# Official Journal L 27/2017

| | ISSN 1977-0677 |
| --- | --- |
| Official Journal
  of the European Union | L 27 |
| | |
| English edition | Legislation | Volume 601 February 2017 |

ISSN 1977-0677

Official Journal

of the European Union

L 27

English edition

Legislation

Volume 601 February 2017

---

| Contents | | II   Non-legislative acts | page |
| --- | --- | --- | --- |
| | | REGULATIONS |
| | * | Commission Regulation (EU) 2017/160 of 20 January 2017 amending Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein | 1 |
| | * | Commission Regulation (EU) 2017/161 of 31 January 2017 correcting the French language version of Regulation (EU) No 139/2014 laying down requirements and administrative procedures related to aerodromes pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (
  1
  ) | 99 |
| | * | Commission Implementing Regulation (EU) 2017/162 of 31 January 2017 operating deductions from fishing quotas available for certain stocks in 2016 on account of overfishing of other stocks in the previous years and amending Implementing Regulation (EU) 2016/2226 operating deductions from fishing quotas available for certain stocks in 2016 on account of overfishing in the previous years | 101 |
| | | Commission Implementing Regulation (EU) 2017/163 of 31 January 2017 establishing the standard import values for determining the entry price of certain fruit and vegetables | 113 |
| | | DIRECTIVES |
| | * | Commission Directive (EU) 2017/164 of 31 January 2017 establishing a fourth list of indicative occupational exposure limit values pursuant to Council Directive 98/24/EC, and amending Commission Directives 91/322/EEC, 2000/39/EC and 2009/161/EU (
  1
  ) | 115 |
| | | DECISIONS |
| | * | Council Decision (EU) 2017/165 of 27 January 2017 appointing a member and twelve alternate members, proposed by the Republic of France of the Committee of the Regions | 121 |
| | * | Commission Decision (EU) 2017/166 of 27 November 2015 on State aid SA.38831 (2014/C) (ex 2014/N) which Portugal is planning to implement for Volkswagen Autoeuropa, Lda
  (notified under document C(2015) 8232)

   (
  1
  ) | 123 |
| | * | Commission Implementing Decision (EU) 2017/167 of 30 January 2017 temporarily authorising Belgium, the Czech Republic, France and Spain to certify pre-basic mother plants and pre-basic material of specific species of fruit plants referred to in Annex I to Council Directive 2008/90/EC, produced in the field under non-insect-proof conditions
  (notified under document C(2017) 60) | 143 |
| | * | Commission Implementing Decision (EU) 2017/168 of 31 January 2017 on the identification of Internet Engineering Task Force Technical Specifications for referencing in public procurement (
  1
  ) | 151 |
| | | ACTS ADOPTED BY BODIES CREATED BY INTERNATIONAL AGREEMENTS |
| | * | Decision No 1/2015 of the Joint Committee on Agriculture of 19 November 2015 concerning the amendment to Appendices 1, 2 and 4 to Annex 4 to the Agreement between the European Community and the Swiss Confederation on trade in agricultural products [2017/169] | 155 |

Contents

II   Non-legislative acts

page

REGULATIONS

*

Commission Regulation (EU) 2017/160 of 20 January 2017 amending Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein

1

*

Commission Regulation (EU) 2017/161 of 31 January 2017 correcting the French language version of Regulation (EU) No 139/2014 laying down requirements and administrative procedures related to aerodromes pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (
  1
  )

1

99

*

Commission Implementing Regulation (EU) 2017/162 of 31 January 2017 operating deductions from fishing quotas available for certain stocks in 2016 on account of overfishing of other stocks in the previous years and amending Implementing Regulation (EU) 2016/2226 operating deductions from fishing quotas available for certain stocks in 2016 on account of overfishing in the previous years

101

Commission Implementing Regulation (EU) 2017/163 of 31 January 2017 establishing the standard import values for determining the entry price of certain fruit and vegetables

113

DIRECTIVES

*

Commission Directive (EU) 2017/164 of 31 January 2017 establishing a fourth list of indicative occupational exposure limit values pursuant to Council Directive 98/24/EC, and amending Commission Directives 91/322/EEC, 2000/39/EC and 2009/161/EU (
  1
  )

1

115

DECISIONS

*

Council Decision (EU) 2017/165 of 27 January 2017 appointing a member and twelve alternate members, proposed by the Republic of France of the Committee of the Regions

121

*

Commission Decision (EU) 2017/166 of 27 November 2015 on State aid SA.38831 (2014/C) (ex 2014/N) which Portugal is planning to implement for Volkswagen Autoeuropa, Lda
  (notified under document C(2015) 8232)

   (
  1
  )

(notified under document C(2015) 8232)

1

123

*

Commission Implementing Decision (EU) 2017/167 of 30 January 2017 temporarily authorising Belgium, the Czech Republic, France and Spain to certify pre-basic mother plants and pre-basic material of specific species of fruit plants referred to in Annex I to Council Directive 2008/90/EC, produced in the field under non-insect-proof conditions
  (notified under document C(2017) 60)

(notified under document C(2017) 60)

143

*

Commission Implementing Decision (EU) 2017/168 of 31 January 2017 on the identification of Internet Engineering Task Force Technical Specifications for referencing in public procurement (
  1
  )

1

151

ACTS ADOPTED BY BODIES CREATED BY INTERNATIONAL AGREEMENTS

*

Decision No 1/2015 of the Joint Committee on Agriculture of 19 November 2015 concerning the amendment to Appendices 1, 2 and 4 to Annex 4 to the Agreement between the European Community and the Swiss Confederation on trade in agricultural products [2017/169]

155

| | |
| --- | --- |
| | (1)   Text with EEA relevance. |

---

(1)   Text with EEA relevance.

1

| EN | Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.
  The titles of all other Acts are printed in bold type and preceded by an asterisk. |
| --- | --- |

EN

Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.

The titles of all other Acts are printed in bold type and preceded by an asterisk.

---

II Non-legislative acts

REGULATIONS

| 1.2.2017 | EN | Official Journal of the European Union | L 27/1 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/1

---

COMMISSION REGULATION (EU) 2017/160

of 20 January 2017

amending Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

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), and in particular Article 19(5) thereof,

Whereas:

| (1) | Regulation (EC) No 338/97 regulates trade in animal and plant species listed in the Annex to the Regulation. The species listed in the Annex include the species set out in the Appendices to the Convention on International Trade in Endangered Species of Wild Fauna and Flora (the Convention) as well as species whose conservation status requires that trade from, into and within the Union be regulated or monitored. |
| --- | --- |

(1)

Regulation (EC) No 338/97 regulates trade in animal and plant species listed in the Annex to the Regulation. The species listed in the Annex include the species set out in the Appendices to the Convention on International Trade in Endangered Species of Wild Fauna and Flora (the Convention) as well as species whose conservation status requires that trade from, into and within the Union be regulated or monitored.

| (2) | At the 17th meeting of the Conference of the Parties to the Convention, held in Johannesburg, South Africa, from 24 September to 4 October 2016 (CoP 17), certain amendments were made to the Appendices to the Convention. These amendments should be reflected in the Annexes to Regulation (EC) No 338/97. |
| --- | --- |

(2)

At the 17th meeting of the Conference of the Parties to the Convention, held in Johannesburg, South Africa, from 24 September to 4 October 2016 (CoP 17), certain amendments were made to the Appendices to the Convention. These amendments should be reflected in the Annexes to Regulation (EC) No 338/97.

| (3) | The following genera or species were included in Appendix I to the Convention and should be included in Annex A to Regulation (EC) No 338/97: Abronia anzuetoi, Abronia campbelli, Abronia fimbriata, Abronia frosti, Abronia meledona, Cnemaspis psychedelica, Lygodactylus williamsi, Telmatobius culeus, Polymita spp. |
| --- | --- |

(3)

The following genera or species were included in Appendix I to the Convention and should be included in Annex A to Regulation (EC) No 338/97: Abronia anzuetoi, Abronia campbelli, Abronia fimbriata, Abronia frosti, Abronia meledona, Cnemaspis psychedelica, Lygodactylus williamsi, Telmatobius culeus, Polymita spp.

| (4) | The following species were transferred from Appendix II to Appendix I to the Convention and should be removed from Annex B and included in Annex A to Regulation (EC) No 338/97: Manis crassicaudata, Manis culionensis, Manis gigantea, Manis javanica, Manis pentadactyla, Manis temminckii, Manis tetradactyla, Manis tricuspis, Macaca sylvanus, Psittacus erithacus, Shinisaurus crocodilurus, Sclerocactus blainei, Sclerocactus cloverae, Sclerocactus sileri. |
| --- | --- |

(4)

The following species were transferred from Appendix II to Appendix I to the Convention and should be removed from Annex B and included in Annex A to Regulation (EC) No 338/97: Manis crassicaudata, Manis culionensis, Manis gigantea, Manis javanica, Manis pentadactyla, Manis temminckii, Manis tetradactyla, Manis tricuspis, Macaca sylvanus, Psittacus erithacus, Shinisaurus crocodilurus, Sclerocactus blainei, Sclerocactus cloverae, Sclerocactus sileri.

| (5) | The following taxa were transferred from Appendix I to Appendix II to the Convention and should be removed from Annex A and included in Annex B to Regulation (EC) No 338/97: Puma concolor coryi, Puma concolor cougar, Equus zebra zebra, Lichenostomus melanops cassidix, Ninox novaeseelandiae undulata, Crocodylus acutus (population of the Bay of Cispata in Colombia, with annotation), Crocodylus porosus (populations of Malaysia, with annotation), Dyscophus antongilii. |
| --- | --- |

(5)

The following taxa were transferred from Appendix I to Appendix II to the Convention and should be removed from Annex A and included in Annex B to Regulation (EC) No 338/97: Puma concolor coryi, Puma concolor cougar, Equus zebra zebra, Lichenostomus melanops cassidix, Ninox novaeseelandiae undulata, Crocodylus acutus (population of the Bay of Cispata in Colombia, with annotation), Crocodylus porosus (populations of Malaysia, with annotation), Dyscophus antongilii.

| (6) | The following family, genera or species were included in Appendix II to the Convention and should be included in Annex B to Regulation (EC) No 338/97: Capra caucasica, Abronia spp. (with an annotation for Abronia aurita, Abronia gaiophantasma, Abronia montecristoi, Abronia salvadorensis and Abronia vasconcelosii, and except the species listed in Appendix I), Rhampholeon spp., Rieppeleon spp., Paroedura masobe, Atheris desaixi, Bitis worthingtoni, Lanthanotidae spp. (with annotation), Cyclanorbis elegans, Cyclanorbis senegalensis, Cycloderma aubryi, Cycloderma frenatum, Rafetus euphraticus, Trionyx triunguis, Dyscophus guineti, Dyscophus insularis, Scaphiophryne boribory, Scaphiophryne marmorata, Scaphiophryne spinosa, Paramesotriton hongkongensis, Carcharhinus falciformis (with annotation), Alopias spp. (with annotation), Mobula spp. (with annotation), Holacanthus clarionensis, Nautilidae spp., Beaucarnea spp., Dalbergia spp. (with annotation), Guibourtia demeusei (with annotation), Guibourtia pellegriniana (with annotation), Guibourtia tessmannii (with annotation), Pterocarpus erinaceus, Adansonia grandidieri (with annotation), Siphonochilus aethiopicus (with annotation). |
| --- | --- |

(6)

The following family, genera or species were included in Appendix II to the Convention and should be included in Annex B to Regulation (EC) No 338/97: Capra caucasica, Abronia spp. (with an annotation for Abronia aurita, Abronia gaiophantasma, Abronia montecristoi, Abronia salvadorensis and Abronia vasconcelosii, and except the species listed in Appendix I), Rhampholeon spp., Rieppeleon spp., Paroedura masobe, Atheris desaixi, Bitis worthingtoni, Lanthanotidae spp. (with annotation), Cyclanorbis elegans, Cyclanorbis senegalensis, Cycloderma aubryi, Cycloderma frenatum, Rafetus euphraticus, Trionyx triunguis, Dyscophus guineti, Dyscophus insularis, Scaphiophryne boribory, Scaphiophryne marmorata, Scaphiophryne spinosa, Paramesotriton hongkongensis, Carcharhinus falciformis (with annotation), Alopias spp. (with annotation), Mobula spp. (with annotation), Holacanthus clarionensis, Nautilidae spp., Beaucarnea spp., Dalbergia spp. (with annotation), Guibourtia demeusei (with annotation), Guibourtia pellegriniana (with annotation), Guibourtia tessmannii (with annotation), Pterocarpus erinaceus, Adansonia grandidieri (with annotation), Siphonochilus aethiopicus (with annotation).

| (7) | The following species were deleted from Appendix II to the Convention and should be removed from Annex B to Regulation (EC) No 338/97: Bison bison athabascae, Tillandsia mauryana. |
| --- | --- |

(7)

The following species were deleted from Appendix II to the Convention and should be removed from Annex B to Regulation (EC) No 338/97: Bison bison athabascae, Tillandsia mauryana.

| (8) | Species which were so far listed in Appendix III have been removed from that Appendix following their inclusion in Appendix II and should be removed from Annex C to Regulation (EC) No 338/97. |
| --- | --- |

(8)

Species which were so far listed in Appendix III have been removed from that Appendix following their inclusion in Appendix II and should be removed from Annex C to Regulation (EC) No 338/97.

| (9) | Abronia graminea and Salamandra algira which were so far listed in Annex D to Regulation (EC) No 338/97, should be removed from that Annex following their inclusion in Appendix II and Appendix III respectively to the Convention at CoP 17. |
| --- | --- |

(9)

Abronia graminea and Salamandra algira which were so far listed in Annex D to Regulation (EC) No 338/97, should be removed from that Annex following their inclusion in Appendix II and Appendix III respectively to the Convention at CoP 17.

| (10) | A number of annotations relating to species or genus included in the Appendices of the Convention were adopted or amended at CoP 17 and also need to be reflected in the Annexes to Regulation (EC) No 338/97 (annotations for the species Vicugna vicugna, Panthera leo, Crocodylus moreletti, Bulnesia sarmientoi, the genera Aquilaria spp. and Gyrinops spp., the genus Dalbergia spp., the species Guibourtia demeusei, Guibourtia pellegriniana and Guibourtia tessmannii and the species Adansonia grandidieri). |
| --- | --- |

(10)

A number of annotations relating to species or genus included in the Appendices of the Convention were adopted or amended at CoP 17 and also need to be reflected in the Annexes to Regulation (EC) No 338/97 (annotations for the species Vicugna vicugna, Panthera leo, Crocodylus moreletti, Bulnesia sarmientoi, the genera Aquilaria spp. and Gyrinops spp., the genus Dalbergia spp., the species Guibourtia demeusei, Guibourtia pellegriniana and Guibourtia tessmannii and the species Adansonia grandidieri).

| (11) | The Union has not entered a reservation in respect of any of those amendments. |
| --- | --- |

(11)

The Union has not entered a reservation in respect of any of those amendments.

| (12) | At CoP 17, new nomenclatural references for animals and plants were adopted. |
| --- | --- |

(12)

At CoP 17, new nomenclatural references for animals and plants were adopted.

| (13) | The following species were recently included in Appendix III to the Convention: Salamandra algira at the request of Algeria; Chelydra serpentina, Apalone ferox, Apalone mutica and Apalone spinifera at the request of the United States; Potamotrygon spp. (with annotation) and Hypancistrus zebra at the request of Brazil; Potamotrygon constellata, Potamotrygon magdalenae, Potamotrygon motoro, Potamotrygon orbignyi, Potamotrygon schroederi, Potamotrygon scobina, Potamotrygon yepezi and Paratrygon aiereba at the request of Colombia. These species should therefore be included in Annex C to Regulation (EC) No 338/97. |
| --- | --- |

(13)

The following species were recently included in Appendix III to the Convention: Salamandra algira at the request of Algeria; Chelydra serpentina, Apalone ferox, Apalone mutica and Apalone spinifera at the request of the United States; Potamotrygon spp. (with annotation) and Hypancistrus zebra at the request of Brazil; Potamotrygon constellata, Potamotrygon magdalenae, Potamotrygon motoro, Potamotrygon orbignyi, Potamotrygon schroederi, Potamotrygon scobina, Potamotrygon yepezi and Paratrygon aiereba at the request of Colombia. These species should therefore be included in Annex C to Regulation (EC) No 338/97.

| (14) | In view of the extent of the amendments it is appropriate, for reasons of clarity, to replace the Annex to Regulation (EC) No 338/97 in its entirety. |
| --- | --- |

(14)

In view of the extent of the amendments it is appropriate, for reasons of clarity, to replace the Annex to Regulation (EC) No 338/97 in its entirety.

| (15) | Regulation (EC) No 338/97 should therefore be amended accordingly. |
| --- | --- |

(15)

Regulation (EC) No 338/97 should therefore be amended accordingly.

| (16) | Article XV.1(c) of the Convention states that ‘amendments adopted at a meeting [of the Conference of the Parties] shall enter into force 90 days after that meeting for all Parties (...)’. In order to meet that deadline and ensure the timely entry into force of the changes to the Annex to this Regulation, the entry into force of this Regulation should be on the third day following that of its publication. |
| --- | --- |

(16)

Article XV.1(c) of the Convention states that ‘amendments adopted at a meeting [of the Conference of the Parties] shall enter into force 90 days after that meeting for all Parties (...)’. In order to meet that deadline and ensure the timely entry into force of the changes to the Annex to this Regulation, the entry into force of this Regulation should be on the third day following that of its publication.

| (17) | The measures provided for in this Regulation are in accordance with the opinion of the Committee on Trade in Wild Fauna and Flora established pursuant to Article 18(1) of Regulation (EC) No 338/97, |
| --- | --- |

(17)

The measures provided for in this Regulation are in accordance with the opinion of the Committee on Trade in Wild Fauna and Flora established pursuant to Article 18(1) of Regulation (EC) No 338/97,

HAS ADOPTED THIS REGULATION:

Article 1

The Annex to Regulation (EC) No 338/97 is replaced by the text set out in the Annex to this Regulation.

Article 2

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

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

Done at Brussels, 20 January 2017.

For the Commission

The President

Jean-Claude JUNCKER

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(1)  
  OJ L 61, 3.3.1997, p. 1.

1

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ANNEX

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

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


  (a) | by the name of the species; or |
| --- | --- | --- |

1.

(a)

by the name of the species; or

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

(b)

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

| 2. | The abbreviation ‘spp.’ is used to denote all species of a higher taxon. |
| --- | --- |

2.

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

3.

| 4. | Species printed in bold in Annex A are listed there in consistency with their protection as provided for by Directive 2009/147/EC of the European Parliament and of the Council (1) or Council Directive 92/43/EEC (2). |
| --- | --- |

4.

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


  (a) | ‘ssp.’ is used to denote subspecies; |
| --- | --- | --- |

5.

(a)

‘ssp.’ is used to denote subspecies;

| (b) | ‘var(s).’ is used to denote variety (varieties); and |
| --- | --- |

(b)

‘var(s).’ is used to denote variety (varieties); and

| (c) | ‘fa.’ is used to denote forma. |
| --- | --- |

(c)

‘fa.’ is used to denote forma.

| 6. | The symbols ‘(I)’, ‘(II)’ and ‘(III)’ placed against the name of a species or higher taxon refer to the Appendices to the Convention in which the species concerned are listed as indicated in notes 7, 8 and 9. Where none of these annotations appears, the species concerned are not listed in the Appendices to the Convention. |
| --- | --- |

6.

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

7.

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

8.

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

9.

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

10.

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

11.

| 12. | When a species is included in Annex A, B or C, all parts and derivatives of the species are also included in the same Annex unless the species is annotated to indicate that only specific parts and derivatives are included. In accordance with Article 2(t), the symbol ‘#’ followed by a number placed against the name of a species or higher taxon included in Annex B or C designates parts or derivatives which are specified in relation thereto for the purposes of this Regulation as follows:


  #1 | Designates all parts and derivatives, except:


  (a) | seeds, spores and pollen (including pollinia); |
| --- | --- | --- | --- |

12.

# 1

Designates all parts and derivatives, except:

(a)

seeds, spores and pollen (including pollinia);

| (b) | seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers; |
| --- | --- |

(b)

seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers;

| (c) | cut flowers of artificially propagated plants; and |
| --- | --- |

(c)

cut flowers of artificially propagated plants; and

| (d) | fruits and parts and derivatives thereof of artificially propagated plants of the genus Vanilla. |
| --- | --- |

(d)

fruits and parts and derivatives thereof of artificially propagated plants of the genus Vanilla.

| #2 | Designates all parts and derivatives, except:


  (a) | seeds and pollen; and |
| --- | --- | --- |

# 2

Designates all parts and derivatives, except:

(a)

seeds and pollen; and

| (b) | finished products packaged and ready for retail trade. |
| --- | --- |

(b)

finished products packaged and ready for retail trade.

| #3 | Designates whole and sliced roots and parts of roots, excluding manufactured parts or derivatives, such as powders, pills, extracts, tonics, teas and confectionery. |
| --- | --- |

# 3

Designates whole and sliced roots and parts of roots, excluding manufactured parts or derivatives, such as powders, pills, extracts, tonics, teas and confectionery.

| #4 | Designates all parts and derivatives, except:


  (a) | seeds (including seedpods of Orchidaceae), spores and pollen (including pollinia). The exemption does not apply to seeds from Cactaceae spp. exported from Mexico, and to seeds from Beccariophoenix madagascariensis and Dypsis decaryi exported from Madagascar; |
| --- | --- | --- |

# 4

Designates all parts and derivatives, except:

(a)

seeds (including seedpods of Orchidaceae), spores and pollen (including pollinia). The exemption does not apply to seeds from Cactaceae spp. exported from Mexico, and to seeds from Beccariophoenix madagascariensis and Dypsis decaryi exported from Madagascar;

| (b) | seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers; |
| --- | --- |

(b)

seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers;

| (c) | cut flowers of artificially propagated plants; |
| --- | --- |

(c)

cut flowers of artificially propagated plants;

| (d) | fruits and parts and derivatives thereof of naturalized or artificially propagated plants of the genus Vanilla (Orchidaceae) and of the family Cactaceae; |
| --- | --- |

(d)

fruits and parts and derivatives thereof of naturalized or artificially propagated plants of the genus Vanilla (Orchidaceae) and of the family Cactaceae;

| (e) | stems, flowers, and parts and derivatives thereof of naturalized or artificially propagated plants of the genera Opuntia subgenus Opuntia and Selenicereus (Cactaceae); and |
| --- | --- |

(e)

stems, flowers, and parts and derivatives thereof of naturalized or artificially propagated plants of the genera Opuntia subgenus Opuntia and Selenicereus (Cactaceae); and

| (f) | finished products of Euphorbia antisyphilitica packaged and ready for retail trade. |
| --- | --- |

(f)

finished products of Euphorbia antisyphilitica packaged and ready for retail trade.

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

# 5

Designates logs, sawn wood and veneer sheets.

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

# 6

Designates logs, sawn wood, veneer sheets and plywood.

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

# 7

Designates logs, wood-chips, powder and extracts.

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

# 8

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

| #9 | Designates all parts and derivatives, except those bearing a label ‘Produced from Hoodia spp. material obtained through controlled harvesting and production under the terms of an agreement with the relevant CITES Management Authority of [Botswana under agreement No. BW/xxxxxx] [Namibia under agreement No. NA/xxxxxx] [South Africa under agreement No. ZA/xxxxxx]’. |
| --- | --- |

# 9

Designates all parts and derivatives, except those bearing a label ‘Produced from Hoodia spp. material obtained through controlled harvesting and production under the terms of an agreement with the relevant CITES Management Authority of [Botswana under agreement No. BW/xxxxxx] [Namibia under agreement No. NA/xxxxxx] [South Africa under agreement No. ZA/xxxxxx]’.

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

# 10

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

| #11 | Designates logs, sawn wood, veneer sheets, plywood, powder and extracts. Finished products containing such extracts as ingredients, including fragrances, are not considered to be covered by this annotation. |
| --- | --- |

# 11

Designates logs, sawn wood, veneer sheets, plywood, powder and extracts. Finished products containing such extracts as ingredients, including fragrances, are not considered to be covered by this annotation.

| #12 | Designates logs, sawn wood, veneer sheets, plywood and extracts. Finished products containing such extracts as ingredients, including fragrances, are not considered to be covered by this annotation. |
| --- | --- |

# 12

Designates logs, sawn wood, veneer sheets, plywood and extracts. Finished products containing such extracts as ingredients, including fragrances, are not considered to be covered by this annotation.

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

# 13

Designates the kernel (also known as ‘endosperm’, ‘pulp’ or ‘copra’) and any derivative thereof.

| #14 | Designates all parts and derivatives, except:


  (a) | seeds and pollen; |
| --- | --- | --- |

# 14

Designates all parts and derivatives, except:

(a)

seeds and pollen;

| (b) | seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers; |
| --- | --- |

(b)

seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers;

| (c) | fruits; |
| --- | --- |

(c)

fruits;

| (d) | leaves; |
| --- | --- |

(d)

leaves;

| (e) | exhausted agarwood powder, including compressed powder in all shapes; and |
| --- | --- |

(e)

exhausted agarwood powder, including compressed powder in all shapes; and

| (f) | finished products packaged and ready for retail trade, this exemption does not apply to wood chips, beads, prayer beads and carvings. |
| --- | --- |

(f)

finished products packaged and ready for retail trade, this exemption does not apply to wood chips, beads, prayer beads and carvings.

| #15 | Designates all parts and derivatives, except:


  (a) | leaves, flowers, pollen, fruit, and seeds; |
| --- | --- | --- |

# 15

Designates 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; |
| --- | --- |

(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; |
| --- | --- |

(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. |
| --- | --- |

(d)

parts and derivatives of Dalbergia spp. originating and exported from Mexico which are covered by Annotation #6.

| #16 | Designates seeds, fruits, oil and live plants. |
| --- | --- |

# 16

Designates seeds, fruits, oil and live plants.

| 13. | The terms and expressions below, used in annotations in these Annexes, are defined as follows:

  Extract

  Any substance obtained directly from plant material by physical or chemical means regardless of the manufacturing process. An extract may be solid (e.g. crystals, resin, fine or coarse particles), semisolid (e.g. gums, waxes) or liquid (e.g. solutions, tinctures, oil and essential oils).

  Finished products packaged and ready for retail trade

  Products, shipped singly or in bulk, requiring no further processing, packaged, labelled for final use or the retail trade in a state fit for being sold to or used by the general public.

  Powder

  A dry, solid substance in the form of fine or coarse particles

  Woodchips

  Wood that has been reduced to small pieces |
| --- | --- |

13.

Extract

Any substance obtained directly from plant material by physical or chemical means regardless of the manufacturing process. An extract may be solid (e.g. crystals, resin, fine or coarse particles), semisolid (e.g. gums, waxes) or liquid (e.g. solutions, tinctures, oil and essential oils).

Finished products packaged and ready for retail trade

Products, shipped singly or in bulk, requiring no further processing, packaged, labelled for final use or the retail trade in a state fit for being sold to or used by the general public.

Powder

A dry, solid substance in the form of fine or coarse particles

Woodchips

Wood that has been reduced to small pieces

| 14. | As none of the species or higher taxa of FLORA included in Annex A is annotated to the effect that its hybrids shall be treated in accordance with Article 4(1), this means that artificially propagated hybrids produced from one or more of these species or taxa may be traded with a certificate of artificial propagation, and that seeds and pollen (including pollinia), cut flowers, seedling or tissue cultures obtained in vitro, in solid or liquid media, transported in sterile containers of these hybrids are not subject to this Regulation. |
| --- | --- |

14.

| 15. | Urine, faeces and ambergris which are waste products and gained without the manipulation of the animal concerned are not subject to this Regulation. |
| --- | --- |

15.

| 16. | In respect of fauna species listed in Annex D, this Regulation shall apply only to live specimens and whole, or substantially whole, dead specimens except for taxa which are annotated as follows to show that other parts and derivatives are also covered:


  § 1 | Any whole, or substantially whole, skins, raw or tanned. |
| --- | --- | --- |
| § 2 | Any feathers or any skin or other part with feathers on it. |

16.

§ 1

Any whole, or substantially whole, skins, raw or tanned.

§ 2

Any feathers or any skin or other part with feathers on it.

| 17. | In respect of flora species listed in Annex D, this Regulation shall apply only to live specimens except for taxa which are annotated as follows to show that other parts and derivatives are also covered:


  § 3 | Dried and fresh plants, including, where appropriate; leaves, roots/rootstock, stems, seeds/spores, bark and fruits. |
| --- | --- | --- |
| § 4 | Logs, sawn wood and veneer sheets. |

17.

§ 3

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

§ 4

Logs, sawn wood and veneer sheets.

| | Annex A | Annex B | Annex C | Common name |
| --- | --- | --- | --- | --- |
| FAUNA |
| CHORDATA (CHORDATES) |
| MAMMALIA | | | | Mammals |
| ARTIODACTYLA | | | | |
| Antilocapridae | | | | Pronghorn |
| | Antilocapra americana (I) (Only the population of Mexico; no other population is included in the Annexes to this Regulation) | | | Mexican pronghorn |
| Bovidae | | | | Antelopes, cattle, duikers, gazelles, goats, sheep etc. |
| | Addax nasomaculatus (I) | | | Addax |
| | | Ammotragus lervia (II) | | Barbary sheep |
| | | | Antilope cervicapra (III Nepal/Pakistan) | Blackbuck |
| | Bos gaurus (I) (Excludes the domesticated form referenced as Bos frontalis which is not subject to this Regulation) | | | Gaur |
| | Bos mutus (I) (Excludes the domesticated form referenced as Bos grunniens which is not subject to this Regulation) | | | Wild yak |
| | Bos sauveli (I) | | | Kouprey |
| | | | Boselaphus tragocamelus (III Pakistan) | Nilgai |
| | | | Bubalus arnee (III Nepal) (Excludes the domesticated form referenced as Bubalus bubalis, which is not subject to this Regulation) | Wild Asiatic buffalo |
| | Bubalus depressicornis (I) | | | Lowland anoa |
| | Bubalus mindorensis (I) | | | Tamarau |
| | Bubalus quarlesi (I) | | | Mountain anoa |
| | | Budorcas taxicolor (II) | | Takin |
| | Capra falconeri (I) | | | Markhor |
| | | Capra caucasica (II) | | Caucasian Tur |
| | | | Capra hircus aegagrus (III Pakistan) (Specimens of the domesticated form are not subject to this Regulation) | Wild goat |
| | | | Capra sibirica (III Pakistan) | Siberian Ibex |
| | Capricornis milneedwardsii (I) | | | Chinese serow |
| | Capricornis rubidus (I) | | | Red serow |
| | Capricornis sumatraensis (I) | | | Sumatran serow |
| | Capricornis thar (I) | | | Himalayan serow |
| | | Cephalophus brookei (II) | | Brooke's duiker |
| | | Cephalophus dorsalis (II) | | Bay duiker |
| | Cephalophus jentinki (I) | | | Jentink's duiker |
| | | Cephalophus ogilbyi (II) | | Ogilby's duiker |
| | | Cephalophus silvicultor (II) | | Yellow-backed duiker |
| | | Cephalophus zebra (II) | | Zebra duiker |
| | | Damaliscus pygargus pygargus (II) | | Bontebok |
| | | | Gazella bennettii (III Pakistan) | Chinkara |
| | Gazella cuvieri (I) | | | Cuvier's gazelle |
| | | | Gazella dorcas (III Algeria/Tunisia) | Dorcas gazelle |
| | Gazella leptoceros (I) | | | Slender-horned gazelle |
| | Hippotragus niger variani (I) | | | Giant sable antelope |
| | | Kobus leche (II) | | Lechwe |
| | Naemorhedus baileyi (I) | | | Red goral |
| | Naemorhedus caudatus (I) | | | Long-tailed goral |
| | Naemorhedus goral (I) | | | Himalayan goral |
| | Naemorhedus griseus (I) | | | Chinese goral |
| | Nanger dama (I) | | | Dama gazelle |
| | Oryx dammah (I) | | | Scimitar-horned oryx |
| | Oryx leucoryx (I) | | | Arabian oryx |
| | | Ovis ammon (II) (Except for the subspecies included in Annex A) | | Argali |
| | Ovis ammon hodgsonii (I) | | | Tibetan argali |
| | Ovis ammon nigrimontana (I) | | | Kara Tau argali |
| | | Ovis aries (Except for the domesticated form Ovis aries aries, the subspecies included in Annex A and the subspecies O. a. isphahanica, O. a. laristanica, O. a. musimon and O. a. orientalis which are not included in the Annexes to this Regulation) | | Urial |
| | Ovis aries ophion (I) | | | Cyprus mouflon |
| | Ovis aries vignei (I) | | | Ladakh urial |
| | | Ovis canadensis (II) (Only the population of Mexico; no other population is included in the Annexes to this Regulation) | | Mexican bighorn sheep |
| | Pantholops hodgsonii (I) | | | Chiru |
| | | Philantomba monticola (II) | | Blue duiker |
| | | | Pseudois nayaur (III Pakistan) | Bharal |
| | Pseudoryx nghetinhensis (I) | | | Saola |
| | Rupicapra pyrenaica ornata (II) | | | Abruzzo chamois |
| | | Saiga borealis (II) | | Mongolian saiga |
| | | Saiga tatarica (II) | | Steppe saiga |
| | | | Tetracerus quadricornis (III Nepal) | Four-horned antelope |
| Camelidae | | | | Camels, guanaco, vicuña |
| | | Lama guanicoe (II) | | Guanaco |
| | Vicugna vicugna (I) (Except for the populations of: Argentina [the populations of the Provinces of Jujuy and Catamarca and the semi-captive populations of the Provinces of Jujuy, Salta, Catamarca, La Rioja and San Juan]; Bolivia [the whole population]; Chile [population of the Primera Región]; Ecuador [the whole population] and Peru [the whole population]; which are included in Annex B) | Vicugna vicugna (II) (Only the populations of Argentina [the populations of the Provinces of Jujuy and Catamarca and the semi-captive populations of the Provinces of Jujuy, Salta, Catamarca, La Rioja and San Juan]; Bolivia [the whole population]; Chile [population of the Primera Región]; Ecuador [the whole population] and Peru [the whole population]; all other populations are included in Annex A) (3) | | Vicuña |
| Cervidae | | | | Deer, huemuls, muntjacs, pudus |
| | Axis calamianensis (I) | | | Calamian deer |
| | Axis kuhlii (I) | | | Bawean deer |
| | | | Axis porcinus (III Pakistan (Except for the subspecies included in Annex A)) | Hog deer |
| | Axis porcinus annamiticus (I) | | | Indochina hog deer |
| | Blastocerus dichotomus (I) | | | Marsh deer |
| | | Cervus elaphus bactrianus (II) | | Bactrian deer |
| | | | Cervus elaphus barbarus (III Algeria/Tunisia) | Barbary deer |
| | Cervus elaphus hanglu (I) | | | Hangul |
| | Dama dama mesopotamica (I) | | | Persian fallow deer |
| | Hippocamelus spp. (I) | | | Huemuls |
| | | | Mazama temama cerasina (III Guatemala) | Central American red brocket |
| | Muntiacus crinifrons (I) | | | Black muntjac |
| | Muntiacus vuquangensis (I) | | | Giant muntjac |
| | | | Odocoileus virginianus mayensis (III Guatemala) | Guatemalan white-tailed deer |
| | Ozotoceros bezoarticus (I) | | | Pampas deer |
| | | Pudu mephistophiles (II) | | Northern pudu |
| | Pudu puda (I) | | | Southern pudu |
| | Rucervus duvaucelii (I) | | | Barasingha |
| | Rucervus eldii (I) | | | Eld's deer |
| Hippopotamidae | | | | Hippopotamuses |
| | | Hexaprotodon liberiensis (II) | | Pygmy hippopotamus |
| | | Hippopotamus amphibius (II) | | Common hippopotamus |
| Moschidae | | | | Musk deer |
| | Moschus spp. (I) (Only the populations of Afghanistan, Bhutan, India, Myanmar, Nepal and Pakistan; all other populations are included in Annex B) | Moschus spp. (II) (Except for the populations of Afghanistan, Bhutan, India, Myanmar, Nepal and Pakistan, which are included in Annex A) | | Musk deer |
| Suidae | | | | Babirusa, hogs, pigs |
| | Babyrousa babyrussa (I) | | | Buru babirusa |
| | Babyrousa bolabatuensis (I) | | | Bola Batu babirusa |
| | Babyrousa celebensis (I) | | | North Sulawesi babirusa |
| | Babyrousa togeanensis (I) | | | Malenge babirusa |
| | Sus salvanius (I) | | | Pygmy hog |
| Tayassuidae | | | | Peccaries |
| | | Tayassuidae spp. (II) (Except for the species included in Annex A and excluding the populations of Pecari tajacu of Mexico and the United States, which are not included in the Annexes to this Regulation) | | Peccaries |
| | Catagonus wagneri (I) | | | Chacoan peccary |
| CARNIVORA | | | | |
| Ailuridae | | | | |
| | Ailurus fulgens (I) | | | Red panda |
| Canidae | | | | Dogs, foxes, wolves |
| | | | Canis aureus (III India) | Golden jackal |
| | Canis lupus (I/II)

  (All populations except those of Spain north of the Duero and Greece north of the 39th parallel. Populations of Bhutan, India, Nepal and Pakistan are listed in Appendix I; all other populations are listed in Appendix II. Excludes the domesticated form and the dingo which are referenced as Canis lupus familiaris and Canis lupus dingo) | Canis lupus (II) (Populations of Spain north of the Duero and Greece north of the 39th parallel. Excludes the domesticated form and the dingo which are referenced as Canis lupus familiaris and Canis lupus dingo) | | Grey wolf |
| | Canis simensis | | | Ethiopian wolf |
| | | Cerdocyon thous (II) | | Crab-eating fox |
| | | Chrysocyon brachyurus (II) | | Maned wolf |
| | | Cuon alpinus (II) | | Dhole |
| | | Lycalopex culpaeus (II) | | Culpeo |
| | | Lycalopex fulvipes (II) | | Darwin's fox |
| | | Lycalopex griseus (II) | | South American grey fox |
| | | Lycalopex gymnocercus (II) | | Pampas fox |
| | Speothos venaticus (I) | | | Bush dog |
| | | | Vulpes bengalensis (III India) | Bengal fox |
| | | Vulpes cana (II) | | Blanford's fox |
| | | Vulpes zerda (II) | | Fennec fox |
| Eupleridae | | | | |
| | | Cryptoprocta ferox (II) | | Fossa |
| | | Eupleres goudotii (II) | | Falanouc |
| | | Fossa fossana (II) | | Malagasy civet |
| Felidae | | | | Cats, cheetahs, leopards, lions, tigers etc. |
| | | Felidae spp. (II) (Except for the species included in Annex A. Specimens of the domesticated form are not subject to this Regulation. For
  Panthera leo
  (African populations): A zero annual export quota is established for specimens of bones, bone pieces, bone products, claws, skeletons, skulls and teeth removed from the wild and traded for commercial purposes.
  Annual export quotas for trade in bones, bone pieces, bone products, claws, skeletons, skulls and teeth for commercial purposes, derived from captive breeding operations in South Africa, will be established and communicated annually to the CITES Secretariat.) | | Cats |
| | Acinonyx jubatus (I) (Annual export quotas for live specimens and hunting trophies are granted as follows: Botswana: 5; Namibia: 150; Zimbabwe: 50. The trade in such specimens is subject to Article 4(1)) | | | Cheetah |
| | Caracal caracal (I) (Only the population of Asia; all other populations are included in Annex B) | | | Asian Caracal |
| | Catopuma temminckii (I) | | | Asian golden cat |
| | Felis nigripes (I) | | | Black-footed cat |
| | Felis silvestris (II) | | | Wild cat |
| | Leopardus geoffroyi (I) | | | Geoffroy's cat |
| | Leopardus jacobitus (I) | | | Andean mountain cat |
| | Leopardus pardalis (I) | | | Ocelot |
| | Leopardus tigrinus (I) | | | Oncilla |
| | Leopardus wiedii (I) | | | Margay |
| | Lynx lynx (II) | | | Eurasian lynx |
| | Lynx pardinus (I) | | | Iberian lynx |
| | Neofelis nebulosa (I) | | | Clouded leopard |
| | Panthera leo persica (I) | | | Asiatic lion |
| | Panthera onca (I) | | | Jaguar |
| | Panthera pardus (I) | | | Leopard |
| | Panthera tigris (I) | | | Tiger |
| | Pardofelis marmorata (I) | | | Marbled cat |
| | Prionailurus bengalensis bengalensis (I) (Only the populations of Bangladesh, India and Thailand; all other populations are included in Annex B) | | | Bengal leopard cat |
| | Prionailurus iriomotensis (II) | | | Iriomote cat |
| | Prionailurus planiceps (I) | | | Flat-headed cat |
| | Prionailurus rubiginosus (I) (Only the population of India; all other populations are included in Annex B) | | | Rusty-spotted cat |
| | Puma concolor costaricensis (I) | | | Costa Rican cougar |
| | Puma yagouaroundi (I) (Only the populations of Central and North America; all other populations are included in Annex B) | | | Jaguarundi |
| | Uncia uncia (I) | | | Snow leopard |
| Herpestidae | | | | Mongooses |
| | | | Herpestes edwardsi (III India/Pakistan) | Indian grey mongoose |
| | | | Herpestes fuscus (III India) | Indian brown mongoose |
| | | | Herpestes javanicus (III Pakistan) | Small Asian mongoose |
| | | | Herpestes javanicus auropunctatus (III India) | Small Indian mongoose |
| | | | Herpestes smithii (III India) | Ruddy mongoose |
| | | | Herpestes urva (III India) | Crab-eating mongoose |
| | | | Herpestes vitticollis (III India) | Stripe-necked mongoose |
| Hyaenidae | | | | Aardwolf, hyenas |
| | | | Hyaena hyaena (III Pakistan) | Striped hyena |
| | | | Proteles cristata (III Botswana) | Aardwolf |
| Mephitidae | | | | Skunks |
| | | Conepatus humboldtii (II) | | Humboldt's hog-nosed skunk |
| Mustelidae | | | | Badgers, martens, weasels etc. |
| Lutrinae | | | | Otters |
| | | Lutrinae spp. (II) (Except for the species included in Annex A) | | Otters |
| | Aonyx capensis microdon (I) (Only the populations of Cameroon and Nigeria; all other populations are included in Annex B) | | | Cameroon clawless otter |
| | Enhydra lutris nereis (I) | | | Southern sea otter |
| | Lontra felina (I) | | | Marine otter |
| | Lontra longicaudis (I) | | | Neotropical otter |
| | Lontra provocax (I) | | | Southern river otter |
| | Lutra lutra (I) | | | European otter |
| | Lutra nippon (I) | | | Japanese otter |
| | Pteronura brasiliensis (I) | | | Giant otter |
| Mustelinae | | | | Grisons, martens, tayra, weasels |
| | | | Eira barbara (III Honduras) | Tayra |
| | | | Galictis vittata (III Costa Rica) | Greater grison |
| | | | Martes flavigula (III India) | Yellow-throated marten |
| | | | Martes foina intermedia (III India) | Stone marten |
| | | | Martes gwatkinsii (III India) | Nilgiri marten |
| | | | Mellivora capensis (III Botswana) | Honey badger |
| | Mustela nigripes (I) | | | Black-footed ferret |
| Odobenidae | | | | Walrus |
| | | Odobenus rosmarus (III Canada) | | Walrus |
| Otariidae | | | | Fur seals, sealions |
| | | Arctocephalus spp. (II) (Except for the species included in Annex A) | | Fur seals |
| | Arctocephalus philippii (II) | | | Juan Fernández fur seal |
| | Arctocephalus townsendi (I) | | | Guadalupe fur seal |
| Phocidae | | | | Seals |
| | | Mirounga leonina (II) | | Southern elephant seal |
| | Monachus spp. (I) | | | Monk seals |
| Procyonidae | | | | Coatis, olingos |
| | | | Bassaricyon gabbii (III Costa Rica) | Olingo |
| | | | Bassariscus sumichrasti (III Costa Rica) | Cacomistle |
| | | | Nasua narica (III Honduras) | White-nosed coati |
| | | | Nasua nasua solitaria (III Uruguay) | South Brazilian coati |
| | | | Potos flavus (III Honduras) | Kinkajou |
| Ursidae | | | | Bears |
| | | Ursidae spp. (II) (Except for the species included in Annex A) | | Bears |
| | Ailuropoda melanoleuca (I) | | | Giant panda |
| | Helarctos malayanus (I) | | | Sun bear |
| | Melursus ursinus (I) | | | Sloth bear |
| | Tremarctos ornatus (I) | | | Spectacled bear |
| | Ursus arctos (I/II)

  (Only the populations of Bhutan, China, Mexico and Mongolia and the subspecies Ursus arctos isabellinus are listed in Appendix I; all other populations and subspecies are listed in Appendix II) | | | Brown bear |
| | Ursus thibetanus (I) | | | Asian black bear |
| Viverridae | | | | Binturong, civets, linsangs, otter-civet, palm civet |
| | | | Arctictis binturong (III India) | Binturong |
| | | | Civettictis civetta (III Botswana) | African civet |
| | | Cynogale bennettii (II) | | Otter civet |
| | | Hemigalus derbyanus (II) | | Banded palm civet |
| | | | Paguma larvata (III India) | Masked palm civet |
| | | | Paradoxurus hermaphroditus (III India) | Asian palm civet |
| | | | Paradoxurus jerdoni (III India) | Jerdon's palm civet |
| | | Prionodon linsang (II) | | Banded linsang |
| | Prionodon pardicolor (I) | | | Spotted linsang |
| | | | Viverra civettina (III India) | Malabar large-spotted civet |
| | | | Viverra zibetha (III India) | Large Indian civet |
| | | | Viverricula indica (III India) | Small Indian civet |
| CETACEA | | | | Cetaceans (dolphins, porpoises, whales) |
| | CETACEA spp. (I/II)
   (4) | | | Cetaceans |
| CHIROPTERA | | | | |
| Phyllostomidae | | | | Broad-nosed bats |
| | | | Platyrrhinus lineatus (III Uruguay) | White-lined bat |
| Pteropodidae | | | | Fruit bats, flying foxes |
| | | Acerodon spp. (II) (Except for the species included in Annex A) | | Flying foxes |
| | Acerodon jubatus (I) | | | Golden-capped fruit bat |
| | | Pteropus spp. (II) (Except for the species included in Annex A and except for Pteropus brunneus.) | | Flying foxes |
| | Pteropus insularis (I) | | | Ruck flying fox |
| | Pteropus livingstonii (II) | | | Comoro flying fox |
| | Pteropus loochoensis (I) | | | Japanese flying fox |
| | Pteropus mariannus (I) | | | Marianas flying fox |
| | Pteropus molossinus (I) | | | Caroline flying fox |
| | Pteropus pelewensis (I) | | | Pelew flying fox |
| | Pteropus pilosus (I) | | | Large Pelew flying fox |
| | Pteropus rodricensis (II) | | | Rodrigues flying fox |
| | Pteropus samoensis (I) | | | Samoan flying fox |
| | Pteropus tonganus (I) | | | Pacific flying fox |
| | Pteropus ualanus (I) | | | Kosrae flying fox |
| | Pteropus voeltzkowi (II) | | | Pemba flying fox |
| | Pteropus yapensis (I) | | | Yap flying fox |
| CINGULATA | | | | |
| Dasypodidae | | | | Armadillos |
| | | | Cabassous centralis (III Costa Rica) | Northern naked-tailed armadillo |
| | | | Cabassous tatouay (III Uruguay) | Greater naked-tailed armadillo |
| | | Chaetophractus nationi (II) (A zero annual export quota has been established. All specimens shall be deemed to be specimens of species included in Annex A and the trade in them shall be regulated accordingly) | | Andean hairy armadillo |
| | Priodontes maximus (I) | | | Giant armadillo |
| DASYUROMORPHIA | | | | |
| Dasyuridae | | | | Dunnarts, marsupial mice, planigales |
| | Sminthopsis longicaudata (I) | | | Long-tailed dunnart |
| | Sminthopsis psammophila (I) | | | Sandhill dunnart |
| DIPROTODONTIA | | | | |
| Macropodidae | | | | Kangaroos, wallabies |
| | | Dendrolagus inustus (II) | | Grizzled tree-kangaroo |
| | | Dendrolagus ursinus (II) | | Ursine tree-kangaroo |
| | Lagorchestes hirsutus (I) | | | Rufous hare-wallaby |
| | Lagostrophus fasciatus (I) | | | Banded hare-wallaby |
| | Onychogalea fraenata (I) | | | Bridled nail-tail wallaby |
| Phalangeridae | | | | Cuscus |
| | | Phalanger intercastellanus (II) | | Eastern common cuscus |
| | | Phalanger mimicus (II) | | Southern common cuscus |
| | | Phalanger orientalis (II) | | Northern common cuscus |
| | | Spilocuscus kraemeri (II) | | Admiralty Island cuscus |
| | | Spilocuscus maculatus (II) | | Common spotted cuscus |
| | | Spilocuscus papuensis (II) | | Waigeou cuscus |
| Potoroidae | | | | Rat-kangaroos |
| | Bettongia spp. (I) | | | Bettongs |
| Vombatidae | | | | Wombats |
| | Lasiorhinus krefftii (I) | | | Northern hairy-nosed wombat |
| LAGOMORPHA | | | | |
| Leporidae | | | | Hares, rabbits |
| | Caprolagus hispidus (I) | | | Hispid hare |
| | Romerolagus diazi (I) | | | Volcano rabbit |
| MONOTREMATA | | | | |
| Tachyglossidae | | | | Echidnas, spiny anteaters |
| | | Zaglossus spp. (II) | | Long-beaked echidnas |
| PERAMELEMORPHIA | | | | |
| Peramelidae | | | | |
| | Perameles bougainville (I) | | | Western barred bandicoot |
| Thylacomyidae | | | | |
| | Macrotis lagotis (I) | | | Greater bilby |
| PERISSODACTYLA | | | | |
| Equidae | | | | Horses, wild asses, zebras |
| | Equus africanus (I) (Excludes the domesticated form referenced as Equus asinus, which is not subject to this Regulation) | | | African ass |
| | Equus grevyi (I) | | | Grévy's zebra |
| | Equus hemionus (I/II) (The species is listed in Appendix II but subspecies Equus hemionus hemionus and Equus hemionus khur are listed in Appendix I) | | | Asiatic wild ass |
| | Equus kiang (II) | | | Kiang |
| | Equus przewalskii (I) | | | Przewalski's horse |
| | | Equus zebra hartmannae (II) | | Hartmann's mountain zebra |
| | | Equus zebra zebra (II) | | Cape mountain zebra |
| Rhinocerotidae | | | | Rhinoceroses |
| | Rhinocerotidae spp. (I) (Except for the subspecies included in Annex B) | | | Rhinoceroses |
| | | Ceratotherium simum simum (II) (Only the populations of South Africa and Swaziland; all other populations are included in Annex A. For the exclusive purpose of allowing international trade in live animals to appropriate and acceptable destinations and trade in hunting trophies. All other specimens shall be deemed to be specimens of species included in Annex A and trade in them shall be regulated accordingly) | | Southern white rhinoceros |
| Tapiridae | | | | Tapirs |
| | Tapiridae spp. (I) (Except for the species included in Annex B) | | | Tapirs |
| | | Tapirus terrestris (II) | | South American tapir |
| PHOLIDOTA | | | | |
| Manidae | | | | Pangolins |
| | | Manis spp. (II)
  (Except for the species included in Annex A) | | Pangolins |
| | Manis crassicaudata (I) | | | Indian pangolin |
| | Manis culionensis (I) | | | Philippine pangolin |
| | Manis gigantea (I) | | | Giant pangolin |
| | Manis javanica (I) | | | Sunda pangolin |
| | Manis pentadactyla (I) | | | Chinese pangolin |
| | Manis temminckii (I) | | | Ground pangolin |
| | Manis tetradactyla (I) | | | Long-tailed pangolin |
| | Manis tricuspis (I) | | | Tree pangolin |
| PILOSA | | | | |
| Bradypodidae | | | | Three-toed sloths |
| | | Bradypus pygmaeus (II) | | Pygmy tree-toed sloth |
| | | Bradypus variegatus (II) | | Brown-throated sloth |
| Megalonychidae | | | | Two-toed sloth |
| | | | Choloepus hoffmanni (III Costa Rica) | Hoffmann's two-toed sloth |
| Myrmecophagidae | | | | American anteaters |
| | | Myrmecophaga tridactyla (II) | | Giant anteater |
| | | | Tamandua mexicana (III Guatemala) | Northern tamandua |
| PRIMATES | | | | Primates (apes and monkeys) |
| | | PRIMATES spp. (II) (Except for the species included in Annex A) | | Primates |
| Atelidae | | | | Howlers, spider monkeys |
| | Alouatta coibensis (I) | | | Coiba Island howler |
| | Alouatta palliata (I) | | | Mantled howler |
| | Alouatta pigra (I) | | | Guatemalan black howler |
| | Ateles geoffroyi frontatus (I) | | | Black-browed spider monkey |
| | Ateles geoffroyi ornatus (I) | | | Red spider monkey |
| | Brachyteles arachnoides (I) | | | Southern muriqui |
| | Brachyteles hypoxanthus (I) | | | Northern muriqui |
| | Oreonax flavicauda (I) | | | Yellow-tailed woolly monkey |
| Cebidae | | | | Marmosets, tamarins, New-world monkeys |
| | Callimico goeldii (I) | | | Goeldi's marmoset |
| | Callithrix aurita (I) | | | Buffy-tufted marmoset |
| | Callithrix flaviceps (I) | | | Buffy-headed marmoset |
| | Leontopithecus spp. (I) | | | Lion tamarins |
| | Saguinus bicolor (I) | | | Pied tamarin |
| | Saguinus geoffroyi (I) | | | Geoffroy's tamarin |
| | Saguinus leucopus (I) | | | White-footed tamarin |
| | Saguinus martinsi (I) | | | Martins' bare-face tamarin |
| | Saguinus oedipus (I) | | | Cottontop tamarin |
| | Saimiri oerstedii (I) | | | Central American squirrel monkey |
| Cercopithecidae | | | | Old-world monkeys |
| | Cercocebus galeritus (I) | | | Tana River mangabey |
| | Cercopithecus diana (I) | | | Diana monkey |
| | Cercopithecus roloway (I) | | | Roloway monkey |
| | Cercopithecus solatus (II) | | | Sun-tailed monkey |
| | Colobus satanas (II) | | | Black colobus |
| | Macaca silenus (I) | | | Lion-tailed macaque |
| | Macaca sylvanus (I) | | | Barbary macaque |
| | Mandrillus leucophaeus (I) | | | Drill |
| | Mandrillus sphinx (I) | | | Mandrill |
| | Nasalis larvatus (I) | | | Proboscis monkey |
| | Piliocolobus foai (II) | | | Central African red colobus |
| | Piliocolobus gordonorum (II) | | | Uzungwa red colobus |
| | Piliocolobus kirkii (I) | | | Zanzibar red colobus |
| | Piliocolobus pennantii (II) | | | Pennant's red colobus |
| | Piliocolobus preussi (II) | | | Preuss's red colobus |
| | Piliocolobus rufomitratus (I) | | | Tana River red colobus |
| | Piliocolobus tephrosceles (II) | | | Ugandan red colobus |
| | Piliocolobus tholloni (II) | | | Thollon's red colobus |
| | Presbytis potenziani (I) | | | Mentawai langur |
| | Pygathrix spp. (I) | | | Douc langurs |
| | Rhinopithecus spp. (I) | | | Snub-nosed monkeys |
| | Semnopithecus ajax (I) | | | Kashmir grey langur |
| | Semnopithecus dussumieri (I) | | | Southern Plains grey langur |
| | Semnopithecus entellus (I) | | | Northern Plains grey langur |
| | Semnopithecus hector (I) | | | Tarai grey langur |
| | Semnopithecus hypoleucos (I) | | | Black-footed grey langur |
| | Semnopithecus priam (I) | | | Tufted grey langur |
| | Semnopithecus schistaceus (I) | | | Nepal grey langur |
| | Simias concolor (I) | | | Simakobou |
| | Trachypithecus delacouri (II) | | | Delacour's langur |
| | Trachypithecus francoisi (II) | | | François's langur |
| | Trachypithecus geei (I) | | | Gee's golden langur |
| | Trachypithecus hatinhensis (II) | | | Hatinh langur |
| | Trachypithecus johnii (II) | | | Nilgiri langur |
| | Trachypithecus laotum (II) | | | Laotian langur |
| | Trachypithecus pileatus (I) | | | Capped langur |
| | Trachypithecus poliocephalus (II) | | | White-headed langur |
| | Trachypithecus shortridgei (I) | | | Shortridge's langur |
| Cheirogaleidae | | | | Dwarf lemurs and mouse-lemurs |
| | Cheirogaleidae spp. (I) | | | Dwarf lemurs and mouse lemurs |
| Daubentoniidae | | | | Aye-aye |
| | Daubentonia madagascariensis (I) | | | Aye-aye |
| Hominidae | | | | Chimpanzees, gorillas, orang-utan |
| | Gorilla beringei (I) | | | Eastern gorilla |
| | Gorilla gorilla (I) | | | Western gorilla |
| | Pan spp. (I) | | | Chimpanzee and bonobo |
| | Pongo abelii (I) | | | Sumatran orangutan |
| | Pongo pygmaeus (I) | | | Bornean orangutan |
| Hylobatidae | | | | Gibbons |
| | Hylobatidae spp. (I) | | | Gibbons |
| Indriidae | | | | Indri, sifakas and woolly lemurs |
| | Indriidae spp. (I) | | | Indri, sifakas and woolly lemurs |
| Lemuridae | | | | Large lemurs |
| | Lemuridae spp. (I) | | | Large lemurs |
| Lepilemuridae | | | | Sportive lemurs |
| | Lepilemuridae spp. (I) | | | Sportive lemurs |
| Lorisidae | | | | Lorises |
| | Nycticebus spp. (I) | | | Slow lorises |
| Pitheciidae | | | | Uacaris, titis, sakis |
| | Cacajao spp. (I) | | | Uacaris |
| | Callicebus barbarabrownae (II) | | | Barbara Brown's Titi |
| | Callicebus melanochir (II) | | | Coastal Black-handed Titi |
| | Callicebus nigrifrons (II) | | | Black-fronted Titi |
| | Callicebus personatus (II) | | | Atlantic titi |
| | Chiropotes albinasus (I) | | | White-nosed saki |
| Tarsiidae | | | | Tarsiers |
| | Tarsius spp. (II) | | | Tarsiers |
| PROBOSCIDEA | | | | |
| Elephantidae | | | | Elephants |
| | Elephas maximus (I) | | | Asian elephant |
| | Loxodonta africana (I) (Except for the populations of Botswana, Namibia, South Africa and Zimbabwe, which are included in Annex B) | Loxodonta africana (II)
  (Only the populations of Botswana, Namibia, South Africa and Zimbabwe (5); all other populations are included in Annex A) | | African elephant |
| RODENTIA | | | | |
| Chinchillidae | | | | Chinchillas |
| | Chinchilla spp. (I) (Specimens of the domesticated form are not subject to this Regulation) | | | Chinchillas |
| Cuniculidae | | | | Pacas |
| | | | Cuniculus paca (III Honduras) | Lowland paca |
| Dasyproctidae | | | | Agoutis |
| | | | Dasyprocta punctata (III Honduras) | Central American agouti |
| Erethizontidae | | | | New-world porcupines |
| | | | Sphiggurus mexicanus (III Honduras) | Mexican hairy dwarf porcupine |
| | | | Sphiggurus spinosus (III Uruguay) | Paraguaian hairy dwarf porcupine |
| Hystricidae | | | | Old-world porcupines |
| | Hystrix cristata | | | Crested porcupine |
| Muridae | | | | Mice, rats |
| | Leporillus conditor (I) | | | Greater stick-nest rat |
| | Pseudomys fieldi praeconis (I) | | | Shark Bay mouse |
| | Xeromys myoides (I) | | | False water rat |
| | Zyzomys pedunculatus (I) | | | Central Australian rock rat |
| Sciuridae | | | | Ground squirrels, tree squirrels |
| | Cynomys mexicanus (I) | | | Mexican prairie dog |
| | | | Marmota caudata (III India) | Long-tailed marmot |
| | | | Marmota himalayana (III India) | Himalayan marmot |
| | | Ratufa spp. (II) | | Giant squirrels |
| | | | Sciurus deppei (III Costa Rica) | Deppe's squirrel |
| SCANDENTIA | | | | |
| | | SCANDENTIA spp. (II) | | Treeshrews |
| SIRENIA | | | | |
| Dugongidae | | | | Dugong |
| | Dugong dugon (I) | | | Dugong |
| Trichechidae | | | | Manatees |
| | Trichechus inunguis (I) | | | |
| | Trichechus manatus (I) | | | |
| | Trichechus senegalensis (I) | | | |
| AVES | | | | Birds |
| ANSERIFORMES | | | | |
| Anatidae | | | | Ducks, geese, swans etc. |
| | Anas aucklandica (I) | | | Auckland Islands teal |
| | | Anas bernieri (II) | | Madagascar teal |
| | Anas chlorotis (I) | | | Brown teal |
| | | Anas formosa (II) | | Baikal teal |
| | Anas laysanensis (I) | | | Laysan duck |
| | Anas nesiotis (I) | | | Campbell Island teal |
| | Anas querquedula | | | Garganey |
| | Asarcornis scutulata (I) | | | White-winged duck |
| | Aythya innotata | | | Madagascar pochard |
| | Aythya nyroca | | | Ferruginous duck |
| | Branta canadensis leucopareia (I) | | | Aleutian goose |
| | Branta ruficollis (II) | | | Red-breasted goose |
| | Branta sandvicensis (I) | | | Nene |
| | | Coscoroba coscoroba (II) | | Coscoroba swan |
| | | Cygnus melancoryphus (II) | | Black-necked swan |
| | | Dendrocygna arborea (II) | | West Indian whistling-duck |
| | | | Dendrocygna autumnalis (III Honduras) | Black-bellied whistling-duck |
| | | | Dendrocygna bicolor (III Honduras) | Fulvous whistling-duck |
| | Mergus octosetaceus | | | Brazilian merganser |
| | Oxyura leucocephala (II) | | | White-headed duck |
| | Rhodonessa caryophyllacea (possibly extinct) (I) | | | Pink-headed duck |
| | | Sarkidiornis melanotos (II) | | Comb duck |
| | Tadorna cristata | | | Crested shelduck |
| APODIFORMES | | | | |
| Trochilidae | | | | Hummingbirds |
| | | Trochilidae spp. (II) (Except for the species included in Annex A) | | Hummingbirds |
| | Glaucis dohrnii (I) | | | Hook-billed hermit |
| CHARADRIIFORMES | | | | |
| Burhinidae | | | | Thick-knees |
| | | | Burhinus bistriatus (III Guatemala) | Double-striped thick-knee |
| Laridae | | | | Gulls, terns |
| | Larus relictus (I) | | | Relict gull |
| Scolopacidae | | | | Curlews, greenshanks |
| | Numenius borealis (I) | | | Eskimo curlew |
| | Numenius tenuirostris (I) | | | Slender-billed curlew |
| | Tringa guttifer (I) | | | Nordmann's greenshank |
| CICONIIFORMES | | | | |
| Ardeidae | | | | Egrets, herons |
| | Ardea alba | | | Great egret |
| | Bubulcus ibis | | | Cattle egret |
| | Egretta garzetta | | | Little egret |
| Balaenicipitidae | | | | Shoebill, whale-headed stork |
| | | Balaeniceps rex (II) | | Shoebill |
| Ciconiidae | | | | Storks |
| | Ciconia boyciana (I) | | | Oriental stork |
| | Ciconia nigra (II) | | | Black stork |
| | Ciconia stormi | | | Storm's stork |
| | Jabiru mycteria (I) | | | Jabiru |
| | Leptoptilos dubius | | | Greater adjutant stork |
| | Mycteria cinerea (I) | | | Milky stork |
| Phoenicopteridae | | | | Flamingos |
| | | Phoenicopteridae spp. (II) (Except for the species included in Annex A) | | Flamingos |
| | Phoenicopterus ruber (II) | | | Greater flamingo |
| Threskiornithidae | | | | Ibises, spoonbills |
| | | Eudocimus ruber (II) | | Scarlet ibis |
| | Geronticus calvus (II) | | | Bald ibis |
| | Geronticus eremita (I) | | | Waldrapp |
| | Nipponia nippon (I) | | | Crested ibis |
| | Platalea leucorodia (II) | | | Eurasian spoonbill |
| | Pseudibis gigantea | | | Giant ibis |
| COLUMBIFORMES | | | | |
| Columbidae | | | | Doves, pigeons |
| | Caloenas nicobarica (I) | | | Nicobar pigeon |
| | Claravis godefrida | | | Purple-winged ground-dove |
| | Columba livia | | | Rock pigeon |
| | Ducula mindorensis (I) | | | Mindoro zone-tailed pigeon |
| | | Gallicolumba luzonica (II) | | Luzon bleeding-heart |
| | | Goura spp. (II) | | Crowned-pigeons |
| | Leptotila wellsi | | | Grenada dove |
| | | | Nesoenas mayeri (III Mauritius) | Pink pigeon |
| | Streptopelia turtur | | | European turtle-dove |
| CORACIIFORMES | | | | |
| Bucerotidae | | | | Hornbills |
| | | Aceros spp. (II) (Except for the species included in Annex A) | | Hornbills |
| | Aceros nipalensis (I) | | | Rufous-necked hornbill |
| | | Anorrhinus spp. (II) | | Hornbills |
| | | Anthracoceros spp. (II) | | Hornbills |
| | | Berenicornis spp. (II) | | Hornbills |
| | | Buceros spp. (II) (Except for the species included in Annex A) | | Hornbills |
| | Buceros bicornis (I) | | | Great hornbill |
| | | Penelopides spp. (II) | | Hornbills |
| | Rhinoplax vigil (I) | | | Helmeted hornbill |
| | | Rhyticeros spp. (II) (Except for the species included in Annex A) | | Hornbills |
| | Rhyticeros subruficollis (I) | | | Plain-pouched hornbill |
| CUCULIFORMES | | | | |
| Musophagidae | | | | Turacos |
| | | Tauraco spp. (II) (Except for the species included in Annex A) | | Turacos |
| | Tauraco bannermani (II) | | | Bannerman's turaco |
| FALCONIFORMES | | | | Diurnal birds of prey (eagles, falcons, hawks, vultures) |
| | | FALCONIFORMES spp. (II)
  (Except for the species included in Annex A; except for one species of the family Cathartidae included in Annex C; the other species of that family are not included in the Annexes to this Regulation; and except for Caracara lutosa) | | Diurnal birds of prey |
| Accipitridae | | | | Hawks, eagles |
| | Accipiter brevipes (II) | | | Levant sparrowhawk |
| | Accipiter gentilis (II) | | | Northern goshawk |
| | Accipiter nisus (II) | | | Eurasian sparrowhawk |
| | Aegypius monachus (II) | | | Cinereous vulture |
| | Aquila adalberti (I) | | | Adalbert's eagle |
| | Aquila chrysaetos (II) | | | Golden eagle |
| | Aquila clanga (II) | | | Greater spotted eagle |
| | Aquila heliaca (I) | | | Imperial eagle |
| | Aquila pomarina (II) | | | Lesser spotted eagle |
| | Buteo buteo (II) | | | Common buzzard |
| | Buteo lagopus (II) | | | Rough-legged buzzard |
| | Buteo rufinus (II) | | | Long-legged buzzard |
| | Chondrohierax uncinatus wilsonii (I) | | | Cuban hook-billed kite |
| | Circaetus gallicus (II) | | | Short-toed snake-eagle |
| | Circus aeruginosus (II) | | | Western marsh-harrier |
| | Circus cyaneus (II) | | | Northern harrier |
| | Circus macrourus (II) | | | Pallid harrier |
| | Circus pygargus (II) | | | Montagu's harrier |
| | Elanus caeruleus (II) | | | Black-winged kite |
| | Eutriorchis astur (II) | | | Madagascar serpent-eagle |
| | Gypaetus barbatus (II) | | | Lammergeier |
| | Gyps fulvus (II) | | | Eurasian griffon |
| | Haliaeetus spp. (I/II) (Haliaeetus albicilla is listed in Appendix I; the other species are listed in Appendix II) | | | Sea-eagles |
| | Harpia harpyja (I) | | | Harpy eagle |
| | Hieraaetus fasciatus (II) | | | Bonelli's eagle |
| | Hieraaetus pennatus (II) | | | Booted eagle |
| | Leucopternis occidentalis (II) | | | Grey-backed hawk |
| | Milvus migrans

