CHAPTER IV Personal and household effects

Article 27

Introduction into the Community of personal and household effects
1. The derogation referred to in Article 7 (3) of Regulation (EC) No 338/97 from the provisions of Article 4 of that Regulation shall not apply to the first introduction into the Community by a person normally residing in the Community of personal or household effects involving species listed in Annex A to that Regulation.
2. The first introduction into the Community by a person normally residing in the Community of personal or household effects involving species listed in Annex B to Regulation (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.
3. The reintroduction into the Community by a person normally residing in the Community of personal or household effects involving species listed in Annex A or B to Regulation (EC) No 338/97 shall not require the presentation to customs of an import permit where the customs-endorsed 'copy for the holder` (form 2) of a previously used Community import or export permit, the copy of the document referred to in paragraph 2, or proof that the specimens were acquired within the Community is presented.

Article 28

Export and re-export from the Community of personal and household effects
1. The derogation referred to in Article 7 (3) of Regulation (EC) No 338/97 from Article 5 thereof shall not apply to the export of personal or household effects involving species listed in Annex A or B to that Regulation.
2. The re-export of personal or household effects by a person normally residing in the Community involving species listed in Annex A or B to Regulation (EC) No 338/97 shall not require the presentation to customs of a re-export certificate where the customs-endorsed 'copy for the holder` (form 2) of a previously used Community import or export permit, the copy referred to in Article 27 (2), or proof that the specimens were acquired within the Community is presented.

CHAPTER V Exemptions

Article 29
1. The exemption for specimens referred to in Article 8 (3) (a) 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 that the specimens concerned were born and bred in captivity or artificially propagated in accordance with Articles 24, 25 and 26 of this Regulation.
3. The exemption for specimens 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.

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 authority for the 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 for 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.

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:
(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) 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) thereof, that exemptions therefrom shall be granted by the issuance of a certificate on a case-by-case basis shall not apply to:
(a) live 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) live specimens of captive born and bred animals that are marked in accordance with Article 36 (1) of this Regulation and accompanied by a certificate referred to in Article 20 (3) (e) this Regulation, issued to the breeder by a competent management authority of a Member State;
(c) artificially propagated specimens of plant species;
(d) worked specimens that were acquired more than 50 years previously as defined in Article 2 (w) of Regulation (EC) No 338/97.

Article 33
1. For the purposes of Article 8 (3) of Regulation (EC) No 338/97 and Article 32 (b) of this Regulation, a Member State may make pre-issued certificates available to breeders approved for that purpose by a management authority, provided that they maintain breeding records, which shall, on request, be produced to the competent management authority. Such certificates shall, in box 19, include the following statement:
'Certificate only valid for the following taxon/taxa: .....................`.
2. For the purposes of Article 8 (3) of Regulation (EC) No 338/97, a Member State may make pre-issued certificates available to persons approved by a management authority to sell on the basis of such certificates dead captive-bred animals and/or small numbers of dead animals that were legally taken from the wild within the Community, provided that any such person:
(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
(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.

CHAPTER VI Marking specimens

Article 34
1. A certificate for the purposes of Article 8 (3) of Regulation (EC) No 338/97 and Article 32 (b) of this Regulation shall only be issued with regard to live vertebrates when the applicant has satisfied the competent management authority that the relevant provisions of Article 36 of this Regulation have been met.
2. Import permits for the following specimens shall only be 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 approved by the Conference of the Parties to the Convention;
(c) specimens from a population of a species listed in Appendix I to the Convention for which an export quota has been approved by the Conference of the Parties to the Convention;
(d) raw tusks of African elephant and cut pieces thereof that are both over 20 cm in length and 1 kg in weight;
(e) raw, tanned 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.

Article 35
1. Re-export certificates for specimens marked 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.
2. Re-export certificates for entire raw, tanned, or 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.

