Commission Regulation (EC) No 1808/2001 of 30 August 2001 laying down detailed rules concerning the implementation of Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein
Date: 2001-08-30
Institutions: European Commission
Subjects: customs regulations, marketing, protected species, protection of animal life, protection of plant life, trade restriction

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I

(Acts whose publication is obligatory)

COMMISSION REGULATION (EC) No 1808/2001

of 30 August 2001

laying down detailed rules concerning the implementation of Council Regulation (EC) No 338/97
on the protection of species of wild fauna and flora by regulating trade therein

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

(EC) No 338/97 require that provisions be specified to
ensure compliance with Article VII(3), of the Convention.

Having regard to the Treaty establishing the European
Community,

Having regard to Council Regulation (EC) No 338/97 of 9
December 1996 on the protection of species of wild fauna
and flora by regulating trade therein (1), as last amended by
Commission Regulation (EC) No 1579/2001 (2),
and in
particular Article 19(1), (2) and (4) thereof,

Whereas:

1. Provisions are required to implement Regulation (EC) No
338/97 and to ensure full compliance with the provisions
of the Convention on International Trade in Endangered
Species of Wild Fauna and Flora (CITES)
(hereinafter
referred to as (cid:145)the Convention(cid:146)).

2. In order to ensure the uniform implementation of Regu-
lation (EC) No 338/97, it is necessary to lay down detailed
conditions and criteria for the consideration of permit and
certificate applications and for the issue, validity and use of
such documents. It is accordingly appropriate to lay down
models to which the said forms must correspond.

3. It

is further necessary to lay down detailed provisions
relating to the conditions and criteria for the treatment
of specimens of animal species that are born and bred in
captivity and of
that are
specimens of plant
artificially propagated in order to ensure the common
the derogations applicable to such
implementation of
specimens.

species

5. In order to ensure that general derogations from the
trade prohibitions contained in Article 8(1) of
internal
Regulation (EC) No 338/97 are uniformly applied,
it is
necessary to lay down conditions and criteria with regard
to their definition.

6. It is necessary to establish procedures for the marking of
certain specimens of species in order to facilitate their
identification and ensure enforcement of
the provisions
of Regulation (EC) No 338/97.

7. Provisions should be laid down regarding the contents,
form and submission of the periodic reports provided for
in Regulation (EC) No 338/97.

8. In order for future amendments to the Annexes to Regu-
relevant
available, particularly on the
their use and

lation (EC) No 338/97 to be considered all
information must be
biological and trade status of
methods of controlling trade.

species,

9. Commission Regulation (EC) No 939/97 of 26 May 1997
laying down detailed rules concerning the implementation
of Council Regulation (EC) No 338/97 on the protection of
species of wild fauna and flora by regulating trade
therein (3), as
last amended by Regulation (EC) No
1006/98 (4), has been substantially
amended several
times;
it
should,
repealed and
interest of
replaced by a new regulation.

since further amendments are to be made,

clarity, be

in the

4. The derogations for specimens that are personal and
household effects provided for in Article 7(3) of Regulation

10. The measures provided for

in this Regulation are in
accordance with the opinion of the Committee on Trade
in Wild Fauna and Flora,

(1) OJ L 61, 3.3.1997, p. 1.
(2) OJ L 209, 2.8.2001, p. 14.

(3) OJ L 140, 30.5.1997, p. 9.
(4) OJ L 145, 15.5.1998, p. 3.

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HAS ADOPTED THIS REGULATION:

CHAPTER I

DEFINITIONS AND FORMS

Article 1

For the purposes of this Regulation and in addition to the
definitions in Article 2 of Regulation (EC) No 338/97:

(a)

(cid:145)date of acquisition(cid:146) shall mean the date on which a
specimen was taken from the wild, born in captivity or
artificially propagated;

(b) (cid:145)first generation offspring (F1)(cid:146)

shall mean specimens
produced in a controlled environment
from parents at
least one of which was conceived in or taken from the
wild;

(c)

offspring

generation

(cid:145)second
(cid:145)subsequent
generation offspring (F3, F4, etc.)(cid:146) shall mean specimens
produced in a controlled environment from parents that
were also produced in a controlled environment;

(F2)(cid:146)

and

(d) (cid:145)breeding stock(cid:146) shall mean all the animals in a breeding

operation that are used for reproduction;

(e)

(cid:145)a controlled environment(cid:146) shall mean an environment that
is manipulated for the purpose of producing animals of a
particular species, that has boundaries designed to prevent
animals, eggs or gametes of the species from entering or
leaving the controlled environment, and the general charac-
teristics of which may include but are not
limited to
artificial housing, waste removal, health care, protection
from predators and the artificial supply of food;

(f)

(cid:145)a person normally residing in the Community(cid:146) shall mean
a person who lives in the Community for at least 185 days
in each calendar year because of occupational ties, or, in
the case of a person with no occupational ties, because of
personal ties which show close links between that person
and the place where he/she is living.

The forms on which the certificates referred to in Article
3.
10 of Regulation (EC) No 338/97 and applications for such
certificates are drawn up shall conform, except as regards
spaces reserved for national use, to the model in Annex III.
the
Member States may, however, provide that,
preprinted text, boxes 18 and 19 shall only contain the
relevant certification and/or authorisation.

instead of

The form of

4.
Regulation (EC) No 338/97 shall conform to the model
Annex IV.

the labels referred to in Article 7(4) of
in

Article 3

1.
The paper used for the forms referred to in Article 2 shall
be free of mechanical pulp, dressed for writing purposes and
weigh at least 55 g/m2.

2.
The size of the forms referred to in Article 2(1), (2) and
(3) shall be 210 (cid:215) 297 mm (A4) with a maximum tolerance as
to length of 18 mm less and 8 mm more.

The paper of the forms referred to in Article 2(1) shall

3.
be:

(a) white for form 1, the original, with a guilloche pattern
background, printed in grey on the front, so as to reveal
any falsification by mechanical or chemical means;

(b) yellow for form 2, the copy for the holder;

(c) pale green for form 3,

the copy for the exporting or
re-exporting country in the case of an import permit, or
the copy for return by customs to the issuing authority in
the case of an export permit or re-export certificate;

(d) pink for form 4, the copy for the issuing authority;

(e) white for form 5, the application.

The paper of the forms referred to in Article 2(2) shall

4.
be:

Article 2

(a) white for form 1, the original;

The forms on which import permits, export permits,
1.
re-export certificates and applications for such documents are
drawn up shall conform, except as regards spaces reserved for
national use, to the model in Annex I.

(b) yellow for form 2, the copy for the importer.

The paper of the forms referred to in Article 2(3) shall

5.
be:

2.
The forms on which import notifications are drawn up
shall conform, except as regards spaces reserved for national
use, to the model
in Annex II. They may contain a serial
number.

(a) yellow for form 1, the original, with a guilloche pattern
background, printed in grey on the front, so as to reveal
any falsification by mechanical or chemical means;

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(b) pink for form 2, the copy for the issuing authority;

(d) where required,

the purpose of a transaction shall be
indicated using one of the codes contained in point 1 of
Annex VII;

(c) white for form 3, the application.

The paper of the labels referred to in Article 2(4) shall be

6.
white.

The forms referred to in Article 2 shall be printed and
7.
completed in one of
the official Community languages as
specified by the management authorities of each Member
State. They shall, where necessary, contain a translation of
their contents in one of the official working languages of the
Convention.

(e)

the source of specimens shall be indicated using one of the
codes contained in point 2 of Annex VII and, where the
use of such codes is subject to criteria laid down in Regu-
lation (EC) No 338/97 or in this Regulation being met,
only in compliance with such criteria.

If an annex is attached to any of the forms referred to in
4.
Article 2 which is an integral part of it, that fact and the
number of pages shall be clearly indicated on the permit or
certificate concerned and each page of the Annex shall include:

8. Member States shall be responsible for the printing of the
forms referred to in Article 2, which, in the case of the forms
referred to in Article 2(1),
(2) and (3), may be part of a
computerised permit/certificate issuing process.

(a) the number of the permit or certificate and its date of issue;

and

CHAPTER II

(b) the signature and the stamp or seal of the authority having

issued the permit or certificate.

PERIOD OF ISSUE, VALIDITY AND USE OF DOCUMENTS

SECTION 1

General

Article 4

1.
Forms shall be completed in typescript. Applications for
the permits and certificates referred to in Article 2(1) and (3),
the import notifications referred to in Article 2(2) and the
labels referred to in Article 2(4) may, however, be completed
legibly in manuscript, in ink and in block capitals.