  (II) (Except for Milvus migrans lineatus which is included in Annex B) | | | Black kite |
| | Milvus milvus (II) | | | Red kite |
| | Neophron percnopterus (II) | | | Egyptian vulture |
| | Pernis apivorus (II) | | | European honey-buzzard |
| | Pithecophaga jefferyi (I) | | | Great Philippine eagle |
| Cathartidae | | | | New world vultures |
| | Gymnogyps californianus (I) | | | California condor |
| | | | Sarcoramphus papa (III Honduras) | King vulture |
| | Vultur gryphus (I) | | | Andean condor |
| Falconidae | | | | Falcons |
| | Falco araeus (I) | | | Seychelles kestrel |
| | Falco biarmicus (II) | | | Lanner falcon |
| | Falco cherrug (II) | | | Saker falcon |
| | Falco columbarius (II) | | | Merlin |
| | Falco eleonorae (II) | | | Eleonora's falcon |
| | Falco jugger (I) | | | Laggar falcon |
| | Falco naumanni (II) | | | Lesser kestrel |
| | Falco newtoni (I) (Only the population of the Seychelles) | | | Newton's kestrel |
| | Falco pelegrinoides (I) | | | Barbary falcon |
| | Falco peregrinus (I) | | | Peregrine falcon |
| | Falco punctatus (I) | | | Mauritius kestrel |
| | Falco rusticolus (I) | | | Gyrfalcon |
| | Falco subbuteo (II) | | | Eurasian hobby |
| | Falco tinnunculus (II) | | | Common kestrel |
| | Falco vespertinus (II) | | | Red-footed falcon |
| Pandionidae | | | | Ospreys |
| | Pandion haliaetus (II) | | | Osprey |
| GALLIFORMES | | | | |
| Cracidae | | | | |
| | Crax alberti (III Colombia) | | | Blue-knobbed curassow |
| | Crax blumenbachii (I) | | | Red-billed curassow |
| | | | Crax daubentoni (III Colombia) | Yellow-knobbed curassow |
| | | Crax fasciolata | | Bare-faced Curassow |
| | | | Crax globulosa (III Colombia) | Wattled curassow |
| | | | Crax rubra (III Colombia/Costa Rica/Guatemala/Honduras) | Great currasow |
| | Mitu mitu (I) | | | Alagoas curassow |
| | Oreophasis derbianus (I) | | | Horned guan |
| | | | Ortalis vetula (III Guatemala/Honduras) | Plain chachalaca |
| | | | Pauxi pauxi (III Colombia) | Helmeted curassow |
| | Penelope albipennis (I) | | | White-winged guan |
| | | | Penelope purpurascens (III Honduras) | Crested guan |
| | | | Penelopina nigra (III Guatemala) | Highland guan |
| | Pipile jacutinga (I) | | | Black-fronted piping guan |
| | Pipile pipile (I) | | | Trinidad piping guan |
| Megapodiidae | | | | Megapodes, scrubfowl |
| | Macrocephalon maleo (I) | | | Maleo |
| Phasianidae | | | | Grouse, guineafowl, partridges, pheasants, tragopans |
| | | Argusianus argus (II) | | Great argus |
| | Catreus wallichii (I) | | | Cheer pheasant |
| | Colinus virginianus ridgwayi (I) | | | Masked bobwhite |
| | Crossoptilon crossoptilon (I) | | | White eared-pheasant |
| | Crossoptilon mantchuricum (I) | | | Brown eared-pheasant |
| | | Gallus sonneratii (II) | | Grey junglefowl |
| | | Ithaginis cruentus (II) | | Blood pheasant |
| | Lophophorus impejanus (I) | | | Himalayan monal |
| | Lophophorus lhuysii (I) | | | Chinese monal |
| | Lophophorus sclateri (I) | | | Sclater's monal |
| | Lophura edwardsi (I) | | | Edwards' pheasant |
| | | Lophura hatinhensis | | Vietnamese fireback |
| | | | Lophura leucomelanos (III Pakistan) | Kalij pheasant |
| | Lophura swinhoii (I) | | | Swinhoe's pheasant |
| | | | Meleagris ocellata (III Guatemala) | Ocellated turkey |
| | Odontophorus strophium | | | Gorgeted wood-quail |
| | Ophrysia superciliosa | | | Himalayan quail |
| | | | Pavo cristatus (III Pakistan) | Indian peafowl |
| | | Pavo muticus (II) | | Green peafowl |
| | | Polyplectron bicalcaratum (II) | | Grey peacock-pheasant |
| | | Polyplectron germaini (II) | | Germain's peacock-pheasant |
| | | Polyplectron malacense (II) | | Malayan peacock-pheasant |
| | Polyplectron napoleonis (I) | | | Palawan peacock-pheasant |
| | | Polyplectron schleiermacheri (II) | | Bornean peacock-pheasant |
| | | | Pucrasia macrolopha (III Pakistan) | Koklass pheasant |
| | Rheinardia ocellata (I) | | | Crested argus |
| | Syrmaticus ellioti (I) | | | Elliot's pheasant |
| | Syrmaticus humiae (I) | | | Hume's pheasant |
| | Syrmaticus mikado (I) | | | Mikado pheasant |
| | Tetraogallus caspius (I) | | | Caspian snowcock |
| | Tetraogallus tibetanus (I) | | | Tibetan snowcock |
| | Tragopan blythii (I) | | | Blyth's tragopan |
| | Tragopan caboti (I) | | | Cabot's tragopan |
| | Tragopan melanocephalus (I) | | | Western tragopan |
| | | | Tragopan satyra (III Nepal) | Satyr tragopan |
| | | Tympanuchus cupido attwateri (II) | | Attwater's prairie-chicken |
| GRUIFORMES | | | | |
| Gruidae | | | | Cranes |
| | | Gruidae spp. (II) (Except for the species included in Annex A) | | Cranes |
| | Grus americana (I) | | | Whooping crane |
| | Grus canadensis (I/II) (The species is listed in Appendix II but subspecies Grus canadensis nesiotes and Grus canadensis pulla are listed in Appendix I) | | | Sandhill crane |
| | Grus grus (II) | | | Common crane |
| | Grus japonensis (I) | | | Red-crowned crane |
| | Grus leucogeranus (I) | | | Siberian crane |
| | Grus monacha (I) | | | Hooded crane |
| | Grus nigricollis (I) | | | Black-necked crane |
| | Grus vipio (I) | | | White-necked crane |
| Otididae | | | | Bustards |
| | | Otididae spp. (II) (Except for the species included in Annex A) | | Bustards |
| | Ardeotis nigriceps (I) | | | Indian bustard |
| | Chlamydotis macqueenii (I) | | | Macqueen's bustard |
| | Chlamydotis undulata (I) | | | Houbara bustard |
| | Houbaropsis bengalensis (I) | | | Bengal florican |
| | Otis tarda (II) | | | Great bustard |
| | Sypheotides indicus (II) | | | Lesser florican |
| | Tetrax tetrax (II) | | | Little bustard |
| Rallidae | | | | Coots, rails |
| | Gallirallus sylvestris (I) | | | Lord Howe rail |
| Rhynochetidae | | | | Kagu |
| | Rhynochetos jubatus (I) | | | Kagu |
| PASSERIFORMES | | | | |
| Atrichornithidae | | | | Scrub-birds |
| | Atrichornis clamosus (I) | | | Noisy scrub-bird |
| Cotingidae | | | | Cotingas |
| | | | Cephalopterus ornatus (III Colombia) | Amazonian umbrella bird |
| | | | Cephalopterus penduliger (III Colombia) | Long-wattled umbrella bird |
| | Cotinga maculata (I) | | | Banded cotinga |
| | | Rupicola spp. (II) | | Cocks-of-the-rock |
| | Xipholena atropurpurea (I) | | | White-winged cotinga |
| Emberizidae | | | | Cardinals, tanagers |
| | | Gubernatrix cristata (II) | | Yellow cardinal |
| | | Paroaria capitata (II) | | Yellow-billed cardinal |
| | | Paroaria coronata (II) | | Red-crested cardinal |
| | | Tangara fastuosa (II) | | Seven-coloured tanager |
| Estrildidae | | | | Mannikins, waxbills |
| | | Amandava formosa (II) | | Green avadavat |
| | | Lonchura fuscata | | Timor sparrow |
| | | Lonchura oryzivora (II) | | Java sparrow |
| | | Poephila cincta cincta (II) | | Southern black-throated finch |
| Fringillidae | | | | Finches |
| | Carduelis cucullata (I) | | | Red siskin |
| | | Carduelis yarrellii (II) | | Yellow-faced siskin |
| Hirundinidae | | | | Martins |
| | Pseudochelidon sirintarae (I) | | | White-eyed river-martin |
| Icteridae | | | | New-world blackbirds |
| | Xanthopsar flavus (I) | | | Saffron-cowled blackbird |
| Meliphagidae | | | | Honey-eaters |
| | | Lichenostomus melanops cassidix (II) | | Helmeted honeyeater |
| Muscicapidae | | | | Old-world flycatchers, babblers, etc. |
| | Acrocephalus rodericanus (III Mauritius) | | | Rodrigues brush-warbler |
| | | Cyornis ruckii (II) | | Rueck's blue-flycatcher |
| | Dasyornis broadbenti litoralis (possibly extinct) (I) | | | Western rufous bristlebird |
| | Dasyornis longirostris (I) | | | Western bristlebird |
| | | Garrulax canorus (II) | | Chinese Hwamei |
| | | Garrulax taewanus (II) | | Taiwan Hwamei |
| | | Leiothrix argentauris (II) | | Silver-eared mesia |
| | | Leiothrix lutea (II) | | Red-billed leiothrix |
| | | Liocichla omeiensis (II) | | Omei Shan liocichla |
| | Picathartes gymnocephalus (I) | | | White-necked rockfowl |
| | Picathartes oreas (I) | | | Grey-necked rockfowl |
| | | | Terpsiphone bourbonnensis (III Mauritius) | Mascarene paradise-flycatcher |
| Paradisaeidae | | | | Birds of paradise |
| | | Paradisaeidae spp. (II) | | Birds of paradise |
| Pittidae | | | | Pittas |
| | | Pitta guajana (II) | | Banded pitta |
| | Pitta gurneyi (I) | | | Gurney's pitta |
| | Pitta kochi (I) | | | Whiskered pitta |
| | | Pitta nympha (II) | | Fairy pitta |
| Pycnonotidae | | | | Bulbuls |
| | | Pycnonotus zeylanicus (II) | | Straw-headed bulbul |
| Sturnidae | | | | Mynas |
| | | Gracula religiosa (II) | | Hill myna |
| | Leucopsar rothschildi (I) | | | Bali myna |
| Zosteropidae | | | | White-eyes |
| | Zosterops albogularis (I) | | | White-chested white-eye |
| PELECANIFORMES | | | | |
| Fregatidae | | | | Frigatebirds |
| | Fregata andrewsi (I) | | | Christmas frigatebird |
| Pelecanidae | | | | Pelicans |
| | Pelecanus crispus (I) | | | Dalmatian pelican |
| Sulidae | | | | Boobies |
| | Papasula abbotti (I) | | | Abbott's booby |
| PICIFORMES | | | | |
| Capitonidae | | | | Barbets |
| | | | Semnornis ramphastinus (III Colombia) | Toucan barbet |
| Picidae | | | | Woodpeckers |
| | Dryocopus javensis richardsi (I) | | | Tristram's woodpecker |
| Ramphastidae | | | | Toucans |
| | | | Baillonius bailloni (III Argentina) | Saffron toucanet |
| | | Pteroglossus aracari (II) | | Black-necked aracari |
| | | | Pteroglossus castanotis (III Argentina) | Chestnut-eared aracari |
| | | Pteroglossus viridis (II) | | Green aracari |
| | | | Ramphastos dicolorus (III Argentina) | Red-breasted toucan |
| | | Ramphastos sulfuratus (II) | | Keel-billed toucan |
| | | Ramphastos toco (II) | | Toco toucan |
| | | Ramphastos tucanus (II) | | Red-billed toucan |
| | | Ramphastos vitellinus (II) | | Channel-billed toucan |
| | | | Selenidera maculirostris (III Argentina) | Spot-billed toucanet |
| PODICIPEDIFORMES | | | | |
| Podicipedidae | | | | Grebes |
| | Podilymbus gigas (I) | | | Atitlan Grebe |
| PROCELLARIIFORMES | | | | |
| Diomedeidae | | | | Albatrosses |
| | Phoebastria albatrus (I) | | | Short-tailed albatross |
| PSITTACIFORMES | | | | Cockatoos, lories, macaws, parakeets, parrots etc. |
| | | PSITTACIFORMES spp. (II)
  (Except for the species included in Annex A and excluding Agapornis roseicollis, Melopsittacus
  undulatus, Nymphicus
  hollandicus and Psittacula krameri, which are not included in the Annexes to this Regulation) | | Parrots, etc. |
| Cacatuidae | | | | Cockatoos |
| | Cacatua goffiniana (I) | | | Tanimbar cockatoo |
| | Cacatua haematuropygia (I) | | | Philippine cockatoo |
| | Cacatua moluccensis (I) | | | Salmon-crested cockatoo |
| | Cacatua sulphurea (I) | | | Yellow-crested cockatoo |
| | Probosciger aterrimus (I) | | | Palm cockatoo |
| Loriidae | | | | Lories, lorikeets |
| | Eos histrio (I) | | | Red and blue lory |
| | Vini spp. (I/II) (Vini
  ultramarina is listed in Appendix I, the other species are listed in Appendix II) | | | Blue lorikeets |
| Psittacidae | | | | Amazons, macaws, parakeets, parrots |
| | Amazona arausiaca (I) | | | Red-necked parrot |
| | Amazona auropalliata (I) | | | Yellow-naped parrot |
| | Amazona barbadensis (I) | | | Yellow-shouldered parrot |
| | Amazona brasiliensis (I) | | | Red-tailed parrot |
| | Amazona finschi (I) | | | Lilac-crowned parrot |
| | Amazona guildingii (I) | | | St Vincent parrot |
| | Amazona imperialis (I) | | | Imperial parrot |
| | Amazona leucocephala (I) | | | Cuban parrot |
| | Amazona oratrix (I) | | | Yellow-headed parrot |
| | Amazona pretrei (I) | | | Red-spectacled parrot |
| | Amazona rhodocorytha (I) | | | Red-browed parrot |
| | Amazona tucumana (I) | | | Tucuman parrot |
| | Amazona versicolor (I) | | | Saint Lucia parrot |
| | Amazona vinacea (I) | | | Vinaceous parrot |
| | Amazona viridigenalis (I) | | | Green-cheeked parrot |
| | Amazona vittata (I) | | | Puerto Rican parrot |
| | Anodorhynchus spp. (I) | | | Blue macaws |
| | Ara ambiguus (I) | | | Great green macaw |
| | Ara glaucogularis (I) | | | Blue-throated macaw |
| | Ara macao (I) | | | Scarlet macaw |
| | Ara militaris (I) | | | Military macaw |
| | Ara rubrogenys (I) | | | Red-fronted macaw |
| | Cyanopsitta spixii (I) | | | Spix's macaw |
| | Cyanoramphus cookii (I) | | | Norfolk Island parakeet |
| | Cyanoramphus forbesi (I) | | | Chatham Island yellow-fronted parakeet |
| | Cyanoramphus novaezelandiae (I) | | | Red-fronted parakeet |
| | Cyanoramphus saisseti (I) | | | Red-crowned parakeet |
| | Cyclopsitta diophthalma coxeni (I) | | | Coxen's double-eyed fig parrot |
| | Eunymphicus cornutus (I) | | | Horned parakeet |
| | Guarouba guarouba (I) | | | Golden parakeet |
| | Neophema chrysogaster (I) | | | Orange-bellied parrot |
| | Ognorhynchus icterotis (I) | | | Yellow-eared parrot |
| | Pezoporus occidentalis (possibly extinct) (I) | | | Night parrot |
| | Pezoporus wallicus (I) | | | Ground parrot |
| | Pionopsitta pileata (I) | | | Pileated parrot |
| | Primolius couloni (I) | | | Blue-headed macaw |
| | Primolius maracana (I) | | | Blue-winged macaw |
| | Psephotus chrysopterygius (I) | | | Golden-shouldered parrot |
| | Psephotus dissimilis (I) | | | Hooded parrot |
| | Psephotus pulcherrimus (possibly extinct) (I) | | | Paradise parrot |
| | Psittacula echo (I) | | | Mauritius parakeet |
| | Psittacus erithacus (I) | | | African grey parrot |
| | Pyrrhura cruentata (I) | | | Blue-throated parakeet |
| | Rhynchopsitta spp. (I) | | | Thick-billed parrots |
| | Strigops habroptilus (I) | | | Kakapo |
| RHEIFORMES | | | | |
| Rheidae | | | | Rheas |
| | Pterocnemia pennata (I) (Except Pterocnemia
  pennata
  pennata which is included in Annex B) | | | Lesser rhea |
| | | Pterocnemia pennata pennata (II) | | Lesser rhea |
| | | Rhea americana (II) | | Greater rhea |
| SPHENISCIFORMES | | | | |
| Spheniscidae | | | | Penguins |
| | | Spheniscus demersus (II) | | Jackass penguin |
| | Spheniscus humboldti (I) | | | Humboldt penguin |
| STRIGIFORMES | | | | Owls |
| | | STRIGIFORMES spp. (II) (Except for the species included in Annex A and except for Sceloglaux albifacies) | | Owls |
| Strigidae | | | | Owls |
| | Aegolius funereus (II) | | | Boreal owl |
| | Asio flammeus (II) | | | Short-eared owl |
| | Asio otus (II) | | | Long-eared owl |
| | Athene noctua (II) | | | Little owl |
| | Bubo bubo

  (II) (Except for Bubo bubo bengalensis which is included in Annex B) | | | Eurasian eagle-owl |
| | Glaucidium passerinum (II) | | | Eurasian pygmy-owl |
| | Heteroglaux blewitti (I) | | | Forest owlet |
| | Mimizuku gurneyi (I) | | | Lesser eagle-owl |
| | Ninox natalis (I) | | | Christmas hawk-owl |
| | Nyctea scandiaca (II) | | | Snowy owl |
| | Otus ireneae (II) | | | Sokoke scops-owl |
| | Otus scops (II) | | | Eurasian scops-owl |
| | Strix aluco (II) | | | Tawny owl |
| | Strix nebulosa (II) | | | Great grey owl |
| | Strix uralensis

  (II) (Except for Strix uralensis davidi which is included in Annex B) | | | Ural owl |
| | Surnia ulula (II) | | | Northern hawk owl |
| Tytonidae | | | | Barn owls |
| | Tyto alba (II) | | | Barn owl |
| | Tyto soumagnei (I) | | | Soumagne's owl |
| STRUTHIONIFORMES | | | | |
| Struthionidae | | | | Ostrich |
| | Struthio camelus (I) (Only the populations of Algeria, Burkina Faso, Cameroon, the Central African Republic, Chad, Mali, Mauritania, Morocco, the Niger, Nigeria, Senegal and the Sudan; all other populations are not included in the Annexes to this Regulation) | | | Ostrich |
| TINAMIFORMES | | | | |
| Tinamidae | | | | Tinamous |
| | Tinamus solitarius (I) | | | Solitary tinamou |
| TROGONIFORMES | | | | |
| Trogonidae | | | | Quetzals |
| | Pharomachrus mocinno (I) | | | Resplendent quetzal |
| REPTILIA | | | | Reptiles |
| CROCODYLIA | | | | Alligators, caimans, crocodiles |
| | | CROCODYLIA spp. (II) (Except for the species included in Annex A) | | Alligators, caimans, crocodiles |
| Alligatoridae | | | | Alligators, caimans |
| | Alligator sinensis (I) | | | Chinese alligator |
| | Caiman crocodilus apaporiensis (I) | | | Rio Apaporis spectacled caiman |
| | Caiman latirostris (I) (Except for the population of Argentina, which is included in Annex B) | | | Broad-nosed caiman |
| | Melanosuchus niger (I) (Except for the population of Brazil, which is included in Annex B, and population of Ecuador, which is included in Annex B and is subject to a zero annual export quota until an annual export quota has been approved by the CITES Secretariat and the IUCN/SSC Crocodile Specialist Group) | | | Black caiman |
| Crocodylidae | | | | Crocodiles |
| | Crocodylus acutus (I) (Except for the population of the Integrated Management District of Mangroves of the Bay of Cispata, Tinajones, La Balsa and Surrounding Areas, Department of Córdoba, Colombia, and the population of Cuba, which are included in Annex B) | | | American crocodile |
| | Crocodylus cataphractus (I) | | | African slender-snouted crocodile |
| | Crocodylus intermedius (I) | | | Orinoco crocodile |
| | Crocodylus mindorensis (I) | | | Philippine crocodile |
| | Crocodylus moreletii (I) (Except for the population of Belize, which is included in Annex B with a zero quota for wild specimens traded for commercial purposes, and the population of Mexico, which is included in Annex B) | | | Morelet's crocodile |
| | Crocodylus niloticus (I) (Except for the populations of Botswana, Egypt [subject to a zero quota for wild specimens traded for commercial purposes], Ethiopia, Kenya, Madagascar, Malawi, Mozambique, Namibia, South Africa, Uganda, the United Republic of Tanzania [subject to an annual export quota of no more than 1600 wild specimens including hunting trophies, in addition to ranched specimens], Zambia and Zimbabwe; these populations are included in Annex B) | | | Nile crocodile |
| | Crocodylus palustris (I) | | | Mugger crocodile |
| | Crocodylus porosus (I) (Except for the populations of Australia, Indonesia, Malaysia [wild harvest restricted to the State of Sarawak and a zero quota for wild specimens for the other States of Malaysia (Sabah and Peninsular Malaysia), with no change in the zero quota unless approved by the CITES Parties] and Papua New Guinea, which are included in Annex B) | | | Estuarine crocodile |
| | Crocodylus rhombifer (I) | | | Cuban crocodile |
| | Crocodylus siamensis (I) | | | Siamese crocodile |
| | Osteolaemus tetraspis (I) | | | West African dwarf crocodile |
| | Tomistoma schlegelii (I) | | | False gharial |
| Gavialidae | | | | Gavial or gharial |
| | Gavialis gangeticus (I) | | | Gharial |
| RHYNCHOCEPHALIA | | | | |
| Sphenodontidae | | | | Tuataras |
| | Sphenodon spp. (I) | | | Tuataras |
| SAURIA | | | | |
| Agamidae | | | | Spiny-tailed lizards (Agamas, mastigures) |
| | | Saara spp. (II) | | |
| | | Uromastyx spp. (II) | | Spiny-tailed lizards |
| Anguidae | | | | Alligator lizards |
| | | Abronia spp. (II) (except for the species included in Annex A. A zero export quota has been established for wild specimens for Abronia aurita, A. gaiophantasma, A. montecristoi, A. salvadorensis and A. vasconcelosii) | | Alligator lizards |
| | Abronia anzuetoi (I) | | | |
| | Abronia campbelli (I) | | | |
| | Abronia fimbriata (I) | | | |
| | Abronia frosti (I) | | | |
| | Abronia meledona (I) | | | |
| Chamaeleonidae | | | | Chameleons |
| | | Archaius spp. (II) | | |
| | | Bradypodion spp. (II) | | Dwarf chameleons |
| | | Brookesia spp. (II) (Except for the species included in Annex A) | | Dwarf chameleons |
| | Brookesia perarmata (I) | | | Dwarf spiny chameleon |
| | | Calumma spp. (II) | | Madagascar chameleons |
| | | Chamaeleo spp. (II) (Except for the species included in Annex A) | | Chameleons |
| | Chamaeleo chamaeleon (II) | | | European chameleon |
| | | Furcifer spp. (II) | | Madagascar chameleons |
| | | Kinyongia spp. (II) | | Dwarf chameleons |
| | | Nadzikambia spp. (II) | | Dwarf chameleons |
| | | Palleon spp. (II) | | |
| | | Rhampholeon spp. (II) | | Pygmy chamaeleons |
| | | Rieppeleon spp. (II) | | Pygmy chamaeleons |
| | | Trioceros spp. (II) | | |
| Cordylidae | | | | Spiny-tailed lizards |
| | | Cordylus spp. (II) | | Girdled lizards |
| | | Hemicordylus spp. (II) | | |
| | | Karusaurus spp. (II) | | |
| | | Namazonurus spp. (II) | | |
| | | Ninurta spp. (II) | | |
| | | Ouroborus spp. (II) | | |
| | | Pseudocordylus spp. (II) | | |
| | | Smaug spp. (II) | | |
| Gekkonidae | | | | Geckos |
| | Cnemaspis psychedelica (I) | | | Psychedelic rock gecko |
| | | | Dactylocnemis spp. (III New Zealand) | |
| | | | Hoplodactylus spp. (III New Zealand) | Sticky-toed geckos |
| | Lygodactylus williamsi (I) | | | Turquoise dwarf gecko |
| | | | Mokopirirakau spp. (III New Zealand) | |
| | | Nactus serpensinsula (II) | | Serpent Island gecko |
| | | Naultinus spp. (II) | | New Zealand tree geckos |
| | | Paroedura masobe (II) | | Masobe gecko |
| | | Phelsuma spp. (II) (Except for the species included in Annex A) | | Day geckos |
| | Phelsuma guentheri (II) | | | Round Island day gecko |
| | | Rhoptropella spp. (II) | | |
| | | | Toropuku spp. (III New Zealand) | |
| | | | Tukutuku spp. (III New Zealand) | |
| | | Uroplatus spp. (II) | | Flat-tailed geckos |
| | | | Woodworthia spp. (III New Zealand) | |
| Helodermatidae | | | | Gila monster and beaded lizard |
| | | Heloderma spp. (II) (Except for the subspecies included in Annex A) | | Gila monster and beaded lizard |
| | Heloderma horridum charlesbogerti (I) | | | Guatemalan beaded lizard |
| Iguanidae | | | | Iguanas |
| | | Amblyrhynchus cristatus (II) | | Galapagos marine iguana |
| | Brachylophus spp. (I) | | | Fiji iguanas |
| | | Conolophus spp. (II) | | Galapagos land iguanas |
| | | Ctenosaura bakeri (II) | | Utila Island spiny-tailed iguana |
| | | Ctenosaura melanosterna (II) | | Rio Aguan Valley spiny-tailed iguana |
| | | Ctenosaura oedirhina (II) | | Roatan spiny-tailed iguana |
| | | Ctenosaura palearis (II) | | Guatemalan Spiny-tailed iguana |
| | Cyclura spp. (I) | | | Ground iguanas |
| | | Iguana spp. (II) | | Iguanas |
| | | Phrynosoma blainvillii (II) | | Blaineville's horned lizard |
| | | Phrynosoma cerroense (II) | | Cedros Island horned lizard |
| | | Phrynosoma coronatum (II) | | Coast horned lizard |
| | | Phrynosoma wigginsi (II) | | Gulf coast horned lizard |
| | Sauromalus varius (I) | | | San Esteban Island chuckwalla |
| Lacertidae | | | | Lizards |
| | Gallotia simonyi (I) | | | Hierro giant lizard |
| | Podarcis lilfordi (II) | | | Lilford's wall lizard |
| | Podarcis pityusensis (II) | | | Ibiza wall lizard |
| Lanthanotidae | | | | Earless Monitor Lizard |
| | | Lanthanotidae spp. (II) (A zero export quota has been established for wild specimens for commercial trade) | | |
| Scincidae | | | | Skinks |
| | | Corucia zebrata (II) | | Prehensile-tailed skink |
| Teiidae | | | | Caiman lizards, tegu lizards |
| | | Crocodilurus amazonicus (II) | | Dragon lizard |
| | | Dracaena spp. (II) | | Caiman lizards |
| | | Salvator spp. (II) | | |
| | | Tupinambis spp.(II) | | Tegus |
| Varanidae | | | | Monitor lizards |
| | | Varanus spp. (II) (Except for the species included in Annex A) | | Monitor lizards |
| | Varanus bengalensis (I) | | | Indian monitor |
| | Varanus flavescens (I) | | | Yellow monitor |
| | Varanus griseus (I) | | | Desert monitor |
| | Varanus komodoensis (I) | | | Komodo dragon |
| | Varanus nebulosus (I) | | | Clouded monitor |
| | Varanus olivaceus (II) | | | Gray's monitor |
| Xenosauridae | | | | Chinese crocodile lizard |
| | Shinisaurus crocodilurus (I) | | | Chinese crocodile lizard |
| SERPENTES | | | | Snakes |
| Boidae | | | | Boas |
| | | Boidae spp. (II) (Except for the species included in Annex A) | | Boas |
| | Acrantophis spp. (I) | | | Madagascar ground boas |
| | Boa constrictor occidentalis (I) | | | Argentine boa constrictor |
| | Epicrates inornatus (I) | | | Puerto Rican boa |
| | Epicrates monensis (I) | | | Virgin Island tree boa |
| | Epicrates subflavus (I) | | | Jamaican boa |
| | Eryx jaculus (II) | | | Spotted sand boa |
| | Sanzinia madagascariensis (I) | | | Madagascar tree boa |
| Bolyeriidae | | | | Round Island boas |
| | | Bolyeriidae spp. (II) (Except for the species included in Annex A) | | Round Island boas |
| | Bolyeria multocarinata (I) | | | Round Island boa |
| | Casarea dussumieri (I) | | | Round Island keel-scaled boa |
| Colubridae | | | | Typical snakes, water snakes, whip snakes |
| | | | Atretium schistosum (III India) | Olive keel-back |
| | | | Cerberus rynchops (III India) | Dog-faced water snake |
| | | Clelia clelia (II) | | Mussurana |
| | | Cyclagras gigas (II) | | False cobra |
| | | Elachistodon westermanni (II) | | Indian egg-eating snake |
| | | Ptyas mucosus (II) | | Common rat snake |
| | | | Xenochrophis piscator (III India) | Checkered keel-back |
| | | | Xenochrophis schnurrenbergeri (III India) | |
| | | | Xenochrophis tytleri (III India) | |
| Elapidae | | | | Cobras, coral snakes |
| | | Hoplocephalus bungaroides (II) | | Broad-headed snake |
| | | | Micrurus diastema (III Honduras) | Atlantic coral snake |
| | | | Micrurus nigrocinctus (III Honduras) | Central American coral snake |
| | | | Micrurus ruatanus (III Honduras) | |
| | | Naja atra (II) | | Chinese spitting cobra |
| | | Naja kaouthia (II) | | Monocellate cobra |
| | | Naja mandalayensis (II) | | Burmese spitting cobra |
| | | Naja naja (II) | | Indian cobra |
| | | Naja oxiana (II) | | Central Asian cobra |
| | | Naja philippinensis (II) | | North Philippine spitting cobra |
| | | Naja sagittifera (II) | | Andaman cobra |
| | | Naja samarensis (II) | | South-east Philippine spitting cobra |
| | | Naja siamensis (II) | | Indochinese spitting cobra |
| | | Naja sputatrix (II) | | South Indonesian spitting cobra |
| | | Naja sumatrana (II) | | Golden spitting cobra |
| | | Ophiophagus hannah (II) | | King cobra |
| Loxocemidae | | | | Mexican dwarf boa |
| | | Loxocemidae spp. (II) | | Mexican dwarf boa |
| Pythonidae | | | | Pythons |
| | | Pythonidae spp. (II) (Except for the subspecies included in Annex A) | | Pythons |
| | Python molurus molurus (I) | | | Indian python |
| Tropidophiidae | | | | Wood boas |
| | | Tropidophiidae spp. (II) | | Wood boas |
| Viperidae | | | | Vipers |
| | | Atheris desaixi (II) | | Mt. Kenya bush viper |
| | | Bitis worthingtoni (II) | | Kenya horned viper |
| | | | Crotalus durissus (III Honduras) | Neotropical rattlesnake |
| | | Crotalus durissus unicolor | | Aruba rattlesnake |
| | | | Daboia russelii (III India) | Russell's viper |
| | | Trimeresurus mangshanensis (II) | | Mangshan pit-viper |
| | Vipera latifii | | | Latifi's viper |
| | Vipera ursinii (I) (Only the population of Europe, except the area which formerly constituted the USSR; these latter populations are not included in the Annexes to this Regulation) | | | Orsini's viper |
| | | Vipera wagneri (II) | | Wagner's viper |
| TESTUDINES | | | | |
| Carettochelyidae | | | | Pig-nosed turtles |
| | | Carettochelys insculpta (II) | | Pig-nosed turtle |
| Chelidae | | | | Austro-American sideneck turtles |
| | | Chelodina mccordi (II) (A zero annual export quota has been established for specimens removed from the wild) | | Roti snake-necked turtle |
| | Pseudemydura umbrina (I) | | | Western swamp turtle |
| Cheloniidae | | | | Sea turtles |
| | Cheloniidae spp. (I) | | | Sea turtles |
| Chelydridae | | | | Snapping turtles |
| | | | Chelydra serpentina (III United States of America) | |
| | | | Macrochelys temminckii (III United States of America) | Alligator snapping turtle |
| Dermatemydidae | | | | Central American river turtle |
| | | Dermatemys mawii (II) | | Central American river turtle |
| Dermochelyidae | | | | Leatherback turtle |
| | Dermochelys coriacea (I) | | | Leatherback turtle |
| Emydidae | | | | Box turtles, freshwater turtles |
| | | Chrysemys picta (Only live specimens) | | Painted turtle |
| | | Clemmys guttata (II) | | Spotted turtle |
| | | Emydoidea blandingii (II) | | Blanding's turtle |
| | | Glyptemys insculpta (II) | | Wood turtle |
| | Glyptemys muhlenbergii (I) | | | Bog turtle |
| | | | Graptemys spp. (III United States of America) | Map turtles |
| | | Malaclemys terrapin (II) | | Diamondback terrapin |
| | | Terrapene spp. (II) (Except for the species included in Annex A) | | Box turtles |
| | Terrapene coahuila (I) | | | Aquatic box turtle |
| Geoemydidae | | | | |
| | Batagur affinis (I) | | | Southern river terrapin |
| | Batagur baska (I) | | | Batagur |
| | | Batagur borneoensis (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes) | | |
| | | Batagur dhongoka (II) | | |
| | | Batagur kachuga (II) | | |
| | | Batagur trivittata (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes) | | |
| | | Cuora spp. (II) (A zero annual export quota has been established for Cuora aurocapitata, C. bourreti, C. flavomarginata, C. galbinifrons, C. mccordi, C. mouhotii, C. pani, C. picturata, C. trifasciata, C. yunnanensis and C. zhoui for specimens removed from the wild and traded for commercial purposes) | | Asian box turtles |
| | | Cyclemys spp. (II) | | Asian leaf turtles |
| | Geoclemys hamiltonii (I) | | | Black pond turtle |
| | | Geoemyda japonica (II) | | Ryukyu black-breasted leaf turtle |
| | | Geoemyda spengleri (II) | | Black-breasted leaf turtle |
| | | Hardella thurjii (II) | | Crowned river turtle |
| | | Heosemys annandalii (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes) | | Yellow-headed temple turtle |
| | | Heosemys depressa (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes) | | Arakan forest turtle |
| | | Heosemys grandis (II) | | Giant Asian turtle |
| | | Heosemys spinosa (II) | | Spiny turtle |
| | | Leucocephalon yuwonoi (II) | | Sulawesi forest turtle |
| | | Malayemys macrocephala (II) | | Snail-eating turtle |
| | | Malayemys subtrijuga (II) | | Ricefield turtle |
| | | Mauremys annamensis (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes) | | Annam pond turtle |
| | | | Mauremys iversoni (III China) | Fujian pond turtle |
| | | Mauremys japonica (II) | | Japanese pond turtle |
| | | | Mauremys megalocephala (III China) | Big-headed pond turtle |
| | | Mauremys mutica (II) | | Yellow pond turtle |
| | | Mauremys nigricans (II) | | Red-necked pond turtle |
| | | | Mauremys pritchardi (III China) | Pritchard's pond turtle |
| | | | Mauremys reevesii (III China) | Reeves's turtle |
| | | | Mauremys sinensis (III China) | Chinese stripe-necked turtle |
| | Melanochelys tricarinata (I) | | | Three-keeled land tortoise |
| | | Melanochelys trijuga (II) | | Indian black turtle |
| | Morenia ocellata (I) | | | Burmese swamp turtle |
| | | Morenia petersi (II) | | Indian eyed turtle |
| | | Notochelys platynota (II) | | Malayan flat-shelled turtle |
| | | | Ocadia glyphistoma (III China) | Notch-mouthed stripe-necked turtle |
| | | | Ocadia philippeni (III China) | Philippen's stripe-necked turtle |
| | | Orlitia borneensis (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes) | | Malayan giant turtle |
| | | Pangshura spp. (II) (Except for the species included in Annex A) | | Roofed turtles |
| | Pangshura tecta (I) | | | Indian roofed turtle |
| | | Sacalia bealei (II) | | Beal's eyed turtle |
| | | | Sacalia pseudocellata (III China) | Chinese false-eyed turtle |
| | | Sacalia quadriocellata (II) | | Four-eyed turtle |
| | | Siebenrockiella crassicollis (II) | | Black marsh turtle |
| | | Siebenrockiella leytensis (II) | | Philippine pond turtle |
| | | Vijayachelys silvatica (II) | | Cochin forest cane turtle |
| Platysternidae | | | | Big-headed turtles |
| | Platysternidae spp. (I) | | | Big-headed turtles |
| Podocnemididae | | | | Afro-American sideneck turtles |
| | | Erymnochelys madagascariensis (II) | | Madagascar sideneck turtle |
| | | Peltocephalus dumerilianus (II) | | Big-headed sideneck turtle |
| | | Podocnemis spp. (II) | | Sideneck turtles |
| Testudinidae | | | | Tortoises |
| | | Testudinidae spp. (II) (Except for the species included in Annex A; a zero annual export quota has been established for Centrochelys sulcata for specimens removed from the wild and traded for primarily commercial purposes) | | Tortoises |
| | Astrochelys radiata (I) | | | Radiated tortoise |
| | Astrochelys yniphora (I) | | | Angonoka |
| | Chelonoidis niger (I) | | | Galapagos giant tortoise |
| | Geochelone platynota (I) | | | Burmese star tortoise |
| | Gopherus flavomarginatus (I) | | | Bolson tortoise |
| | Malacochersus tornieri (II) | | | Pancake tortoise |
| | Psammobates geometricus (I) | | | Geometric tortoise |
| | Pyxis arachnoides (I) | | | Madagascar spider tortoise |
| | Pyxis planicauda (I) | | | Madagascar flat-shelled tortoise |
| | Testudo graeca (II) | | | Spur-thighed tortoise |
| | Testudo hermanni (II) | | | Hermann's tortoise |
| | Testudo kleinmanni (I) | | | Egyptian tortoise |
| | Testudo marginata (II) | | | Marginated tortoise |
| Trionychidae | | | | Softshell turtles, terrapins |
| | | Amyda cartilaginea (II) | | Southeast Asian soft-shelled turtle |
| | | | Apalone ferox (III United States of America) | |
| | | | Apalone mutica (III United States of America) | |
| | | | Apalone spinifera (III United States of America) (except for the subspecies included in Annex A) | |
| | Apalone spinifera atra (I) | | | Cuatro Cienagas soft-shell turtle |
| | | Chitra spp. (II) (Except for the species included in Annex A) | | Narrow-headed softshell turtles |
| | Chitra chitra (I) | | | Asian narrow-headed softshell |
| | Chitra vandijki (I) | | | Burmese narrow-headed softshell |
| | | Cyclanorbis elegans (II) | | Nubian flapshelll turtle |
| | | Cyclanorbis senegalensis (II) | | Senegal flapshell turtle |
| | | Cycloderma aubryi (II) | | Aubrys flapshelll turtle |
| | | Cycloderma frenatum (II) | | Zambezi flapshell turtle |
| | | Dogania subplana (II) | | Malayan soft-shelled turtle |
| | | Lissemys ceylonensis (II) | | Sri Lankan flapshell turtle |
| | | Lissemys punctata (II) | | Indo-Gangetic flapshell turtle |
| | | Lissemys scutata (II) | | Burmese flapshell turtle |
| | | Nilssonia formosa (II) | | Burmese peacock softshell |
| | Nilssonia gangetica (I) | | | Indian soft-shell turtle |
| | Nilssonia hurum (I) | | | Peacock soft-shell turtle |
| | | Nilssonia leithii (II) | | Leith's softshell turtle |
| | Nilssonia nigricans (I) | | | Black soft-shell turtle |
| | | Palea steindachneri (II) | | Wattle-necked softshell turtle |
| | | Pelochelys spp. (II) | | Giant softshell turtles |
| | | Pelodiscus axenaria (II) | | Hunan softshell turtle |
| | | Pelodiscus maackii (II) | | Amur softshell turtle |
| | | Pelodiscus parviformis (II) | | Chinese softshell turtle |
| | | Rafetus euphraticus (II) | | Euphrates softshell turtle |
| | | Rafetus swinhoei (II) | | Yangtze softshell turtle |
| | | Trionyx triunguis (II) | | Nile softshell turtle |
| AMPHIBIA | | | | Amphibians |
| ANURA | | | | Frogs and toads |
| Aromobatidae | | | | Cryptic forest frogs |
| | | Allobates femoralis (II) | | Brilliant-thighed poison frog |
| | | Allobates hodli (II) | | |
| | | Allobates myersi (II) | | Myers' poison frog |
| | | Allobates zaparo (II) | | Sanguine poison frog |
| | | Anomaloglossus rufulus (II) | | Chimanta poison frog |
| Bufonidae | | | | Toads |
| | Altiphrynoides spp. (I) | | | Malcolm's Ethiopian toad |
| | Amietophrynus channingi (I) | | | |
| | Amietophrynus superciliaris (I) | | | Cameroon toad |
| | Atelopus zeteki (I) | | | Golden frog |
| | Incilius periglenes (I) | | | Golden toad |
| | Nectophrynoides spp. (I) | | | African viviparous toads |
| | Nimbaphrynoides spp. (I) | | | Nimba toads |
| Calyptocephalellidae | | | | |
| | | | Calyptocephalella gayi (III Chile) | Chilean helmeted water toad |
| Conrauidae | | | | Frogs |
| | | Conraua goliath | | Goliath frog |
| Dendrobatidae | | | | Poison frogs |
| | | Adelphobates spp. (II) | | |
| | | Ameerega spp. (II) | | |
| | | Andinobates spp. (II) | | |
| | | Dendrobates spp. (II) | | Poison-arrow frogs |
| | | Epipedobates spp. (II) | | Poison-arrow frogs |
| | | Excidobates spp. (II) | | |
| | | Hyloxalus azureiventris (II) | | Sky-blue poison frog |
| | | Minyobates spp. (II) | | Demonic poison frogs |
| | | Oophaga spp. (II) | | |
| | | Phyllobates spp. (II) | | Poison-arrow frogs |
| | | Ranitomeya spp. (II) | | |
| Dicroglossidae | | | | Frogs |
| | | Euphlyctis hexadactylus (II) | | Six-fingered frog |
| | | Hoplobatrachus tigerinus (II) | | Tiger frog |
| Hylidae | | | | Tree frogs |
| | | Agalychnis spp. (II) | | |
| Mantellidae | | | | Mantella frogs |
| | | Mantella spp. (II) | | Mantella frogs |
| Microhylidae | | | | Tomato frogs |
| | | Dyscophus antongilii (II) | | Tomato frog |
| | | Dyscophus guineti (II) | | False tomato frog |
| | | Dyscophus insularis (II) | | Antsouhy tomato frog |
| | | Scaphiophryne boribory (II) | | Green marbled burrowing frog |
| | | Scaphiophryne gottlebei (II) | | Red rain frog |
| | | Scaphiophryne marmorata (II) | | Green marbled burrowing frog |
| | | Scaphiophryne spinosa (II) | | Green marbled burrowing frog |
| Myobatrachidae | | | | Gastric brooding frogs |
| | | Rheobatrachus spp. (II) (Except for Rheobatrachus silus and Rheobatrachus vitellinus) | | Gastric brooding frog |
| Telmatobiidae | | | | Water frogs |
| | Telmatobius culeus (I) | | | Titicaca water frog |
| CAUDATA | | | | |
| Ambystomatidae | | | | Axolotls |
| | | Ambystoma dumerilii (II) | | Lake Patzcuaro salamander |
| | | Ambystoma mexicanum (II) | | Axolotl |
| Cryptobranchidae | | | | Giant salamanders |
| | Andrias spp. (I) | | | Giant salamanders |
| | | | Cryptobranchus alleganiensis (III United States of America) | Hellbender |
| Hynobiidae | | | | Asiatic salamanders |
| | | | Hynobius amjiensis (III China) | |
| Salamandridae | | | | Salamanders and newts |
| | Neurergus kaiseri (I) | | | Kaiser's spotted newt |
| | | Paramesotriton hongkongensis (II) | | Hong Kong warty newt |
| | | | Salamandra algira (III Algeria) | |
| ELASMOBRANCHII | | | | Sharks and rays |
| CARCHARHINIFORMES | | | | |
| Carcharhinidae | | | | Requiem sharks |
| | | Carcharhinus falciformis (II) (This inclusion will enter into effect on 4 October 2017) | | Silky shark |
| | | Carcharhinus longimanus (II) | | Oceanic whitetip shark |
| Sphyrnidae | | | | Hammerhead sharks |
| | | Sphyrna lewini (II) | | Scalloped hammerhead shark |
| | | Sphyrna mokarran (II) | | Great hammerhead shark |
| | | Sphyrna zygaena (II) | | Smooth hammerhead shark |
| LAMNIFORMES | | | | |
| Alopiidae | | | | Thresher sharks |
| | | Alopias spp. (II) (This inclusion will enter into effect on 4 October 2017) | | Thresher sharks |
| Cetorhinidae | | | | Basking sharks |
| | | Cetorhinus maximus (II) | | Basking shark |
| Lamnidae | | | | White sharks |
| | | Carcharodon carcharias (II) | | Great white shark |
| | | Lamna nasus (II) | | Porbeagle |
| MYLIOBATIFORMES | | | | |
| Myliobatidae | | | | |
| | | Manta spp. (II) | | Manta rays |
| | | Mobula spp. (II) (This inclusion will enter into effect on 4 April 2017) | | Devil rays |
| Potamotrygonidae | | | | |
| | | | Paratrygon aiereba (III Colombia) | |
| | | | Potamotrygon spp. (III Brazil) (population of Brazil) | |
| | | | Potamotrygon constellata (III Colombia) | |
| | | | Potamotrygon magdalenae (III Colombia) | |
| | | | Potamotrygon motoro (III Colombia) | |
| | | | Potamotrygon orbignyi (III Colombia) | |
| | | | Potamotrygon schroederi (III Colombia) | |
| | | | Potamotrygon scobina (III Colombia) | |
| | | | Potamotrygon yepezi (III Colombia) | |
| ORECTOLOBIFORMES | | | | |
| Rhincodontidae | | | | Whale sharks |
| | | Rhincodon typus (II) | | Whale shark |
| PRISTIFORMES | | | | |
| Pristidae | | | | Sawfishes |
| | Pristidae spp. (I) | | | Sawfishes |
| ACTINOPTERI | | | | Fish |
| ACIPENSERIFORMES | | | | |
| | | ACIPENSERIFORMES spp. (II) (Except for the species included in Annex A) | | Sturgeons and paddlefish |
| Acipenseridae | | | | Sturgeons |
| | Acipenser brevirostrum (I) | | | Shortnose sturgeon |
| | Acipenser sturio (I) | | | Common sturgeon |
| ANGUILLIFORMES | | | | |
| Anguillidae | | | | Freshwater eels |
| | | Anguilla anguilla (II) | | European eel |
| CYPRINIFORMES | | | | |
| Catostomidae | | | | Cui-ui |
| | Chasmistes cujus (I) | | | Cui-ui |
| Cyprinidae | | | | Blind carps, plaeesok |
| | | Caecobarbus geertsii (II) | | African blind barb fish |
| | Probarbus jullieni (I) | | | Ikan temoleh |
| OSTEOGLOSSIFORMES | | | | |
| Arapaimidae | | | | |
| | | Arapaima gigas (II) | | Arapaima |
| Osteoglossidae | | | | Arapaimas, bonytongues |
| | Scleropages formosus (I) | | | Asian arowana |
| | Scleropages inscriptus | | | |
| PERCIFORMES | | | | |
| Labridae | | | | Wrasses |
| | | Cheilinus undulatus (II) | | Humphead wrasse |
| Pomacanthidae | | | | |
| | | Holacanthus clarionensis (II) | | Clarion angelfish |
| Sciaenidae | | | | Totoabas |
| | Totoaba macdonaldi (I) | | | Totoaba |
| SILURIFORMES | | | | |
| Pangasiidae | | | | Pangasid catfish |
| | Pangasianodon gigas (I) | | | Giant catfish |
| Loricariidae | | | | |
| | | | Hypancistrus zebra (III Brazil) | |
| SYNGNATHIFORMES | | | | |
| Syngnathidae | | | | Pipefishes, seahorses |
| | | Hippocampus spp. (II) | | Seahorses |
| DIPNEUSTI | | | | Lungfishes |
| CERATODONTIFORMES | | | | |
| Neoceratodontidae | | | | Australian lungfishes |
| | | Neoceratodus forsteri (II) | | Australian lungfish |
| COELACANTHI | | | | Coelacanths |
| COELACANTHIFORMES | | | | |
| Latimeriidae | | | | Coelacanths |
| | Latimeria spp. (I) | | | Coelacanths |
| ECHINODERMATA (STARFISH, BRITTLE STARS, SEA URCHINS AND SEA CUCUMBERS) |
| HOLOTHUROIDEA | | | | Sea cucumbers |
| ASPIDOCHIROTIDA | | | | |
| Stichopodidae | | | | Sea cucumbers |
| | | | Isostichopus fuscus (III Ecuador) | Brown sea cucumber |
| ARTHROPODA (ARTHROPODS) |
| ARACHNIDA | | | | Spiders and scorpions |
| ARANEAE | | | | |
| Theraphosidae | | | | Red-kneed tarantulas, tarantulas |
| | | Aphonopelma albiceps (II) | | |
| | | Aphonopelma pallidum (II) | | Chihuahua rose-grey tarantula |
| | | Brachypelma spp. (II) | | Central American tarantulas |
| SCORPIONES | | | | |
| Scorpionidae | | | | Scorpions |
| | | Pandinus dictator (II) | | |
| | | Pandinus gambiensis (II) | | Giant Senegalese scorpion |
| | | Pandinus imperator (II) | | Emperor scorpion |
| | | Pandinus roeseli (II) | | |
| INSECTA | | | | Insects |
| COLEOPTERA | | | | Beetles |
| Lucanidae | | | | Stag beetles |
| | | | Colophon spp. (III South Africa) | Cape stag beetles |
| Scarabaeidae | | | | Scarab beetles |
| | | Dynastes satanas (II) | | Satanas beetle |
| LEPIDOPTERA | | | | Butterflies |
| Nymphalidae | | | | |
| | | | Agrias amydon boliviensis (III Bolivia) | |
| | | | Morpho godartii lachaumei (III Bolivia) | |
| | | | Prepona praeneste buckleyana (III Bolivia) | |
| Papilionidae | | | | Birdwing and swallowtail butterflies |
| | | Atrophaneura jophon (II) | | Sri Lankan rose |
| | | Atrophaneura palu | | Palu swallowtail butterfly |
| | | Atrophaneura pandiyana (II) | | Malabar rose |
| | | Bhutanitis spp. (II) | | Swallowtail butterflies |
| | | Graphium sandawanum | | Apo swallowtail butterfly |
| | | Graphium stresemanni | | Seram swallowtail |
| | | Ornithoptera spp. (II) (except for the species included in Annex A) | | Birdwing butterflies |
| | Ornithoptera alexandrae (I) | | | Queen Alexandra's birdwing |
| | | Papilio benguetanus | | |
| | Papilio chikae (I) | | | Luzon peacock swallowtail |
| | | Papilio esperanza | | |
| | Papilio homerus (I) | | | Homerus swallowtail |
| | Papilio hospiton (II) | | | Corsican swallowtail |
| | | Papilio morondavana | | Madagascan emperor swallowtail |
| | | Papilio neumoegeni | | |
| | | Parides ascanius | | Fluminense swallowtail butterfly |
| | | Parides hahneli | | Hahnel's amazonian swallowtail butterfly |
| | Parnassius apollo (II) | | | Mountain apollo |
| | | Teinopalpus spp. (II) | | Kaiser-I-Hind butterflies |
| | | Trogonoptera spp. (II) | | Birdwing butterflies |
| | | Troides spp. (II) | | Birdwing butterflies |
| ANNELIDA (SEGMENTED WORMS AND LEECHES) |
| HIRUDINOIDEA | | | | Leeches |
| ARHYNCHOBDELLIDA | | | | |
| Hirudinidae | | | | Leeches |
| | | Hirudo medicinalis (II) | | Northern medicinal leech |
| | | Hirudo verbana (II) | | Southern medicinal leech |
| MOLLUSCA (MOLLUSCS) |
| BIVALVIA | | | | Bivalve molluscs (clams, mussels etc.) |
| MYTILOIDA | | | | |
| Mytilidae | | | | Marine mussels |
| | | Lithophaga lithophaga (II) | | European date mussel |
| UNIONOIDA | | | | |
| Unionidae | | | | Freshwater mussels, pearly mussels |
| | Conradilla caelata (I) | | | Birdwing pearly mussel |
| | | Cyprogenia aberti (II) | | Western fanshell mussel |
| | Dromus dromas (I) | | | Dromedary pearly mussel |
| | Epioblasma curtisii (I) | | | Curtis' pearly mussel |
| | Epioblasma florentina (I) | | | Yellow-blossom pearly mussel |
| | Epioblasma sampsonii (I) | | | Wabash riffleshell |
| | Epioblasma sulcata perobliqua (I) | | | White catspaw mussel |
| | Epioblasma torulosa gubernaculum (I) | | | Green-blossom pearly mussel |
| | | Epioblasma torulosa rangiana (II) | | Northern riffleshell |
| | Epioblasma torulosa torulosa (I) | | | Turbercled-blossom pearly mussel |
| | Epioblasma turgidula (I) | | | Turgid-blossom pearly mussel |
| | Epioblasma walkeri (I) | | | Tan riffleshell |
| | Fusconaia cuneolus (I) | | | Fine-rayed pigtoe pearly mussel |
| | Fusconaia edgariana (I) | | | Shiny pigtoe pearly mussel |
| | Lampsilis higginsii (I) | | | Higgins' eye pearly mussel |
| | Lampsilis orbiculata orbiculata (I) | | | Pink mucket pearly mussel |
| | Lampsilis satur (I) | | | Sandback pocketbook mussel |
| | Lampsilis virescens (I) | | | Alabama lamp pearly mussel |
| | Plethobasus cicatricosus (I) | | | White warty-back pearly mussel |
| | Plethobasus cooperianus (I) | | | Orange-footed pimpleback mussel |
| | | Pleurobema clava (II) | | Clubshell pearly mussel |
| | Pleurobema plenum (I) | | | Rough pigtoe pearly mussel |
| | Potamilus capax (I) | | | Fat pocketbook pearly mussel |
| | Quadrula intermedia (I) | | | Cumberland monkey-face pearly mussel |
| | Quadrula sparsa (I) | | | Appalachian monkey-face pearly mussel |
| | Toxolasma cylindrella (I) | | | Pale lilliput pearly mussel |
| | Unio nickliniana (I) | | | Nicklin's pearly mussel |
| | Unio tampicoensis tecomatensis (I) | | | Tampico pearly mussel |
| | Villosa trabalis (I) | | | Cumberland bean pearly mussel |
| VENEROIDA | | | | |
| Tridacnidae | | | | Giant clams |
| | | Tridacnidae spp. (II) | | Giant clams |
| CEPHALOPODA | | | | |
| NAUTILIDA | | | | |
| Nautilidae | | | | Nautilus |
| | | Nautilidae spp. (II) | | Nautilus |
| GASTROPODA | | | | Slugs, snails and conches |
| MESOGASTROPODA | | | | |
| Strombidae | | | | Conches |
| | | Strombus gigas (II) | | Queen conch |
| STYLOMMATOPHORA | | | | |
| Achatinellidae | | | | Agate snails, oahu tree snails |
| | Achatinella spp. (I) | | | Little agate shells |
| Camaenidae | | | | Green tree snail |
| | | Papustyla pulcherrima (II) | | Manus green tree snail |
| Cepolidae | | | | |
| | Polymita spp. (I) | | | Cuban landsnails |
| CNIDARIA (CORALS, FIRE CORALS, SEA ANEMONES) |
| ANTHOZOA | | | | Corals, sea anemones |
| ANTIPATHARIA | | | | |
| | | ANTIPATHARIA spp. (II) | | Black corals |
| GORGONACEAE | | | | |
| Coralliidae | | | | Red and pink corals |
| | | | Corallium elatius (III China) | |
| | | | Corallium japonicum (III China) | |
| | | | Corallium konjoi (III China) | |
| | | | Corallium secundum (III China) | |
| HELIOPORACEA | | | | |
| Helioporidae | | | | Blue coral |
| | | Helioporidae spp. (II) (Includes only the species Heliopora coerulea) (6) | | Blue coral |
| SCLERACTINIA | | | | |
| | | SCLERACTINIA spp. (II) (6) | | Stony corals |
| STOLONIFERA | | | | |
| Tubiporidae | | | | Organpipe corals |
| | | Tubiporidae spp. (II) (6) | | Organpipe corals |
| HYDROZOA | | | | Sea ferns, fire corals, stinging medusas |
| MILLEPORINA | | | | |
| Milleporidae | | | | Wello fire corals |
| | | Milleporidae spp. (II) (6) | | Wello fire corals |
| STYLASTERINA | | | | |
| Stylasteridae | | | | Lace corals |
| | | Stylasteridae spp. (II) (6) | | Lace corals |
| FLORA |
| AGAVACEAE | | | | Agaves |
| | Agave parviflora (I) | | | Santa Cruz striped agave |
| | | Agave victoriae-reginae (II) #4 | | Queen Victoria agave |
| | | Nolina interrata (II) | | Dehesa bear-grass |
| | | Yucca queretaroensis (II) | | Queretaro yucca |
| AMARYLLIDACEAE | | | | Amaryllids |
| | | Galanthus spp. (II) #4 | | Snowdrops |
| | | Sternbergia spp. (II) #4 | | Sternbergias |
| ANACARDIACEAE | | | | |
| | | Operculicarya decaryi (II) | | Jabihy |
| | | Operculicarya hyphaenoides (II) | | Jabihy |
| | | Operculicarya pachypus (II) | | Tabily |
| APOCYNACEAE | | | | |
| | | Hoodia spp. (II) #9 | | Hoodia |
| | | Pachypodium spp. (II) (Except for the species included in Annex A) #4 | | Elephant trunks |
| | Pachypodium ambongense (I) | | | |
| | Pachypodium baronii (I) | | | |
| | Pachypodium decaryi (I) | | | |
| | | Rauvolfia serpentina (II) #2 | | Snake-root devil-pepper |
| ARALIACEAE | | | | Aralias |
| | | Panax ginseng (II) (Only the population of the Russian Federation; no other population is included in the Annexes to this Regulation) #3 | | Asian ginseng |
| | | Panax quinquefolius (II) #3 | | American ginseng |
| ARAUCARIACEAE | | | | Araucarias |
| | Araucaria araucana (I) | | | Monkey-puzzle tree |
| ASPARAGACEAE | | | | |
| | | Beaucarnea spp. (II) | | Ponytail palm |
| BERBERIDACEAE | | | | Barberries |
| | | Podophyllum hexandrum (II) #2 | | Himalayan may-apple |
| BROMELIACEAE | | | | Air plants, bromelias |
| | | Tillandsia harrisii (II) #4 | | Harris' tillandsia |
| | | Tillandsia kammii (II) #4 | | Kamm's tillandsia |
| | | Tillandsia xerographica (II) (7) #4 | | Xerographic tillandsia |
| CACTACEAE | | | | Cacti |
| | | CACTACEAE spp. (II) (Except for the species included in Annex A and Pereskia spp., Pereskiopsis spp. and Quiabentia spp.) (8) #4 | | Cacti |
| | Ariocarpus spp. (I) | | | Living rock cacti |
| | Astrophytum asterias (I) | | | Star cactus |
| | Aztekium ritteri (I) | | | Aztec cactus |
| | Coryphantha werdermannii (I) | | | Jobali pincushion cactus |
| | Discocactus spp. (I) | | | Discocacti |
| | Echinocereus ferreirianus ssp. lindsayi (I) | | | Lindsay's hedgehog cacti |
| | Echinocereus schmollii (I) | | | Lamb's-tail cactus |
| | Escobaria minima (I) | | | Nelle's cactus |
| | Escobaria sneedii (I) | | | Sneed's pincushion cactus |
| | Mammillaria pectinifera (I) (includes ssp. solisioides) | | | Conchilinque |
| | Melocactus conoideus (I) | | | Conelike Turk's-cap cactus |
| | Melocactus deinacanthus (I) | | | Wonderfully-bristled Turk's cap cactus |
| | Melocactus glaucescens (I) | | | Woolly waxy-stemmed Turk's-cap cactus |
| | Melocactus paucispinus (I) | | | Few-spined Turk's-cap cactus |
| | Obregonia denegrii (I) | | | Artichoke cactus |
| | Pachycereus militaris (I) | | | Grenadier's cap |
| | Pediocactus bradyi (I) | | | Brady's pincushion cactus |
| | Pediocactus knowltonii (I) | | | Knowlton's cactus |
| | Pediocactus paradinei (I) | | | Houserock valley cactus |
| | Pediocactus peeblesianus (I) | | | Peebles's Navajo cactus |
| | Pediocactus sileri (I) | | | Siler's pincushion cactus |
| | Pelecyphora spp. (I) | | | Pine cane cactus |
| | Sclerocactus blainei (I) | | | Blaine's fishhook cactus |
| | Sclerocactus brevihamatus ssp. tobuschii (I) | | | Tobusch fishhook cactus |
| | Sclerocactus brevispinus (I) | | | Pariette cactus |
| | Sclerocactus cloverae (I) | | | New Mexico fishhook cactus |
| | Sclerocactus erectocentrus (I) | | | Needle-spined pineapple cactus |
| | Sclerocactus glaucus (I) | | | Colorado hookless cactus |
| | Sclerocactus mariposensis (I) | | | Mariposa cactus |
| | Sclerocactus mesae-verdae (I) | | | Mesa Verde cactus |
| | Sclerocactus nyensis (I) | | | Tonopah fishook cactus |
| | Sclerocactus papyracanthus (I) | | | Grama-grass cactus |
| | Sclerocactus pubispinus (I) | | | Great-Basin fishhook cactus |
| | Sclerocactus sileri (I) | | | Siler's fishhook cactus |
| | Sclerocactus wetlandicus (I) | | | Unita Basin hookless cactus |
| | Sclerocactus wrightiae (I) | | | Wright's fishhook cactus |
| | Strombocactus spp. (I) | | | Peyote |
| | Turbinicarpus spp. (I) | | | Turbinicarps |
| | Uebelmannia spp. (I) | | | Uebelmann cacti |
| CARYOCARACEAE | | | | Ajos |
| | | Caryocar costaricense (II) #4 | | Ajillo |
| COMPOSITAE (ASTERACEAE) | | | | Asters, daisies, costus |
| | Saussurea costus (I) (also known as S. lappa, Aucklandia lappa or A. costus) | | | Costus |
| CUCURBITACEAE | | | | |
| | | Zygosicyos pubescens (II) (also known as Xerosicyos pubescens) | | Tobory |
| | | Zygosicyos tripartitus (II) | | Betoboky |
| CUPRESSACEAE | | | | Cypresses |
| | Fitzroya cupressoides (I) | | | Alerce |
| | Pilgerodendron uviferum (I) | | | Pilgerodendron |
| CYATHEACEAE | | | | Tree ferns |
| | | Cyathea spp. (II) #4 | | Tree ferns |
| CYCADACEAE | | | | Cycads |
| | | CYCADACEAE spp. (II) (Except for the species included in Annex A) #4 | | Cycads |
| | Cycas beddomei (I) | | | Beddome's cycad |
| DICKSONIACEAE | | | | Tree ferns |
| | | Cibotium barometz (II) #4 | | |
| | | Dicksonia spp. (II) (Only the populations of the Americas; no other populations are included in the Annexes to this Regulation. This includes the synonyms Dicksonia berteriana, D. externa, D. sellowiana and D. stuebelii) #4 | | Tree ferns |
| DIDIEREACEAE | | | | Didiereas |
| | | DIDIEREACEAE spp. (II) #4 | | Alluaudias, didiereas |
| DIOSCOREACEAE | | | | Yams |
| | | Dioscorea deltoidea (II) #4 | | Elephant's foot |
| DROSERACEAE | | | | Sundews |
| | | Dionaea muscipula (II) #4 | | Venus fly-trap |
| EBENACEAE | | | | Ebonies |
| | | Diospyros spp. (II) (Only the populations of Madagascar; no other population is included in the Annexes to this Regulation) #5 | | |
| EUPHORBIACEAE | | | | Spurges |
| | | Euphorbia spp. (II) #4
  (Succulent species only except for:


  (1) | Euphorbia misera; |

Annex A

Annex B

Annex C

Common name

FAUNA

CHORDATA (CHORDATES)

MAMMALIA

Mammals

ARTIODACTYLA

Antilocapridae

Pronghorn

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

Mexican pronghorn

Bovidae

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

Addax nasomaculatus (I)

Addax

Ammotragus lervia (II)

Barbary sheep

Antilope cervicapra (III Nepal/Pakistan)

Blackbuck

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

Gaur

Bos mutus (I) (Excludes the domesticated form referenced as Bos grunniens which is not subject to this Regulation)

Wild yak

Bos sauveli (I)

Kouprey

Boselaphus tragocamelus (III Pakistan)

Nilgai

Bubalus arnee (III Nepal) (Excludes the domesticated form referenced as Bubalus bubalis, which is not subject to this Regulation)

Wild Asiatic buffalo

Bubalus depressicornis (I)

Lowland anoa

Bubalus mindorensis (I)

Tamarau

Bubalus quarlesi (I)

Mountain anoa

Budorcas taxicolor (II)

Takin

Capra falconeri (I)

Markhor

Capra caucasica (II)

Caucasian Tur

Capra hircus aegagrus (III Pakistan) (Specimens of the domesticated form are not subject to this Regulation)

Wild goat

Capra sibirica (III Pakistan)

Siberian Ibex

Capricornis milneedwardsii (I)

Chinese serow

Capricornis rubidus (I)

Red serow

Capricornis sumatraensis (I)

Sumatran serow

Capricornis thar (I)

Himalayan serow

Cephalophus brookei (II)

Brooke's duiker

Cephalophus dorsalis (II)

Bay duiker

Cephalophus jentinki (I)

Jentink's duiker

Cephalophus ogilbyi (II)

Ogilby's duiker

Cephalophus silvicultor (II)

Yellow-backed duiker

Cephalophus zebra (II)

Zebra duiker

Damaliscus pygargus pygargus (II)

Bontebok

Gazella bennettii (III Pakistan)

Chinkara

Gazella cuvieri (I)

Cuvier's gazelle

Gazella dorcas (III Algeria/Tunisia)

Dorcas gazelle

Gazella leptoceros (I)

Slender-horned gazelle

Hippotragus niger variani (I)

Giant sable antelope

Kobus leche (II)

Lechwe

Naemorhedus baileyi (I)

Red goral

Naemorhedus caudatus (I)

Long-tailed goral

Naemorhedus goral (I)

Himalayan goral

Naemorhedus griseus (I)

Chinese goral

Nanger dama (I)

Dama gazelle

Oryx dammah (I)

Scimitar-horned oryx

Oryx leucoryx (I)

Arabian oryx

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

Argali

Ovis ammon hodgsonii (I)

Tibetan argali

Ovis ammon nigrimontana (I)

Kara Tau argali

Ovis aries (Except for the domesticated form Ovis aries aries, the subspecies included in Annex A and the subspecies O. a. isphahanica, O. a. laristanica, O. a. musimon and O. a. orientalis which are not included in the Annexes to this Regulation)

Urial

Ovis aries ophion (I)

Cyprus mouflon

Ovis aries vignei (I)

Ladakh urial

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

Mexican bighorn sheep

Pantholops hodgsonii (I)

Chiru

Philantomba monticola (II)

Blue duiker

Pseudois nayaur (III Pakistan)

Bharal

Pseudoryx nghetinhensis (I)

Saola

Rupicapra pyrenaica ornata (II)

Abruzzo chamois

Saiga borealis (II)

Mongolian saiga

Saiga tatarica (II)

Steppe saiga

Tetracerus quadricornis (III Nepal)

Four-horned antelope

Camelidae

Camels, guanaco, vicuña

Lama guanicoe (II)

Guanaco

Vicugna vicugna (I) (Except for the populations of: Argentina [the populations of the Provinces of Jujuy and Catamarca and the semi-captive populations of the Provinces of Jujuy, Salta, Catamarca, La Rioja and San Juan]; Bolivia [the whole population]; Chile [population of the Primera Región]; Ecuador [the whole population] and Peru [the whole population]; which are included in Annex B)

Vicugna vicugna (II) (Only the populations of Argentina [the populations of the Provinces of Jujuy and Catamarca and the semi-captive populations of the Provinces of Jujuy, Salta, Catamarca, La Rioja and San Juan]; Bolivia [the whole population]; Chile [population of the Primera Región]; Ecuador [the whole population] and Peru [the whole population]; all other populations are included in Annex A) (3)

Vicuña

Cervidae

Deer, huemuls, muntjacs, pudus

Axis calamianensis (I)

Calamian deer

Axis kuhlii (I)

Bawean deer

Axis porcinus (III Pakistan (Except for the subspecies included in Annex A))

Hog deer

Axis porcinus annamiticus (I)

Indochina hog deer

Blastocerus dichotomus (I)

Marsh deer

Cervus elaphus bactrianus (II)

Bactrian deer

Cervus elaphus barbarus (III Algeria/Tunisia)

Barbary deer

Cervus elaphus hanglu (I)

Hangul

Dama dama mesopotamica (I)

Persian fallow deer

Hippocamelus spp. (I)

Huemuls

Mazama temama cerasina (III Guatemala)

Central American red brocket

Muntiacus crinifrons (I)

Black muntjac

Muntiacus vuquangensis (I)

Giant muntjac

Odocoileus virginianus mayensis (III Guatemala)

Guatemalan white-tailed deer

Ozotoceros bezoarticus (I)

Pampas deer

Pudu mephistophiles (II)

Northern pudu

Pudu puda (I)

Southern pudu

Rucervus duvaucelii (I)

Barasingha

Rucervus eldii (I)

Eld's deer

Hippopotamidae

Hippopotamuses

Hexaprotodon liberiensis (II)

Pygmy hippopotamus

Hippopotamus amphibius (II)

Common hippopotamus

Moschidae

Musk deer

Moschus spp. (I) (Only the populations of Afghanistan, Bhutan, India, Myanmar, Nepal and Pakistan; all other populations are included in Annex B)

Moschus spp. (II) (Except for the populations of Afghanistan, Bhutan, India, Myanmar, Nepal and Pakistan, which are included in Annex A)

Musk deer

Suidae

Babirusa, hogs, pigs

Babyrousa babyrussa (I)

Buru babirusa

Babyrousa bolabatuensis (I)

Bola Batu babirusa

Babyrousa celebensis (I)

North Sulawesi babirusa

Babyrousa togeanensis (I)

Malenge babirusa

Sus salvanius (I)

Pygmy hog

Tayassuidae

Peccaries

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

Peccaries

Catagonus wagneri (I)

Chacoan peccary

CARNIVORA

Ailuridae

Ailurus fulgens (I)

Red panda

Canidae

Dogs, foxes, wolves

Canis aureus (III India)

Golden jackal

Canis lupus (I/II)

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

Canis lupus (II) (Populations of Spain north of the Duero and Greece north of the 39th parallel. Excludes the domesticated form and the dingo which are referenced as Canis lupus familiaris and Canis lupus dingo)

Grey wolf

Canis simensis

Ethiopian wolf

Cerdocyon thous (II)

Crab-eating fox

Chrysocyon brachyurus (II)

Maned wolf

Cuon alpinus (II)

Dhole

Lycalopex culpaeus (II)

Culpeo

Lycalopex fulvipes (II)

Darwin's fox

Lycalopex griseus (II)

South American grey fox

Lycalopex gymnocercus (II)

Pampas fox

Speothos venaticus (I)

Bush dog

Vulpes bengalensis (III India)

Bengal fox

Vulpes cana (II)

Blanford's fox

Vulpes zerda (II)

Fennec fox

Eupleridae

Cryptoprocta ferox (II)

Fossa

Eupleres goudotii (II)

Falanouc

Fossa fossana (II)

Malagasy civet

Felidae

Cats, cheetahs, leopards, lions, tigers etc.

