Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the protection of species of wild fauna and flora by regulating trade therein (Recast)
Date: 2012-07-19
Institutions: European Commission
Subjects: conservation of resources, protected species, protection of animal life, protection of plant life, trade restriction

EUROPEAN COMMISSION 

Brussels, 19.7.2012  
COM(2012) 403 final 

2012/0196 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the protection of species of wild fauna and flora by regulating trade therein 

(Recast) 

EN 

   EN 

 
 
 
 
  
 
1. 

2. 

3. 

4. 

5. 

EXPLANATORY MEMORANDUM 

On 1 April 1987 the Commission decided1 to instruct its staff that all acts should be 
codified  after  no  more  than  ten  amendments,  stressing  that  this  is  a  minimum 
requirement  and  that  departments  should  endeavour  to  codify  at  even  shorter 
intervals the texts for which they are responsible, to ensure that their provisions are 
clear and readily understandable. 

The codification of Council Regulation (EC) No 338/97 of 9 December 1996 on the 
protection  of  species  of  wild  fauna  and  flora  by  regulating  trade  therein2  has  been 
initiated by the Commission. The new Regulation was to have superseded the various 
acts incorporated in it3. 

In the meantime the Lisbon Treaty entered into  force. Article 290  of the Treaty  on 
the  Functioning of the European Union  (TFEU) allows the legislator to delegate to 
the  Commission  the  power  to  adopt  non-legislative  acts  of  general  application  to 
supplement or amend certain non-essential elements of a legislative act. Article 291 
of the TFEU allows the legislator to confer implementing powers on the Commission 
where  uniform  conditions  for  implementing  legally  binding  Union  acts  are  needed. 
Acts adopted by the Commission in accordance with those Articles are referred to in 
the  terminology  used  by  the  TFEU  as  "delegated  acts"  (Article  290(3))  and  as 
"implementing acts" (Article 291(4)), respectively. 

Regulation (EC) No 338/97 contains provisions for which such a delegation of power 
or  such  a  conferral  of  implementing  powers  would  be  opportune.  It  is  therefore 
appropriate to transform the codification of Regulation (EC) No 338/97 into a recast 
in order to incorporate the necessary amendments. 

The  recast  proposal  was  drawn  up  on  the  basis  of  a  preliminary  consolidation,  in 
22 official languages, of Regulation (EC) No 338/97 and the instruments amending 
it, carried out by the Publications Office of the European Union, by means of a data-
processing system. Where the Articles have been given new numbers, the correlation 
between the old and the new numbers is shown in a table set out in Annex III to the 
recast Regulation. 

1 
2 

3 

COM(87) 868 PV. 
Carried out pursuant to the Communication from the Commission to the European Parliament and the 
Council – Codification of the Acquis communautaire, COM(2001) 645 final. 
See Annex II to this proposal. 

EN 

2 

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(cid:208) 338/97 (adapted) 

2012/0196 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the protection of species of wild fauna and flora by regulating trade therein 

(Recast) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article ⌦ 192(1) ⌫ thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee4, 

Having regard to the opinion of the Committee of the Regions5, 

Acting in accordance with the ordinary legislative procedure6, 

Whereas: 

(1) 

Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species 
of  wild  fauna  and  flora  by  regulating  trade  therein7  has  been  substantially  amended 
several  times8.  Since  further  amendments  are  to  be  made,  it  should  be  recast  in  the 
interests of clarity. 

(cid:216) new 

(2) 

The purpose of ⌦ this Regulation ⌫ is to ⌦ ensure the protection of ⌫ species of 
⌦ wild ⌫ fauna and flora ⌦ which are threatened by ⌫ trade (cid:214) or likely to be so 
threatened . 

(cid:208) 338/97 recital 1 (adapted) 
(cid:214) new 

4 
5 
6 
7 
8 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ L 61, 3.3.1997, p. 1. 
See Annex II. 

EN 

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(3) 

The provisions of this Regulation do not prejudice any stricter measures which may be 
taken  or  maintained  by  Member  States,  in  compliance  with  the  Treaty,  in  particular 
with regard to the holding of specimens of species covered by this Regulation. 

(cid:208) 338/97 recital 3 

(4) 

It is necessary to lay down objective criteria for the inclusion of species of wild fauna 
and flora in the Annexes to this Regulation. 

(cid:208) 338/97 recital 4 

(cid:208) 338/97 recital 5 (adapted) 

(5) 

The  implementation  of  this  Regulation  necessitates  the  application  of  common 
conditions  for  the  issue,  use  and  presentation  of  documents  relating  to  the 
authorisation  of  the  introduction  into  the  ⌦ Union ⌫  and  the  export  or  re-export 
from  the ⌦ Union ⌫  of  specimens  of  the  species  covered  by  this  Regulation.  It  is 
necessary to lay down specific provisions relating to the transit of specimens through 
the ⌦ Union ⌫. 

(6) 

It  is  for  a  management  authority  of  the  Member  State  of  destination,  assisted  by  the 
scientific authority of that Member State and, where appropriate, taking into account 
any opinion of the Scientific Review Group, to decide on the requests for introduction 
of specimens into the ⌦ Union ⌫. 

