiceps (I) || || || Flat-headed cat

Prionailurus rubiginosus (I) (Only the population of India; all other populations are included in Annex B) || || || Rusty-spotted cat

Puma concolor coryi (I) || || || Florida cougar

Puma concolor costaricensis (I) || || || Costa Rican cougar

Puma concolor couguar (I) || || || Eastern cougar

Puma yagouaroundi (I) (Only the populations of Central and North America; all other populations are included in Annex B) || || || Jaguarundi

Uncia uncia (I) || || || Snow leopard

Herpestidae || || || || Mongooses

|| || Herpestes fuscus (III India) || Indian brown mongoose

|| || Herpestes edwardsi (III India) || Indian grey mongoose

|| || Herpestes javanicus auropunctatus (III India) || Small Indian mongoose

|| || Herpestes smithii (III India) || Ruddy mongoose

|| || Herpestes urva (III India) || Crab-eating mongoose

|| || Herpestes vitticollis (III India) || Stripe-necked mongoose

Hyaenidae || || || || Aardwolf, hyenas

|| || Proteles cristata (III Botswana) || Aardwolf

Mephitidae || || || || Skunks

|| Conepatus humboldtii (II) || || Humboldt’s hog-nosed skunk

Mustelidae || || || || Badgers, martens, weasels etc.

Lutrinae || || || || Otters

|| Lutrinae spp. (II) (Except for the species included in Annex A) || || Otters

Aonyx capensis microdon (I) (Only the populations of Cameroon and Nigeria; all other populations are included in Annex B) || || || Cameroon clawless otter

Enhydra lutris nereis (I) || || || Southern sea otter

Lontra felina (I) || || || Marine otter

Lontra longicaudis (I) || || || Neotropical otter

Lontra provocax (I) || || || Southern river otter

Lutra lutra (I) || || || European otter

Lutra nippon (I) || || || Japanese otter

Pteronura brasiliensis (I) || || || Giant otter

Mustelinae || || || || Grisons, martens, tayra, weasels

|| || Eira barbara (III Honduras) || Tayra

|| || Galictis vittata (III Costa Rica) || Greater grison

|| || Martes flavigula (III India) || Yellow-throated marten

|| || Martes foina intermedia (III India) || Stone marten

|| || Martes gwatkinsii (III India) || Nilgiri marten

|| || Mellivora capensis (III Botswana) || Honey badger

Mustela nigripes (I) || || || Black-footed ferret

Odobenidae || || || || Walrus

|| Odobenus rosmarus (III Canada) || || Walrus

Otariidae || || || || Fur seals, sealions

|| Arctocephalus spp. (II) (Except for the species included in Annex A) || || Fur seals

Arctocephalus philippii (II) || || || Juan Fernández fur seal

Arctocephalus townsendi (I) || || || Guadalupe fur seal

Phocidae || || || || Seals

|| Mirounga leonina (II) || || Southern elephant seal

Monachus spp. (I) || || || Monk seals

Procyonidae || || || || Coatis, olingos

|| || Bassaricyon gabbii (III Costa Rica) || Olingo

|| || Bassariscus sumichrasti (III Costa Rica) || Cacomistle

|| || Nasua narica (III Honduras) || White-nosed coati

|| || Nasua nasua solitaria (III Uruguay) || South Brazilian coati

|| || Potos flavus (III Honduras) || Kinkajou

Ursidae || || || || Bears

|| Ursidae spp. (II) (Except for the species included in Annex A) || || Bears

Ailuropoda melanoleuca (I) || || || Giant panda

Helarctos malayanus (I) || || || Sun bear

Melursus ursinus (I) || || || Sloth bear

Tremarctos ornatus (I) || || || Spectacled bear

Ursus arctos (I/II) (Only the populations of Bhutan, China, Mexico and Mongolia and the subspecies Ursus arctos isabellinus are listed in Appendix I; all other populations and subspecies are listed in Appendix II) || || || Brown bear

Ursus thibetanus (I) || || || Asian black bear

Viverridae || || || || Binturong, civets, linsangs, otter-civet, palm civet

|| || Arctictis binturong (III India) || Binturong

|| || Civettictis civetta (III Botswana) || African civet

|| Cynogale bennettii (II) || || Otter civet

|| Hemigalus derbyanus (II) || || Banded palm civet

|| || Paguma larvata (III India) || Masked palm civet

|| || Paradoxurus hermaphroditus (III India) || Asian palm civet

|| || Paradoxurus jerdoni (III India) || Jerdon’s palm civet

|| Prionodon linsang (II) || || Banded linsang

Prionodon pardicolor (I) || || || Spotted linsang

|| || Viverra civettina (III India) || Malabar large-spotted civet

|| || Viverra zibetha (III India) || Large Indian civet

|| || Viverricula indica (III India) || Small Indian civet

CETACEA || || || || Cetaceans (dolphins, porpoises, whales)

CETACEA spp. (I/II)[20] || || || Cetaceans

CHIROPTERA || || || ||

Phyllostomidae || || || || Broad-nosed bats

|| || Platyrrhinus lineatus (III Uruguay) || White-lined bat

Pteropodidae || || || || Fruit bats, flying foxes

|| Acerodon spp. (II) (Except for the species included in Annex A) || || Flying foxes