Felidae spp. (II) (Except for the species included in Annex A. Specimens of the domesticated form are not subject to this Regulation. For
  Panthera leo
  (African populations): A zero annual export quota is established for specimens of bones, bone pieces, bone products, claws, skeletons, skulls and teeth removed from the wild and traded for commercial purposes.

Annual export quotas for trade in bones, bone pieces, bone products, claws, skeletons, skulls and teeth for commercial purposes, derived from captive breeding operations in South Africa, will be established and communicated annually to the CITES Secretariat.)

Cats

Acinonyx jubatus (I) (Annual export quotas for live specimens and hunting trophies are granted as follows: Botswana: 5; Namibia: 150; Zimbabwe: 50. The trade in such specimens is subject to Article 4(1))

Cheetah

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

Asian Caracal

Catopuma temminckii (I)

Asian golden cat

Felis nigripes (I)

Black-footed cat

Felis silvestris (II)

Wild cat

Leopardus geoffroyi (I)

Geoffroy's cat

Leopardus jacobitus (I)

Andean mountain cat

Leopardus pardalis (I)

Ocelot

Leopardus tigrinus (I)

Oncilla

Leopardus wiedii (I)

Margay

Lynx lynx (II)

Eurasian lynx

Lynx pardinus (I)

Iberian lynx

Neofelis nebulosa (I)

Clouded leopard

Panthera leo persica (I)

Asiatic lion

Panthera onca (I)

Jaguar

Panthera pardus (I)

Leopard

Panthera tigris (I)

Tiger

Pardofelis marmorata (I)

Marbled cat

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

Bengal leopard cat

Prionailurus iriomotensis (II)

Iriomote cat

Prionailurus planiceps (I)

Flat-headed cat

Prionailurus rubiginosus (I) (Only the population of India; all other populations are included in Annex B)

Rusty-spotted cat

Puma concolor costaricensis (I)

Costa Rican cougar

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

Jaguarundi

Uncia uncia (I)

Snow leopard

Herpestidae

Mongooses

Herpestes edwardsi (III India/Pakistan)

Indian grey mongoose

Herpestes fuscus (III India)

Indian brown mongoose

Herpestes javanicus (III Pakistan)

Small Asian mongoose

Herpestes javanicus auropunctatus (III India)

Small Indian mongoose

Herpestes smithii (III India)

Ruddy mongoose

Herpestes urva (III India)

Crab-eating mongoose

Herpestes vitticollis (III India)

Stripe-necked mongoose

Hyaenidae

Aardwolf, hyenas

Hyaena hyaena (III Pakistan)

Striped hyena

Proteles cristata (III Botswana)

Aardwolf

Mephitidae

Skunks

Conepatus humboldtii (II)

Humboldt's hog-nosed skunk

Mustelidae

Badgers, martens, weasels etc.

Lutrinae

Otters

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

Otters

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

Cameroon clawless otter

Enhydra lutris nereis (I)

Southern sea otter

Lontra felina (I)

Marine otter

Lontra longicaudis (I)

Neotropical otter

Lontra provocax (I)

Southern river otter

Lutra lutra (I)

European otter

Lutra nippon (I)

Japanese otter

Pteronura brasiliensis (I)

Giant otter

Mustelinae

Grisons, martens, tayra, weasels

Eira barbara (III Honduras)

Tayra

Galictis vittata (III Costa Rica)

Greater grison

Martes flavigula (III India)

Yellow-throated marten

Martes foina intermedia (III India)

Stone marten

Martes gwatkinsii (III India)

Nilgiri marten

Mellivora capensis (III Botswana)

Honey badger

Mustela nigripes (I)

Black-footed ferret

Odobenidae

Walrus

Odobenus rosmarus (III Canada)

Walrus

Otariidae

Fur seals, sealions

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

Fur seals

Arctocephalus philippii (II)

Juan Fernández fur seal

Arctocephalus townsendi (I)

Guadalupe fur seal

Phocidae

Seals

Mirounga leonina (II)

Southern elephant seal

Monachus spp. (I)

Monk seals

Procyonidae

Coatis, olingos

Bassaricyon gabbii (III Costa Rica)

Olingo

Bassariscus sumichrasti (III Costa Rica)

Cacomistle

Nasua narica (III Honduras)

White-nosed coati

Nasua nasua solitaria (III Uruguay)

South Brazilian coati

Potos flavus (III Honduras)

Kinkajou

Ursidae

Bears

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

Bears

Ailuropoda melanoleuca (I)

Giant panda

Helarctos malayanus (I)

Sun bear

Melursus ursinus (I)

Sloth bear

Tremarctos ornatus (I)

Spectacled bear

Ursus arctos (I/II)

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

Brown bear

Ursus thibetanus (I)

Asian black bear

Viverridae

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

Arctictis binturong (III India)

Binturong

Civettictis civetta (III Botswana)

African civet

Cynogale bennettii (II)

Otter civet

Hemigalus derbyanus (II)

Banded palm civet

Paguma larvata (III India)

Masked palm civet

Paradoxurus hermaphroditus (III India)

Asian palm civet

Paradoxurus jerdoni (III India)

Jerdon's palm civet

Prionodon linsang (II)

Banded linsang

Prionodon pardicolor (I)

Spotted linsang

Viverra civettina (III India)

Malabar large-spotted civet

Viverra zibetha (III India)

Large Indian civet

Viverricula indica (III India)

Small Indian civet

CETACEA

Cetaceans (dolphins, porpoises, whales)

CETACEA spp. (I/II)
   (4)

Cetaceans

CHIROPTERA

Phyllostomidae

Broad-nosed bats

Platyrrhinus lineatus (III Uruguay)

White-lined bat

Pteropodidae

Fruit bats, flying foxes

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

Flying foxes

Acerodon jubatus (I)

Golden-capped fruit bat

Pteropus spp. (II) (Except for the species included in Annex A and except for Pteropus brunneus.)

Flying foxes

Pteropus insularis (I)

Ruck flying fox

Pteropus livingstonii (II)

Comoro flying fox

Pteropus loochoensis (I)

Japanese flying fox

Pteropus mariannus (I)

Marianas flying fox

Pteropus molossinus (I)

Caroline flying fox

Pteropus pelewensis (I)

Pelew flying fox

Pteropus pilosus (I)

Large Pelew flying fox

Pteropus rodricensis (II)

Rodrigues flying fox

Pteropus samoensis (I)

Samoan flying fox

Pteropus tonganus (I)

Pacific flying fox

Pteropus ualanus (I)

Kosrae flying fox

Pteropus voeltzkowi (II)

Pemba flying fox

Pteropus yapensis (I)

Yap flying fox

CINGULATA

Dasypodidae

Armadillos

Cabassous centralis (III Costa Rica)

Northern naked-tailed armadillo

Cabassous tatouay (III Uruguay)

Greater naked-tailed armadillo

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

Andean hairy armadillo

Priodontes maximus (I)

Giant armadillo

DASYUROMORPHIA

Dasyuridae

Dunnarts, marsupial mice, planigales

Sminthopsis longicaudata (I)

Long-tailed dunnart

Sminthopsis psammophila (I)

Sandhill dunnart

DIPROTODONTIA

Macropodidae

Kangaroos, wallabies

Dendrolagus inustus (II)

Grizzled tree-kangaroo

Dendrolagus ursinus (II)

Ursine tree-kangaroo

Lagorchestes hirsutus (I)

Rufous hare-wallaby

Lagostrophus fasciatus (I)

Banded hare-wallaby

Onychogalea fraenata (I)

Bridled nail-tail wallaby

Phalangeridae

Cuscus

Phalanger intercastellanus (II)

Eastern common cuscus

Phalanger mimicus (II)

Southern common cuscus

Phalanger orientalis (II)

Northern common cuscus

Spilocuscus kraemeri (II)

Admiralty Island cuscus

Spilocuscus maculatus (II)

Common spotted cuscus

Spilocuscus papuensis (II)

Waigeou cuscus

Potoroidae

Rat-kangaroos

Bettongia spp. (I)

Bettongs

Vombatidae

Wombats

Lasiorhinus krefftii (I)

Northern hairy-nosed wombat

LAGOMORPHA

Leporidae

Hares, rabbits

Caprolagus hispidus (I)

Hispid hare

Romerolagus diazi (I)

Volcano rabbit

MONOTREMATA

Tachyglossidae

Echidnas, spiny anteaters

Zaglossus spp. (II)

Long-beaked echidnas

PERAMELEMORPHIA

Peramelidae

Perameles bougainville (I)

Western barred bandicoot

Thylacomyidae

Macrotis lagotis (I)

Greater bilby

PERISSODACTYLA

Equidae

Horses, wild asses, zebras

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

African ass

Equus grevyi (I)

Grévy's zebra

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

Asiatic wild ass

Equus kiang (II)

Kiang

Equus przewalskii (I)

Przewalski's horse

Equus zebra hartmannae (II)

Hartmann's mountain zebra

Equus zebra zebra (II)

Cape mountain zebra

Rhinocerotidae

Rhinoceroses

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

Rhinoceroses

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

Southern white rhinoceros

Tapiridae

Tapirs

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

Tapirs

Tapirus terrestris (II)

South American tapir

PHOLIDOTA

Manidae

Pangolins

Manis spp. (II)

(Except for the species included in Annex A)

Pangolins

Manis crassicaudata (I)

Indian pangolin

Manis culionensis (I)

Philippine pangolin

Manis gigantea (I)

Giant pangolin

Manis javanica (I)

Sunda pangolin

Manis pentadactyla (I)

Chinese pangolin

Manis temminckii (I)

Ground pangolin

Manis tetradactyla (I)

Long-tailed pangolin

Manis tricuspis (I)

Tree pangolin

PILOSA

Bradypodidae

Three-toed sloths

Bradypus pygmaeus (II)

Pygmy tree-toed sloth

Bradypus variegatus (II)

Brown-throated sloth

Megalonychidae

Two-toed sloth

Choloepus hoffmanni (III Costa Rica)

Hoffmann's two-toed sloth

Myrmecophagidae

American anteaters

Myrmecophaga tridactyla (II)

Giant anteater

Tamandua mexicana (III Guatemala)

Northern tamandua

PRIMATES

Primates (apes and monkeys)

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

Primates

Atelidae

Howlers, spider monkeys

Alouatta coibensis (I)

Coiba Island howler

Alouatta palliata (I)

Mantled howler

Alouatta pigra (I)

Guatemalan black howler

Ateles geoffroyi frontatus (I)

Black-browed spider monkey

Ateles geoffroyi ornatus (I)

Red spider monkey

Brachyteles arachnoides (I)

Southern muriqui

Brachyteles hypoxanthus (I)

Northern muriqui

Oreonax flavicauda (I)

Yellow-tailed woolly monkey

Cebidae

Marmosets, tamarins, New-world monkeys

Callimico goeldii (I)

Goeldi's marmoset

Callithrix aurita (I)

Buffy-tufted marmoset

Callithrix flaviceps (I)

Buffy-headed marmoset

Leontopithecus spp. (I)

Lion tamarins

Saguinus bicolor (I)

Pied tamarin

Saguinus geoffroyi (I)

Geoffroy's tamarin

Saguinus leucopus (I)

White-footed tamarin

Saguinus martinsi (I)

Martins' bare-face tamarin

Saguinus oedipus (I)

Cottontop tamarin

Saimiri oerstedii (I)

Central American squirrel monkey

Cercopithecidae

Old-world monkeys

Cercocebus galeritus (I)

Tana River mangabey

Cercopithecus diana (I)

Diana monkey

Cercopithecus roloway (I)

Roloway monkey

Cercopithecus solatus (II)

Sun-tailed monkey

Colobus satanas (II)

Black colobus

Macaca silenus (I)

Lion-tailed macaque

Macaca sylvanus (I)

Barbary macaque

Mandrillus leucophaeus (I)

Drill

Mandrillus sphinx (I)

Mandrill

Nasalis larvatus (I)

Proboscis monkey

Piliocolobus foai (II)

Central African red colobus

Piliocolobus gordonorum (II)

Uzungwa red colobus

Piliocolobus kirkii (I)

Zanzibar red colobus

Piliocolobus pennantii (II)

Pennant's red colobus

Piliocolobus preussi (II)

Preuss's red colobus

Piliocolobus rufomitratus (I)

Tana River red colobus

Piliocolobus tephrosceles (II)

Ugandan red colobus

Piliocolobus tholloni (II)

Thollon's red colobus

Presbytis potenziani (I)

Mentawai langur

Pygathrix spp. (I)

Douc langurs

Rhinopithecus spp. (I)

Snub-nosed monkeys

Semnopithecus ajax (I)

Kashmir grey langur

Semnopithecus dussumieri (I)

Southern Plains grey langur

Semnopithecus entellus (I)

Northern Plains grey langur

Semnopithecus hector (I)

Tarai grey langur

Semnopithecus hypoleucos (I)

Black-footed grey langur

Semnopithecus priam (I)

Tufted grey langur

Semnopithecus schistaceus (I)

Nepal grey langur

Simias concolor (I)

Simakobou

Trachypithecus delacouri (II)

Delacour's langur

Trachypithecus francoisi (II)

François's langur

Trachypithecus geei (I)

Gee's golden langur

Trachypithecus hatinhensis (II)

Hatinh langur

Trachypithecus johnii (II)

Nilgiri langur

Trachypithecus laotum (II)

Laotian langur

Trachypithecus pileatus (I)

Capped langur

Trachypithecus poliocephalus (II)

White-headed langur

Trachypithecus shortridgei (I)

Shortridge's langur

Cheirogaleidae

Dwarf lemurs and mouse-lemurs

Cheirogaleidae spp. (I)

Dwarf lemurs and mouse lemurs

Daubentoniidae

Aye-aye

Daubentonia madagascariensis (I)

Aye-aye

Hominidae

Chimpanzees, gorillas, orang-utan

Gorilla beringei (I)

Eastern gorilla

Gorilla gorilla (I)

Western gorilla

Pan spp. (I)

Chimpanzee and bonobo

Pongo abelii (I)

Sumatran orangutan

Pongo pygmaeus (I)

Bornean orangutan

Hylobatidae

Gibbons

Hylobatidae spp. (I)

Gibbons

Indriidae

Indri, sifakas and woolly lemurs

Indriidae spp. (I)

Indri, sifakas and woolly lemurs

Lemuridae

Large lemurs

Lemuridae spp. (I)

Large lemurs

Lepilemuridae

Sportive lemurs

Lepilemuridae spp. (I)

Sportive lemurs

Lorisidae

Lorises

Nycticebus spp. (I)

Slow lorises

Pitheciidae

Uacaris, titis, sakis

Cacajao spp. (I)

Uacaris

Callicebus barbarabrownae (II)

Barbara Brown's Titi

Callicebus melanochir (II)

Coastal Black-handed Titi

Callicebus nigrifrons (II)

Black-fronted Titi

Callicebus personatus (II)

Atlantic titi

Chiropotes albinasus (I)

White-nosed saki

Tarsiidae

Tarsiers

Tarsius spp. (II)

Tarsiers

PROBOSCIDEA

Elephantidae

Elephants

Elephas maximus (I)

Asian elephant

Loxodonta africana (I) (Except for the populations of Botswana, Namibia, South Africa and Zimbabwe, which are included in Annex B)

Loxodonta africana (II)

(Only the populations of Botswana, Namibia, South Africa and Zimbabwe (5); all other populations are included in Annex A)

African elephant

RODENTIA

Chinchillidae

Chinchillas

Chinchilla spp. (I) (Specimens of the domesticated form are not subject to this Regulation)

Chinchillas

Cuniculidae

Pacas

Cuniculus paca (III Honduras)

Lowland paca

Dasyproctidae

Agoutis

Dasyprocta punctata (III Honduras)

Central American agouti

Erethizontidae

New-world porcupines

Sphiggurus mexicanus (III Honduras)

Mexican hairy dwarf porcupine

Sphiggurus spinosus (III Uruguay)

Paraguaian hairy dwarf porcupine

Hystricidae

Old-world porcupines

Hystrix cristata

Crested porcupine

Muridae

Mice, rats

Leporillus conditor (I)

Greater stick-nest rat

Pseudomys fieldi praeconis (I)

Shark Bay mouse

Xeromys myoides (I)

False water rat

Zyzomys pedunculatus (I)

Central Australian rock rat

Sciuridae

Ground squirrels, tree squirrels

Cynomys mexicanus (I)

Mexican prairie dog

Marmota caudata (III India)

Long-tailed marmot

Marmota himalayana (III India)

Himalayan marmot

Ratufa spp. (II)

Giant squirrels

Sciurus deppei (III Costa Rica)

Deppe's squirrel

SCANDENTIA

SCANDENTIA spp. (II)

Treeshrews

SIRENIA

Dugongidae

Dugong

Dugong dugon (I)

Dugong

Trichechidae

Manatees

Trichechus inunguis (I)

Trichechus manatus (I)

Trichechus senegalensis (I)

AVES

Birds

ANSERIFORMES

Anatidae

Ducks, geese, swans etc.

Anas aucklandica (I)

Auckland Islands teal

Anas bernieri (II)

Madagascar teal

Anas chlorotis (I)

Brown teal

Anas formosa (II)

Baikal teal

Anas laysanensis (I)

Laysan duck

Anas nesiotis (I)

Campbell Island teal

Anas querquedula

Garganey

Asarcornis scutulata (I)

White-winged duck

Aythya innotata

Madagascar pochard

Aythya nyroca

Ferruginous duck

Branta canadensis leucopareia (I)

Aleutian goose

Branta ruficollis (II)

Red-breasted goose

Branta sandvicensis (I)

Nene

Coscoroba coscoroba (II)

Coscoroba swan

Cygnus melancoryphus (II)

Black-necked swan

Dendrocygna arborea (II)

West Indian whistling-duck

Dendrocygna autumnalis (III Honduras)

Black-bellied whistling-duck

Dendrocygna bicolor (III Honduras)

Fulvous whistling-duck

Mergus octosetaceus

Brazilian merganser

Oxyura leucocephala (II)

White-headed duck

Rhodonessa caryophyllacea (possibly extinct) (I)

Pink-headed duck

Sarkidiornis melanotos (II)

Comb duck

Tadorna cristata

Crested shelduck

APODIFORMES

Trochilidae

Hummingbirds

Trochilidae spp. (II) (Except for the species included in Annex A)

Hummingbirds

Glaucis dohrnii (I)

Hook-billed hermit

CHARADRIIFORMES

Burhinidae

Thick-knees

Burhinus bistriatus (III Guatemala)

Double-striped thick-knee

Laridae

Gulls, terns

Larus relictus (I)

Relict gull

Scolopacidae

Curlews, greenshanks

Numenius borealis (I)

Eskimo curlew

Numenius tenuirostris (I)

Slender-billed curlew

Tringa guttifer (I)

Nordmann's greenshank

CICONIIFORMES

Ardeidae

Egrets, herons

Ardea alba

Great egret

Bubulcus ibis

Cattle egret

Egretta garzetta

Little egret

Balaenicipitidae

Shoebill, whale-headed stork

Balaeniceps rex (II)

Shoebill

Ciconiidae

Storks

Ciconia boyciana (I)

Oriental stork

Ciconia nigra (II)

Black stork

Ciconia stormi

Storm's stork

Jabiru mycteria (I)

Jabiru

Leptoptilos dubius

Greater adjutant stork

Mycteria cinerea (I)

Milky stork

Phoenicopteridae

Flamingos

Phoenicopteridae spp. (II) (Except for the species included in Annex A)

Flamingos

Phoenicopterus ruber (II)

Greater flamingo

Threskiornithidae

Ibises, spoonbills

Eudocimus ruber (II)

Scarlet ibis

Geronticus calvus (II)

Bald ibis

Geronticus eremita (I)

Waldrapp

Nipponia nippon (I)

Crested ibis

Platalea leucorodia (II)

Eurasian spoonbill

Pseudibis gigantea

Giant ibis

COLUMBIFORMES

Columbidae

Doves, pigeons

Caloenas nicobarica (I)

Nicobar pigeon

Claravis godefrida

Purple-winged ground-dove

Columba livia

Rock pigeon

Ducula mindorensis (I)

Mindoro zone-tailed pigeon

Gallicolumba luzonica (II)

Luzon bleeding-heart

Goura spp. (II)

Crowned-pigeons

Leptotila wellsi

Grenada dove

Nesoenas mayeri (III Mauritius)

Pink pigeon

Streptopelia turtur

European turtle-dove

CORACIIFORMES

Bucerotidae

Hornbills

Aceros spp. (II) (Except for the species included in Annex A)

Hornbills

Aceros nipalensis (I)

Rufous-necked hornbill

Anorrhinus spp. (II)

Hornbills

Anthracoceros spp. (II)

Hornbills

Berenicornis spp. (II)

Hornbills

Buceros spp. (II) (Except for the species included in Annex A)

Hornbills

Buceros bicornis (I)

Great hornbill

Penelopides spp. (II)

Hornbills

Rhinoplax vigil (I)

Helmeted hornbill

Rhyticeros spp. (II) (Except for the species included in Annex A)

Hornbills

Rhyticeros subruficollis (I)

Plain-pouched hornbill

CUCULIFORMES

Musophagidae

Turacos

Tauraco spp. (II) (Except for the species included in Annex A)

Turacos

Tauraco bannermani (II)

Bannerman's turaco

FALCONIFORMES

Diurnal birds of prey (eagles, falcons, hawks, vultures)

FALCONIFORMES spp. (II)

(Except for the species included in Annex A; except for one species of the family Cathartidae included in Annex C; the other species of that family are not included in the Annexes to this Regulation; and except for Caracara lutosa)

Diurnal birds of prey

Accipitridae

Hawks, eagles

Accipiter brevipes (II)

Levant sparrowhawk

Accipiter gentilis (II)

Northern goshawk

Accipiter nisus (II)

Eurasian sparrowhawk

Aegypius monachus (II)

Cinereous vulture

Aquila adalberti (I)

Adalbert's eagle

Aquila chrysaetos (II)

Golden eagle

Aquila clanga (II)

Greater spotted eagle

Aquila heliaca (I)

Imperial eagle

Aquila pomarina (II)

Lesser spotted eagle

Buteo buteo (II)

Common buzzard

Buteo lagopus (II)

Rough-legged buzzard

Buteo rufinus (II)

Long-legged buzzard

Chondrohierax uncinatus wilsonii (I)

Cuban hook-billed kite

Circaetus gallicus (II)

Short-toed snake-eagle

Circus aeruginosus (II)

Western marsh-harrier

Circus cyaneus (II)

Northern harrier

Circus macrourus (II)

Pallid harrier

Circus pygargus (II)

Montagu's harrier

Elanus caeruleus (II)

Black-winged kite

Eutriorchis astur (II)

Madagascar serpent-eagle

Gypaetus barbatus (II)

Lammergeier

Gyps fulvus (II)

Eurasian griffon

Haliaeetus spp. (I/II) (Haliaeetus albicilla is listed in Appendix I; the other species are listed in Appendix II)

Sea-eagles

Harpia harpyja (I)

Harpy eagle

Hieraaetus fasciatus (II)

Bonelli's eagle

Hieraaetus pennatus (II)

Booted eagle

Leucopternis occidentalis (II)

Grey-backed hawk

Milvus migrans

  (II) (Except for Milvus migrans lineatus which is included in Annex B)

Black kite

Milvus milvus (II)

Red kite

Neophron percnopterus (II)

Egyptian vulture

Pernis apivorus (II)

European honey-buzzard

Pithecophaga jefferyi (I)

Great Philippine eagle

Cathartidae

New world vultures

Gymnogyps californianus (I)

California condor

Sarcoramphus papa (III Honduras)

King vulture

Vultur gryphus (I)

Andean condor

Falconidae

Falcons

Falco araeus (I)

Seychelles kestrel

Falco biarmicus (II)

Lanner falcon

Falco cherrug (II)

Saker falcon

Falco columbarius (II)

Merlin

Falco eleonorae (II)

Eleonora's falcon

Falco jugger (I)

Laggar falcon

Falco naumanni (II)

Lesser kestrel

Falco newtoni (I) (Only the population of the Seychelles)

Newton's kestrel

Falco pelegrinoides (I)

Barbary falcon

Falco peregrinus (I)

Peregrine falcon

Falco punctatus (I)

Mauritius kestrel

Falco rusticolus (I)

Gyrfalcon

Falco subbuteo (II)

Eurasian hobby

Falco tinnunculus (II)

Common kestrel

Falco vespertinus (II)

Red-footed falcon

Pandionidae

Ospreys

Pandion haliaetus (II)

Osprey

GALLIFORMES

Cracidae

Crax alberti (III Colombia)

Blue-knobbed curassow

Crax blumenbachii (I)

Red-billed curassow

Crax daubentoni (III Colombia)

Yellow-knobbed curassow

Crax fasciolata

Bare-faced Curassow

Crax globulosa (III Colombia)

Wattled curassow

Crax rubra (III Colombia/Costa Rica/Guatemala/Honduras)

Great currasow

Mitu mitu (I)

Alagoas curassow

Oreophasis derbianus (I)

Horned guan

Ortalis vetula (III Guatemala/Honduras)

Plain chachalaca

Pauxi pauxi (III Colombia)

Helmeted curassow

Penelope albipennis (I)

White-winged guan

Penelope purpurascens (III Honduras)

Crested guan

Penelopina nigra (III Guatemala)

Highland guan

Pipile jacutinga (I)

Black-fronted piping guan

Pipile pipile (I)

Trinidad piping guan

Megapodiidae

Megapodes, scrubfowl

Macrocephalon maleo (I)

Maleo

Phasianidae

Grouse, guineafowl, partridges, pheasants, tragopans

Argusianus argus (II)

Great argus

Catreus wallichii (I)

Cheer pheasant

Colinus virginianus ridgwayi (I)

Masked bobwhite

Crossoptilon crossoptilon (I)

White eared-pheasant

Crossoptilon mantchuricum (I)

Brown eared-pheasant

Gallus sonneratii (II)

Grey junglefowl

Ithaginis cruentus (II)

Blood pheasant

Lophophorus impejanus (I)

Himalayan monal

Lophophorus lhuysii (I)

Chinese monal

Lophophorus sclateri (I)

Sclater's monal

Lophura edwardsi (I)

Edwards' pheasant

Lophura hatinhensis

Vietnamese fireback

Lophura leucomelanos (III Pakistan)

Kalij pheasant

Lophura swinhoii (I)

Swinhoe's pheasant

Meleagris ocellata (III Guatemala)

Ocellated turkey

Odontophorus strophium

Gorgeted wood-quail

Ophrysia superciliosa

Himalayan quail

Pavo cristatus (III Pakistan)

Indian peafowl

Pavo muticus (II)

Green peafowl

Polyplectron bicalcaratum (II)

Grey peacock-pheasant

Polyplectron germaini (II)

Germain's peacock-pheasant

Polyplectron malacense (II)

Malayan peacock-pheasant

Polyplectron napoleonis (I)

Palawan peacock-pheasant

Polyplectron schleiermacheri (II)

Bornean peacock-pheasant

Pucrasia macrolopha (III Pakistan)

Koklass pheasant

Rheinardia ocellata (I)

Crested argus

Syrmaticus ellioti (I)

Elliot's pheasant

Syrmaticus humiae (I)

Hume's pheasant

Syrmaticus mikado (I)

Mikado pheasant

Tetraogallus caspius (I)

Caspian snowcock

Tetraogallus tibetanus (I)

Tibetan snowcock

Tragopan blythii (I)

Blyth's tragopan

Tragopan caboti (I)

Cabot's tragopan

Tragopan melanocephalus (I)

Western tragopan

Tragopan satyra (III Nepal)

Satyr tragopan

Tympanuchus cupido attwateri (II)

Attwater's prairie-chicken

GRUIFORMES

Gruidae

Cranes

Gruidae spp. (II) (Except for the species included in Annex A)

Cranes

Grus americana (I)

Whooping crane

Grus canadensis (I/II) (The species is listed in Appendix II but subspecies Grus canadensis nesiotes and Grus canadensis pulla are listed in Appendix I)

Sandhill crane

Grus grus (II)

Common crane

Grus japonensis (I)

Red-crowned crane

Grus leucogeranus (I)

Siberian crane

Grus monacha (I)

Hooded crane

Grus nigricollis (I)

Black-necked crane

Grus vipio (I)

White-necked crane

Otididae

Bustards

Otididae spp. (II) (Except for the species included in Annex A)

Bustards

Ardeotis nigriceps (I)

Indian bustard

Chlamydotis macqueenii (I)

Macqueen's bustard

Chlamydotis undulata (I)

Houbara bustard

Houbaropsis bengalensis (I)

Bengal florican

Otis tarda (II)

Great bustard

Sypheotides indicus (II)

Lesser florican

Tetrax tetrax (II)

Little bustard

Rallidae

Coots, rails

Gallirallus sylvestris (I)

Lord Howe rail

Rhynochetidae

Kagu

Rhynochetos jubatus (I)

Kagu

PASSERIFORMES

Atrichornithidae

Scrub-birds

Atrichornis clamosus (I)

Noisy scrub-bird

Cotingidae

Cotingas

Cephalopterus ornatus (III Colombia)

Amazonian umbrella bird

Cephalopterus penduliger (III Colombia)

Long-wattled umbrella bird

Cotinga maculata (I)

Banded cotinga

Rupicola spp. (II)

Cocks-of-the-rock

Xipholena atropurpurea (I)

White-winged cotinga

Emberizidae

Cardinals, tanagers

Gubernatrix cristata (II)

Yellow cardinal

Paroaria capitata (II)

Yellow-billed cardinal

Paroaria coronata (II)

Red-crested cardinal

Tangara fastuosa (II)

Seven-coloured tanager

Estrildidae

Mannikins, waxbills

Amandava formosa (II)

Green avadavat

Lonchura fuscata

Timor sparrow

Lonchura oryzivora (II)

Java sparrow

Poephila cincta cincta (II)

Southern black-throated finch

Fringillidae

Finches

Carduelis cucullata (I)

Red siskin

Carduelis yarrellii (II)

Yellow-faced siskin

Hirundinidae

Martins

Pseudochelidon sirintarae (I)

White-eyed river-martin

Icteridae

New-world blackbirds

Xanthopsar flavus (I)

Saffron-cowled blackbird

Meliphagidae

Honey-eaters

Lichenostomus melanops cassidix (II)

Helmeted honeyeater

Muscicapidae

Old-world flycatchers, babblers, etc.

Acrocephalus rodericanus (III Mauritius)

Rodrigues brush-warbler

Cyornis ruckii (II)

Rueck's blue-flycatcher

Dasyornis broadbenti litoralis (possibly extinct) (I)

Western rufous bristlebird

Dasyornis longirostris (I)

Western bristlebird

Garrulax canorus (II)

Chinese Hwamei

Garrulax taewanus (II)

Taiwan Hwamei

Leiothrix argentauris (II)

Silver-eared mesia

Leiothrix lutea (II)

Red-billed leiothrix

Liocichla omeiensis (II)

Omei Shan liocichla

Picathartes gymnocephalus (I)

White-necked rockfowl

Picathartes oreas (I)

Grey-necked rockfowl

Terpsiphone bourbonnensis (III Mauritius)

Mascarene paradise-flycatcher

Paradisaeidae

Birds of paradise

Paradisaeidae spp. (II)

Birds of paradise

Pittidae

Pittas

Pitta guajana (II)

Banded pitta

Pitta gurneyi (I)

Gurney's pitta

Pitta kochi (I)

Whiskered pitta

Pitta nympha (II)

Fairy pitta

Pycnonotidae

Bulbuls

Pycnonotus zeylanicus (II)

Straw-headed bulbul

Sturnidae

Mynas

Gracula religiosa (II)

Hill myna

Leucopsar rothschildi (I)

Bali myna

Zosteropidae

White-eyes

Zosterops albogularis (I)

White-chested white-eye

PELECANIFORMES

Fregatidae

Frigatebirds

Fregata andrewsi (I)

Christmas frigatebird

Pelecanidae

Pelicans

Pelecanus crispus (I)

Dalmatian pelican

Sulidae

Boobies

Papasula abbotti (I)

Abbott's booby

PICIFORMES

Capitonidae

Barbets

Semnornis ramphastinus (III Colombia)

Toucan barbet

Picidae

Woodpeckers

Dryocopus javensis richardsi (I)

Tristram's woodpecker

Ramphastidae

Toucans

Baillonius bailloni (III Argentina)

Saffron toucanet

Pteroglossus aracari (II)

Black-necked aracari

Pteroglossus castanotis (III Argentina)

Chestnut-eared aracari

Pteroglossus viridis (II)

Green aracari

Ramphastos dicolorus (III Argentina)

Red-breasted toucan

Ramphastos sulfuratus (II)

Keel-billed toucan

Ramphastos toco (II)

Toco toucan

Ramphastos tucanus (II)

Red-billed toucan

Ramphastos vitellinus (II)

Channel-billed toucan

Selenidera maculirostris (III Argentina)

Spot-billed toucanet

PODICIPEDIFORMES

Podicipedidae

Grebes

Podilymbus gigas (I)

Atitlan Grebe

PROCELLARIIFORMES

Diomedeidae

Albatrosses

Phoebastria albatrus (I)

Short-tailed albatross

PSITTACIFORMES

Cockatoos, lories, macaws, parakeets, parrots etc.

PSITTACIFORMES spp. (II)

(Except for the species included in Annex A and excluding Agapornis roseicollis, Melopsittacus
  undulatus, Nymphicus
  hollandicus and Psittacula krameri, which are not included in the Annexes to this Regulation)

Parrots, etc.

Cacatuidae

Cockatoos

Cacatua goffiniana (I)

Tanimbar cockatoo

Cacatua haematuropygia (I)

Philippine cockatoo

Cacatua moluccensis (I)

Salmon-crested cockatoo

Cacatua sulphurea (I)

Yellow-crested cockatoo

Probosciger aterrimus (I)

Palm cockatoo

Loriidae

Lories, lorikeets

Eos histrio (I)

Red and blue lory

Vini spp. (I/II) (Vini
  ultramarina is listed in Appendix I, the other species are listed in Appendix II)

Blue lorikeets

Psittacidae

Amazons, macaws, parakeets, parrots

Amazona arausiaca (I)

Red-necked parrot

Amazona auropalliata (I)

Yellow-naped parrot

Amazona barbadensis (I)

Yellow-shouldered parrot

Amazona brasiliensis (I)

Red-tailed parrot

Amazona finschi (I)

Lilac-crowned parrot

Amazona guildingii (I)

St Vincent parrot

Amazona imperialis (I)

Imperial parrot

Amazona leucocephala (I)

Cuban parrot

Amazona oratrix (I)

Yellow-headed parrot

Amazona pretrei (I)

Red-spectacled parrot

Amazona rhodocorytha (I)

Red-browed parrot

Amazona tucumana (I)

Tucuman parrot

Amazona versicolor (I)

Saint Lucia parrot

Amazona vinacea (I)

Vinaceous parrot

Amazona viridigenalis (I)

Green-cheeked parrot

Amazona vittata (I)

Puerto Rican parrot

Anodorhynchus spp. (I)

Blue macaws

Ara ambiguus (I)

Great green macaw

Ara glaucogularis (I)

Blue-throated macaw

Ara macao (I)

Scarlet macaw

Ara militaris (I)

Military macaw

Ara rubrogenys (I)

Red-fronted macaw

Cyanopsitta spixii (I)

Spix's macaw

Cyanoramphus cookii (I)

Norfolk Island parakeet

Cyanoramphus forbesi (I)

Chatham Island yellow-fronted parakeet

Cyanoramphus novaezelandiae (I)

Red-fronted parakeet

Cyanoramphus saisseti (I)

Red-crowned parakeet

Cyclopsitta diophthalma coxeni (I)

Coxen's double-eyed fig parrot

Eunymphicus cornutus (I)

Horned parakeet

Guarouba guarouba (I)

Golden parakeet

Neophema chrysogaster (I)

Orange-bellied parrot

Ognorhynchus icterotis (I)

Yellow-eared parrot

Pezoporus occidentalis (possibly extinct) (I)

Night parrot

Pezoporus wallicus (I)

Ground parrot

Pionopsitta pileata (I)

Pileated parrot

Primolius couloni (I)

Blue-headed macaw

Primolius maracana (I)

Blue-winged macaw

Psephotus chrysopterygius (I)

Golden-shouldered parrot

Psephotus dissimilis (I)

Hooded parrot

Psephotus pulcherrimus (possibly extinct) (I)

Paradise parrot

Psittacula echo (I)

Mauritius parakeet

Psittacus erithacus (I)

African grey parrot

Pyrrhura cruentata (I)

Blue-throated parakeet

Rhynchopsitta spp. (I)

Thick-billed parrots

Strigops habroptilus (I)

Kakapo

RHEIFORMES

Rheidae

Rheas

Pterocnemia pennata (I) (Except Pterocnemia
  pennata
  pennata which is included in Annex B)

Lesser rhea

Pterocnemia pennata pennata (II)

Lesser rhea

Rhea americana (II)

Greater rhea

SPHENISCIFORMES

Spheniscidae

Penguins

Spheniscus demersus (II)

Jackass penguin

Spheniscus humboldti (I)

Humboldt penguin

STRIGIFORMES

Owls

STRIGIFORMES spp. (II) (Except for the species included in Annex A and except for Sceloglaux albifacies)

Owls

Strigidae

Owls

Aegolius funereus (II)

Boreal owl

Asio flammeus (II)

Short-eared owl

Asio otus (II)

Long-eared owl

Athene noctua (II)

Little owl

Bubo bubo

  (II) (Except for Bubo bubo bengalensis which is included in Annex B)

Eurasian eagle-owl

Glaucidium passerinum (II)

Eurasian pygmy-owl

Heteroglaux blewitti (I)

Forest owlet

Mimizuku gurneyi (I)

Lesser eagle-owl

Ninox natalis (I)

Christmas hawk-owl

Nyctea scandiaca (II)

Snowy owl

Otus ireneae (II)

Sokoke scops-owl

Otus scops (II)

Eurasian scops-owl

Strix aluco (II)

Tawny owl

Strix nebulosa (II)

Great grey owl

Strix uralensis

  (II) (Except for Strix uralensis davidi which is included in Annex B)

Ural owl

Surnia ulula (II)

Northern hawk owl

Tytonidae

Barn owls

Tyto alba (II)

Barn owl

Tyto soumagnei (I)

Soumagne's owl

STRUTHIONIFORMES

Struthionidae

Ostrich

Struthio camelus (I) (Only the populations of Algeria, Burkina Faso, Cameroon, the Central African Republic, Chad, Mali, Mauritania, Morocco, the Niger, Nigeria, Senegal and the Sudan; all other populations are not included in the Annexes to this Regulation)

Ostrich

TINAMIFORMES

Tinamidae

Tinamous

Tinamus solitarius (I)

Solitary tinamou

TROGONIFORMES

Trogonidae

Quetzals

Pharomachrus mocinno (I)

Resplendent quetzal

REPTILIA

Reptiles

CROCODYLIA

Alligators, caimans, crocodiles

CROCODYLIA spp. (II) (Except for the species included in Annex A)

Alligators, caimans, crocodiles

Alligatoridae

Alligators, caimans

Alligator sinensis (I)

Chinese alligator

Caiman crocodilus apaporiensis (I)

Rio Apaporis spectacled caiman

Caiman latirostris (I) (Except for the population of Argentina, which is included in Annex B)

Broad-nosed caiman

Melanosuchus niger (I) (Except for the population of Brazil, which is included in Annex B, and population of Ecuador, which is included in Annex B and is subject to a zero annual export quota until an annual export quota has been approved by the CITES Secretariat and the IUCN/SSC Crocodile Specialist Group)

Black caiman

Crocodylidae

Crocodiles

Crocodylus acutus (I) (Except for the population of the Integrated Management District of Mangroves of the Bay of Cispata, Tinajones, La Balsa and Surrounding Areas, Department of Córdoba, Colombia, and the population of Cuba, which are included in Annex B)

American crocodile

Crocodylus cataphractus (I)

African slender-snouted crocodile

Crocodylus intermedius (I)

Orinoco crocodile

Crocodylus mindorensis (I)

Philippine crocodile

Crocodylus moreletii (I) (Except for the population of Belize, which is included in Annex B with a zero quota for wild specimens traded for commercial purposes, and the population of Mexico, which is included in Annex B)

Morelet's crocodile

Crocodylus niloticus (I) (Except for the populations of Botswana, Egypt [subject to a zero quota for wild specimens traded for commercial purposes], Ethiopia, Kenya, Madagascar, Malawi, Mozambique, Namibia, South Africa, Uganda, the United Republic of Tanzania [subject to an annual export quota of no more than 1600 wild specimens including hunting trophies, in addition to ranched specimens], Zambia and Zimbabwe; these populations are included in Annex B)

Nile crocodile

Crocodylus palustris (I)

Mugger crocodile

Crocodylus porosus (I) (Except for the populations of Australia, Indonesia, Malaysia [wild harvest restricted to the State of Sarawak and a zero quota for wild specimens for the other States of Malaysia (Sabah and Peninsular Malaysia), with no change in the zero quota unless approved by the CITES Parties] and Papua New Guinea, which are included in Annex B)

Estuarine crocodile

Crocodylus rhombifer (I)

Cuban crocodile

Crocodylus siamensis (I)

Siamese crocodile

Osteolaemus tetraspis (I)

West African dwarf crocodile

Tomistoma schlegelii (I)

False gharial

Gavialidae

Gavial or gharial

Gavialis gangeticus (I)

Gharial

RHYNCHOCEPHALIA

Sphenodontidae

Tuataras

Sphenodon spp. (I)

Tuataras

SAURIA

Agamidae

Spiny-tailed lizards (Agamas, mastigures)

Saara spp. (II)

Uromastyx spp. (II)

Spiny-tailed lizards

Anguidae

Alligator lizards

Abronia spp. (II) (except for the species included in Annex A. A zero export quota has been established for wild specimens for Abronia aurita, A. gaiophantasma, A. montecristoi, A. salvadorensis and A. vasconcelosii)

Alligator lizards

Abronia anzuetoi (I)

Abronia campbelli (I)

Abronia fimbriata (I)

Abronia frosti (I)

Abronia meledona (I)

Chamaeleonidae

Chameleons

Archaius spp. (II)

Bradypodion spp. (II)

Dwarf chameleons

Brookesia spp. (II) (Except for the species included in Annex A)

Dwarf chameleons

Brookesia perarmata (I)

Dwarf spiny chameleon

Calumma spp. (II)

Madagascar chameleons

Chamaeleo spp. (II) (Except for the species included in Annex A)

Chameleons

Chamaeleo chamaeleon (II)

European chameleon

Furcifer spp. (II)

Madagascar chameleons

Kinyongia spp. (II)

Dwarf chameleons

Nadzikambia spp. (II)

Dwarf chameleons

Palleon spp. (II)

Rhampholeon spp. (II)

Pygmy chamaeleons

Rieppeleon spp. (II)

Pygmy chamaeleons

Trioceros spp. (II)

Cordylidae

Spiny-tailed lizards

Cordylus spp. (II)

Girdled lizards

Hemicordylus spp. (II)

Karusaurus spp. (II)

Namazonurus spp. (II)

Ninurta spp. (II)

Ouroborus spp. (II)

Pseudocordylus spp. (II)

Smaug spp. (II)

Gekkonidae

Geckos

Cnemaspis psychedelica (I)

Psychedelic rock gecko

Dactylocnemis spp. (III New Zealand)

Hoplodactylus spp. (III New Zealand)

Sticky-toed geckos

Lygodactylus williamsi (I)

Turquoise dwarf gecko

Mokopirirakau spp. (III New Zealand)

Nactus serpensinsula (II)

Serpent Island gecko

Naultinus spp. (II)

New Zealand tree geckos

Paroedura masobe (II)

Masobe gecko

Phelsuma spp. (II) (Except for the species included in Annex A)

Day geckos

Phelsuma guentheri (II)

Round Island day gecko

Rhoptropella spp. (II)

Toropuku spp. (III New Zealand)

Tukutuku spp. (III New Zealand)

Uroplatus spp. (II)

Flat-tailed geckos

Woodworthia spp. (III New Zealand)

Helodermatidae

Gila monster and beaded lizard

Heloderma spp. (II) (Except for the subspecies included in Annex A)

Gila monster and beaded lizard

Heloderma horridum charlesbogerti (I)

Guatemalan beaded lizard

Iguanidae

Iguanas

Amblyrhynchus cristatus (II)

Galapagos marine iguana

Brachylophus spp. (I)

Fiji iguanas

Conolophus spp. (II)

Galapagos land iguanas

Ctenosaura bakeri (II)

Utila Island spiny-tailed iguana

Ctenosaura melanosterna (II)

Rio Aguan Valley spiny-tailed iguana

Ctenosaura oedirhina (II)

Roatan spiny-tailed iguana

Ctenosaura palearis (II)

Guatemalan Spiny-tailed iguana

Cyclura spp. (I)

Ground iguanas

Iguana spp. (II)

Iguanas

Phrynosoma blainvillii (II)

Blaineville's horned lizard

Phrynosoma cerroense (II)

Cedros Island horned lizard

Phrynosoma coronatum (II)

Coast horned lizard

Phrynosoma wigginsi (II)

Gulf coast horned lizard

Sauromalus varius (I)

San Esteban Island chuckwalla

Lacertidae

Lizards

Gallotia simonyi (I)

Hierro giant lizard

Podarcis lilfordi (II)

Lilford's wall lizard

Podarcis pityusensis (II)

Ibiza wall lizard

Lanthanotidae

Earless Monitor Lizard

Lanthanotidae spp. (II) (A zero export quota has been established for wild specimens for commercial trade)

Scincidae

Skinks

Corucia zebrata (II)

Prehensile-tailed skink

Teiidae

Caiman lizards, tegu lizards

Crocodilurus amazonicus (II)

Dragon lizard

Dracaena spp. (II)

Caiman lizards

Salvator spp. (II)

Tupinambis spp.(II)

Tegus

Varanidae

Monitor lizards

Varanus spp. (II) (Except for the species included in Annex A)

Monitor lizards

Varanus bengalensis (I)

Indian monitor

Varanus flavescens (I)

Yellow monitor

Varanus griseus (I)

Desert monitor

Varanus komodoensis (I)

Komodo dragon

Varanus nebulosus (I)

Clouded monitor

Varanus olivaceus (II)

Gray's monitor

Xenosauridae

Chinese crocodile lizard

Shinisaurus crocodilurus (I)

Chinese crocodile lizard

SERPENTES

Snakes

Boidae

Boas

Boidae spp. (II) (Except for the species included in Annex A)

Boas

Acrantophis spp. (I)

Madagascar ground boas

Boa constrictor occidentalis (I)

Argentine boa constrictor

Epicrates inornatus (I)

Puerto Rican boa

Epicrates monensis (I)

Virgin Island tree boa

Epicrates subflavus (I)

Jamaican boa

Eryx jaculus (II)

Spotted sand boa

Sanzinia madagascariensis (I)

Madagascar tree boa

Bolyeriidae

Round Island boas

Bolyeriidae spp. (II) (Except for the species included in Annex A)

Round Island boas

Bolyeria multocarinata (I)

Round Island boa

Casarea dussumieri (I)

Round Island keel-scaled boa

Colubridae

Typical snakes, water snakes, whip snakes

Atretium schistosum (III India)

Olive keel-back

Cerberus rynchops (III India)

Dog-faced water snake

Clelia clelia (II)

Mussurana

Cyclagras gigas (II)

False cobra

Elachistodon westermanni (II)

Indian egg-eating snake

Ptyas mucosus (II)

Common rat snake

Xenochrophis piscator (III India)

Checkered keel-back

Xenochrophis schnurrenbergeri (III India)

Xenochrophis tytleri (III India)

Elapidae

Cobras, coral snakes

Hoplocephalus bungaroides (II)

Broad-headed snake

Micrurus diastema (III Honduras)

Atlantic coral snake

Micrurus nigrocinctus (III Honduras)

Central American coral snake

Micrurus ruatanus (III Honduras)

Naja atra (II)

Chinese spitting cobra

Naja kaouthia (II)

Monocellate cobra

Naja mandalayensis (II)

Burmese spitting cobra

Naja naja (II)

Indian cobra

Naja oxiana (II)

Central Asian cobra

Naja philippinensis (II)

North Philippine spitting cobra

Naja sagittifera (II)

Andaman cobra

Naja samarensis (II)

South-east Philippine spitting cobra

Naja siamensis (II)

Indochinese spitting cobra

Naja sputatrix (II)

South Indonesian spitting cobra

Naja sumatrana (II)

Golden spitting cobra

Ophiophagus hannah (II)

King cobra

Loxocemidae

Mexican dwarf boa

Loxocemidae spp. (II)

Mexican dwarf boa

Pythonidae

Pythons

Pythonidae spp. (II) (Except for the subspecies included in Annex A)

Pythons

Python molurus molurus (I)

Indian python

Tropidophiidae

Wood boas

Tropidophiidae spp. (II)

Wood boas

Viperidae

Vipers

Atheris desaixi (II)

Mt. Kenya bush viper

Bitis worthingtoni (II)

Kenya horned viper

Crotalus durissus (III Honduras)

Neotropical rattlesnake

Crotalus durissus unicolor

Aruba rattlesnake

Daboia russelii (III India)

Russell's viper

Trimeresurus mangshanensis (II)

Mangshan pit-viper

Vipera latifii

Latifi's viper

Vipera ursinii (I) (Only the population of Europe, except the area which formerly constituted the USSR; these latter populations are not included in the Annexes to this Regulation)

Orsini's viper

Vipera wagneri (II)

Wagner's viper

TESTUDINES

Carettochelyidae

Pig-nosed turtles

Carettochelys insculpta (II)

Pig-nosed turtle

Chelidae

Austro-American sideneck turtles

Chelodina mccordi (II) (A zero annual export quota has been established for specimens removed from the wild)

Roti snake-necked turtle

Pseudemydura umbrina (I)

Western swamp turtle

Cheloniidae

Sea turtles

Cheloniidae spp. (I)

Sea turtles

Chelydridae

Snapping turtles

Chelydra serpentina (III United States of America)

Macrochelys temminckii (III United States of America)

Alligator snapping turtle

Dermatemydidae

Central American river turtle

Dermatemys mawii (II)

Central American river turtle

Dermochelyidae

Leatherback turtle

Dermochelys coriacea (I)

Leatherback turtle

Emydidae

Box turtles, freshwater turtles

Chrysemys picta (Only live specimens)

Painted turtle

Clemmys guttata (II)

Spotted turtle

Emydoidea blandingii (II)

Blanding's turtle

Glyptemys insculpta (II)

Wood turtle

Glyptemys muhlenbergii (I)

Bog turtle

Graptemys spp. (III United States of America)

Map turtles

Malaclemys terrapin (II)

Diamondback terrapin

Terrapene spp. (II) (Except for the species included in Annex A)

Box turtles

Terrapene coahuila (I)

Aquatic box turtle

Geoemydidae

Batagur affinis (I)

Southern river terrapin

Batagur baska (I)

Batagur

Batagur borneoensis (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes)

Batagur dhongoka (II)

Batagur kachuga (II)

Batagur trivittata (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes)

Cuora spp. (II) (A zero annual export quota has been established for Cuora aurocapitata, C. bourreti, C. flavomarginata, C. galbinifrons, C. mccordi, C. mouhotii, C. pani, C. picturata, C. trifasciata, C. yunnanensis and C. zhoui for specimens removed from the wild and traded for commercial purposes)

Asian box turtles

Cyclemys spp. (II)

Asian leaf turtles

Geoclemys hamiltonii (I)

Black pond turtle

Geoemyda japonica (II)

Ryukyu black-breasted leaf turtle

Geoemyda spengleri (II)

Black-breasted leaf turtle

Hardella thurjii (II)

Crowned river turtle

Heosemys annandalii (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes)

Yellow-headed temple turtle

Heosemys depressa (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes)

Arakan forest turtle

Heosemys grandis (II)

Giant Asian turtle

Heosemys spinosa (II)

Spiny turtle

Leucocephalon yuwonoi (II)

Sulawesi forest turtle

Malayemys macrocephala (II)

Snail-eating turtle

Malayemys subtrijuga (II)

Ricefield turtle

Mauremys annamensis (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes)

Annam pond turtle

Mauremys iversoni (III China)

Fujian pond turtle

Mauremys japonica (II)

Japanese pond turtle

Mauremys megalocephala (III China)

Big-headed pond turtle

Mauremys mutica (II)

Yellow pond turtle

Mauremys nigricans (II)

Red-necked pond turtle

Mauremys pritchardi (III China)

Pritchard's pond turtle

Mauremys reevesii (III China)

Reeves's turtle

Mauremys sinensis (III China)

Chinese stripe-necked turtle

Melanochelys tricarinata (I)

Three-keeled land tortoise

Melanochelys trijuga (II)

Indian black turtle

Morenia ocellata (I)

Burmese swamp turtle

Morenia petersi (II)

Indian eyed turtle

Notochelys platynota (II)

Malayan flat-shelled turtle

Ocadia glyphistoma (III China)

Notch-mouthed stripe-necked turtle

Ocadia philippeni (III China)

Philippen's stripe-necked turtle

Orlitia borneensis (II) (A zero annual export quota has been established for specimens removed from the wild and traded for commercial purposes)

Malayan giant turtle

Pangshura spp. (II) (Except for the species included in Annex A)

Roofed turtles

Pangshura tecta (I)

Indian roofed turtle

Sacalia bealei (II)

Beal's eyed turtle

Sacalia pseudocellata (III China)

Chinese false-eyed turtle

Sacalia quadriocellata (II)

Four-eyed turtle

Siebenrockiella crassicollis (II)

Black marsh turtle

Siebenrockiella leytensis (II)

Philippine pond turtle

Vijayachelys silvatica (II)

Cochin forest cane turtle

Platysternidae

Big-headed turtles

Platysternidae spp. (I)

Big-headed turtles

Podocnemididae

Afro-American sideneck turtles

Erymnochelys madagascariensis (II)

Madagascar sideneck turtle

Peltocephalus dumerilianus (II)

Big-headed sideneck turtle

Podocnemis spp. (II)

Sideneck turtles

Testudinidae

Tortoises

Testudinidae spp. (II) (Except for the species included in Annex A; a zero annual export quota has been established for Centrochelys sulcata for specimens removed from the wild and traded for primarily commercial purposes)

Tortoises

Astrochelys radiata (I)

Radiated tortoise

Astrochelys yniphora (I)

Angonoka

Chelonoidis niger (I)

Galapagos giant tortoise

Geochelone platynota (I)

Burmese star tortoise

Gopherus flavomarginatus (I)

Bolson tortoise

Malacochersus tornieri (II)

Pancake tortoise

Psammobates geometricus (I)

Geometric tortoise

Pyxis arachnoides (I)

Madagascar spider tortoise

Pyxis planicauda (I)

Madagascar flat-shelled tortoise

Testudo graeca (II)

Spur-thighed tortoise

Testudo hermanni (II)

Hermann's tortoise

Testudo kleinmanni (I)

Egyptian tortoise

Testudo marginata (II)

Marginated tortoise

Trionychidae

Softshell turtles, terrapins

Amyda cartilaginea (II)

Southeast Asian soft-shelled turtle

Apalone ferox (III United States of America)

Apalone mutica (III United States of America)

Apalone spinifera (III United States of America) (except for the subspecies included in Annex A)

Apalone spinifera atra (I)

Cuatro Cienagas soft-shell turtle

Chitra spp. (II) (Except for the species included in Annex A)

Narrow-headed softshell turtles

Chitra chitra (I)

Asian narrow-headed softshell

Chitra vandijki (I)

Burmese narrow-headed softshell

Cyclanorbis elegans (II)

Nubian flapshelll turtle

Cyclanorbis senegalensis (II)

Senegal flapshell turtle

Cycloderma aubryi (II)

Aubrys flapshelll turtle

Cycloderma frenatum (II)

Zambezi flapshell turtle

Dogania subplana (II)

Malayan soft-shelled turtle

Lissemys ceylonensis (II)

Sri Lankan flapshell turtle

Lissemys punctata (II)

Indo-Gangetic flapshell turtle

Lissemys scutata (II)

Burmese flapshell turtle

Nilssonia formosa (II)

Burmese peacock softshell

Nilssonia gangetica (I)

Indian soft-shell turtle

Nilssonia hurum (I)

Peacock soft-shell turtle

Nilssonia leithii (II)

Leith's softshell turtle

Nilssonia nigricans (I)

Black soft-shell turtle

Palea steindachneri (II)

Wattle-necked softshell turtle

Pelochelys spp. (II)

Giant softshell turtles

Pelodiscus axenaria (II)

Hunan softshell turtle

Pelodiscus maackii (II)

Amur softshell turtle

Pelodiscus parviformis (II)

Chinese softshell turtle

Rafetus euphraticus (II)

Euphrates softshell turtle

Rafetus swinhoei (II)

Yangtze softshell turtle

Trionyx triunguis (II)

Nile softshell turtle

AMPHIBIA

Amphibians

ANURA

Frogs and toads

Aromobatidae

Cryptic forest frogs

Allobates femoralis (II)

Brilliant-thighed poison frog

Allobates hodli (II)

Allobates myersi (II)

Myers' poison frog

Allobates zaparo (II)

Sanguine poison frog

Anomaloglossus rufulus (II)

Chimanta poison frog

Bufonidae

Toads

Altiphrynoides spp. (I)

Malcolm's Ethiopian toad

Amietophrynus channingi (I)

Amietophrynus superciliaris (I)

Cameroon toad

Atelopus zeteki (I)

Golden frog

Incilius periglenes (I)

Golden toad

Nectophrynoides spp. (I)

African viviparous toads

Nimbaphrynoides spp. (I)

Nimba toads

Calyptocephalellidae

Calyptocephalella gayi (III Chile)

Chilean helmeted water toad

Conrauidae

Frogs

Conraua goliath

Goliath frog

Dendrobatidae

Poison frogs

Adelphobates spp. (II)

Ameerega spp. (II)

Andinobates spp. (II)

Dendrobates spp. (II)

Poison-arrow frogs

Epipedobates spp. (II)

Poison-arrow frogs

Excidobates spp. (II)

Hyloxalus azureiventris (II)

Sky-blue poison frog

Minyobates spp. (II)

Demonic poison frogs

Oophaga spp. (II)

Phyllobates spp. (II)

Poison-arrow frogs

Ranitomeya spp. (II)

Dicroglossidae

Frogs

Euphlyctis hexadactylus (II)

Six-fingered frog

Hoplobatrachus tigerinus (II)

Tiger frog

Hylidae

Tree frogs

Agalychnis spp. (II)

Mantellidae

Mantella frogs

Mantella spp. (II)

Mantella frogs

Microhylidae

Tomato frogs

Dyscophus antongilii (II)

Tomato frog

Dyscophus guineti (II)

False tomato frog

Dyscophus insularis (II)

Antsouhy tomato frog

Scaphiophryne boribory (II)

Green marbled burrowing frog

Scaphiophryne gottlebei (II)

Red rain frog

Scaphiophryne marmorata (II)

Green marbled burrowing frog

Scaphiophryne spinosa (II)

Green marbled burrowing frog

Myobatrachidae

Gastric brooding frogs

Rheobatrachus spp. (II) (Except for Rheobatrachus silus and Rheobatrachus vitellinus)

Gastric brooding frog

Telmatobiidae

Water frogs

Telmatobius culeus (I)

Titicaca water frog

CAUDATA

Ambystomatidae

Axolotls

Ambystoma dumerilii (II)

Lake Patzcuaro salamander

Ambystoma mexicanum (II)

Axolotl

Cryptobranchidae

Giant salamanders

Andrias spp. (I)

Giant salamanders

Cryptobranchus alleganiensis (III United States of America)

Hellbender

Hynobiidae

Asiatic salamanders

Hynobius amjiensis (III China)

Salamandridae

Salamanders and newts

Neurergus kaiseri (I)

Kaiser's spotted newt

Paramesotriton hongkongensis (II)

Hong Kong warty newt

Salamandra algira (III Algeria)

ELASMOBRANCHII

Sharks and rays

CARCHARHINIFORMES

Carcharhinidae

Requiem sharks

Carcharhinus falciformis (II) (This inclusion will enter into effect on 4 October 2017)

Silky shark

Carcharhinus longimanus (II)

Oceanic whitetip shark

Sphyrnidae

Hammerhead sharks

Sphyrna lewini (II)

Scalloped hammerhead shark

Sphyrna mokarran (II)

Great hammerhead shark

Sphyrna zygaena (II)

Smooth hammerhead shark

LAMNIFORMES

Alopiidae

Thresher sharks

Alopias spp. (II) (This inclusion will enter into effect on 4 October 2017)

Thresher sharks

Cetorhinidae

Basking sharks

Cetorhinus maximus (II)

Basking shark

Lamnidae

White sharks

Carcharodon carcharias (II)

Great white shark

Lamna nasus (II)

Porbeagle

MYLIOBATIFORMES

Myliobatidae

Manta spp. (II)

Manta rays

Mobula spp. (II) (This inclusion will enter into effect on 4 April 2017)

Devil rays

Potamotrygonidae

Paratrygon aiereba (III Colombia)

Potamotrygon spp. (III Brazil) (population of Brazil)

Potamotrygon constellata (III Colombia)

Potamotrygon magdalenae (III Colombia)

Potamotrygon motoro (III Colombia)

Potamotrygon orbignyi (III Colombia)

Potamotrygon schroederi (III Colombia)

Potamotrygon scobina (III Colombia)

Potamotrygon yepezi (III Colombia)

ORECTOLOBIFORMES

Rhincodontidae

Whale sharks

Rhincodon typus (II)

Whale shark

PRISTIFORMES

Pristidae

Sawfishes

Pristidae spp. (I)

Sawfishes

ACTINOPTERI

Fish

ACIPENSERIFORMES

ACIPENSERIFORMES spp. (II) (Except for the species included in Annex A)

Sturgeons and paddlefish

Acipenseridae

Sturgeons

Acipenser brevirostrum (I)

Shortnose sturgeon

Acipenser sturio (I)

Common sturgeon

ANGUILLIFORMES

Anguillidae

Freshwater eels

Anguilla anguilla (II)

European eel

CYPRINIFORMES

Catostomidae

Cui-ui

Chasmistes cujus (I)

Cui-ui

Cyprinidae

Blind carps, plaeesok

Caecobarbus geertsii (II)

African blind barb fish

Probarbus jullieni (I)

Ikan temoleh

OSTEOGLOSSIFORMES

Arapaimidae

Arapaima gigas (II)

Arapaima

Osteoglossidae

Arapaimas, bonytongues

Scleropages formosus (I)

Asian arowana

Scleropages inscriptus

PERCIFORMES

Labridae

Wrasses

Cheilinus undulatus (II)

Humphead wrasse

Pomacanthidae

Holacanthus clarionensis (II)

Clarion angelfish

Sciaenidae

Totoabas

Totoaba macdonaldi (I)

Totoaba

SILURIFORMES

Pangasiidae

Pangasid catfish

Pangasianodon gigas (I)

Giant catfish

Loricariidae

Hypancistrus zebra (III Brazil)

SYNGNATHIFORMES

Syngnathidae

Pipefishes, seahorses

Hippocampus spp. (II)

Seahorses

DIPNEUSTI

Lungfishes

CERATODONTIFORMES

Neoceratodontidae

Australian lungfishes

Neoceratodus forsteri (II)

Australian lungfish

COELACANTHI

Coelacanths

COELACANTHIFORMES

Latimeriidae

Coelacanths

Latimeria spp. (I)

Coelacanths

ECHINODERMATA (STARFISH, BRITTLE STARS, SEA URCHINS AND SEA CUCUMBERS)

HOLOTHUROIDEA

Sea cucumbers

ASPIDOCHIROTIDA

Stichopodidae

Sea cucumbers

Isostichopus fuscus (III Ecuador)

Brown sea cucumber

ARTHROPODA (ARTHROPODS)

ARACHNIDA

Spiders and scorpions

ARANEAE

Theraphosidae

Red-kneed tarantulas, tarantulas

Aphonopelma albiceps (II)

Aphonopelma pallidum (II)

Chihuahua rose-grey tarantula

Brachypelma spp. (II)

Central American tarantulas

SCORPIONES

Scorpionidae

Scorpions

Pandinus dictator (II)

Pandinus gambiensis (II)

Giant Senegalese scorpion

Pandinus imperator (II)

Emperor scorpion

Pandinus roeseli (II)

INSECTA

Insects

COLEOPTERA

Beetles

Lucanidae

Stag beetles

Colophon spp. (III South Africa)

Cape stag beetles

Scarabaeidae

Scarab beetles

Dynastes satanas (II)

Satanas beetle

LEPIDOPTERA

Butterflies

Nymphalidae

Agrias amydon boliviensis (III Bolivia)

Morpho godartii lachaumei (III Bolivia)

Prepona praeneste buckleyana (III Bolivia)

Papilionidae

Birdwing and swallowtail butterflies

Atrophaneura jophon (II)

Sri Lankan rose

Atrophaneura palu

Palu swallowtail butterfly

Atrophaneura pandiyana (II)

Malabar rose

Bhutanitis spp. (II)

Swallowtail butterflies

Graphium sandawanum

Apo swallowtail butterfly

Graphium stresemanni

Seram swallowtail

Ornithoptera spp. (II) (except for the species included in Annex A)

Birdwing butterflies

Ornithoptera alexandrae (I)

Queen Alexandra's birdwing

Papilio benguetanus

Papilio chikae (I)

Luzon peacock swallowtail

Papilio esperanza

Papilio homerus (I)

Homerus swallowtail

Papilio hospiton (II)

Corsican swallowtail

Papilio morondavana

Madagascan emperor swallowtail

Papilio neumoegeni

Parides ascanius

Fluminense swallowtail butterfly

Parides hahneli

Hahnel's amazonian swallowtail butterfly

Parnassius apollo (II)

Mountain apollo

Teinopalpus spp. (II)

Kaiser-I-Hind butterflies

Trogonoptera spp. (II)

Birdwing butterflies

Troides spp. (II)

Birdwing butterflies

ANNELIDA (SEGMENTED WORMS AND LEECHES)

HIRUDINOIDEA

Leeches

ARHYNCHOBDELLIDA

Hirudinidae

Leeches

Hirudo medicinalis (II)

Northern medicinal leech

Hirudo verbana (II)

Southern medicinal leech

MOLLUSCA (MOLLUSCS)

BIVALVIA

Bivalve molluscs (clams, mussels etc.)