(cid:208) 338/97 recital 6 (adapted) 

(7) 

It is necessary to ⌦ provide for ⌫ a consultation procedure ⌦ in the framework of 
the provisions on re-export ⌫, in order to limit the risk of infringement. 

(cid:208) 338/97 recital 7 (adapted) 

(cid:208) 338/97 recital 8 (adapted) 

(8) 

In order to guarantee effective protection of species of wild fauna and flora, additional 
restrictions  may  be  imposed  on  the  introduction  of  specimens  into,  and  the  export 
thereof from, the ⌦ Union ⌫. With regard to live specimens, these restrictions may 
be supplemented by restrictions at ⌦ Union ⌫ level on the holding or movement of 
such specimens within the ⌦ Union ⌫. 

(9) 

It is necessary to lay down specific provisions applicable to captive-born and bred, or 
artificially  propagated  specimens,  to  specimens  which  are  personal  or  household 
effects,  and  to  non-commercial  loans,  donations  or  exchanges  between  registered 
scientists and scientific institutions. 

(cid:208) 338/97 recital 9 

EN 

4 

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(cid:208) 338/97 recital 10 (adapted) 

(10)  There is a need, in order to ensure the broadest possible protection for species covered 
by  this  Regulation,  to  lay  down  provisions  for  controlling  trade  and  movement  of 
specimens  within  the  ⌦ Union ⌫,  and  the  conditions  for  housing  specimens.  The 
certificates  issued  under  this  Regulation,  which  contribute  to  controlling  those 
activities, should be governed by common rules on their issue, validity and use. 

(11)  Measures  should  be  taken  to  minimise  the  adverse  effects  on  live  specimens  of 

transport to their destination, from or within the ⌦ Union ⌫. 

(cid:208) 338/97 recital 11 (adapted) 

(cid:208) 338/97 recital 12 (adapted) 

(12)  To  ensure  effective  controls  and  to  facilitate  customs  procedures,  customs  offices 
should be designated, with trained personnel responsible for carrying out the necessary 
formalities  and  corresponding  checks  where  specimens  are  introduced  into  the 
⌦ Union ⌫, in order to assign them a customs-approved treatment or use within the 
meaning of Council Regulation (EEC) [No 2913/92 of 12 October 1992] establishing 
the  Community  Customs  Code9,  or  where  they  are  exported  or  re-exported  from  the 
⌦ Union ⌫.  There  should  also  be  facilities  guaranteeing  that  live  specimens  are 
adequately housed and cared for. 

(13)  The  implementation  of  this  Regulation  also  calls  for  the  designation  of  management 

and scientific authorities by the Member States. 

(cid:208) 338/97 recital 13 

(14) 

Informing  the  public  and  making  them  aware  of  the  provisions  of  this  Regulation, 
particularly  at  border  crossing  points,  is  likely  to  encourage  compliance  with  these 
provisions. 

(cid:208) 338/97 recital 14 

(15) 

In  order  to  ensure  effective  enforcement  of  this  Regulation,  Member  States  should 
closely  monitor  compliance  with  its  provisions  and,  to  that  end,  cooperate  closely 
between  themselves  and  with  the  Commission.  This  requires  the  communication  of 
information relating to the implementation of this Regulation. 

(cid:208) 338/97 recital 15 

(16)  The monitoring of levels of trade in the species of wild fauna and flora covered by this 
Regulation  is  of  crucial  importance  for  assessing  the  effects  of  trade  on  the 

(cid:208) 338/97 recital 16 

9 

OJ L 302, 19.10.1992, p. 1. 

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conservation  status  of  species.  Detailed  annual  reports  should  be  drawn  up  in  a 
common format. 

(17) 

In  order  to  guarantee  compliance  with  this  Regulation,  it  is  important  that  Member 
States  impose  sanctions  for  infringements  in  a  manner  which  is  both  sufficient  and 
appropriate to the nature and gravity of the infringement. 

(cid:208) 338/97 recital 17 

(18)  The  multitude  of  biological  and  ecological  aspects  to  be  considered  in  the 
implementation  of  this  Regulation  requires  the  setting  up  of  a  Scientific  Review 
Group,  whose  opinions  will  be  forwarded  by  the  Commission  to  the  Committee  and 
the management bodies of the Member States, to assist them in making their decisions. 