Forms other

than application forms and the labels
2.
referred to in Article 2(4) may not contain any erasures or
alterations, unless they have been authenticated by the stamp
and signature of the issuing management authority, or, in the
case of the import notifications referred to in Article 2(2), by
the stamp and signature of the customs office of introduction.

In permits and certificates, as well as in applications for

3.
the issue of such documents:

(a) the description of specimens shall, where it is provided for,

include one of the codes contained in Annex V;

(b) for the indication of units of quantity and net mass, those

contained in Annex V shall be used;

(c)

the standard references for nomenclature contained in
Annex VI shall be used to indicate the scientific names of
species;

in addition to the

Where the form referred to in Article 2(1) is used for more
than one species in a shipment, an annex shall be attached
first
which,
subparagraph of this paragraph, shall, for each species in the
shipment, reproduce boxes 8 to 22 of the form concerned as
well as the spaces contained in box 27 thereof for the inclusion
of the (cid:145)quantity/net mass actually imported(cid:146) and, where appro-
priate, (cid:145)number of animals dead on arrival(cid:146).

requirements of

the

Where the form referred to in Article 2(3) is used for more
than one species, an annex shall be attached which, in addition
to the requirements of the first subparagraph of this paragraph,
shall, for each species, reproduce boxes 4 to 18 of the form
concerned.

they mention the total number of

5.
The provisions of paragraphs 1, 2, 3(c) and (d) and 4
shall also be applied in the context of decisions on the accepta-
bility of permits and certificates issued by third countries for
specimens to be introduced into the Community. Where such
documents concern specimens subject
to voluntarily fixed
export quotas or export quotas allocated by the Conference
of the Parties to the Convention, they shall only be accepted
specimens already
if
exported in the current year, including those covered by the
permit in question, and the quota for the species concerned.
Re-export certificates issued by third countries shall further
only be accepted if they specify the country of origin and
the number and date of issue of the relevant export permit
and, where applicable, the country of last re-export and the
number and date of issue of the relevant re-export certificate,
or contain a satisfactory justification for the omission of such
information.

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Article 5

1.
Documents shall be issued and used in accordance with
the provisions and under the conditions laid down in this
Regulation and in Regulation (EC) No 338/97, and in particular
Article 11(1) to (4) thereof. They may contain stipulations,
conditions and requirements imposed by the issuing authority
in order to ensure compliance with these Regulations and with
the provisions of Member States’ legislation on their implemen-
tation.

2.
The use of documents shall be without prejudice to any
other formalities relating to the movement of goods within the
Community, to the introduction of goods into the Community
or to their export or re-export therefrom and to the forms used
for such formalities.

3.
As a general rule, management authorities shall decide on
the issue of permits and certificates within one month from the
date of submission of a complete application. However, where
the issuing authority consults third parties, such a decision may
only be taken after the satisfactory completion of such consul-
tation. Applicants shall be notified of significant delays in
processing their applications.

live specimens referred to therein have died, where live animals
have escaped, where specimens were destroyed, or where any
of the entries in boxes 2 and 4 of a certificate, or boxes 3, in
the case of species listed in Annex A to Regulation (EC) No
338/97, 6 and 8 of a copy for the holder of a used import
permit, no longer reflect the actual situation.

The certificates referred to in Article 20(3)(e) and Article 30
shall cease to be valid when the entry in box 1 no longer
reflects the actual situation.

Such documents shall without undue delay be returned to the
issuing authority which, where appropriate, may issue a
certificate reflecting such changes in accordance with Article
21.

3. When a permit or certificate is issued to replace a
lost, stolen, destroyed, or
document that has been cancelled,
in the case of a permit or re-export certificate, has
that,
replaced
expired,
indicate
document and the reason for the replacement
in the box
reserved for the entry of (cid:145)special conditions(cid:146).

the number of

shall

the

it

Article 6

A separate import permit, import notification, export permit
or re-export certificate shall be issued for each shipment of
specimens shipped together as part of one load.

4. When an export permit or re-export certificate has been
lost, stolen, or destroyed, the issuing management
cancelled,
the
inform the management authority of
authority shall
country of destination and the secretariat of the Convention
thereof.

Article 7

1.
The period of validity of Community import permits shall
not exceed 12 months. An import permit shall, however, not
be valid in the absence of a valid corresponding document
from the country of export or re-export.

Article 8

1.
Import permits, export permits and re-export certificates
shall, taking account of Article 5(3), be applied for in sufficient
time to allow their issue prior to the introduction of specimens
into or their export or re-export from the Community.

The period of validity of Community export permits and
re-export certificates shall not exceed six months.

the Community permits and certificates
After their expiry,
referred to in the first and second subparagraphs shall be
considered as void and of no legal value whatsoever.

The holder shall without undue delay return the original and
all copies of an expired or unused Community import permit,
export permit or
issuing
management authority.

certificate

re-export

to the

Specimens shall not be authorised to be assigned to a customs
procedure until
requisite
documents.

the presentation of

after

the

introduction of

In the case of

into the
2.
Community,
the requisite documents from third countries
shall only be considered valid where they have been issued
and used for export or re-export from that country prior to
their last day of validity and are used for introduction into the
Community no later than six months from their date of issue.

specimens

2.
The certificates referred to in Article 20 and copies for
the holder of used import permits shall cease to be valid when

However, certificates of origin for specimens of species listed in
Annex C to Regulation (EC) No 338/97 may be used for intro-
duction into the Community until 12 months from their date
of issue.

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of

By way

derogation

from paragraph 1,

first
3.
subparagraph, and paragraph 2 and provided the importer/
(re-)exporter informs the competent management authority
on arrival/before departure of a shipment of the reasons why
for
the required documents are not available, documents
specimens of species listed in Annex B or C to Regulation
(EC) No 338/97, as well as for specimens of species listed in
Annex A to that Regulation and referred to in Article 4(5)
thereof, may exceptionally be issued retrospectively where the
competent management authority of the Member State, where
appropriate in consultation with the competent authorities of a
third country, is satisfied that:

(a) any irregularities which have occurred are not attributable

to the (re-)exporter and/or the importer; and

(b) that the (re-)export/import of the specimens concerned is

otherwise in compliance with the provisions of:

(i) Regulation (EC) No 338/97,

(ii) the Convention, and

(iii) the relevant legislation of a third country.

4.
Export permits and re-export certificates issued pursuant
to paragraph 3 shall clearly indicate that they have been issued
retrospectively and the reasons for such issue. In the case of
Community import permits, export permits and re-export
certificates, this indication shall be included in box 23.

5. With the exception of paragraph 3(b)(i), the provisions of
paragraphs 2, 3 and 4 shall, in accordance with Article 7(2)(c)
of Regulation (EC) No 338/97, apply mutatis mutandis
to
specimens of species listed in Annexes A and B to that Regu-
lation which are in transit through the Community.

6.
In the case of artificially propagated plants of species
listed in Annexes B and C to Regulation (EC) No 338/97 and
of artificially propagated hybrids produced from unannotated
species listed in Annex A thereto, Member States may provide
that a plant health certificate shall be used instead of an export
permit or re-export certificate. When issued by third countries,
such plant health certificates shall be accepted instead of an
export permit or re-export certificate.

7. Where a plant health certificate referred to in paragraph 6
is used, it shall include the scientific name at the species level
or, if this is impossible for those taxa included by family in the
Annexes to Regulation (EC) No 338/97, at the generic level,
listed in
whereas artificially propagated orchids and cacti

shall also include

Annex B thereto may be referred to as such. Plant health
certificates
the type and quantity of
specimens and bear a stamp, seal or other specific indication
stating that (cid:145)the specimens are artificially propagated as defined
by CITES(cid:146).

SECTION 2

Import permits

Article 9

1.
The applicant must, where appropriate, complete boxes 1,
3 to 6 and 8 to 23 of the application form and boxes 1, 3, 4, 5
and 8 to 22 of the original and all copies. Member States may,
however, provide that only an application form is to be
completed,
in which case such an application may relate to
more than one shipment.

that

evidence

documentary

The duly completed form(s) must be submitted to the
2.
the Member State of destination
management authority of
and shall contain the information and be accompanied by
the
deems
necessary in order to allow it to determine whether, on the
basis of Article 4 of Regulation (EC) No 338/97, a permit
information from the
should be issued. The omission of
application must be justified. When an application is made
for a permit
for which such an
application has previously been rejected, the applicant must
inform the management authority of such a previous rejection.

relating to specimens

authority

that

Article 10

In the case of an import permit issued for specimens of
1.
species included in Appendix I to the Convention and listed in
Annex A to Regulation (EC) No 338/97, the (cid:145)copy for the
exporting or re-exporting country(cid:146) may be returned to the
applicant for submission to the management authority of the
in
country of
accordance with Article 4(1)(b)(ii) of Regulation (EC) No
338/97, be withheld pending presentation of the corresponding
export permit or re-export certificate.

re-export. The original

export or

shall,

2. Where the (cid:145)copy for
re-exporting
country(cid:146) is not returned to the applicant, the latter shall be
that an import permit will be
given a written statement
issued and on what conditions.

the exporting or

Article 11

Without prejudice to Article 23, the importer or his authorised
representative shall surrender the original (form 1), the (cid:145)copy
for the holder(cid:146)
(form 2) and, where this is specified in the
import permit, any documentation from the country of
export or re-export to the border customs office at the point
of introduction into the Community, designated in accordance
with Article 12(1) of Regulation (EC) No 338/97. Where appro-
priate, he shall indicate the number of the bill of lading or air
waybill in box 26.

