The European Union (EU)1 represents one of the largest markets for wild animals and plants, their products and derivatives. For many years, legislation to govern this trade has been a conservation priority in the region. Since 1984, the EU has been implementing the provisions of CITES, the Convention on International Trade in Endangered Species of Wild Fauna and Flora (or simply, “the Convention”), through common Regulations, which are referred to hereafter collectively as the EU Wildlife Trade Regulations (or simply, “the Regulations”)2.
The Regulations currently in force are:
Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein(referred to in this Guide as Regulation (EC) No 338/97 or the Basic Regulation)3, as amended4. The species controlled within the EU under the Basic Regulation are listed in four separate Annexes to the Regulation (Annexes A to D);
Commission Regulation (EU) No 2019/2117 amending Council Regulation (EC) No 338/97, adopted on 29 November 20195. This updated version replaced the Annexes to the Basic Regulation following the listing decisions made at CITES CoP18 (Geneva, 17-28 August 2019).
Commission Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regulation (EC) No 338/97, that was adopted on 4 May 2006 (referred to in this Guide as Regulation (EC) No 865/2006 or the Implementing Regulation)6 as amended7;
Commission Implementing Regulation (EU) No 792/2012 laying down rules for the design of permits, certificates and other documents provided for in Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein and amending Commission Regulation (EC) No 865/2006 that was adopted on 23 August 2012 (referred to in this guide as Regulation (EU) No 792/2012 or the Permit Regulation)8 as amended9. Commission Implementing Regulation (EU) No 2019/1587 prohibiting the introduction into the Union of specimens of certain species of wild fauna and flora that was adopted on 24 September 2019 (referred to in this guide as Regulation (EU) No 2019/1587 or the
“Suspensions Regulation”)10.
1 For historical reasons, the term “European Communities” is still used in the text of Council Regulation (EC) No 338/97; it should be read to refer to the European Union.
2 EU legislation is published in the Official Journal of the European Union (OJ), and relevant pieces of legislation are referenced on a dedicated Commission website at https://ec.europa.eu/environment/cites/legislation_en.htm.
3 OJ No. L 61 of 3.3.97, p.1
4 Current consolidated version of 338/97 (01/01/2020); the latest amendment at the time of publication of this guide is Commission Regulation (EU) No 2019/2117 amending Council Regulation (EC) No 338/97 of 29/11/2019 and Regulation (EU) No 2019/1010 of the European Parliament and of the Council of 05/06/2019 on the alignment of reporting obligations in the field of legislation related to the environment.
5 The Basic Regulation may be amended in two ways: (i) amendments to the text of the Regulation (e.g. by Regulation (EC) 398/2009 of the European Parliament and Council of 23 April 2009); and (ii) updating of the Annexes through further Commission Regulations that are published in the Official Journal and referenced on the Commission’s CITES website.
6 OJ No. L 166 of 19.6.2006, p.1
7 Current consolidated version of 865/2006 (27/02/2019); the latest amendment at the time of publication of this guide is Commission Regulation (EU) No 2019/220 of 6 February 2019 amending Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regulation (EC) No 338/97 (OJ No. L35 of 7.2.2019, p.3-27) as regards the rules for specific content permits and certificates for live rhinoceros and live elephants as well as revised codes and units of measure. Further amendments can be made through Commission Regulations that are published in the Official Journal and referenced on the Commission’s CITES website.
8 OJ No. L 242 of 7.9.2012, p.13.
9 The latest amendment at the time of publication of this guide is Commission Implementing Regulation (EU) No 2015/57 of 15 January 2015 amending Implementing Regulation (EU) No 792/2012 as regards the rules for the design of permits, certificates and other documents provided for in Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein and in Commission Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regulation (EC) No 338/97 (OJ No. L 10 of 16.1.2015, p.19).
10 OJ L 248, 27.9.2019, p. 5–21
Where reference is made to these Regulations in this guide, this should be understood as being to the Regulations as last amended. Consolidated versions of these Regulations which incorporate the relevant amendments, can be consulted on the EUR-Lex website (access to European law):
consolidated Basic Regulation (338/97) of 01/01/2020, consolidated Commission Implementing Regulation 865/2006 of 27/02/2019. Please note, however, that it may take some time before the latest amendments are included in a consolidated version of the Regulations.
In February 2016, the European Commission adopted a Communication on the EU Action Plan against Wildlife Trafficking,which sets out a comprehensive blueprint for joined-up efforts to fight wildlife crime inside the EU, and for strengthening the EU's role in the global fight against these illegal activities. The Council of the European Union adopted conclusions in June 2016 on the EU Action Plan against Wildlife Trafficking endorsing the three priorities of the Action Plan and calling for timely implementation of the relevant actions by the Commission, the High Representative, Europol, Eurojust and the EU Member States.