(cid:208) 338/97 recital 19 

(cid:208) 398/2009, recital 4 (adapted) 
(cid:214) new 

(19)  (cid:214) In order to supplement or amend certain non-essential elements of this Regulation, 
the  power  to  adopt  acts  in  accordance  with  Article  290  of  the  Treaty  on  the 
Functioning of the European Union should be delegated to  the Commission should 
be  empowered  to  adopt  ⌦ in  respect  of  the  adoption  of ⌫  certain  measures 
regulating  trade  in  species  of  wild  fauna  and  flora, ⌦ of ⌫  certain  amendments  to 
the  Annexes  to  ⌦ this ⌫  Regulation  and  ⌦ of ⌫  additional  measures  to 
implement  resolutions  of  the  Conference  of  the  Parties  to  the  Convention  on 
international trade in endangered species of wild fauna and flora (CITES) (hereinafter 
referred  to  as  ‘the  Convention’),  decisions  or  recommendations  of  the  Standing 
Committee  of  the  Convention  and  recommendations  of  the  Convention  Secretariat. 
Since  those  measures  are  of  general  scope  and  are  designed  to  amend  non-essential 
elements of Regulation (EC) No 338/97, inter alia by supplementing it with new non-
essential elements, they must be adopted in accordance with the regulatory procedure 
with scrutiny provided for in Article 5a of Decision 1999/468/EC. (cid:214) It is of particular 
importance  that  the  Commission  carry  out  appropriate  consultations  during  its 
preparatory  work,  including  at  expert  level.  The  Commission,  when  preparing  and 
drawing-up  delegated  acts,  should  ensure  a  simultaneous,  timely  and  appropriate 
transmission of relevant documents to the European Parliament and to the Council.  

(cid:216) new 

(20) 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation, 
implementing powers should be conferred on the Commission. Those powers should 
be  exercised  in  accordance  with  Regulation  (EU)  No  182/2011  of  the  European 
Parliament and of the Council of 16 February 2011 laying down the rules and general 
principles concerning mechanisms for control by Member States of the Commission’s 
exercise of implementing powers10, 

10 

OJ L 55, 28.2.2011, p. 13. 

EN 

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HAVE ADOPTED THIS REGULATION: 

(cid:208) 338/97 

Article 1 

Object 

(cid:208) 338/97 (adapted) 
(cid:214) new 

The  object  of  this  Regulation  is to  protect  species  of  wild  fauna  and  flora  and  to  guarantee 
their  conservation  by  regulating  trade  therein  in  accordance  with  Articles ⌦ 2  to  22  and 
Annexes A  to  D  as  set  out  in  Annex  I,  hereinafter  referred  to  as  "Annex  A",  "Annex  B", 
"Annex C" and "Annex D" ⌫. 

This  Regulation  shall  apply  in  compliance  with  the  objectives,  principles  and  provisions  of 
the Convention defined in Article 2(b). 

Article 2 

Definitions 

For the purposes of this Regulation, the following definitions shall apply: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

‘Committee’ means the Committee ⌦ referred to in ⌫ Article 21(1); 

‘Convention’ means the Convention on International Trade in Endangered Species of 
Wild Fauna and Flora (CITES); 

‘country of origin’ means the country in which a specimen was taken from the wild, 
captive-bred or artificially propagated; 

‘import  notification’  means  the  notification  given  by  the  importer  or  his  agent  or 
representative, at the time of the introduction into the ⌦ Union ⌫ of a specimen of 
a  species  included  in  Annexes C  or  D,  on  (cid:214) the   a  form  (cid:214) provided  for  in 
Article 19(2)   .  prescribed  by  the  Commission  in  accordance  with  the  procedure 
referred to in Article 18(2); 

‘introduction  from  the  sea’  means  the  introduction  into  the  ⌦ Union ⌫  of  any 
specimen  which  was  taken  in,  and  is  being  introduced  directly  from,  the  marine 
environment not under the jurisdiction of any State, including the air-space above the 
sea and the sea-bed and subsoil beneath the sea; 

‘issuance’  means  the  completion  of  all  procedures  involved  in  preparing  and 
validating a permit or certificate and its delivery to the applicant; 

‘management authority’ means a national administrative authority designated, in the 
case  of  a  Member  State,  in  accordance  with  Article 13(1)  or,  in  the  case  of  a  third 
country party to the Convention, in accordance with Article IX of the Convention; 

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(h) 

(i) 

(j) 

(k) 

(l) 

(m) 

(n) 

(o) 

(p) 

(q) 

(r) 

(s) 

(t) 

‘Member State of destination’ means the Member State of destination mentioned in 
the  document  used  to  export  or  re-export  a  specimen;  in  the  event  of  introduction 
from the sea, it shall mean the Member State within whose jurisdiction the place of 
destination of a specimen lies; 

‘offering  for  sale’  means  offering  for  sale  and  any  action  that  may  reasonably  be 
construed  as  such,  including  advertising  or  causing  to  be  advertised  for  sale  and 
invitation to treat; 

‘personal or household effects’ means dead specimens, parts and derivatives thereof, 
that are the belongings of a private individual and that form, or are intended to form, 
part of his normal goods and chattels; 

‘place  of  destination’  means  the  place  at  which  at  the  time  of  introduction  into  the 
⌦ Union ⌫, it is intended that specimens will normally be kept; in the case of live 
specimens,  this  shall  be  the  first  place  where  specimens  are  intended  to  be  kept 
following any period of quarantine or other confinement for the purposes of sanitary 
checks and controls; 

‘population’  means  a  biologically  or  geographically  distinct  total  number  of 
individuals; 

‘primarily commercial purposes’ means all purposes the non-commercial aspects of 
which do not clearly predominate; 

‘re-export  from  the  ⌦ Union ⌫’  means  export  from  the  ⌦ Union ⌫  of  any 
specimen that has previously been introduced; 

‘re-introduction into the ⌦ Union ⌫’ means introduction into the ⌦ Union ⌫ of 
any specimen that has previously been exported or re-exported; 