Acerodon jubatus (I) || || || Golden-capped fruit bat

|| Pteropus spp. (II) (Except for the species included in Annex A) || || Flying foxes

Pteropus insularis (I) || || || Ruck flying fox

Pteropus livingstonii (II) || || || Comoro flying fox

Pteropus loochoensis (I) || || || Japanese flying fox

Pteropus mariannus (I) || || || Marianas flying fox

Pteropus molossinus (I) || || || Caroline flying fox

Pteropus pelewensis (I) || || || Pelew flying fox

Pteropus pilosus (I) || || || Large Pelew flying fox

Pteropus rodricensis (II) || || || Rodrigues flying fox

Pteropus samoensis (I) || || || Samoan flying fox

Pteropus tonganus (I) || || || Pacific flying fox

Pteropus ualanus (I) || || || Kosrae flying fox

Pteropus voeltzkowi (II) || || || Pemba flying fox

Pteropus yapensis (I) || || || Yap flying fox

CINGULATA || || || ||

Dasypodidae || || || || Armadillos

|| || Cabassous centralis (III Costa Rica) || Northern naked-tailed armadillo

|| || Cabassous tatouay (III Uruguay) || Greater naked-tailed armadillo

|| Chaetophractus nationi (II) (A zero annual export quota has been established. All specimens shall be deemed to be specimens of species included in Annex A and the trade in them shall be regulated accordingly) || || Andean hairy armadillo

Priodontes maximus (I) || || || Giant armadillo

DASYUROMORPHIA || || || ||

Dasyuridae || || || || Dunnarts, marsupial mice, planigales

Sminthopsis longicaudata (I) || || || Long-tailed dunnart

Sminthopsis psammophila (I) || || || Sandhill dunnart

Thylacinidae || || || || Tasmanian wolf, thylacine

Thylacinus cynocephalus (possibly extinct) (I) || || || Thylacine

DIPROTODONTIA || || || ||

Macropodidae || || || || Kangaroos, wallabies

|| Dendrolagus inustus (II) || || Grizzled tree-kangaroo

|| Dendrolagus ursinus (II) || || Ursine tree-kangaroo

Lagorchestes hirsutus (I) || || || Rufous hare-wallaby

Lagostrophus fasciatus (I) || || || Banded hare-wallaby

Onychogalea fraenata (I) || || || Bridled nail-tail wallaby

Onychogalea lunata (I) || || || Crescent nail-tail wallaby

Phalangeridae || || || || Cuscus

|| Phalanger intercastellanus (II) || || Eastern common cuscus

|| Phalanger mimicus (II) || || Southern common cuscus

|| Phalanger orientalis (II) || || Northern common cuscus

|| Spilocuscus kraemeri (II) || || Admiralty Island cuscus

|| Spilocuscus maculatus (II) || || Common spotted cuscus

|| Spilocuscus papuensis (II) || || Waigeou cuscus

Potoroidae || || || || Rat-kangaroos

Bettongia spp. (I) || || || Bettongs

Caloprymnus campestris (possibly extinct) (I) || || || Desert rat-kangaroo

Vombatidae || || || || Wombats

Lasiorhinus krefftii (I) || || || Northern hairy-nosed wombat

LAGOMORPHA || || || ||

Leporidae || || || || Hares, rabbits

Caprolagus hispidus (I) || || || Hispid hare

Romerolagus diazi (I) || || || Volcano rabbit

MONOTREMATA || || || ||

Tachyglossidae || || || || Echidnas, spiny anteaters

|| Zaglossus spp. (II) || || Long-beaked echidnas

PERAMELEMORPHIA || || || ||

Chaeropodidae || || || || Bandicoots

Chaeropus ecaudatus (possibly extinct) (I) || || || Pig-footed bandicoot

Peramelidae || || || ||

Perameles bougainville (I) || || || Western barred bandicoot

Thylacomyidae || || || ||

Macrotis lagotis (I) || || || Greater bilby

Macrotis leucura (I) || || || Lesser bilby

PERISSODACTYLA || || || ||

Equidae || || || || Horses, wild asses, zebras

Equus africanus (I) (Excludes the domesticated form referenced as Equus asinus, which is not subject to the provisions of this Regulation) || || || African ass

Equus grevyi (I) || || || Grévy’s zebra

Equus hemionus (I/II) (The species is listed in Appendix II but subspecies Equus hemionus hemionus and Equus hemionus khur are listed in Appendix I) || || || Asiatic wild ass

Equus kiang (II) || || || Kiang

Equus przewalskii (I) || || || Przewalski’s horse

|| Equus zebra hartmannae (II) || || Hartmann’s mountain zebra

Equus zebra zebra (I) || || || Cape mountain zebra

Rhinocerotidae || || || || Rhinoceroses

Rhinocerotidae spp. (I) (Except for the subspecies included in Annex B) || || || Rhinoceroses

|| Ceratotherium simum simum (II) (Only the populations of South Africa and Swaziland; all other populations are included in Annex A. For the exclusive purpose of allowing international trade in live animals to appropriate and acceptable destinations and trade in hunting trophies. All other specimens shall be deemed to be specimens of species included in Annex A and trade in them shall be regulated accordingly) || || Southern white rhinoceros