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Article 12

The customs office referred to in Article 11, or, where
applicable, Article 23(1), shall, after completing box 27 of
the original (form 1) and the (cid:145)copy for the holder(cid:146) (form 2),
return the latter to the importer or to his authorised represen-
tative. The original (form 1) and any documentation from the
country of export or re-export shall be forwarded as specified
in Article 19.

SECTION 3

Import notifications

Article 13

The importer or his authorised representative must, where
appropriate, complete boxes 1 to 13 of the original (form 1)
and the (cid:145)copy for the importer(cid:146) (form 2) of the import notifi-
cation and, without prejudice to Article 23, surrender them
together with the documentation from the country of export
or re-export, if any, to the border customs office at the point of
introduction into the Community designated in accordance
with Article 12(1) of Regulation (EC) No 338/97.

Article 14

The customs office referred to in Article 13, or, where
applicable, Article 23(1), shall, after completing box 14 of
the original
(form 1) and the (cid:145)copy for the importer(cid:146) (form
2), return the latter to the importer or to his authorised
representative. The original (form 1) and any documentation
from the country of export or re-export shall be forwarded as
specified in Article 19.

SECTION 4

Export permits and re-export certificates

Article 15

1.
The applicant must, where appropriate, complete boxes 1,
3, 4, 5 and 8 to 23 of the application form and boxes 1, 3, 4
and 5 and 8 to 22 of the original and all copies. Member States
may, however, provide that only an application form is to be
completed,
in which case such an application may relate to
more than one shipment.

authority of

accompanied by

the Member State

The duly completed form(s) must be submitted to the
2.
management
in whose
territory the specimens are located and shall contain the
information and be
the documentary
evidence that the authority deems necessary to allow it to
determine whether, on the basis of Article 5 of Regulation
(EC) No 338/97, a permit/certificate should be issued. The
omission of information from the application must be justified.
When an application is made for a permit or certificate relating
to specimens for which such an application has previously
been rejected,
inform the management
authority of such a previous rejection.

the applicant must

3. Where in support of an application for a re-export
certificate a (cid:145)copy for the holder(cid:146) of an import permit, a
the importer(cid:146) of an import notification, or a
(cid:145)copy for
certificate issued on the basis thereof,
is presented, such
shall only be returned to the applicant after
documents
for which the
amendment of
document
shall not be
returned to the applicant
the re-export certificate is
if
granted for the total number of specimens for which it is
valid, or where it is replaced in accordance with Article 21.
The management authority shall establish the validity of any
supporting documents, where necessary in consultation with a
management authority of another Member State.

remains valid. Such a document

the number of

specimens

The provisions of the first subparagraph shall also apply where
a certificate is presented in support of an application for an
export permit.

Where, under the supervision of a management authority of a
Member State, specimens have been individually marked so as
to allow an easy reference to the documents referred to in the
first and second subparagraphs, the latter shall not be required
to be physically presented together with the application,
provided that their number is included in the application.

second and third subparagraphs,
establish the

In the absence of the supporting evidence referred to in the
the management
first,
introduction into or
authority shall
legal
acquisition in the Community of
to be
the specimens
(re-)exported, where necessary
in consultation with a
management authority of another Member State.

4. Where, for the purposes of paragraph 3, a management
authority consults a management authority of another Member
State, the latter shall respond within a period of one week.

Article 16

(form 1),

(re-)exporter or his

authorised representative

shall
The
surrender the original
the (cid:145)copy for the holder(cid:146)
(form 2) and the (cid:145)copy for return to the issuing authority(cid:146)
(form 3) to a customs office designated in accordance with
Article 12(1) of Regulation (EC) No 338/97. Where appro-
priate, he shall indicate the number of the bill of lading or
air waybill in box 26.

Article 17

The customs office referred to in Article 16 shall, after
completing box 27, return the original
(form 1) and the
(cid:145)copy for the holder(cid:146) (form 2) to the (re-)exporter or to his
authorised representative. The (cid:145)copy for return to the issuing
authority(cid:146) (form 3) shall be forwarded as specified in Article 19.

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Article 18

Where a Member State,
in compliance with the guidelines
adopted by the Conference of the Parties to the Convention,
registers nurseries exporting artificially propagated specimens
of species included in Annex A to Regulation (EC) No 338/97,
it may make pre-issued export permits for species listed in
Annexes A or B available to the nurseries concerned on
which, in box 23, the registration number of the nursery as
well as the following statement is included:

(c) were acquired in, or were introduced into the Community
in accordance with the provisions of Regulation (EC) No
338/97; or

(d) were acquired in, or were introduced into the Community
before 1 June 1997 in accordance with Council Regulation
(EEC) No 3626/82 (1); or

(cid:145)Permit valid only for artificially propagated plants as defined
by CITES resolution Conf. 11.11. Valid only for the following
taxa: . . . . . .(cid:146).

(e) were acquired in, or were introduced into the Community
before 1 January 1984 in accordance with the provisions of
the Convention; or

SECTION 5

The return to issuing authorities of documents presented
to customs

Article 19

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

shall without delay forward to the
Customs offices
1.
relevant management
all
authority
documents which have been presented to them in accordance
with the provisions of Regulation (EC) No 338/97 and of this
Regulation.

country

their

of

authorities

Management
shall
without delay forward those issued by other Member States
to the relevant management authorities together with any
supporting CITES documents.

receiving such documents

2.
By way of derogation from paragraph 1, customs offices
may confirm the presentation of documents issued by the
management authority of
their Member State in electronic
form.

3.
A certificate for the purposes of Article 8(3) of Regu-
lation (EC) No 338/97 shall state that specimens of species
listed in Annex A thereto are exempted from one or more of
the prohibitions of Article 8(1) thereof because they:

(a) were acquired in, or were introduced into, the Community
when the provisions relating to species listed in that Annex
or in Appendix I to the Convention or in Annex C1 to
Regulation (EEC) No 3626/82 were not applicable to them;
or

(b) originate in a Member State and were taken from the wild
in accordance with the legislation in force on its territory;
or

SECTION 6

Certificates provided for in Article 10 of Regulation (EC)
No 338/97

(c) are abandoned or escaped specimens that were recovered in
accordance with the legislation in force on its territory; or

Article 20

1.
A management authority of the Member State in which
specimens are located may, on receiving an application in
certificates
accordance with paragraphs 5 and 6,
referred to in paragraphs 2, 3 and 4 which shall be exclusively
for the purposes specified in these paragraphs.

issue

A certificate for the purposes of Article 5(2)(b), (3) and
2.
(4) of Regulation (EC) No 338/97 shall state that specimens:

(a) were taken from the wild in accordance with the legislation

in force on its territory; or

(d) are, or are parts of, or are derived from, animals born and

bred in captivity; or

(e) are authorised to be used for one of the purposes referred
to in Article 8(3)(c) and (e) to (g) of Regulation (EC) No
338/97.

A certificate for the purposes of Article 9 of Regulation
4.
(EC) No 338/97 shall
live
state that
specimens of a species listed in Annex A thereto, from the
prescribed location indicated in the import permit, or in a
previously issued certificate, is authorised.

the movement of

(b) are abandoned or escaped specimens that were recovered in
accordance with the legislation in force on its territory; or

(1) OJ L 384, 31.12.1982, p. 1.

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The applicant must, where appropriate, complete boxes
5.
1, 2 and 4 to 19 of the application form and boxes 1 and 4 to
18 of the original and all copies. Member States may, however,
provide that only an application form is to be completed, in
which case such an application may be for more than one
certificate.

The duly completed form must be submitted to a
6.
management authority of
the Member State in which the
specimens are located, together with the necessary information
and the documentary evidence that
that authority deems
necessary so as to allow it to determine whether a certificate
information from the
should be issued. The omission of
application must be justified. When an application is made
for a certificate relating to specimens for which such an
application has previously been rejected, the applicant must
inform the management authority of such previous rejection.