MYTILOIDA

Mytilidae

Marine mussels

Lithophaga lithophaga (II)

European date mussel

UNIONOIDA

Unionidae

Freshwater mussels, pearly mussels

Conradilla caelata (I)

Birdwing pearly mussel

Cyprogenia aberti (II)

Western fanshell mussel

Dromus dromas (I)

Dromedary pearly mussel

Epioblasma curtisii (I)

Curtis' pearly mussel

Epioblasma florentina (I)

Yellow-blossom pearly mussel

Epioblasma sampsonii (I)

Wabash riffleshell

Epioblasma sulcata perobliqua (I)

White catspaw mussel

Epioblasma torulosa gubernaculum (I)

Green-blossom pearly mussel

Epioblasma torulosa rangiana (II)

Northern riffleshell

Epioblasma torulosa torulosa (I)

Turbercled-blossom pearly mussel

Epioblasma turgidula (I)

Turgid-blossom pearly mussel

Epioblasma walkeri (I)

Tan riffleshell

Fusconaia cuneolus (I)

Fine-rayed pigtoe pearly mussel

Fusconaia edgariana (I)

Shiny pigtoe pearly mussel

Lampsilis higginsii (I)

Higgins' eye pearly mussel

Lampsilis orbiculata orbiculata (I)

Pink mucket pearly mussel

Lampsilis satur (I)

Sandback pocketbook mussel

Lampsilis virescens (I)

Alabama lamp pearly mussel

Plethobasus cicatricosus (I)

White warty-back pearly mussel

Plethobasus cooperianus (I)

Orange-footed pimpleback mussel

Pleurobema clava (II)

Clubshell pearly mussel

Pleurobema plenum (I)

Rough pigtoe pearly mussel

Potamilus capax (I)

Fat pocketbook pearly mussel

Quadrula intermedia (I)

Cumberland monkey-face pearly mussel

Quadrula sparsa (I)

Appalachian monkey-face pearly mussel

Toxolasma cylindrella (I)

Pale lilliput pearly mussel

Unio nickliniana (I)

Nicklin's pearly mussel

Unio tampicoensis tecomatensis (I)

Tampico pearly mussel

Villosa trabalis (I)

Cumberland bean pearly mussel

VENEROIDA

Tridacnidae

Giant clams

Tridacnidae spp. (II)

Giant clams

CEPHALOPODA

NAUTILIDA

Nautilidae

Nautilus

Nautilidae spp. (II)

Nautilus

GASTROPODA

Slugs, snails and conches

MESOGASTROPODA

Strombidae

Conches

Strombus gigas (II)

Queen conch

STYLOMMATOPHORA

Achatinellidae

Agate snails, oahu tree snails

Achatinella spp. (I)

Little agate shells

Camaenidae

Green tree snail

Papustyla pulcherrima (II)

Manus green tree snail

Cepolidae

Polymita spp. (I)

Cuban landsnails

CNIDARIA (CORALS, FIRE CORALS, SEA ANEMONES)

ANTHOZOA

Corals, sea anemones

ANTIPATHARIA

ANTIPATHARIA spp. (II)

Black corals

GORGONACEAE

Coralliidae

Red and pink corals

Corallium elatius (III China)

Corallium japonicum (III China)

Corallium konjoi (III China)

Corallium secundum (III China)

HELIOPORACEA

Helioporidae

Blue coral

Helioporidae spp. (II) (Includes only the species Heliopora coerulea) (6)

Blue coral

SCLERACTINIA

SCLERACTINIA spp. (II) (6)

Stony corals

STOLONIFERA

Tubiporidae

Organpipe corals

Tubiporidae spp. (II) (6)

Organpipe corals

HYDROZOA

Sea ferns, fire corals, stinging medusas

MILLEPORINA

Milleporidae

Wello fire corals

Milleporidae spp. (II) (6)

Wello fire corals

STYLASTERINA

Stylasteridae

Lace corals

Stylasteridae spp. (II) (6)

Lace corals

FLORA

AGAVACEAE

Agaves

Agave parviflora (I)

Santa Cruz striped agave

Agave victoriae-reginae (II) #4

Queen Victoria agave

Nolina interrata (II)

Dehesa bear-grass

Yucca queretaroensis (II)

Queretaro yucca

AMARYLLIDACEAE

Amaryllids

Galanthus spp. (II) #4

Snowdrops

Sternbergia spp. (II) #4

Sternbergias

ANACARDIACEAE

Operculicarya decaryi (II)

Jabihy

Operculicarya hyphaenoides (II)

Jabihy

Operculicarya pachypus (II)

Tabily

APOCYNACEAE

Hoodia spp. (II) #9

Hoodia

Pachypodium spp. (II) (Except for the species included in Annex A) #4

Elephant trunks

Pachypodium ambongense (I)

Pachypodium baronii (I)

Pachypodium decaryi (I)

Rauvolfia serpentina (II) #2

Snake-root devil-pepper

ARALIACEAE

Aralias

Panax ginseng (II) (Only the population of the Russian Federation; no other population is included in the Annexes to this Regulation) #3

Asian ginseng

Panax quinquefolius (II) #3

American ginseng

ARAUCARIACEAE

Araucarias

Araucaria araucana (I)

Monkey-puzzle tree

ASPARAGACEAE

Beaucarnea spp. (II)

Ponytail palm

BERBERIDACEAE

Barberries

Podophyllum hexandrum (II) #2

Himalayan may-apple

BROMELIACEAE

Air plants, bromelias

Tillandsia harrisii (II) #4

Harris' tillandsia

Tillandsia kammii (II) #4

Kamm's tillandsia

Tillandsia xerographica (II) (7) #4

Xerographic tillandsia

CACTACEAE

Cacti

CACTACEAE spp. (II) (Except for the species included in Annex A and Pereskia spp., Pereskiopsis spp. and Quiabentia spp.) (8) #4

Cacti

Ariocarpus spp. (I)

Living rock cacti

Astrophytum asterias (I)

Star cactus

Aztekium ritteri (I)

Aztec cactus

Coryphantha werdermannii (I)

Jobali pincushion cactus

Discocactus spp. (I)

Discocacti

Echinocereus ferreirianus ssp. lindsayi (I)

Lindsay's hedgehog cacti

Echinocereus schmollii (I)

Lamb's-tail cactus

Escobaria minima (I)

Nelle's cactus

Escobaria sneedii (I)

Sneed's pincushion cactus

Mammillaria pectinifera (I) (includes ssp. solisioides)

Conchilinque

Melocactus conoideus (I)

Conelike Turk's-cap cactus

Melocactus deinacanthus (I)

Wonderfully-bristled Turk's cap cactus

Melocactus glaucescens (I)

Woolly waxy-stemmed Turk's-cap cactus

Melocactus paucispinus (I)

Few-spined Turk's-cap cactus

Obregonia denegrii (I)

Artichoke cactus

Pachycereus militaris (I)

Grenadier's cap

Pediocactus bradyi (I)

Brady's pincushion cactus

Pediocactus knowltonii (I)

Knowlton's cactus

Pediocactus paradinei (I)

Houserock valley cactus

Pediocactus peeblesianus (I)

Peebles's Navajo cactus

Pediocactus sileri (I)

Siler's pincushion cactus

Pelecyphora spp. (I)

Pine cane cactus

Sclerocactus blainei (I)

Blaine's fishhook cactus

Sclerocactus brevihamatus ssp. tobuschii (I)

Tobusch fishhook cactus

Sclerocactus brevispinus (I)

Pariette cactus

Sclerocactus cloverae (I)

New Mexico fishhook cactus

Sclerocactus erectocentrus (I)

Needle-spined pineapple cactus

Sclerocactus glaucus (I)

Colorado hookless cactus

Sclerocactus mariposensis (I)

Mariposa cactus

Sclerocactus mesae-verdae (I)

Mesa Verde cactus

Sclerocactus nyensis (I)

Tonopah fishook cactus

Sclerocactus papyracanthus (I)

Grama-grass cactus

Sclerocactus pubispinus (I)

Great-Basin fishhook cactus

Sclerocactus sileri (I)

Siler's fishhook cactus

Sclerocactus wetlandicus (I)

Unita Basin hookless cactus

Sclerocactus wrightiae (I)

Wright's fishhook cactus

Strombocactus spp. (I)

Peyote

Turbinicarpus spp. (I)

Turbinicarps

Uebelmannia spp. (I)

Uebelmann cacti

CARYOCARACEAE

Ajos

Caryocar costaricense (II) #4

Ajillo

COMPOSITAE (ASTERACEAE)

Asters, daisies, costus

Saussurea costus (I) (also known as S. lappa, Aucklandia lappa or A. costus)

Costus

CUCURBITACEAE

Zygosicyos pubescens (II) (also known as Xerosicyos pubescens)

Tobory

Zygosicyos tripartitus (II)

Betoboky

CUPRESSACEAE

Cypresses

Fitzroya cupressoides (I)

Alerce

Pilgerodendron uviferum (I)

Pilgerodendron

CYATHEACEAE

Tree ferns

Cyathea spp. (II) #4

Tree ferns

CYCADACEAE

Cycads

CYCADACEAE spp. (II) (Except for the species included in Annex A) #4

Cycads

Cycas beddomei (I)

Beddome's cycad

DICKSONIACEAE

Tree ferns

Cibotium barometz (II) #4

Dicksonia spp. (II) (Only the populations of the Americas; no other populations are included in the Annexes to this Regulation. This includes the synonyms Dicksonia berteriana, D. externa, D. sellowiana and D. stuebelii) #4

Tree ferns

DIDIEREACEAE

Didiereas

DIDIEREACEAE spp. (II) #4

Alluaudias, didiereas

DIOSCOREACEAE

Yams

Dioscorea deltoidea (II) #4

Elephant's foot

DROSERACEAE

Sundews

Dionaea muscipula (II) #4

Venus fly-trap

EBENACEAE

Ebonies

Diospyros spp. (II) (Only the populations of Madagascar; no other population is included in the Annexes to this Regulation) #5

EUPHORBIACEAE

Spurges

Euphorbia spp. (II) #4

(Succulent species only except for:

(1)

Euphorbia misera;

| (2) | artificially propagated specimens of cultivars of Euphorbia trigona; |
| --- | --- |

(2)

artificially propagated specimens of cultivars of Euphorbia trigona;

| (3) | artificially propagated specimens of Euphorbia lactea grafted on artificially propagated root stock of Euphorbia neriifolia, when they are:


  — | crested, or |
| --- | --- | --- |

(3)

artificially propagated specimens of Euphorbia lactea grafted on artificially propagated root stock of Euphorbia neriifolia, when they are:

—

crested, or

| — | fan-shaped, or |
| --- | --- |

—

fan-shaped, or

| — | colour mutants; |
| --- | --- |

—

colour mutants;

| (4) | artificially propagated specimens of cultivars of Euphorbia‘Milii’ when they are:


  — | readily recognisable as artificially propagated specimens, and |
| --- | --- | --- |

(4)

artificially propagated specimens of cultivars of Euphorbia‘Milii’ when they are:

—

readily recognisable as artificially propagated specimens, and

| — | introduced into or (re-)exported from the Union in shipments of 100 or more plants; |
| --- | --- |

—

introduced into or (re-)exported from the Union in shipments of 100 or more plants;

which are not subject to this Regulation, and

| (5) | the species included in Annex A) |
| --- | --- |

(5)

the species included in Annex A)

Euphorbias

Euphorbia ambovombensis (I)

Euphorbia capsaintemariensis (I)

Euphorbia cremersii (I) (Includes the forma viridifolia and the var. rakotozafyi)

Euphorbia cylindrifolia (I) (Includes the ssp. tuberifera)

Euphorbia decaryi (I) (Includes the vars. ampanihyensis, robinsonii and sprirosticha)

Euphorbia francoisii (I)

Euphorbia handiensis (II)

Euphorbia lambii (II)

Euphorbia moratii (I) (Includes the vars. antsingiensis, bemarahensis and multiflora)

Euphorbia parvicyathophora (I)

Euphorbia quartziticola (I)

Euphorbia stygiana (II)

Euphorbia tulearensis (I)

FAGACEAE

Beeches, oaks

Quercus mongolica (III Russian Federation) #5

Mongolian oak

FOUQUIERIACEAE

Ocotillos, boojums

Fouquieria columnaris (II) #4

Boojum tree

Fouquieria fasciculata (I)

Arbol del barril

Fouquieria purpusii (I)

GNETACEAE

Joint firs

Gnetum montanum (III Nepal) #1

JUGLANDACEAE

Walnuts, gavilan

Oreomunnea pterocarpa (II) #4

Gavilàn

LAURACEAE

Aniba rosaeodora (II) (also known as A. duckei) #12

Brazilian rosewood

LEGUMINOSAE (FABACEAE)

Legumes

Caesalpinia echinata (II) #10

Brazil wood

Dalbergia spp. (II) (Except for the species included in Annex A) #15

Dalbergia nigra (I)

Brazilian rosewood

Dipteryx panamensis (III Costa Rica/Nicaragua)

Almendro

Guibourtia demeusei (II) #15

Red bubinga

Guibourtia pellegriniana (II) #15

Rose bubinga, kevazingo

Guibourtia tessmannii (II) #15

Rose bubinga, kevazingo

Pericopsis elata (II) #5

Afrormosia

Platymiscium pleiostachyum (II) #4

Quira macawood

Pterocarpus erinaceus (II)

African rosewood, Senegalese rosewood, kosso

Pterocarpus santalinus (II) #7

Red sandalwood

Senna meridionalis (II)

Taraby

LILIACEAE

Lilies

Aloe spp. (II) (Except for the species included in Annex A and Aloe vera, also known as Aloe barbadensis, which is not included in the Annexes) #4

Aloes

Aloe albida (I)

Aloe albiflora (I)

Aloe alfredii (I)

Aloe bakeri (I)

Aloe bellatula (I)

Aloe calcairophila (I)

Aloe compressa (I) (Includes the vars. paucituberculata, rugosquamosa and schistophila)

Aloe delphinensis (I)

Aloe descoingsii (I)

Aloe fragilis (I)

Aloe haworthioides (I) (Includes the var. aurantiaca)

Aloe helenae (I)

Aloe laeta (I) (Includes the var. maniaensis)

Aloe parallelifolia (I)

Aloe parvula (I)

Aloe pillansii (I)

Aloe polyphylla (I)

Aloe rauhii (I)

Aloe suzannae (I)

Aloe versicolor (I)

Aloe vossii (I)

MAGNOLIACEAE

Magnolias

Magnolia liliifera var. obovata (III Nepal) #1

Safan

MALVACEAE

Adansonia grandidieri (II) #16

Grandidier's baobab

MELIACEAE

Mahoganies, cedars

Cedrela fissilis (III Bolivia, Brazil) #5

Cedrela lilloi (III Bolivia, Brazil) #5

Cedrela odorata (III Bolivia/Brazil. In addition, the following countries have listed their national populations: Colombia, Guatemala and Peru) #5

Spanish cedar

Swietenia humilis (II) #4

Honduras mahogany

Swietenia macrophylla (II) (Population of the Neotropics — includes Central and South America and the Caribbean) #6

Big-leaf mahogany

Swietenia mahagoni (II) #5

Caribbean mahogany

NEPENTHACEAE

Pitcher plants (old-world)

Nepenthes spp. (II) (Except for the species included in Annex A) #4

Tropical pitcher plants

Nepenthes khasiana (I)

Indian pitcher plant

Nepenthes rajah (I)

Giant tropical pitcher plant

OLEACEAE

Olives, ashes

Fraxinus mandshurica (III Russian Federation) #5

Manchurian ash

ORCHIDACEAE

Orchids

ORCHIDACEAE spp. (II) (Except for the species included in Annex A) (9) #4

Orchids

For all of the following Annex A orchid species, seedling or tissue cultures are not subject to this Regulation, when:

| — | they are obtained in vitro, in solid or liquid media, and |
| --- | --- |

—

they are obtained in vitro, in solid or liquid media, and

| — | meet the definition of ‘artificially propagated’ in accordance with Article 56 of Commission Regulation (EC) No 865/2006 (10), and |
| --- | --- |

—

meet the definition of ‘artificially propagated’ in accordance with Article 56 of Commission Regulation (EC) No 865/2006 (10), and

| — | when introduced into or (re-)exported from the Union are transported in sterile containers |
| --- | --- |

—

when introduced into or (re-)exported from the Union are transported in sterile containers

Aerangis ellisii (I)

Cephalanthera cucullata (II)

Hooded helleborine

Cypripedium calceolus (II)

Lady's slipper orchid

Dendrobium cruentum (I)

Goodyera macrophylla (II)

Madeiran lady's-tresses

Laelia jongheana (I)

Laelia lobata (I)

Liparis loeselii (II)

Fen orchid

Ophrys argolica (II)

Eyed bee orchid

Ophrys lunulata (II)

Crescent ophrys

Orchis scopulorum (II)

Madeiran orchid

Paphiopedilum spp. (I)

Asian slipper orchids

Peristeria elata (I)

Holy ghost orchid

Phragmipedium spp. (I)

South American slipper orchids

Renanthera imschootiana (I)

Red vanda

Spiranthes aestivalis (II)

Summer lady's-tresses

OROBANCHACEAE

Broomrapes

Cistanche deserticola (II) #4

Desert cistanche

PALMAE (ARECACEAE)

Palms

Beccariophoenix madagascariensis (II) #4

Manarano

Dypsis decaryi (II) #4

Triangle palm

Dypsis decipiens (I)

Butterfly palm

Lemurophoenix halleuxii (II)

Hovitra varimena

Lodoicea maldivica (III Seychelles) #13

Coco de Mer

Marojejya darianii (II)

Ravimbe

Ravenea louvelii (II)

Lakamarefo

Ravenea rivularis (II)

Gora

Satranala decussilvae (II)

Satranabe

Voanioala gerardii (II)

Voanioala

PAPAVERACEAE

Poppies

Meconopsis regia (III Nepal) #1

Himalayan poppy

PASSIFLORACEAE

Adenia firingalavensis (II)

Bottle liana

Adenia olaboensis (II)

Vahisasety

Adenia subsessilifolia (II)

Katakata

PEDALIACEAE

Pedalium family

Uncarina grandidieri (II)

Uncarina

Uncarina stellulifera (II)

Uncarina

PINACEAE

Pine family

Abies guatemalensis (I)

Guatemalan fir

Pinus koraiensis (III Russian Federation) #5

PODOCARPACEAE

Podocarps

Podocarpus neriifolius (III Nepal) #1

Yellow wood

Podocarpus parlatorei (I)

Parlatore's podocarp

PORTULACACEAE

Portulacas, purslanes

Anacampseros spp. (II) #4

Purslanes

Avonia spp. (II) #4

Lewisia serrata (II) #4

Saw-toothed lewisia

PRIMULACEAE

Primulas, cyclamens

Cyclamen spp. (II) (11) #4

Cyclamens

RANUNCULACEAE

Buttercups

Adonis vernalis (II) #2

Yellow adonis

Hydrastis canadensis (II) #8

Golden seal

ROSACEAE

Roses, cherries

Prunus africana (II) #4

African cherry

RUBIACEAE

Ayugue

Balmea stormiae (I)

Ayugue

SANTALACEAE

Osyris lanceolata (II) (Only the populations of Burundi, Ethiopia, Kenya, Rwanda, Uganda and the United Republic of Tanzania; no other population is included in the Annexes) #2

East African sandalwood

SARRACENIACEAE

Pitcher plants (new world)

Sarracenia spp. (II) (Except for the species included in Annex A) #4

Pitcher plants

Sarracenia oreophila (I)

Green pitcher plant

Sarracenia rubra ssp. alabamensis (I)

Alabama canebrake pitcher plant

Sarracenia rubra ssp. jonesii (I)

Mountain sweet pitcher plant

SCROPHULARIACEAE

Figworts

Picrorhiza kurrooa (II) (excludes Picrorhiza scrophulariiflora) #2

Indian gentian

STANGERIACEAE

Stangerias (cycads)

Bowenia spp. (II) #4

Cycads

Stangeria eriopus (I)

Stangeria

TAXACEAE

Yews

Taxus chinensis and infraspecific taxa of this species (II) #2

Chinese yew

Taxus cuspidata and infraspecific taxa of this species (II) (12) #2

Japanese yew

Taxus fuana and infraspecific taxa of this species (II) #2

Tibetan yew

Taxus sumatrana and infraspecific taxa of this species (II) #2

Sumatran yew

Taxus wallichiana (II) #2

Himalayan yew

THYMELAEACEAE (AQUILARIACEAE)

Agarwood, ramin

Aquilaria spp. (II) #14

Agarwood

Gonystylus spp. (II) #4

Ramin

Gyrinops spp. (II) #14

Agarwood

TROCHODENDRACEAE (TETRACENTRACEAE)

Tetracentrons

Tetracentron sinense (III Nepal) #1

VALERIANACEAE

Valerians

Nardostachys grandiflora (II) #2

VITACEAE

Cyphostemma elephantopus (II)

Lazampasika

Cyphostemma laza (II)

Laza

Cyphostemma montagnacii (II)

Lazambohitra

WELWITSCHIACEAE

Welwitschias

Welwitschia mirabilis (II) #4

Welwitschia

ZAMIACEAE

Cycads

ZAMIACEAE spp. (II) (Except for the species included in Annex A) #4

Cycads

Ceratozamia spp. (I)

Horncones

Encephalartos spp. (I)

Bread palms

Microcycas calocoma (I)

Palm corcho

Zamia restrepoi (I)

ZINGIBERACEAE

Ginger lilies

Hedychium philippinense (II) #4

Philippine garland-flower

Siphonochilus aethiopicus (II) (Populations of Mozambique, South Africa, Swaziland and Zimbabwe)

Natal ginger

ZYGOPHYLLACEAE

Lignum-vitae

Bulnesia sarmientoi (II) #11

Holy wood

Guaiacum spp. (II) #2

Lignum-vitae

| | Annex D | Common name |
| --- | --- | --- |
| FAUNA |
| CHORDATA (CHORDATES) |
| MAMMALIA | | Mammals |
| CARNIVORA | | |
| Canidae | | Dogs, foxes, wolves |
| | Vulpes vulpes griffithi (III India) §1 | Red fox |
| | Vulpes vulpes montana (III India) §1 | Red fox |
| | Vulpes vulpes pusilla (III India) §1 | Red fox |
| Mustelidae | | Badgers, martens, weasels etc. |
| | Mustela altaica (III India) §1 | Mountain weasel |
| | Mustela erminea ferghanae (III India) §1 | Stoat |
| | Mustela kathiah (III India) §1 | Yellow-bellied weasel |
| | Mustela sibirica (III India) §1 | Siberian weasel |
| DIPROTODONTIA | | |
| Macropodidae | | Kangaroos, wallabies |
| | Dendrolagus dorianus | Doria's tree-kangaroo |
| | Dendrolagus goodfellowi | Goodfellow's tree-kangaroo |
| | Dendrolagus matschiei | Huon tree-kangaroo |
| | Dendrolagus pulcherrimus | Golden-mantled tree-kangaroo |
| | Dendrolagus stellarum | Seri's tree-kangaroo |
| AVES | | Birds |
| ANSERIFORMES | | |
| Anatidae | | Ducks, geese, swans |
| | Anas melleri | Meller's duck |
| COLUMBIFORMES | | |
| Columbidae | | Doves, pigeons |
| | Columba oenops | Peruvian pigeon |
| | Didunculus strigirostris | Tooth-billed pigeon |
| | Ducula pickeringii | Grey imperial-pigeon |
| | Gallicolumba crinigera | Mindanao bleeding-heart |
| | Ptilinopus marchei | Flame-breasted fruit-dove |
| | Turacoena modesta | Black cuckoo-dove |
| GALLIFORMES | | |
| Cracidae | | Chachalacas, currassows, guans |
| | Crax alector | Black curassow |
| | Pauxi unicornis | Horned curassow |
| | Penelope pileata | White-crested guan |
| Megapodiidae | | Megapodes, scrubfowl |
| | Eulipoa wallacei | Moluccan scrubfowl |
| Phasianidae | | Grouse, guineafowl, partridges, pheasants, tragopans |
| | Arborophila gingica | White-necklaced partridge |
| | Lophura bulweri | Bulwer's pheasant |
| | Lophura diardi | Siamese fireback |
| | Lophura inornata | Salvadori's pheasant |
| | Syrmaticus reevesii §2 | Reeves's pheasant |
| PASSERIFORMES | | |
| Bombycillidae | | Waxwings |
| | Bombycilla japonica | Japanese waxwing |
| Corvidae | | Crows, magpies, jays |
| | Cyanocorax caeruleus | Azure jay |
| | Cyanocorax dickeyi | Tufted jay |
| Cotingidae | | Cotingas |
| | Procnias nudicollis | Bare-throated bellbird |
| Emberizidae | | Cardinals, seedeaters, tanagers |
| | Dacnis nigripes | Black-legged dacnis |
| | Sporophila falcirostris | Temminck's seedeater |
| | Sporophila frontalis | Buffy-throated seedeater |
| | Sporophila hypochroma | Grey-and-chestnut seedeater |
| | Sporophila palustris | Marsh seedeater |
| Estrildidae | | Mannikins, waxbills |
| | Amandava amandava | Red avadavat |
| | Cryptospiza reichenovii | Red-faced crimson-wing |
| | Erythrura coloria | Red-eared parrotfinch |
| | Erythrura viridifacies | Green-faced parrotfinch |
| | Estrilda quartinia (Frequently traded as Estrilda melanotis) | Yellow-bellied waxbill |
| | Hypargos niveoguttatus | Peters's twinspot |
| | Lonchura griseicapilla | Grey-headed silverbill |
| | Lonchura punctulata | Scaly-breasted munia |
| | Lonchura stygia | Black munia |
| Fringillidae | | Finches |
| | Carduelis ambigua | Black-headed greenfinch |
| | Carduelis atrata | Black siskin |
| | Kozlowia roborowskii | Tibetan rosefinch |
| | Pyrrhula erythaca | Grey-headed bullfinch |
| | Serinus canicollis | Cape canary |
| | Serinus citrinelloides hypostictus (Frequently traded as Serinus citrinelloides) | East African citril |
| Icteridae | | New-world blackbirds |
| | Sturnella militaris | Pampas meadowlark |
| Muscicapidae | | Old-world flycatchers, thrushes |
| | Cochoa azurea | Javan cochoa |
| | Cochoa purpurea | Purple cochoa |
| | Garrulax formosus | Red-winged laughingthrush |
| | Garrulax galbanus | Yellow-throated laughingthrush |
| | Garrulax milnei | Red-tailed laughing thrush |
| | Niltava davidi | Fujian niltava |
| | Stachyris whiteheadi | Chestnut-faced babbler |
| | Swynnertonia swynnertoni (Also referenced as Pogonicichla swynnertoni) | Swynnerton's robin |
| | Turdus dissimilis | Black-breasted thrush |
| Pittidae | | Pittas |
| | Pitta nipalensis | Blue-naped pitta |
| | Pitta steerii | Azure-breasted pitta |
| Sittidae | | Nuthatches |
| | Sitta magna | Giant nuthatch |
| | Sitta yunnanensis | Yunnan nuthatch |
| Sturnidae | | Mynas, starlings |
| | Lamprotornis regius | Golden-breasted starling |
| | Mino dumontii | Yellow-faced myna |
| | Sturnus erythropygius | White-headed starling |
| REPTILIA | | Reptiles |
| SAURIA | | |
| Agamidae | | |
| | Physignathus cocincinus | Chinese water dragon |
| Gekkonidae | | Geckos |
| | Rhacodactylus auriculatus | New Caledonia bumpy gecko |
| | Rhacodactylus ciliatus | Guichenot's giant gecko |
| | Rhacodactylus leachianus | New Caledonia giant gecko |
| | Teratoscincus microlepis | Small-scaled wonder gecko |
| | Teratoscincus scincus | Common wonder gecko |
| Gerrhosauridae | | Spiny-tailed lizards |
| | Zonosaurus karsteni | Karsten's girdled lizard |
| | Zonosaurus quadrilineatus | Four-lined girdled lizard |
| Iguanidae | | |
| | Ctenosaura quinquecarinata | Club-tail iguana |
| Scincidae | | Skinks |
| | Tribolonotus gracilis | Crocodile skink |
| | Tribolonotus novaeguineae | New Guinea helmet skink |
| SERPENTES | | |
| Colubridae | | Typical snakes, water snakes, whip snakes |
| | Elaphe carinata §1 | Taiwan stink snake |
| | Elaphe radiata §1 | Radiated rat snake |
| | Elaphe taeniura §1 | Taiwan beauty snake |
| | Enhydris bocourti §1 | Bocourt's water snake |
| | Homalopsis buccata §1 | Masked water snake |
| | Langaha nasuta | Northern leafnose snake |
| | Leioheterodon madagascariensis | Madagascar menarana snake |
| | Ptyas korros §1 | Indochinese rat snake |
| | Rhabdophis subminiatus §1 | Redneck keelback |
| Hydrophiidae | | Sea snakes |
| | Lapemis curtus (Includes Lapemis hardwickii) §1 | Shaw's sea snake |
| Viperidae | | Vipers |
| | Calloselasma rhodostoma §1 | Malayan pit viper |
| AMPHIBIA | | |
| ANURA | | Frogs and toads |
| Dicroglossidae | | Frogs |
| | Limnonectes macrodon | Fanged River Frog or Javan Giant Frog |
| Hylidae | | Tree frogs |
| | Phyllomedusa sauvagii | Waxy monkey tree frog |
| Leptodactylidae | | Neotropical frogs |
| | Leptodactylus laticeps | Red spotted burrow frog |
| Ranidae | | Frogs |
| | Pelophylax shqiperica | Albanian pool frog |
| CAUDATA | | |
| Hynobiidae | | Asiatic salamanders |
| | Ranodon sibiricus | Semirechensk salamander/Central Asian salamander/Siberian salamander |
| Plethodontidae | | Lungless salamanders |
| | Bolitoglossa dofleini | Giant palm salamander |
| Salamandridae | | Newts and salamanders |
| | Cynops ensicauda | Sword-tailed newt |
| | Echinotriton andersoni | Anderson's salamander |
| | Laotriton laoensis | Paddletail newt |
| | Liangshantriton taliangensis | |
| | Paramesotriton spp. (Except for the species included in Annex B) | Warty newt |
| | Tylototriton spp. | Crocodile newts |
| ACTINOPTERYGII | | Fish |
| PERCIFORMES | | |
| Apogonidae | | |
| | Pterapogon kauderni | Banggai cardinalfish |
| ARTHROPODA (ARTHROPODS) |
| INSECTA | | Insects |
| LEPIDOPTERA | | Butterflies |
| Papilionidae | | Birdwing and swallow-tail butterflies |
| | Baronia brevicornis | Short-horned baronia |
| | Papilio grosesmithi | |
| | Papilio maraho | Broad-tailed swallowtail |
| MOLLUSCA (MOLLUSCS) |
| GASTROPODA | | |
| Haliotidae | | |
| | Haliotis midae | Midas ear abalone |
| FLORA |
| AGAVACEAE | | Agaves |
| | Calibanus hookeri | |
| | Dasylirion longissimum | Beargrass |
| ARACEAE | | Arums |
| | Arisaema dracontium | Green dragon |
| | Arisaema erubescens | |
| | Arisaema galeatum | |
| | Arisaema nepenthoides | |
| | Arisaema sikokianum | |
| | Arisaema thunbergii var. urashima | |
| | Arisaema tortuosum | |
| | Biarum davisii ssp. marmarisense | |
| | Biarum ditschianum | |
| COMPOSITAE (ASTERACEAE) | | Asters, daisies, costus |
| | Arnica montana §3 | Mountain tobacco |
| | Othonna cacalioides | |
| | Othonna clavifolia | |
| | Othonna hallii | |
| | Othonna herrei | |
| | Othonna lepidocaulis | |
| | Othonna retrorsa | |
| ERICACEAE | | Heathers, rhododendrons |
| | Arctostaphylos uva-ursi §3 | Bearberry |
| GENTIANACEAE | | Gentians |
| | Gentiana lutea §3 | Great yellow gentian |
| LILIACEAE | | Wakerobins |
| | Trillium pusillum | Dwarf wakerobin |
| | Trillium rugelii | Ill-scented wakerobin |
| | Trillium sessile | Sessile-flowered wakerobin wood-lily |
| LYCOPODIACEAE | | Clubmosses |
| | Lycopodium clavatum §3 | Stagshorn clubmoss |
| MELIACEAE | | Mahoganies, cedars |
| | Cedrela montana §4 | |
| | Cedrela oaxacensis §4 | |
| | Cedrela salvadorensis §4 | |
| | Cedrela tonduzii §4 | |
| MENYANTHACEAE | | Bogbeans |
| | Menyanthes trifoliata §3 | Bogbean |
| PARMELIACEAE | | Parmelioid lichens |
| | Cetraria islandica §3 | Icelandic moss |
| PASSIFLORACEAE | | Desert roses |
| | Adenia glauca | Desert rose |
| | Adenia pechuelli | Desert rose |
| PEDALIACEAE | | Sesame, devil's claw |
| | Harpagophytum spp. §3 | Devil's claw |
| PORTULACACEAE | | Portulas, purslanes |
| | Ceraria carrissoana | |
| | Ceraria fruticulosa | |
| SELAGINELLACEAE | | Clubmosses, spikemosses |
| | Selaginella lepidophylla | Rose of Jericho |

Annex D

Common name

FAUNA

CHORDATA (CHORDATES)

MAMMALIA

Mammals

CARNIVORA

Canidae

Dogs, foxes, wolves

Vulpes vulpes griffithi (III India) §1

Red fox

Vulpes vulpes montana (III India) §1

Red fox

Vulpes vulpes pusilla (III India) §1

Red fox

Mustelidae

Badgers, martens, weasels etc.

Mustela altaica (III India) §1

Mountain weasel

Mustela erminea ferghanae (III India) §1

Stoat

Mustela kathiah (III India) §1

Yellow-bellied weasel

Mustela sibirica (III India) §1

Siberian weasel

DIPROTODONTIA

Macropodidae

Kangaroos, wallabies

Dendrolagus dorianus

Doria's tree-kangaroo

Dendrolagus goodfellowi

Goodfellow's tree-kangaroo

Dendrolagus matschiei

Huon tree-kangaroo

Dendrolagus pulcherrimus

Golden-mantled tree-kangaroo

Dendrolagus stellarum

Seri's tree-kangaroo

AVES

Birds

ANSERIFORMES

Anatidae

Ducks, geese, swans

Anas melleri

Meller's duck

COLUMBIFORMES

Columbidae

Doves, pigeons

Columba oenops

Peruvian pigeon

Didunculus strigirostris

Tooth-billed pigeon

Ducula pickeringii

Grey imperial-pigeon

Gallicolumba crinigera

Mindanao bleeding-heart

Ptilinopus marchei

Flame-breasted fruit-dove

Turacoena modesta

Black cuckoo-dove

GALLIFORMES

Cracidae

Chachalacas, currassows, guans

Crax alector

Black curassow

Pauxi unicornis

Horned curassow

Penelope pileata

White-crested guan

Megapodiidae

Megapodes, scrubfowl

Eulipoa wallacei

Moluccan scrubfowl

Phasianidae

Grouse, guineafowl, partridges, pheasants, tragopans

Arborophila gingica

White-necklaced partridge

Lophura bulweri

Bulwer's pheasant

Lophura diardi

Siamese fireback

Lophura inornata

Salvadori's pheasant

Syrmaticus reevesii §2

Reeves's pheasant

PASSERIFORMES

Bombycillidae

Waxwings

Bombycilla japonica

Japanese waxwing

Corvidae

Crows, magpies, jays

Cyanocorax caeruleus

Azure jay

Cyanocorax dickeyi

Tufted jay

Cotingidae

Cotingas

Procnias nudicollis

Bare-throated bellbird

Emberizidae

Cardinals, seedeaters, tanagers

Dacnis nigripes

Black-legged dacnis

Sporophila falcirostris

Temminck's seedeater

Sporophila frontalis

Buffy-throated seedeater

Sporophila hypochroma

Grey-and-chestnut seedeater

Sporophila palustris

Marsh seedeater

Estrildidae

Mannikins, waxbills

Amandava amandava

Red avadavat

Cryptospiza reichenovii

Red-faced crimson-wing

Erythrura coloria

Red-eared parrotfinch

Erythrura viridifacies

Green-faced parrotfinch

Estrilda quartinia (Frequently traded as Estrilda melanotis)

Yellow-bellied waxbill

Hypargos niveoguttatus

Peters's twinspot

Lonchura griseicapilla

Grey-headed silverbill

Lonchura punctulata

Scaly-breasted munia

Lonchura stygia

Black munia

Fringillidae

Finches

Carduelis ambigua

Black-headed greenfinch

Carduelis atrata

Black siskin

Kozlowia roborowskii

Tibetan rosefinch

Pyrrhula erythaca

Grey-headed bullfinch

Serinus canicollis

Cape canary

Serinus citrinelloides hypostictus (Frequently traded as Serinus citrinelloides)

East African citril

Icteridae

New-world blackbirds

Sturnella militaris

Pampas meadowlark

Muscicapidae

Old-world flycatchers, thrushes

Cochoa azurea

Javan cochoa

Cochoa purpurea

Purple cochoa

Garrulax formosus

Red-winged laughingthrush

Garrulax galbanus

Yellow-throated laughingthrush

Garrulax milnei

Red-tailed laughing thrush

Niltava davidi

Fujian niltava

Stachyris whiteheadi

Chestnut-faced babbler

Swynnertonia swynnertoni (Also referenced as Pogonicichla swynnertoni)

Swynnerton's robin

Turdus dissimilis

Black-breasted thrush

Pittidae

Pittas

Pitta nipalensis

Blue-naped pitta

Pitta steerii

Azure-breasted pitta

Sittidae

Nuthatches

Sitta magna

Giant nuthatch

Sitta yunnanensis

Yunnan nuthatch

Sturnidae

Mynas, starlings

Lamprotornis regius

Golden-breasted starling

Mino dumontii

Yellow-faced myna

Sturnus erythropygius

White-headed starling

REPTILIA

Reptiles

SAURIA

Agamidae

Physignathus cocincinus

Chinese water dragon

Gekkonidae

Geckos

Rhacodactylus auriculatus

New Caledonia bumpy gecko

Rhacodactylus ciliatus

Guichenot's giant gecko

Rhacodactylus leachianus

New Caledonia giant gecko

Teratoscincus microlepis

Small-scaled wonder gecko

Teratoscincus scincus

Common wonder gecko

Gerrhosauridae

Spiny-tailed lizards

Zonosaurus karsteni

Karsten's girdled lizard

Zonosaurus quadrilineatus

Four-lined girdled lizard

Iguanidae

Ctenosaura quinquecarinata

Club-tail iguana

Scincidae

Skinks

Tribolonotus gracilis

Crocodile skink

Tribolonotus novaeguineae

New Guinea helmet skink

SERPENTES

Colubridae

Typical snakes, water snakes, whip snakes

Elaphe carinata §1

Taiwan stink snake

Elaphe radiata §1

Radiated rat snake

Elaphe taeniura §1

Taiwan beauty snake

Enhydris bocourti §1

Bocourt's water snake

Homalopsis buccata §1

Masked water snake

Langaha nasuta

Northern leafnose snake

Leioheterodon madagascariensis

Madagascar menarana snake

Ptyas korros §1

Indochinese rat snake

Rhabdophis subminiatus §1

Redneck keelback

Hydrophiidae

Sea snakes

Lapemis curtus (Includes Lapemis hardwickii) §1

Shaw's sea snake

Viperidae

Vipers

Calloselasma rhodostoma §1

Malayan pit viper

AMPHIBIA

ANURA

Frogs and toads

Dicroglossidae

Frogs

Limnonectes macrodon

Fanged River Frog or Javan Giant Frog

Hylidae

Tree frogs

Phyllomedusa sauvagii

Waxy monkey tree frog

Leptodactylidae

Neotropical frogs

Leptodactylus laticeps

Red spotted burrow frog

Ranidae

Frogs

Pelophylax shqiperica

Albanian pool frog

CAUDATA

Hynobiidae

Asiatic salamanders

Ranodon sibiricus

Semirechensk salamander/Central Asian salamander/Siberian salamander

Plethodontidae

Lungless salamanders

Bolitoglossa dofleini

Giant palm salamander

Salamandridae

Newts and salamanders

Cynops ensicauda

Sword-tailed newt

Echinotriton andersoni

Anderson's salamander

Laotriton laoensis

Paddletail newt

Liangshantriton taliangensis

Paramesotriton spp. (Except for the species included in Annex B)

Warty newt

Tylototriton spp.

Crocodile newts

ACTINOPTERYGII

Fish

PERCIFORMES

Apogonidae

Pterapogon kauderni

Banggai cardinalfish

ARTHROPODA (ARTHROPODS)

INSECTA

Insects

LEPIDOPTERA

Butterflies

Papilionidae

Birdwing and swallow-tail butterflies

Baronia brevicornis

Short-horned baronia

Papilio grosesmithi

Papilio maraho

Broad-tailed swallowtail

MOLLUSCA (MOLLUSCS)

GASTROPODA

Haliotidae

Haliotis midae

Midas ear abalone

FLORA

AGAVACEAE

Agaves

Calibanus hookeri

Dasylirion longissimum

Beargrass

ARACEAE

Arums

Arisaema dracontium

Green dragon

Arisaema erubescens

Arisaema galeatum

Arisaema nepenthoides

Arisaema sikokianum

Arisaema thunbergii var. urashima

Arisaema tortuosum

Biarum davisii ssp. marmarisense

Biarum ditschianum

COMPOSITAE (ASTERACEAE)

Asters, daisies, costus

Arnica montana §3

Mountain tobacco

Othonna cacalioides

Othonna clavifolia

Othonna hallii

Othonna herrei

Othonna lepidocaulis

Othonna retrorsa

ERICACEAE

Heathers, rhododendrons

Arctostaphylos uva-ursi §3

Bearberry

GENTIANACEAE

Gentians

Gentiana lutea §3

Great yellow gentian

LILIACEAE

Wakerobins

Trillium pusillum

Dwarf wakerobin

Trillium rugelii

Ill-scented wakerobin

Trillium sessile

Sessile-flowered wakerobin wood-lily

LYCOPODIACEAE

Clubmosses

Lycopodium clavatum §3

Stagshorn clubmoss

MELIACEAE

Mahoganies, cedars

Cedrela montana §4

Cedrela oaxacensis §4

Cedrela salvadorensis §4

Cedrela tonduzii §4

MENYANTHACEAE

Bogbeans

Menyanthes trifoliata §3

Bogbean

PARMELIACEAE

Parmelioid lichens

Cetraria islandica §3

Icelandic moss

PASSIFLORACEAE

Desert roses

Adenia glauca

Desert rose

Adenia pechuelli

Desert rose

PEDALIACEAE

Sesame, devil's claw

Harpagophytum spp. §3

Devil's claw

PORTULACACEAE

Portulas, purslanes

Ceraria carrissoana

Ceraria fruticulosa

SELAGINELLACEAE

Clubmosses, spikemosses

Selaginella lepidophylla

Rose of Jericho

---

(1)  Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds (OJ L 20, 26.1.2010, p. 7).

(2)  Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora (OJ L 206, 22.7.1992, p. 7).

(3)  For the exclusive purpose of allowing international trade in fibre from vicuñas (Vicugna vicugna) and their derivative products, only if the fibre comes from the shearing of live vicuñas. Trade in products derived from the fibre may only take place in accordance with the following provisions:

| a) | Any person or entity processing vicuña fibre to manufacture cloth and garments must request authorization from the relevant authorities of the country of origin [Countries of origin: The countries where the species occurs, that is, Argentina, Bolivia, Chile, Ecuador and Peru] to use the ‘vicuña country of origin’ wording, mark or logo adopted by the range States of the species that are signatories to the Convention for the Conservation and Management of the Vicuña. |
| --- | --- |

a)

Any person or entity processing vicuña fibre to manufacture cloth and garments must request authorization from the relevant authorities of the country of origin [Countries of origin: The countries where the species occurs, that is, Argentina, Bolivia, Chile, Ecuador and Peru] to use the ‘vicuña country of origin’ wording, mark or logo adopted by the range States of the species that are signatories to the Convention for the Conservation and Management of the Vicuña.

| b) | Marketed cloth or garments must be marked or identified in accordance with the following provisions:


  i) | For international trade in cloth made from live-sheared vicuña fibre, whether the cloth was produced within or outside of the range States of the species, the wording, mark or logo must be used so that the country of origin can be identified. The VICUÑA [COUNTRY OF ORIGIN] wording, mark or logo has the format as detailed below:


  This wording, mark or logo must appear on the reverse side of the cloth. In addition, the selvages of the cloth must bear the words VICUÑA [COUNTRY OF ORIGIN]. |
| --- | --- | --- |

b)

Marketed cloth or garments must be marked or identified in accordance with the following provisions:

i)

For international trade in cloth made from live-sheared vicuña fibre, whether the cloth was produced within or outside of the range States of the species, the wording, mark or logo must be used so that the country of origin can be identified. The VICUÑA [COUNTRY OF ORIGIN] wording, mark or logo has the format as detailed below:

Image 1

This wording, mark or logo must appear on the reverse side of the cloth. In addition, the selvages of the cloth must bear the words VICUÑA [COUNTRY OF ORIGIN].

| ii) | For international trade in garments made from live-sheared vicuña fibre, whether the garments were produced within or outside of the range States of the species, the wording, mark or logo indicated in paragraph b) i) must be used. This wording, mark or logo must appear on a label in the garment itself. If the garments are produced outside of the country of origin, the name of the country where the garment was produced should also be indicated, in addition to the wording, mark or logo referred to in paragraph b) i). |
| --- | --- |

ii)

For international trade in garments made from live-sheared vicuña fibre, whether the garments were produced within or outside of the range States of the species, the wording, mark or logo indicated in paragraph b) i) must be used. This wording, mark or logo must appear on a label in the garment itself. If the garments are produced outside of the country of origin, the name of the country where the garment was produced should also be indicated, in addition to the wording, mark or logo referred to in paragraph b) i).

| c) | For international trade in handicraft products made from live-sheared vicuña fibre produced within the range States of the species, the VICUÑA [COUNTRY OF ORIGIN] — ARTESANÍA wording, mark or logo must be used as detailed below: |
| --- | --- |

c)

For international trade in handicraft products made from live-sheared vicuña fibre produced within the range States of the species, the VICUÑA [COUNTRY OF ORIGIN] — ARTESANÍA wording, mark or logo must be used as detailed below:

Image 2

| d) | If live-sheared vicuña fibre from various countries of origin is used for the production of cloth and garments, the wording, mark or logo of each of the countries of origin of the fibre must be indicated, as detailed in paragraphs b) i) and ii). |
| --- | --- |

d)

If live-sheared vicuña fibre from various countries of origin is used for the production of cloth and garments, the wording, mark or logo of each of the countries of origin of the fibre must be indicated, as detailed in paragraphs b) i) and ii).

| e) | All other specimens shall be deemed to be specimens of species listed in Appendix I and the trade in them shall be regulated accordingly. |
| --- | --- |

e)

All other specimens shall be deemed to be specimens of species listed in Appendix I and the trade in them shall be regulated accordingly.

(4)  All species are listed in Appendix II to the Convention except Balaena mysticetus, Eubalaena spp., Balaenoptera acutorostrata (except population of West Greenland), Balaenoptera bonaerensis, Balaenoptera borealis, Balaenoptera edeni, Balaenoptera musculus, Balaenoptera omurai, Balaenoptera physalus, Megaptera novaeangliae, Orcaella brevirostris, Orcaella heinsohni, Sotalia spp., Sousa spp., Eschrichtius robustus, Lipotes vexillifer, Caperea marginata, Neophocaena asiaeorientalis, Neophocaena phocaenoides, Phocoena sinus, Physeter macrocephalus, Platanista spp., Berardius spp., Hyperoodon spp., which are listed in Appendix I. Specimens of the species listed in Appendix II to the Convention, including products and derivatives other than meat products for commercial purposes, taken by the people of Greenland under licence granted by the competent authority concerned, shall be treated as belonging to Annex B. A zero annual export quota is established for live specimens from the Black Sea population of Tursiops truncatus removed from the wild and traded for primarily commercial purposes.

(5)  
  Populations of Botswana, Namibia, South Africa and Zimbabwe (listed in Annex B):

For the exclusive purpose of allowing: (a) trade in hunting trophies for non-commercial purposes; (b) trade in live animals to appropriate and acceptable destinations as defined in Resolution Conf. 11.20 for Botswana and Zimbabwe and for in situ conservation programmes for Namibia and South Africa; (c) trade in hides; (d) trade in hair; (e) trade in leather goods for commercial or non-commercial purposes for Botswana, Namibia and South Africa and for non-commercial purposes for Zimbabwe; (f) trade in individually marked and certified Ekipas incorporated in finished jewellery for non-commercial purposes for Namibia and ivory carvings for non-commercial purposes for Zimbabwe; (g) trade in registered raw ivory (for Botswana, Namibia, South Africa and Zimbabwe whole tusks and pieces) subject to the following: (i) only registered government-owned stocks, originating in the State (excluding seized ivory and ivory of unknown origin); (ii) only to trading partners that have been verified by the Secretariat, in consultation with the Standing Committee, to have sufficient national legislation and domestic trade controls to ensure that the imported ivory will not be re-exported and will be managed in accordance with all requirements of Resolution Conf. 10.10 (Rev. CoP14) concerning domestic manufacturing and trade; (iii) not before the Secretariat has verified the prospective importing countries and the registered government-owned stocks; (iv) raw ivory pursuant to the conditional sale of registered government-owned ivory stocks agreed at CoP12 which are 20 000 kg (Botswana), 10 000 kg (Namibia) and 30 000 kg (South Africa); (v) in addition to the quantities agreed at CoP12, government-owned ivory from Botswana, Namibia, South Africa and Zimbabwe registered by 31 January 2007 and verified by the Secretariat may be traded and despatched, with the ivory in paragraph (g)(iv) above in a single sale per destination under strict supervision of the Secretariat; (vi) the proceeds of the trade are used exclusively for elephant conservation and community conservation and development programmes within or adjacent to the elephant range; and (vii) the additional quantities specified in paragraph (g)(v) above shall be traded only after the Standing Committee has agreed that the above conditions have been met; (h) no further proposals to allow trade in elephant ivory from populations already in Annex B shall be submitted to the Conference of the Parties for the period from CoP14 and ending nine years from the date of the single sale of ivory that is to take place in accordance with provisions in paragraphs (g)(i), (g)(ii), (g)(iii), (g)(vi), and (g)(vii). In addition, such further proposals shall be dealt with in accordance with Decisions 14.77 and 14.78 (Rev. CoP15). On a proposal from the Secretariat, the Standing Committee can decide to cause this trade to cease partially or completely in the event of non-compliance by exporting or importing countries, or in the case of proven detrimental impacts of the trade on other elephant populations. All other specimens shall be deemed to be specimens of species included in Annex A and the trade in them shall be regulated accordingly.

(6)  The following are not subject to the provisions of this Regulation:

| | Fossils; |
| --- | --- |

Fossils;

| | Coral sand, that is to say, material consisting entirely or in part of finely crushed fragments of dead coral no larger than 2 mm in diameter, not identifiable to the level of genus, and which may also contain, amongst other things, the remains of Foraminifera, mollusc and crustacean shell, and coralline algae; |
| --- | --- |

Coral sand, that is to say, material consisting entirely or in part of finely crushed fragments of dead coral no larger than 2 mm in diameter, not identifiable to the level of genus, and which may also contain, amongst other things, the remains of Foraminifera, mollusc and crustacean shell, and coralline algae;

| | Coral fragments (including gravel and rubble), that is to say, unconsolidated fragments of broken finger-like dead coral and other material between 2 and 30 mm measured in any direction, not identifiable to the level of genus. |
| --- | --- |

Coral fragments (including gravel and rubble), that is to say, unconsolidated fragments of broken finger-like dead coral and other material between 2 and 30 mm measured in any direction, not identifiable to the level of genus.

(7)  Trade of specimens with source code A is allowed only if specimens traded possess cataphylls.

(8)  Artificially propagated specimens of the following hybrids and/or cultivars are not subject to the provisions of this Regulation:

| | Hatiora x graeseri |
| --- | --- |

Hatiora x graeseri

| | Schlumbergera x buckleyi |
| --- | --- |

Schlumbergera x buckleyi

| | Schlumbergera russelliana x Schlumbergera truncata |
| --- | --- |

Schlumbergera russelliana x Schlumbergera truncata

| | Schlumbergera orssichiana x Schlumbergera truncata |
| --- | --- |

Schlumbergera orssichiana x Schlumbergera truncata

| | Schlumbergera opuntioides x Schlumbergera truncata |
| --- | --- |

Schlumbergera opuntioides x Schlumbergera truncata

| | Schlumbergera truncata (cultivars) |
| --- | --- |

Schlumbergera truncata (cultivars)

| | Cactaceae spp. colour mutants grafted on the following grafting stocks: Harrisia
  ‘Jusbertii’, Hylocereus trigonus or Hylocereus undatus |
| --- | --- |

Cactaceae spp. colour mutants grafted on the following grafting stocks: Harrisia
  ‘Jusbertii’, Hylocereus trigonus or Hylocereus undatus

| | Opuntia microdasys (cultivars) |
| --- | --- |

Opuntia microdasys (cultivars)

(9)  Artificially propagated hybrids of Cymbidium, Dendrobium, Phalaenopsis and Vanda are not subject to the provisions of this Regulation, when specimens are readily recognizable as artificially propagated and do not show any signs of having been collected in the wild such as mechanical damage or strong dehydration resulting from collection, irregular growth and heterogeneous size and shape within a taxon and shipment, algae or other epiphyllous organisms adhering to leaves, or damage by insects or other pests; and

| (a) | when shipped in non flowering state, the specimens must be traded in shipments consisting of individual containers (such as cartons, boxes, crates or individual shelves of CC-containers) each containing 20 or more plants of the same hybrid; the plants within each container must exhibit a high degree of uniformity and healthiness; and the shipment must be accompanied by documentation, such as an invoice, which clearly states the number of plants of each hybrid; or |
| --- | --- |

(a)

when shipped in non flowering state, the specimens must be traded in shipments consisting of individual containers (such as cartons, boxes, crates or individual shelves of CC-containers) each containing 20 or more plants of the same hybrid; the plants within each container must exhibit a high degree of uniformity and healthiness; and the shipment must be accompanied by documentation, such as an invoice, which clearly states the number of plants of each hybrid; or

| (b) | when shipped in flowering state, with at least one fully open flower per specimen, no minimum number of specimens per shipment is required but specimens must be professionally processed for commercial retail sale, e.g. labelled with printed labels or packaged with printed packages indicating the name of the hybrid and the country of final processing. This should be clearly visible and allow easy verification. Plants not clearly qualifying for the exemption must be accompanied by appropriate CITES documents. |
| --- | --- |

(b)

when shipped in flowering state, with at least one fully open flower per specimen, no minimum number of specimens per shipment is required but specimens must be professionally processed for commercial retail sale, e.g. labelled with printed labels or packaged with printed packages indicating the name of the hybrid and the country of final processing. This should be clearly visible and allow easy verification. Plants not clearly qualifying for the exemption must be accompanied by appropriate CITES documents.

(10)  Commission Regulation (EC) No 865/2006 of 4 May 2006 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 (OJ L 166, 19.6.2006, p. 1).

(11)  Artificially propagated specimens of cultivars of Cyclamen persicum are not subject to the provisions of this Regulation. However, the exemption does not apply to such specimens traded as dormant tubers.

(12)  Artificially propagated hybrids and cultivars of Taxus cuspidata, live, in pots or other small containers, each consignment being accompanied by a label or document stating the name of the taxon or taxa and the text ‘artificially propagated’, are not subject to the provisions of this Regulation.

---

| 1.2.2017 | EN | Official Journal of the European Union | L 27/99 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/99

---

COMMISSION REGULATION (EU) 2017/161

of 31 January 2017

correcting the French language version of Regulation (EU) No 139/2014 laying down requirements and administrative procedures related to aerodromes pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EC) No 216/2008 of the European Parliament and of the Council of 20 February 2008 on common rules in the field of civil aviation and establishing a European Aviation Safety Agency, and repealing Council Directive 91/670/EEC, Regulation (EC) No 1592/2002 and Directive 2004/36/EC (1),and in particular Article 8a(5) thereof,

Whereas:

| (1) | Errors occurred in the French language ersion of Commission Regulation (EU) No 139/2014 (2) laying down requirements and administrative procedures related to aerodromes. Therefore a correction in the French language version of Annexes II and IV to that Regulation is necessary. The other language versions are not affected. |
| --- | --- |

(1)

Errors occurred in the French language ersion of Commission Regulation (EU) No 139/2014 (2) laying down requirements and administrative procedures related to aerodromes. Therefore a correction in the French language version of Annexes II and IV to that Regulation is necessary. The other language versions are not affected.

| (2) | Regulation (EU) No 139/2014 should therefore be corrected accordingly. |
| --- | --- |

(2)

Regulation (EU) No 139/2014 should therefore be corrected accordingly.

| (3) | The measures provided for in this Regulation are in accordance with the opinion of the Committee established by Article 65 of Regulation (EC) No 216/2008, |
| --- | --- |

(3)

The measures provided for in this Regulation are in accordance with the opinion of the Committee established by Article 65 of Regulation (EC) No 216/2008,

HAS ADOPTED THIS REGULATION:

Article 1

(Concerns only the French language version)

Article 2

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

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

Done at Brussels, 31 January 2017.

For the Commission

The President

Jean-Claude JUNCKER

---

(1)  
  OJ L 79, 19.3.2008, p. 1.

1

(2)  Commission Regulation (EU) No 139/2014 of 12 February 2014 laying down requirements and administrative procedures related to aerodromes pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (OJ L 44, 14.2.2014, p. 1).

2

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| 1.2.2017 | EN | Official Journal of the European Union | L 27/101 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/101

---

COMMISSION IMPLEMENTING REGULATION (EU) 2017/162

of 31 January 2017

operating deductions from fishing quotas available for certain stocks in 2016 on account of overfishing of other stocks in the previous years and amending Implementing Regulation (EU) 2016/2226 operating deductions from fishing quotas available for certain stocks in 2016 on account of overfishing in the previous years

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Council Regulation (EC) No 1224/2009 of 20 November 2009 establishing a Union control system for ensuring compliance with the rules of the common fisheries policy, amending Regulations (EC) No 847/96, (EC) No 2371/2002, (EC) No 811/2004, (EC) No 768/2005, (EC) No 2115/2005, (EC) No 2166/2005, (EC) No 388/2006, (EC) No 509/2007, (EC) No 676/2007, (EC) No 1098/2007, (EC) No 1300/2008, (EC) No 1342/2008 and repealing Regulations (EEC) No 2847/93, (EC) No 1627/94 and (EC) No 1966/2006 (1), and in particular Article 105(1), (2), (3) and (5) thereof,

Whereas:

| (1) | Fishing quotas for the year 2015 were established by:


  — | Council Regulation (EU) No 1221/2014 (2), |
| --- | --- | --- |

(1)

Fishing quotas for the year 2015 were established by:

—

Council Regulation (EU) No 1221/2014 (2),

| — | Council Regulation (EU) No 1367/2014 (3), |
| --- | --- |

—

Council Regulation (EU) No 1367/2014 (3),

| — | Council Regulation (EU) 2015/104 (4), and |
| --- | --- |

—

Council Regulation (EU) 2015/104 (4), and

| — | Council Regulation (EU) 2015/106 (5). |
| --- | --- |

—

Council Regulation (EU) 2015/106 (5).

| (2) | Fishing quotas for the year 2016 were established by:


  — | Regulation (EU) No 1367/2014, |
| --- | --- | --- |

(2)

Fishing quotas for the year 2016 were established by:

—

Regulation (EU) No 1367/2014,

| — | Council Regulation (EU) 2015/2072 (6), |
| --- | --- |

—

Council Regulation (EU) 2015/2072 (6),

| — | Council Regulation (EU) 2016/72 (7), and |
| --- | --- |

—

Council Regulation (EU) 2016/72 (7), and

| — | Council Regulation (EU) 2016/73 (8). |
| --- | --- |

—

Council Regulation (EU) 2016/73 (8).

| (3) | According to Article 105(1) of Regulation (EC) No 1224/2009, when the Commission has established that a Member State has exceeded the fishing quotas which have been allocated to it, the Commission is to operate deductions from future fishing quotas of that Member State. |
| --- | --- |

(3)

According to Article 105(1) of Regulation (EC) No 1224/2009, when the Commission has established that a Member State has exceeded the fishing quotas which have been allocated to it, the Commission is to operate deductions from future fishing quotas of that Member State.

| (4) | Commission Implementing Regulation (EU) 2016/2226 (9) has established deductions from fishing quotas for certain stocks in 2016 on account of overfishing in the previous years. |
| --- | --- |

(4)

Commission Implementing Regulation (EU) 2016/2226 (9) has established deductions from fishing quotas for certain stocks in 2016 on account of overfishing in the previous years.

| (5) | However, for certain Member States, no deductions could be operated by Implementing Regulation (EU) 2016/2226 from quotas allocated for the overfished stocks because such quotas were not available for those Member States in the year 2016. |
| --- | --- |

(5)

However, for certain Member States, no deductions could be operated by Implementing Regulation (EU) 2016/2226 from quotas allocated for the overfished stocks because such quotas were not available for those Member States in the year 2016.

| (6) | Article 105(5) of Regulation (EC) No 1224/2009 provides that, if it is not possible to operate deductions on the overfished stock in the year following the overfishing because the Member State concerned has no available quota, deductions may be operated on other stocks in the same geographical area or with the same commercial value. According to Commission Communication 2012/C 72/07 (10) such deductions should be preferably operated from quotas allocated for stocks fished by the same fleet as the fleet that overfished the quota, taking into account the need to avoid discards in mixed fisheries. |
| --- | --- |

(6)

Article 105(5) of Regulation (EC) No 1224/2009 provides that, if it is not possible to operate deductions on the overfished stock in the year following the overfishing because the Member State concerned has no available quota, deductions may be operated on other stocks in the same geographical area or with the same commercial value. According to Commission Communication 2012/C 72/07 (10) such deductions should be preferably operated from quotas allocated for stocks fished by the same fleet as the fleet that overfished the quota, taking into account the need to avoid discards in mixed fisheries.

| (7) | In certain cases, exchanges of fishing opportunities concluded in accordance with Article 16(8) of Regulation (EU) No 1380/2013 of the European Parliament and of the Council (11) enabled partial deductions from the same stocks in the framework of Implementing Regulation (EU) 2016/2226. The remaining deductions should be operated on quotas for other stocks pursuant to Article 105(5) of Regulation (EC) No 1224/2009. |
| --- | --- |

(7)

In certain cases, exchanges of fishing opportunities concluded in accordance with Article 16(8) of Regulation (EU) No 1380/2013 of the European Parliament and of the Council (11) enabled partial deductions from the same stocks in the framework of Implementing Regulation (EU) 2016/2226. The remaining deductions should be operated on quotas for other stocks pursuant to Article 105(5) of Regulation (EC) No 1224/2009.

| (8) | The Member States concerned have been consulted with regard to the proposed deductions from quotas allocated for stocks other than those which have been overfished. |
| --- | --- |

(8)

The Member States concerned have been consulted with regard to the proposed deductions from quotas allocated for stocks other than those which have been overfished.

| (9) | In 2015, Spain has overfished its quota for skates and rays in Union waters of ICES Subareas VIII and IX (SRX/89-C.). By letter of 30 September 2016, Spain requested to spread the deduction due over 2 years. In view of the information provided and considering that a significant loss of quota would produce excessive discards of the species concerned, in accordance with point 3, letter (b) of the Communication 2012/C 72/07, this request can be accepted. |
| --- | --- |

(9)

In 2015, Spain has overfished its quota for skates and rays in Union waters of ICES Subareas VIII and IX (SRX/89-C.). By letter of 30 September 2016, Spain requested to spread the deduction due over 2 years. In view of the information provided and considering that a significant loss of quota would produce excessive discards of the species concerned, in accordance with point 3, letter (b) of the Communication 2012/C 72/07, this request can be accepted.

| (10) | As regards sandeel in geographical area of ICES divisions IIa, IIIa and subdivision IV, given Denmark has overfished its total allowable catches in Union waters of management area 1 as defined in Annex IID of Regulation (EU) 2015/104 in 2015, it is required to operate deductions. In 2016, minimal catches have been allowed for sandeel in these waters in order to monitor the abundance of sandeel. However, with the said deductions it is impossible to maintain the monitoring system (12) advised by the International Council for the Exploration of the Sea (ICES) to manage sandeel. Therefore, deductions for the quotas overfished by Denmark in 2015 in this area should be operated from sandeel management area 3. |
| --- | --- |

(10)

As regards sandeel in geographical area of ICES divisions IIa, IIIa and subdivision IV, given Denmark has overfished its total allowable catches in Union waters of management area 1 as defined in Annex IID of Regulation (EU) 2015/104 in 2015, it is required to operate deductions. In 2016, minimal catches have been allowed for sandeel in these waters in order to monitor the abundance of sandeel. However, with the said deductions it is impossible to maintain the monitoring system (12) advised by the International Council for the Exploration of the Sea (ICES) to manage sandeel. Therefore, deductions for the quotas overfished by Denmark in 2015 in this area should be operated from sandeel management area 3.

| (11) | Moreover, certain deductions required by Implementing Regulation (EU) 2016/2226 appear to be larger than the adapted quota available in the year 2016 and, as a consequence, cannot be entirely operated in that year. According to Communication 2012/C 72/07, the remaining amounts should be deducted from the adapted quotas available in subsequent years until the full overfished amount is paid back. |
| --- | --- |

(11)

Moreover, certain deductions required by Implementing Regulation (EU) 2016/2226 appear to be larger than the adapted quota available in the year 2016 and, as a consequence, cannot be entirely operated in that year. According to Communication 2012/C 72/07, the remaining amounts should be deducted from the adapted quotas available in subsequent years until the full overfished amount is paid back.

| (12) | Implementing Regulation (EU) 2016/2226 should therefore be amended accordingly, |
| --- | --- |

(12)

Implementing Regulation (EU) 2016/2226 should therefore be amended accordingly,

HAS ADOPTED THIS REGULATION:

Article 1

The fishing quotas fixed in Regulations (EU) No 1367/2014, (EU) 2015/2072, (EU) 2016/72 and (EU) 2016/73 for the year 2016 referred to in the Annex I to this Regulation shall be reduced by applying the deductions on the alternative stocks set out in that Annex.

Article 2

The Annex to Implementing Regulation (EU) 2016/2226 is replaced by the text in Annex II to this Regulation.

Article 3

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

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

Done at Brussels, 31 January 2017.

For the Commission

The President

Jean-Claude JUNCKER

---

(1)  
  OJ L 343, 22.12.2009, p. 1.

1

(2)  Council Regulation (EU) No 1221/2014 of 10 November 2014 fixing for 2015 the fishing opportunities for certain fish stocks and groups of fish stocks applicable in the Baltic Sea and amending Regulations (EU) No 43/2014 and (EU) No 1180/2013 (OJ L 330, 15.11.2014, p. 16).

2

(3)  Council Regulation (EU) No 1367/2014 of 15 December 2014 fixing for 2015 and 2016 the fishing opportunities for Union fishing vessels for certain deep-sea fish stocks (OJ L 366, 20.12.2014, p. 1).

3

(4)  Council Regulation (EU) 2015/104 of 19 January 2015 fixing for 2015 the fishing opportunities for certain fish stocks and groups of fish stocks, applicable in Union waters and, for Union vessels, in certain non-Union waters, amending Regulation (EU) No 43/2014 and repealing Regulation (EU) No 779/2014 (OJ L 22, 28.1.2015, p. 1).

4

(5)  Council Regulation (EU) 2015/106 of 19 January 2015 fixing for 2015 the fishing opportunities for certain fish stocks and groups of fish stocks in the Black Sea (OJ L 19, 24.1.2015, p. 8).

5

(6)  Council Regulation (EU) 2015/2072 of 17 November 2015 fixing for 2016 the fishing opportunities for certain fish stocks and groups of fish stocks applicable in the Baltic Sea and amending Regulations (EU) No 1221/2014 and (EU) 2015/104 (OJ L 302, 19.11.2015, p. 1).

6

(7)  Council Regulation (EU) 2016/72 of 22 January 2016 fixing for 2016 the fishing opportunities for certain fish stocks and groups of fish stocks, applicable in Union waters and, for Union fishing vessels, in certain non-Union waters, and amending Regulation (EU) 2015/104 (OJ L 22, 28.1.2016, p. 1).

7

(8)  Council Regulation (EU) 2016/73 of 18 January 2016 fixing for 2016 the fishing opportunities for certain fish stocks in the Black Sea (OJ L 16, 23.1.2016, p. 1).

8

(9)  Commission Implementing Regulation (EU) 2016/2226 of 9 December 2016 operating deductions from fishing quotas available for certain stocks in 2016 on account of overfishing in the previous years (OJ L 336, 10.12.2016, p. 28).

9

(10)  Communication from the Commission — Guidelines for deduction of quotas under article 105(1), (2) and (5) of Regulation (EC) No 1224/2009 (2012/C-72/07) (OJ C 72, 10.3.2012, p. 27).

10

(11)  Regulation (EU) No 1380/2013 of the European Parliament and of the Council of 11 December 2013 on the Common Fisheries Policy, amending Council Regulations (EC) No 1954/2003 and (EC) No 1224/2009 and repealing Council Regulations (EC) No 2371/2002 and (EC) No 639/2004 and Council Decision 2004/585/EC (OJ L 354, 28.12.2013, p. 22).

11

(12)  http://www.ices.dk/sites/pub/Publication%20Reports/Expert%20Group%20Report/acom/2016/HAWG/13%20HAWG%20Report%202016%20-%20Sec%2011%20Sandeel%20in%20Division%203.a%20and%20Subarea%204.pdf

12

---

ANNEX I

Deductions from quotas for alternative stocks

| Member State | Species code | Area code | Species name | Area name | Permitted landings 2015 (Total adapted quantity in kilograms) (1) | Total catches 2015 (qty in kilograms) | Quota con-sumption (%) | Overfishing related to permitted landing (qty in kilograms) | Multiplying factor (2) | Additional multiplying factor (3)
   (4) | Outstanding deduction from previous years (5) (qty in kilograms) | Deductions 2016 (qty in kilograms) | Deductions already applied in 2016 on the same stock (qty in kilograms) (6) | Remaining quantity to be deducted on alternative stock (qty in kilograms) |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| (1) | (2) | (3) | (4) | (5) | (6) | (7) | (8) | (9) | (10) | (11) | (12) | (13) | (14) | (15) |
| |
| DK | DGS | 03A-C. | Spurdog/dogfish | Union waters of IIIa | 0 | 3 840 | N/A | 3 840 | 1,00 | / | / | 3 840 | 0 | 3 840 |
| Deduction to be made on the following stock |
| DK | NEP | 3A/BCD | Norway lobster | IIIa; Union waters of Subdivisions 22-32 | / | / | / | / | / | / | / | / | / | 3 840 |
| |
| DK | DGS | 2AC4-C | Spurdog/dogfish | Union waters of IIa and IV | 0 | 1 540 | N/A | 1 540 | 1,00 | / | / | 1 540 | 0 | 1 540 |
| Deduction to be made on the following stock |
| DK | NEP | 2AC4-C | Norway lobster | Union waters of IIa and IV | / | / | / | / | / | / | / | / | / | 1 540 |
| |
| DK | NOP | 04-N. | Norway pout | Norwegian waters of IV | 0 | 28 270 | N/A | 28 270 | 1,00 | / | / | 28 270 | 0 | 28 270 |
| Deduction to be made on the following stock |
| DK | NOP | 2A3A4. | Norway pout | IIIa; Union waters of IIa and IV | / | / | / | / | / | / | / | / | / | 28 270 |
| |
| ES | BUM | ATLANT | Blue marlin | Atlantic Ocean | 20 360 | 134 082 | 658,56 | 113 722 | 2,0 | A | 172 878 | 514 044 | 0 | 514 044 |
| Deduction to be made on the following stock |
| ES | SWO | AN05N | Swordfish | Atlantic Ocean, North of 5° N | / | / | / | / | / | / | / | / | / | 514 044 |
| |
| ES | GHL | 1N2AB. | Greenland halibut | Norwegian waters of I and II | 0 | 24 239 | N/A | 24 239 | 1,00 | A | / | 36 359 | 0 | 36 359 |
| Deduction to be made on the following stock |
| ES | POK | 1N2AB. | Saithe | Norwegian waters of I and II | / | / | / | / | / | / | / | / | / | 36 359 |
| |
| FR | GHL | 1N2AB. | Greenland halibut | Norwegian waters of I and II | 2 000 | 7 957 | 397,85 | 5 957 | 1,00 | / | / | 5 957 | 0 | 5 957 |
| Deduction to be made on the following stock |
| FR | OTH | 1N2AB. | Other species | Norwegian waters of I and II | / | / | / | / | / | / | / | / | / | 5 957 |
| |
| NL | ANE | 08. | Anchovy | VIII | 0 | 12 493 | N/A | 12 493 | 1,00 | / | / | 12 493 | 0 | 12 493 |
| Deduction to be made on the following stock |
| NL | WHB | 1X14 | Blue whiting | Union and international waters of I, II, III, IV, V, VI, VII, VIIIa, VIIIb, VIIId, VIIIe, XII and XIV | / | / | / | / | / | / | / | / | / | 12 493 |
| |
| NL | HKE | 3A/BCD | Hake | IIIa; Union waters of Subdivisions 22-32 | 0 | 1 575 | N/A | 1 575 | 1,00 | A+C (7) | / | 2 363 | 0 | 2 363 |
| Deduction to be made on the following stock |
| NL | HKE | 2AC4-C | Hake | Union waters of IIa and IV | / | / | / | / | / | / | / | / | / | 2 363 |
| |
| NL | WHG | 56-14 | Whiting | VI; Union and international waters of Vb; international waters of XII and XIV | 0 | 11 475 | N/A | 11 475 | 1,00 | / | / | 11 475 | 0 | 11 475 |
| Deduction to be made on the following stock |
| NL | HKE | 8ABDE. | Hake | VIIIa, VIIIb, VIIId and VIIIe | / | / | / | / | / | / | / | / | / | 11 475 |
| |
| PT | GHL | 1N2AB. | Greenland Halibut | Norwegian waters of I and II | 0 | 6 098 | N/A | 6 098 | 1,00 | / | / | 6 098 | 0 | 6 098 |
| Deduction to be made on the following stock |
| PT | RED | 1N2AB. | Redfish | Norwegian waters of I and II | / | / | / | / | / | / | / | / | / | 6 098 |
| |
| PT | POK | 1N2AB. | Saithe | Norwegian waters of I and II | 9 700 | 9 690 | 99,90 | – 10 | / | / | 145 616 | 145 606 | 53 | 145 553 |
| Deduction to be made on the following stock |
| PT | RED | 1N2AB. | Redfish | Norwegian waters of I and II | / | / | / | / | / | / | / | / | / | 145 553 |

Member State

Species code

Area code

Species name

Area name

Permitted landings 2015 (Total adapted quantity in kilograms) (1)

Total catches 2015 (qty in kilograms)

Quota con-sumption (%)

Overfishing related to permitted landing (qty in kilograms)

Multiplying factor (2)

Additional multiplying factor (3)
   (4)

Outstanding deduction from previous years (5) (qty in kilograms)

Deductions 2016 (qty in kilograms)

Deductions already applied in 2016 on the same stock (qty in kilograms) (6)

Remaining quantity to be deducted on alternative stock (qty in kilograms)

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

DK

DGS

03A-C.