Article 36
1. For the purposes of Article 34 (1):
(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 uniquely numbered microchip transponders;
(b) live vertebrates other than captive born and bred birds shall be marked by means of uniquely numbered microchip transponders, or, where the competent management authority is satisfied that this method cannot, because of the physical or behavioural properties of the specimen/species, be applied, the specimens concerned shall be marked by means of uniquely numbered rings, bands, tags, tattoos and the like, or be made identifiable by any other appropriate means.
2. Article 34 (1) 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 method. Where this circumstance applies, the management authority concerned shall record this in box 19 of the certificate, or, where a marking method can be safely applied at a later date, include the appropriate stipulations therein.
3. Specimens that were marked with one of the methods referred to in paragraph 1 before the entry into force of this Regulation, or in compliance with paragraph 4 before their introduction into the Community, shall be deemed to have been marked in compliance with paragraph 1.
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 the Parties to the Convention for the specimens concerned.
5. Captive born and bred birds shall be marked by means of an individually marked seamlessly closed leg-ring, 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.

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 implantation of microchip transponders, this shall be undertaken with due regard to humane care, well-being and natural behaviour of the specimen concerned.

Article 38
1. The competent authorities of the Member States shall recognize the marking methods approved by the competent authorities of other Member States in accordance with Article 36.
2. The information contained in a mark shall, where such document is required pursuant to the provisions of this Regulation, also be provided on any permit or certificate relating to the specimen.
3. All microchip codes and related technical information needed to permit the reading of the transponder data shall be recorded on permits and certificates.

CHAPTER VII Reports and information

Article 39
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 management authorities, irrespective of the actual place of 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 the following year, for species in Annexes A, B and C to that Regulation in a computerized 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.
2. The information referred to in paragraph 1 shall be 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
(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.
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.
4. The records referred to in paragraph 3 shall be 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 Regulation (EC) No 338/97 shall include details on legislative, regulatory 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 Regulation (EC) No 338/97 pursuant to Article 15 (5) of that Regulation, 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, C and D to Regulation (EC) No 338/97 shall be submitted by the Commission to the Scientific Review Group for advice before it is submitted to the Committee.

CHAPTER VIII Final provisions

Article 41
1. Immediately on the establishment of a restriction in 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.
2. By way of derogation from paragraph 1, an import permit may be issued where:
(a) an application for an import permit was submitted prior to the establishment of the restriction, and
(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.
3. The period of validity of an import permit issued under the derogation in paragraph 2 shall not exceed one month.
4. The restrictions referred to in paragraph 1 shall, unless it 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 that are part of the household effects of persons moving into the Community to take up residence there.

Article 42
Regulation (EEC) No 3418/83 is hereby repealed.

Article 43
1. Permits and re-export certificates issued pursuant to Regulation (EEC) No 3626/82 and Regulation (EEC) No 3418/83 may continue to be used for import/(re-)export until their last day of validity.
2. Certificates issued in accordance with Article 11 of Regulation (EEC) No 3626/82 and Article 22 of Regulation (EEC) No 3418/83 may continue to be used for the purposes of Articles 5 (2) (b), 5 (3) (b), (c) and (d), Article 5 (4), second and third subparagraphs, and Article 8 (3) (a) and (d) to (h) of Regulation (EC) No 338/97.
3. 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.
4. Until 1 September 1997, Member States in which the forms provided for in this Regulation are not yet available may use the documents previously used pursuant to Regulation (EEC) No 3418/83, provided that they insert therein the items provided for in Annexes I to IV to this Regulation and that the documents comply with the rules laid down in this Regulation.

Article 44
Each Member State shall notify to the Commission and the Convention Secretariat the provisions which it adopts specifically for the implementation of this Regulation and all legal instruments used and measures taken for the implementation and enforcement thereof. The Commission shall communicate this information to the other Member States.

Article 45
This Regulation shall enter into force on 1 June 1997.

This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 26 May 1997.
For the Commission
Ritt BJERREGAARD
Member of the Commission

(1) OJ No L 61, 3. 3. 1997, p. 1.
(2) See page 1 of this Official Journal.
(3) OJ No L 344, 7. 12. 1983, p. 1.
(4) OJ No L 384, 31.12.1982, p. 1.

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