Article 21

1. Where a shipment which is covered by a (cid:145)copy for the
holder(cid:146) (form 2) of an import permit, a (cid:145)copy for the importer(cid:146)
(form 2) of an import notification, or a certificate are split, or
where for other reasons the entries in such document no
longer reflect the actual situation, the management authority
may make the necessary amendments in accordance with
Article 4(2), or issue one or more corresponding certificates
only in accordance with the provisions of and for the purposes
referred to in Article 20 and after having established the
validity of the document to be replaced, where necessary in
consultation with a management authority of another Member
State.

2. Where certificates are issued to replace a (cid:145)copy for the
holder(cid:146) (form 2) of an import permit, a (cid:145)copy for the importer(cid:146)
(form 2) of an import notification, or a previously issued
certificate, such document shall be retained by the management
authority issuing the certificate.

A certificate that has been lost, stolen, or destroyed can

3.
only be replaced by the authority which issued it.

4. Where, for the purposes of paragraph 1, a management
authority consults a management authority of another Member
State, the latter shall respond within a period of one week.

SECTION 7

Labels

Article 22

1.
In compliance with Article 7(4) of Regulation (EC) No
338/97, the labels referred to in Article 2(4) of the present
Regulation shall only be used for the movement between
of
and
duly
registered
of
donations
non-commercial

institutions
exchanges

scientists
loans,

scientific
and

herbarium specimens, preserved, dried or embedded museum
specimens and live plant material for scientific study.

A registration number shall be attributed to the scientists
2.
and scientific institutions referred to in paragraph 1 by a
management authority of
the Member State in which they
are located, which shall contain five digits, the first two of
which shall be the two-letter
the
Member State concerned and the last three a unique number
assigned to each institution by the competent management
authority.

ISO country code for

3.
The scientists and scientific institutions concerned shall
complete boxes 1 to 5 of the label and, by the return of the
part of the label provided for that purpose, immediately inform
the management authority with which they are registered of all
details about the use of every label.

SECTION 8

Customs offices other than the border customs office at
the point of introduction

Article 23

a

to be

shipment

In accordance with Article 4(7) of Regulation (EC) No
1.
338/97, where
introduced into the
Community arrives at a border customs office by sea, air, or
rail for dispatch by the same mode of transport and without
in the
intermediate
Community designated in accordance with Article 12(1) of
Regulation (EC) No 338/97,
the completion of checks and
the presentation of import documents shall take place at the
latter.

customs office

to another

storage

2. Where a shipment was, in accordance with Article 4 of
Regulation (EC) No 338/97, checked at a customs office
designated in accordance with Article 12(1) of Regulation
(EC) No 338/97 and is dispatched to another customs office
for any subsequent customs procedure, the latter shall require
presentation of the (cid:145)copy for the holder(cid:146) (form 2) of an import
permit, completed in accordance with Article 12 of this Regu-
lation, or the (cid:145)copy for the importer(cid:146) (form 2) of an import
notification, completed in accordance with Article 14, and may
carry out any checks it deems necessary in order to establish
compliance with the provisions of Regulation (EC) No 338/97
and of this Regulation.

CHAPTER III

SPECIMENS BORN AND BRED IN CAPTIVITY AND ARTIFICIALLY
PROPAGATED SPECIMENS

Article 24

Without prejudice to Article 25, a specimen of an animal
species shall only be considered to be born and bred in
captivity when a competent management authority in consul-
tation with a competent scientific authority of the Member
State concerned is satisfied that:

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(a)

it is, or is derived from, the offspring born or otherwise
produced in a controlled environment either of parents that
mated or had gametes otherwise transferred in a controlled
environment, if reproduction is sexual, or of parents that
were in a controlled environment when development of the
offspring began, if reproduction is asexual;

(b) the breeding stock was established in accordance with the
legal provisions applicable to it at the time of acquisition
and in a manner not detrimental to the survival of the
species concerned in the wild;

(c)

the breeding stock is maintained without the introduction
of specimens from the wild, except
for the occasional
addition of animals, eggs or gametes, in accordance with
the legal provisions applicable and in a manner not detri-
mental to the survival of the species concerned in the wild
for the following purposes only:

(i) to prevent or alleviate deleterious

the
magnitude of such addition being determined by the
need for new genetic material;

inbreeding,

(ii) to dispose of confiscated animals in accordance with

Article 16(3) of Regulation (EC) No 338/97; or

(iii) exceptionally, for use as breeding stock;

stock has

(d) the breeding
itself produced second or
controlled
subsequent
a
environment, or is managed in a manner that has been
demonstrated to be capable of reliably producing second-
generation offspring in a controlled environment.

generation

offspring

in

Article 25

Where, for the purposes of Article 24, Article 32(a) or Article
33(1), a competent authority deems it necessary to establish
the ancestry of an animal through the analysis of blood or
other tissue, such analysis, or the necessary samples, shall be
made available in a manner prescribed by that authority.

Article 26

A specimen of a plant species shall only be considered to be
competent management
artificially
authority
scientific
a
authority of the Member State concerned is satisfied that:

propagated when
in

a
consultation with

competent

(a)

it is, or is derived from, plants grown from seeds, cuttings,
divisions, callus tissues or other plant tissues, spores or
other propagules under controlled conditions,
in a
non-natural environment
is intensively manipulated
that
by human intervention, which may include tillage, fertili-

i.e.

sation, weed control, irrigation, or nursery operations such
as potting, bedding and protecting from weather;

(b) the cultivated parental stock was established in accordance
with the legal provisions applicable to it on the date of
acquisition and is maintained in a manner not detrimental
to the survival of the species in the wild;

(c)

the cultivated parental stock is managed in such a way that
its long-term maintenance is guaranteed; and

(d) in the case of grafted plants, both the root stock and the
graft have been artificially propagated in accordance with
points (a), (b) and (c).

Timber taken from trees grown in monospecific plantations
shall be
considered as being artificially propagated in
accordance with the first subparagraph.

CHAPTER IV

PERSONAL AND HOUSEHOLD EFFECTS

Article 27

I n t r o d u c t i o n i n t o t h e C o m m u n i t y o f p e r s o n a l
a n d h o u s e h o l d e f f e c t s

1.
The derogation from Article 4 of Regulation (EC) No
338/97 for personal or household effects as laid down in
Article 7(3) of that Regulation shall not apply to specimens
that are used for
sold, displayed for
commercial gain,
commercial purposes, kept for sale, offered for sale or trans-
ported for sale. This derogation shall only apply to specimens,
including hunting trophies, if they are contained:

(cid:151) in the personal luggage of travellers coming from a third

country, or

(cid:151) in the personal property of a natural person transferring
their normal place of residence from a third country to the
Community

or which are hunting trophies
imported at a later date.

taken by a traveller and

2.
The derogation from Article 4 of Regulation (EC) No
338/97 for personal or household effects as laid down in
Article 7(3) of that Regulation shall not apply to specimens
of species listed in Annex A of that Regulation when they are
introduced into the Community for the first time by a person
normally
the
Community.

taking up residence

residing

in, or

in,

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The first introduction into the Community of personal or
3.
household effects, including hunting trophies, by a person who
has their normal place of residence in the Community and
which involves specimens of species listed in Annex B to Regu-
lation (EC) No 338/97 shall not require the presentation to
customs of an import permit where the original of a (re-)export
document and a copy thereof are presented. Customs shall
forward the original as specified in Article 19 and return the
stamped copy to the holder.

4.
The reintroduction into the Community of personal or
household effects, including hunting trophies, by a person who
has their normal residence in the Community and which
involves specimens of species listed in Annex A or B to Regu-
lation (EC) No 338/97 shall not require the presentation to
customs of an import permit where the customs-endorsed
a previously used
(cid:145)copy for
the
Community import or export permit,
document
the
referred to in paragraph 3, or proof
specimens were acquired within the Community is presented.

the copy of
that

(form 2) of

the holder(cid:146)

re-introduction into the Community of

By way of derogation from paragraphs 3 and 4, the intro-
5.
duction or
the
following items listed in Annex B to Regulation (EC) No
338/97 shall not
require the presentation of an import
permit or a (re-)export permit:

(a) caviar of sturgeon species (Acipenseriformes spp) up to a

maximum of 250 grams per person;

(b) rainsticks of Cactaceae spp up to three per person.

Article 28

E x p o r t a n d r e - e x p o r t f r o m t h e C o m m u n i t y o f
p e r s o n a l a n d h o u s e h o l d e f f e c t s

1.
The derogation from Article 5 of Regulation (EC) No
338/97 for personal or household effects as laid down in
Article 7(3) of that Regulation shall not apply to specimens
that are used for
sold, displayed for
commercial gain,
commercial purposes, kept for sale, offered for sale or trans-
ported for sale. This derogation shall only apply to specimens if
they are contained:

(cid:151) in the personal
country, or

luggage of

travellers going to a third

(cid:151) in the personal property of a natural person transferring
their normal place of residence from the Community to a
third country.