‘sale’  means  any  form  of  sale.  For  the  purposes  of  this  Regulation,  hire,  barter  or 
exchange shall be regarded as sale; cognate expressions shall be similarly construed; 

‘scientific authority’ means a scientific authority designated, in the case of a Member 
State, in accordance with Article 13(2) or, in the case of a third country party to the 
Convention, in accordance with Article IX of the Convention; 

‘Scientific Review Group’ means the consultative body established under Article 17; 

‘species’ means a species, subspecies or population thereof; 

‘specimen’ means any animal or plant, whether alive or dead, of the species listed in 
Annexes A  to  D,  any  part  or  derivative  thereof,  whether  or  not  contained  in  other 
goods,  as  well  as  any  other  goods  which  appear  from  an  accompanying  document, 
the packaging or a mark or label, or from any other circumstances, to be or to contain 
parts  or  derivatives  of  animals  or  plants  of  those  species,  unless  such  parts  or 
derivatives are specifically exempted from the provisions of this Regulation or from 
the  provisions  relating  to  the  Annex  in  which  the  species  concerned  is  listed  by 
means of an indication to that effect in the Annexes concerned. 

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A  specimen  shall  be  considered  to  be  a  specimen  of  a  species  listed  in  Annexes A 
to D if it  is, or is  part  of or derived from, an animal or  plant at least  one  of  whose 
‘parents’ is of a species so listed. In cases where the ‘parents’ of such an animal or 
plant  are  of  species  listed  in  different  Annexes,  or  of  species  only  one  of  which  is 
listed, the provisions of the more restrictive Annex shall apply. However, in the case 
of  specimens  of  hybrid  plants,  if  one  of  the  ‘parents’  is  of  a  species  listed  in 
Annex A, the provisions of the more restrictive Annex shall apply only if that species 
is annotated to that effect in the Annex; 

‘trade’ means the introduction into the ⌦ Union ⌫, including introduction from the 
sea, and the export and re-export from the Union, as well as the use, movement and 
transfer of possession within the ⌦ Union ⌫, including within a Member State, of 
specimens subject to the provisions of this Regulation; 

‘transit’  means  the  transport  of  specimens  between  two  points  outside  the 
⌦ Union ⌫  through  the  territory  of  the  ⌦ Union ⌫  which  are  shipped  to  a 
named  consignee  and  during  which  any  interruption  in  the  movement  arises  only 
from the arrangements necessitated by this form of traffic; 

‘worked  specimens  that  were  acquired  more  than  50 years  previously’  means 
specimens  that  were  significantly  altered  from  their  natural  raw  state  for  jewellery, 
adornment,  art,  utility,  or  musical  instruments,  before 3 March  1947  and  that  have 
been,  to  the  satisfaction  of  the  management  authority  of  the  Member  State 
concerned,  acquired  in  such  conditions.  Such  specimens  shall  be  considered  as 
worked only if they are clearly in one of the aforementioned categories and require 
no further carving, crafting or manufacture to effect their purpose; 

‘checks at the time of introduction, export, re-export and transit’ means documentary 
checks  on  the  certificates,  permits  and  notifications  provided  for  in  this  Regulation 
and,  in  cases  where  ⌦ Union ⌫  provisions  so  provide  or  in  other  cases  by 
representative  sampling  of  the  consignments,  examination  of  the  specimens,  where 
appropriate  accompanied  by  the  taking  of  samples  with  a  view  to  analysis  or  more 
detailed checks. 

(u) 

(v) 

(w) 

(x) 

Article 3 

Scope 

1. Annex A shall contain: 

(a) 

the species listed in Appendix I to the Convention for which the Member States have 
not entered a reservation; 

(b) 

any species: 

(i)  which  is,  or  may  be,  in  demand  for  utilisation  in  the  ⌦ Union ⌫  or  for 
international trade and which is either threatened with extinction or so rare that 
any level of trade would imperil the survival of the species, 

or 

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(ii)  which is in a genus of which most of the species or which is a species of which 
most of the subspecies are listed in Annex A in accordance with the criteria in 
point (a) or (b)(i) and whose listing in that Annex is essential for the effective 
protection of those taxa. 

2. Annex B shall contain: 

(a) 

(b) 

the  species  listed  in  Appendix II  to  the  Convention,  other  than  those  listed  in 
Annex A, for which the Member States have not entered a reservation; 

the species listed in Appendix I to the Convention for which a reservation has been 
entered; 

(c) 

any other species not listed in Appendices I or II to the Convention: 

(i)  which is subject to levels of international trade that might not be compatible: 

with its survival or with the survival of populations in certain countries, 
or 

with the maintenance of the total population at a level consistent with the 
role of the species in the ecosystems in which it occurs; 

– 

– 

or 

(ii)  whose  listing  in  the  Annex  for  reasons  of  similarity  in  appearance  to  other 
species listed in Annex A or B, is essential in order to ensure the effectiveness 
of controls on trade in specimens of such species; 

(d) 

species  in  relation  to  which  it  has  been  established  that  the  introduction  of  live 
specimens into the natural habitat of the ⌦ Union ⌫ would constitute an ecological 
threat to wild species of fauna and flora indigenous to the ⌦ Union ⌫. 