Spurdog/dogfish

Union waters of IIIa

0

3 840

N/A

3 840

1,00

/

/

3 840

0

3 840

Deduction to be made on the following stock

DK

NEP

3A/BCD

Norway lobster

IIIa; Union waters of Subdivisions 22-32

/

/

/

/

/

/

/

/

/

3 840

DK

DGS

2AC4-C

Spurdog/dogfish

Union waters of IIa and IV

0

1 540

N/A

1 540

1,00

/

/

1 540

0

1 540

Deduction to be made on the following stock

DK

NEP

2AC4-C

Norway lobster

Union waters of IIa and IV

/

/

/

/

/

/

/

/

/

1 540

DK

NOP

04-N.

Norway pout

Norwegian waters of IV

0

28 270

N/A

28 270

1,00

/

/

28 270

0

28 270

Deduction to be made on the following stock

DK

NOP

2A3A4.

Norway pout

IIIa; Union waters of IIa and IV

/

/

/

/

/

/

/

/

/

28 270

ES

BUM

ATLANT

Blue marlin

Atlantic Ocean

20 360

134 082

658,56

113 722

2,0

A

172 878

514 044

0

514 044

Deduction to be made on the following stock

ES

SWO

AN05N

Swordfish

Atlantic Ocean, North of 5° N

/

/

/

/

/

/

/

/

/

514 044

ES

GHL

1N2AB.

Greenland halibut

Norwegian waters of I and II

0

24 239

N/A

24 239

1,00

A

/

36 359

0

36 359

Deduction to be made on the following stock

ES

POK

1N2AB.

Saithe

Norwegian waters of I and II

/

/

/

/

/

/

/

/

/

36 359

FR

GHL

1N2AB.

Greenland halibut

Norwegian waters of I and II

2 000

7 957

397,85

5 957

1,00

/

/

5 957

0

5 957

Deduction to be made on the following stock

FR

OTH

1N2AB.

Other species

Norwegian waters of I and II

/

/

/

/

/

/

/

/

/

5 957

NL

ANE

08.

Anchovy

VIII

0

12 493

N/A

12 493

1,00

/

/

12 493

0

12 493

Deduction to be made on the following stock

NL

WHB

1X14

Blue whiting

Union and international waters of I, II, III, IV, V, VI, VII, VIIIa, VIIIb, VIIId, VIIIe, XII and XIV

/

/

/

/

/

/

/

/

/

12 493

NL

HKE

3A/BCD

Hake

IIIa; Union waters of Subdivisions 22-32

0

1 575

N/A

1 575

1,00

A+C (7)

/

2 363

0

2 363

Deduction to be made on the following stock

NL

HKE

2AC4-C

Hake

Union waters of IIa and IV

/

/

/

/

/

/

/

/

/

2 363

NL

WHG

56-14

Whiting

VI; Union and international waters of Vb; international waters of XII and XIV

0

11 475

N/A

11 475

1,00

/

/

11 475

0

11 475

Deduction to be made on the following stock

NL

HKE

8ABDE.

Hake

VIIIa, VIIIb, VIIId and VIIIe

/

/

/

/

/

/

/

/

/

11 475

PT

GHL

1N2AB.

Greenland Halibut

Norwegian waters of I and II

0

6 098

N/A

6 098

1,00

/

/

6 098

0

6 098

Deduction to be made on the following stock

PT

RED

1N2AB.

Redfish

Norwegian waters of I and II

/

/

/

/

/

/

/

/

/

6 098

PT

POK

1N2AB.

Saithe

Norwegian waters of I and II

9 700

9 690

99,90

– 10

/

/

145 616

145 606

53

145 553

Deduction to be made on the following stock

PT

RED

1N2AB.

Redfish

Norwegian waters of I and II

/

/

/

/

/

/

/

/

/

145 553

---

(1)  Quotas available to a Member State pursuant to the relevant fishing opportunities Regulations after taking into account exchanges of fishing opportunities in accordance with Article 16(8) of Regulation (EU) No 1380/2013, quota transfers from 2014 to 2015 in accordance with Article 4(2) of Council Regulation (EC) No 847/96 (OJ L 115, 9.5.1996, p. 3), with Article 5a of Regulation (EU) No 1221/2014, with Article 18a of Regulation (EU) 2015/104 or reallocation and deduction of fishing opportunities in accordance with Articles 37 and 105 of Regulation (EC) No 1224/2009.

(2)  As set out in Article 105(2) of Regulation (EC) No 1224/2009. Deduction equal to the overfishing * 1,00 shall apply in all cases of overfishing equal to, or less than, 100 tonnes.

(3)  As set out in Article 105(3) of Regulation (EC) No 1224/2009 and provided that the extent of overfishing exceeds 10 %.

(4)  Letter ‘A’ indicates that an additional multiplying factor of 1,5 has been applied due to consecutive overfishing in the years 2013, 2014 and 2015. Letter ‘C’ indicates that an additional multiplying factor of 1,5 has been applied as the stock is subject to a multiannual plan.

(5)  Remaining quantities that could not be deducted in 2015 pursuant to Commission Implementing Regulation (EU) 2015/1801 (OJ L 263, 8.10.2015, p. 19) as amended by Commission Implementing Regulation (EU) 2015/2404 (OJ L 333, 19.12.2015, p. 73) because there was no or not sufficient quota available.

(6)  Quantities that could be deducted on the same stock thanks to exchange of fishing opportunities concluded in accordance with Article 16(8) of Regulation (EU) No 1380/2013.

(7)  Additional multiplying factors are not cumulative and operated only once.

---

ANNEX II

The Annex to Implementing Regulation (EU) 2016/2226 is replaced by the following:

‘ANNEX

Deductions from quotas for stocks which have been overfished

| Member State | Species code | Area code | Species name | Area name | Initial quota 2015 (quantity in kilograms) | Permitted landings 2015 (Total adapted qty in kilograms) (1) | Total catches 2015 (qty in kilograms) | Quota consumption related to permitted landings (%) | Overfishing related to permitted landing (qty in kilograms) | Multiplying factor (2) | Additional multiplying factor (3)
   (4) | Outstanding deductions from previous years (5) (qty in kilograms) | Deductions to apply in 2016 (qty in kilograms) (6) | Deductions already applied in 2016 (qty in kilograms) (7) | To be deducted in 2017 and following year(s) (qty in kilograms) |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| (1) | (2) | (3) | (4) | (5) | (6) | (7) | (8) | (9) | (10) | (11) | (12) | (13) | (14) | (15) | (16) |
| BE | SOL | 24-C. | Common sole | Union waters of IIa and IV | 991 000 | 929 510 | 939 590 | 101,08 | 10 080 | / | / | / | 10 080 | 10 080 | / |
| BE | SRX | 07D. | Skates and rays | Union waters of VIId | 72 000 | 70 511 | 69 495 | 98,56 | – 1 016 | / | / | 1 097 | 81 | 81 | / |
| BE | SRX | 2AC4-C | Skates and rays | Union waters of IIa and IV | 211 000 | 245 500 | 256 147 | 104,34 | 10 647 | / | / | / | 10 647 | 10 647 | / |
| BE | SRX | 67AKXD | Skates and rays | Union waters of VIa, VIb, VIIa-c and VIIe-k | 725 000 | 915 262 | 918 243 | 100,33 | 2 981 | / | / | / | 2 981 | 2 981 | / |
| DE | T/B | 2AC4-C | Turbot/Brill | Union waters of IIa and IV | 186 000 | 349 000 | 350 186 | 100,34 | 1 186 | / | / | / | 1 186  (12) | 1 186 | / |
| DK | COD | 03AN. | Cod | Skagerrak | 3 336 000 | 3 223 407 | 3 349 360 | 103,91 | 125 923 | / | (C) (8) | / | 125 923 | 125 923 | / |
| DK | DGS | 03A-C. | Spurdog/dogfish | Union waters of IIIa | 0 | 0 | 3 840 | N/A | 3 840 | 1,00 | / | / | 3 840 | 3 840 | / |
| DK | DGS | 2AC4-C | Spurdog/dogfish | Union waters of IIa and IV | 0 | 0 | 1 540 | N/A | 1 540 | 1,00 | / | / | 1 540 | 1 540 | / |
| DK | HER | 03A-BC | Herring | IIIa | 5 692 000 | 5 770 000 | 6 056 070 | 104,96 | 286 070 | / | / | / | 286 070 | 286 070 | / |
| DK | NOP | 04-N. | Norway pout | Norwegian waters of IV | 0 | 0 | 28 270 | N/A | 28 270 | 1,00 | / | / | 28 270 | 28 270 | / |
| DK | SAN | 234_1 | Sandeel | Union waters of sandeel management area 1 | 125 459 000 | 115 924 000 | 130 977 950 | 112,99 | 15 053 950 | 1,2 | / | / | 18 064 740 | 18 064 740  (14) | / |
| DK | SAN | 234_6 | Sandeel | Union waters of sandeel management area 6 | 206 000 | 219 000 | 228 860 | 104,50 | 9 860 | / | / | / | 9 860 | 9 860 | / |
| ES | ALF | 3X14- | Alfonsinos | Union and international waters of III, IV, V, VI, VII, VIII, IX, X, XII and XIV | 67 000 | 80 045 | 62 544 | 78,13 | – 9 496  (9) | / | / | 16 159 | 6 663 | 5 846 | 817 |
| ES | ANE | 08. | Anchovy | VIII | 22 500 000 | 22 923 784 | 24 068 471 | 104,99 | 1 144 687 | / | / | / | 1 144 687 | 1 144 687 | / |
| ES | BSF | 8910- | Black scabbard-fish | Union and international waters of VIII, IX and X | 12 000 | 30 050 | 110 | 0,37 | – 26 936  (10) | / | / | 29 639 | 2 703 | 0 | 2 703 |
| ES | BUM | ATLANT | Blue marlin | Atlantic Ocean | 10 360 | 20 360 | 134 082 | 658,56 | 113 722 | 2,0 | A | 172 878 | 514 044 | 514 044 | / |
| ES | COD | 1/2B | Cod | I and IIb | 13 283 000 | 12 182 091 | 12 391 441 | 101,72 | 209 350 | / | / | / | 209 350 | 209 350 | / |
| ES | GHL | 1N2AB. | Greenland halibut | Norwegian waters of I and II | / | 0 | 24 239 | N/A | 24 239 | 1,00 | A | / | 36 359 | 36 359 | / |
| ES | RED | N3LN. | Redfish | NAFO 3LN | / | 171 440 | 173 836 | 101,40 | 2 396 | / | / | / | 2 396 | 2 396 | / |
| ES | SOL | 8AB. | Common sole | VIIIa and VIIIb | 9 000 | 6 968 | 7 397 | 106,13 | (429) (11) | / | (A+C) (8)
   (13) | 2 759 | 2 759 | 2 759 | / |
| ES | SRX | 67AKXD | Skates and rays | Union waters of VIa, VIb, VIIa-c and VIIe-k | 43 800 | 412 000 | 445 713 | 108,18 | 33 713 | / | / | / | 33 713 | 33 713 | / |
| ES | SRX | 89-C. | Skates and rays | Union waters of VIII and IX | 1 057 000 | 650 485 | 771 246 | 118,56 | 120 761 | 1,2 | / | 118 622 | 263 535 | 131 768  (15) | 131 767  (15) |
| ES | USK | 567EI. | Tusk | Union and international waters of V, VI and VII | 46 000 | 135 008 | 62 646 | 46,40 | – 72 362 | / | / | 58 762 | 0 | / | / |
| ES | WHM | ATLANT | White marlin | Atlantic Ocean | 24 310 | 24 310 | 68 613 | 282,24 | 44 303 | 1,00 | A | 72 539 | 138 994 | 0 | 138 994 |
| FR | GHL | 1N2AB. | Greenland halibut | Norwegian waters of I and II | / | 2 000 | 7 957 | 397,85 | 5 957 | 1,00 | / | / | 5 957 | 5 957 | / |
| FR | HAD | 7X7A34 | Haddock | VIIb-k, VIII, IX and X; Union waters of CECAF 34.1.1 | 5 561 000 | 5 760 984 | 5 775 607 | 100,25 | 14 623 | / | / | / | 14 623 | 14 623 | / |
| FR | PLE | 7HJK. | Plaice | VIIh, VIIj and VIIk | 17 000 | 57 007 | 59 833 | 104,95 | 2 826 | / | / | / | 2 826 | 2 826 | / |
| FR | SRX | 07D. | Skates and rays | Union waters of VIId | 602 000 | 591 586 | 689 868 | 116,61 | 98 282 | 1,00 | / | / | 98 282 | 98 282 | / |
| FR | SRX | 89-C. | Skates and rays | Union waters of VIII and IX | 1 298 000 | 1 507 000 | 1 578 469 | 104,74 | 71 469 | / | / | / | 71 469 | 71 469 | / |
| IE | COD | 07A. | Cod | VIIa | 120 000 | 134 776 | 138 122 | 102,48 | 3 346 | / | / | / | 3 346 | 3 346 | / |
| IE | SRX | 67AKXD | Skates and rays | Union waters of VIa, VIb, VIIa-c and VIIe-k | 1 048 000 | 946 554 | 1 044 694 | 110,37 | 98 140 | 1,00 | / | / | 98 140 | 98 140 | / |
| NL | ANE | 08. | Anchovy | VIII | / | 0 | 12 493 | N/A | 12 493 | 1,00 | / | / | 12 493 | 12 493 | / |
| NL | COD | 2A3AX4 | Cod | IV; Union waters of IIa; that part of IIIa not covered by the Skagerrak and Kattegat | 2 800 000 | 1 340 520 | 1 348 815 | 100,62 | 8 295 | / | (C) (8) | / | 8 295 | 8 295 | / |
| NL | HER | *25B-F | Herring | II, Vb north of 62° N (Faroes waters) | 1 104 000 | 1 841 160 | 2 230 998 | 121,17 | 389 838 | 1,4 | / | / | 545 773 | 522 222 | 23 551 |
| NL | HKE | 3A/BCD | Hake | IIIa; Union waters of Subdivisions 22-32 | / | 0 | 1 575 | N/A | 1 575 | 1,00 | A+C (13) | / | 2 363 | 2 363 | / |
| NL | MAC | *3A4BC | Mackerel | IIIa and IVbc | 490 000 | 1 084 500 | 1 090 087 | 100,52 | 5 587 | / | / | / | 5 587 | 5 587 | / |
| NL | POK | 2A34. | Saithe | IIIa and IV; Union waters of IIa, IIIb, IIIc and Subdivisions 22-32 | 68 000 | 56 600 | 63 411 | 112,03 | 6 811 | 1,00 | / | / | 6 811 | 5 754 | 1 057 |
| NL | SRX | 2AC4-C | Skates and rays | Union waters of IIa and IV | 180 000 | 245 300 | 252 765 | 103,04 | 7 465 | / | / | / | 7 465 | 7 465 | / |
| NL | T/B | 2AC4-C | Turbot and brill | Union waters of IIa and IV | 2 579 000 | 2 783 000 | 2 793 239 | 100,37 | 10 239 | / | / | / | 10 239 | 10 239 | / |
| NL | WHB | 1X14 | Blue whiting | Union and international waters of I, II, III, IV, V, VI, VII, VIIIa, VIIIb, VIIId, VIIIe, XII and XIV | 36 711 000 | 55 297 456 | 55 584 332 | 100,52 | 286 876 | / | / | / | 286 876 | 286 876 | / |
| NL | WHG | 2AC4. | Whiting | IV; Union waters of IIa | 699 000 | 527 900 | 547 717 | 103,75 | 19 817 | / | / | / | 19 817 | 19 817 | / |
| NL | WHG | 56-14 | Whiting | VI; Union and international waters of Vb; international waters of XII and XIV | / | 0 | 11 475 | N/A | 11 475 | 1,00 | / | / | 11 475 | 11 475 | / |
| PT | GHL | 1N2AB | Greenland Halibut | Norwegian waters of I and II | / | 0 | 6 098 | N/A | 6 098 | 1,00 | / | / | 6 098 | 6 098 | / |
| PT | POK | 1N2AB. | Saithe | Norwegian waters of I and II | / | 9 700 | 9 690 | 99,90 | – 10 | / | / | 145 616 | 145 606 | 53 | 145 553 |
| UK | COD | 2A3AX4 | Cod | IV; Union waters of IIa; that part of IIIa not covered by the Skagerrak and Kattegat | 11 369 000 | 14 828 600 | 14 846 189 | 100,12 | 17 589 | / | (C) (8) | / | 17 589 | 17 589 | / |
| UK | HER | 4AB. | Herring | Union and Norwegian waters of IV north of 53° 30′ N | 62 292 000 | 66 892 860 | 68 024 970 | 101,69 | 1 132 100 | / | / | / | 1 132 110 | 1 132 110 | / |
| UK | MAC | 2CX14- | Mackerel | VI, VII, VIIIa, VIIIb, VIIId and VIIIe; Union and international waters of Vb; international waters of IIa, XII and XIV | 245 363 000 | 237 093 794 | 242 496 391 | 102,28 | 5 402 597 | / | (A) (8) | / | 5 402 597 | 5 402 597 | / |
| UK | MAC | *3A4BC | Mackerel | IIIa and IVbc | 490 000 | 620 500 | 626 677 | 101,00 | 6 177 | / | / | / | 6 177 | 6 177 | / |
| UK | SAN | 234_1 | Sandeel | Union waters of sandeel management area 1 | 2 742 000 | 1 219 400 | 2 000 034 | 164,02 | 780 634 | 2,00 | / | / | 1 561 268 | 95 100 | 1 466 168 |

Member State

Species code

Area code

Species name

Area name

Initial quota 2015 (quantity in kilograms)

Permitted landings 2015 (Total adapted qty in kilograms) (1)

Total catches 2015 (qty in kilograms)

Quota consumption related to permitted landings (%)

Overfishing related to permitted landing (qty in kilograms)

Multiplying factor (2)

Additional multiplying factor (3)
   (4)

Outstanding deductions from previous years (5) (qty in kilograms)

Deductions to apply in 2016 (qty in kilograms) (6)

Deductions already applied in 2016 (qty in kilograms) (7)

To be deducted in 2017 and following year(s) (qty in kilograms)

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

BE

SOL

24-C.

Common sole

Union waters of IIa and IV

991 000

929 510

939 590

101,08

10 080

/

/

/

10 080

10 080

/

BE

SRX

07D.

Skates and rays

Union waters of VIId

72 000

70 511

69 495

98,56

– 1 016

/

/

1 097

81

81

/

BE

SRX

2AC4-C

Skates and rays

Union waters of IIa and IV

211 000

245 500

256 147

104,34

10 647

/

/

/

10 647

10 647

/

BE

SRX

67AKXD

Skates and rays

Union waters of VIa, VIb, VIIa-c and VIIe-k

725 000

915 262

918 243

100,33

2 981

/

/

/

2 981

2 981

/

DE

T/B

2AC4-C

Turbot/Brill

Union waters of IIa and IV

186 000

349 000

350 186

100,34

1 186

/

/

/

1 186  (12)

1 186

/

DK

COD

03AN.

Cod

Skagerrak

3 336 000

3 223 407

3 349 360

103,91

125 923

/

(C) (8)

/

125 923

125 923

/

DK

DGS

03A-C.

Spurdog/dogfish

Union waters of IIIa

0

0

3 840

N/A

3 840

1,00

/

/

3 840

3 840

/

DK

DGS

2AC4-C

Spurdog/dogfish

Union waters of IIa and IV

0

0

1 540

N/A

1 540

1,00

/

/

1 540

1 540

/

DK

HER

03A-BC

Herring

IIIa

5 692 000

5 770 000

6 056 070

104,96

286 070

/

/

/

286 070

286 070

/

DK

NOP

04-N.

Norway pout

Norwegian waters of IV

0

0

28 270

N/A

28 270

1,00

/

/

28 270

28 270

/

DK

SAN

234_1

Sandeel

Union waters of sandeel management area 1

125 459 000

115 924 000

130 977 950

112,99

15 053 950

1,2

/

/

18 064 740

18 064 740  (14)

/

DK

SAN

234_6

Sandeel

Union waters of sandeel management area 6

206 000

219 000

228 860

104,50

9 860

/

/

/

9 860

9 860

/

ES

ALF

3X14-

Alfonsinos

Union and international waters of III, IV, V, VI, VII, VIII, IX, X, XII and XIV

67 000

80 045

62 544

78,13

– 9 496  (9)

/

/

16 159

6 663

5 846

817

ES

ANE

08.

Anchovy

VIII

22 500 000

22 923 784

24 068 471

104,99

1 144 687

/

/

/

1 144 687

1 144 687

/

ES

BSF

8910-

Black scabbard-fish

Union and international waters of VIII, IX and X

12 000

30 050

110

0,37

– 26 936  (10)

/

/

29 639

2 703

0

2 703

ES

BUM

ATLANT

Blue marlin

Atlantic Ocean

10 360

20 360

134 082

658,56

113 722

2,0

A

172 878

514 044

514 044

/

ES

COD

1/2B

Cod

I and IIb

13 283 000

12 182 091

12 391 441

101,72

209 350

/

/

/

209 350

209 350

/

ES

GHL

1N2AB.

Greenland halibut

Norwegian waters of I and II

/

0

24 239

N/A

24 239

1,00

A

/

36 359

36 359

/

ES

RED

N3LN.

Redfish

NAFO 3LN

/

171 440

173 836

101,40

2 396

/

/

/

2 396

2 396

/

ES

SOL

8AB.

Common sole

VIIIa and VIIIb

9 000

6 968

7 397

106,13

(429) (11)

/

(A+C) (8)
   (13)

2 759

2 759

2 759

/

ES

SRX

67AKXD

Skates and rays

Union waters of VIa, VIb, VIIa-c and VIIe-k

43 800

412 000

445 713

108,18

33 713

/

/

/

33 713

33 713

/

ES

SRX

89-C.

Skates and rays

Union waters of VIII and IX

1 057 000

650 485

771 246

118,56

120 761

1,2

/

118 622

263 535

131 768  (15)

131 767  (15)

ES

USK

567EI.

Tusk

Union and international waters of V, VI and VII

46 000

135 008

62 646

46,40

– 72 362

/

/

58 762

0

/

/

ES

WHM

ATLANT

White marlin

Atlantic Ocean

24 310

24 310

68 613

282,24

44 303

1,00

A

72 539

138 994

0

138 994

FR

GHL

1N2AB.

Greenland halibut

Norwegian waters of I and II

/

2 000

7 957

397,85

5 957

1,00

/

/

5 957

5 957

/

FR

HAD

7X7A34

Haddock

VIIb-k, VIII, IX and X; Union waters of CECAF 34.1.1

5 561 000

5 760 984

5 775 607

100,25

14 623

/

/

/

14 623

14 623

/

FR

PLE

7HJK.

Plaice

VIIh, VIIj and VIIk

17 000

57 007

59 833

104,95

2 826

/

/

/

2 826

2 826

/

FR

SRX

07D.

Skates and rays

Union waters of VIId

602 000

591 586

689 868

116,61

98 282

1,00

/

/

98 282

98 282

/

FR

SRX

89-C.

Skates and rays

Union waters of VIII and IX

1 298 000

1 507 000

1 578 469

104,74

71 469

/

/

/

71 469

71 469

/

IE

COD

07A.

Cod

VIIa

120 000

134 776

138 122

102,48

3 346

/

/

/

3 346

3 346

/

IE

SRX

67AKXD

Skates and rays

Union waters of VIa, VIb, VIIa-c and VIIe-k

1 048 000

946 554

1 044 694

110,37

98 140

1,00

/

/

98 140

98 140

/

NL

ANE

08.

Anchovy

VIII

/

0

12 493

N/A

12 493

1,00

/

/

12 493

12 493

/

NL

COD

2A3AX4

Cod

IV; Union waters of IIa; that part of IIIa not covered by the Skagerrak and Kattegat

2 800 000

1 340 520

1 348 815

100,62

8 295

/

(C) (8)

/

8 295

8 295

/

NL

HER

*25B-F

Herring

II, Vb north of 62° N (Faroes waters)

1 104 000

1 841 160

2 230 998

121,17

389 838

1,4

/

/

545 773

522 222

23 551

NL

HKE

3A/BCD

Hake

IIIa; Union waters of Subdivisions 22-32

/

0

1 575

N/A

1 575

1,00

A+C (13)

/

2 363

2 363

/

NL

MAC

*3A4BC

Mackerel

IIIa and IVbc

490 000

1 084 500

1 090 087

100,52

5 587

/

/

/

5 587

5 587

/

NL

POK

2A34.

Saithe

IIIa and IV; Union waters of IIa, IIIb, IIIc and Subdivisions 22-32

68 000

56 600

63 411

112,03

6 811

1,00

/

/

6 811

5 754

1 057

NL

SRX

2AC4-C

Skates and rays

Union waters of IIa and IV

180 000

245 300

252 765

103,04

7 465

/

/

/

7 465

7 465

/

NL

T/B

2AC4-C

Turbot and brill

Union waters of IIa and IV

2 579 000

2 783 000

2 793 239

100,37

10 239

/

/

/

10 239

10 239

/

NL

WHB

1X14

Blue whiting

Union and international waters of I, II, III, IV, V, VI, VII, VIIIa, VIIIb, VIIId, VIIIe, XII and XIV

36 711 000

55 297 456

55 584 332

100,52

286 876

/

/

/

286 876

286 876

/

NL

WHG

2AC4.

Whiting

IV; Union waters of IIa

699 000

527 900

547 717

103,75

19 817

/

/

/

19 817

19 817

/

NL

WHG

56-14

Whiting

VI; Union and international waters of Vb; international waters of XII and XIV

/

0

11 475

N/A

11 475

1,00

/

/

11 475

11 475

/

PT

GHL

1N2AB

Greenland Halibut

Norwegian waters of I and II

/

0

6 098

N/A

6 098

1,00

/

/

6 098

6 098

/

PT

POK

1N2AB.

Saithe

Norwegian waters of I and II

/

9 700

9 690

99,90

– 10

/

/

145 616

145 606

53

145 553

UK

COD

2A3AX4

Cod

IV; Union waters of IIa; that part of IIIa not covered by the Skagerrak and Kattegat

11 369 000

14 828 600

14 846 189

100,12

17 589

/

(C) (8)

/

17 589

17 589

/

UK

HER

4AB.

Herring

Union and Norwegian waters of IV north of 53° 30′ N

62 292 000

66 892 860

68 024 970

101,69

1 132 100

/

/

/

1 132 110

1 132 110

/

UK

MAC

2CX14-

Mackerel

VI, VII, VIIIa, VIIIb, VIIId and VIIIe; Union and international waters of Vb; international waters of IIa, XII and XIV

245 363 000

237 093 794

242 496 391

102,28

5 402 597

/

(A) (8)

/

5 402 597

5 402 597

/

UK

MAC

*3A4BC

Mackerel

IIIa and IVbc

490 000

620 500

626 677

101,00

6 177

/

/

/

6 177

6 177

/

UK

SAN

234_1

Sandeel

Union waters of sandeel management area 1

2 742 000

1 219 400

2 000 034

164,02

780 634

2,00

/

/

1 561 268

95 100

1 466 168

---

(1)  Quotas available to a Member State pursuant to the relevant fishing opportunities Regulations after taking into account exchanges of fishing opportunities in accordance with Article 16(8) of Regulation (EU) No 1380/2013 of the European Parliament and of the Council (OJ L 354, 28.12.2013, p. 22), quota transfers from 2014 to 2015 in accordance with Article 4(2) of Council Regulation (EC) No 847/96 (OJ L 115, 9.5.1996, p. 3), with Article 5a of Council Regulation (EU) No 1221/2014 (OJ L 330, 15.11.2014, p. 16), with Article 18a of Council Regulation (EU) 2015/104 (OJ L 22, 28.1.2015, p. 1) or reallocation and deduction of fishing opportunities in accordance with Articles 37 and 105 of Regulation (EC) No 1224/2009.

1

(2)  As set out in Article 105(2) of Regulation (EC) No 1224/2009. Deduction equal to the overfishing * 1,00 shall apply in all cases of overfishing equal to, or less than, 100 tonnes.

2

(3)  As set out in Article 105(3) of Regulation (EC) No 1224/2009 and provided that the extent of overfishing exceeds 10 %.

3

(4)  Letter “A” indicates that an additional multiplying factor of 1,5 has been applied due to consecutive overfishing in the years 2013, 2014 and 2015. Letter “C” indicates that an additional multiplying factor of 1,5 has been applied as the stock is subject to a multiannual plan.

4

(5)  Remaining quantities that could not be deducted in 2015 pursuant to Regulation (EU) 2015/1801 as amended by Regulation (EU) 2015/2404 because there was no or not sufficient quota available.

5

(6)  Deductions to operate in 2016 as established by Commission Implementing Regulation (EU) 2016/2226 (OJ L 336, 10.12.2016, p. 38).

6

(7)  Deductions to operate in 2016 that could be actually applied considering the available quota on the day of entry into force of Implementing Regulation (EU) 2016/2226.

7

(8)  Additional multiplying factor not applicable because the overfishing does not exceed 10 % of the permitted landings.

8

(9)  Remaining unused quantity after the transfer of 8 005 kilograms from 2015 to 2016 operated pursuant to Commission Implementing Regulation (EU) 2016/1142 (OJ L 189, 14.7.2016, p. 9).

9

(10)  Remaining unused quantity after the transfer of 3 004 kilograms from 2015 to 2016 operated pursuant to Implementing Regulation (EU) 2016/1142.

10

(11)  Quantities below 1 tonne are not considered.

11

(12)  At Germany's request, additional landings up to 10 % of the T/B quota were permitted by the Commission according to Article 3(3) of Regulation (EC) No 847/96.

12

(13)  Additional multiplying factors are not cumulative and operated only once.

13

(14)  To be deducted from SAN/234_3 (sandeel management area 3).

14

(15)  At Spain's request, the deduction of 263 535 kilos due in 2016 will be equally spread over two years (2016 and 2017).’

15

---

| 1.2.2017 | EN | Official Journal of the European Union | L 27/113 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/113

---

COMMISSION IMPLEMENTING REGULATION (EU) 2017/163

of 31 January 2017

establishing the standard import values for determining the entry price of certain fruit and vegetables

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 (1),

Having regard to Commission Implementing Regulation (EU) No 543/2011 of 7 June 2011 laying down detailed rules for the application of Council Regulation (EC) No 1234/2007 in respect of the fruit and vegetables and processed fruit and vegetables sectors (2), and in particular Article 136(1) thereof,

Whereas:

| (1) | Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto. |
| --- | --- |

(1)

Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto.

| (2) | The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the Official Journal of the European Union, |
| --- | --- |

(2)

The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the Official Journal of the European Union,

HAS ADOPTED THIS REGULATION:

Article 1

The standard import values referred to in Article 136 of Implementing Regulation (EU) No 543/2011 are fixed in the Annex to this Regulation.

Article 2

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

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

Done at Brussels, 31 January 2017.

For the Commission,

On behalf of the President,

Jerzy PLEWA

Director-General

Directorate-General for Agriculture and Rural Development

---

(1)  
  OJ L 347, 20.12.2013, p. 671.

1

(2)  
  OJ L 157, 15.6.2011, p. 1.

2

---

ANNEX

Standard import values for determining the entry price of certain fruit and vegetables

| (EUR/100 kg) |
| --- |
| CN code | Third country code (1) | Standard import value |
| 0702 00 00 | IL | 299,8 |
| MA | 135,7 |
| SN | 268,2 |
| TR | 158,2 |
| ZZ | 215,5 |
| 0707 00 05 | MA | 79,2 |
| TR | 195,6 |
| ZZ | 137,4 |
| 0709 91 00 | EG | 79,4 |
| ZZ | 79,4 |
| 0709 93 10 | MA | 273,9 |
| TR | 295,3 |
| ZZ | 284,6 |
| 0805 10 22 , 0805 10 24 , 0805 10 28 | EG | 47,2 |
| MA | 48,5 |
| TN | 51,7 |
| TR | 71,6 |
| ZZ | 54,8 |
| 0805 21 10 , 0805 21 90 , 0805 29 00 | EG | 91,2 |
| IL | 140,1 |
| JM | 106,9 |
| MA | 88,4 |
| TR | 83,1 |
| ZZ | 101,9 |
| 0805 22 00 | IL | 139,7 |
| MA | 83,2 |
| ZZ | 111,5 |
| 0805 50 10 | EG | 85,5 |
| TR | 70,9 |
| ZZ | 78,2 |
| 0808 10 80 | US | 205,0 |
| ZZ | 205,0 |
| 0808 30 90 | CL | 81,7 |
| CN | 81,5 |
| TR | 154,0 |
| ZA | 100,3 |
| ZZ | 104,4 |

(EUR/100 kg)

CN code

Third country code (1)

Standard import value

0702 00 00

IL

299,8

MA

135,7

SN

268,2

TR

158,2

ZZ

215,5

0707 00 05

MA

79,2

TR

195,6

ZZ

137,4

0709 91 00

EG

79,4

ZZ

79,4

0709 93 10

MA

273,9

TR

295,3

ZZ

284,6

0805 10 22 , 0805 10 24 , 0805 10 28

EG

47,2

MA

48,5

TN

51,7

TR

71,6

ZZ

54,8

0805 21 10 , 0805 21 90 , 0805 29 00

EG

91,2

IL

140,1

JM

106,9

MA

88,4

TR

83,1

ZZ

101,9

0805 22 00

IL

139,7

MA

83,2

ZZ

111,5

0805 50 10

EG

85,5

TR

70,9

ZZ

78,2

0808 10 80

US

205,0

ZZ

205,0

0808 30 90

CL

81,7

CN

81,5

TR

154,0

ZA

100,3

ZZ

104,4

---

(1)  Nomenclature of countries laid down by Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament and of the Council on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries and territories (OJ L 328, 28.11.2012, p. 7). Code ‘ZZ’ stands for ‘of other origin’.

---

DIRECTIVES

| 1.2.2017 | EN | Official Journal of the European Union | L 27/115 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/115

---

COMMISSION DIRECTIVE (EU) 2017/164

of 31 January 2017

establishing a fourth list of indicative occupational exposure limit values pursuant to Council Directive 98/24/EC, and amending Commission Directives 91/322/EEC, 2000/39/EC and 2009/161/EU

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Council Directive 98/24/EC of 7 April 1998 on the protection of the health and safety of workers from the risks related to chemical agents at work (1) (‘Directive 98/24/EC’), and in particular Article 3(2),

Whereas:

| (1) | Pursuant to Directive 98/24/EC, the Commission is to propose Union objectives in the form of indicative occupational exposure limit values (IOELVs) to be set at Union level, in order to protect workers from risks arising from exposure to hazardous chemicals. |
| --- | --- |

(1)

Pursuant to Directive 98/24/EC, the Commission is to propose Union objectives in the form of indicative occupational exposure limit values (IOELVs) to be set at Union level, in order to protect workers from risks arising from exposure to hazardous chemicals.

| (2) | Article 3(2) of Directive 98/24/EC empowers the Commission to establish or revise IOELVs, taking into account the availability of measurement techniques by means of measures adopted in accordance with the procedure laid down in Article 17 of Council Directive 89/391/EEC (2). |
| --- | --- |

(2)

Article 3(2) of Directive 98/24/EC empowers the Commission to establish or revise IOELVs, taking into account the availability of measurement techniques by means of measures adopted in accordance with the procedure laid down in Article 17 of Council Directive 89/391/EEC (2).

| (3) | The Commission is assisted in this task by the Scientific Committee on Occupational Exposure Limits for Chemical Agents (SCOEL), set up by Commission Decision 2014/113/EU (3). |
| --- | --- |

(3)

The Commission is assisted in this task by the Scientific Committee on Occupational Exposure Limits for Chemical Agents (SCOEL), set up by Commission Decision 2014/113/EU (3).

| (4) | In accordance with Directive 98/24/EC, ‘occupational exposure limit value’ means, unless otherwise specified, the limit of the time-weighted average of the concentration of a chemical agent in the air within the breathing zone of a worker in relation to a specified reference period. |
| --- | --- |

(4)

In accordance with Directive 98/24/EC, ‘occupational exposure limit value’ means, unless otherwise specified, the limit of the time-weighted average of the concentration of a chemical agent in the air within the breathing zone of a worker in relation to a specified reference period.

| (5) | IOELVs are health-based occupational exposure limit values that are derived by SCOEL from the most recent scientific data available and adopted by the Commission taking into account the availability of measurement techniques. They are threshold levels of exposure below which, in general, no detrimental effects are expected for any given chemical agent after short-term or daily exposure over a working lifetime. They constitute Union objectives and are designed to assist employers in determining and assessing risks and in implementing preventive and protective measures in accordance with Directive 98/24/EC. |
| --- | --- |

(5)

IOELVs are health-based occupational exposure limit values that are derived by SCOEL from the most recent scientific data available and adopted by the Commission taking into account the availability of measurement techniques. They are threshold levels of exposure below which, in general, no detrimental effects are expected for any given chemical agent after short-term or daily exposure over a working lifetime. They constitute Union objectives and are designed to assist employers in determining and assessing risks and in implementing preventive and protective measures in accordance with Directive 98/24/EC.

| (6) | In accordance with SCOEL recommendations, IOELVs are established in relation to a reference period of 8 hours time-weighted average (long-term exposure limit values) and, for certain chemical agents, to shorter reference periods, in general 15 minutes time-weighted average (short-term exposure limit values), to take account of the effects arising from short-term exposure. |
| --- | --- |

(6)

In accordance with SCOEL recommendations, IOELVs are established in relation to a reference period of 8 hours time-weighted average (long-term exposure limit values) and, for certain chemical agents, to shorter reference periods, in general 15 minutes time-weighted average (short-term exposure limit values), to take account of the effects arising from short-term exposure.

| (7) | For any chemical agent for which an IOELV has been set at Union level, Member States are required to establish a national occupational exposure limit value. In doing so, they are required to take into account the Union limit value, determining the nature of the national limit value in accordance with national legislation and practice. |
| --- | --- |

(7)

For any chemical agent for which an IOELV has been set at Union level, Member States are required to establish a national occupational exposure limit value. In doing so, they are required to take into account the Union limit value, determining the nature of the national limit value in accordance with national legislation and practice.

| (8) | IOELVs are an important part of the general arrangements for the protection of workers against the health risks arising from exposure to hazardous chemicals. |
| --- | --- |

(8)

IOELVs are an important part of the general arrangements for the protection of workers against the health risks arising from exposure to hazardous chemicals.

| (9) | In accordance with Article 3 of Directive 98/24/EC, SCOEL has assessed the relationship between the health effects of the chemical agents listed in the 31 entries in the Annex to this Directive and the level of occupational exposure and recommended for all those chemical agents, the establishment of IOELVs for the inhalation route of exposure in relation to a reference period of 8 hours time-weighted average. It is therefore appropriate to establish long-term exposure limit values for all those agents in the Annex to this Directive. |
| --- | --- |

(9)

In accordance with Article 3 of Directive 98/24/EC, SCOEL has assessed the relationship between the health effects of the chemical agents listed in the 31 entries in the Annex to this Directive and the level of occupational exposure and recommended for all those chemical agents, the establishment of IOELVs for the inhalation route of exposure in relation to a reference period of 8 hours time-weighted average. It is therefore appropriate to establish long-term exposure limit values for all those agents in the Annex to this Directive.

| (10) | For some of those chemical agents, SCOEL also recommended the establishment of such limit values in relation to shorter reference periods and/or of skin notations. |
| --- | --- |

(10)

For some of those chemical agents, SCOEL also recommended the establishment of such limit values in relation to shorter reference periods and/or of skin notations.

| (11) | Four of those chemical agents — nitrogen monoxide, calcium dihydroxide, lithium hydride and acetic acid — are currently listed in the Annex to Commission Directive 91/322/EEC (4). |
| --- | --- |

(11)

Four of those chemical agents — nitrogen monoxide, calcium dihydroxide, lithium hydride and acetic acid — are currently listed in the Annex to Commission Directive 91/322/EEC (4).

| (12) | One of those chemical agents, 1,4-dichlorobenzene, is currently listed in the Annex to Commission Directive 2000/39/EC (5). |
| --- | --- |

(12)

One of those chemical agents, 1,4-dichlorobenzene, is currently listed in the Annex to Commission Directive 2000/39/EC (5).

| (13) | Another, bisphenol A, is currently listed in the Annex to Commission Directive 2009/161/EU (6). |
| --- | --- |

(13)

Another, bisphenol A, is currently listed in the Annex to Commission Directive 2009/161/EU (6).

| (14) | SCOEL has recommended for those agents the establishment of new IOELVs. It is therefore appropriate to include revised limit values for those six chemical agents in the Annex to this Directive and to delete the entries for those chemical agents from the Annexes to Directives 91/322/EEC, 2000/39/EC and 2009/161/EU. |
| --- | --- |

(14)

SCOEL has recommended for those agents the establishment of new IOELVs. It is therefore appropriate to include revised limit values for those six chemical agents in the Annex to this Directive and to delete the entries for those chemical agents from the Annexes to Directives 91/322/EEC, 2000/39/EC and 2009/161/EU.

| (15) | For 1 of the chemical agents listed in the 31 entries in the Annex to this Directive, acrylic acid, SCOEL recommended a short-term exposure limit value in relation to a reference period of 1 minute. It is therefore appropriate to establish such a short-term exposure limit value for this chemical agent in the Annex to this Directive. |
| --- | --- |

(15)

For 1 of the chemical agents listed in the 31 entries in the Annex to this Directive, acrylic acid, SCOEL recommended a short-term exposure limit value in relation to a reference period of 1 minute. It is therefore appropriate to establish such a short-term exposure limit value for this chemical agent in the Annex to this Directive.

| (16) | For certain substances, it is necessary to take into account the possibility of penetration through the skin in order to ensure the best possible level of protection. Among the chemical agents listed in the 31 entries in the Annex to this Directive, SCOEL identified the possibility of significant uptake through the skin for glycerol trinitrate, carbon tetrachloride, hydrogen cyanide, methylene chloride, nitroethane, 1,4-dichlorobenzene, methyl formate, tetrachloroethylene, sodium cyanide and potassium cyanide. It is therefore appropriate to set in the Annex to this Directive notations indicating the possibility of significant uptake through the skin for these chemical agents, in addition to the IOELVs. |
| --- | --- |

(16)

For certain substances, it is necessary to take into account the possibility of penetration through the skin in order to ensure the best possible level of protection. Among the chemical agents listed in the 31 entries in the Annex to this Directive, SCOEL identified the possibility of significant uptake through the skin for glycerol trinitrate, carbon tetrachloride, hydrogen cyanide, methylene chloride, nitroethane, 1,4-dichlorobenzene, methyl formate, tetrachloroethylene, sodium cyanide and potassium cyanide. It is therefore appropriate to set in the Annex to this Directive notations indicating the possibility of significant uptake through the skin for these chemical agents, in addition to the IOELVs.

| (17) | The Advisory Committee on Health and Safety at Work (7), consulted in accordance with Article 3(2) of Directive 98/24/EC, recognised that there were concerns regarding the technical feasibility of the proposed IOELVs for nitrogen monoxide and nitrogen dioxide in underground mining and tunnelling, and for carbon monoxide in underground mining. The committee also acknowledged that there are currently challenges relating to the availability of measurement methodologies that could be used to demonstrate compliance with the proposed limit value for nitrogen dioxide in underground mining and tunnelling environments. It is therefore appropriate to allow the Member States to make use of a transitional period in respect of the implementation in underground mining and tunnelling of the limit values set for nitrogen monoxide, nitrogen dioxide and carbon monoxide in the Annex to this Directive, and for the Commission to review the aforementioned issues before the end of the transitional period. During that transitional period, Member States may continue to apply the existing limit values, instead of applying those established in the Annex to this Directive. |
| --- | --- |

(17)

The Advisory Committee on Health and Safety at Work (7), consulted in accordance with Article 3(2) of Directive 98/24/EC, recognised that there were concerns regarding the technical feasibility of the proposed IOELVs for nitrogen monoxide and nitrogen dioxide in underground mining and tunnelling, and for carbon monoxide in underground mining. The committee also acknowledged that there are currently challenges relating to the availability of measurement methodologies that could be used to demonstrate compliance with the proposed limit value for nitrogen dioxide in underground mining and tunnelling environments. It is therefore appropriate to allow the Member States to make use of a transitional period in respect of the implementation in underground mining and tunnelling of the limit values set for nitrogen monoxide, nitrogen dioxide and carbon monoxide in the Annex to this Directive, and for the Commission to review the aforementioned issues before the end of the transitional period. During that transitional period, Member States may continue to apply the existing limit values, instead of applying those established in the Annex to this Directive.

| (18) | In accordance with the Joint Political Declaration of 28 September 2011 of Member States and the Commission on explanatory documents (8), Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. |
| --- | --- |

(18)

In accordance with the Joint Political Declaration of 28 September 2011 of Member States and the Commission on explanatory documents (8), Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments.

| (19) | With regard to this Directive, the Commission considers the transmission of such documents in the form of a table showing the correlation between the national measures and this Directive to be justified, given that for some agents national occupational exposure limit values already exist in national legislation, and given the variety and the technical nature of the legal instruments at national level for the establishment of occupational exposure limit values. |
| --- | --- |

(19)

With regard to this Directive, the Commission considers the transmission of such documents in the form of a table showing the correlation between the national measures and this Directive to be justified, given that for some agents national occupational exposure limit values already exist in national legislation, and given the variety and the technical nature of the legal instruments at national level for the establishment of occupational exposure limit values.

| (20) | The Advisory Committee on Safety and Health at Work gave its opinions on 27 November 2014 and 21 May 2015. |
| --- | --- |

(20)

The Advisory Committee on Safety and Health at Work gave its opinions on 27 November 2014 and 21 May 2015.

| (21) | The measures provided for in this Directive are in accordance with the opinion of the Technical Progress Committee established under Article 17 of Council Directive 89/391/EEC, |
| --- | --- |

(21)

The measures provided for in this Directive are in accordance with the opinion of the Technical Progress Committee established under Article 17 of Council Directive 89/391/EEC,

HAS ADOPTED THIS DIRECTIVE:

Article 1

A fourth list of Union indicative occupational exposure limit values is hereby established for the chemical agents listed in the Annex.

Article 2

Member States shall establish national occupational exposure limit values for the chemical agents listed in the Annex, taking into account the Union limit values.

Article 3

In the Annex to Directive 91/322/EEC, the references to acetic acid, calcium dihydroxide, lithium hydride and nitrogen monoxide are deleted with effect from 21 August 2018, subject to Article 6(2)(a).

Article 4

In the Annex to Directive 2000/39/EC, the reference to 1,4-dichlorobenzene is deleted with effect from 21 August 2018.

Article 5

In the Annex to Directive 2009/161/EU, the reference to bisphenol A is deleted with effect from 21 August 2018.

Article 6

1.   In underground mining and tunnelling, Member States may benefit from a transitional period ending at the latest on 21 August 2023, as regards the limit values for nitrogen monoxide, nitrogen dioxide and carbon monoxide.

2.   During the transitional period referred to in paragraph 1, Member States may continue to apply the following, instead of applying the limit values established in the Annex:

| (a) | in respect of nitrogen monoxide: the existing limit values established in accordance with the Annex to Directive 91/322/EEC; |
| --- | --- |

(a)

in respect of nitrogen monoxide: the existing limit values established in accordance with the Annex to Directive 91/322/EEC;

| (b) | in respect of nitrogen dioxide and carbon monoxide: national limit values in force on 1 February 2017. |
| --- | --- |

(b)

in respect of nitrogen dioxide and carbon monoxide: national limit values in force on 1 February 2017.

Article 7

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 21 August 2018 at the latest.

They shall forthwith communicate to the Commission the text of those provisions and shall accompany their notification with one or more explanatory documents in the form of tables showing the correlation between the provisions and this Directive.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

Article 8

This Directive shall enter into force on the 20th day following that of its publication in the Official Journal of the European Union.

Article 9

This Directive is addressed to the Member States.

Done at Brussels, 31 January 2017.

For the Commission

The President

Jean-Claude JUNCKER

---

(1)  
  OJ L 131, 5.5.1998, p. 11.

1

(2)  Council Directive 89/391/EEC of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health of workers at work (OJ L 183, 29.6.1989, p. 1).

2

(3)  Commission Decision 2014/113/EU of 3 March 2014 on setting up a Scientific Committee on Occupational Exposure Limits for Chemical Agents and repealing Decision 95/320/EC (OJ L 62, 4.3.2014, p. 18).

3

(4)  Commission Directive 91/322/EEC of 29 May 1991 on establishing indicative limit values by implementing Council Directive 80/1107/EEC on the protection of workers from the risks related to exposure to chemical, physical and biological agents at work (OJ L 177, 5.7.1991, p. 22).

4

(5)  Commission Directive 2000/39/EC of 8 June 2000 establishing a first list of indicative occupational exposure limit values in implementation of Council Directive 98/24/EC on the protection of the health and safety of workers from the risks related to chemical agents at work (OJ L 142, 16.6.2000, p. 47).

5

(6)  Commission Directive 2009/161/EU of 17 December 2009 establishing a third list of indicative occupational exposure limit values in implementation of Council Directive 98/24/EC and amending Commission Directive 2000/39/EC (OJ L 338, 19.12.2009, p. 87).

6

(7)  Council Decision 2003/C 218/01 of 22 July 2003 setting up an Advisory Committee on Safety and Health at Work (OJ C 218, 13.9.2003, p. 1).

7

(8)  
  OJ C 369, 17.12.2011, p. 14.

8

---

ANNEX

| EC No (1) | CAS No (2) | NAME OF THE CHEMICAL AGENT | LIMIT VALUES | Notation (3) |
| --- | --- | --- | --- | --- |
| 8 hours (4) | Short-term (5) |
| mg/m3
   (6) | ppm (7) | mg/m3
   (6) | ppm (7) |
| — | — | Manganese and inorganic manganese compounds
  (as manganese) | 0,2 (8)

  0,05 (9) | — | — | — | — |
| 200-240-8 | 55-63-0 | Glycerol trinitrate | 0,095 | 0,01 | 0,19 | 0,02 | skin |
| 200-262-8 | 56-23-5 | Carbon tetrachloride; Tetrachloromethane | 6,4 | 1 | 32 | 5 | skin |
| 200-521-5 | 61-82-5 | Amitrole | 0,2 | — | — | — | — |
| 200-580-7 | 64-19-7 | Acetic acid | 25 | 10 | 50 | 20 | — |
| 200-821-6 | 74-90-8 | Hydrogen cyanide
  (as cyanide) | 1 | 0,9 | 5 | 4,5 | skin |
| 200-838-9 | 75-09-2 | Methylene chloride; Dichloromethane | 353 | 100 | 706 | 200 | skin |
| 200-864-0 | 75-35-4 | Vinylidene chloride; 1,1-Dichloroethylene | 8 | 2 | 20 | 5 | — |
| 201-083-8 | 78-10-4 | Tetraethyl orthosilicate | 44 | 5 | — | — | — |
| 201-177-9 | 79-10-7 | Acrylic acid; Prop-2-enoic acid | 29 | 10 | 59 (10) | 20 (10) | — |
| 201-188-9 | 79-24-3 | Nitroethane | 62 | 20 | 312 | 100 | skin |
| 201-245-8 | 80-05-7 | Bisphenol A; 4,4′-Isopropylidenediphenol | 2 (8) | — | — | — | — |
| 202-981-2 | 101-84-8 | Diphenyl ether | 7 | 1 | 14 | 2 | — |
| 203-234-3 | 104-76-7 | 2-ethylhexan-1-ol | 5,4 | 1 | — | — | — |
| 203-400-5 | 106-46-7 | 1,4-Dichlorobenzene; p-Dichlorobenzene | 12 | 2 | 60 | 10 | skin |
| 203-453-4 | 107-02-8 | Acrolein; Acrylaldehyde; Prop-2-enal | 0,05 | 0,02 | 0,12 | 0,05 | — |
| 203-481-7 | 107-31-3 | Methyl formate | 125 | 50 | 250 | 100 | skin |
| 203-788-6 | 110-65-6 | But-2-yne-1,4-diol | 0,5 | — | — | — | — |
| 204-825-9 | 127-18-4 | Tetrachloroethylene | 138 | 20 | 275 | 40 | skin |
| 205-500-4 | 141-78-6 | Ethyl acetate | 734 | 200 | 1 468 | 400 | — |
| 205-599-4 | 143-33-9 | Sodium cyanide
  (as cyanide) | 1 | — | 5 | — | skin |
| 205-792-3 | 151-50-8 | Potassium cyanide
  (as cyanide) | 1 | — | 5 | — | skin |
| 207-069-8 | 431-03-8 | Diacetyl; Butanedione | 0,07 | 0,02 | 0,36 | 0,1 | — |
| 211-128-3 | 630-08-0 | Carbon monoxide | 23 | 20 | 117 | 100 | — |
| 215-137-3 | 1305-62-0 | Calcium dihydroxide | 1 (9) | — | 4 (9) | — | — |
| 215-138-9 | 1305-78-8 | Calcium oxide | 1 (9) | — | 4 (9) | — | — |
| 231-195-2 | 7446-09-5 | Sulphur dioxide | 1,3 | 0,5 | 2,7 | 1 | — |
| 231-484-3 | 7580-67-8 | Lithium hydride | — | — | 0,02 (8) | — | — |
| 233-271-0 | 10102-43-9 | Nitrogen monoxide | 2,5 | 2 | — | — | — |
| 233-272-6 | 10102-44-0 | Nitrogen dioxide | 0,96 | 0,5 | 1,91 | 1 | — |
| 262-967-7 | 61788-32-7 | Terphenyl, hydrogenated | 19 | 2 | 48 | 5 | — |

EC No (1)

CAS No (2)

NAME OF THE CHEMICAL AGENT

LIMIT VALUES

Notation (3)

8 hours (4)

Short-term (5)

mg/m3
   (6)

ppm (7)

mg/m3
   (6)

ppm (7)

—

—

Manganese and inorganic manganese compounds

(as manganese)

0,2 (8)

0,05 (9)

—

—

—

—

200-240-8

55-63-0

Glycerol trinitrate

0,095

0,01

0,19

0,02

skin

200-262-8

56-23-5

Carbon tetrachloride; Tetrachloromethane

6,4

1

32

5

skin

200-521-5

61-82-5

Amitrole

0,2

—

—

—

—

200-580-7

64-19-7

Acetic acid

25

10

50

20

—

200-821-6

74-90-8

Hydrogen cyanide

(as cyanide)

1

0,9

5

4,5

skin

200-838-9

75-09-2

Methylene chloride; Dichloromethane

353

100

706

200

skin

200-864-0

75-35-4

Vinylidene chloride; 1,1-Dichloroethylene

8

2

20

5

—

201-083-8

78-10-4

Tetraethyl orthosilicate

44

5

—

—

—

201-177-9

79-10-7

Acrylic acid; Prop-2-enoic acid

29

10

59 (10)

20 (10)

—

201-188-9

79-24-3

Nitroethane

62

20

312

100

skin

201-245-8

80-05-7

Bisphenol A; 4,4′-Isopropylidenediphenol

2 (8)

—

—

—

—

202-981-2

101-84-8

Diphenyl ether

7

1

14

2

—

203-234-3

104-76-7

2-ethylhexan-1-ol

5,4

1

—

—

—

203-400-5

106-46-7

1,4-Dichlorobenzene; p-Dichlorobenzene

12

2

60

10

skin

203-453-4

107-02-8

Acrolein; Acrylaldehyde; Prop-2-enal

0,05

0,02

0,12

0,05

—

203-481-7

107-31-3

Methyl formate

125

50

250

100

skin

203-788-6

110-65-6

But-2-yne-1,4-diol

0,5

—

—

—

—

204-825-9

127-18-4

Tetrachloroethylene

138

20

275

40

skin

205-500-4

141-78-6

Ethyl acetate

734

200

1 468

400

—

205-599-4

143-33-9

Sodium cyanide

(as cyanide)

1

—

5

—

skin

205-792-3

151-50-8

Potassium cyanide

(as cyanide)

1

—

5

—

skin

207-069-8

431-03-8

Diacetyl; Butanedione

0,07

0,02

0,36

0,1

—

211-128-3

630-08-0

Carbon monoxide

23

20

117

100

—

215-137-3

1305-62-0

Calcium dihydroxide

1 (9)

—

4 (9)

—

—

215-138-9

1305-78-8

Calcium oxide

1 (9)

—

4 (9)

—

—

231-195-2

7446-09-5

Sulphur dioxide

1,3

0,5

2,7

1

—

231-484-3

7580-67-8

Lithium hydride

—

—

0,02 (8)

—

—

233-271-0

10102-43-9

Nitrogen monoxide

2,5

2

—

—

—

233-272-6

10102-44-0

Nitrogen dioxide

0,96

0,5

1,91

1

—

262-967-7

61788-32-7

Terphenyl, hydrogenated

19

2

48

5

—

---

(1)

EC No: European Community (EC) number, the numerical identifier for substances within the European Union.

(2)

CAS No: Chemical Abstract Service Registry Number.

(3)  A skin notation assigned to the occupational exposure limit value indicates the possibility of significant uptake through the skin.

(4)  Measured or calculated in relation to a reference period of 8 hours time-weighted average (TWA).

(5)  Short-term exposure limit (STEL). A limit value above which exposure should not occur and which is related to a 15-minute period unless otherwise specified.

(6)

mg/m3
  : milligrams per cubic metre of air. For chemicals in gas or vapour phase the limit value is expressed at 20 °C and 101,3 kPa.

(7)

ppm: parts per million by volume in air (ml/m3).

(8)  Inhalable fraction.

(9)  Respirable fraction.

(10)  Short-term exposure limit value in relation to a reference period of 1 minute.

---

DECISIONS

| 1.2.2017 | EN | Official Journal of the European Union | L 27/121 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/121

---

COUNCIL DECISION (EU) 2017/165

of 27 January 2017

appointing a member and twelve alternate members, proposed by the Republic of France of the Committee of the Regions

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 305 thereof,

Having regard to the proposal of the French Government,

Whereas:

| (1) | On 26 January 2015, 5 February 2015 and 23 June 2015, the Council adopted Decisions (EU) 2015/116 (1), (EU) 2015/190 (2) and (EU) 2015/994 (3) appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020. |
| --- | --- |

(1)

On 26 January 2015, 5 February 2015 and 23 June 2015, the Council adopted Decisions (EU) 2015/116 (1), (EU) 2015/190 (2) and (EU) 2015/994 (3) appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020.

| (2) | One member's seat on the Committee of the Regions has become vacant following the end of the term of office of Mr Laurent BEAUVAIS. |
| --- | --- |

(2)

One member's seat on the Committee of the Regions has become vacant following the end of the term of office of Mr Laurent BEAUVAIS.

| (3) | Eleven alternate members' seats on the Committee of the Regions have become vacant following the end of the terms of office of Ms Josette BOREL-LINCERTIN, Ms Nathalie COLIN-OESTERLE, Ms Marie-Marguerite DUFAY, Mr Daniel DUGLERY, Mr Nicolas FLORIAN, Ms Karine GLOANEC-MAURIN, Mr Hervé HOCQUARD, Mr Jean-Louis JOSEPH, Mr Daniel PERCHERON, Mr Christophe ROSSIGNOL and Mr Michel VAUZELLE. |
| --- | --- |

(3)

Eleven alternate members' seats on the Committee of the Regions have become vacant following the end of the terms of office of Ms Josette BOREL-LINCERTIN, Ms Nathalie COLIN-OESTERLE, Ms Marie-Marguerite DUFAY, Mr Daniel DUGLERY, Mr Nicolas FLORIAN, Ms Karine GLOANEC-MAURIN, Mr Hervé HOCQUARD, Mr Jean-Louis JOSEPH, Mr Daniel PERCHERON, Mr Christophe ROSSIGNOL and Mr Michel VAUZELLE.

| (4) | One alternate member's seat on the Committee of the Regions has become vacant following the end of the mandate on the basis of which Mr Guillaume CROS (Conseiller régional de Midi-Pyrénées) was proposed, |
| --- | --- |

(4)

One alternate member's seat on the Committee of the Regions has become vacant following the end of the mandate on the basis of which Mr Guillaume CROS (Conseiller régional de Midi-Pyrénées) was proposed,

HAS ADOPTED THIS DECISION:

Article 1

The following are hereby appointed to the Committee of the Regions for the remainder of the current term of office, which runs until 25 January 2020:

| (a) | as a member:


  — | Mr Gérard LAHELLEC, Vice-président du Conseil régional de Bretagne; |
| --- | --- | --- |

(a)

as a member:

—

Mr Gérard LAHELLEC, Vice-président du Conseil régional de Bretagne;

| (b) | as alternate members:


  — | Mr Patrick AYACHE, Vice-président du Conseil régional de Bourgogne-Franche-Comté, |
| --- | --- | --- |

(b)

as alternate members:

—

Mr Patrick AYACHE, Vice-président du Conseil régional de Bourgogne-Franche-Comté,

| — | Mr Frank CECCONI, Conseiller régional du Conseil régional d'Ile de France, |
| --- | --- |

—

Mr Frank CECCONI, Conseiller régional du Conseil régional d'Ile de France,

| — | Ms Yolaine COSTES, Vice-présidente du Conseil régional de La Réunion, |
| --- | --- |

—

Ms Yolaine COSTES, Vice-présidente du Conseil régional de La Réunion,

| — | Mr Guillaume CROS, Vice-président du Conseil régional d'Occitanie (change of mandate), |
| --- | --- |

—

Mr Guillaume CROS, Vice-président du Conseil régional d'Occitanie (change of mandate),

| — | Mr Harold HUWART, Vice-président du Conseil régional du Centre-Val de Loire, |
| --- | --- |

—

Mr Harold HUWART, Vice-président du Conseil régional du Centre-Val de Loire,

| — | Ms Valérie LETARD, Vice-présidente du Conseil régional des Hauts-de-France, |
| --- | --- |

—

Ms Valérie LETARD, Vice-présidente du Conseil régional des Hauts-de-France,

| — | Ms Marie-Luce PENCHARD, Vice-présidente du Conseil régional de Guadeloupe, |
| --- | --- |

—

Ms Marie-Luce PENCHARD, Vice-présidente du Conseil régional de Guadeloupe,

| — | Mr Jean-Jack QUEYRANNE, Conseiller régional du Conseil régional d'Auvergne-Rhône-Alpes, |
| --- | --- |

—

Mr Jean-Jack QUEYRANNE, Conseiller régional du Conseil régional d'Auvergne-Rhône-Alpes,

| — | Ms Agnès RAMPAL, Conseillère régionale du Conseil régional de Provence-Alpes-Côte d'Azur, |
| --- | --- |

—

Ms Agnès RAMPAL, Conseillère régionale du Conseil régional de Provence-Alpes-Côte d'Azur,

| — | Mr Gilles SIMEONI, Président du Conseil exécutif de la Collectivité territoriale de Corse, |
| --- | --- |

—

Mr Gilles SIMEONI, Président du Conseil exécutif de la Collectivité territoriale de Corse,

| — | Ms Sandra TORRES, Conseillère régionale du Conseil régional de Provence-Alpes-Côte d'Azur, |
| --- | --- |

—

Ms Sandra TORRES, Conseillère régionale du Conseil régional de Provence-Alpes-Côte d'Azur,

| — | Mr Patrice VOIR, Conseiller régional du Conseil régional d'Auvergne-Rhône-Alpes. |
| --- | --- |

—

Mr Patrice VOIR, Conseiller régional du Conseil régional d'Auvergne-Rhône-Alpes.

Article 2

This Decision shall enter into force on the date of its adoption.

Done at Brussels, 27 January 2017.

For the Council

The President

E. SCICLUNA

---

(1)  Council Decision (EU) 2015/116 of 26 January 2015 appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020 (OJ L 20, 27.1.2015, p. 42).

1

(2)  Council Decision (EU) 2015/190 of 5 February 2015 appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020 (OJ L 31, 7.2.2015, p. 25).

2

(3)  Council Decision (EU) 2015/994 of 23 June 2015 appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020 (OJ L 159, 25.6.2015, p. 70).

3

---

| 1.2.2017 | EN | Official Journal of the European Union | L 27/123 |
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1.2.2017

EN

Official Journal of the European Union

L 27/123

---

COMMISSION DECISION (EU) 2017/166

of 27 November 2015

on State aid SA.38831 (2014/C) (ex 2014/N) which Portugal is planning to implement for Volkswagen Autoeuropa, Lda

(notified under document C(2015) 8232)

(Only the Portuguese text is authentic)

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union, and in particular the first subparagraph of Article 108(2) thereof,

Having regard to the Agreement on the European Economic Area, and in particular Article 62(1)(a) thereof,

Having called on interested parties to submit their comments pursuant to the provision(s) (1),

Whereas:

1.   PROCEDURE

PROCEDURE

| (1) | By electronic notification registered on 30 June 2014, Portugal notified regional investment aid it had granted, subject to its approval by the Commission, on 30 April 2014 to Volkswagen Autoeuropa, Lda (hereinafter ‘Autoeuropa’). |
| --- | --- |

(1)

By electronic notification registered on 30 June 2014, Portugal notified regional investment aid it had granted, subject to its approval by the Commission, on 30 April 2014 to Volkswagen Autoeuropa, Lda (hereinafter ‘Autoeuropa’).

| (2) | By letter dated 2 October 2014, the Commission informed Portugal that it had decided to initiate the procedure laid down in Article 108(2) of the Treaty on the Functioning of the European Union in respect of the aid. |
| --- | --- |

(2)

By letter dated 2 October 2014, the Commission informed Portugal that it had decided to initiate the procedure laid down in Article 108(2) of the Treaty on the Functioning of the European Union in respect of the aid.

| (3) | The Commission decision to initiate the procedure was published in the Official Journal of the European Union (2). The Commission called on interested parties to submit their comments. |
| --- | --- |

(3)

The Commission decision to initiate the procedure was published in the Official Journal of the European Union (2). The Commission called on interested parties to submit their comments.

Official Journal of the European Union

2

| (4) | Portugal submitted comments on the opening decision on 15 December 2014 (2014/127950); further information was provided by letters dated 27 February 2015 (2015/019588), 12 June 2015 (2015/056315) and 27 July 2015 (2015/073908). A meeting between the Commission services, the Portuguese authorities, and the beneficiary was held at Autoeuropa's premises on 19 May 2015. |
| --- | --- |

(4)

Portugal submitted comments on the opening decision on 15 December 2014 (2014/127950); further information was provided by letters dated 27 February 2015 (2015/019588), 12 June 2015 (2015/056315) and 27 July 2015 (2015/073908). A meeting between the Commission services, the Portuguese authorities, and the beneficiary was held at Autoeuropa's premises on 19 May 2015.

| (5) | The Commission received no comments from interested parties. |
| --- | --- |

(5)

The Commission received no comments from interested parties.

2.   DETAILED DESCRIPTION OF THE MEASURE/AID

DETAILED DESCRIPTION OF THE MEASURE/AID

2.1.   OBJECTIVE OF THE AID MEASURE

OBJECTIVE OF THE AID MEASURE

| (6) | By granting aid for the investment in Autoeuropa's existing establishment in Palmela, Peninsula de Setubal region, a region eligible for regional aid under Article 107(3)(c) TFEU, with a standard regional aid ceiling for large undertakings of 15 % pursuant to the Portuguese regional aid map applicable for the period 2007-June 2014 (3), Portugal intends to further develop the region concerned. |
| --- | --- |

(6)

By granting aid for the investment in Autoeuropa's existing establishment in Palmela, Peninsula de Setubal region, a region eligible for regional aid under Article 107(3)(c) TFEU, with a standard regional aid ceiling for large undertakings of 15 % pursuant to the Portuguese regional aid map applicable for the period 2007-June 2014 (3), Portugal intends to further develop the region concerned.

3

2.2.   THE BENEFICIARY

THE BENEFICIARY

| (7) | The beneficiary of the aid is Autoeuropa, a 100 % subsidiary firm of Volkswagen Group (hereinafter VW Group). The VW Group has been described in numerous State aid decisions, most recently in the Commission's decision of 9 July 2014 to open the formal investigation regarding regional aid in favour of AUDI HUNGARIA MOTOR Ltd (4) to which the Commission refers for a further description of VW Group. |
| --- | --- |

(7)

The beneficiary of the aid is Autoeuropa, a 100 % subsidiary firm of Volkswagen Group (hereinafter VW Group). The VW Group has been described in numerous State aid decisions, most recently in the Commission's decision of 9 July 2014 to open the formal investigation regarding regional aid in favour of AUDI HUNGARIA MOTOR Ltd (4) to which the Commission refers for a further description of VW Group.