2.
In the case of export, the derogation from Article 5 of
Regulation (EC) No 338/97 for personal or household effects as

laid down in Article 7(3) of that Regulation shall not apply to
specimens of species listed in Annex A or B to that Regulation.

The re-export of personal or household effects, including
3.
personal hunting trophies, by a person normally residing in the
Community involving specimens of species listed in Annex A
or B to Regulation (EC) No 338/97 shall not require the pres-
entation to customs of a re-export certificate where the
customs-endorsed (cid:145)copy for the holder(cid:146) (form 2) of a previously
used Community import or export permit, the copy referred to
in Article 27(3), or proof that the specimens were acquired
within the Community is presented.

4.
By way of derogation from paragraphs 2 and 3 the
export or re-export of the following items listed in Annex B
to Regulation (EC) No 338/97 shall not require the presen-
tation of an export permit or a (re-)export document:

(a) caviar of sturgeon species (Acipenseriformes spp) up to a

maximum of 250 grams per person;

(b) rainsticks of Cactaceae spp up to three per person.

CHAPTER V

EXEMPTIONS

Article 29

The exemption for specimens referred to in Article 8(3)
1.
(a) to (c) of Regulation (EC) No 338/97 shall only be granted
when the applicant has satisfied the competent management
authority that the conditions referred to therein are met.

2.
The exemption for specimens referred to in Article 8(3)(d)
of Regulation (EC) No 338/97 shall only be granted when the
applicant has satisfied the competent management authority,
the latter having consulted a competent scientific authority,
that
concerned were born and bred in
captivity or artificially propagated in accordance with Articles
24, 25 and 26 of this Regulation.

specimens

the

3.
The exemption for specimens referred to in Article 8(3)
(e) to (g) of Regulation (EC) No 338/97 shall only be granted
when the applicant has satisfied the competent management
authority, in consultation with a competent scientific authority
that the conditions referred to therein are met.

specimens

The exemption for

4.
referred to in Article
8(3)(h) of Regulation (EC) No 338/97 shall only be granted
when the applicant has satisfied the competent management
authority that the specimens concerned were taken from the
wild in a Member State in compliance with its legislation.

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Article 30

Without prejudice to Article 9 of Regulation (EC) No 338/97, a
derogation from the prohibitions of Article 8(1) thereof may be
granted to scientific institutions, approved by a management
in consultation with a scientific authority, for the
authority,
purposes of
this Article, by the issuance of a certificate
covering all specimens of species listed in Annex A to that
Regulation in the collection that are intended for captive
breeding or artificial propagation from which conservation
benefits will accrue to the species, or
research or
education aimed at the preservation or conservation of the
species, provided that any sale of specimens is to other
scientific institutions holding such a certificate.

for

Article 31

Without prejudice to Article 9 of Regulation (EC) No 338/97,
the prohibition on the purchase, offer of purchase, or
acquisition of specimens of species listed in Annex A thereto
for commercial purposes and the provision in Article 8(3)
thereof, that exemptions from those prohibitions are to be
granted on a case-by-case basis by the issuance of a certificate
shall not apply where the specimens involved:

to breeders

that purpose by a
approved for
available
management authority, provided that they maintain breeding
records, which shall, on request, be produced to the competent
management authority. Such certificates shall,
in box 20,
include the following statement:

(cid:145)Certificate only valid for the following taxon/taxa: . . . . . .(cid:146).

2.
For the purposes of Article 8(3)(d) and (h) of Regulation
(EC) No 338/97, a Member State may make pre-issued
certificates available to persons approved by a management
such certificates dead
authority to sell on the basis of
captive-bred specimens
small numbers of dead
specimens that were legally taken from the wild within the
Community, provided that any such person:

and/or

(a) maintains a record, which shall, on request, be produced to
the competent management authority and which contains
details of specimens/species sold, cause of death (if known),
the persons from whom specimens were acquired and to
whom they were sold; and

(a) are covered by one of

the certificates provided for in
Article 20(3) and are to be used in accordance with the
purpose referred to therein; or

(b) submits an annual report to the competent management
authority which contains details of sales during that year,
the type and number of specimens, the species concerned
and how the specimens were acquired.

(b) are subject to one of the general exemptions provided for

in Article 32.

Article 32

The prohibitions of Article 8(1) of Regulation (EC) No 338/97
and the provision in Article 8(3)
that exemptions
therefrom shall be granted by the issuance of a certificate on
a case-by-case basis shall not apply to:

thereof,

(a) specimens of captive born and bred animals of the species
listed in Annex VIII, and hybrids thereof, provided that
specimens of annotated species are marked in accordance
with Article 36(1) of this Regulation;

(b) artificially propagated specimens of plant species;

(c) worked specimens that were acquired more than 50 years
previously as defined in Article 2(w) of Regulation (EC) No
338/97.

In these cases no certificate is required.

CHAPTER VI

MARKING SPECIMENS

Article 34

1.
A certificate for the purposes of Article 8(3) of Regu-
lation (EC) No 338/97 shall only be issued with regard to
live
the
competent management authority that the relevant provisions
of Article 36 of this Regulation have been met.

vertebrates when the

applicant has

satisfied

Import permits for the following specimens shall only be
2.
issued when the applicant has
satisfied the management
authority that the specimens have been marked in accordance
with Article 36(4):

(a) specimens that derive from a captive breeding operation
that was approved by the Parties to the Convention;

(b) specimens that derive from a ranching operation that was
to the

the Parties

approved by the Conference of
Convention;

Article 33

1.
For the purposes of Article 8(3)(d) of Regulation (EC) No
338/97, a Member State may make pre-issued certificates

(c) specimens

listed in
from a population of a species
Appendix I to the Convention for which an export quota
has been approved by the Conference of the Parties to the
Convention;

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(d) raw tusks of African elephant and cut pieces thereof that
are both over 20 cm in length and 1 kg in weight;

Article 36

For the purposes of Article 34(1) the following points

1.
shall apply:

(e) raw, tanned and/or finished crocodilian skins, flanks, tails,
throats, feet, backstrips and other parts thereof that are
exported to the Community and entire raw, tanned, or
finished crocodilian skins and flanks that are re-exported
to the Community;

(f)

live vertebrates of species listed in Annex A to Regulation
(EC) No 338/97 that belong to a travelling live animal
exhibition;

(g) any primary container (tin, jar, or box into which caviar is
directly packed) of more than 249 grams of caviar, based
on the application of non-reusable labels on each primary
container that
is imported to the Community from a
country of origin;

(h) primary containers containing less than 250 grams of
caviar, based on the application of non-reusable labels on
the secondary containers,
including a description of the
content that are imported into the Community from a
country of origin.

Article 35

for

Re-export

certificates

1.
in
accordance with Article 34(2)(a) to (d) and (f) that were not
substantially modified shall only be issued when the applicant
has satisfied the management authority that the original marks
are intact.

specimens marked

(a) captive born and bred birds shall be marked in accordance
with paragraph 5, or, where the competent management
authority is satisfied that this method can, because of the
physical or behavioural properties of the animal, not be
applied, by means of a uniquely numbered, unalterable
microchip transponder
conforming to ISO standards
11784:1996 (E) and 11785:1996 (E);

and 11785:1996 (E), or, where
satisfied that

(b) live vertebrates other than captive born and bred birds shall
be marked by means of a uniquely numbered unalterable
conforming to ISO standards
microchip transponder
the
11784:1996 (E)
competent management authority is
this
the physical or
method is not appropriate because of
the
behavioural properties of
specimens concerned shall be marked by means of
uniquely numbered rings, bands,
tattoos and the
like, or be made identifiable by any other appropriate
means.

specimen/species,

tags,

the

Article 34(1)

2.
shall not apply where the competent
management authority is satisfied that the physical properties
of the specimens involved do not, at the time of issue of the
relevant certificate, allow the safe application of any marking
the management
method. Where this circumstance applies,
authority concerned shall
the
certificate, or, where a marking method can be safely applied
at a later date, include the appropriate stipulations therein.

in box 20 of

record this

for entire raw,

Re-export certificates

tanned, and/or
2.
finished crocodilian skins and flanks shall only be issued
when the applicant has satisfied the management authority
that the original tags are intact or, where these have been
lost or removed,
the specimens have been marked with a
re-export tag.

than one

Specimens that were marked with a microchip trans-
3.
ponder other
to ISO standards
conforming
11784:1996 (E) and 11785:1996 (E) before 1 January 2002,
the methods referred to in paragraph 1
or with one of
in compliance with paragraph 4
before 1 June 1997, or
before their
shall be
deemed to have been marked in compliance with paragraph 1.

introduction into the Community,

3.
Export permits for the following specimens shall only be
satisfied the management
issued when the applicant has
authority that the specimens have been marked in accordance
with Article 36(4):

(a) any primary container (tin, jar or box into which caviar is
directly packed) of more than 249 grams of caviar, based
on the application of non-reusable labels on each primary
container;

(b) primary containers less than 250 grams of caviar, based on
the application of non-reusable labels on the secondary
containers, including a description of the content.

