EUROPEAN COMMISSION DIRECTORATE-GENERAL ENVIRONMENT Brussels, 22 December 2016 QUESTIONS AND ANSWERS ON THE IMPLEMENTATION INTO THE EU OF THE INCLUSION OF NEW SPECIES INTO THE CITES APPENDICES AT CITES CoP17 At the 17 th Conference of the Parties of the CITES Convention (24 September 4 October 2016), CITES Parties decided to include animal and plant species in CITES Appendices, as well as to transfer species from one Appendix to another, or to remove species from CITES Appendices. Examples are the inclusion of many rosewood species (in particular the genus Dalbergia 1 ) into CITES Appendix II, the transfer of the grey parrot from Appendix II to Appendix I, or the inclusion of a number of reptile species in CITES Appendix I. The full list of amendments to CITES Appendices agreed at CITES CoP17 is available here. This document provides some clarifications about the impact of these amendments for trade in the items derived from these species into, from and within the European Union. More information on the EU's legislation on wildlife trade can be found on the website of the European Commission on wildlife trade: http://ec.europa.eu/environment/cites/legislation_en.htm. To obtain information for the issuance of permits for specific transactions, it is recommended to contact the management authority of the relevant EU Member State: http://ec.europa.eu/environment/cites/pdf/list_authorities.pdf 1. A number of new animal and plant species were included in the CITES Appendices at the 17 th meeting of the CITES Conference of the Parties. When will the inclusion of these species enter into force? When will these changes become part of EU law? What will happen in the interim period? The changes to the CITES Appendices will enter into force at the international level on 2 January 2017. These changes will be reflected at EU level through changes to the Annexes to Council Regulation 338/97 which should enter into force in the course of February 2017. 1 It should be noted that the decisions agreed at CITES CoP17 to include the genus Dalbergia spp. in CITES Appendix II do not affect Dalbergia nigra (Brazilian rosewood), which was included in CITES Appendix I in 1992 and will remain CITES Appendix I and in Annex A of Council Regulation 338/97.
In the interim period between 2 January 2017 and the entry into force of the new Annexes to Council Regulation 338/97, the situation is as follows: a. EU Member States are encouraged to issue export permits for the export (or reexport certificates for the re-export) of specimens of species which were included in CITES at CITES CoP17 (for example Dalbergia species included in CITES Appendix II), on the basis of the relevant provisions of the CITES Convention; b. There is no obligation for EU Member States to issue import permits for the introduction into the EU of specimens of species newly listed in CITES Appendices; similarly, the regime for intra-eu trade of these specimens will not change until the entry into force of the new EU Annexes. 2. What will change, after the entry into force of the new Annexes to Council Regulation 338/97, for trade in specimens (live plants or animals and derived products) of the species listed in CITES at CITES CoP17? Once the new Annexes to Council Regulation 338/97 enter into force, the specimens of the species listed at CITES CoP17 will be subject to new rules for (i) the export from the EU to a third country, (ii) the introduction into the EU from a 3 rd country and (iii) intra- EU trade. The rules will be different depending whether the items concerned have been acquired before or after 2 January 2017. a. Trade in specimens acquired before 2 January 2017. Traders, retailers and other persons in possession of specimens of species listed at CITES CoP17 acquired before 2 January 2017, and who have the intention to trade them, are encouraged to contact the CITES Management of their country to inform them that they are in possession of such products, as this will help them determine that the products concerned have indeed been acquired before 2 January 2017. The export or re-export from the EU of specimens acquired before 2 January 2017 and from species listed at CITES CoP17 is conditional upon the presentation of an export permit (or re-export certificate), to be issued by the management authority of the country of export. To obtain that permit or certificate, the applicant needs to provide documentary evidence that the specimens were legally acquired before 2 January 2017 (article 5(6) of Council regulation 338/97). The introduction into the EU of specimens acquired before 2 January 2017 and from species listed at CITES CoP17 is conditional upon the presentation of an export permit by the exporting country and of an import permit by the importing EU Member State. Trade within the EU for commercial purposes for specimens acquired before 2 January 2017 and from species newly included in CITES Appendix I 2 is authorised upon the presentation of an intra-eu certificate. This certificate is delivered by the Management 2 such as the grey parrot - Psittaccus erithacus or the blue gecko - Lygodactylus williamsi 2