4

| (8) | Autoeuropa has been active in the Setubal region since June 1991, producing several passenger car models under the VW brand name. Autoeuropa is a large firm. Neither VW Group nor Autoeuropa can be considered as a firm in difficulty within the meaning of the Community guidelines on State aid for rescuing and restructuring firms in difficulty (5) in force at the time of the notification. |
| --- | --- |

(8)

Autoeuropa has been active in the Setubal region since June 1991, producing several passenger car models under the VW brand name. Autoeuropa is a large firm. Neither VW Group nor Autoeuropa can be considered as a firm in difficulty within the meaning of the Community guidelines on State aid for rescuing and restructuring firms in difficulty (5) in force at the time of the notification.

5

2.3.   THE INVESTMENT PROJECT

THE INVESTMENT PROJECT

| (9) | The investment project consists in the introduction of a new production technology, called ‘Modularer Querbaukasten’ (hereinafter ‘MQB’) which replaces the traditional platform based production. This new production technology allows high flexibility in the production of passenger car models and the realisation of major synergy effects in their production. The Commission refers to its decision of 13 July 2011 to open a formal investigation regarding regional aid in favour of Volkswagen Sachsen (6) for a more profound description of the technology. |
| --- | --- |

(9)

The investment project consists in the introduction of a new production technology, called ‘Modularer Querbaukasten’ (hereinafter ‘MQB’) which replaces the traditional platform based production. This new production technology allows high flexibility in the production of passenger car models and the realisation of major synergy effects in their production. The Commission refers to its decision of 13 July 2011 to open a formal investigation regarding regional aid in favour of Volkswagen Sachsen (6) for a more profound description of the technology.

6

| (10) | The investment in Palmela enables Autoeuropa to produce passenger cars belonging to three different segments of the passenger car market defined according to the classification of POLK (7), namely the A0 segment, the A segment and the B segment. At present, VW Group intends to produce on the new production line a SUV belonging to the A0 segment, and a not yet fully defined passenger car belonging to the [...] (*1) segment, which is to succeed the actual platform based [...]segment model of Autoeuropa. VW Group did not exclude the possibility that it will start the production of a passenger car belonging to the B segment within 5 years after completion of the investment. The overall capacity created by the investment amounts to [140 000-160 000] cars per year, of which on the basis of the current plans a capacity of [80 000-100 000] is dedicated to the production of the A0 SUV and a capacity of [50 000-60 000] is earmarked for the [...]segment model. |
| --- | --- |

(10)

The investment in Palmela enables Autoeuropa to produce passenger cars belonging to three different segments of the passenger car market defined according to the classification of POLK (7), namely the A0 segment, the A segment and the B segment. At present, VW Group intends to produce on the new production line a SUV belonging to the A0 segment, and a not yet fully defined passenger car belonging to the [...] (*1) segment, which is to succeed the actual platform based [...]segment model of Autoeuropa. VW Group did not exclude the possibility that it will start the production of a passenger car belonging to the B segment within 5 years after completion of the investment. The overall capacity created by the investment amounts to [140 000-160 000] cars per year, of which on the basis of the current plans a capacity of [80 000-100 000] is dedicated to the production of the A0 SUV and a capacity of [50 000-60 000] is earmarked for the [...]segment model.

7

*1

| (11) | The investment started on 26 June 2014, and is envisaged to be largely completed by December 2018. Full production is planned for the end of 2018. |
| --- | --- |

(11)

The investment started on 26 June 2014, and is envisaged to be largely completed by December 2018. Full production is planned for the end of 2018.

2.4.   COSTS OF THE INVESTMENT PROJECT

COSTS OF THE INVESTMENT PROJECT

| (12) | According to the investment and aid contract signed between Portugal and VW Group and the submission of Portugal of 28 July 2014, the investment involves eligible expenditure of EUR 672,9 million for equipment and infrastructure (building) works which will be incurred between 2014 and 2019. About a quarter of that expenditure will be for vendor tooling, i.e. capital assets financed by Autoeuropa which will not be used in the Palmela establishment of Autoeuropa, but will be made available by Autoeuropa to its suppliers, for use in the establishments of the suppliers for the production of parts and components for VW Group. These assets, although they will form an integral part of the productive stock of the suppliers, will remain the property of VW Group. |
| --- | --- |

(12)

According to the investment and aid contract signed between Portugal and VW Group and the submission of Portugal of 28 July 2014, the investment involves eligible expenditure of EUR 672,9 million for equipment and infrastructure (building) works which will be incurred between 2014 and 2019. About a quarter of that expenditure will be for vendor tooling, i.e. capital assets financed by Autoeuropa which will not be used in the Palmela establishment of Autoeuropa, but will be made available by Autoeuropa to its suppliers, for use in the establishments of the suppliers for the production of parts and components for VW Group. These assets, although they will form an integral part of the productive stock of the suppliers, will remain the property of VW Group.

| (13) | The expenditure refers exclusively to new, tangible assets. The table below derived from the investment contract breaks down the planned eligible expenditure by type and year.

  Table 1


  Breakdown of eligible expenditure in million EUR — Investment contract | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | Total |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Equipment | [...] | [...] | [...] | [...] | [...] | [...] | [...] |
| Vendor tooling | [...] | [...] | [...] | [...] | [...] | [...] | [...] |
| TOTAL | [...] | [...] | [...] | [...] | [...] | [...] | 672,9 |

(13)

The expenditure refers exclusively to new, tangible assets. The table below derived from the investment contract breaks down the planned eligible expenditure by type and year.

Table 1

Table 1

Breakdown of eligible expenditure in million EUR — Investment contract

Breakdown of eligible expenditure in million EUR — Investment contract

2014

2015

2016

2017

2018

2019

Total

Equipment

[...]

[...]

[...]

[...]

[...]

[...]

[...]

Vendor tooling

[...]

[...]

[...]

[...]

[...]

[...]

[...]

TOTAL

TOTAL

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

672,9

672,9

| (14) | This cost breakdown which is based on the information in the investment contract is different from the cost breakdown in the supplementary information sheet attached to the notification. In the supplementary sheet, the Portuguese authorities explained that VW Group has lowered the total investment costs of EUR 672,95 million specified in the investment contract to EUR 623,85 million. The breakdown resulting from the supplementary information sheet is given in the table below.

  Table 2


  Breakdown of eligible expenditure in million EUR — Supplementary information sheet | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | Total |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Equipment | [...] | [...] | [...] | [...] | [...] | [...] | [...] |
| Vendor tooling | [...] | [...] | [...] | [...] | [...] | [...] | [...] |
| TOTAL | [...] | [...] | [...] | [...] | [...] | [...] | 623,9 |

(14)

This cost breakdown which is based on the information in the investment contract is different from the cost breakdown in the supplementary information sheet attached to the notification. In the supplementary sheet, the Portuguese authorities explained that VW Group has lowered the total investment costs of EUR 672,95 million specified in the investment contract to EUR 623,85 million. The breakdown resulting from the supplementary information sheet is given in the table below.

Table 2

Table 2

Breakdown of eligible expenditure in million EUR — Supplementary information sheet

Breakdown of eligible expenditure in million EUR — Supplementary information sheet

2014

2015

2016

2017

2018

2019

Total

Equipment

[...]

[...]

[...]

[...]

[...]

[...]

[...]

Vendor tooling

[...]

[...]

[...]

[...]

[...]

[...]

[...]

TOTAL

TOTAL

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

[...]

623,9

623,9

2.5.   LEGAL BASIS

LEGAL BASIS

| (15) | The national legal basis for awarding the aid is the Decree-Law no 287/2007, of August 17, as amended by Decree Law no 65/2009, of March 20 which approves the national framework of incentives for business investment and the Ordinance no 1464/2007, of November 15, as amended by Ordinance 1103/2010, of October 25 which creates and regulates the aid scheme ‘Sistema de Incentivos a Inovação’. |
| --- | --- |

(15)

The national legal basis for awarding the aid is the Decree-Law no 287/2007, of August 17, as amended by Decree Law no 65/2009, of March 20 which approves the national framework of incentives for business investment and the Ordinance no 1464/2007, of November 15, as amended by Ordinance 1103/2010, of October 25 which creates and regulates the aid scheme ‘Sistema de Incentivos a Inovação’.

| (16) | Portugal awarded the aid, subject to Commission approval, in application of its aid scheme ‘Sistema de Incentivos a Inovação’. This aid scheme was block-exempted in application of the Commission Regulation (EC) No 800/2008 (8) (hereinafter ‘GBER 2008’), for aid applications below the notification threshold laid down in its article 6. |
| --- | --- |

(16)

Portugal awarded the aid, subject to Commission approval, in application of its aid scheme ‘Sistema de Incentivos a Inovação’. This aid scheme was block-exempted in application of the Commission Regulation (EC) No 800/2008 (8) (hereinafter ‘GBER 2008’), for aid applications below the notification threshold laid down in its article 6.

8

2.6.   THE AID MEASURE

THE AID MEASURE

| (17) | The aid was awarded, subject to Commission approval, by an aid and investment contract signed on 30 April 2014. Works on the investment started on 26 June 2014, i.e. after signature of the contract. |
| --- | --- |

(17)

The aid was awarded, subject to Commission approval, by an aid and investment contract signed on 30 April 2014. Works on the investment started on 26 June 2014, i.e. after signature of the contract.

| (18) | The aid is granted in form of a partially reimbursable grant. The investment contract refers to a reimbursable grant of EUR 52,49 million (in nominal value) for investment expenditure (including vendor tooling) of EUR 672,95 million which is partially transformed into an outright grant if Autoeuropa meets certain contractually agreed realisation parameters. The notification indicates that more recent cost planning by VW Group led to a slightly lower amount of expected investment expenditure (EUR 623,9 million). Taking account of that lower amount, the notified aid amount and the notified aid intensity, in prices of 2014, are EUR 36,15 million and 6,03 % respectively. Portugal commits that neither the notified aid amount, nor the notified aid intensity will be exceeded, if the realised eligible expenditure deviates from the planned amount of eligible expenditure, as taken into account in the notification and the calculation of the maximum aid amount. |
| --- | --- |

(18)

The aid is granted in form of a partially reimbursable grant. The investment contract refers to a reimbursable grant of EUR 52,49 million (in nominal value) for investment expenditure (including vendor tooling) of EUR 672,95 million which is partially transformed into an outright grant if Autoeuropa meets certain contractually agreed realisation parameters. The notification indicates that more recent cost planning by VW Group led to a slightly lower amount of expected investment expenditure (EUR 623,9 million). Taking account of that lower amount, the notified aid amount and the notified aid intensity, in prices of 2014, are EUR 36,15 million and 6,03 % respectively. Portugal commits that neither the notified aid amount, nor the notified aid intensity will be exceeded, if the realised eligible expenditure deviates from the planned amount of eligible expenditure, as taken into account in the notification and the calculation of the maximum aid amount.

| (19) | Portugal confirms that an own contribution free of any public support of at least 25 % of the eligible expenditure will be borne by Autoeuropa/Volkswagen from its own resources. |
| --- | --- |

(19)

Portugal confirms that an own contribution free of any public support of at least 25 % of the eligible expenditure will be borne by Autoeuropa/Volkswagen from its own resources.

| (20) | Autoeuropa/Volkswagen commits to maintain the investment during a minimum period of 5 years after its completion. |
| --- | --- |

(20)

Autoeuropa/Volkswagen commits to maintain the investment during a minimum period of 5 years after its completion.

2.7.   GROUNDS FOR INITIATING THE PROCEDURE

GROUNDS FOR INITIATING THE PROCEDURE

| (21) | In the opening decision, the Commission expressed doubts as to conformity of the measure with the provisions of the Guidelines on national regional aid for 2007-2013 (9) (hereinafter ‘RAG 2007-13’) concerning eligible expenditure, maximum aid amount, and maximum aid intensity, and thus as to its compatibility with the internal market. |
| --- | --- |

(21)

In the opening decision, the Commission expressed doubts as to conformity of the measure with the provisions of the Guidelines on national regional aid for 2007-2013 (9) (hereinafter ‘RAG 2007-13’) concerning eligible expenditure, maximum aid amount, and maximum aid intensity, and thus as to its compatibility with the internal market.

9

| (22) | The Commission noted that the notified eligible expenditure included costs for vendor tooling, as to the eligibility of which the Commission raised doubts and was thus unable to confirm that the notified maximum aid amount, which is calculated with regard to the total notified investment expenditure, does not exceed the maximum amount that can be allowed. |
| --- | --- |

(22)

The Commission noted that the notified eligible expenditure included costs for vendor tooling, as to the eligibility of which the Commission raised doubts and was thus unable to confirm that the notified maximum aid amount, which is calculated with regard to the total notified investment expenditure, does not exceed the maximum amount that can be allowed.

| (23) | Furthermore the Commission noted that Autoeuropa received investment aid for another investment project carried out on the same site. Start of works on the other investment project was less than 3 years before the start of works on the present investment project. The investment project intended to innovate and optimise the production processes, by performing investments in three areas of activity: (i) in the information technology area, by implementing programs and the most technologically advanced systems; (ii) in the area of interior and exterior painting of motor vehicles, by automating the method of applying paint; and (iii) in the area of stamping dies, responsible for the execution of moulds for stamping parts. At the time of the opening decision, Portugal did not clarify the extent to which these improvements would be relevant and would still be used in the event that platform-based manufacturing would cease and be replaced by MQB manufacturing technology. |
| --- | --- |

(23)

Furthermore the Commission noted that Autoeuropa received investment aid for another investment project carried out on the same site. Start of works on the other investment project was less than 3 years before the start of works on the present investment project. The investment project intended to innovate and optimise the production processes, by performing investments in three areas of activity: (i) in the information technology area, by implementing programs and the most technologically advanced systems; (ii) in the area of interior and exterior painting of motor vehicles, by automating the method of applying paint; and (iii) in the area of stamping dies, responsible for the execution of moulds for stamping parts. At the time of the opening decision, Portugal did not clarify the extent to which these improvements would be relevant and would still be used in the event that platform-based manufacturing would cease and be replaced by MQB manufacturing technology.

| (24) | On the basis of information submitted by Portugal, the Commission was unable to form a definite view on whether the two investment projects form a single investment project in the meaning of paragraph 60 of the RAG 2007-13 and decided to assess the question of whether the two projects are economically indivisible within the meaning of footnote 55 (10) of the RAG 2007-13 during the formal investigation. |
| --- | --- |

(24)

On the basis of information submitted by Portugal, the Commission was unable to form a definite view on whether the two investment projects form a single investment project in the meaning of paragraph 60 of the RAG 2007-13 and decided to assess the question of whether the two projects are economically indivisible within the meaning of footnote 55 (10) of the RAG 2007-13 during the formal investigation.

10

| (25) | In addition, paragraph 68 of RAG 2007-13 requires that the Commission opens the formal investigation and proceeds to an in-depth assessment of the incentive effect, the proportionality, as well as the positive and negative effects of the aid, where the beneficiary's market share in the relevant product and geographic market exceeds 25 % before or after the investment (hereinafter also ‘paragraph 68(a)-test’) or where the capacity created by the investment exceeds 5 % of a market that is in relative or absolute decline (hereinafter also ‘paragraph 68(b)-test’). Where an in-depth assessment is necessary, it will be carried out on the basis of the Communication from the Commission concerning the criteria for an in-depth assessment of regional aid to large investment projects (11) (IDAC). |
| --- | --- |

(25)

In addition, paragraph 68 of RAG 2007-13 requires that the Commission opens the formal investigation and proceeds to an in-depth assessment of the incentive effect, the proportionality, as well as the positive and negative effects of the aid, where the beneficiary's market share in the relevant product and geographic market exceeds 25 % before or after the investment (hereinafter also ‘paragraph 68(a)-test’) or where the capacity created by the investment exceeds 5 % of a market that is in relative or absolute decline (hereinafter also ‘paragraph 68(b)-test’). Where an in-depth assessment is necessary, it will be carried out on the basis of the Communication from the Commission concerning the criteria for an in-depth assessment of regional aid to large investment projects (11) (IDAC).

11

| (26) | In the opening decision, the Commission left the precise definition of the relevant product market open and considered all plausible alternative market definitions, including in particular the narrowest segmentation for which data is available (12). Since Autoeuropa will produce cars belonging to A0 and [...] segments according to POLK, and could also produce cars belonging to the B segment according to POLK, the Commission considered that these individual segments and for SUVs also the SUV-B segment according to Global Insight (13), as well as the combined segment (A0 to B) according to POLK should all be considered as relevant plausible markets for this case. |
| --- | --- |

(26)

In the opening decision, the Commission left the precise definition of the relevant product market open and considered all plausible alternative market definitions, including in particular the narrowest segmentation for which data is available (12). Since Autoeuropa will produce cars belonging to A0 and [...] segments according to POLK, and could also produce cars belonging to the B segment according to POLK, the Commission considered that these individual segments and for SUVs also the SUV-B segment according to Global Insight (13), as well as the combined segment (A0 to B) according to POLK should all be considered as relevant plausible markets for this case.

12

13

| (27) | Paragraph 70 of the RAG 2007-13 provides that for the purposes of carrying out the tests under paragraph 68, markets should normally be defined at EEA level. For the purpose of the assessment of the present case, the Commission considered that the relevant geographic market for the products concerned is at least EEA-wide. The Portuguese authorities and Autoeuropa accepted that the Commission applies this geographic market definition for the purposes of this notification. |
| --- | --- |

(27)

Paragraph 70 of the RAG 2007-13 provides that for the purposes of carrying out the tests under paragraph 68, markets should normally be defined at EEA level. For the purpose of the assessment of the present case, the Commission considered that the relevant geographic market for the products concerned is at least EEA-wide. The Portuguese authorities and Autoeuropa accepted that the Commission applies this geographic market definition for the purposes of this notification.

| (28) | During the preliminary investigation, the analysis under paragraph 68 (a) of the RAG 2007-13 came to the result that the applicable 25 % market share threshold is exceeded in the individual A and B segments and in the combined A0, A and B segments (according to POLK) in the EEA in all the years concerned. |
| --- | --- |

(28)

During the preliminary investigation, the analysis under paragraph 68 (a) of the RAG 2007-13 came to the result that the applicable 25 % market share threshold is exceeded in the individual A and B segments and in the combined A0, A and B segments (according to POLK) in the EEA in all the years concerned.

| (29) | As the result of the paragraph 68(a)-test required already to proceed to the in-depth assessment of the aid, the Commission considered that it was not necessary to carry out the paragraph 68(b) test. |
| --- | --- |

(29)

As the result of the paragraph 68(a)-test required already to proceed to the in-depth assessment of the aid, the Commission considered that it was not necessary to carry out the paragraph 68(b) test.

3.   COMMENTS FROM INTERESTED PARTIES

COMMENTS FROM INTERESTED PARTIES

| (30) | No comments were submitted by interested third parties. |
| --- | --- |

(30)

No comments were submitted by interested third parties.

4.   COMMENTS FROM PORTUGAL

COMMENTS FROM PORTUGAL

4.1.   VENDOR TOOLING

VENDOR TOOLING

| (31) | Portugal considers investments in vendor tooling amounting to EUR 136,3 million as eligible, as the tools are part of the notified project, belong to Autoeuropa's fixed assets, are located at a supplier's plant in an assisted area in Portugal, and will be maintained there for at least 5 years after the completion of the project. The Portuguese authorities refer to recitals 36 and 37 of decision C(2002)1803 Ford España SA (14) in which the Commission noted that expenditure for vendor tooling can be considered as eligible for regional aid if incurred in assisted regions. |
| --- | --- |

(31)

Portugal considers investments in vendor tooling amounting to EUR 136,3 million as eligible, as the tools are part of the notified project, belong to Autoeuropa's fixed assets, are located at a supplier's plant in an assisted area in Portugal, and will be maintained there for at least 5 years after the completion of the project. The Portuguese authorities refer to recitals 36 and 37 of decision C(2002)1803 Ford España SA (14) in which the Commission noted that expenditure for vendor tooling can be considered as eligible for regional aid if incurred in assisted regions.

14

| (32) | Before the signing of the investment contract in April 2014, VW Group and Autoeuropa developed an investment plan regarding vendor tooling that took into account these eligibility criteria and ensured that the amount of EUR 136,3 million included only vendor tooling expenditure meeting the above conditions. The Portuguese authorities have set up a control mechanism to monitor compliance with the above conditions. |
| --- | --- |

(32)

Before the signing of the investment contract in April 2014, VW Group and Autoeuropa developed an investment plan regarding vendor tooling that took into account these eligibility criteria and ensured that the amount of EUR 136,3 million included only vendor tooling expenditure meeting the above conditions. The Portuguese authorities have set up a control mechanism to monitor compliance with the above conditions.

4.2.   SINGLE INVESTMENT PROJECT

SINGLE INVESTMENT PROJECT

| (33) | Portugal signed on 8 October 2013 an investment contract with Autoeuropa regarding three different projects, each of them representing an initial investment targeted at the expansion of the existing establishment which Portugal does not consider to form a single investment project within the meaning of paragraph 60 of the RAG 2007-13 with the notified investment project. |
| --- | --- |

(33)

Portugal signed on 8 October 2013 an investment contract with Autoeuropa regarding three different projects, each of them representing an initial investment targeted at the expansion of the existing establishment which Portugal does not consider to form a single investment project within the meaning of paragraph 60 of the RAG 2007-13 with the notified investment project.

4.2.1.   INITIAL INVESTMENT IN INTERIOR AND EXTERIOR PAINTING ROBOTS (PAINT SHOP)

| (34) | The first project concerned the introduction of robots for the automation of the interior and exterior painting process which allowed improvements in quality (exterior appearance homogeneity, paint thickness reduction, overspray reduction, dirt reduction in interior area) and productivity as well as improved ergonomics and labour protection and a reduction of material consumption and paint waste. The corresponding eligible expenses amounted to EUR 20 million (15) and the aid amount was EUR 2,89 million in gross grant equivalent (GGE). |
| --- | --- |

(34)

The first project concerned the introduction of robots for the automation of the interior and exterior painting process which allowed improvements in quality (exterior appearance homogeneity, paint thickness reduction, overspray reduction, dirt reduction in interior area) and productivity as well as improved ergonomics and labour protection and a reduction of material consumption and paint waste. The corresponding eligible expenses amounted to EUR 20 million (15) and the aid amount was EUR 2,89 million in gross grant equivalent (GGE).

15

| (35) | The Portuguese authorities underline that this investment is not linked in an economically indivisible way with the notified investment project. The notified investment project is targeted at a fundamental change in the overall production process by implementing the MQB production technology. Whereas this requires substantial investments in particular in assembly facilities, the implementation of the MQB technology requires only minor investments in the existing paint shop. |
| --- | --- |

(35)

The Portuguese authorities underline that this investment is not linked in an economically indivisible way with the notified investment project. The notified investment project is targeted at a fundamental change in the overall production process by implementing the MQB production technology. Whereas this requires substantial investments in particular in assembly facilities, the implementation of the MQB technology requires only minor investments in the existing paint shop.

| (36) | The existing paint shop has been functional before and without the MQB investment. Vice versa, the new MQB assembly facilities are functional without the paint shop investments, i.e. the MQB production would be possible and functional without the preceding investment in robots in the paint shop. Therefore, although both facilities are part of an integrated car manufacturing process, they are not linked by the investments in an economically indivisible way. |
| --- | --- |

(36)

The existing paint shop has been functional before and without the MQB investment. Vice versa, the new MQB assembly facilities are functional without the paint shop investments, i.e. the MQB production would be possible and functional without the preceding investment in robots in the paint shop. Therefore, although both facilities are part of an integrated car manufacturing process, they are not linked by the investments in an economically indivisible way.

| (37) | Moreover, the relevant investment decisions have been taken independently (paint shop modernisation: August 2011; MQB investment: May 2014). |
| --- | --- |

(37)

Moreover, the relevant investment decisions have been taken independently (paint shop modernisation: August 2011; MQB investment: May 2014).

4.2.2.   INITIAL INVESTMENT IN STAMPING DIES (TOOL SHOP)

| (38) | The second project concerned the tool shop of Autoeuropa which produces moulds and stamping tools for car body metal parts. It specialises in the production of tools for engine hoods and fenders. The tool shop delivers its products to the VW Group's factories worldwide, i.e. it is not limited to supplying Autoeuropa. It is part of Autoeuropa, however operates autonomously and independently of the main activity of the factory which is the production of vehicles. |
| --- | --- |

(38)

The second project concerned the tool shop of Autoeuropa which produces moulds and stamping tools for car body metal parts. It specialises in the production of tools for engine hoods and fenders. The tool shop delivers its products to the VW Group's factories worldwide, i.e. it is not limited to supplying Autoeuropa. It is part of Autoeuropa, however operates autonomously and independently of the main activity of the factory which is the production of vehicles.

| (39) | The objective of the initial investment in the tool shop was the extension of the existing establishment. In order to achieve a set of high-impact technological improvements in the quality of the production, Autoeuropa acquired new equipment for stamping dies in order to enable the construction of tools with higher quality levels and to increase the production volume of the tool shop. The eligible investment was EUR 12,7 million (discounted value of EUR 12,66 million) and the aid amount was EUR 1,84 million in GGE. |
| --- | --- |

(39)

The objective of the initial investment in the tool shop was the extension of the existing establishment. In order to achieve a set of high-impact technological improvements in the quality of the production, Autoeuropa acquired new equipment for stamping dies in order to enable the construction of tools with higher quality levels and to increase the production volume of the tool shop. The eligible investment was EUR 12,7 million (discounted value of EUR 12,66 million) and the aid amount was EUR 1,84 million in GGE.

| (40) | Given that the tool shop functions independently of the MQB car manufacturing process, is located in the same industrial area but not on the same plot of land as the car manufacturing site and the decisions on the investments have been made independently of each other (for the tool shop modernisation in 2011 and for the MQB investment in May 2014), the Portuguese authorities take the view that the investment in the tool shop is not linked in an economically indivisible way with the notified investment project. |
| --- | --- |

(40)

Given that the tool shop functions independently of the MQB car manufacturing process, is located in the same industrial area but not on the same plot of land as the car manufacturing site and the decisions on the investments have been made independently of each other (for the tool shop modernisation in 2011 and for the MQB investment in May 2014), the Portuguese authorities take the view that the investment in the tool shop is not linked in an economically indivisible way with the notified investment project.

4.2.3.   INITIAL INVESTMENT IN THE INFORMATION TECHNOLOGY AREA (IT)

| (41) | The third project concerned investments into IT hardware which increased in combination with new software applications IT security and led to a more stable production within the car production. The car production depends to a great extent on smoothly and reliably running IT systems, the configuration of each car (engine type, gear box, color etc.) being fed into the production process via the group's data network. The eligible investment was EUR 5,5 million (discounted value of EUR 5,5 million) and the aid amount was EUR 0,79 million in GGE. |
| --- | --- |

(41)

The third project concerned investments into IT hardware which increased in combination with new software applications IT security and led to a more stable production within the car production. The car production depends to a great extent on smoothly and reliably running IT systems, the configuration of each car (engine type, gear box, color etc.) being fed into the production process via the group's data network. The eligible investment was EUR 5,5 million (discounted value of EUR 5,5 million) and the aid amount was EUR 0,79 million in GGE.

| (42) | The Portuguese authorities consider this 2011 IT investment as not linked in an economically indivisible way with the notified investment project. The new production technology MQB would be possible and functional without the preceding investment in IT security given that all applications which support and control the MQB production would have run the same way without this preceding investment. The IT investment has been functional before and without the MQB investment. |
| --- | --- |

(42)

The Portuguese authorities consider this 2011 IT investment as not linked in an economically indivisible way with the notified investment project. The new production technology MQB would be possible and functional without the preceding investment in IT security given that all applications which support and control the MQB production would have run the same way without this preceding investment. The IT investment has been functional before and without the MQB investment.

| (43) | Moreover, the investment decisions were taken independently of each other, for the IT area investment in 2011 and for the MQB investment in May 2014. |
| --- | --- |

(43)

Moreover, the investment decisions were taken independently of each other, for the IT area investment in 2011 and for the MQB investment in May 2014.

4.3.   IN-DEPTH ASSESSMENT OF THE AID MEASURE

IN-DEPTH ASSESSMENT OF THE AID MEASURE

| (44) | Portugal provided the information necessary to carry out an in-depth assessment. |
| --- | --- |

(44)

Portugal provided the information necessary to carry out an in-depth assessment.

4.3.1.   POSITIVE EFFECTS OF THE AID

| (45) | Portugal intends to further develop the region concerned. The investment is to create 500 new direct jobs, and to ensure, in the long term, the maintenance of 3 339 existing jobs. |
| --- | --- |

(45)

Portugal intends to further develop the region concerned. The investment is to create 500 new direct jobs, and to ensure, in the long term, the maintenance of 3 339 existing jobs.

| (46) | The notified project will substantially increase the qualification and skills of the beneficiary's employees, increasing their employability within and outside VW Group and Portugal, and increasing the regional skills basis. Specific training actions are planned. This vocational training has also a positive effect on the know-how transfer mainly within the Setubal Peninsula region. |
| --- | --- |

(46)

The notified project will substantially increase the qualification and skills of the beneficiary's employees, increasing their employability within and outside VW Group and Portugal, and increasing the regional skills basis. Specific training actions are planned. This vocational training has also a positive effect on the know-how transfer mainly within the Setubal Peninsula region.

| (47) | The investment project will create more business opportunities for the suppliers of Autoeuropa. According to a study of the Center of Automotive Research, the total number of jobs created as a consequence of one job created in the automotive industry amounts to 2,5 new jobs at the suppliers and 2,2 new jobs at other companies, created as a result of the spending of the suppliers' employees in Portugal. Portugal therefore expects that the investment will lead to the creation of 2 350 indirect jobs, in addition to the 500 newly created direct jobs. |
| --- | --- |

(47)

The investment project will create more business opportunities for the suppliers of Autoeuropa. According to a study of the Center of Automotive Research, the total number of jobs created as a consequence of one job created in the automotive industry amounts to 2,5 new jobs at the suppliers and 2,2 new jobs at other companies, created as a result of the spending of the suppliers' employees in Portugal. Portugal therefore expects that the investment will lead to the creation of 2 350 indirect jobs, in addition to the 500 newly created direct jobs.

| (48) | Moreover, the Portuguese authorities emphasise the qualitative aspects of the positive regional effects of the investment project. The investment project will contribute to the development of the region of the Setubal Peninsula by attracting investments by industrial suppliers to the region, involving transfer of technology (knowledge spillovers) and clustering of undertakings in the same industry which allows individual plants to specialise more and leads to increased efficiency. |
| --- | --- |

(48)

Moreover, the Portuguese authorities emphasise the qualitative aspects of the positive regional effects of the investment project. The investment project will contribute to the development of the region of the Setubal Peninsula by attracting investments by industrial suppliers to the region, involving transfer of technology (knowledge spillovers) and clustering of undertakings in the same industry which allows individual plants to specialise more and leads to increased efficiency.

| (49) | In addition, the beneficiary was invited to participate in several projects together with leading universities, both for the development of manufacturing engineering and for ergonomics related aspects. |
| --- | --- |

(49)

In addition, the beneficiary was invited to participate in several projects together with leading universities, both for the development of manufacturing engineering and for ergonomics related aspects.

4.3.2.   APPROPRIATENESS OF THE AID

| (50) | Portugal notes that the Commission accepted already in the Porsche Leipzig decision (16) that State aid is an appropriate means to promote the regional development of regions which are disadvantaged in comparison with the average of other regions in the Member State. This argumentation equally applies to the notified investment aid in the Peninsula de Setubal region. |
| --- | --- |

(50)

Portugal notes that the Commission accepted already in the Porsche Leipzig decision (16) that State aid is an appropriate means to promote the regional development of regions which are disadvantaged in comparison with the average of other regions in the Member State. This argumentation equally applies to the notified investment aid in the Peninsula de Setubal region.

16

| (51) | The Peninsula de Setubal region is part of the Lisboa e Vale do Tejo region, which includes the Lisbon area and is the most developed Portuguese region. However, if the Peninsula de Setubal would be considered alone, it could be classified as an ‘a’ region since its GDP per capita ranges between 45 % and 47 % of the EU average in the period 2006-2010 (which was the period used for defining the national regional State aid maps for 2014-2020). |
| --- | --- |

(51)

The Peninsula de Setubal region is part of the Lisboa e Vale do Tejo region, which includes the Lisbon area and is the most developed Portuguese region. However, if the Peninsula de Setubal would be considered alone, it could be classified as an ‘a’ region since its GDP per capita ranges between 45 % and 47 % of the EU average in the period 2006-2010 (which was the period used for defining the national regional State aid maps for 2014-2020).

| (52) | When compared with the Portuguese average, the GDP per capita in the Peninsula de Setubal was around 75 % for the last 3 years.

  Table 3


  GDP per capita as compared to the Portuguese average (EUR)
   (17)


  Years | Peninsula de Setubal | Portugal average | % |
| --- | --- | --- | --- | --- |
| 2013 | 12 302 | 16 372 | 75,1 |
| 2012 | 12 105 | 16 136 | 75,0 |
| 2011 | 12 656 | 16 686 | 75,8 |

(52)

When compared with the Portuguese average, the GDP per capita in the Peninsula de Setubal was around 75 % for the last 3 years.

Table 3

Table 3

GDP per capita as compared to the Portuguese average (EUR)
   (17)

GDP per capita as compared to the Portuguese average (EUR)

17

Years

Peninsula de Setubal

Portugal average

%

2013

12 302

16 372

75,1

2012

12 105

16 136

75,0

2011

12 656

16 686

75,8

| (53) | Therefore Portugal considers that the notified aid is an appropriate instrument for enhancing the regional development of the Peninsula de Setubal. |
| --- | --- |

(53)

Therefore Portugal considers that the notified aid is an appropriate instrument for enhancing the regional development of the Peninsula de Setubal.

4.3.3.   INCENTIVE EFFECT/COUNTER-FACTUAL SCENARIO

| (54) | Portugal provides information to prove that the aid falls under scenario 2 of the IDAC, as it gave an incentive to the beneficiary to carry out the investment in the Setubal plant instead of in the [location 1] plant (non-assisted area in EEA) where the investment would have been located in the absence of aid. In particular, Portugal provides details on the multistage decision-making process and on the financials of the counterfactual scenario, both of which are described below. |
| --- | --- |

(54)

Portugal provides information to prove that the aid falls under scenario 2 of the IDAC, as it gave an incentive to the beneficiary to carry out the investment in the Setubal plant instead of in the [location 1] plant (non-assisted area in EEA) where the investment would have been located in the absence of aid. In particular, Portugal provides details on the multistage decision-making process and on the financials of the counterfactual scenario, both of which are described below.

VW Group's decision-making process

VW Group's decision-making process

| (55) | At VW Group, investment decisions are prepared in a multistep decision-making process in which decision-makers analyse various sites in a competitive comparison process. The major phases are: (1) Long-term Sales Planning (LAP) and planning rounds; (2) Product development, product decision and site pre-selection; and (3) Investment and location decision. |
| --- | --- |

(55)

At VW Group, investment decisions are prepared in a multistep decision-making process in which decision-makers analyse various sites in a competitive comparison process. The major phases are: (1) Long-term Sales Planning (LAP) and planning rounds; (2) Product development, product decision and site pre-selection; and (3) Investment and location decision.

| (56) | The decisions regarding the notified investment project followed this general process. However, as they concerned an investment project of the brand Volkswagen, the relevant decisions were taken directly by the organs of the brand Volkswagen and there were no additional decisions at group level, because the composition of the group organs is largely identical to that of the Volkswagen brand. |
| --- | --- |

(56)

The decisions regarding the notified investment project followed this general process. However, as they concerned an investment project of the brand Volkswagen, the relevant decisions were taken directly by the organs of the brand Volkswagen and there were no additional decisions at group level, because the composition of the group organs is largely identical to that of the Volkswagen brand.

| (57) | The introduction of new products within the VW Group is driven based on the so called product creation process (PEP) that ranges from product planning to the start of production (SOP). This PEP consists of four major phases as can be seen from the diagram below:
  [...]


  Project implementation investment
  Investment and Production site
  Product decision/ Site pre-selection
  LAP Planning Rounds
  SOP |
| --- | --- |

(57)

The introduction of new products within the VW Group is driven based on the so called product creation process (PEP) that ranges from product planning to the start of production (SOP). This PEP consists of four major phases as can be seen from the diagram below:

[...]

Project implementation investment

Investment and Production site

Product decision/ Site pre-selection

LAP Planning Rounds

SOP

(1)   LAP and planning round 61

LAP and planning round 61

| (58) | The point of departure is the Long term Sales Planning (LAP) phase in which forecasts of the market development and of potential demand as well as market fluctuations are analysed. The LAP schedules product developments for [...] years ahead and identifies which additional production capacities have to be built, or which adjustments to existing capacities are necessary. The LAP is mirrored by the annual planning rounds (PR), which the Group Supervisory Board concludes and which contain the financial framework of the scheduled investments. The deliverable of the LAP phase is a proposal to launch new product(s), but not yet a product development, investment, or location decision. |
| --- | --- |

(58)

The point of departure is the Long term Sales Planning (LAP) phase in which forecasts of the market development and of potential demand as well as market fluctuations are analysed. The LAP schedules product developments for [...] years ahead and identifies which additional production capacities have to be built, or which adjustments to existing capacities are necessary. The LAP is mirrored by the annual planning rounds (PR), which the Group Supervisory Board concludes and which contain the financial framework of the scheduled investments. The deliverable of the LAP phase is a proposal to launch new product(s), but not yet a product development, investment, or location decision.

| (59) | Regarding the notified project, planning round 61 in 20[...] established [140 000-160 000] units p.a. as a realistic sales potential for new products in the segments A0 SUV and [...] ([...]). The production planning identified the need to create corresponding production capacities. At the same time, the combination of the A0 SUV and [...] volumes should meet the framework conditions for the MQB strategy. |
| --- | --- |

(59)

Regarding the notified project, planning round 61 in 20[...] established [140 000-160 000] units p.a. as a realistic sales potential for new products in the segments A0 SUV and [...] ([...]). The production planning identified the need to create corresponding production capacities. At the same time, the combination of the A0 SUV and [...] volumes should meet the framework conditions for the MQB strategy.

| (60) | The outcome of this phase was an MQB investment package of [140 000-160 000] A0 SUV and [...] p.a. for the brand Volkswagen with planned start of production dates of August 2016 for the A0 SUV and of November 2017 for the [...]. |
| --- | --- |

(60)

The outcome of this phase was an MQB investment package of [140 000-160 000] A0 SUV and [...] p.a. for the brand Volkswagen with planned start of production dates of August 2016 for the A0 SUV and of November 2017 for the [...].

(2)   Product development, product decision and site pre-selection phase

Product development, product decision and site pre-selection phase

| (61) | During this phase several central departments of the VW Group and the concerned production sites work together to prepare both the product decision and the site pre-selection. The controlling department takes the central and consolidating role during this phase. |
| --- | --- |

(61)

During this phase several central departments of the VW Group and the concerned production sites work together to prepare both the product decision and the site pre-selection. The controlling department takes the central and consolidating role during this phase.

| (62) | The first step in this second phase is the product development process, which according to the beneficiary's internal rules always starts at least [...] months in advance of the envisaged start of production date, in the case of the notified project in August 2012 (first SOP[...]). |
| --- | --- |

(62)

The first step in this second phase is the product development process, which according to the beneficiary's internal rules always starts at least [...] months in advance of the envisaged start of production date, in the case of the notified project in August 2012 (first SOP[...]).

| (63) | The product decision, i.e. the decision to produce a product proposed in the LAP, requires that the product development reaches a pre-defined feasibility target. The expected revenues generated by the new product are compared with the necessary production (including investment) costs. In order to determine the expected cost of production, first a particular location is set hypothetically as planning assumption (location premise). The location premise is employed in order to determine a first cost structure and framework for the project. This does not lead to a predetermination of a specific production site, but develops a required baseline for the assessment of expected production costs. |
| --- | --- |

(63)

The product decision, i.e. the decision to produce a product proposed in the LAP, requires that the product development reaches a pre-defined feasibility target. The expected revenues generated by the new product are compared with the necessary production (including investment) costs. In order to determine the expected cost of production, first a particular location is set hypothetically as planning assumption (location premise). The location premise is employed in order to determine a first cost structure and framework for the project. This does not lead to a predetermination of a specific production site, but develops a required baseline for the assessment of expected production costs.

| (64) | In case of a successor product to an ongoing production, the current production site of the product will be usually chosen as the site premise; for an entirely new product (without predecessor) the site premise is usually based on performance indicators, i.e. the location with the best performance figures will be selected as first hypothesis. In practice, additional criteria, such as free capacities or suitable structures, are taken into consideration as well. |
| --- | --- |

(64)

In case of a successor product to an ongoing production, the current production site of the product will be usually chosen as the site premise; for an entirely new product (without predecessor) the site premise is usually based on performance indicators, i.e. the location with the best performance figures will be selected as first hypothesis. In practice, additional criteria, such as free capacities or suitable structures, are taken into consideration as well.

| (65) | In the case of the notified project, a greenfield investment was not considered as an investment package of [140 000-160 000] cars falling into a [...]price market segment is too small to render a greenfield investment viable. If the location assessment does not concern a greenfield investment, the two main criteria for identifying suitable locations are whether at an existing plant additional capacities can still be installed, and whether the existing facilities at that site are compatible with the planned project, e.g. the dimensions of the existing paint shop are also suitable for the planned new investment, etc. |
| --- | --- |

(65)

In the case of the notified project, a greenfield investment was not considered as an investment package of [140 000-160 000] cars falling into a [...]price market segment is too small to render a greenfield investment viable. If the location assessment does not concern a greenfield investment, the two main criteria for identifying suitable locations are whether at an existing plant additional capacities can still be installed, and whether the existing facilities at that site are compatible with the planned project, e.g. the dimensions of the existing paint shop are also suitable for the planned new investment, etc.

| (66) | The application of these criteria identified four possible locations ([location 1 in a non-assisted area in EEA], Setubal, [location 2 outside EEA] and [location 3 in a non-assisted area in EEA]) for which Portugal provided company information, dating from July 2012, on first comparative calculations of production costs per car done by the controlling of the brand Volkswagen ([Group Controlling]). These calculations included the planned sales volumes in the A0 SUV segment and the [...] segment and covered, in addition, planned sales volumes for the [predefined model], whose production was exceptionally predefined for [location 1 in a non-assisted area in EEA]. Three different alternatives for assigning the envisaged production volumes of the A0 SUV segment, the [...] segment and the [predefined model] to the four locations were considered, and for each alternative, [Group Controlling] conducted preliminary calculations of the production costs and investment costs. |
| --- | --- |

(66)

The application of these criteria identified four possible locations ([location 1 in a non-assisted area in EEA], Setubal, [location 2 outside EEA] and [location 3 in a non-assisted area in EEA]) for which Portugal provided company information, dating from July 2012, on first comparative calculations of production costs per car done by the controlling of the brand Volkswagen ([Group Controlling]). These calculations included the planned sales volumes in the A0 SUV segment and the [...] segment and covered, in addition, planned sales volumes for the [predefined model], whose production was exceptionally predefined for [location 1 in a non-assisted area in EEA]. Three different alternatives for assigning the envisaged production volumes of the A0 SUV segment, the [...] segment and the [predefined model] to the four locations were considered, and for each alternative, [Group Controlling] conducted preliminary calculations of the production costs and investment costs.

| (67) | At a more advanced stage of the planning process, [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] were excluded as possible locations, since they were characterised by high logistics and high personnel costs respectively. At any event, due to earlier decisions to locate the [predefined model] production to [location 1 in a non-assisted area in the EEA] and [location 2 outside EEA], and to manufacture the [...] and [...] in [location 3 in a non-assisted area in the EEA], in 2014 (when further comparative calculations were done by [Group Controlling]), neither [location 2 outside EEA] nor [location 3 in a non-assisted area in the EEA] had any spare capacities left. Therefore, a combination of the A0 SUV and [...] volumes was assessed for Setubal and [location 1 in a non-assisted area in the EEA] only. |
| --- | --- |

(67)

At a more advanced stage of the planning process, [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] were excluded as possible locations, since they were characterised by high logistics and high personnel costs respectively. At any event, due to earlier decisions to locate the [predefined model] production to [location 1 in a non-assisted area in the EEA] and [location 2 outside EEA], and to manufacture the [...] and [...] in [location 3 in a non-assisted area in the EEA], in 2014 (when further comparative calculations were done by [Group Controlling]), neither [location 2 outside EEA] nor [location 3 in a non-assisted area in the EEA] had any spare capacities left. Therefore, a combination of the A0 SUV and [...] volumes was assessed for Setubal and [location 1 in a non-assisted area in the EEA] only.

| (68) | In view of the above, [Group controlling] prepared the product decision with Setubal as location premise. Portugal provided evidence that on 10 March 2014 the Product committee of the brand Volkswagen (Volkswagen Ausschuss Produkte, VAP) took the product decision and confirmed Setubal as location premise. The evidence submitted by Portugal shows that a possible State aid amount of up to EUR 36 million was taken into account already at this stage. |
| --- | --- |

(68)

In view of the above, [Group controlling] prepared the product decision with Setubal as location premise. Portugal provided evidence that on 10 March 2014 the Product committee of the brand Volkswagen (Volkswagen Ausschuss Produkte, VAP) took the product decision and confirmed Setubal as location premise. The evidence submitted by Portugal shows that a possible State aid amount of up to EUR 36 million was taken into account already at this stage.

(3)   Investment and location decision

Investment and location decision

| (69) | Once the product decision is taken, the next step is the selection of the most suitable location for the project. The controlling department typically starts from the entirety of Volkswagen production sites and narrows this list down to those locations that seem suitable for the investment. As a result of the PEP process, the investment and production scenarios for each realistic site are specified and summarised in a decision paper. Based on a specific location and investment recommendation, the investment committee of the brand Volkswagen (Volkswagen Ausschuss Investitionen, VAI) needs to decide whether or not the project shall be realised. |
| --- | --- |

(69)

Once the product decision is taken, the next step is the selection of the most suitable location for the project. The controlling department typically starts from the entirety of Volkswagen production sites and narrows this list down to those locations that seem suitable for the investment. As a result of the PEP process, the investment and production scenarios for each realistic site are specified and summarised in a decision paper. Based on a specific location and investment recommendation, the investment committee of the brand Volkswagen (Volkswagen Ausschuss Investitionen, VAI) needs to decide whether or not the project shall be realised.

| (70) | As explained, the list of realistic sites had been narrowed down to [location 1 in a non-assisted area in the EEA] and Setubal at this stage. For these two sites, the specific production costs attributable to the location were determined and compared. These location specific costs consist of the required investment costs and the expected production costs during a reference period. Portugal submitted genuine contemporary company documents, prepared by [Group controlling] and [...] (the group's State Aid Unit), and dated 9 May 2014 as evidence of a counterfactual analysis confronting [location 1 in a non-assisted area in the EEA] and Setubal as potential locations. Portugal explained that whereas the [location 1 in a non-assisted area in the EEA] plant had slightly better performance values, the Setubal plant scored with the possibility to benefit from regional investment aid. Based on this counterfactual analysis (18), [Group controlling] submitted a decision recommendation to the VAI proposing Setubal as location for the investment. |
| --- | --- |

(70)

As explained, the list of realistic sites had been narrowed down to [location 1 in a non-assisted area in the EEA] and Setubal at this stage. For these two sites, the specific production costs attributable to the location were determined and compared. These location specific costs consist of the required investment costs and the expected production costs during a reference period. Portugal submitted genuine contemporary company documents, prepared by [Group controlling] and [...] (the group's State Aid Unit), and dated 9 May 2014 as evidence of a counterfactual analysis confronting [location 1 in a non-assisted area in the EEA] and Setubal as potential locations. Portugal explained that whereas the [location 1 in a non-assisted area in the EEA] plant had slightly better performance values, the Setubal plant scored with the possibility to benefit from regional investment aid. Based on this counterfactual analysis (18), [Group controlling] submitted a decision recommendation to the VAI proposing Setubal as location for the investment.

18

| (71) | The investment and location decisions, confirming Setubal, were taken by the VAI on 28 May 2014 and 26 June 2014 (19). Portugal provided the copy of the minutes of the relevant meetings where these decisions were adopted. Taking into consideration the comparative calculations as well as regional aid in the amount of EUR 37,96 million in nominal value (EUR 33,4 million discounted value) (20), both decisions approve the MQB investment project with an investment volume of EUR 624 million. In addition, the first decision concedes a first budgetary tranche for clearing factory space for the first investments, and the second decision authorised the bulk of the investment expenditures. |
| --- | --- |

(71)

The investment and location decisions, confirming Setubal, were taken by the VAI on 28 May 2014 and 26 June 2014 (19). Portugal provided the copy of the minutes of the relevant meetings where these decisions were adopted. Taking into consideration the comparative calculations as well as regional aid in the amount of EUR 37,96 million in nominal value (EUR 33,4 million discounted value) (20), both decisions approve the MQB investment project with an investment volume of EUR 624 million. In addition, the first decision concedes a first budgetary tranche for clearing factory space for the first investments, and the second decision authorised the bulk of the investment expenditures.

19

20

4.3.4.   PROPORTIONALITY OF THE AID

| (72) | Portugal notes that the calculations used to demonstrate the incentive effect can also be used as a basis for assessing the proportionality of the aid. |
| --- | --- |

(72)

Portugal notes that the calculations used to demonstrate the incentive effect can also be used as a basis for assessing the proportionality of the aid.

| (73) | The final calculation used by Portugal to demonstrate the incentive effect show a net financial handicap of Setubal compared to [location 1 in a non-assisted area in the EEA] of EUR 48 million. Even with the aid, Setubal is by EUR 14,6 million (discounted value) more expensive than [location 1 in a non-assisted area in the EEA] (financial disadvantage minus the aid taken into account in the counterfactual analysis; i.e. EUR 48 million-EUR 33,4 million). |
| --- | --- |

(73)

The final calculation used by Portugal to demonstrate the incentive effect show a net financial handicap of Setubal compared to [location 1 in a non-assisted area in the EEA] of EUR 48 million. Even with the aid, Setubal is by EUR 14,6 million (discounted value) more expensive than [location 1 in a non-assisted area in the EEA] (financial disadvantage minus the aid taken into account in the counterfactual analysis; i.e. EUR 48 million-EUR 33,4 million).

| (74) | Portugal therefore argues that, as the aid does not fully compensate the location disadvantage of Setubal, there is no overcompensation. The aid is consequently proportionate. |
| --- | --- |

(74)

Portugal therefore argues that, as the aid does not fully compensate the location disadvantage of Setubal, there is no overcompensation. The aid is consequently proportionate.

| (75) | Portugal points out that in its decision on location, VAI took not only financial considerations into account, but also non quantifiable qualitative criteria such as reasons of social responsibility or the possibility of avoiding shifting production to other sites at production peaks. |
| --- | --- |

(75)

Portugal points out that in its decision on location, VAI took not only financial considerations into account, but also non quantifiable qualitative criteria such as reasons of social responsibility or the possibility of avoiding shifting production to other sites at production peaks.

4.3.5.   NEGATIVE EFFECTS OF THE AID ON COMPETITION AND TRADE

| (76) | Portugal emphasises that the regional aid serves solely to compensate the net disadvantage of the location in Setubal. The aid is proportionate and will have no effect on competition as the investment project, and its resulting effects on competition and trade, would have happened in any event. The investment project would not have been located in another assisted region with a higher or same aid intensity ceiling, as a greenfield investment would not have been viable, and the only plausible alternative is not an assisted region. Therefore, the aid has no anti-cohesion effect that would run counter the very rationale of regional aid. |
| --- | --- |

(76)

Portugal emphasises that the regional aid serves solely to compensate the net disadvantage of the location in Setubal. The aid is proportionate and will have no effect on competition as the investment project, and its resulting effects on competition and trade, would have happened in any event. The investment project would not have been located in another assisted region with a higher or same aid intensity ceiling, as a greenfield investment would not have been viable, and the only plausible alternative is not an assisted region. Therefore, the aid has no anti-cohesion effect that would run counter the very rationale of regional aid.

5.   ASSESSMENT OF THE AID

ASSESSMENT OF THE AID

5.1.   EXISTENCE OF AID

EXISTENCE OF AID

| (77) | The financial support in the form of a reimbursable grant will be given by the Portuguese authorities and is financed through the general budget of the State. The support is thus given by a Member State and through State resources within the meaning of Article 107(1) of the TFEU. |
| --- | --- |

(77)

The financial support in the form of a reimbursable grant will be given by the Portuguese authorities and is financed through the general budget of the State. The support is thus given by a Member State and through State resources within the meaning of Article 107(1) of the TFEU.

| (78) | As the aid is granted to a single company, Autoeuropa, the measure is selective. |
| --- | --- |

(78)

As the aid is granted to a single company, Autoeuropa, the measure is selective.

| (79) | The financial support will be given for an investment in the car sector, which is subject to intensive trade between Member States, and will partially replace supplies of intermediate goods from other Member States. Therefore, the measure affects trade between Member States. |
| --- | --- |

(79)

The financial support will be given for an investment in the car sector, which is subject to intensive trade between Member States, and will partially replace supplies of intermediate goods from other Member States. Therefore, the measure affects trade between Member States.

| (80) | The favouring of Autoeuropa and its production by the Portuguese authorities means that competition is distorted or threatened to be distorted. |
| --- | --- |

(80)

The favouring of Autoeuropa and its production by the Portuguese authorities means that competition is distorted or threatened to be distorted.

| (81) | Consequently, the Commission considers that the notified measure constitutes State aid to Autoeuropa within the meaning of Article 107(1) TFEU. |
| --- | --- |

(81)

Consequently, the Commission considers that the notified measure constitutes State aid to Autoeuropa within the meaning of Article 107(1) TFEU.

5.2.   LEGALITY OF THE AID MEASURE

LEGALITY OF THE AID MEASURE

| (82) | By granting the aid subject to Commission approval and notifying the aid measure before putting it into effect, the Portuguese authorities have respected their obligations under Article 108(3) TFEU, since the notification of individual aid above a certain amount is required by the GBER 2008. In fact, the aid for the investment project is individually notifiable within the meaning of paragraph 68 of the RAG 2007-13 and the GBER 2008, as the envisaged aid amount of EUR 36,15 million in present value exceeds the individual notification threshold of EUR 11,25 million applicable in the region concerned under the regional aid map applicable from 2007 to June of 2014. |
| --- | --- |

(82)

By granting the aid subject to Commission approval and notifying the aid measure before putting it into effect, the Portuguese authorities have respected their obligations under Article 108(3) TFEU, since the notification of individual aid above a certain amount is required by the GBER 2008. In fact, the aid for the investment project is individually notifiable within the meaning of paragraph 68 of the RAG 2007-13 and the GBER 2008, as the envisaged aid amount of EUR 36,15 million in present value exceeds the individual notification threshold of EUR 11,25 million applicable in the region concerned under the regional aid map applicable from 2007 to June of 2014.

5.3.   LEGAL BASIS FOR THE ASSESSMENT

LEGAL BASIS FOR THE ASSESSMENT

| (83) | The objective of the aid is to promote regional development. As the aid and investment contract was signed in April 2014, only subject to Commission approval, the Commission considers that pursuant to paragraph 188 of the RAG 2014-20, the aid was awarded before July 2014 and thus has to be assessed on the basis of the RAG 2007-13, and in particular its provisions regarding regional investment aid for large investment projects laid down in paragraph 68. |
| --- | --- |

(83)

The objective of the aid is to promote regional development. As the aid and investment contract was signed in April 2014, only subject to Commission approval, the Commission considers that pursuant to paragraph 188 of the RAG 2014-20, the aid was awarded before July 2014 and thus has to be assessed on the basis of the RAG 2007-13, and in particular its provisions regarding regional investment aid for large investment projects laid down in paragraph 68.

5.4.   STRUCTURE OF THE COMPATIBILITY ASSESSMENT

STRUCTURE OF THE COMPATIBILITY ASSESSMENT

| (84) | The Commission needs to conduct its assessment in three steps:


  — | first, it has to confirm that the measure is compatible with the general provisions of the RAG, |
| --- | --- | --- |

(84)

The Commission needs to conduct its assessment in three steps:

—

first, it has to confirm that the measure is compatible with the general provisions of the RAG,

| — | second, it has to verify whether or not it can exclude without doubt that the ‘market share test’ and ‘capacity increase/market performance tests’ under paragraph 68(a) and (b) of the RAG 2007-13 require an in-depth assessment, |
| --- | --- |

—

second, it has to verify whether or not it can exclude without doubt that the ‘market share test’ and ‘capacity increase/market performance tests’ under paragraph 68(a) and (b) of the RAG 2007-13 require an in-depth assessment,

| — | third, depending on the outcome of the assessment in the second step, it may have to conduct an in-depth assessment. |
| --- | --- |

—

third, depending on the outcome of the assessment in the second step, it may have to conduct an in-depth assessment.

5.5.   COMPATIBILITY OF THE MEASURE WITH STANDARD COMPATIBILITY CRITERIA OF THE RAG

COMPATIBILITY OF THE MEASURE WITH STANDARD COMPATIBILITY CRITERIA OF THE RAG

| (85) | The Commission established already in the opening decision that the aid meets part of the general compatibility criteria for the RAG 2007-13. The formal investigation did not reveal any elements that would put into question this assessment. The Commission notes in particular the following:


  — | the aid is granted for a project in Palmela which is an area eligible for regional aid pursuant to the Portuguese regional aid map applicable from 2007 to June of 2014, |
| --- | --- | --- |

(85)

The Commission established already in the opening decision that the aid meets part of the general compatibility criteria for the RAG 2007-13. The formal investigation did not reveal any elements that would put into question this assessment. The Commission notes in particular the following:

—

the aid is granted for a project in Palmela which is an area eligible for regional aid pursuant to the Portuguese regional aid map applicable from 2007 to June of 2014,

| — | there is no indication that the VW Group in general, or Autoeuropa in particular, would be a firm in difficulty within the meaning of the Community guidelines on State aid for rescuing and restructuring firms in difficulty applicable at the time of the notification. Therefore, the aid beneficiary is eligible for regional aid in accordance with paragraph 9 of the RAG 2007-13, |
| --- | --- |

—

there is no indication that the VW Group in general, or Autoeuropa in particular, would be a firm in difficulty within the meaning of the Community guidelines on State aid for rescuing and restructuring firms in difficulty applicable at the time of the notification. Therefore, the aid beneficiary is eligible for regional aid in accordance with paragraph 9 of the RAG 2007-13,

| — | the project comprises an initial investment within the meaning of paragraph 34 of the RAG 2007-13. Initial investment is defined in paragraph 34 of the RAG 2007-13 as an investment in tangible and intangible assets relating to (i) the setting up of a new establishment; (ii) the extension of an existing establishment; (iii) diversification of the output into new additional products; and (iv) a fundamental change in the overall production process of an existing establishment. The introduction of the new production technology qualifies as fundamental change of the production process of an existing establishment. In addition, it allows to diversify the output of the establishment, |
| --- | --- |

—

the project comprises an initial investment within the meaning of paragraph 34 of the RAG 2007-13. Initial investment is defined in paragraph 34 of the RAG 2007-13 as an investment in tangible and intangible assets relating to (i) the setting up of a new establishment; (ii) the extension of an existing establishment; (iii) diversification of the output into new additional products; and (iv) a fundamental change in the overall production process of an existing establishment. The introduction of the new production technology qualifies as fundamental change of the production process of an existing establishment. In addition, it allows to diversify the output of the establishment,

| — | in conformity with paragraph 40 of the RAG 2007-13, Autoeuropa is obliged to maintain the investment in the region for a minimum of 5 years after completion of the project, |
| --- | --- |

—

in conformity with paragraph 40 of the RAG 2007-13, Autoeuropa is obliged to maintain the investment in the region for a minimum of 5 years after completion of the project,

| — | the beneficiary provides, in conformity with paragraph 39 of the RAG 2007-13, a financial contribution of at least 25 % of the eligible costs in a form which is free of any public support, |
| --- | --- |

—

the beneficiary provides, in conformity with paragraph 39 of the RAG 2007-13, a financial contribution of at least 25 % of the eligible costs in a form which is free of any public support,

| — | the formal incentive effect requirements, laid down in paragraph 38 of the RAG 2007-13, are respected (21), |
| --- | --- |

—

the formal incentive effect requirements, laid down in paragraph 38 of the RAG 2007-13, are respected (21),

21

| — | the eligible expenditure of the project is limited to new tangible assets (equipment and buildings only), and is thus in line with the provisions of paragraphs 50 and 54 of the RAG 2007-13. |
| --- | --- |

—

the eligible expenditure of the project is limited to new tangible assets (equipment and buildings only), and is thus in line with the provisions of paragraphs 50 and 54 of the RAG 2007-13.

| (86) | However, the Commission raised doubts in the opening decision with regard to the eligibility of costs for vendor tooling. Therefore, and as it was unable to form a definitive view on whether the notified project and an earlier investment project carried out on the same site formed a single investment project in the meaning of paragraph 60 of the RAG 2007-13, the Commission was unable to establish whether the notified aid intensity exceeded the maximum allowable, and hence raised doubts also regarding the respect of the applicable regional aid ceiling. |
| --- | --- |

(86)

However, the Commission raised doubts in the opening decision with regard to the eligibility of costs for vendor tooling. Therefore, and as it was unable to form a definitive view on whether the notified project and an earlier investment project carried out on the same site formed a single investment project in the meaning of paragraph 60 of the RAG 2007-13, the Commission was unable to establish whether the notified aid intensity exceeded the maximum allowable, and hence raised doubts also regarding the respect of the applicable regional aid ceiling.

5.5.1.   CONCLUSION ON THE VENDOR TOOLING

| (87) | The Commission clarified in case C34/2001 that vendor tolling costs cannot be considered eligible costs, unless they occur in assisted areas of the Member State concerned (22). The Commission notes (see recitals 31 and 32 above) that all the investments in vendor tooling amounting to EUR 136,3 million will fulfil the standard compatibility criteria of the RAG given that they will meet certain conditions such as: the tools are part of the notified project and belong to Autoeuropa's fixed assets, are located at a supplier's plant in an assisted area in Portugal, and will remain located in Portugal in an assisted area for at least 5 years after completion of the project. Furthermore, the assisted areas of Portugal where vendor tooling will take place have the same or higher maximum aid intensities than the area of Palmela. Monitoring mechanisms which ensure that no aid will be granted to vendor tooling that does not comply with the above conditions have been set up. |
| --- | --- |

(87)

The Commission clarified in case C34/2001 that vendor tolling costs cannot be considered eligible costs, unless they occur in assisted areas of the Member State concerned (22). The Commission notes (see recitals 31 and 32 above) that all the investments in vendor tooling amounting to EUR 136,3 million will fulfil the standard compatibility criteria of the RAG given that they will meet certain conditions such as: the tools are part of the notified project and belong to Autoeuropa's fixed assets, are located at a supplier's plant in an assisted area in Portugal, and will remain located in Portugal in an assisted area for at least 5 years after completion of the project. Furthermore, the assisted areas of Portugal where vendor tooling will take place have the same or higher maximum aid intensities than the area of Palmela. Monitoring mechanisms which ensure that no aid will be granted to vendor tooling that does not comply with the above conditions have been set up.

22

| (88) | In line with its previous practice in case C34/2001, the Commission therefore considers that the vendor tooling costs arising in assisted areas of Portugal and amounting to EUR 136,3 million can be considered eligible costs in line with sections 4.1 and 4.2 of the RAG 2007-13. |
| --- | --- |

(88)

In line with its previous practice in case C34/2001, the Commission therefore considers that the vendor tooling costs arising in assisted areas of Portugal and amounting to EUR 136,3 million can be considered eligible costs in line with sections 4.1 and 4.2 of the RAG 2007-13.

5.5.2.   CONCLUSION ON THE SINGLE INVESTMENT PROJECT

| (89) | The Commission analysed the possible single investment project character of the three earlier investments carried out by Autoeuropa at the same site. |
| --- | --- |

(89)

The Commission analysed the possible single investment project character of the three earlier investments carried out by Autoeuropa at the same site.

5.5.2.1.   Initial investment in interior and exterior painting robots (paint shop)

Initial investment in interior and exterior painting robots (paint shop)

| (90) | The project consisted of the acquisition of new robots for the paint shop which led to improvements in terms of quality, but also ergonomics and labour protection, environmental protection and resource savings and productivity. The Commission considers that these investments were necessary at that point in time in order to improve the working conditions in the paint shop and therefore they were not undertaken in preparation of the notified project. |
| --- | --- |

(90)

The project consisted of the acquisition of new robots for the paint shop which led to improvements in terms of quality, but also ergonomics and labour protection, environmental protection and resource savings and productivity. The Commission considers that these investments were necessary at that point in time in order to improve the working conditions in the paint shop and therefore they were not undertaken in preparation of the notified project.

| (91) | The Commission considers that the investment in the automation of the interior and exterior painting process in the paint shop and the notified investment project show technical and functional differences and the investment decisions were taken independently from each other. Therefore the Commission considers that the initial investment in the paint shop is not linked in an economically indivisible way with the notified investment project and consequently, the two investments do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13. |
| --- | --- |

(91)

The Commission considers that the investment in the automation of the interior and exterior painting process in the paint shop and the notified investment project show technical and functional differences and the investment decisions were taken independently from each other. Therefore the Commission considers that the initial investment in the paint shop is not linked in an economically indivisible way with the notified investment project and consequently, the two investments do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13.

5.5.2.2.   Initial investment in stamping dies (tool shop)

Initial investment in stamping dies (tool shop)

| (92) | The tool shop of Autoeuropa produces moulds and stamping tools for car body metal parts. It specialises in the production of tools for engine hoods and fenders. The tool shop delivers its products to the VW Group's factories worldwide, i.e. it is not limited to servicing Autoeuropa. It is part of Autoeuropa, however its activity runs autonomously and independently of the main activity of the factory which is the production of vehicles. |
| --- | --- |

(92)

The tool shop of Autoeuropa produces moulds and stamping tools for car body metal parts. It specialises in the production of tools for engine hoods and fenders. The tool shop delivers its products to the VW Group's factories worldwide, i.e. it is not limited to servicing Autoeuropa. It is part of Autoeuropa, however its activity runs autonomously and independently of the main activity of the factory which is the production of vehicles.

| (93) | The project concerned the acquisition of new tools for stamping dies in order to enable the construction of tools with higher quality levels and to increase the production volume of the tool shop. The tool shop produces moulds and stamping tools for the entire VW Group, is not located in the same plot of land as the notified investment and runs independently of the car manufacturing factory. Moreover, the investment decisions for the tool shop modernisation and for the notified project were taken independently from each other. Therefore the Commission considers that the initial investment in the tool shop is not linked in an economically indivisible way with the notified investment project and consequently, the two investment projects do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13. |
| --- | --- |

(93)

The project concerned the acquisition of new tools for stamping dies in order to enable the construction of tools with higher quality levels and to increase the production volume of the tool shop. The tool shop produces moulds and stamping tools for the entire VW Group, is not located in the same plot of land as the notified investment and runs independently of the car manufacturing factory. Moreover, the investment decisions for the tool shop modernisation and for the notified project were taken independently from each other. Therefore the Commission considers that the initial investment in the tool shop is not linked in an economically indivisible way with the notified investment project and consequently, the two investment projects do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13.

5.5.2.3.   Initial investment in the information technology area (IT)

Initial investment in the information technology area (IT)

| (94) | The project concerned the acquisition of new IT equipment with new software applications for a stable IT security aimed at increasing the stability and the productivity of the car production. The investment in the IT area does not have strategic and technical links with the notified project that would link them in an economically indivisible way. Moreover, the investment decisions for the IT project and for the notified project were taken independently from each other. Therefore the Commission considers that the two investment projects do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13. |
| --- | --- |

(94)

The project concerned the acquisition of new IT equipment with new software applications for a stable IT security aimed at increasing the stability and the productivity of the car production. The investment in the IT area does not have strategic and technical links with the notified project that would link them in an economically indivisible way. Moreover, the investment decisions for the IT project and for the notified project were taken independently from each other. Therefore the Commission considers that the two investment projects do not form a single investment project within the meaning of paragraph 60 of the RAG 2007-13.

5.5.3.   OVERALL CONCLUSION ON STANDARD COMPATIBILITY CRITERIA

OVERALL CONCLUSION ON STANDARD COMPATIBILITY CRITERIA

| (95) | In view of the above, the Commission considers that vendor tooling costs amounting to EUR 136,3 million can be considered as eligible expenditure under the notified project, whereas the earlier investments do not have to be taken into account. The amount of eligible expenses that has to be taken into account for the calculation of the maximum allowable aid intensity is EUR 623,9 million (EUR 599,6 million in discounted value) as shown in Table 2 of this Decision. By applying the scaling down mechanism laid down in paragraph 67 of the RAG 2007-13, the eligible expenditure incurred leads to a maximum allowable aid intensity of 6,13 % GGE for the project. |
| --- | --- |

(95)

In view of the above, the Commission considers that vendor tooling costs amounting to EUR 136,3 million can be considered as eligible expenditure under the notified project, whereas the earlier investments do not have to be taken into account. The amount of eligible expenses that has to be taken into account for the calculation of the maximum allowable aid intensity is EUR 623,9 million (EUR 599,6 million in discounted value) as shown in Table 2 of this Decision. By applying the scaling down mechanism laid down in paragraph 67 of the RAG 2007-13, the eligible expenditure incurred leads to a maximum allowable aid intensity of 6,13 % GGE for the project.

| (96) | Since the intensity of the proposed aid (EUR 36,15 million in present value, 6,03 % aid intensity) does not exceed the maximum allowed aid intensity, and the notified aid is not to be combined with further regional investment aid, the proposed aid intensity for the project complies with the RAG 2007-13. |
| --- | --- |

(96)

Since the intensity of the proposed aid (EUR 36,15 million in present value, 6,03 % aid intensity) does not exceed the maximum allowed aid intensity, and the notified aid is not to be combined with further regional investment aid, the proposed aid intensity for the project complies with the RAG 2007-13.

| (97) | In view of these considerations, and since no information was submitted that would affect the conclusions of the Commission in the opening decision on the respect of the standard compatibility criteria referred to in recital 85, the Commission considers that the standard compatibility criteria of the RAG 2007-13 are met. |
| --- | --- |

(97)

In view of these considerations, and since no information was submitted that would affect the conclusions of the Commission in the opening decision on the respect of the standard compatibility criteria referred to in recital 85, the Commission considers that the standard compatibility criteria of the RAG 2007-13 are met.