4.
The specimens referred to in Article 34(2) and Article 35
shall be marked in accordance with the method approved or
recommended by the Conference of
to the
Convention for the specimens concerned.

the Parties

5.
Captive born and bred birds shall be marked by means of
a uniquely marked seamlessly closed legring, i.e. a ring or band
in a continuous circle, without any break or join, which has
not been tampered with in any way, of a size which cannot be
removed from the bird when its leg is fully grown after having
been applied in the first days of the bird’s life and which has
been commercially manufactured for that purpose.

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Article 37

Where, in the territory of the Community, the marking of live
animals requires the attachment of a tag, band, ring or other
device, the marking of a part of the animal’s anatomy, or the
be
implantation of microchip transponders,
undertaken with due regard to humane care, well-being and
natural behaviour of the specimen concerned.

shall

this

Article 38

1.
The competent authorities of the Member States shall
recognise the marking methods approved by the competent
authorities of other Member States in accordance with Article
36.

to the
2. Where such a document
provisions of this Regulation, full details of the mark shall be
provided on any permit or certificate relating to the specimen.

is required pursuant

CHAPTER VII

REPORTS AND INFORMATION

Article 39

irrespective of

1. Member States shall collect data on imports into and
exports and re-exports from the Community that have taken
place on the basis of permits and certificates issued by their
the actual place of
management authorities,
introduction or (re-)export. Member States shall, in compliance
with Article 15(4)(a)
of Regulation (EC) No 338/97,
communicate this information to the Commission, relating to
a calendar year, before 15 June of
for
species in Annexes A, B and C to that Regulation in a
computerised form and in accordance with the guidelines for
the preparation and submission of CITES annual reports issued
by the secretariat of the Convention. The reports shall include
information on seized and confiscated shipments.

the following year,

The information referred to in paragraph 1 shall be

2.
presented in two separate parts:

(a) one part on imports, exports and re-exports of specimens
of species listed in the Appendices to the Convention; and

The

records

referred to in paragraph 3 shall be
4.
communicated to the Commission for each calendar year
before 15 June of the following year on a species-by-species
basis and per country of (re-)export.

5.
The information referred to in Article 15(4)(c) of Regu-
lation (EC) No 338/97 shall include details on legislative, regu-
latory and administrative measures taken to implement and
enforce the provisions of Regulation (EC) No 338/97 and of
this Regulation.

Article 40

1. With a view to the preparation of amendments to Regu-
lation (EC) No 338/97 pursuant to Article 15(5) of that Regu-
lation, Member States shall, with regard to species already listed
and those that may be eligible for listing, forward all relevant
information to the Commission relating to:

(a) their biological and trade status;

(b) the uses to which specimens of such species are put; and

(c) methods of controlling specimens in trade.

2.
Any draft amendments to Annexes B, or D to Regulation
(EC) No 338/97 pursuant to Article 3(2)(c) or (d), or Article
3(4)(a) of
the
Commission to the Scientific Review Group for advice before
they are submitted to the Committee.

that Regulation shall be

submitted by

CHAPTER VIII

FINAL PROVISIONS

Article 41

Immediately on the establishment of a restriction in
1.
compliance with Article 4(6) of Regulation (EC) No 338/97
and until such time as it is lifted, Member States shall reject
applications for import permits concerning specimens exported
from the affected country or countries of origin.

(b) the other part on imports, exports and re-exports of
specimens of other species listed in Annexes A, B and C
to Regulation (EC) No 338/97 and on the introduction into
the Community of specimens of species listed in Annex D
thereto.

By way of derogation from paragraph 1, an import

2.
permit may be issued where:

(a) an application for an import permit was submitted prior to

the establishment of the restriction; and

3. With regard to imports of shipments containing live
animals, Member States
shall, where possible, maintain
records of the percentage of specimens of species listed in
Annexes A and B to Regulation (EC) No 338/97 which were
dead at the time of introduction into the Community.

(b) the competent management authority of the Member State
is satisfied that a contract or order exists for which
payment has been made or as a result of which the
specimens have already been shipped.

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The period of validity of an import permit issued under
3.
the derogation in paragraph 2 shall not exceed one month.

second and third subparagraphs, and Article 8(3)(a) and (d) to
(h) of Regulation (EC) No 338/97.

The restrictions referred to in paragraph 1 shall, unless it

4.
is specifically decided otherwise, not apply to:

(a) specimens born and bred in captivity or artificially
propagated in accordance with Articles 24, 25 and 26;

(b) specimens being imported for the purposes specified in
Article 8(3)(e), (f) or (g) of Regulation (EC) No 338/97;

(c) specimens, alive or dead, that are part of the household
possessions of persons moving into the Community to take
up residence there.

Article 42

Regulation (EC) No 939/97 is hereby repealed.

Article 43

2.
Exemptions granted from the prohibitions of Article 6(1)
of Regulation (EEC) No 3626/82 shall remain valid until their
last day of validity, where specified.

3. Member States may continue to issue certificates in the
form laid out in Annex III of Regulation (EC) No 939/97 until
one year after the entry into force of this Regulation.

Article 44

Each Member State shall notify to the Commission and the
Convention secretariat
adopts
specifically for the implementation of this Regulation and all
legal instruments used and measures taken for the implemen-
thereof. The Commission shall
tation and enforcement
communicate this information to the other Member States.

the provisions which it

Certificates issued in accordance with Article 11 of Regu-
1.
lation (EEC) No 3626/82 and Article 22 of Commission Regu-
lation (EEC) No 3418/83 (1) may continue to be used for the
purposes of Articles 5(2)(b), 5(3)(b), (c) and (d), Article 5(4),

Article 45

This Regulation shall enter
into force on the third day
following its publication in the Official Journal of the European
Communities.

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

Done at Brussels, 30 August 2001.

For the Commission

Margot WALLSTR(cid:214)M

Member of the Commission

(1) OJ L 344, 7.12.1983, p. 1.

ANNEX I

ANNEX II

ANNEX III

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ANNEX IV

LABEL REFERRED TO IN ARTICLES 2(4) AND 22

L 250/36

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CODES TO BE INCLUDED IN THE DESCRIPTION OF SPECIMENS AND UNITS OF MEASURE TO BE USED
IN PERMITS AND CERTIFICATES PURSUANT TO ARTICLE 4(3)(a) AND (b)

ANNEX V

Description

Code

Preferred
units

Alternative
units

Explanation

Bark

Body

Bone

Calipee

Carapace

Carving

Caviar

Chips

Claw

BAR

BOD

BON

CAL

CAP

CAR

EGG

CHP

CLA

Cloth

CLO

kg

No

kg

kg

No

kg

kg

kg

No

m2

Tree bark (raw, dried or powdered; unprocessed)

kg

Substantially whole dead animals,
including fresh or
processed fish, stuffed turtles, preserved butterflies,
reptiles in alcohol, whole stuffed hunting trophies, etc.

No

Bones, including jaws

kg

m3

kg

kg

Calipee or calipash (turtle cartilage for soup)

Raw or unworked whole shells of Testudinata species

Carvings
(including wood, and including finished
wood products such as furniture, musical instruments
and handicrafts). NB:
there are some species from
which more than one type of product may be
carved (e.g. horn and bone); where necessary,
the
description should therefore indicate the type of
product (e.g. horn carving)

Caviar

Chips of timber, especially Aquilaria malaccensis and
Pterocarpus santalinus

Claws (cid:151) e.g. of Felidae, Ursidae or Crocodylia (NB:
(cid:145)turtle claws(cid:146) are usually scales and not real claws)

Cloth (cid:151) if the cloth is not made entirely from the hair
of a CITES species, the weight of hair of the species
concerned should instead,
if possible, be recorded
under (cid:145)HAI(cid:146)

Dead coral and coral rock (NB: the trade should be
recorded by number of pieces only if
the coral
specimens are transported in water)

Coral (raw)

COR

kg

No

Culture

CUL

No of flasks
etc.