Tapiridae || || || || Tapirs

Tapiridae spp. (I) (Except for the species included in Annex B) || || || Tapirs

|| Tapirus terrestris (II) || || South American tapir

PHOLIDOTA || || || ||

Manidae || || || || Pangolins

|| Manis spp. (II) (A zero annual export quota has been established for Manis crassicaudata, Manis culionensis, Manis javanica and Manis pentadactyla for specimens removed from the wild and traded for primarily commercial purposes) || || Pangolins

PILOSA || || || ||

Bradypodidae || || || || Three-toed sloths

|| Bradypus variegatus (II) || || Brown-throated sloth

Megalonychidae || || || || Two-toed sloth

|| || Choloepus hoffmanni (III Costa Rica) || Hoffmann’s two-toed sloth

Myrmecophagidae || || || || American anteaters

|| Myrmecophaga tridactyla (II) || || Giant anteater

|| || Tamandua mexicana (III Guatemala) || Northern tamandua

PRIMATES || || || || Primates (apes and monkeys)

|| PRIMATES spp. (II) (Except for the species included in Annex A) || || Primates

Atelidae || || || || Howlers, spider monkeys

Alouatta coibensis (I) || || || Coiba Island howler

Alouatta palliata (I) || || || Mantled howler

Alouatta pigra (I) || || || Guatemalan black howler

Ateles geoffroyi frontatus (I) || || || Black-browed spider monkey

Ateles geoffroyi panamensis (I) || || || Red spider monkey

Brachyteles arachnoides (I) || || || Southern muriqui

Brachyteles hypoxanthus (I) || || ||

Oreonax flavicauda (I) || || || Yellow-tailed woolly monkey

Cebidae || || || || Marmosets, tamarins, New-world monkeys

Callimico goeldii (I) || || || Goeldi’s marmoset

Callithrix aurita (I) || || || Buffy-tufted marmoset

Callithrix flaviceps (I) || || || Buffy-headed marmoset

Leontopithecus spp. (I) || || || Lion tamarins

Saguinus bicolor (I) || || || Pied tamarin

Saguinus geoffroyi (I) || || || Geoffroy’s tamarin

Saguinus leucopus (I) || || || White-footed tamarin

Saguinus martinsi (I) || || ||

Saguinus oedipus (I) || || || Cottontop tamarin

Saimiri oerstedii (I) || || || Central American squirrel monkey

Cercopithecidae || || || || Old-world monkeys

Cercocebus galeritus (I) || || || Tana River mangabey

Cercopithecus diana (I) || || || Diana monkey

Cercopithecus roloway (I) || || || Roloway monkey

Cercopithecus solatus (II) || || || Sun-tailed monkey

Colobus satanas (II) || || || Black colobus

Macaca silenus (I) || || || Lion-tailed macaque

Mandrillus leucophaeus (I) || || || Drill

Mandrillus sphinx (I) || || || Mandrill

Nasalis larvatus (I) || || || Proboscis monkey

Piliocolobus foai (II) || || || Central African red colobus

Piliocolobus gordonorum (II) || || || Uzungwa red colobus

Piliocolobus kirkii (I) || || || Zanzibar red colobus

Piliocolobus pennantii (II) || || || Pennant’s red colobus

Piliocolobus preussi (II) || || || Preuss’s red colobus

Piliocolobus rufomitratus (I) || || || Tana River red colobus

Piliocolobus tephrosceles (II) || || || Ugandan red colobus

Piliocolobus tholloni (II) || || || Thollon’s red colobus

Presbytis potenziani (I) || || || Mentawai langur

Pygathrix spp. (I) || || || Douc langurs

Rhinopithecus spp. (I) || || || Snub-nosed monkeys

Semnopithecus ajax (I) || || || Kashmir grey langur

Semnopithecus dussumieri (I) || || || Southern Plains grey langur

Semnopithecus entellus (I) || || || Northern Plains grey langur

Semnopithecus hector (I) || || || Tarai grey langur

Semnopithecus hypoleucos (I) || || || Black-footed grey langur

Semnopithecus priam (I) || || || Tufted grey langur

Semnopithecus schistaceus (I) || || || Nepal grey langur

Simias concolor (I) || || || Simakobou

Trachypithecus delacouri (II) || || || Delacour’s langur

Trachypithecus francoisi (II) || || || François’s langur

Trachypithecus geei (I) || || || Gee’s golden langur

Trachypithecus hatinhensis (II) || || || Hatinh langur

Trachypithecus johnii (II) || || || Nilgiri langur

Trachypithecus laotum (II) || || || Laotian langur

Trachypithecus pileatus (I) || || || Capped langur

Trachypithecus poliocephalus (II) || || || White-headed langur

Trachypithecus shortridgei (I) || || || Shortridge’s langur

Cheirogaleidae || || || || Dwarf lemurs and mouse-