3. Annex C shall contain: 

(a) 

(b) 

the  species  listed  in  Appendix III  to  the  Convention,  other  than  those  listed  in 
Annex A or B, for which the Member States have not entered a reservation; 

the species listed in Appendix II to the Convention for which a reservation has been 
entered. 

4. Annex D shall contain: 

(a) 

(b) 

species not listed in Annexes A, B and C which are imported into the ⌦ Union ⌫ 
in such numbers as to warrant monitoring; 

the species listed in Appendix III to the Convention for which a reservation has been 
entered. 

5.  Where  the  conservation  status  of  species  covered  by  this  Regulation  warrants  their 
inclusion in one of the Appendices to the Convention, the Member States shall contribute to 
the necessary amendments. 

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Article 4 

Introduction into the ⌦ Union ⌫ 

1. The introduction into the ⌦ Union ⌫ of specimens of the species listed in Annex A shall 
be  subject  to  completion  of  the  necessary  checks  and  the  prior  presentation,  at  the  border 
customs  office  at  the  point  of  introduction,  of  an  import  permit  issued  by  a  management 
authority of the Member State of destination. 

The import permit may be issued only in accordance with the restrictions established pursuant 
to paragraph 6 and when the following conditions have been met: 

(a) 

the  competent  scientific  authority,  after  considering  any  opinion  of  the  Scientific 
Review Group, has advised that the introduction into the ⌦ Union ⌫: 

(i)  would not have a harmful effect on the conservation status of the species or on 

the extent of the territory occupied by the relevant population of the species, 

(ii) 

is taking place: 

– 

– 

for one of the purposes referred to in Article 8(3)(e), (f) and (g), or 

for other purposes which are not detrimental to the survival of the species 
concerned; 

(b) 

(i) 

the  applicant  provides  documentary  evidence  that  the  specimens  have  been 
obtained  in  accordance  with  the  legislation  on  the  protection  of  the  species 
concerned which, in the case of import from a third country of specimens of a 
species listed in the Appendices to the Convention, shall be an export permit or 
re-export certificate, or copy thereof, issued in accordance with the Convention 
by a competent authority of the country of export or re-export, 

(ii)  however,  the  issuance  of  import  permits  for  species  listed  in  Annex A  in 
accordance  with  Article 3(1)(a)  shall  not  require  such  documentary  evidence, 
but the original of any such import permit shall be withheld from the applicant 
pending presentation of the export permit or re-export certificate; 

the competent scientific authority is satisfied that the intended accommodation for a 
live specimen at the place of destination is adequately equipped to conserve and care 
for it properly; 

the  management  authority  is  satisfied  that  the  specimen  is  not  to  be  used  for 
primarily commercial purposes; 

the  management  authority  is  satisfied,  following  consultation  with  the  competent 
scientific authority, that there are no other factors relating to the conservation of the 
species which militate against issuance of the import permit; and 

in  the  case  of  introduction  from  the  sea,  the  management  authority  is  satisfied  that 
any live specimen will be so prepared and shipped as to minimise the risk of injury, 
damage to health or cruel treatment. 

(c) 

(d) 

(e) 

(f) 

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2. The introduction into the ⌦ Union ⌫ of specimens of the species listed in Annex B shall 
be  subject  to  completion  of  the  necessary  checks  and  the  prior  presentation,  at  the  border 
customs  office  at  the  point  of  introduction,  of  an  import  permit  issued  by  a  management 
authority of the Member State of destination. 

The import permit may be issued only in accordance with the restrictions established pursuant 
to paragraph 6 and when: 

(a) 

the  competent  scientific  authority,  after  examining  available  data  and  considering 
any  opinion  of  the  Scientific  Review  Group,  is  of  the  opinion  that  the  introduction 
into the ⌦ Union ⌫ would not have a harmful effect on the conservation status of 
the species or on the extent of the territory occupied by the relevant population of the 
species, taking account of the current or anticipated level of trade. This opinion shall 
be  valid  for  subsequent  imports  as  long  as  the  abovementioned  aspects  have  not 
changed significantly; 

(b) 

the applicant provides documentary evidence that the intended accommodation for a 
live specimen at the place of destination is adequately equipped to conserve and care 
for it properly; 

(c) 

the conditions referred to in paragraph 1(b)(i), (e) and (f) have been met. 

3. The introduction into the ⌦ Union ⌫ of specimens of the species listed in Annex C shall 
be  subject  to  completion  of  the  necessary  checks  and  the  prior  presentation,  at  the  border 
customs office at the point of introduction, of an import notification and: 

(a) 

(b) 

in the case of export from a country mentioned in relation to the species concerned in 
Annex C, the applicant shall provide documentary evidence, by means of an export 
permit  issued  in  accordance  with  the  Convention  by  an  authority  of  that  country 
competent for the purpose, that the specimens have been obtained in accordance with 
the national legislation on the conservation of the species concerned; or 

in  the  case  of  export  from  a  country  not  mentioned  in  relation  to  the  species 
concerned in Annex C or re-export from any country, the applicant shall present an 
export  permit,  a  re-export  certificate  or  a  certificate  of  origin  issued  in  accordance 
with  the  Convention  by  an  authority  of  the  exporting  or  re-exporting  country 
competent for the purpose. 