Cultures of artificially propagated plants

Derivatives

DER

kg/l

Derivatives (other than those included elsewhere in
this table)

Dried plant

DPL

Ear

Egg

Egg (live)

EAR

EGG

EGL

No

No

No

No

kg

kg

Dried plants (cid:151) e.g. herbarium specimens

Ears (cid:151) usually elephant

Whole dead or blown eggs, (see also (cid:145)caviar(cid:146))

Live eggs (cid:151) usually birds and reptiles but includes fish
and invertebrates

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Description

Code

Preferred
units

Alternative
units

Explanation

Extract

Feather

Fibre

Flower

Flower pot

Frogs’ legs

Fruit

Foot

Gall

EXT

FEA

FIB

FLO

FPT

LEG

FRU

FOO

GAL

Gall bladder

GAB

Garment

GAR

Genitalia

GEN

Graft rootstock

GRS

Hair

HAI

Horn

Leather product
(small)

Leather product
(large)

Live

Leaf

Logs

HOR

LPS

LPL

LIV

LVS

LOG

kg

kg/No of
wings

kg

kg

No

kg

kg

No

kg

No

No

kg

No

kg

No

No

No

No

No

m3

l

No

m

Extract (cid:151) usually plant extracts

Feathers (cid:151) in the case of objects (e.g. pictures) made
of feathers, record the number of objects

Fibres (cid:151) e.g. plant fibre but includes strings of tennis
rackets

Flowers

Flower pots made from parts of a plant, e.g. treefern
fibres (NB:
live plants traded in (cid:145)community pots(cid:146)
should be recorded as (cid:145)live plants(cid:146), not as flower pots)

Frog’s legs

Fruit

Feet (cid:151) e.g. elephant, rhinoceros, hippopotamus, lion,
crocodile, etc.

Gall

kg

Gall bladder

Garments (cid:151) including gloves and hats but not shoes;
includes trimming or decoration on garments

No

Castrates and dried penes

Graft rootstocks (without the grafts)

Hair (cid:151) includes all animal hair, e.g. of elephant, yak,
vicuæa, guanaco

Horns (cid:151) includes antlers

g

kg

Small manufactured products of
leather, e.g. belts,
braces, bicycle saddles, cheque book or credit card
holders, earrings, handbags, key fobs, notebooks,
purses, shoes tobacco pouches, wallets, watch-straps

Large manufactured products of
briefcases, furniture, suitcases, travel trunks

leather (cid:151) e.g.

Live animals and plants. Specimens of live coral trans-
ported in water should be recorded by number of
pieces only

kg

Leaves

All wood in the rough, whether or not stripped of
bark or sapwood, or roughly squared, for processing
notably into sawn wood, pulpwood or veneer sheets.
NB: trade in logs of special purpose timbers traded by
weight (e.g.
lignum vitae, Guaiacum spp) should be
recorded in kg

L 250/38

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19.9.2001

Description

Code

Preferred
units

Alternative
units

Explanation

Meat

Medicine

Musk

Oil

MEA

MED

MUS

OIL

Piece (cid:151) bone

BOP

Piece (cid:151) horn

HOP

Piece (cid:151) ivory

IVP

Plate

PLA

Powder

Root

POW

ROO

Sawn wood

SAW

Scale

Seed

Shell

Side

Skeleton

Skin

Skin piece

Skull

Soup

Specimen
(scientific)

Stem

Tail

SCA

SEE

SHE

SID

SKE

SKI

SKP

SKU

SOU

SPE

STE

TAI

kg

kg/l

g

kg

kg

kg

kg

m2

kg

No

m3

kg

kg

No

No

No

No

No

No

kg

Meat, includes flesh of fish if not whole, (see (cid:145)body(cid:146))

Medicine

Musk

l

Oil (cid:151) e.g. from turtles, seals, whales,
plants

fish, various

Pieces of bone, not manufactured

Pieces of horn, not manufactured (cid:151) includes scrap

Ivory pieces, not manufactured (cid:151) includes scrap

Plates of furskins (cid:151) includes rugs if made of several
skins

Powder

kg

Roots, bulbs, corms or tubers

Wood simply sawn lengthwise or produced by a
profile-chipping process; normally exceeds 6 mm in
special
thickness. NB:
trade
purpose timbers traded by weight (e.g.
lignum vitae,
Guaiacum spp.) should be recorded in kg

in sawn wood of

Scale (cid:151) e.g. of turtle, other reptiles, fish, pangolins

Seeds

kg

Raw or unworked shell of molluscs

Sides or flanks of skins; does not include crocodilian
Tinga frames (see under (cid:145)skin(cid:146))

Substantially whole skeletons

Substantially whole skins, raw or tanned,
crocodilian Tinga frames

including

Skin pieces (cid:151) includes scraps, raw or tanned skulls

Skulls

l

Soup (cid:151) e.g. of turtle

kg/l/ml

No

No

kg

kg

Scientific specimens (cid:151) includes blood,
tissue,
kidney, spleen, etc.) histological preparations, etc.

(e.g.

Plant stems

Tails (cid:151) e.g. of caiman (for leather) or fox (for garment
trimming, collars, boas, etc.)

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L 250/39

Description

Code

Preferred
units

Alternative
units

Explanation

Tooth

TEE

Timber

Trophy

TIM

TRO

No

m3

No

kg

kg

Tusk

TUS

No

kg

Veneer sheets
(cid:151) rotary veneer
(cid:151) slices veneer

VEN

m3, m2

kg

Teeth (cid:151) e.g. of whale, lion, hippopotamus, crocodile,
etc.

Raw timber except saw-logs and sawn wood

Trophy (cid:151) all the trophy parts of one animal if they
are exported together: e.g. horns (2), skull, cape,
backskin, tail and feet (i.e. ten specimens) constitute
one trophy. But if, for example, the skull and horns
are the only specimens of an animal that are exported,
then these items together should be recorded as one
trophy. Otherwise the items should be recorded sepa-
rately. A whole stuffed body is recorded under (cid:145)BOD(cid:146).
A skin alone is recorded under (cid:145)SKI(cid:146)

Substantially whole tusks, whether or not worked.
tusks of elephant, hippopotamus, walrus,
Includes
narwhal, but not other teeth

Thin layers or sheets of wood of uniform thickness,
less in thickness, usually peeled
usually 6 mm or
for use in
(rotary veneer) or sliced (sliced veneer),
making plywood,
for veneering furniture, veneer
containers, etc.

Wax

WAX

kg

Wax, includes ambergris

= grams
= kilograms
= litres

Key to units (equivalent non-metric measurements may be used)
g
kg
l
cm3 = cubic centimetres
= millilitres
ml
= metres
m
m2
= square metres
m3
= cubic metres
= number of specimens
No

L 250/40

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Official Journal of the European Communities

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ANNEX VI

STANDARD REFERENCES FOR NOMENCLATURE TO BE USED PURSUANT TO ARTICLE 4(3)(c) TO
INDICATE SCIENTIFIC NAMES OF SPECIES IN PERMITS AND CERTIFICATES

(a) Mammal species of the world: A taxonomic and geographic reference, 2nd edition, (edited by D. E. Wilson and D. M.
Reeder, 1993, Smithsonian Institute Press) for mammalian nomenclature except for the genus Balaenoptera in Rice,
D.W., 1998: Marine mammals of the World. Systematics and distribution. Special Publication Number 4: i-ix, 1-231; The
Society for Marine Mammals.

(b) A reference list of the birds of the world (J. J. Morony, W. J. Bock and J. Farrand Jr, 1975, American Museum of Natural

History) for order and family level names for birds.

(c) Distribution and taxonomy of birds of the world (C. G. Sibley and B. L. Monroe Jr, 1990, Yale University Press) and A
supplement to: Distribution and taxonomy of birds of the world (Sibley and Monroe, 1993; Yale University Press) for the
genus and species names of birds.

Jena,

(d) Schildkr(cid:246)te, Krokodile, Br(cid:252)ckenechsen (Wermuth, H. and R. Mertens, 1996 (reprint),

i-xxvi, 1-506, Gustav Fischer
ISBN 3-437-35048-X) for the names of crocodiles, turtles, tortoises and tuataras, and A revised
i-xiii, 1-363, privately printed, J.B.
ISBN

Verlag,
checklist with distribution maps of the turtles of the world (Iverson, J.B., 1992:
Iverson, Dept of Biology, Earlham College, Richmond,
0-9617431-0-5) for the distribution of tortoises and turtles.

Indiana 47374, United States of America,

(e) Herpetology (Pough, F.H., R.M. Andrews, J.E. Cadle, M.L. Crump, A.H. Savitzky and K.D. Wells, 1998, i-xi, 1-577) for

the delimitation of families within the Sauria.