5.6.   APPLICATION OF THE TESTS LAID DOWN IN THE PROVISIONS OF PARAGRAPH 68 OF THE RAG 2007-13

APPLICATION OF THE TESTS LAID DOWN IN THE PROVISIONS OF PARAGRAPH 68 OF THE RAG 2007-13

| (98) | The Commission has to carry out an in depth assessment as part of the formal investigation unless it can establish without doubt within that procedure that the thresholds for in-depth assessment laid down in the paragraph 68(a) and (b) tests are not exceeded. (23) To carry out the relevant tests, the Commission has first to establish appropriate product and geographic market definitions. |
| --- | --- |

(98)

The Commission has to carry out an in depth assessment as part of the formal investigation unless it can establish without doubt within that procedure that the thresholds for in-depth assessment laid down in the paragraph 68(a) and (b) tests are not exceeded. (23) To carry out the relevant tests, the Commission has first to establish appropriate product and geographic market definitions.

23

| (99) | In recital 45 of its opening decision the Commission considered that for the purposes of paragraph 68 of the RAG 2007-13, the products concerned by the investment project are passenger cars belonging to the market segments A0, A, and B according to the segmentation by POLK. |
| --- | --- |

(99)

In recital 45 of its opening decision the Commission considered that for the purposes of paragraph 68 of the RAG 2007-13, the products concerned by the investment project are passenger cars belonging to the market segments A0, A, and B according to the segmentation by POLK.

| (100) | The Commission left the precise definition of the relevant product market open and considered all plausible alternative market definitions, including in particular the narrowest segmentation for which data is available. |
| --- | --- |

(100)

The Commission left the precise definition of the relevant product market open and considered all plausible alternative market definitions, including in particular the narrowest segmentation for which data is available.

| (101) | The practice of using the narrowest market definition based on individual segments in the car industry is well grounded in comparable decisions, including final decisions (24). |
| --- | --- |

(101)

The practice of using the narrowest market definition based on individual segments in the car industry is well grounded in comparable decisions, including final decisions (24).

24

| (102) | This case practice is based on the view that competitors in all market segments, including the smallest possible segment, deserve protection from players with market dominance. |
| --- | --- |

(102)

This case practice is based on the view that competitors in all market segments, including the smallest possible segment, deserve protection from players with market dominance.

| (103) | It is also grounded in competition relevant economic considerations. More specifically, this approach is based on the theory that demand side substitutability between two products exists if they are considered to be substitutes by consumers in view of their characteristics, price and intended use. Through its practice of examining market shares also in the smallest possible car market segment for which information is available, the Commission follows exactly this logic: i.e. it considers that substitutability in view of price, characteristics and intended use is the strongest between products belonging to the same segment. In this sense, the application of the narrowest possible market segment as one plausible market reflects the logic of point 28 of the Horizontal Merger Guidelines which states that ‘Products may be differentiated within a relevant market such that some products are closer substitutes than others. The higher the degree of substitutability between the merging firms’ products, the more likely it is that the merging firms will raise prices significantly. [...] The merging firms' incentive to raise prices is more likely to be constrained when rival firms produce close substitutes to the products of the merging firms than when they offer less close substitutes'. |
| --- | --- |

(103)

It is also grounded in competition relevant economic considerations. More specifically, this approach is based on the theory that demand side substitutability between two products exists if they are considered to be substitutes by consumers in view of their characteristics, price and intended use. Through its practice of examining market shares also in the smallest possible car market segment for which information is available, the Commission follows exactly this logic: i.e. it considers that substitutability in view of price, characteristics and intended use is the strongest between products belonging to the same segment. In this sense, the application of the narrowest possible market segment as one plausible market reflects the logic of point 28 of the Horizontal Merger Guidelines which states that ‘Products may be differentiated within a relevant market such that some products are closer substitutes than others. The higher the degree of substitutability between the merging firms’ products, the more likely it is that the merging firms will raise prices significantly. [...] The merging firms' incentive to raise prices is more likely to be constrained when rival firms produce close substitutes to the products of the merging firms than when they offer less close substitutes'.

| (104) | This is also why conventional cars are traditionally divided into segments, and why the automotive industry assigns models to the various well known segments. This is the consideration that has driven the Commission's practice in defining the relevant market in automotive cases also in terms of the individual segments and this is the reason why Member States presented the relevant market related arguments in this as well as in other cases in the past in terms of individual segments. |
| --- | --- |

(104)

This is also why conventional cars are traditionally divided into segments, and why the automotive industry assigns models to the various well known segments. This is the consideration that has driven the Commission's practice in defining the relevant market in automotive cases also in terms of the individual segments and this is the reason why Member States presented the relevant market related arguments in this as well as in other cases in the past in terms of individual segments.

| (105) | Since Autoeuropa will produce cars belonging to A0 and [...] segments according to POLK, and could also produce cars belonging to the B segment according to POLK, the Commission considered that these individual segments and for SUVs also the SUV-B segment according to Global Insight, as well as the combined segment (A0 to B) according to POLK should all be considered as relevant plausible markets for this case. |
| --- | --- |

(105)

Since Autoeuropa will produce cars belonging to A0 and [...] segments according to POLK, and could also produce cars belonging to the B segment according to POLK, the Commission considered that these individual segments and for SUVs also the SUV-B segment according to Global Insight, as well as the combined segment (A0 to B) according to POLK should all be considered as relevant plausible markets for this case.

| (106) | The Commission considered that the relevant geographic market for the products concerned is at least EEA-wide. The Portuguese authorities and Autoeuropa accepted that the Commission applies this geographic market definition for the purposes of this notification (25). |
| --- | --- |

(106)

The Commission considered that the relevant geographic market for the products concerned is at least EEA-wide. The Portuguese authorities and Autoeuropa accepted that the Commission applies this geographic market definition for the purposes of this notification (25).

25

| (107) | In light of the above, and as during the formal investigation the Commission did not receive any additional information showing that it should modify its conclusions from the opening decision, the Commission maintains its assessment as regards the product and geographic market definitions. |
| --- | --- |

(107)

In light of the above, and as during the formal investigation the Commission did not receive any additional information showing that it should modify its conclusions from the opening decision, the Commission maintains its assessment as regards the product and geographic market definitions.

5.6.1.   CONCLUSION ON THE MARKET SHARE TEST (PARAGRAPH 68(A) OF THE RAG 2007-13)

| (108) | The Commission has carried out the test laid down in point 68(a) of the RAG 2007-13 in all plausible product and geographic markets to verify whether the beneficiary's market share exceeds 25 % before and after the investment. |
| --- | --- |

(108)

The Commission has carried out the test laid down in point 68(a) of the RAG 2007-13 in all plausible product and geographic markets to verify whether the beneficiary's market share exceeds 25 % before and after the investment.

| (109) | In view of the fact that a single relevant product and geographic market could not be established, the results of all plausible markets had to be taken into account. The market share of the VW Group in the individual A and B segments and in the combined A0, A and B segments (according to POLK) in the EEA accounts for more than 25 % in all years between 2013 and 2019. The Commission therefore concludes that the threshold laid down in paragraph in 68(a) is exceeded. |
| --- | --- |

(109)

In view of the fact that a single relevant product and geographic market could not be established, the results of all plausible markets had to be taken into account. The market share of the VW Group in the individual A and B segments and in the combined A0, A and B segments (according to POLK) in the EEA accounts for more than 25 % in all years between 2013 and 2019. The Commission therefore concludes that the threshold laid down in paragraph in 68(a) is exceeded.

5.6.2.   CONCLUSION ON THE PRODUCTION CAPACITY IN AN UNDERPERFORMING MARKET TEST (PARAGRAPH 68(B) OF THE RAG 2007-13)

| (110) | As the result of the paragraph 68(a) test requires already proceeding to the in-depth assessment of the aid, it is not necessary to carry out the paragraph 68(b) test. |
| --- | --- |

(110)

As the result of the paragraph 68(a) test requires already proceeding to the in-depth assessment of the aid, it is not necessary to carry out the paragraph 68(b) test.

5.6.3.   CONCLUSION

| (111) | In light of the above, the Commission decides that the relevant threshold of the 68 (a) test is exceeded. The Commission therefore decides to conduct a detailed verification, following the opening of the procedure provided for in Article 108(2) TFEU, that the aid is necessary to provide an incentive effect for the investment and that the benefits of the aid measure outweigh the resulting distortion of competition and effects on trade between Member States. |
| --- | --- |

(111)

In light of the above, the Commission decides that the relevant threshold of the 68 (a) test is exceeded. The Commission therefore decides to conduct a detailed verification, following the opening of the procedure provided for in Article 108(2) TFEU, that the aid is necessary to provide an incentive effect for the investment and that the benefits of the aid measure outweigh the resulting distortion of competition and effects on trade between Member States.

5.7.   IN-DEPTH ASSESSMENT OF THE AID MEASURE

IN-DEPTH ASSESSMENT OF THE AID MEASURE

| (112) | The in-depth assessment is conducted on the basis of the IDAC. |
| --- | --- |

(112)

The in-depth assessment is conducted on the basis of the IDAC.

5.7.1.   POSITIVE EFFECTS OF THE AID

5.7.1.1.   Objective of the aid

Objective of the aid

| (113) | Paragraph 12 of the IDAC requires that Member States substantiate the contribution of the investment project to the development of the region concerned. The Commission takes note of the investment's positive regional effects, as presented by Portugal (see recitals 45 to 49 above) and considers that in particular the direct and indirect job creation effects, the implantation of additional suppliers in the region, the knowledge transfer into the region, and the improvement of the regional skills base represent a significant contribution to the development of the region and to the achievement of the EU cohesion objective. |
| --- | --- |

(113)

Paragraph 12 of the IDAC requires that Member States substantiate the contribution of the investment project to the development of the region concerned. The Commission takes note of the investment's positive regional effects, as presented by Portugal (see recitals 45 to 49 above) and considers that in particular the direct and indirect job creation effects, the implantation of additional suppliers in the region, the knowledge transfer into the region, and the improvement of the regional skills base represent a significant contribution to the development of the region and to the achievement of the EU cohesion objective.

5.7.1.2.   Appropriateness of the aid instrument

Appropriateness of the aid instrument

| (114) | Paragraphs 17 and 18 of the IDAC underline that State aid in the form of initial investment aid is only one of the means to overcome market failures and to promote economic development in disadvantaged regions. Aid constitutes an appropriate instrument if it provides specific advantages compared with other policy measures. According to paragraph 18 of the IDAC, only ‘measures for which the Member State considered other policy options, and for which the advantages of using a selective instrument such as State aid for a specific company are established, are considered to constitute an appropriate instrument.’ |
| --- | --- |

(114)

Paragraphs 17 and 18 of the IDAC underline that State aid in the form of initial investment aid is only one of the means to overcome market failures and to promote economic development in disadvantaged regions. Aid constitutes an appropriate instrument if it provides specific advantages compared with other policy measures. According to paragraph 18 of the IDAC, only ‘measures for which the Member State considered other policy options, and for which the advantages of using a selective instrument such as State aid for a specific company are established, are considered to constitute an appropriate instrument.’

| (115) | Portugal justified (see recitals 51 and 52 above) the appropriateness of the aid instrument by the economic situation in Peninsula de Setubal region, proving that the region is disadvantaged in comparison with the national average: during the period 2011-2013, the regional GDP per capita was around 75 % of the Portuguese average. |
| --- | --- |

(115)

Portugal justified (see recitals 51 and 52 above) the appropriateness of the aid instrument by the economic situation in Peninsula de Setubal region, proving that the region is disadvantaged in comparison with the national average: during the period 2011-2013, the regional GDP per capita was around 75 % of the Portuguese average.

| (116) | In view of the socioeconomic situation of Peninsula de Setubal region, as confirmed by its status as a region eligible for regional aid in accordance with Article 107(3)(c) TFEU with an aid intensity ceiling of 15 %, and in line with earlier case practise (e.g. in the Dell Poland decision (26) and Porsche decision (27)), the Commission accepts that the granting of State aid is an appropriate instrument to achieve the regional development objective in the region concerned. |
| --- | --- |

(116)

In view of the socioeconomic situation of Peninsula de Setubal region, as confirmed by its status as a region eligible for regional aid in accordance with Article 107(3)(c) TFEU with an aid intensity ceiling of 15 %, and in line with earlier case practise (e.g. in the Dell Poland decision (26) and Porsche decision (27)), the Commission accepts that the granting of State aid is an appropriate instrument to achieve the regional development objective in the region concerned.

26

27

5.7.1.3.   Incentive effect/Counterfactual scenario

Incentive effect/Counterfactual scenario

| (117) | Paragraph 20 of the IDAC requires that the formal incentive effect conditions as set out in paragraph 38 of the RAG 2007-13 must be met. The Commission has verified in section 5.5 above that this is the case for the notified project. As to the substantive incentive effect, the IDAC requires the Commission to verify in detail that the aid is necessary to change the behaviour of the beneficiary, so that it undertakes (additional) investment in the assisted region concerned. Paragraph 22 of the IDAC states that the incentive effect can be proven in two possible scenarios: in the absence of aid, no investment would take place at all since without the aid, the investment would not be profitable for the company at any location (scenario 1); in the absence of aid, the investment would take place in another location (scenario 2). |
| --- | --- |

(117)

Paragraph 20 of the IDAC requires that the formal incentive effect conditions as set out in paragraph 38 of the RAG 2007-13 must be met. The Commission has verified in section 5.5 above that this is the case for the notified project. As to the substantive incentive effect, the IDAC requires the Commission to verify in detail that the aid is necessary to change the behaviour of the beneficiary, so that it undertakes (additional) investment in the assisted region concerned. Paragraph 22 of the IDAC states that the incentive effect can be proven in two possible scenarios: in the absence of aid, no investment would take place at all since without the aid, the investment would not be profitable for the company at any location (scenario 1); in the absence of aid, the investment would take place in another location (scenario 2).

| (118) | The IDAC requires the Member State to demonstrate the existence of the incentive effect of the aid and provide clear evidence that the aid effectively had an impact on the investment choice or the location choice. It thus places the burden of proof regarding the existence of an incentive effect on the Member State. In this context, the Member State is also required to give a comprehensive description of the counterfactual scenario in which no aid would be granted to the beneficiary. The counterfactual scenario has to be deemed realistic by the Commission. |
| --- | --- |

(118)

The IDAC requires the Member State to demonstrate the existence of the incentive effect of the aid and provide clear evidence that the aid effectively had an impact on the investment choice or the location choice. It thus places the burden of proof regarding the existence of an incentive effect on the Member State. In this context, the Member State is also required to give a comprehensive description of the counterfactual scenario in which no aid would be granted to the beneficiary. The counterfactual scenario has to be deemed realistic by the Commission.

| (119) | The Portuguese authorities stated (see recital 54 above) that the aid to Autoeuropa falls under scenario 2 and presented a counterfactual scenario reflecting the concrete investment and location planning for the notified project which considered as alternative location a plant in [location 1 in a non-assisted area in the EEA], [...]. |
| --- | --- |

(119)

The Portuguese authorities stated (see recital 54 above) that the aid to Autoeuropa falls under scenario 2 and presented a counterfactual scenario reflecting the concrete investment and location planning for the notified project which considered as alternative location a plant in [location 1 in a non-assisted area in the EEA], [...].

| (120) | Paragraph 25 of the IDAC indicates that the Member State could give proof of the incentive effect of the aid for a scenario 2 situation by providing company documents that show that a comparison has been made between the costs and benefits of locating in the assisted region selected for the investment with an alternative location. The Member State is invited to rely on financial reports, internal business plans and documents that elaborate on various investment scenarios. |
| --- | --- |

(120)

Paragraph 25 of the IDAC indicates that the Member State could give proof of the incentive effect of the aid for a scenario 2 situation by providing company documents that show that a comparison has been made between the costs and benefits of locating in the assisted region selected for the investment with an alternative location. The Member State is invited to rely on financial reports, internal business plans and documents that elaborate on various investment scenarios.

| (121) | Portugal provided (see recitals 68, 70 and 71 above) contemporary and genuine evidence documenting VW Group's, and for the notified project Volkswagen's Brand multi-stage decision-making process concerning first the product decision and then the investment and location decision. |
| --- | --- |

(121)

Portugal provided (see recitals 68, 70 and 71 above) contemporary and genuine evidence documenting VW Group's, and for the notified project Volkswagen's Brand multi-stage decision-making process concerning first the product decision and then the investment and location decision.

| (122) | This documentation shows that after the sales potential for new products in the segments A0 SUV and [...] ([...]) had been established in 2012 in planning round 61, the controlling department [Group Controlling] identified initially in July 2012 four options for the production location: Setubal, [location 1 in a non-assisted area in the EEA], [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] by applying two main criteria: whether at an existing plant additional capacities can still be installed and whether the existing facilities are compatible with the planned investment. The calculations conducted by [Group controlling] also included the sales volume of the [predefined model] which had a planned SOP at a similar timing. Three alternatives with the volumes split between the four sites were developed. For each alternative, the production costs per car were calculated and the outcome of these calculations showed that at that point in time the best alternative would had been to combine the [predefined model] and the A0 SUV volumes in [location 1 in a non-assisted area in the EEA] and to limit the new volumes in Setubal to the [...] segment. |
| --- | --- |

(122)

This documentation shows that after the sales potential for new products in the segments A0 SUV and [...] ([...]) had been established in 2012 in planning round 61, the controlling department [Group Controlling] identified initially in July 2012 four options for the production location: Setubal, [location 1 in a non-assisted area in the EEA], [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] by applying two main criteria: whether at an existing plant additional capacities can still be installed and whether the existing facilities are compatible with the planned investment. The calculations conducted by [Group controlling] also included the sales volume of the [predefined model] which had a planned SOP at a similar timing. Three alternatives with the volumes split between the four sites were developed. For each alternative, the production costs per car were calculated and the outcome of these calculations showed that at that point in time the best alternative would had been to combine the [predefined model] and the A0 SUV volumes in [location 1 in a non-assisted area in the EEA] and to limit the new volumes in Setubal to the [...] segment.

| (123) | In the later planning process, the controlling department decided to exclude [location 3 in a non-assisted area in the EEA] due to disadvantages in personnel costs and [location 2 outside EEA] due to disadvantages in logistic costs and therefore only retained [location 1 in a non-assisted area in the EEA] as a viable alternative location to Setubal. |
| --- | --- |

(123)

In the later planning process, the controlling department decided to exclude [location 3 in a non-assisted area in the EEA] due to disadvantages in personnel costs and [location 2 outside EEA] due to disadvantages in logistic costs and therefore only retained [location 1 in a non-assisted area in the EEA] as a viable alternative location to Setubal.

| (124) | The Commission notes that in January 2014 Volkswagen decided to locate the production of the [predefined model] in [location 1 in a non-assisted area in the EEA] and [location 2 outside EEA], where already the predecessor model had been produced. Portugal provided evidence to prove that even after the [predefined model] decision was taken, [location 1 in a non-assisted area in the EEA] remained a realistic scenario for the notified investment. The documents provided allow the Commission to conclude that in March 2014 when the product decision was taken by the VAP, [location 1 in a non-assisted area in the EEA] had sufficient capacity to accommodate the needs of the notified project. This is further supported by VW Group's decision of March 2015 to produce in [location 1 in a non-assisted area in the EEA] another model with a similar yearly production capacity as the notified project. |
| --- | --- |

(124)

The Commission notes that in January 2014 Volkswagen decided to locate the production of the [predefined model] in [location 1 in a non-assisted area in the EEA] and [location 2 outside EEA], where already the predecessor model had been produced. Portugal provided evidence to prove that even after the [predefined model] decision was taken, [location 1 in a non-assisted area in the EEA] remained a realistic scenario for the notified investment. The documents provided allow the Commission to conclude that in March 2014 when the product decision was taken by the VAP, [location 1 in a non-assisted area in the EEA] had sufficient capacity to accommodate the needs of the notified project. This is further supported by VW Group's decision of March 2015 to produce in [location 1 in a non-assisted area in the EEA] another model with a similar yearly production capacity as the notified project.

| (125) | Moreover, the Commission verified that all the relevant costs relating to additional shifts needed in [location 1 in a non-assisted area in the EEA] in order to cope with the additional capacity needed for the notified project were taken into account in the counterfactual scenario. In addition, it takes note of Portugal's argument that if Setubal would not have been chosen as location for the notified project, Autoeuropa might have had to shut down at least major parts of the plant. The Commission verified that both the costs for the dismissal of employees in Setubal and the costs for reimbursing the State aid granted in the earlier investment projects mentioned in section 4.2 were taken into account in the counterfactual scenario. |
| --- | --- |

(125)

Moreover, the Commission verified that all the relevant costs relating to additional shifts needed in [location 1 in a non-assisted area in the EEA] in order to cope with the additional capacity needed for the notified project were taken into account in the counterfactual scenario. In addition, it takes note of Portugal's argument that if Setubal would not have been chosen as location for the notified project, Autoeuropa might have had to shut down at least major parts of the plant. The Commission verified that both the costs for the dismissal of employees in Setubal and the costs for reimbursing the State aid granted in the earlier investment projects mentioned in section 4.2 were taken into account in the counterfactual scenario.

| (126) | The Commission is also satisfied that the calculations of the investment and production costs at the two locations used in the counterfactual scenario are accurate and are based on credible data provided by the factories or on credible assumptions. |
| --- | --- |

(126)

The Commission is also satisfied that the calculations of the investment and production costs at the two locations used in the counterfactual scenario are accurate and are based on credible data provided by the factories or on credible assumptions.

| (127) | As described in recital 70 and in annex I of this decision, the estimates for production costs attributable to the location, which include production costs and investment costs, resulted in a cost disadvantage of EUR 90 million in nominal value for Setubal compared to [location 1 in a non-assisted area in the EEA]. In order to reduce the cost disadvantage of Setubal, and in view of the forthcoming formal decision of the VAI on the localisation of the investment project, after the product decision was taken by the VAP on 10 March 2014, Autoeuropa introduced an application for aid on 31 March 2014. |
| --- | --- |

(127)

As described in recital 70 and in annex I of this decision, the estimates for production costs attributable to the location, which include production costs and investment costs, resulted in a cost disadvantage of EUR 90 million in nominal value for Setubal compared to [location 1 in a non-assisted area in the EEA]. In order to reduce the cost disadvantage of Setubal, and in view of the forthcoming formal decision of the VAI on the localisation of the investment project, after the product decision was taken by the VAP on 10 March 2014, Autoeuropa introduced an application for aid on 31 March 2014.

| (128) | On 28 May 2014 and 26 June 2014, the VAI decided to locate the notified investment in Setubal. As documented by the minutes of the VAI meetings, this decision was adopted explicitly subject to the availability of State aid. Works on the project started on 26 June 2014. |
| --- | --- |

(128)

On 28 May 2014 and 26 June 2014, the VAI decided to locate the notified investment in Setubal. As documented by the minutes of the VAI meetings, this decision was adopted explicitly subject to the availability of State aid. Works on the project started on 26 June 2014.

| (129) | The Commission established already above (see recital 85) that in accordance with paragraph 20 of the IDAC the formal incentive effect requirements laid down in paragraph 38 of the RAG 2007-13 were met. In addition, the Portuguese authorities provided clear evidence that the aid effectively had an impact on the investment's location choice, since VW Group's decision to locate the notified project in Setubal was taken only after signing the investment contract (28) which confirmed that the investment project would be eligible for State aid. The Commission considers, in accordance with paragraphs 23 and 25 of the IDAC that the counterfactual scenario presented by Portugal is realistic and supported by genuine and contemporary evidence proving that the aid has a real (substantive) incentive effect: by reducing the viability gap between both locations in favour of Setubal, the aid contributed to changing the location decision of the beneficiary company. Without the aid, the investment would not have taken place in Setubal. |
| --- | --- |

(129)

The Commission established already above (see recital 85) that in accordance with paragraph 20 of the IDAC the formal incentive effect requirements laid down in paragraph 38 of the RAG 2007-13 were met. In addition, the Portuguese authorities provided clear evidence that the aid effectively had an impact on the investment's location choice, since VW Group's decision to locate the notified project in Setubal was taken only after signing the investment contract (28) which confirmed that the investment project would be eligible for State aid. The Commission considers, in accordance with paragraphs 23 and 25 of the IDAC that the counterfactual scenario presented by Portugal is realistic and supported by genuine and contemporary evidence proving that the aid has a real (substantive) incentive effect: by reducing the viability gap between both locations in favour of Setubal, the aid contributed to changing the location decision of the beneficiary company. Without the aid, the investment would not have taken place in Setubal.

28

5.7.1.4.   Proportionality of the aid

Proportionality of the aid

| (130) | Paragraph 29 of the IDAC requires that for the aid to be proportional, the amount and intensity of the aid must be limited to the minimum needed for the investment to take place in the assisted region. |
| --- | --- |

(130)

Paragraph 29 of the IDAC requires that for the aid to be proportional, the amount and intensity of the aid must be limited to the minimum needed for the investment to take place in the assisted region.

| (131) | In general, regional aid is considered to be proportional to the seriousness of the problems affecting the assisted regions if it respects the applicable regional aid ceiling, including the automatic, progressive scaling-down of the regional aid ceiling for large investment projects (which is already part of the applicable regional aid map). The applied aid intensity in this case is not higher than the regional aid ceilings corrected by the scaling-down mechanism, as was already established in recital 96. |
| --- | --- |

(131)

In general, regional aid is considered to be proportional to the seriousness of the problems affecting the assisted regions if it respects the applicable regional aid ceiling, including the automatic, progressive scaling-down of the regional aid ceiling for large investment projects (which is already part of the applicable regional aid map). The applied aid intensity in this case is not higher than the regional aid ceilings corrected by the scaling-down mechanism, as was already established in recital 96.

| (132) | In addition to the general principle of proportionality contained in the RAG 2007-13, the IDAC requires a more detailed assessment to be carried out. Under scenario 2 of the IDAC, the aid is considered proportionate if it equals the difference between the net costs for the beneficiary to invest in the assisted region and the net costs to invest in the alternative location. |
| --- | --- |

(132)

In addition to the general principle of proportionality contained in the RAG 2007-13, the IDAC requires a more detailed assessment to be carried out. Under scenario 2 of the IDAC, the aid is considered proportionate if it equals the difference between the net costs for the beneficiary to invest in the assisted region and the net costs to invest in the alternative location.

| (133) | The documentation submitted by Portugal (see recitals 68, 70 and 71 above) proves that the aid was limited to the amount necessary, because it does not exceed the difference in costs between locating the investment in Setubal and in [...]. The calculation done at the time of the counterfactual analysis (and based on documents drafted contemporaneously with the investment decision) shows that even with the aid, Setubal was by EUR 14,6 million more expensive in discounted value than [location 1 in a non-assisted area in the EEA]. The Commission notes that the remaining cost disadvantage was considered as acceptable due to certain qualitative aspects, such as reasons of social responsibility (without the investment Autoeuropa would have had to shut down major parts of the Setubal plant) or the possibility for Setubal to cover production peaks without any support by other plants, while [location 1 in a non-assisted area in the EEA] would have to shift some of the production to [location outside EEA]. If the calculation is done taking into account the notified discounted aid amount of EUR 36,15 million (29), the location disadvantage of Setubal would still be EUR 11,85 million (EUR 48 million-EUR 36,15 million). |
| --- | --- |

(133)

The documentation submitted by Portugal (see recitals 68, 70 and 71 above) proves that the aid was limited to the amount necessary, because it does not exceed the difference in costs between locating the investment in Setubal and in [...]. The calculation done at the time of the counterfactual analysis (and based on documents drafted contemporaneously with the investment decision) shows that even with the aid, Setubal was by EUR 14,6 million more expensive in discounted value than [location 1 in a non-assisted area in the EEA]. The Commission notes that the remaining cost disadvantage was considered as acceptable due to certain qualitative aspects, such as reasons of social responsibility (without the investment Autoeuropa would have had to shut down major parts of the Setubal plant) or the possibility for Setubal to cover production peaks without any support by other plants, while [location 1 in a non-assisted area in the EEA] would have to shift some of the production to [location outside EEA]. If the calculation is done taking into account the notified discounted aid amount of EUR 36,15 million (29), the location disadvantage of Setubal would still be EUR 11,85 million (EUR 48 million-EUR 36,15 million).

29

| (134) | As the aid is limited to the amount necessary to compensate for the net additional costs of locating the investment project in Setubal, as compared to the alternative location [location 1 in a non-assisted area in the EEA], the Commission considers that the proportionality of the aid at the time of the location decision is demonstrated. |
| --- | --- |

(134)

As the aid is limited to the amount necessary to compensate for the net additional costs of locating the investment project in Setubal, as compared to the alternative location [location 1 in a non-assisted area in the EEA], the Commission considers that the proportionality of the aid at the time of the location decision is demonstrated.

5.7.2.   NEGATIVE EFFECTS OF THE AID ON COMPETITION AND TRADE

| (135) | Paragraph 40 of the IDAC states that ‘if the counterfactual analysis suggests that without the aid the investment would have gone ahead in any case, albeit possibly in another location (scenario 2), and if the aid is proportional, possible indications of distortions such as a high market share and an increase in capacity in an underperforming market would in principle be the same regardless of the aid’. |
| --- | --- |

(135)

Paragraph 40 of the IDAC states that ‘if the counterfactual analysis suggests that without the aid the investment would have gone ahead in any case, albeit possibly in another location (scenario 2), and if the aid is proportional, possible indications of distortions such as a high market share and an increase in capacity in an underperforming market would in principle be the same regardless of the aid’.

| (136) | Without the notified aid, the investment would have been carried out in another location within the EEA, resulting in the same level of distortion of competition (i.e. scenario 2). Since the aid is limited to the minimum necessary to off-set the additional costs stemming from the regional handicaps of an assisted region, it does not have undue negative effects on competition, such as crowding-out of private investment. |
| --- | --- |

(136)

Without the notified aid, the investment would have been carried out in another location within the EEA, resulting in the same level of distortion of competition (i.e. scenario 2). Since the aid is limited to the minimum necessary to off-set the additional costs stemming from the regional handicaps of an assisted region, it does not have undue negative effects on competition, such as crowding-out of private investment.

| (137) | According to paragraph 50 of IDAC, due to its geographical specificity, the potential negative location effects of regional aid are already recognised and restricted to a degree by RAG and the regional aid maps, which define exhaustively the areas eligible to grant regional aid, taking account of the equity and cohesion policy objectives, and the eligible aid intensities. However, in accordance with paragraph 53 of the IDAC, if, without aid, the investment would have been located in a poorer region (more regional handicaps — higher maximum regional aid intensity) or in a region that is considered to have the same regional handicaps as the target region (same maximum regional aid intensity), this would constitute a negative effect on trade and a negative element in the overall balancing test that is unlikely to be compensated by any positive elements, because it runs counter the very rationale of regional aid. |
| --- | --- |

(137)

According to paragraph 50 of IDAC, due to its geographical specificity, the potential negative location effects of regional aid are already recognised and restricted to a degree by RAG and the regional aid maps, which define exhaustively the areas eligible to grant regional aid, taking account of the equity and cohesion policy objectives, and the eligible aid intensities. However, in accordance with paragraph 53 of the IDAC, if, without aid, the investment would have been located in a poorer region (more regional handicaps — higher maximum regional aid intensity) or in a region that is considered to have the same regional handicaps as the target region (same maximum regional aid intensity), this would constitute a negative effect on trade and a negative element in the overall balancing test that is unlikely to be compensated by any positive elements, because it runs counter the very rationale of regional aid.

| (138) | In the case of the notified project, a greenfield investment was not considered, as an investment package of [140 000-160 000] cars falling into a [...] price market segment is too small to render a greenfield investment viable. By applying two criteria, existing additional capacities and compatible facilities with the planned project, the only initial alternative locations were limited to [location 1] (non-assisted area in [the EEA]), [location 2] ([outside EEA]) and [location 3] ([non-assisted area in the EEA); [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] were in a later stage excluded as they were characterised by high logistics, respectively high personnel costs. |
| --- | --- |

(138)

In the case of the notified project, a greenfield investment was not considered, as an investment package of [140 000-160 000] cars falling into a [...] price market segment is too small to render a greenfield investment viable. By applying two criteria, existing additional capacities and compatible facilities with the planned project, the only initial alternative locations were limited to [location 1] (non-assisted area in [the EEA]), [location 2] ([outside EEA]) and [location 3] ([non-assisted area in the EEA); [location 2 outside EEA] and [location 3 in a non-assisted area in the EEA] were in a later stage excluded as they were characterised by high logistics, respectively high personnel costs.

| (139) | Therefore, the Commission concludes that there is no indication that the investment would have been located in another assisted region with a higher or similar aid intensity ceiling: hence the Commission considers that the aid has no anti-cohesion effect that would run counter the very rationale of regional aid and the aid has no undue negative effects on trade. |
| --- | --- |

(139)

Therefore, the Commission concludes that there is no indication that the investment would have been located in another assisted region with a higher or similar aid intensity ceiling: hence the Commission considers that the aid has no anti-cohesion effect that would run counter the very rationale of regional aid and the aid has no undue negative effects on trade.

5.8.   BALANCING

BALANCING

| (140) | Having established that the aid provides an incentive for carrying out the investment in the region concerned and is proportionate, it is necessary to balance the positive effects of the aid with its negative effects. |
| --- | --- |

(140)

Having established that the aid provides an incentive for carrying out the investment in the region concerned and is proportionate, it is necessary to balance the positive effects of the aid with its negative effects.

| (141) | The assessment confirmed that the aid measure has an incentive effect attracting an investment which offers an important contribution to the regional development of a disadvantaged region which is eligible for regional aid pursuant to Article 107(3)(c) TFEU, without depriving from the investment any region with the same or a higher aid intensity ceiling (no anti-cohesion effect). The Commission considers that attracting an investment to a poorer region is more beneficial for cohesion within the Union than if the same investment had been located in a more developed region. As stated in paragraph 53 of the IDAC, the Commission considers that ‘the positive effects of regional aid which merely compensate for the difference in net costs relative to a more developed alternative investment location [...] will normally be considered, under the balancing test, to outweigh any negative effects in the alternative location for new investment’. |
| --- | --- |

(141)

The assessment confirmed that the aid measure has an incentive effect attracting an investment which offers an important contribution to the regional development of a disadvantaged region which is eligible for regional aid pursuant to Article 107(3)(c) TFEU, without depriving from the investment any region with the same or a higher aid intensity ceiling (no anti-cohesion effect). The Commission considers that attracting an investment to a poorer region is more beneficial for cohesion within the Union than if the same investment had been located in a more developed region. As stated in paragraph 53 of the IDAC, the Commission considers that ‘the positive effects of regional aid which merely compensate for the difference in net costs relative to a more developed alternative investment location [...] will normally be considered, under the balancing test, to outweigh any negative effects in the alternative location for new investment’.

| (142) | In view of the above, the Commission finds that, given that the aid is proportional to the difference in net costs for carrying out the investment in the selected location, as compared to a more developed alternative location, the positive effects of the aid, in terms of its objective and appropriateness, as demonstrated above, outweigh the negative effects in the alternative location. |
| --- | --- |

(142)

In view of the above, the Commission finds that, given that the aid is proportional to the difference in net costs for carrying out the investment in the selected location, as compared to a more developed alternative location, the positive effects of the aid, in terms of its objective and appropriateness, as demonstrated above, outweigh the negative effects in the alternative location.

| (143) | In accordance with paragraph 68 of the RAG 2007-13, and in light of the in-depth assessment conducted on the basis of the IDAC, the Commission concludes that the aid is necessary to provide an incentive effect for the investment and that the benefits of the aid measure outweigh the resulting distortion of competition and effect on trade between Member States. |
| --- | --- |

(143)

In accordance with paragraph 68 of the RAG 2007-13, and in light of the in-depth assessment conducted on the basis of the IDAC, the Commission concludes that the aid is necessary to provide an incentive effect for the investment and that the benefits of the aid measure outweigh the resulting distortion of competition and effect on trade between Member States.

6.   CONCLUSION

CONCLUSION

| (144) | The Commission concludes that the proposed regional investment aid in favour of Volkswagen Autoeuropa, Lda awarded on 30 April 2014 subject only to Commission approval fulfils all the conditions laid down in the RAG 2007-13 and in the IDAC and can therefore be considered compatible with the internal market in accordance with Article 107(3)(c) TFEU. |
| --- | --- |

(144)

The Commission concludes that the proposed regional investment aid in favour of Volkswagen Autoeuropa, Lda awarded on 30 April 2014 subject only to Commission approval fulfils all the conditions laid down in the RAG 2007-13 and in the IDAC and can therefore be considered compatible with the internal market in accordance with Article 107(3)(c) TFEU.

| (145) | The Commission recalls that in accordance with recital 16 of the opening decision, Portugal committed that neither the notified aid amount, nor the notified aid intensity will be exceeded, if the realised eligible expenditure deviates from the planned amount of eligible expenditure, as taken into account in the notification and the calculation of the maximum aid amount. Portugal also undertook to submit to the Commission on a 5-yearly basis, starting from the approval of the aid by the Commission, an intermediary report (including information on the amounts being paid and on any other investment projects started at the same establishment/plant) and within 6 months after payment of the last tranche of the aid, in accordance with the notified payment schedule, a detailed final report. |
| --- | --- |

(145)

The Commission recalls that in accordance with recital 16 of the opening decision, Portugal committed that neither the notified aid amount, nor the notified aid intensity will be exceeded, if the realised eligible expenditure deviates from the planned amount of eligible expenditure, as taken into account in the notification and the calculation of the maximum aid amount. Portugal also undertook to submit to the Commission on a 5-yearly basis, starting from the approval of the aid by the Commission, an intermediary report (including information on the amounts being paid and on any other investment projects started at the same establishment/plant) and within 6 months after payment of the last tranche of the aid, in accordance with the notified payment schedule, a detailed final report.

HAS ADOPTED THIS DECISION:

Article 1

The State aid which Portugal is planning to implement for Volkswagen Autoeuropa, Lda, amounting to EUR 36,15 million in present value and representing a maximum aid intensity of 6,03 % in gross grant equivalent, is compatible with the internal market within the meaning of Article 107(3)(c) of the Treaty on the Functioning of the European Union.

Implementation of the aid, amounting to a maximum of EUR 36,15 million in present value and to a maximum aid intensity of 6,03 % in gross grant equivalent, is accordingly authorised.

Article 2

This Decision is addressed to the Portuguese Republic.

Done at Brussels, 27 November 2015.

For the Commission

Margrethe VESTAGER

Member of the Commission

---

(1)  
  OJ C 460, 19.12.2014, p. 55.

1

(2)  Cf. footnote 1.

2

(3)  State Aid N 727/2006 — Portugal — Regional aid map 2007-2013 (OJ C 68, 24.3.2007, p. 26), as prolonged until the end of June 2014 by SA.37471 (2013/N) — Prolongation of the Portuguese regional aid map 2007-2013 until 30 June 2014 (OJ C 50, 21.2.2014, p. 16).

3

(4)  Case SA.36754 LIP — HU — Aid for AUDI HUNGARIA MOTOR Ltd (OJ C 418, 21.11.2014, p. 25).

4

(5)  
  OJ C 244, 1.10.2004, p. 2.

5

(6)  Case SA.32169 — Germany — LIP — Aid to Volkswagen Sachsen GmbH (OJ C 361, 10.12.2011, p. 17).

6

(7)  R. L. Polk & Co. (also referred to as POLK) is a globally integrated organisation and a major market information and analytics provider in the automotive industry. On July 16 2013, IHS Inc., the leading global source of critical information and analytics completed its acquisition of R. L. Polk & Co.

7

(*1)  Business secret

*1

(8)  Commission Regulation (EC) No 800/2008 of 6 August 2008 declaring certain categories of aid compatible with the common market in application of Articles 87 and 88 of the Treaty (General block exemption Regulation) (OJ L 214, 9.8.2008, p. 3), prolonged until 30 June 2014.

8

(9)  Guidelines on national regional aid for 2007-2013 (OJ C 54, 4.3.2006, p. 13). On 28 June 2013 the Commission adopted the Guidelines on Regional State Aid for 2014-2020, in which it extended the period of application of the RAG 2007-13 until 30 June 2014 (paragraph 186); (OJ C 209, 23.1.2013, p. 1).

9

(10)  Footnote 55 of the RAG 2007-13 specifies the following: ‘To assess whether an initial investment is economically indivisible, the Commission will take into account the technical, functional and strategic links and the immediate geographical proximity. The economic indivisibility will be assessed independently from ownership. This implies that to establish whether a large investment project constitutes a single investment project, the assessment should be the same irrespective of whether the project is carried out by one undertaking, by more than one undertakings sharing the investment costs or by more undertakings bearing the costs of separate investments within the same investment project (for example in the case of a joint venture)’.

10

(11)  
  OJ C 223, 16.9.2009, p. 3.

11

(12)  This approach is in line with the Commission's State aid decisions SA. 34118 (Porsche Leipzig), Decision of 9 July 2014 (C(2014)4075) in the case of SA.34118, not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3; SA.30340 (Fiat Powertrain Technologies), Decision of 9 February 2011, (C(2011)612) in the case of SA.30340 (OJ C 151, 21.5.2011, p. 5); SA. 32169 (Volkswagen Sachsen) Decision of 13 July 2011 (C(2011)4935) in the case of SA.32169 (OJ C 361, 10.12.2011, p. 17); N 767/07 (Ford Craiova) Decision of 30 April 2008 (C(2008)1613) in the case N 767/2007 (OJ C 238, 17.9.2008, p. 4); N 635/2008 (Fiat Sicily), Decision of 29 April 2009 (C(2009)3051) in the case N 635/2008 (OJ C 219, 12.9.2009, p. 3); and N 473/2008 (Ford Espino) Decision of 17 June 2009 (C(2009)4530) in the case N 473/2008 (OJ C 19, 26.1.2010, p. 5).

12

(13)  The Commission considered in a series of decisions regarding SUVs, most recently in its final decision on regional aid for Porsche (Decision of 9 July 2014 in the case SA.34118 (2012/C, ex 2011/N) which Germany is planning to implement in favour of Porsche Leipzig GmbH and Dr Ing. H.c.F. Porsche Aktiengesellschaft, not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3), that for SUVs the Global Insight classification is more appropriate. SUVs falling under the POLK A0 segment correspond to the SUV-B segment in the classification of Global Insight.

13

(14)  C34/2001, decision of 7 May 2002 on State aid Spain is planning to implement in favour of Ford España SA (notified under document number C(2002) 1803), published in OJ L 314, 18.11.2002, p. 86.

14

(15)  EUR 19,95 million discounted to 2011, the year when the investment project started, discount rate 1,56 %.

15

(16)  SA. 34118, decision of 9 July 2014, not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3, recital 107.

16

(17)  The data source is INE — Instituto Nacional de Estatística (the national official agency for statistics).

17

(18)  This counterfactual analysis is presented in detail in Annex I which cannot be published since its elements constitute business secrets.

18

(19)  See also footnote 20 below.

19

(20)  This figure is based on a different spread of the eligible expenses throughout the years as compared to the final investment configuration which was notified.

20

(21)  Autoeuropa submitted an application for aid on 31 March 2014 and the authority responsible for administering the scheme confirmed on 4 April 2014 in writing that, subject to detailed verification, the project in principle met the conditions of eligibility. The investment contract was signed on 30 April 2014 and contained a suspensive clause making it dependent on VW Group's decision to proceed or not with the project, as long as this decision was taken before 30 June 2014.

21

(22)  See Commission Decision in case C34/2001 regarding aid to Ford España (footnote 14 above), recitals 36-37.

22

(23)  Of course, in any event and thus irrespective of the thresholds of paragraph 68 of the RAG 2007-13, the Commission has to balance the positive and negative effects of the aid before concluding on its compatibility with the internal market. See the General Court's judgment in case T-304/08 Smurfit Kappa Group v Commission EU:T:2012:351, para. 94.

23

Smurfit Kappa Group v Commission

(24)  See for example, the final Commission decision in the Porsche case, SA. 34118 (adopted in July 2014) when it left open the question of market definition and applied the traditional approach of examining all ‘plausible market definitions defining individual car segments (including the narrowest segmentation for which data are available)’. See recital 86 of this decision, citing a range of cases, including Fiat Powertrain technologies, SA.30340, recital 88 (‘As the project does not exceed the thresholds provided in paragraph 68(a) of the RAG at the level of the smallest segmentation of the downstream product market for which data are available, it results that the project does not exceed the thresholds provided in paragraph 68(a) of the RAG for all possible combinations of these car segments’). State aid decisions SA.30340 Fiat Powertrain Technologies, Decision of 9 February 2011, (C(2011)612) (OJ C 151, 21.5.2011, p. 5); SA. 32169 Volkswagen Sachsen, Decision of 13 July 2011 (C(2011)4935 (OJ C 361, 10.12.2011, p. 17).

24

(25)  See also section 3.3.2.2 of the opening decision.

25

(26)  Commission Decision 2010/54/EC of 23 September 2009 on the aid which Poland is planning to implement for Dell Products (Poland) Sp. z o.o. C 46/08 (ex N 775/07) (OJ L 29, 2.2.2010, p. 8), recital 171.

26

(27)  SA.34118 (2012/C, ex 2011/N), not yet published in the OJ, available on http://ec.europa.eu/competition/elojade/isef/index.cfm?clear=1&policy_area_id=3, recital 107.

27

(28)  The investment contract contained a suspensive clause making it dependent on VW Group's decision to proceed or not with the project, as long as this decision was taken before 30 June 2014.

28

(29)  See the explanation for the difference in aid amounts in footnote 19 above.

29

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| 1.2.2017 | EN | Official Journal of the European Union | L 27/143 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/143

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COMMISSION IMPLEMENTING DECISION (EU) 2017/167

of 30 January 2017

temporarily authorising Belgium, the Czech Republic, France and Spain to certify pre-basic mother plants and pre-basic material of specific species of fruit plants referred to in Annex I to Council Directive 2008/90/EC, produced in the field under non-insect-proof conditions

(notified under document C(2017) 60)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Council Directive 2008/90/EC of 29 September 2008 on the marketing of fruit plant propagating material and fruit plants intended for fruit production (1), and in particular Articles 4, 6(4), 9(1) and 13(3) thereof,

Having regard to Commission Implementing Directive 2014/98/EU of 15 October 2014 implementing Council Directive 2008/90/EC as regards specific requirements for the genus and species of fruit plants referred to in Annex I thereof, specific requirements to be met by suppliers and detailed rules concerning official inspections (2), and in particular Article 8(4) thereof,

Whereas:

| (1) | Implementing Directive 2014/98/EU lays down rules for the production, certification and marketing of pre-basic, basic and certified material. |
| --- | --- |

(1)

Implementing Directive 2014/98/EU lays down rules for the production, certification and marketing of pre-basic, basic and certified material.

| (2) | During production strict provisions apply concerning the protection of pre-basic mother plants and pre-basic material against all types of infections by pests because pre-basic mother plants constitute the starting point of the production and certification process of propagating material and fruit plants. Article 8(1) of Implementing Directive 2014/98/EU obliges suppliers to maintain pre-basic mother plants and pre-basic material in designated facilities, which are insect-proof and ensure freedom from infection through aerial vectors and any other possible sources. Article 8(2) of that Directive requires that pre-basic mother plants and pre-basic material are individually identified throughout the production process. In addition, Article 8(3) of that Directive provides that pre-basic mother plants and pre-basic material are to be grown, isolated from the soil, in pots of soil-free or sterilised growing media. |
| --- | --- |

(2)

During production strict provisions apply concerning the protection of pre-basic mother plants and pre-basic material against all types of infections by pests because pre-basic mother plants constitute the starting point of the production and certification process of propagating material and fruit plants. Article 8(1) of Implementing Directive 2014/98/EU obliges suppliers to maintain pre-basic mother plants and pre-basic material in designated facilities, which are insect-proof and ensure freedom from infection through aerial vectors and any other possible sources. Article 8(2) of that Directive requires that pre-basic mother plants and pre-basic material are individually identified throughout the production process. In addition, Article 8(3) of that Directive provides that pre-basic mother plants and pre-basic material are to be grown, isolated from the soil, in pots of soil-free or sterilised growing media.

| (3) | Because of the absence of a harmonised certification scheme, suppliers are currently still allowed to produce pre-basic mother plants and pre-basic material in the open field. Implementing Directive 2014/98/EU will start to apply on 1 January 2017 and as from that date it will introduce for the first time the requirement for suppliers to produce pre-basic mother plants and pre-basic material in insect-proof facilities. Suppliers in certain Member States have already invested in the construction of insect-proof facilities before the entry into force of the rules of that Directive implementing Directive 2008/90/EC, and are consequently able to comply with the requirements laid down in Article 8(1), (2) and (3) of Implementing Directive 2014/98/EU as from the date of application of that Directive. Taking into account that the construction of such insect-proof facilities requires a considerable investment of human and financial resources, it is appropriate to allow sufficient time for suppliers of other Member States to adapt their production systems for certain species while continuing their production. Producers in Belgium and France have started earlier to invest in the construction of insect-proof facilities, whereas producers in the Czech Republic and Spain will need more time to comply with the requirement of production in insect-proof facilities. |
| --- | --- |

(3)

Because of the absence of a harmonised certification scheme, suppliers are currently still allowed to produce pre-basic mother plants and pre-basic material in the open field. Implementing Directive 2014/98/EU will start to apply on 1 January 2017 and as from that date it will introduce for the first time the requirement for suppliers to produce pre-basic mother plants and pre-basic material in insect-proof facilities. Suppliers in certain Member States have already invested in the construction of insect-proof facilities before the entry into force of the rules of that Directive implementing Directive 2008/90/EC, and are consequently able to comply with the requirements laid down in Article 8(1), (2) and (3) of Implementing Directive 2014/98/EU as from the date of application of that Directive. Taking into account that the construction of such insect-proof facilities requires a considerable investment of human and financial resources, it is appropriate to allow sufficient time for suppliers of other Member States to adapt their production systems for certain species while continuing their production. Producers in Belgium and France have started earlier to invest in the construction of insect-proof facilities, whereas producers in the Czech Republic and Spain will need more time to comply with the requirement of production in insect-proof facilities.

| (4) | Belgium, the Czech Republic, France and Spain have therefore submitted requests for a temporary authorisation to certify pre-basic mother plants and pre-basic material of certain species produced in the field under non-insect-proof conditions pursuant to Article 8(4) of Implementing Directive 2014/98/EU. Those authorisations should be limited in time and restricted to specific species. |
| --- | --- |

(4)

Belgium, the Czech Republic, France and Spain have therefore submitted requests for a temporary authorisation to certify pre-basic mother plants and pre-basic material of certain species produced in the field under non-insect-proof conditions pursuant to Article 8(4) of Implementing Directive 2014/98/EU. Those authorisations should be limited in time and restricted to specific species.

| (5) | In order to ensure an identical health status of pre-basic mother plants and pre-basic material produced in the open field as compared to pre-basic mother plants and pre-basic material produced in insect-proof facilities, appropriate measures should be provided for. Those measures concern identification, visual inspection, sampling and testing, isolation distance, treatment and growing conditions of the pre-basic mother plants and pre-basic material, and analysis of the soil in which those pre-basic mother plants and that pre-basic material are grown. In addition, measures to prevent cross-infection by machinery, grafting tools and any other sources should be provided for. Belgium, the Czech Republic, France and Spain have proposed the measures they deem necessary to limit the risk of infection in accordance with the climatic conditions, the growing conditions of the pre-basic mother plants and pre-basic material, the distance to any cultivated and wild species of importance for the pre-basic mother plants and pre-basic material concerned based on the expert knowledge regarding the prevalence and biology of the relevant pests. |
| --- | --- |

(5)

In order to ensure an identical health status of pre-basic mother plants and pre-basic material produced in the open field as compared to pre-basic mother plants and pre-basic material produced in insect-proof facilities, appropriate measures should be provided for. Those measures concern identification, visual inspection, sampling and testing, isolation distance, treatment and growing conditions of the pre-basic mother plants and pre-basic material, and analysis of the soil in which those pre-basic mother plants and that pre-basic material are grown. In addition, measures to prevent cross-infection by machinery, grafting tools and any other sources should be provided for. Belgium, the Czech Republic, France and Spain have proposed the measures they deem necessary to limit the risk of infection in accordance with the climatic conditions, the growing conditions of the pre-basic mother plants and pre-basic material, the distance to any cultivated and wild species of importance for the pre-basic mother plants and pre-basic material concerned based on the expert knowledge regarding the prevalence and biology of the relevant pests.

| (6) | In Belgium there is no commercial production of propagating material, fruit plants and rootstocks of Malus domestica, Prunus avium, P. cerasus, P. domestica, P. persica and Pyrus communis L. in the province of Luxembourg. To ensure an appropriate isolation distance to any cultivated Malus domestica, Prunus avium, P. cerasus, P. domestica, P. persica and Pyrus communis L., pre-basic mother plants and pre-basic material of those species should only be produced in the field in the province of Luxembourg. |
| --- | --- |

(6)

In Belgium there is no commercial production of propagating material, fruit plants and rootstocks of Malus domestica, Prunus avium, P. cerasus, P. domestica, P. persica and Pyrus communis L. in the province of Luxembourg. To ensure an appropriate isolation distance to any cultivated Malus domestica, Prunus avium, P. cerasus, P. domestica, P. persica and Pyrus communis L., pre-basic mother plants and pre-basic material of those species should only be produced in the field in the province of Luxembourg.

| (7) | France has a specific procedure whereby candidate pre-basic mother plants are selected in the field close to other plants of the same species which are not subject to a certification scheme. The Belgian nursery producing pre-basic mother plants and pre-basic material in the field is located adjacent to the village Mussy-la-ville. For this reason neither Belgium nor France can ensure an isolation distance. To safeguard the health of the selected candidate pre-basic mother plants and pre-basic mother plants concerned, those plants are regularly inspected and analysed more frequently. |
| --- | --- |

(7)

France has a specific procedure whereby candidate pre-basic mother plants are selected in the field close to other plants of the same species which are not subject to a certification scheme. The Belgian nursery producing pre-basic mother plants and pre-basic material in the field is located adjacent to the village Mussy-la-ville. For this reason neither Belgium nor France can ensure an isolation distance. To safeguard the health of the selected candidate pre-basic mother plants and pre-basic mother plants concerned, those plants are regularly inspected and analysed more frequently.

| (8) | Pre-basic mother plants and pre-basic material which have been produced in the field under non-insect-proof conditions should be identified through labels to ensure their traceability in accordance with Article 8(4) of Implementing Directive 2014/98/EU. Those labels should comply with the requirements laid down in Article 2 of Commission Implementing Directive 2014/96/EU (3). Moreover, those labels should provide the relevant information needed both for official control and to raise awareness of the user of the material. For this reason the labels should refer to the specific production conditions and contain the date until which the Member States concerned are authorised to certify pre-basic mother plants and pre-basic material produced in the field. Because of the limited size of the label, it should be allowed to limit the information on the label itself and to provide more detailed information regarding the authorisation in the document accompanying the label. |
| --- | --- |

(8)

Pre-basic mother plants and pre-basic material which have been produced in the field under non-insect-proof conditions should be identified through labels to ensure their traceability in accordance with Article 8(4) of Implementing Directive 2014/98/EU. Those labels should comply with the requirements laid down in Article 2 of Commission Implementing Directive 2014/96/EU (3). Moreover, those labels should provide the relevant information needed both for official control and to raise awareness of the user of the material. For this reason the labels should refer to the specific production conditions and contain the date until which the Member States concerned are authorised to certify pre-basic mother plants and pre-basic material produced in the field. Because of the limited size of the label, it should be allowed to limit the information on the label itself and to provide more detailed information regarding the authorisation in the document accompanying the label.

| (9) | For plant health reasons it is appropriate to provide for rules enabling the tracing back of all basic and certified propagating material and fruit plants propagated from pre-basic mother plants and pre-basic material produced in the field. Consequently the labelling of all basic and certified propagating material and fruit plants propagated from pre-basic mother plants and pre-basic material produced in the field, should also explicitly refer to the fact that the pre-basic mother plants and pre-basic material are covered by the authorisation granted by this Decision. |
| --- | --- |

(9)

For plant health reasons it is appropriate to provide for rules enabling the tracing back of all basic and certified propagating material and fruit plants propagated from pre-basic mother plants and pre-basic material produced in the field. Consequently the labelling of all basic and certified propagating material and fruit plants propagated from pre-basic mother plants and pre-basic material produced in the field, should also explicitly refer to the fact that the pre-basic mother plants and pre-basic material are covered by the authorisation granted by this Decision.

| (10) | In view of the above and to allow the suppliers in Belgium, the Czech Republic, France and Spain to gradually shift the production of pre-basic mother plants and pre-basic material in the open field to insect-proof facilities, those Member States should be temporarily authorised to certify in accordance with this Decision pre-basic mother plants and pre-basic material of specific species of fruit plants produced in the field under non-insect-proof conditions. That authorisation should apply until 31 December 2018 in the case of Belgium and France and until 31 December 2022 for the Czech Republic and Spain. |
| --- | --- |

(10)

In view of the above and to allow the suppliers in Belgium, the Czech Republic, France and Spain to gradually shift the production of pre-basic mother plants and pre-basic material in the open field to insect-proof facilities, those Member States should be temporarily authorised to certify in accordance with this Decision pre-basic mother plants and pre-basic material of specific species of fruit plants produced in the field under non-insect-proof conditions. That authorisation should apply until 31 December 2018 in the case of Belgium and France and until 31 December 2022 for the Czech Republic and Spain.

| (11) | This Decision should apply from the same date as Implementing Directive 2014/98/EU. |
| --- | --- |

(11)

This Decision should apply from the same date as Implementing Directive 2014/98/EU.

| (12) | The measures provided for in this Decision are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed, |
| --- | --- |

(12)

The measures provided for in this Decision are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,

HAS ADOPTED THIS DECISION

Article 1

Authorisation

1.   Pursuant to Article 8(4) of Implementing Directive 2014/98/EU, the Czech Republic and Spain may until 31 December 2022 certify pre-basic mother plants and pre-basic material produced in the open field under non-insect-proof conditions of the species listed in the Annex, provided that the requirements set out in Articles 2, 3 and 4(1) are fulfilled.

2.   Pursuant to Article 8(4) of Implementing Directive 2014/98/EU, Belgium and France may until 31 December 2018 certify pre-basic mother plants and pre-basic material produced in the open field under non-insect-proof conditions of the species listed in the Annex, provided that the requirements set out in Articles 2, 3 and 4(1) are fulfilled.

Article 2

Requirements concerning the maintenance

1.   The pre-basic mother plants and the pre-basic material produced in the field shall be maintained in accordance with the requirements set out in Section A of the Annex for the Member States and species concerned.

2.   Grafting and pruning tools and machinery shall be checked, cleaned and disinfected before and after each use on the pre-basic mother plants and the pre-basic material concerned.

3.   There shall be an appropriate distance between pre-basic mother plants and pre-basic material so as to minimise root contact between the pre-basic mother plants and pre-basic material concerned.

Article 3

Requirements concerning visual inspection, sampling and testing

In addition to the requirements set out in Articles 10 and 11 of Implementing Directive 2014/98/EU, Belgium, the Czech Republic, France and Spain shall ensure that the requirements set out in Section B of the Annex for the Member States and species concerned, are complied with.

Article 4

Requirements concerning labelling

1.   In addition to the information required by Article 2(2) of Implementing Directive 2014/96/EU, the label of the pre-basic mother plants and the pre-basic material certified by the Czech Republic and Spain shall contain the indication: ‘Produced in the field in accordance with Commission Implementing Decision (EU) 2017/167; certification authorised until 31 December 2022.’.

In addition to the information required by Article 2(2) of Implementing Directive 2014/96/EU, the label of the pre-basic mother plants and the pre-basic material certified by Belgium and France shall contain the indication: ‘Produced in the field in accordance with Commission Implementing Decision (EU) 2017/167; certification authorised until 31 December 2018.’.

2.   Where an accompanying document is provided pursuant to Article 3(1) of Implementing Directive 2014/96/EU, the information on the official label referred to in paragraph 1 may be restricted to ‘Produced in the field’. In such a case in addition to the information required by Article 3(2) of Implementing Directive 2014/96/EU, the accompanying document of the pre-basic mother plants and the pre-basic material concerned shall contain the indication provided for in paragraph 1.

3.   In addition to the information required by Article 2(2) of Implementing Directive 2014/96/EU, the label of all basic propagating material and all basic fruit plants and all certified propagating material and all certified fruit plants propagated from pre-basic mother plants and pre-basic material certified pursuant to this Decision shall contain the indication: ‘Derived from material produced in the field in accordance with Commission Implementing Decision (EU) 2017/167’.

4.   Where an accompanying document is provided pursuant to Article 3(1) of Implementing Directive 2014/96/EU, the information on the official label referred to in paragraph 3 may be restricted to ‘Derived from material produced in the field’. In such a case in addition to the information required by Article 3(2) of Implementing Directive 2014/96/EU, the accompanying document of all basic propagating material and all basic fruit plants and all certified propagating material and all certified fruit plants propagated from pre-basic mother plants and pre-basic material certified pursuant to this Decision shall contain the indication provided for in paragraph 3.

Article 5

Notification

Belgium, the Czech Republic, France and Spain shall immediately notify the Commission and the other Member States of any certification pursuant to Article 1. The notification shall contain the quantity of the certified pre-basic mother plants and pre-basic material, and the species to which those pre-basic mother plants and that pre-basic material belong.

Article 6

Date of application

This Decision shall apply from 1 January 2017.

Article 7

Addressees

This Decision is addressed to the Member States.

Done at Brussels, 30 January 2017.

For the Commission

Vytenis ANDRIUKAITIS

Member of the Commission

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(1)  
  OJ L 267, 8.10.2008, p. 8.

1

(2)  
  OJ L 298, 16.10.2014, p. 22.

2

(3)  Commission Implementing Directive 2014/96/EU of 15 October 2014 on the requirements for the labelling, sealing and packaging of fruit plant propagating material and fruit plants intended for fruit production, falling within the scope of Council Directive 2008/90/EC (OJ L 298, 16.10.2014, p. 12).

3

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ANNEX

SECTION A

Lists of species referred to in Article 1 and requirements concerning their maintenance referred to in Article 2

1.   Belgium

1.1.   List of species:

Malus domestica Mill., Prunus avium, P. cerasus, P. domestica, P. persica, Pyrus communis L. and rootstocks of those species

1.2.   Requirements for all species listed above

1.2.1.   Measures

Where visual inspections for the presence of insect vectors relevant for the pests listed in Part A of Annex I and in Annex II of Implementing Directive 2014/98/EU detect the presence of those vectors, there shall be an insecticide treatment.

1.3.   Requirements specific for certain species

1.3.1.   Prunus avium, P. cerasus, P. domestica, and P. persica

1.3.1.1.   Growing conditions

Pre-basic mother plants and pre-basic material of Prunus avium, P. cerasus, P. domestica, and P. persica shall be prevented from flowering.

2.   The Czech Republic

2.1.   List of species:

Castanea sativa Mill. and Juglans regia L.

2.2.   Requirements for both species listed above

2.2.1.   Measures

In case of doubts concerning the presence of the relevant pests listed in Part A of Annex I and in Annex II of Implementing Directive 2014/98/EU on pre-basic mother plants and pre-basic material, those pre-basic mother plants and that pre-basic material shall immediately be removed.

2.2.2.   Growing conditions

Pre-basic mother plants shall be prevented from flowering through annual pruning at the beginning of each vegetative period.

2.3.   Requirements specific for certain species

2.3.1.   Juglans regia L.

2.3.1.1.   Growing conditions

Pre-basic mother plants shall be planted in areas where visual inspections have confirmed the absence of vectors of cherry leafroll virus.

3.   France

3.1.   List of species:

Castanea sativa Mill., Corylus avellana L., Cydonia oblonga Mill., Juglans regia L., Malus domestica Mill., Prunus amygdalus, P. armeniaca, P. avium, P. cerasus, P. domestica, P. persica, P. salicina, and Pyrus communis L.

3.2.   Requirements for all species listed above

3.2.1.   Measures

Where visual inspections for the presence of insect vectors relevant for the pests listed in Part A of Annex I and in Annex II of Implementing Directive 2014/98/EU detect the presence of those vectors, there shall be an insecticide treatment.

3.2.2.   Growing conditions

Pre-basic mother plants shall be grafted on rootstocks produced by in vitro culture where available.

3.3.   Requirements specific for certain species

3.3.1.   Prunus amygdalus, P. armeniaca, P. avium, P. cerasus, P. domestica, P. persica, and P. salicina

Pre-basic mother plants and pre-basic material of Prunus amygdalus, P. armeniaca, P. avium, P. cerasus, P. domestica, P. persica, and P. salicina shall be prevented from flowering.

4.   Spain

4.1.   List of species:

Olea europaea L., Prunus amygdalus x P. persica, P. armeniaca, P. domestica, P. domestica x P. salicina, P. dulcis, P. persica, and Pyrus communis L.

4.2.   Requirements for all species listed above

4.2.1.   Measures

Where visual inspections for the presence of insect vectors relevant for the pests listed in Part A of Annex I and in Annex II of Implementing Directive 2014/98/EU detect the presence of those vectors, there shall be an insecticide treatment.

4.3.   Requirements specific for certain species

4.3.1.   Olea europaea L.

4.3.1.1.   Isolation distance

There shall be an isolation distance of at least 100 m to any cultivated or wild Olea europaea L. which is not subject to a certification scheme.

4.3.2.   Prunus amygdalus x P. persica, P. armeniaca, P. domestica, P. domestica x P. salicina, P. dulcis, and P. persica

4.3.2.1.   Isolation distance

There shall be an isolation distance of at least 500 m to any cultivated or wild Prunus amygdalus, P. cerasus and P. prunophora which are not subject to a certification scheme.

4.3.2.2.   Growing conditions

Pre-basic mother plants and pre-basic material of Prunus amygdalus x P. persica, P. armeniaca, P. domestica, P. domestica x P. salicina, P. dulcis, and P. persica shall be prevented from flowering.

4.3.3.   Pyrus communis L.

4.3.3.1.   Isolation distance

There shall be an isolation distance of at least 500 m to any cultivated or wild P. communis L. which is not subject to a certification scheme.

4.3.3.2.   Growing conditions

Pre-basic mother plants and pre-basic material of P. communis L. shall be prevented from flowering.

SECTION B

Requirements concerning visual inspection, sampling and testing referred to in Article 3

1.   Belgium

1.1.   Requirements for all species listed in point 1.1 of Section A

1.1.1.   Visual inspection

Visual inspections shall be carried out at least once per year for the presence of the insect vectors relevant for the pests listed in Part A of Annex I and in Annex II of Implementing Directive 2014/98/EU.

1.2.   Requirements specific for certain species

1.2.1.   Malus domestica Mill. and Pyrus communis L.

1.2.1.1.   Sampling and testing

Each pre-basic mother plant shall be sampled and tested every year for the insect-transmitted and pollen-transmitted viruses listed in Part A of Annex I and in Annex II of Implementing Directive 2014/98/EU.

1.2.2.   Prunus avium, P. cerasus, P. domestica, and P. persica

1.2.2.1.   Sampling and testing

Each pre-basic mother plant shall be sampled and tested every year and at each multiplication cycle for the insect-transmitted and pollen-transmitted viruses listed in Annex II of Implementing Directive 2014/98/EU.

2.   The Czech Republic

2.1.   Requirements specific for certain species

2.1.1.   Castanea sativa Mill.

2.1.1.1.   Visual inspection

Visual inspections shall be carried out from April to May.

2.1.2.   Juglans regia L.

2.1.2.1.   Visual inspection

Visual inspections shall be carried out in late summer or autumn.

3.   France

3.1.   Requirements for all species listed in point 3.1 of Section A

3.1.1.   Visual inspection

Visual inspections shall be carried out at least once per year.

3.2.   Requirements specific for certain species

3.2.1.   Corylus avellana L.

3.2.1.1.   Sampling and testing

Each pre-basic mother plant shall be sampled and tested every year for apple mosaic virus (ApMV).

3.2.2.   Cydonia oblonga Mill., Malus domestica Mill., and Pyrus communis L.

3.2.2.1.   Sampling and testing

Each pre-basic mother plant shall be sampled and tested every year for apple chlorotic leaf spot virus (ACLSV), apple stem-grooving virus (ASGV), apple stem-pitting virus (ASPV) and rubbery wood.

3.2.3.   Prunus amygdalus, P. armeniaca, P. avium, P. cerasus, P. domestica, P. persica, and P. salicina

3.2.3.1.   Sampling and testing

Each pre-basic mother plant shall be sampled and tested every year and at each multiplication cycle for prune dwarf virus (PDV) and Prunus necrotic ringspot virus (PNRSV). In the case of P. persica, each pre-basic mother plant shall be sampled and tested every year and at each multiplication cycle for peach latent mosaic viroid (PLMVd).

4.   Spain

4.1.   Requirements specific for certain species

4.1.1.   Olea europaea L. and Pyrus communis L.

4.1.1.1.   Sampling and testing

Each pre-basic mother plant shall be sampled and tested every year for the viruses and virus-like diseases listed in Annex II of Implementing Directive 2014/98/EU.

4.1.2.   Prunus amygdalus x P. persica, P. armeniaca, P. domestica, P. domestica x P. salicina, P. dulcis, and P. persica

4.1.2.1.   Sampling and testing

Sampling and testing shall be carried out every year for the viruses and virus-like diseases listed in Annex II of Implementing Directive 2014/98/EU.