4. The introduction into the ⌦ Union ⌫ of specimens of the species listed in Annex D shall 
be  subject  to  completion  of  the  necessary  checks  and  the  prior  presentation  of  an  import 
notification at the border customs office at the point of introduction. 

5. The conditions for the issuance of an import permit as referred to in paragraph 1(a) and (d) 
and  in  paragraph 2(a),  (b)  and  (c)  shall  not  apply  to  specimens  for  which  the  applicant 
provides documentary evidence: 

(a) 

that they had previously been legally introduced into or acquired in the ⌦ Union ⌫ 
and that they are, modified or not, being reintroduced into the ⌦ Union ⌫; or 

(b) 

that they are worked specimens that were acquired more than 50 years previously. 

EN 

12 

   EN 

 
(cid:208) 398/2009 Art. 1 pt. 1(a) 
(adapted) 
(cid:214) new 

6.  In  consultation  with  the  countries  of  origin  concerned,  in  accordance  with  the  regulatory 
procedure  referred  to  in  Article 18(2)  and  taking  account  of  any  opinion  of  the  Scientific 
Review Group, the Commission may (cid:214) , by means of implementing acts,  establish general 
restrictions, or restrictions relating to certain countries of origin, on the introduction into the 
⌦ Union ⌫: 

(cid:208) 338/97 (adapted) 

(a) 

(b) 

(c) 

(d) 

on the basis of the conditions referred to in paragraph 1(a)(i) or (e), of specimens of 
species listed in Annex A; 

on  the  basis  of  the  conditions  referred  to  in  paragraph 1(e)  or  paragraph 2(a),  of 
specimens of species listed in Annex B; and 

of  live  specimens  of  species  listed  in  Annex B  which  have  a  high  mortality  rate 
during shipment or for which it has been established that they are unlikely to survive 
in captivity for a considerable proportion of their potential life span; or 

of live specimens of species for which it has been established that their introduction 
into  the  natural  environment  of  the  ⌦ Union ⌫  presents  an  ecological  threat  to 
wild species of fauna and flora indigenous to the ⌦ Union ⌫. 

The  implementing  acts  referred  to  in  the  first  subparagraph  shall  be  adopted  in  accordance 
with the examination procedure referred to in Article 21(2). 

(cid:216) new 

The  Commission  shall  on  a  quarterly  basis  publish  a  list  of  restrictions  ⌦ established  in 
accordance  with  the  first  subparagraph ⌫,  if  any,  in  the  Official  Journal  of  the  European 
Union. 

(cid:208) 338/97 (adapted) 

(cid:208) 398/2009 Art. 1 pt. 1(b) 
(adapted) 
(cid:214) new 

7.  Where  special  cases  of  transhipment,  air  transfer  or  rail  transport  occur  following  the 
introduction  into  the  ⌦ Union ⌫,  (cid:214) the  Commission  shall  be  empowered  to  adopt 
delegated acts in accordance with Article 20 concerning the granting of  derogations from 
the completion of the checks and the presentation of import documents at the border customs 
office  at  the  point  of  introduction  which  are  referred  to  in  paragraphs 1  to 4  ⌦ of  this 
Article, ⌫  shall  be  granted  by  the  Commission  in  order  to  permit  such  checks  and  the 
presentation  to  be  carried  out  at  another  customs  office  designated  in  accordance  with 
Article 12(1). 

EN 

13 

   EN 

 
 
 
 
 
 
Those  measures,  designed  to  amend  non-essential  elements  of  this  Regulation,  by 
supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny 
referred to in Article 18(3). 

(cid:208) 338/97 (adapted) 

Article 5 

Export or re-export from the ⌦ Union ⌫ 

1.  The  export  or  re-export  from  the  ⌦ Union ⌫  of  specimens  of  the  species  listed  in 
Annex A shall be subject to completion of the necessary checks and the prior presentation, at 
the customs office at which the export formalities are completed, of an export permit or re-
export  certificate  issued  by  a  management  authority  of  the  Member  State  in  which  the 
specimens are located. 

2. An export permit for specimens of the species listed in Annex A may be issued only when 
the following conditions have been met: 

(a) 

(b) 

the competent scientific authority has advised in writing that the capture or collection 
of  the  specimens  in  the  wild  or  their  export  will  not  have  a  harmful  effect  on  the 
conservation  status  of  the  species  or  on  the  extent  of  the  territory  occupied  by  the 
relevant population of the species; 

the applicant provides documentary evidence that the specimens have been obtained 
in  accordance  with  the  legislation  in  force  on  the  protection  of  the  species  in 
question;  where  the  application  is  made  to  a  Member  State  other  than  the  Member 
State  of  origin,  such  documentary  evidence  shall  be  furnished  by  means  of  a 
certificate stating that the specimen was taken from the wild in accordance with the 
legislation in force on its territory; 

(c) 

the management authority is satisfied that: 

(i) 

any live specimen will be so prepared and shipped as to minimise the risk of 
injury, damage to health or cruel treatment, and 

(ii)  – 

the specimens of species not listed in Appendix I to the Convention will 
not be used for primarily commercial purposes, or 

– 

in the case of export to a State party to the Convention of specimens of 
the  species  referred  to  in  Article 3(1)(a)  of  this  Regulation,  an  import 
permit has been issued; 

and 

(d) 

the  management  authority  of  the  Member  State  is  satisfied,  following  consultation 
with the competent scientific authority, that there are no other factors relating to the 
conservation of the species which militate against issuance of the export permit. 