(f) Chamaeleonidae (C.J.J. Klaver and W. B(cid:246)hme, 1997. Das Tierreich 112: i-xv, 1-85; Walter de Gruyter, Berlin, New

York, ISBN 3-11-015187-1) for the species names of all chameleons.

(g) Reptiles del noroeste, nordeste y este de la Argentina (cid:151) Herpetofauna de las selvas subtropicales, puna y pampa. 1993 (Cei,
JosØ M. In Monografie XIV, Museo Regionale di Scienze Naturali), Lizards of Brazilian Amazonia (Avila Pires, T.C.S.,
1995, Zool. Verh. 299: 1-706, Nationaal Natuurhistorisch Museum, Leiden, ISBN 90-73239-40-0); A new species of
Tupinambis (Squamata: Teiidae) from Central Brazil, with an analysis of morphological and genetic variation in the genus
[Colli, G.R., A.K. PØres and H.J. da Cunha, 1998, Herpetologica 54 (4): 477-492]; and A new species of Tupinambis
Daudin, 1802 (Squamata, Teiidae) from Central Brazil (Manzani, P.R. and A.S. Abe, 1997, Boletim do Museu Nacional.
Nov. Ser. Zool. 382: 1-10) for the species names of the genus Tupinambis.

(h) Snake species of the world: A taxonomic and geographic reference: Volume 1 (Campbell, McDiamid and TourØ, 1997),
published under the auspices of the Herpetologists’ League, for the nomenclature of snakes, except for the following
cases: the following names for Malagasy boid snakes should continue to be used: Acrantophis dumerilii Jan, 1860,
Acrantophis madagascariensis (DumØril & Bibron, 1844) and Sanzinia madagascariensis (DumØril & Bibron, 1844); in
the genera, Calabaria, Charina and Lichanura, the following names shall continue to be used: Calabaria reinhardtii
(Schlegel, 1848), Charina bottae (Blainville, 1935) and Lichanura trivirgata (Cope, 1861); and in the case of subspecies
of Python molurus, two subspecies are recognized, namely P. m. molurus (Linnaeus, 1758) and P. m. bivittatus Kuhl,
1820.

(i) Amphibian species of the world: A taxonomic and geographic reference (D. R. Frost, 1985, Allen Press and The Association
of Systematics Collections) and Amphibian species of the world: Additions and corrections (W. E. Duellman, 1993,
University of Kansas) for amphibian nomenclature and A review of the genus Mantella (Anura, Ranidae, Mantellinae):
taxonomy, distribution and conservation of Malagasy poison frogs, (Vences, M., F. Glaw and W. B(cid:246)hme, 1999; Alytes
17(1-2): 3-72) for the genus Mantella.

(j) Catalog of Fishes. (Eschmeier, W. N., 1998, Vol. 1. Introductory materials. Species of Fishes A-L: 1-958. Vol. 2.
Species of Fishes M-Z: 959-1820. Vol. 3. Genera of Fishes. Species and genera in a classification. Literature cited.
Appendices: 1821-2905. California Academy of Sciences, ISBN 0-940228-47-5) for the taxonomy and the names of
all fishes.

(k)

In the genus Brachypelma the following nomenclature should be used:

Brachypelma albopilosum Valerio, 1980;

Brachypelma angustum Valerio, 1980;

Brachypelma auratum Schmidt, 1992;

Brachypelma aureoceps (Chamberlin, 1917);

Brachypelma baumgarteni Smith, 1993;

Brachypelma boehmei Schmidt & Klaas, 1994;

19.9.2001

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Brachypelma embrithes (Chamberlin & Ivie, 1936);

Brachypelma emilia (White, 1856);

Brachypelma epicureanum (Chamberlin, 1925);

Brachypelma fossorium Valerio, 1980;

Brachypelma mesomelas (Pickard-Cambridge, 1892);

Brachypelma sabulosum (Pickard-Cambridge, 1897);

Brachypelma smithi (Pickard-Cambridge, 1897) (includes the synonyms Brachypelma annitha and Brachypelma harmorii);

Brachypelma vagans (Ausserer, 1875).

(l)

The Plant Book, reprinted edition, (D. J. Mabberley, 1990, Cambridge University Press) for the generic names of all
CITES plants, unless they are superseded by standard checklists adopted by the Conference of the Parties as
referenced in paragraphs (n) to (r).

(m) A Dictionary of Flowering Plants and Ferns, 8th edition (J. C. Willis, revised by H. K. Airy Shaw, 1973, Cambridge
University Press) for generic synonyms not mentioned in The Plant Book, unless they are superseded by standard
checklists adopted by the Conference of the Parties as referenced in paragraphs (m) to (q).

(n) A World List of Cycads (D. W. Stevenson, R. Osborne and K.D. Hill, 1995; In: P. Vorster (Ed.), Proceedings of the
Third International Conference on Cycad Biology, pp. 55-64, Cycad Society of South Africa, Stellenbosch) and its
updates accepted by the Nomenclature Committee, as a guideline when making reference to names of species of
Cycadaceae, Stangeriaceae and Zamiaceae.

(o) The Bulb Checklist (1997, compiled by the Royal Botanic Gardens, Kew, United Kingdom) and its updates accepted by
the Nomenclature Committee, as a guideline when making reference to the names of species of Cyclamen (Primu-
laceae) and Galanthus and Sternbergia (Liliaceae).

(p) The CITES Checklist of Succulent Euphorbia Taxa (Euphorbiaceae) (1997, published by the German Federal Agency for
Nature Conservation) and its updates accepted by the Nomenclature Committee, as a guideline when making
reference to the names of species of succulent euphorbias.

(q) CITES Cactaceae checklist, second edition (1999, compiled by D. Hunt, Royal Botanic Gardens, Kew, United
Kingdom) and its updates accepted by the Nomenclature Committee, as a guideline when making references to
names of species of Cactaceae.

(r) CITES orchid checklist, (compiled by the Royal Botanic Gardens, Kew, United Kingdom) and its updates accepted by
the Nomenclature Committee, as a guideline when making reference to the names of species of Cattleya, Cypri-
pedium, Laelia, Paphiopedilum, Phalaenopsis, Phragmipedium, Pleione and Sophronitis (Volume I, 1995) and Cymbidium,
Dendrobium, Disa, Dracula and Encyclia (Volume 2, 1997).

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ANNEX VII

1. Codes for the indication in permits and certificates of the purpose of a transaction, referred to in Article

4(3)(d)

B = Breeding in captivity or artificial propagation

E = Educational

G = Botanical gardens

H = Hunting trophies

L = Enforcement

M = Biomedical research

N = Reintroduction or introduction into the wild

P = Personal

Q = Circuses and travelling exhibitions

S = Scientific

T = Commercial

Z = Zoos

2. Codes for the indication in permits and certificates of the source of specimens, referred to in Article 4(3)(e)

W = Specimens taken from the wild

R = Specimens originating from a ranching operation

D = Annex A animals bred in captivity for commercial purposes and Annex A plants artificially propagated for
commercial purposes in accordance with Chapter III of Regulation (EC) No 1808/2001, as well as parts and
derivatives thereof

A = Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants artificially
propagated in accordance with Chapter III of Regulation (EC) No 1808/2001, as well as parts and derivatives
thereof

C = Annex A animals bred in captivity for non-commercial purposes and Annexes B and C animals bred in
captivity in accordance with Chapter III of Regulation (EC) No 1808/2001, as well as parts and derivatives
thereof

F = Animals born in captivity, but for which the criteria of Chapter III of Regulation (EC) No 1808/2001 are not

met, as well as parts and derivatives thereof

I = Confiscated or seized specimens (1)

O = Pre-Convention (1)

U = Source unknown (must be justified)

(1) To be used only in conjunction with another source code.

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ANNEX VIII

ANIMAL SPECIES REFERRED TO IN ARTICLE 32(a)

AVES

ANSERIFORMES

Anatidae

Anas laysanensis

Anas querquedula

Aythya nyroca

Branta ruficollis

Branta sandvicensis

Oxyura leucocephala

GALLIFORMES

Phasianidae

Catreus wallichi

Colinus virginianus ridgwayi

Crossoptilon crossoptilon

Crossoptilon mantchuricum

Lophophurus impejanus

Lophura edwardsi

Lophura swinhoii

Polyplectron emphanum

Syrmaticus ellioti

Syrmaticus humiae

Syrmaticus mikado

COLUMBIFORMES

Columbidae

Columba livia

PSITTACIFORMES

Psittacidae

Cyanoramphus novaezelandiae

Psephotus dissimilis

PASSERIFORMES

Fringillidae

Carduelis cucullata