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| 1.2.2017 | EN | Official Journal of the European Union | L 27/151 |
| --- | --- | --- | --- |

1.2.2017

EN

Official Journal of the European Union

L 27/151

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COMMISSION IMPLEMENTING DECISION (EU) 2017/168

of 31 January 2017

on the identification of ‘Internet Engineering Task Force’ Technical Specifications for referencing in public procurement

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (1) and in particular Article 13(1) thereof,

After consulting the European multi-stakeholder platform on ICT standardisation and sectoral experts

Whereas:

| (1) | Standardisation plays an important role in supporting the Europe 2020 strategy, as set out in the Communication from the Commission entitled ‘Europe 2020: A strategy for smart, sustainable and inclusive growth’ (2). Several flagship initiatives of the Europe 2020 strategy underline the importance of voluntary standardisation in product or services markets to assure the compatibility and interoperability between products and services, foster technological development and support innovation. |
| --- | --- |

(1)

Standardisation plays an important role in supporting the Europe 2020 strategy, as set out in the Communication from the Commission entitled ‘Europe 2020: A strategy for smart, sustainable and inclusive growth’ (2). Several flagship initiatives of the Europe 2020 strategy underline the importance of voluntary standardisation in product or services markets to assure the compatibility and interoperability between products and services, foster technological development and support innovation.

| (2) | The relevance of standards is also recognised in the Communication from the Commission ‘upgrading the single market: more opportunities for people and business’ (3) that considers standards as essential for European competitiveness and crucial for innovation and progress in the Single Market because they increase safety, interoperability and competition and help remove trade barriers. |
| --- | --- |

(2)

The relevance of standards is also recognised in the Communication from the Commission ‘upgrading the single market: more opportunities for people and business’ (3) that considers standards as essential for European competitiveness and crucial for innovation and progress in the Single Market because they increase safety, interoperability and competition and help remove trade barriers.

| (3) | The completion of the Digital Single Market is a key priority for the European Union as highlighted in the Communication from the Commission entitled ‘Annual Growth Strategy 2015’ (4). The Commission in its Communication on a Digital Single Market Strategy for Europe (5) highlighted the role of standardisation and interoperability in creating a European Digital Economy with a long-term growth potential. |
| --- | --- |

(3)

The completion of the Digital Single Market is a key priority for the European Union as highlighted in the Communication from the Commission entitled ‘Annual Growth Strategy 2015’ (4). The Commission in its Communication on a Digital Single Market Strategy for Europe (5) highlighted the role of standardisation and interoperability in creating a European Digital Economy with a long-term growth potential.

| (4) | In the digital society standardisation deliverables become indispensable to ensure the interoperability between devices, applications, data repositories, services and networks. The Communication from the Commission entitled ‘A strategic vision for European standards: moving forward to enhance and accelerate the sustainable growth of the European economy by 2020’ (6) recognises the specificity of standardisation in the field of information and communication technologies (ICT), where solutions, applications and services are often developed by global ICT Fora and Consortia that have emerged as leading ICT standards development organisations. |
| --- | --- |

(4)

In the digital society standardisation deliverables become indispensable to ensure the interoperability between devices, applications, data repositories, services and networks. The Communication from the Commission entitled ‘A strategic vision for European standards: moving forward to enhance and accelerate the sustainable growth of the European economy by 2020’ (6) recognises the specificity of standardisation in the field of information and communication technologies (ICT), where solutions, applications and services are often developed by global ICT Fora and Consortia that have emerged as leading ICT standards development organisations.

| (5) | Regulation (EU) No 1025/2012 aims at modernising and improving the European standardisation framework. It establishes a system whereby the Commission may decide to identify the most relevant and most widely accepted ICT technical specifications issued by organisations that are not European, international or national standardisation organisations. The possibility of using the full range of ICT technical specifications when procuring hardware, software and information technology services will enable interoperability between devices, services and applications, will help public administrations to avoid lock-in that occurs when the public procurer cannot change a provider after the expiration of the procurement contract because using ICT proprietary solutions, and will encourage competition in the supply of interoperable ICT solutions. |
| --- | --- |

(5)

Regulation (EU) No 1025/2012 aims at modernising and improving the European standardisation framework. It establishes a system whereby the Commission may decide to identify the most relevant and most widely accepted ICT technical specifications issued by organisations that are not European, international or national standardisation organisations. The possibility of using the full range of ICT technical specifications when procuring hardware, software and information technology services will enable interoperability between devices, services and applications, will help public administrations to avoid lock-in that occurs when the public procurer cannot change a provider after the expiration of the procurement contract because using ICT proprietary solutions, and will encourage competition in the supply of interoperable ICT solutions.

| (6) | For the ICT technical specifications to be eligible for referencing in public procurement they must comply with the requirements set out in Annex II to Regulation (EU) No 1025/2012. Compliance with those requirements guarantees the public authorities that the ICT technical specifications are established in accordance with the principles of openness, fairness, objectivity and non-discrimination that are recognised by the World Trade Organisation in the field of standardisation. |
| --- | --- |

(6)

For the ICT technical specifications to be eligible for referencing in public procurement they must comply with the requirements set out in Annex II to Regulation (EU) No 1025/2012. Compliance with those requirements guarantees the public authorities that the ICT technical specifications are established in accordance with the principles of openness, fairness, objectivity and non-discrimination that are recognised by the World Trade Organisation in the field of standardisation.

| (7) | The decision to identify the ICT specification is to be adopted after consultation of the European multi-stakeholder platform on ICT standardisation set up by a Commission Decision (7) complemented by other forms of consultation of sectoral experts. |
| --- | --- |

(7)

The decision to identify the ICT specification is to be adopted after consultation of the European multi-stakeholder platform on ICT standardisation set up by a Commission Decision (7) complemented by other forms of consultation of sectoral experts.

| (8) | On 11 June 2015, the European multi-stakeholder platform on ICT standardisation evaluated 27 ‘Internet Engineering Task Force’ technical specifications against the requirements set out in Annex II to Regulation (EU) No 1025/2012 and gave a positive advice to their identification for referencing in public procurement. The evaluation of the IETF technical specifications was subsequently submitted to consultation of sectoral experts that confirmed the positive advice to its identification. |
| --- | --- |

(8)

On 11 June 2015, the European multi-stakeholder platform on ICT standardisation evaluated 27 ‘Internet Engineering Task Force’ technical specifications against the requirements set out in Annex II to Regulation (EU) No 1025/2012 and gave a positive advice to their identification for referencing in public procurement. The evaluation of the IETF technical specifications was subsequently submitted to consultation of sectoral experts that confirmed the positive advice to its identification.

| (9) | The 27 technical specifications are developed and managed by the internet Engineering Task Force (IETF), the principal body engaged in the development of new internet standard specifications of high quality for the design, use and management of the internet. IETF is a global organisation based in the ‘internet standard process’, an open, transparent and consensus based process used by the internet community for the standardisation of protocols and procedures for the benefit of all users worldwide. |
| --- | --- |

(9)

The 27 technical specifications are developed and managed by the internet Engineering Task Force (IETF), the principal body engaged in the development of new internet standard specifications of high quality for the design, use and management of the internet. IETF is a global organisation based in the ‘internet standard process’, an open, transparent and consensus based process used by the internet community for the standardisation of protocols and procedures for the benefit of all users worldwide.

| (10) | The 27 IETF technical specifications are widely used for internet purposes. They consist of standards and protocols to set-up an internet network (Transmission Control Protocol/Internet protocol (TCP/IP), User Datagram Protocol (UDP), Domain Name System (DNS), Dynamic Host Configuration Protocol (DHCP), Simple Network Management Protocol (SNMP), Security Architecture for the internet Protocol (IPsec) and Network Time Protocol (NTP)); standards and protocols for secure connections (Secure Shell-2 (SSH-2) Protocol, Transport Layer Security (TLS) Protocol and internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile (PKIX)); standards and protocols to set-up a website (Hypertext Transfer Protocol (HTTP), Upgrading to TLS Within HTTP/1.1, Uniform Resource Identifiers (URI), Uniform Resource Locator (URL), Uniform Resource Names (URN), File Transfer Protocol (FTP), 8-bit Unicode Transformation Format (UTF-8), JavaScript Object Notation (JSON)); standards and protocols for email, calendar and news applications (Simple Mail Transfer Protocol (SMTP), internet Message Access Protocol (IMAP), Post Office Protocol — version 3 (POP3), Multipurpose internet Mail Extensions (MIME), Network News Transfer Protocol (NNTP), internet Calendaring and Scheduling Core Object Specification (iCalendar), vCard (VCF), Common Format and MIME Type for Comma-Separated Values (CSV)) and standards and protocols for multimedia streaming applications (Real-time Transport Protocol (RTP) and Session Initiation Protocol (SIP). |
| --- | --- |

(10)

The 27 IETF technical specifications are widely used for internet purposes. They consist of standards and protocols to set-up an internet network (Transmission Control Protocol/Internet protocol (TCP/IP), User Datagram Protocol (UDP), Domain Name System (DNS), Dynamic Host Configuration Protocol (DHCP), Simple Network Management Protocol (SNMP), Security Architecture for the internet Protocol (IPsec) and Network Time Protocol (NTP)); standards and protocols for secure connections (Secure Shell-2 (SSH-2) Protocol, Transport Layer Security (TLS) Protocol and internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile (PKIX)); standards and protocols to set-up a website (Hypertext Transfer Protocol (HTTP), Upgrading to TLS Within HTTP/1.1, Uniform Resource Identifiers (URI), Uniform Resource Locator (URL), Uniform Resource Names (URN), File Transfer Protocol (FTP), 8-bit Unicode Transformation Format (UTF-8), JavaScript Object Notation (JSON)); standards and protocols for email, calendar and news applications (Simple Mail Transfer Protocol (SMTP), internet Message Access Protocol (IMAP), Post Office Protocol — version 3 (POP3), Multipurpose internet Mail Extensions (MIME), Network News Transfer Protocol (NNTP), internet Calendaring and Scheduling Core Object Specification (iCalendar), vCard (VCF), Common Format and MIME Type for Comma-Separated Values (CSV)) and standards and protocols for multimedia streaming applications (Real-time Transport Protocol (RTP) and Session Initiation Protocol (SIP).

| (11) | The 27 IETF technical specifications above should therefore be identified as ICT technical specification eligible for referencing in public procurement. |
| --- | --- |

(11)

The 27 IETF technical specifications above should therefore be identified as ICT technical specification eligible for referencing in public procurement.

HAS ADOPTED THIS DECISION:

Article 1

The ‘Internet Engineering Task Force’ technical specifications listed in the Annex are eligible for referencing in public procurement.

Article 2

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

Done at Brussels, 31 January 2017.

For the Commission

The President

Jean-Claude JUNCKER

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(1)  
  OJ L 316, 14.11.2012, p. 12.

1

(2)  COM(2010) 2020 final of 3 March 2010.

2

(3)  COM(2015) 550 final of 28 October 2015.

3

(4)  COM(2014) 902 final of 28 November 2014.

4

(5)  COM(2015) 192 final of 6 May 2015.

5

(6)  COM(2011) 311 final of 1 June 2011.

6

(7)  Commission Decision of 28 November 2011 setting up the European multi-stakeholder platform on ICT standardisation (OJ C 349, 30.11.2011, p. 4).

7

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ANNEX

List of ‘Internet Engineering Task Force’ (IETF) Technical specifications eligible for referencing in public procurement
   (1)

| 1. | Transmission Control Protocol/Internet protocol (TCP/IP) |
| --- | --- |

1.

Transmission Control Protocol/Internet protocol (TCP/IP)

| 2. | User Datagram Protocol (UDP) |
| --- | --- |

2.

User Datagram Protocol (UDP)

| 3. | Domain Name System (DNS) |
| --- | --- |

3.

Domain Name System (DNS)

| 4. | Dynamic Host Configuration Protocol (DHCP) |
| --- | --- |

4.

Dynamic Host Configuration Protocol (DHCP)

| 5. | Simple Network Management Protocol (SNMP) |
| --- | --- |

5.

Simple Network Management Protocol (SNMP)

| 6. | Security Architecture for the internet Protocol (IPsec) |
| --- | --- |

6.

Security Architecture for the internet Protocol (IPsec)

| 7. | Network Time Protocol (NTP) |
| --- | --- |

7.

Network Time Protocol (NTP)

| 8. | Secure Shell-2 Protocol (SSH-2) |
| --- | --- |

8.

Secure Shell-2 Protocol (SSH-2)

| 9. | Transport Layer Security Protocol (TLS) |
| --- | --- |

9.

Transport Layer Security Protocol (TLS)

| 10. | Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile (PKIX) |
| --- | --- |

10.

Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile (PKIX)

| 11. | Hypertext Transfer Protocol (HTTP) |
| --- | --- |

11.

Hypertext Transfer Protocol (HTTP)

| 12. | Upgrading to TLS Within HTTP/1.1 (HTTPS) |
| --- | --- |

12.

Upgrading to TLS Within HTTP/1.1 (HTTPS)

| 13. | Uniform Resource Identifiers (URI) |
| --- | --- |

13.

Uniform Resource Identifiers (URI)

| 14. | Uniform Resource Locator (URL) |
| --- | --- |

14.

Uniform Resource Locator (URL)

| 15. | Uniform Resource Names (URN) |
| --- | --- |

15.

Uniform Resource Names (URN)

| 16. | File Transfer Protocol (FTP) |
| --- | --- |

16.

File Transfer Protocol (FTP)

| 17. | 8-bit Unicode Transformation Format (UTF-8) |
| --- | --- |

17.

8-bit Unicode Transformation Format (UTF-8)

| 18. | Simple Mail Transfer Protocol (SMTP) |
| --- | --- |

18.

Simple Mail Transfer Protocol (SMTP)

| 19. | Internet Message Access Protocol (IMAP) |
| --- | --- |

19.

Internet Message Access Protocol (IMAP)

| 20. | Post Office Protocol — version 3 (POP3) |
| --- | --- |

20.

Post Office Protocol — version 3 (POP3)

| 21. | Multipurpose internet Mail Extensions (MIME) |
| --- | --- |

21.

Multipurpose internet Mail Extensions (MIME)

| 22. | Network News Transfer Protocol (NNTP) |
| --- | --- |

22.

Network News Transfer Protocol (NNTP)

| 23. | Internet Calendaring and Scheduling Core Object Specification (iCalendar) |
| --- | --- |

23.

Internet Calendaring and Scheduling Core Object Specification (iCalendar)

| 24. | File format standard for electronic business cardS (vCard) |
| --- | --- |

24.

File format standard for electronic business cardS (vCard)

| 25. | Common Format and MIME Type for Comma-Separated Values (CSV) |
| --- | --- |

25.

Common Format and MIME Type for Comma-Separated Values (CSV)

| 26. | Real-time Transport Protocol (RTP) |
| --- | --- |

26.

Real-time Transport Protocol (RTP)

| 27. | Session Initiation Protocol (SIP) |
| --- | --- |

27.

Session Initiation Protocol (SIP)

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(1)  IETF specifications are available for free download from http://www.rfc-editor.org/

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ACTS ADOPTED BY BODIES CREATED BY INTERNATIONAL AGREEMENTS

| 1.2.2017 | EN | Official Journal of the European Union | L 27/155 |
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1.2.2017

EN

Official Journal of the European Union

L 27/155

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DECISION No 1/2015 OF THE JOINT COMMITTEE ON AGRICULTURE

of 19 November 2015

concerning the amendment to Appendices 1, 2 and 4 to Annex 4 to the Agreement between the European Community and the Swiss Confederation on trade in agricultural products [2017/169]

THE JOINT COMMITTEE ON AGRICULTURE,

Having regard to the Agreement between the European Community and the Swiss Confederation on trade in agricultural products, and in particular Article 11 thereof,

Whereas:

| (1) | The Agreement between the European Community and the Swiss Confederation on trade in agricultural products entered into force on 1 June 2002. |
| --- | --- |

(1)

The Agreement between the European Community and the Swiss Confederation on trade in agricultural products entered into force on 1 June 2002.

| (2) | The purpose of Annex 4 to the Agreement is to facilitate trade between the Parties in plants, plant products and other objects subject to plant health measures. The Annex has been supplemented by a number of appendices in accordance with Articles 1, 2 and 4. |
| --- | --- |

(2)

The purpose of Annex 4 to the Agreement is to facilitate trade between the Parties in plants, plant products and other objects subject to plant health measures. The Annex has been supplemented by a number of appendices in accordance with Articles 1, 2 and 4.

| (3) | Appendices 1, 2 and 4 to Annex 4 were replaced by Decision No 1/2010 of the Joint Committee on Agriculture. |
| --- | --- |

(3)

Appendices 1, 2 and 4 to Annex 4 were replaced by Decision No 1/2010 of the Joint Committee on Agriculture.

| (4) | Since the entry into force of Decision No 1/2010, the legislative provisions of the Parties in the plant health field have been amended in areas which affect the Agreement. |
| --- | --- |

(4)

Since the entry into force of Decision No 1/2010, the legislative provisions of the Parties in the plant health field have been amended in areas which affect the Agreement.

| (5) | The legislation of the Parties lays down the conditions governing checks of plants, plant products and other objects appearing on the list set out in Appendix 1, originating in third countries, which are carried out at a place other than the point of entry into their respective territory. The conditions governing these checks should be specified when the two Parties are concerned. |
| --- | --- |

(5)

The legislation of the Parties lays down the conditions governing checks of plants, plant products and other objects appearing on the list set out in Appendix 1, originating in third countries, which are carried out at a place other than the point of entry into their respective territory. The conditions governing these checks should be specified when the two Parties are concerned.

| (6) | Consequently Appendices 1, 2 and 4 to Annex 4 should be amended, |
| --- | --- |

(6)

Consequently Appendices 1, 2 and 4 to Annex 4 should be amended,

HAS DECIDED AS FOLLOWS:

Article 1

Appendices 1 and 2 to Annex 4 to the Agreement between the European Community and the Swiss Confederation on trade in agricultural products shall be replaced by the text contained in Annex I to this Decision.

Appendix 4 to Annex 4 to the Agreement between the European Community and the Swiss Confederation on trade in agricultural products shall be replaced by the text set out in Annex II to this Decision.

Article 2

This Decision shall enter into force on 1 January 2016.

Done at Bern, 19 November 2015.

For the Joint Committee on Agriculture

The President and Head of the Swiss Delegation

Adrian AEBI

The Head of the European Union Delegation

Lorenzo TERZI

The Committee Secretary

Thomas MAIER

---

ANNEX I

‘APPENDIX 1

PLANTS, PLANT PRODUCTS AND OTHER OBJECTS

A.   Plants, plant products and other objects, originating in either Party, for which both Parties have similar legislation leading to equivalent results and recognition of the plant passport.

1.   Plants and plant products

1.1.   Plants of the genera Amelanchier Med., Chaenomeles Lindl., Crataegus L., Cydonia Mill., Eriobotrya Lindl., Malus Mill., Mespilus L., Prunus L., other than Prunus laurocerasus L. and Prunus lusitanica L., Pyracantha Roem., Pyrus L. and Sorbus L., intended for planting, other than seeds,

1.2.   Plants of Beta vulgaris L. and Humulus lupulus L., intended for planting, other than seeds

1.3.   Plants of stolon- or tuber-forming species of Solanum L. or their hybrids, intended for planting

1.4.   Plants of Fortunella Swingle, Poncirus Raf. and their hybrids, Casimiroa La Llave, Clausena Burm. f., Vepris Comm., Zanthoxylum L. and Vitis L., other than fruit and seeds

1.5.   Without prejudice to point 1.6, plants of Citrus L. and their hybrids other than fruit and seeds

1.6.   Fruits of Citrus L., Fortunella Swingle, Poncirus Raf. and their hybrids, with leaves and peduncles

1.7.   Wood originating in the Union which has totally or partially retained its natural round surface, with or without bark, or which is presented in the form of chips, particles, sawdust, wood waste or scrap,

| (a) | has been obtained in whole or part from Platanus L., including wood which has not kept its natural round surface; and |
| --- | --- |

(a)

has been obtained in whole or part from Platanus L., including wood which has not kept its natural round surface; and

| (b) | meets one of the descriptions of Annex I, Part II of Council Regulation (EEC) No 2658/87 (1), which appear in the table below:


  CN code | Description |
| --- | --- | --- |
| 4401 10 00 | Fuel wood, in logs, in billets, in twigs, in faggots or in similar forms |
| 4401 22 00 | Non-coniferous wood, in chips or particles |
| ex 4401 30 80 | Wood waste and scrap (other than sawdust), not agglomerated in logs, briquettes, pellets or similar forms |
| 4403 10 00 | Wood in the rough, treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared |
| ex 4403 99 | Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), in the rough, whether or not stripped of bark or sapwood, or roughly squared, not treated with paint, stains, creosote or other preservatives |
| ex 4404 20 00 | Non-coniferous split poles; piles and pickets of wood, pointed but not sawn lengthwise |
| ex 4407 99 | Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm |

(b)

meets one of the descriptions of Annex I, Part II of Council Regulation (EEC) No 2658/87 (1), which appear in the table below:

CN code

Description

4401 10 00

Fuel wood, in logs, in billets, in twigs, in faggots or in similar forms

4401 22 00

Non-coniferous wood, in chips or particles

ex 4401 30 80

Wood waste and scrap (other than sawdust), not agglomerated in logs, briquettes, pellets or similar forms

4403 10 00

Wood in the rough, treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared

ex 4403 99

Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), in the rough, whether or not stripped of bark or sapwood, or roughly squared, not treated with paint, stains, creosote or other preservatives

ex 4404 20 00

Non-coniferous split poles; piles and pickets of wood, pointed but not sawn lengthwise

ex 4407 99

Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm

2.   Plants, plant products and other objects produced by producers whose production and sale is authorised to persons professionally engaged in plant production, other than those plants, plant products and other objects which are prepared and ready for sale to the final consumer, and for which it is ensured by the responsible official bodies of the Member States of the Union or Switzerland, that the production thereof is clearly separate from that of other products

2.1.   Plants, intended for planting (other than seeds) of the genera Abies Mill. and Apium graveolens L., Argyranthemum spp., Asparagus officinalis L., Aster spp., Brassica spp., Castanea Mill., Cucumis spp., Dendranthema (DC.) Des Moul., Dianthus L. and hybrids, Exacum spp., Fragaria L., Gerbera Cass., Gypsophila L., Impatiens L. (all varieties of New Guinea hybrids), Lactuca spp., Larix Mill., Leucanthemum L., Lupinus L., Pelargonium l'Hérit. ex Ait., Picea A. Dietr., Pinus L., Platanus L., Populus L., Prunus laurocerasus L., Prunus lusitanica L., Pseudotsuga Carr., Quercus L., Rubus L., Spinacia L., Tanacetum L., Tsuga Carr., Verbena L. and other plants of herbaceous species (other than plants of the family Gramineae) intended for planting (and other than bulbs, corms, rhizomes, seeds and tubers)

2.2.   Plants of Solanaceae, other than those referred to in point 1.3 intended for planting, other than seeds

2.3.   Plants of Araceae, Marantaceae, Musaceae, Persea spp. and Strelitziaceae, rooted or with growing medium attached or associated

2.4.   Plants of Palmae, having a diameter of the stem at the base of over 5 cm and belonging to the following genera or species: Brahea Mart., Butia Becc., Chamaerops L., Jubaea Kunth., Livistona R. Br., Phoenix L., Sabal Adans., Syagrus Mart., Trachycarpus H. Wendl., Trithrinax Mart., Washingtonia Raf.

2.5.   Plants, seeds and bulbs:

| (a) | Seeds and bulbs of Allium ascalonicum L., Allium cepa L. and Allium schoenoprasum L. intended for planting and plants of Allium porrum L. intended for planting |
| --- | --- |

(a)

Seeds and bulbs of Allium ascalonicum L., Allium cepa L. and Allium schoenoprasum L. intended for planting and plants of Allium porrum L. intended for planting

| (b) | Seeds of Medicago sativa L. |
| --- | --- |

(b)

Seeds of Medicago sativa L.

| (c) | Seeds of Helianthus annuus L., Solanum lycopersicum L. and Phaseolus L. |
| --- | --- |

(c)

Seeds of Helianthus annuus L., Solanum lycopersicum L. and Phaseolus L.

3.   Bulbs, corms, tubers and rhizomes of Camassia Lindl., Chionodoxa Boiss., Crocus flavus Weston ‘Golden Yellow’, Dahlia spp., Galanthus L., Galtonia candicans (Baker) Decne., miniature cultivars and their hybrids of the genus Gladiolus Tourn. ex L., such as Gladiolus callianthus Marais, Gladiolus colvillei Sweet, Gladiolus nanus hort., Gladiolus ramosus hort. and Gladiolus tubergenii hort., Hyacinthus L., Iris L., Ismene Herbert, Lilium spp., Muscari Miller, Narcissus L., Ornithogalum L., Puschkinia Adams, Scilla L., Tigridia Juss. and Tulipa L. intended for planting, produced by producers whose production and sale is authorised to persons professionally engaged in plant production, other than those plants, plant products and other objects which are prepared and ready for sale to the final consumer, and for which it is ensured by the responsible official bodies of the Member States of the Union or Switzerland that the production thereof is clearly separate from that of other products.

B.   Plants, plant products and other objects, originating outside the territories of the Parties, for which the plant-health provisions of both Parties relating to imports lead to equivalent results and which may be traded between them with a plant passport if they are listed in Part A of this Appendix or freely if not listed therein.

1.   Without prejudice to the plants listed in part C of this Appendix, all plants intended for planting, other than seeds but including the seeds of: Cruciferae, Gramineae, Trifolium spp., originating in Argentina, Australia, Bolivia, Chile, New Zealand and Uruguay, genera Triticum, Secale and X Triticosecale from Afghanistan, India, Iran, Iraq, Mexico, Nepal, Pakistan, South Africa and the USA, Citrus L., Fortunella Swingle and Poncirus Raf. and their hybrids, Capsicum spp., Helianthus annuus L., Solanum lycopersicum L., Medicago sativa L., Prunus L., Rubus L., Oryza spp., Zea mais L., Allium ascalonicum L., Allium cepa L., Allium porrum L., Allium schoenoprasum L. and Phaseolus L.

2.   Parts of plants, other than fruits and seeds, of:

| — | Castanea Mill., Dendranthema (DC.) Des Moul., Dianthus L., Gypsophila L., Pelargonium l'Herit. ex Ait, Phoenix spp., Populus L., Quercus L., Solidago L. and cut flowers of Orchidaceae, |
| --- | --- |

—

Castanea Mill., Dendranthema (DC.) Des Moul., Dianthus L., Gypsophila L., Pelargonium l'Herit. ex Ait, Phoenix spp., Populus L., Quercus L., Solidago L. and cut flowers of Orchidaceae,

| — | Conifers (coniferales) |
| --- | --- |

—

Conifers (coniferales)

| — | Acer saccharum Marsh., originating in the USA and Canada |
| --- | --- |

—

Acer saccharum Marsh., originating in the USA and Canada

| — | Prunus L., originating in non-European countries |
| --- | --- |

—

Prunus L., originating in non-European countries

| — | Cut flowers of Aster spp., Eryngium L., Hypericum L., Lisianthus L., Rosa L. and Trachelium L., originating in non-European countries |
| --- | --- |

—

Cut flowers of Aster spp., Eryngium L., Hypericum L., Lisianthus L., Rosa L. and Trachelium L., originating in non-European countries

| — | Leafy vegetables of Apium graveolens L., Ocimum L., Limnophila L. and Eryngium L. |
| --- | --- |

—

Leafy vegetables of Apium graveolens L., Ocimum L., Limnophila L. and Eryngium L.

| — | Leaves of Manihot esculenta Crantz |
| --- | --- |

—

Leaves of Manihot esculenta Crantz

| — | Cut branches of Betula L. with or without foliage |
| --- | --- |

—

Cut branches of Betula L. with or without foliage

| — | Cut branches of Fraxinus L., Juglans ailantifolia Carr., Juglans mandshurica Maxim., Ulmus davidiana Planch. and Pterocarya rhoifolia Siebold & Zucc., with or without foliage, originating in Canada, China, Democratic People's Republic of Korea, Japan, Mongolia, Republic of Korea, Russia, Taiwan and USA |
| --- | --- |

—

Cut branches of Fraxinus L., Juglans ailantifolia Carr., Juglans mandshurica Maxim., Ulmus davidiana Planch. and Pterocarya rhoifolia Siebold & Zucc., with or without foliage, originating in Canada, China, Democratic People's Republic of Korea, Japan, Mongolia, Republic of Korea, Russia, Taiwan and USA

| — | Amiris P. Browne, Casimiroa La Llave, Citropsis Swingle & Kellerman, Eremocitrus Swingle, Esenbeckia Kunth., Glycosmis Corrêa, Merrillia Swingle, Naringi Adans., Tetradium Lour., Toddalia Juss. and Zanthoxylum L. |
| --- | --- |

—

Amiris P. Browne, Casimiroa La Llave, Citropsis Swingle & Kellerman, Eremocitrus Swingle, Esenbeckia Kunth., Glycosmis Corrêa, Merrillia Swingle, Naringi Adans., Tetradium Lour., Toddalia Juss. and Zanthoxylum L.

2.1.   Parts of plants, other than fruits but including seeds, of Aegle Corrêa, Aeglopsis Swingle, Afraegle Engl., Atalantia Corrêa, Balsamocitrus Stapf, Burkillanthus Swingle, Calodendrum Thunb., Choisya Kunth, Clausena Burm. f., Limonia L., Microcitrus Swingle, Murraya J. Koenig ex L., Pamburus Swingle, Severinia Ten., Swinglea Merr., Triphasia Lour. and Vepris Comm.

3.   Fruits of:

| — | Citrus L., Fortunella Swingle, Poncirus Raf. and their hybrids, Momordica L. and Solanum melongena L. |
| --- | --- |

—

Citrus L., Fortunella Swingle, Poncirus Raf. and their hybrids, Momordica L. and Solanum melongena L.

| — | Annona L., Cydonia Mill. Diospyros L., Malus Mill., Mangifera L., Passiflora L., Prunus L., Psidium L., Pyrus L., Ribes L. Syzygium Gaertn., and Vaccinium L., originating in non-European countries. |
| --- | --- |

—

Annona L., Cydonia Mill. Diospyros L., Malus Mill., Mangifera L., Passiflora L., Prunus L., Psidium L., Pyrus L., Ribes L. Syzygium Gaertn., and Vaccinium L., originating in non-European countries.

| — | Capsicum L. |
| --- | --- |

—

Capsicum L.

4.   Tubers of Solanum tuberosum L.

5.   Isolated bark of:

| — | conifers (Coniferales), originating in non-European countries, |
| --- | --- |

—

conifers (Coniferales), originating in non-European countries,

| — | Acer saccharum Marsh, Populus L., and Quercus L. other than Quercus suber L., |
| --- | --- |

—

Acer saccharum Marsh, Populus L., and Quercus L. other than Quercus suber L.,

| — | Fraxinus L., Juglans ailantifolia Carr., Juglans mandshurica Maxim., Ulmus davidiana Planch. and Pterocarya rhoifolia Siebold & Zucc., originating in Canada, China, Democratic People's Republic of Korea, Japan, Mongolia, Republic of Korea, Russia, Taiwan and USA |
| --- | --- |

—

Fraxinus L., Juglans ailantifolia Carr., Juglans mandshurica Maxim., Ulmus davidiana Planch. and Pterocarya rhoifolia Siebold & Zucc., originating in Canada, China, Democratic People's Republic of Korea, Japan, Mongolia, Republic of Korea, Russia, Taiwan and USA

| — | Betula L., originating in Canada and the USA. |
| --- | --- |

—

Betula L., originating in Canada and the USA.

6.   Wood within the meaning of the first subparagraph of Article 2(2) of Council Directive 2000/29/EC (2), where it:

| (a) | has been obtained in whole or part from one of the order, genera or species as described hereafter, except wood packaging material defined in Annex IV, Part A, Section I, Point 2 of Directive 2000/29/EC:


  — | Quercus L., including wood which has not kept its natural round surface, originating in the USA, except wood which meets the description referred to in (b) of CN code 4416 00 00 and where there is documented evidence that the wood has been processed or manufactured using a heat treatment to achieve a minimum temperature of 176 °C for 20 minutes |
| --- | --- | --- |

(a)

has been obtained in whole or part from one of the order, genera or species as described hereafter, except wood packaging material defined in Annex IV, Part A, Section I, Point 2 of Directive 2000/29/EC:

—

Quercus L., including wood which has not kept its natural round surface, originating in the USA, except wood which meets the description referred to in (b) of CN code 4416 00 00 and where there is documented evidence that the wood has been processed or manufactured using a heat treatment to achieve a minimum temperature of 176 °C for 20 minutes

| — | Platanus L., including wood which has not kept its natural round surface, originating in the USA or Armenia |
| --- | --- |

—

Platanus L., including wood which has not kept its natural round surface, originating in the USA or Armenia

| — | Populus L., including wood which has not kept its natural round surface, originating in countries of the American continent |
| --- | --- |

—

Populus L., including wood which has not kept its natural round surface, originating in countries of the American continent

| — | Acer saccharum Marsh., including wood which has not kept its natural round surface, originating in the USA and Canada |
| --- | --- |

—

Acer saccharum Marsh., including wood which has not kept its natural round surface, originating in the USA and Canada

| — | Conifers (Coniferales), including wood which has not kept its natural round surface, originating in non-European countries, Kazakhstan, Russia and Turkey |
| --- | --- |

—

Conifers (Coniferales), including wood which has not kept its natural round surface, originating in non-European countries, Kazakhstan, Russia and Turkey

| — | Fraxinus L., Juglans ailantifolia Carr., Juglans mandshurica Maxim., Ulmus davidiana Planch. and Pterocarya rhoifolia Siebold & Zucc., including wood which has not kept its natural round surface, originating in Canada, China, Democratic People's Republic of Korea, Japan, Mongolia, Republic of Korea, Russia, Taiwan and USA |
| --- | --- |

—

Fraxinus L., Juglans ailantifolia Carr., Juglans mandshurica Maxim., Ulmus davidiana Planch. and Pterocarya rhoifolia Siebold & Zucc., including wood which has not kept its natural round surface, originating in Canada, China, Democratic People's Republic of Korea, Japan, Mongolia, Republic of Korea, Russia, Taiwan and USA

| — | Betula L., including wood which has not kept its natural round surface, originating in Canada and the USA; and |
| --- | --- |

—

Betula L., including wood which has not kept its natural round surface, originating in Canada and the USA; and

| (b) | meets one of the descriptions of Annex I, Part II of Regulation (EEC) No 2658/87, which appear in the table below:


  CN code | Description |
| --- | --- | --- |
| 4401 10 00 | Fuel wood, in logs, in billets, in twigs, in faggots or in similar forms |
| 4401 21 00 | Coniferous wood, in chips or particles |
| 4401 22 00 | Non-coniferous wood, in chips or particles |
| ex 4401 30 40 | Sawdust, not agglomerated in logs, briquettes, pellets or similar forms |
| ex 4401 30 80 | Other wood waste and scrap, not agglomerated in logs, briquettes, pellets or similar forms |
| 4403 10 00 | Wood in the rough, treated with paint, stains, creosote or other preservatives, not stripped of bark or sapwood, or roughly squared |
| 4403 20 | Coniferous wood in the rough, other than treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared |
| 4403 91 | Oak wood (Quercus spp.) in the rough, other than treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared |
| ex 4403 99 | Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.), beech (Fagus spp.) or birch (Betula L.)), in the rough, whether or not stripped of bark or sapwood, or roughly squared, not treated with paint, stains, creosote or other preservatives |
| 4403 99 51 | Sawlogs of birch (Betula L.) in the rough, whether or not stripped of bark or sapwood, or roughly squared |
| 4403 99 59 | Wood of birch (Betula L.) in the rough, whether or not stripped of bark or sapwood, or roughly squared, other than sawlogs |
| ex 4404 | Split poles; piles, pickets and stakes of wood, pointed but not sawn lengthwise |
| 4406 | Railway or tramway sleepers (cross-ties) of wood |
| 4407 10 | Coniferous wood, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm |
| 4407 91 | Oak wood (Quercus spp.), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm |
| ex 4407 93 | Wood of Acer saccharum Marsh, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm |
| 4407 95 | Wood of ash (Fraxinus spp.) sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm |
| ex 4407 99 | Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.), beech (Fagus spp.), maple (Acer spp.), cherry (Prunus spp.) or ash (Fraxinus spp.)), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm |
| 4408 10 | Coniferous sheets for veneering (including those obtained by slicing laminated wood), for plywood or for similar laminated wood and other wood, sawn lengthwise, sliced or peeled, whether or not planed, sanded, spliced or end-jointed, of a thickness not exceeding 6 mm |
| 4416 00 00 | Casks, barrels, vats, tubs and other coopers' products and parts thereof, of wood, including staves |
| 9406 00 20 | Pre-fabricated constructions made of wood |

(b)

meets one of the descriptions of Annex I, Part II of Regulation (EEC) No 2658/87, which appear in the table below:

CN code

Description

4401 10 00

Fuel wood, in logs, in billets, in twigs, in faggots or in similar forms

4401 21 00

Coniferous wood, in chips or particles

4401 22 00

Non-coniferous wood, in chips or particles

ex 4401 30 40

Sawdust, not agglomerated in logs, briquettes, pellets or similar forms

ex 4401 30 80

Other wood waste and scrap, not agglomerated in logs, briquettes, pellets or similar forms

4403 10 00

Wood in the rough, treated with paint, stains, creosote or other preservatives, not stripped of bark or sapwood, or roughly squared

4403 20

Coniferous wood in the rough, other than treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared

4403 91

Oak wood (Quercus spp.) in the rough, other than treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared

ex 4403 99

Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.), beech (Fagus spp.) or birch (Betula L.)), in the rough, whether or not stripped of bark or sapwood, or roughly squared, not treated with paint, stains, creosote or other preservatives

4403 99 51

Sawlogs of birch (Betula L.) in the rough, whether or not stripped of bark or sapwood, or roughly squared

4403 99 59

Wood of birch (Betula L.) in the rough, whether or not stripped of bark or sapwood, or roughly squared, other than sawlogs

ex 4404

Split poles; piles, pickets and stakes of wood, pointed but not sawn lengthwise

4406

Railway or tramway sleepers (cross-ties) of wood

4407 10

Coniferous wood, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm

4407 91

Oak wood (Quercus spp.), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm

ex 4407 93

Wood of Acer saccharum Marsh, sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm

4407 95

Wood of ash (Fraxinus spp.) sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm

ex 4407 99

Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.), beech (Fagus spp.), maple (Acer spp.), cherry (Prunus spp.) or ash (Fraxinus spp.)), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm

4408 10

Coniferous sheets for veneering (including those obtained by slicing laminated wood), for plywood or for similar laminated wood and other wood, sawn lengthwise, sliced or peeled, whether or not planed, sanded, spliced or end-jointed, of a thickness not exceeding 6 mm

4416 00 00

Casks, barrels, vats, tubs and other coopers' products and parts thereof, of wood, including staves

9406 00 20

Pre-fabricated constructions made of wood

7.   Soil and growing medium

| (a) | Soil and growing medium as such, which consists in whole or in part of soil or solid organic substances such as parts of plants, humus including peat or bark, other than that composed entirely of peat. |
| --- | --- |

(a)

Soil and growing medium as such, which consists in whole or in part of soil or solid organic substances such as parts of plants, humus including peat or bark, other than that composed entirely of peat.

| (b) | Soil and growing medium, attached to or associated with plants, consisting in whole or in part of material specified in (a) or consisting in part of any solid inorganic substance, intended to sustain the vitality of the plants, originating in:


  — | Turkey, |
| --- | --- | --- |

(b)

Soil and growing medium, attached to or associated with plants, consisting in whole or in part of material specified in (a) or consisting in part of any solid inorganic substance, intended to sustain the vitality of the plants, originating in:

—

Turkey,

| — | Belarus, Georgia, Moldova, Russia or Ukraine, |
| --- | --- |

—

Belarus, Georgia, Moldova, Russia or Ukraine,

| — | non-European countries, other than Algeria, Egypt, Israel, Libya, Morocco or Tunisia. |
| --- | --- |

—

non-European countries, other than Algeria, Egypt, Israel, Libya, Morocco or Tunisia.

8.   Grain of the genera Triticum, Secale and X Triticosecale originating in Afghanistan, India, Iran, Iraq, Mexico, Nepal, Pakistan, South Africa and the USA.

C.   Plants, plant products and other objects, coming from either Party, for which the Parties do not have similar legislation and do not recognise the plant passport.

1.   Plants and plant products coming from Switzerland which must be accompanied by a plant-health certificate when imported by a Member State of the Union

1.1.   Plants intended for planting, not including seeds

Not applicable

1.2.   Parts of plants, not including fruit or seeds

Not applicable

1.3.   Seeds

Not applicable

1.4.   Fruits

Not applicable

1.5.   Wood which has totally or partially retained its natural round surface, with or without bark, or which is presented in the form of chips, particles, sawdust, wood waste or scrap

| (a) | has been obtained in whole or part from Platanus L., including wood which has not kept its natural round surface; and |
| --- | --- |

(a)

has been obtained in whole or part from Platanus L., including wood which has not kept its natural round surface; and

| (b) | meets one of the descriptions of Annex I, Part II of Regulation (EEC) No 2658/87, which appear in the table below:


  CN code | Description |
| --- | --- | --- |
| 4401 10 00 | Fuel wood, in logs, in billets, in twigs, in faggots or in similar forms |
| 4401 22 00 | Non-coniferous wood, in chips or particles |
| ex 4401 30 80 | Wood waste and scrap (other than sawdust), not agglomerated in logs, briquettes, pellets or similar forms |
| 4403 10 00 | Wood in the rough, treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared |
| ex 4403 99 | Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), in the rough, whether or not stripped of bark or sapwood, or roughly squared, not treated with paint, stains, creosote or other preservatives |
| ex 4404 20 00 | Non-coniferous split poles; non-coniferous piles and pickets of wood, pointed but not sawn lengthwise |
| ex 4407 99 | Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm |

(b)

meets one of the descriptions of Annex I, Part II of Regulation (EEC) No 2658/87, which appear in the table below:

CN code

Description

4401 10 00

Fuel wood, in logs, in billets, in twigs, in faggots or in similar forms

4401 22 00

Non-coniferous wood, in chips or particles

ex 4401 30 80

Wood waste and scrap (other than sawdust), not agglomerated in logs, briquettes, pellets or similar forms

4403 10 00

Wood in the rough, treated with paint, stains, creosote or other preservatives, whether or not stripped of bark or sapwood, or roughly squared

ex 4403 99

Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), in the rough, whether or not stripped of bark or sapwood, or roughly squared, not treated with paint, stains, creosote or other preservatives

ex 4404 20 00

Non-coniferous split poles; non-coniferous piles and pickets of wood, pointed but not sawn lengthwise

ex 4407 99

Non-coniferous wood (other than tropical wood specified in subheading note 1 to Chapter 44 or other tropical wood, oak (Quercus spp.) or beech (Fagus spp.)), sawn or chipped lengthwise, sliced or peeled, whether or not planed, sanded or end-jointed, of a thickness exceeding 6 mm

2.   Plants and plant products coming from a Member State of the Union which must be accompanied by a plant-health certificate when imported into Switzerland

Not applicable

3.   Plants and plant products coming from Switzerland importation of which into a Member State of the Union is prohibited

Plants, not including fruit or seeds

Not applicable

4.   Plants and plant products coming from a Member State of the Union importation of which into Switzerland is prohibited

Plants:

| Cotoneaster Ehrh. |
| --- |

Cotoneaster Ehrh.

| Photinia davidiana (Dcne.) Cardot (3) |
| --- |

Photinia davidiana (Dcne.) Cardot (3)

‘APPENDIX 2

LEGISLATION
   (4)

Provisions of the Union

| — | Council Directive 69/464/EEC of 8 December 1969 on control of potato wart disease |
| --- | --- |

—

Council Directive 69/464/EEC of 8 December 1969 on control of potato wart disease

| — | Council Directive 74/647/EEC of 9 December 1974 on control of carnation leaf-rollers |
| --- | --- |

—

Council Directive 74/647/EEC of 9 December 1974 on control of carnation leaf-rollers

| — | Commission Decision 91/261/EEC of 2 May 1991 recognising Australia as being free from Erwinia amylovora (Burr.) Winsl. et al. |
| --- | --- |

—

Commission Decision 91/261/EEC of 2 May 1991 recognising Australia as being free from Erwinia amylovora (Burr.) Winsl. et al.

| — | Commission Directive 92/70/EEC of 30 July 1992 laying down detailed rules for surveys to be carried out for purposes of the recognition of protected zones in the Community |
| --- | --- |

—

Commission Directive 92/70/EEC of 30 July 1992 laying down detailed rules for surveys to be carried out for purposes of the recognition of protected zones in the Community

| — | Commission Directive 92/90/EEC of 3 November 1992 establishing obligations to which producers and importers of plants, plant products or other objects are subject and establishing details for their registration |
| --- | --- |

—

Commission Directive 92/90/EEC of 3 November 1992 establishing obligations to which producers and importers of plants, plant products or other objects are subject and establishing details for their registration

| — | Commission Directive 92/105/EEC of 3 December 1992 establishing a degree of standardisation for plant passports to be used for the movement of certain plants, plant products or other objects within the Community, and establishing the detailed procedures related to the issuing of such plant passports and the conditions and detailed procedures for their replacement |
| --- | --- |

—

Commission Directive 92/105/EEC of 3 December 1992 establishing a degree of standardisation for plant passports to be used for the movement of certain plants, plant products or other objects within the Community, and establishing the detailed procedures related to the issuing of such plant passports and the conditions and detailed procedures for their replacement

| — | Commission Decision 93/359/EEC of 28 May 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of wood of Thuja L., originating in the United States of America |
| --- | --- |

—

Commission Decision 93/359/EEC of 28 May 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of wood of Thuja L., originating in the United States of America

| — | Commission Decision 93/360/EEC of 28 May 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of wood of Thuja L., originating in Canada |
| --- | --- |

—

Commission Decision 93/360/EEC of 28 May 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of wood of Thuja L., originating in Canada

| — | Commission Decision 93/365/EEC of 2 June 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of heat-treated coniferous wood, originating in Canada, and establishing the details of the indicator system to be applied to the heat-treated wood |
| --- | --- |

—

Commission Decision 93/365/EEC of 2 June 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of heat-treated coniferous wood, originating in Canada, and establishing the details of the indicator system to be applied to the heat-treated wood

| — | Commission Decision 93/422/EEC of 22 June 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of kiln dried coniferous wood, originating in Canada, and establishing the details of the indicator system to be applied to the kiln dried wood |
| --- | --- |

—

Commission Decision 93/422/EEC of 22 June 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of kiln dried coniferous wood, originating in Canada, and establishing the details of the indicator system to be applied to the kiln dried wood

| — | Commission Decision 93/423/EEC of 22 June 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of kiln dried coniferous wood, originating in the United States of America, and establishing the details of the indicator system to be applied to the kiln dried wood |
| --- | --- |

—

Commission Decision 93/423/EEC of 22 June 1993 authorising the Member States to provide for derogations from certain provisions of Council Directive 77/93/EEC in respect of kiln dried coniferous wood, originating in the United States of America, and establishing the details of the indicator system to be applied to the kiln dried wood

| — | Commission Directive 93/50/EEC of 24 June 1993 specifying certain plants not listed in Annex V, Part A to Council Directive 77/93/EEC, the producers of which, or the warehouses, dispatching centres in the production zones of such plants, shall be listed in an official register |
| --- | --- |

—

Commission Directive 93/50/EEC of 24 June 1993 specifying certain plants not listed in Annex V, Part A to Council Directive 77/93/EEC, the producers of which, or the warehouses, dispatching centres in the production zones of such plants, shall be listed in an official register

| — | Commission Directive 93/51/EEC of 24 June 1993 establishing rules for movements of certain plants, plant products or other objects through a protected zone, and for movements of such plants, plant products or other objects originating in and moving within such a protected zone |
| --- | --- |

—

Commission Directive 93/51/EEC of 24 June 1993 establishing rules for movements of certain plants, plant products or other objects through a protected zone, and for movements of such plants, plant products or other objects originating in and moving within such a protected zone

| — | Council Directive 93/85/EEC of 4 October 1993 on the control of potato ring rot |
| --- | --- |

—

Council Directive 93/85/EEC of 4 October 1993 on the control of potato ring rot

| — | Commission Directive 94/3/EC of 21 January 1994 establishing a procedure for the notification of interception of a consignment or a harmful organism from third countries and presenting an imminent phytosanitary danger |
| --- | --- |

—

Commission Directive 94/3/EC of 21 January 1994 establishing a procedure for the notification of interception of a consignment or a harmful organism from third countries and presenting an imminent phytosanitary danger

| — | Commission Directive 98/22/EC of 15 April 1998 laying down the minimum conditions for carrying out plant health checks in the Community, at inspection posts other than those at the place of destination, of plants, plant products or other objects coming from third countries |
| --- | --- |

—

Commission Directive 98/22/EC of 15 April 1998 laying down the minimum conditions for carrying out plant health checks in the Community, at inspection posts other than those at the place of destination, of plants, plant products or other objects coming from third countries

| — | Council Directive 98/57/EC of 20 July 1998 on the control of Ralstonia solanacearum (Smith) Yabuuchi et al. |
| --- | --- |

—

Council Directive 98/57/EC of 20 July 1998 on the control of Ralstonia solanacearum (Smith) Yabuuchi et al.

| — | Commission Decision 98/109/EC of 2 February 1998 authorising Member States temporarily to take emergency measures against the dissemination of Thrips palmi Karny as regards Thailand |
| --- | --- |

—

Commission Decision 98/109/EC of 2 February 1998 authorising Member States temporarily to take emergency measures against the dissemination of Thrips palmi Karny as regards Thailand

| — | Council Directive 2000/29/EC of 8 May 2000 on protective measures against the introduction into the Community of organisms harmful to plants or plant products and against their spread within the Community |
| --- | --- |

—

Council Directive 2000/29/EC of 8 May 2000 on protective measures against the introduction into the Community of organisms harmful to plants or plant products and against their spread within the Community

| — | Commission Decision 2002/757/EC of 19 September 2002 on provisional emergency phytosanitary measures to prevent the introduction into and the spread within the Community of Phytophthora ramorum Werres, De Cock & Man in 't Veld sp. nov. |
| --- | --- |

—

Commission Decision 2002/757/EC of 19 September 2002 on provisional emergency phytosanitary measures to prevent the introduction into and the spread within the Community of Phytophthora ramorum Werres, De Cock & Man in 't Veld sp. nov.

| — | Commission Decision 2002/499/EC of 26 June 2002 authorising derogations from certain provisions of Council Directive 2000/29/EC in respect of naturally or artificially dwarfed plants of Chamaecyparis Spach, Juniperus L. and Pinus L., originating in the Republic of Korea |
| --- | --- |

—

Commission Decision 2002/499/EC of 26 June 2002 authorising derogations from certain provisions of Council Directive 2000/29/EC in respect of naturally or artificially dwarfed plants of Chamaecyparis Spach, Juniperus L. and Pinus L., originating in the Republic of Korea

| — | Commission 2002/887/EC Decision of 8 November 2002 authorising derogations from certain provisions of Council Directive 2000/29/EC in respect of naturally or artificially dwarfed plants of Chamaecyparis Spach, Juniperus L. and Pinus L., originating in Japan |
| --- | --- |

—

Commission 2002/887/EC Decision of 8 November 2002 authorising derogations from certain provisions of Council Directive 2000/29/EC in respect of naturally or artificially dwarfed plants of Chamaecyparis Spach, Juniperus L. and Pinus L., originating in Japan

| — | Commission Decision 2004/200/EC of 27 February 2004 on measures to prevent the introduction into and the spread within the Community of Pepino mosaic virus |
| --- | --- |

—

Commission Decision 2004/200/EC of 27 February 2004 on measures to prevent the introduction into and the spread within the Community of Pepino mosaic virus

| — | Commission Directive 2004/103/EC of 7 October 2004 on identity and plant health checks of plants, plant products or other objects, listed in Part B of Annex V to Council Directive 2000/29/EC, which may be carried out at a place other than the point of entry into the Community or at a place close by and specifying the conditions related to these checks |
| --- | --- |

—

Commission Directive 2004/103/EC of 7 October 2004 on identity and plant health checks of plants, plant products or other objects, listed in Part B of Annex V to Council Directive 2000/29/EC, which may be carried out at a place other than the point of entry into the Community or at a place close by and specifying the conditions related to these checks

| — | Implementing rules: when the point of entry of the plants, plant products and other objects listed in Appendix 1 coming from third countries is located in the territory of one of the Parties, but the point of destination is located in the territory of the other Party, the documentary, identity and plant health checks shall be carried out at the point of entry if there is no specific agreement between the competent authorities of the point of entry and the point of destination. Where there is a specific agreement between the competent authorities of the point of entry and the point of destination, this shall be by written agreement. |
| --- | --- |

—

Implementing rules: when the point of entry of the plants, plant products and other objects listed in Appendix 1 coming from third countries is located in the territory of one of the Parties, but the point of destination is located in the territory of the other Party, the documentary, identity and plant health checks shall be carried out at the point of entry if there is no specific agreement between the competent authorities of the point of entry and the point of destination. Where there is a specific agreement between the competent authorities of the point of entry and the point of destination, this shall be by written agreement.

| — | Commission Directive 2004/105/EC of 15 October 2004 determining the models of official phytosanitary certificates or phytosanitary certificates for re-export accompanying plants, plant products or other objects from third countries and listed in Council Directive 2000/29/EC |
| --- | --- |

—

Commission Directive 2004/105/EC of 15 October 2004 determining the models of official phytosanitary certificates or phytosanitary certificates for re-export accompanying plants, plant products or other objects from third countries and listed in Council Directive 2000/29/EC

| — | Commission Decision 2004/416/EC of 29 April 2004 on temporary emergency measures in respect of certain citrus fruits originating in Argentina or Brazil |
| --- | --- |

—

Commission Decision 2004/416/EC of 29 April 2004 on temporary emergency measures in respect of certain citrus fruits originating in Argentina or Brazil

| — | Commission Decision 2005/51/EC of 21 January 2005 authorising Member States temporarily to provide for derogations from certain provisions of Council Directive 2000/29/EC in respect of the importation of soil contaminated by pesticides or persistent organic pollutants for decontamination purposes |
| --- | --- |

—

Commission Decision 2005/51/EC of 21 January 2005 authorising Member States temporarily to provide for derogations from certain provisions of Council Directive 2000/29/EC in respect of the importation of soil contaminated by pesticides or persistent organic pollutants for decontamination purposes

| — | Commission Decision 2005/359/EC of 29 April 2005 providing for a derogation from certain provisions of Council Directive 2000/29/EC as regards oak (Quercus L.) logs with bark attached, originating in the United States of America |
| --- | --- |

—

Commission Decision 2005/359/EC of 29 April 2005 providing for a derogation from certain provisions of Council Directive 2000/29/EC as regards oak (Quercus L.) logs with bark attached, originating in the United States of America

| — | Commission Decision 2006/473/EC of 5 July 2006 recognising certain third countries and certain areas of third countries as being free from Xanthomonas campestris (all strains pathogenic to Citrus), Cercospora angolensis Carv. et Mendes and Guignardia citricarpa Kiely (all strains pathogenic to citrus) |
| --- | --- |

—

Commission Decision 2006/473/EC of 5 July 2006 recognising certain third countries and certain areas of third countries as being free from Xanthomonas campestris (all strains pathogenic to Citrus), Cercospora angolensis Carv. et Mendes and Guignardia citricarpa Kiely (all strains pathogenic to citrus)

| — | Council Directive 2006/91/EC of 7 November 2006 on control of San José scale |
| --- | --- |

—

Council Directive 2006/91/EC of 7 November 2006 on control of San José scale

| — | Commission Decision 2007/365/EC of 25 May 2007 on emergency measures to prevent the introduction into and the spread within the Community of Rhynchophorus ferrugineus (Olivier) |
| --- | --- |

—

Commission Decision 2007/365/EC of 25 May 2007 on emergency measures to prevent the introduction into and the spread within the Community of Rhynchophorus ferrugineus (Olivier)

| — | Council Directive 2007/33/EC of 11 June 2007 on the control of potato cyst nematodes and repealing Directive 69/465/EEC |
| --- | --- |

—

Council Directive 2007/33/EC of 11 June 2007 on the control of potato cyst nematodes and repealing Directive 69/465/EEC

| — | Commission Decision 2007/433/EC of 18 June 2007 on provisional emergency measures to prevent the introduction into and the spread within the Community of Gibberella circinata Nirenberg & O'Donnell |
| --- | --- |

—

Commission Decision 2007/433/EC of 18 June 2007 on provisional emergency measures to prevent the introduction into and the spread within the Community of Gibberella circinata Nirenberg & O'Donnell

| — | Commission Directive 2008/61/EC of 17 June 2008 establishing the conditions under which certain harmful organisms, plants, plant products and other objects listed in Annexes I to V to Council Directive 2000/29/EC may be introduced into or moved within the Community or certain protected zones thereof, for trial or scientific purposes and for work on varietal selections |
| --- | --- |

—

Commission Directive 2008/61/EC of 17 June 2008 establishing the conditions under which certain harmful organisms, plants, plant products and other objects listed in Annexes I to V to Council Directive 2000/29/EC may be introduced into or moved within the Community or certain protected zones thereof, for trial or scientific purposes and for work on varietal selections

| — | Commission implementing Decision 2011/778/EU of 28 November 2011 authorising certain Member States to provide for temporary derogations from certain provisions of Council Directive 2000/29/EC in respect of seed potatoes originating in certain provinces of Canada |
| --- | --- |

—

Commission implementing Decision 2011/778/EU of 28 November 2011 authorising certain Member States to provide for temporary derogations from certain provisions of Council Directive 2000/29/EC in respect of seed potatoes originating in certain provinces of Canada

| — | Commission implementing Decision 2011/787/EU of 29 November 2011 authorising Member States temporarily to take emergency measures against the dissemination of Ralstonia solanacearum (Smith) Yabuuchi et al. as regards Egypt |
| --- | --- |

—

Commission implementing Decision 2011/787/EU of 29 November 2011 authorising Member States temporarily to take emergency measures against the dissemination of Ralstonia solanacearum (Smith) Yabuuchi et al. as regards Egypt

| — | Commission Implementing Decision 2012/138/EU of 1 March 2012 as regards emergency measures to prevent the introduction into and the spread within the Union of Anoplophora chinensis (Forster) |
| --- | --- |

—

Commission Implementing Decision 2012/138/EU of 1 March 2012 as regards emergency measures to prevent the introduction into and the spread within the Union of Anoplophora chinensis (Forster)

| — | Commission Implementing Decision 2012/219/EU of 24 April 2012 recognising Serbia as being free from Clavibacter michiganensis ssp. sepedonicus (Spieckerman and Kotthoff) Davis et al. |
| --- | --- |

—

Commission Implementing Decision 2012/219/EU of 24 April 2012 recognising Serbia as being free from Clavibacter michiganensis ssp. sepedonicus (Spieckerman and Kotthoff) Davis et al.

| — | Commission Implementing Decision 2012/270/EU of 16 May 2012 as regards emergency measures to prevent the introduction into and the spread within the Union of Epitrix cucumeris (Harris), Epitrix similaris (Gentner), Epitrix subcrinita (Lec.) and Epitrix tuberis (Gentner) |
| --- | --- |

—

Commission Implementing Decision 2012/270/EU of 16 May 2012 as regards emergency measures to prevent the introduction into and the spread within the Union of Epitrix cucumeris (Harris), Epitrix similaris (Gentner), Epitrix subcrinita (Lec.) and Epitrix tuberis (Gentner)

| — | Commission Implementing Decision 2012/697/EU of 8 November 2012 as regards measures to prevent the introduction into and the spread within the Union of the genus Pomacea (Perry) |
| --- | --- |

—

Commission Implementing Decision 2012/697/EU of 8 November 2012 as regards measures to prevent the introduction into and the spread within the Union of the genus Pomacea (Perry)

| — | Commission Implementing Decision 2012/756/EU of 5 December 2012 as regards measures to prevent the introduction into and the spread within the Union of Pseudomonas syringae pv. actinidiae Takikawa, Serizawa, Ichikawa, Tsuyumu & Goto |
| --- | --- |

—

Commission Implementing Decision 2012/756/EU of 5 December 2012 as regards measures to prevent the introduction into and the spread within the Union of Pseudomonas syringae pv. actinidiae Takikawa, Serizawa, Ichikawa, Tsuyumu & Goto

| — | Commission Implementing Decision 2013/92/EU of 18 February 2013 on the supervision, plant health checks and measures to be taken on wood packaging material actually in use in the transport of specified commodities originating in China |
| --- | --- |

—

Commission Implementing Decision 2013/92/EU of 18 February 2013 on the supervision, plant health checks and measures to be taken on wood packaging material actually in use in the transport of specified commodities originating in China

| — | Commission Implementing Decision 2013/413/EU of 30 July 2013 authorising Member States to provide for derogations from certain provisions of Council Directive 2000/29/EC in respect of potatoes, other than potatoes intended for planting, originating in the regions of Akkar and Bekaa of Lebanon |
| --- | --- |

—

Commission Implementing Decision 2013/413/EU of 30 July 2013 authorising Member States to provide for derogations from certain provisions of Council Directive 2000/29/EC in respect of potatoes, other than potatoes intended for planting, originating in the regions of Akkar and Bekaa of Lebanon

| — | Commission Implementing Decision 2013/754/EU of 11 December 2013 on measures to prevent the introduction into and the spread within the Union of Guignardia citricarpa Kiely (all strains pathogenic to Citrus), as regards South Africa |
| --- | --- |

—

Commission Implementing Decision 2013/754/EU of 11 December 2013 on measures to prevent the introduction into and the spread within the Union of Guignardia citricarpa Kiely (all strains pathogenic to Citrus), as regards South Africa

| — | Commission Implementing Decision 2013/780/EU of 18 December 2013 providing for a derogation from Article 13(1)(ii) of Council Directive 2009/29/EC in respect of bark-free sawn wood of Quercus L., Platanus L. and Acer saccharum Marsh. originating in the United States of America |
| --- | --- |

—

Commission Implementing Decision 2013/780/EU of 18 December 2013 providing for a derogation from Article 13(1)(ii) of Council Directive 2009/29/EC in respect of bark-free sawn wood of Quercus L., Platanus L. and Acer saccharum Marsh. originating in the United States of America

| — | Commission Implementing Decision 2013/782/EU of 18 December 2013 amending Decision 2002/757/EC as regards the phytosanitary certificate requirement in respect of the harmful organism Phytophthora ramorum Werres, De Cock & Man in 't Veld sp. nov. for bark-free sawn wood of Acer macrophyllum Pursh and Quercus spp. originating in the United States of America |
| --- | --- |

—

Commission Implementing Decision 2013/782/EU of 18 December 2013 amending Decision 2002/757/EC as regards the phytosanitary certificate requirement in respect of the harmful organism Phytophthora ramorum Werres, De Cock & Man in 't Veld sp. nov. for bark-free sawn wood of Acer macrophyllum Pursh and Quercus spp. originating in the United States of America

| — | Commission Recommendation 2014/63/EU of 6 February 2014 on measures to control Diabrotica virgifera virgifera Le Conte in Union areas where its presence is confirmed |
| --- | --- |

—

Commission Recommendation 2014/63/EU of 6 February 2014 on measures to control Diabrotica virgifera virgifera Le Conte in Union areas where its presence is confirmed

| — | Commission Implementing Decision 2014/422/EU of 2 July 2014 setting out measures in respect of certain citrus fruits originating in South Africa to prevent the introduction into and the spread within the Union of Phyllosticta citricarpa (McAlpine) Van der Aa |
| --- | --- |

—

Commission Implementing Decision 2014/422/EU of 2 July 2014 setting out measures in respect of certain citrus fruits originating in South Africa to prevent the introduction into and the spread within the Union of Phyllosticta citricarpa (McAlpine) Van der Aa

| — | Commission Implementing Decision 2014/917/EU of 15 December 2014 setting out detailed rules for the implementation of Council Directive 2000/29/EC as regards the notification of the presence of harmful organisms and of measures taken or intended to be taken by the Member States |
| --- | --- |

—

Commission Implementing Decision 2014/917/EU of 15 December 2014 setting out detailed rules for the implementation of Council Directive 2000/29/EC as regards the notification of the presence of harmful organisms and of measures taken or intended to be taken by the Member States

| — | Commission Implementing Decision 2014/924/EU of 16 December 2014 providing for a derogation from certain provisions of Council Directive 2000/29/EC as regards wood and bark of ash (Fraxinus L.) originating in Canada and the United States of America |
| --- | --- |

—

Commission Implementing Decision 2014/924/EU of 16 December 2014 providing for a derogation from certain provisions of Council Directive 2000/29/EC as regards wood and bark of ash (Fraxinus L.) originating in Canada and the United States of America

| — | Commission Implementing Decision (EU) 2015/179 of 4 February 2015 authorising Member States to provide for a derogation from certain provisions of Council Directive 2000/29/EC in respect of wood packaging material of conifers (Coniferales) in the form of ammunition boxes originating in the United States of America under the control of the United States Department of Defence |
| --- | --- |

—

Commission Implementing Decision (EU) 2015/179 of 4 February 2015 authorising Member States to provide for a derogation from certain provisions of Council Directive 2000/29/EC in respect of wood packaging material of conifers (Coniferales) in the form of ammunition boxes originating in the United States of America under the control of the United States Department of Defence

| — | Commission Implementing Decision (EU) 2015/789 of 18 May 2015 as regards measures to prevent the introduction into and the spread within the Union of Xylella fastidiosa (Wells et al.) |
| --- | --- |

—

Commission Implementing Decision (EU) 2015/789 of 18 May 2015 as regards measures to prevent the introduction into and the spread within the Union of Xylella fastidiosa (Wells et al.)

Swiss provisions

| — | Ordinance of 27 October 2010 on plant protection (RS 916.20) |
| --- | --- |

—

Ordinance of 27 October 2010 on plant protection (RS 916.20)

| — | Ordinance of the Federal Department of Economic Affairs of 15 April 2002 on prohibited plants (RS 916.205.1) |
| --- | --- |

—

Ordinance of the Federal Department of Economic Affairs of 15 April 2002 on prohibited plants (RS 916.205.1)

| — | Ordinance of the Federal Office for Agriculture of 13 March 2015 on temporary plant-health measures (RS 916.202.1) |
| --- | --- |

—

Ordinance of the Federal Office for Agriculture of 13 March 2015 on temporary plant-health measures (RS 916.202.1)

| — | Ordinance of the Federal Office for Agriculture of 24 March 2015 prohibiting the import of certain fruits and vegetables originating in India (RS 916.207.142.3) |
| --- | --- |

—

Ordinance of the Federal Office for Agriculture of 24 March 2015 prohibiting the import of certain fruits and vegetables originating in India (RS 916.207.142.3)

| — | Decision of general scope of the Federal Office for the Environment of 14 December 2012 on the application of the standard NIMP 15 to imports of goods from third countries in wood packaging (fosc.ch 130 244) |
| --- | --- |

—

Decision of general scope of the Federal Office for the Environment of 14 December 2012 on the application of the standard NIMP 15 to imports of goods from third countries in wood packaging (fosc.ch 130 244)

| — | Decision of general scope of 9 August 2013 on measures to prevent the introduction and spread of the genus Pomacea (Perry) (FF 2013 5917) |
| --- | --- |

—

Decision of general scope of 9 August 2013 on measures to prevent the introduction and spread of the genus Pomacea (Perry) (FF 2013 5917)

| — | Decision of general scope of 9 August 2013 on measures to prevent the introduction and spread of Pseudomonas syringae pv. actinidiae Takikawa, Serizawa, Ichikawa, Tsuyumu and Goto (FF 2013 5911) |
| --- | --- |

—

Decision of general scope of 9 August 2013 on measures to prevent the introduction and spread of Pseudomonas syringae pv. actinidiae Takikawa, Serizawa, Ichikawa, Tsuyumu and Goto (FF 2013 5911)

| — | Decision of general scope of the Federal Office for Agriculture of 16 March 2015 setting out measures in respect of certain citrus fruits originating in South Africa to prevent the introduction and spread of Phyllosticta citricarpa (McAlpine) Van der Aa (FF 2015 2596) |
| --- | --- |

—

Decision of general scope of the Federal Office for Agriculture of 16 March 2015 setting out measures in respect of certain citrus fruits originating in South Africa to prevent the introduction and spread of Phyllosticta citricarpa (McAlpine) Van der Aa (FF 2015 2596)

| — | Directive No 1 of the Federal Office for Agriculture of 1 January 2012 to the cantonal plant health services and organisations responsible for the monitoring and control of potato cyst nematodes (Globodera rostochiensis and Globodera pallida) |
| --- | --- |

—

Directive No 1 of the Federal Office for Agriculture of 1 January 2012 to the cantonal plant health services and organisations responsible for the monitoring and control of potato cyst nematodes (Globodera rostochiensis and Globodera pallida)

| — | Manual of the Federal Office for the Environment of 30 March 2015 on management of the pine wood nematode (Bursaphelenchus xylophilus) |
| --- | --- |

—

Manual of the Federal Office for the Environment of 30 March 2015 on management of the pine wood nematode (Bursaphelenchus xylophilus)

---

(1)  Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff (OJ L 256, 7.9.1987, p. 1).

1

(2)  Council Directive 2000/29/EC of 8 May 2000 on protective measures against the introduction into the Community of organisms harmful to plants or plant products and against their spread within the Community (OJ L 169, 10.7.2000, p. 1).

2

(3)  By way of derogation from point 4, the entry and transit of these plants through Swiss territory are authorised but the placing on the market, production and growing of these plants are prohibited in Switzerland.

3

(4)  Unless indicated otherwise, any reference to an act shall mean that act as amended at the latest on 1 July 2015.

4

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ANNEX II

‘APPENDIX 4 (1)

ZONES REFERRED TO IN ARTICLE 4 AND SPECIAL REQUIREMENTS RELATING TO THEM

The zones referred to in Article 4 and the special requirements relating to them which must be complied with by both Parties are defined in the two Parties' respective legislative and administrative provisions set out below.

Provisions of the Union

| — | Council Directive 2000/29/EC of 8 May 2000 on protective measures against the introduction into the Community of organisms harmful to plants or plant products and against their spread within the Community |
| --- | --- |

—

Council Directive 2000/29/EC of 8 May 2000 on protective measures against the introduction into the Community of organisms harmful to plants or plant products and against their spread within the Community

| — | Commission Regulation (EC) No 690/2008 of 4 July 2008 recognising protected zones exposed to particular plant health risks in the Community |
| --- | --- |

—

Commission Regulation (EC) No 690/2008 of 4 July 2008 recognising protected zones exposed to particular plant health risks in the Community

Swiss provisions

| — | Ordinance of 27 October 2010 on plant protection, Annex 12, (RS 916.20) |
| --- | --- |

—

Ordinance of 27 October 2010 on plant protection, Annex 12, (RS 916.20)

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(1)  Unless indicated otherwise, any reference to an act shall mean that act as amended at the latest on 1 July 2015.’
  ’

1

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