The plan has three main strands – adequate enforcement, better cooperation, and more effective prevention. The Action Plan is implemented jointly by the EU (Commission services, EEAS, Europol, Eurojust) and its Member States. In 2020, the Commission has started an evaluation of the Action Plan that is leading towards its revision in 2021, in line with the EU Biodiversity Strategy for 2030.11 This guide is to be used as reference material by CITES Management and Scientific Authorities, wildlife trade enforcement officials, wildlife traders and anyone interested in the legislation and the technicalities of the provisions of the Regulations.
The guide is not intended to be read sequentially. The sections are independent, so you can go directly to whichever topic is of interest. Definitions of key terms are provided in Annex III of this Guide.
The following is a summary of the topics covered:
Section 2 explains which species are covered by the Regulations, and how they are distributed among the Annexes to Regulation (EC) No 338/97;
Section 3 focuses on trade into and out of the EU, and the conditions that must be met. The bulk of such trade is in imports, but you may find yourself engaged in exports or re-exports – if you are an animal breeder or plant propagator, for example, or if you are leaving the EU and taking personal effects with you that originated outside of the EU;
Section 4 deals with trade within the EU. In particular, trade in Annex A specimens is subject to strict controls, and you should be aware of these;
Section 5 deals with the transport, keeping and movement of live specimens;
Section 6 deals with the marking requirements for certain specimens;
Section 7 deals with the specific circumstances where permits and certificates may be issued retrospectively;
Section 8 deals with the validity of permits and certificates, and the special conditions that may be attached to them;
Section 9 deals with procedures at places of introduction and export;
Section 10 deals with the national and EU-level bodies that deal with scientific, management and enforcement issues and explains the role of the European Commission;
Sections 11, 12 and 13 deal with enforcement, public awareness and reporting requirements respectively.
11 https://ec.europa.eu/environment/nature/biodiversity/strategy/index_en.htm
Reference Guide to the European Union Wildlife Trade Regulations (December 2020) 11
There follow a number of annexes to this Guide with additional information:
Annex I is for those who want to read more about the background to CITES and the EU Wildlife Trade Regulations;
Annex II sets out the main differences between CITES and the EU Wildlife Trade Regulations;
Annex III sets out the definitions used throughout the text;
Annex IV sets out the definitions of the Opinions issued by the Scientific Review Group;
Annex V provides further information on the status of EU dependent and other territories with respect to the application of CITES and the EU Wildlife Trade Regulations;
Annex VI sets out the codes to be used in the description of specimens and the units of measurement to be used for quantities when completing permits and certificates, or applications for the same;
Annex VII sets out the standard taxonomic references for nomenclature that should be used to indicate the scientific names of species in permits and certificates;
Annex VIII sets out the codes used to indicate the purpose of a transaction in permits and certificates;
Annex IX sets out the codes used to indicate the source of specimens in permits and certificates;
Annex X lists the Annex A-listed animal species that are exempt from the requirement for a certificate for internal trade, by virtue of abundance of captive-bred specimens;
Annex XI lists the Annex B-listed species and populations in respect of which import permits must be issued by EU Member States for the first introduction into the EU of hunting trophies of specimens from these species/populations.
Annex XII sets out the guidelines on duties and tasks of Member State Scientific Authorities and the Scientific Review Group (SRG);
Annex XIII lists the types of biological samples for which certain procedures which are less strict may apply;
Annex XIV summarises the provisions that apply to sturgeon and paddlefish caviar;
Annex XV sets out the dates of EU membership and CITES accession for the EU Member States, and
Annex XVI lists the Articles in Regulation (EC) No 338/97 and Regulation (EC) No 865/2006 (as amended).
Obviously, there is considerable overlap between the topics covered; however they are cross-referenced to ensure that you are directed to all areas of relevance to your query.
The electronic version of this guide and the relevant Regulations are available on the EU CITES website.
There are also a few general tips that you should be aware of:
If you have some familiarity with the workings of CITES but have not dealt with the EU Wildlife Trade Regulations before, it is important to note that there are some significant differences between EU and international regulations, and that the EU regulations can be stricter in some respects. Therefore, you should not rely directly on CITES or the CITES Conference of the Parties (CoP) Resolutions for an interpretation of the laws applicable in the EU. The most important differences between the two are summarised in Annex II.
Work as much as possible with the scientific names of the species that you are dealing with, since these are the only standard names that are accessible to all practitioners, regardless of the language they speak. Section 2 explains how you can access these scientific names.
Read the instructions carefully before completing any relevant applications forms, permits or certificates. This guide contains annotated instructions that may make this process easier.
Never accept a specimen if you cannot be reasonably satisfied of its legal origin. At the very least, you may have trouble subsequently disposing of it, but you might also face penalties such as having the specimen confiscated, a fine or even prosecution.
Subject to these warnings and the more detailed rules in the remaining sections, there is no reason why you should be wary of dealing with CITES issues and CITES specimens, in any capacity. While unsustainable wildlife trade contributes to biodiversity loss, sustainable and well-regulated trade can be a positive force for conservation, and this is reflected also in the relevant EU legislation and its implementation.