EN 

14 

   EN 

 
 
3. A re-export certificate may be issued only when the conditions referred to in paragraph 2(c) 
and  (d)  have  been  met  and  when  the  applicant  provides  documentary  evidence  that  the 
specimens: 

(a) 

(b) 

(c) 

(d) 

were  introduced  into  the  ⌦ Union ⌫  in  accordance  with  the  provisions  of  this 
Regulation; 

if  introduced  into  the  ⌦ Union ⌫  before  3 March  1997,  were  introduced  in 
accordance  with  the  provisions  of  Council  Regulation (EEC)  No 3626/8211;  or 
⌦ if ⌫  introduced  into  the  ⌦ Union ⌫  before  the  entry  into  force  of  this 
Regulation  but  after  3 March  1997,  were  introduced  into  the  ⌦ Union ⌫  in 
accordance with the provisions of Regulation (EC) No 338/97; ⌦ or ⌫ 

if  introduced  into  the  ⌦ Union ⌫  before  1984,  entered  international  trade  in 
accordance with the provisions of the Convention; or 

were legally introduced into the territory of a Member State before the provisions of 
the Regulations referred to in (a) and (b) or of the Convention became applicable to 
them, or became applicable in that Member State. 

4.  The  export  or  re-export  from  the  ⌦ Union ⌫  of  specimens  of  the  species  listed  in 
Annexes B  and  C  shall  be  subject  to  completion  of  the  necessary  checks  and  the  prior 
presentation, at the customs office at which the export formalities are completed, of an export 
permit  or  re-export  certificate  issued  by  a  management  authority  of  the  Member  State  in 
whose territory the specimens are located. 

An export permit may be issued only when the conditions referred to in paragraph 2(a), (b), 
(c)(i) and (d) have been met. 

A re-export certificate may be issued only when the conditions referred to in paragraph 2(c)(i) 
and (d) and in paragraph 3(a) to (d) have been met. 

(cid:208) 398/2009 Art. 1 pt. 2(a) 
(adapted) 
(cid:214) new 

5.  Where  an  application  for  a  re-export  certificate  concerns  specimens  introduced  into  the 
⌦ Union ⌫  under  an  import  permit  issued  by  another  Member  State,  the  management 
authority  must  first  consult  the  management  authority  which  issued  the  permit.  (cid:214) The 
Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with  Article 20 
concerning  the  establishment  of   the  consultation  procedures  and  ⌦ of ⌫  the  cases  in 
which  consultation  is  necessary.  shall  be  established  by  the  Commission.  Those  measures, 
designed  to  amend  non-essential  elements  of  this  Regulation,  by  supplementing  it,  shall  be 
adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3). 

11 

OJ L 384, 31.12.1982, p. 1. 

EN 

15 

   EN 

 
 
                                                 
6. The conditions for the issuance of an export permit or re-export certificate as referred to in 
paragraph 2(a) and (c)(ii) shall not apply to: 

(a) 

worked specimens that were acquired more than 50 years previously; or 

(cid:208) 338/97 

(b) 

dead  specimens  and  parts  and  derivatives  thereof  for  which  the  applicant  provides 
documentary  evidence  that  they  were  legally  acquired  before  the  provisions  of  this 
Regulation,  ⌦ of  Regulation  (EC)  No 338/97 ⌫  or  of  Regulation (EEC) 
No 3626/82 or of the Convention became applicable to them. 

(cid:208) 338/97 (adapted) 

(cid:208) 338/97 

7.  The  competent  scientific  authority  in  each  Member  State  shall  monitor  the  issuance  of 
export  permits  by  that  Member  State  for  specimens  of  species listed  in  Annex B  and  actual 
exports of such specimens. Whenever such a scientific authority determines that the export of 
specimens of any such species should be limited in order to maintain that species throughout 
its range at a level consistent with its role in the ecosystem in which it occurs, and well above 
the level at which that species might become eligible for inclusion in Annex A in accordance 
with Article 3(1)(a) or (b)(i), the scientific authority shall advise the competent management 
authority, in writing, of suitable measures to be taken to limit the issuance of export permits 
for specimens of that species. 

(cid:208) 398/2009 Art. 1 pt. 2(b) 
(adapted) 
(cid:214) new 

Whenever  a  management  authority  is  advised  of  the  measures  referred  to  in  the 
first subpragraph, it shall inform and send comments to the Commission. If appropriate, (cid:214) the 
Commission shall, by means of implementing acts,  recommend restrictions on exports of 
the species concerned in accordance with the regulatory procedure referred to in Article 18(2). 
(cid:214) Those  implementing  acts  shall  be  adopted  in  accordance  with  the  examination  procedure 
referred to in Article 21(2).  