authority of the Member State concerned if the applicant demonstrates that the specimen in question was acquired before 2 January 2017 3. No certificate is needed to authorise commercial trade within the EU for specimens of species newly included in CITES Appendix II, but the traders should be able to demonstrate that the specimens were acquired before 2 January 2017 and in accordance with the legislation in force for the conservation of wild fauna and flora. b. Trade in specimens acquired on or after 2 January 2017 The export or re-export from the EU for primarily commercial purposes of specimens acquired after 2 January 2017 and from species included in CITES Appendix I at CoP17 is not authorized, except under specific circumstances (for example for captive born and bred specimens) and upon presentation of an export permit or re-export certificate issued by the competent management authority in accordance with Article 5 of Council Regulation 338/97. The export or re-export from the EU of specimens acquired after 2 January 2017 and from species included in CITES Appendix II at CoP17 is authorized upon the presentation of an export permit or re-export certificate issued by the competent management authority in accordance with Article 5 of Council Regulation 338/97. The introduction into the EU for primarily commercial purposes of specimens acquired after 2 January 2017 and from species included in CITES Appendix I at CoP17 is not authorized except under specific circumstances (for example for captive born and bred animals) and upon presentation of an export permit issued by the exporting country and of an import permit issued by the management authority of the EU Member State where the products is to be imported. The introduction into the EU of specimens acquired after 2 nd January 2017 and from species included in CITES Appendix II at CoP17 is authorized upon presentation of an export permit issued by the exporting country and of an import permit issued by the management authority of the EU Member State where the products are to be imported (see Article 4 of Council Regulation 338/97 for more information on the conditions governing the issuing of import permits for such specimens). Trade within the EU for commercial purposes of specimens acquired after 2 January 2017 and from species included in CITES Appendix I/EU Annex A at CoP17 is in principle not authorised, except under specific circumstances (for example for captive born and bred specimens) and upon presentation of an intra-eu certificate issued by the competent management authority in accordance with Article 8 of Council Regulation 338/97. No certificate is needed to authorise commercial trade within the EU for specimens of species included in CITES Appendix II at CoP17, but the traders should be able to demonstrate that the specimens were acquired in accordance with the legislation in force for the conservation of wild fauna and flora. 3 for specimens of species which were in CITES Appendix II before CITES CoP17 (like the grey parrot - Psittaccus erithacus -), the applicant also needs to demonstrate that the specimen was legally acquired 3
3. Are some products or some transactions not covered by the CITES and EU wildlife trade regime? CITES and the EU Wildlife Trade Regulations cover, by default, all specimens, whether alive or dead, including parts and derivatives, from animal and plant species listed in the CITES Appendices/EU Annexes. However, through an annotation to the listing, some parts and derivatives may be exempted from certain provisions. At CITES CoP17, it was agreed that the inclusion of the genus Dalbergia and of three Guibourtia species would be accompanied by an annotation which indicates that the listing covers all parts and derivatives, except: a. leaves, flowers, pollen, fruit, and seeds; b. non-commercial trade of a maximum total weight of 10 kg per shipment; c. parts and derivatives of Dalbergia cochinchinensis which are covered by Annotation #4; d. parts and derivatives of Dalbergia spp. originating and exported from Mexico which are covered by Annotation #6. As a consequence, the products or transactions described in paragraphs a. to d. above are exempted from CITES controls. The import, export or re-export and intra-eu trade of such shipments can therefore proceed without permit. 4. Are there simplified procedures for the export/re-export of specimens (live plants or animals and derived products) of the species listed in CITES at CITES CoP17? Simplified procedures for the export/re-export of specimens of species listed in CITES Appendices have been agreed in the CITES framework (see Section XII of Resolution Conf. 12.3 (Rev. CoP16 4 )). These provisions have been implemented into law through Article 19 of Commission Regulation 865/2006, as follows: Article 19 Simplified procedures with regard to export or re-export of dead specimens 1. In the case of the export or re-export of dead specimens of species, including any parts or derivatives thereof, listed in Annexes B and C to Regulation (EC) No 338/97, Member States may provide for the use of simplified procedures on the basis of pre- issued export permits or re-export certificates, provided that the following conditions are satisfied: (a) a competent scientific authority must advise that such export or re- export will have no detrimental impact on the conservation of the species concerned; 4 https://cites.org/eng/res/12/12-03r16.php 4
(b) each Member State must establish and maintain a register of the persons and bodies that may benefit from simplified procedures, hereinafter registered persons and bodies, as well as of the species that they may trade under such procedures, and must ensure that the register is reviewed by the management authority every five years; (c) Member States must provide registered persons and bodies with partially completed export permits and re-export certificates; (d) Member States must authorise registered persons or bodies to enter specific information in boxes 3, 5, 8 and 9 or 10 of the permit or certificate provided that they comply with the following requirements: (i) they sign the completed permit or certificate in box 23; (ii) they immediately send a copy of the permit or certificate to the issuing management authority; (iii) they maintain a record which they produce to the competent management authority on request and which contains details of the specimens sold, including the species name, the type of specimen, the source of the specimen, the dates of sale and the names and addresses of the persons to whom they were sold. 2. The export or re-export referred to in paragraph 1 shall otherwise be in accordance with Article 5(4) and (5) of Regulation (EC) No 338/97. It is up to each EU Member State to decide whether or not (and in which case) to make use of these simplified procedures. 5