(cid:208) 338/97 

Article 6 

Rejection of applications for permits and certificates referred to in Articles 4, 5 and 10 

1.  When  a  Member  State  rejects  an  application  for  a  permit  or  certificate  in  a  case  of 
significance  in  respect  of  the  objectives  of  this  Regulation,  it  shall  immediately  inform  the 
Commission of the rejection and of the reasons for rejection. 

2. The Commission shall communicate information received in accordance with paragraph 1 
to the other Member States in order to ensure the uniform application of this Regulation. 

EN 

16 

   EN 

 
 
 
 
 
 
3.  When  an  application  is  made  for  a  permit  or  certificate  relating  to  specimens  for  which 
such  an  application  has  previously  been  rejected,  the  applicant  must  inform  the  competent 
authority to which the application is submitted of the previous rejection. 

4. Member States shall recognise the rejection of applications by the competent authorities of 
the other Member States, where such rejection is based on the provisions of this Regulation. 

However,  the  first  subparagraph  shall  not  apply  where  the  circumstances  have  significantly 
changed  or  where  new  evidence  to  support  an  application  has  become  available.  In  such 
cases, if a management authority issues a permit or certificate, it shall inform the Commission 
thereof, stating the reasons for issuance. 

Article 7 

Derogations 

1. 

Specimens born and bred in captivity or artificially propagated 

Save where Article 8 applies, specimens of species listed in Annex A that have been 
born  and  bred  in  captivity  or  artificially  propagated  shall  be  treated  in  accordance 
with the provisions applicable to specimens of species listed in Annex B. 

In the case of artificially propagated plants, the provisions of Articles 4 and 5 may be 
waived under special conditions. laid down by the Commission 

(cid:208) 398/2009 Art. 1 pt. 3(a) 
(adapted) 
(cid:214) new 

(cid:214) The Commission shall be empowered to adopt delegated acts in accordance with 
Article 20 concerning:  

(a) 

(b) 

the  criteria  for  determining  whether  a  specimen  has  been  born  and  bred  in 
captivity or artificially propagated and whether for commercial purposes;  

the special conditions referred to in the second subparagraph of this paragraph 
relating to: 

(i) 

the use of phytosanitary certificates; 

(ii) 

trade  by  registered  commercial  traders  and  by  the  scientific  institutions 
referred to in paragraph 4 of this Article; and 

(iii) 

trade in hybrids. 

,  shall  be  specified  by  the  Commission.  Those  measures,  designed  to  amend  non-
essential  elements  of  this  Regulation,  by  supplementing  it,  shall  be  adopted  in 
accordance with the regulatory procedure with scrutiny referred to in Article 18(3). 

EN 

17 

   EN 

 
 
2. 

Transit 

(cid:208) 338/97 (adapted) 

By  way  of  derogation  from  Article 4,  where  a  specimen  is  in  transit  through  the 
⌦ Union ⌫,  checks  and  presentation  at  the  border  customs  office  at  the  point  of 
introduction  of  the  prescribed  permits,  certificates  and  notifications  shall  not  be 
required. 

In  the  case  of  species  listed  in  the  Annexes  in  accordance  with  Article 3(1)  and 
Article 3(2)(a)  and  (b),  the  derogation  referred  to  in  the  first  subparagraph  of  this 
paragraph shall apply only where a valid export or re-export document provided for 
by the Convention, relating to the specimens that it accompanies and specifying the 
destination  of  the  specimens,  has  been  issued  by  the  competent  authorities  of  the 
exporting or re-exporting third country. 

(cid:208) 398/2009 Art. 1 pt. 3(b)  
(cid:214) new 

If  the  document  referred  to  in  the  second  subparagraph  has  not  been  issued  before 
export  or  re-export,  the  specimen  must  be  seized  and  may,  where  applicable,  be 
confiscated  unless  the  document  is  submitted  retrospectively  in  compliance  with 
(cid:214) special  the conditionsspecified by the Commission. Those measures, designed 
to  amend  non-essential  elements  of  this  Regulation,  by  supplementing  it,  shall  be 
adopted  in  accordance  with  the  regulatory  procedure  with  scrutiny  referred  to  in 
Article 18(3). 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 20  concerning  the  special  conditions  for  submitting  an  export  or  re-export 
document retrospectively. 

(cid:216) new 

(cid:208) 398/2009 Art. 1 pt. 3(c) 
(adapted) 
(cid:214) new 

3. 

Personal and household effects 

By way of derogation from Articles 4 and 5, the provisions of those Articles shall not 
apply  to  dead  specimens,  parts  and  derivatives  of  species  listed  in  Annexes A  to D 
which are personal or household effects being introduced into the ⌦ Union ⌫, or 
exported or re-exported from the Union, in compliance with (cid:214) special  provisions. 
that shall be specified by the Commission. Those measures, designed to amend non-
essential  elements  of  this  Regulation,  by  supplementing  it,  shall  be  adopted  in 
accordance with the regulatory procedure with scrutiny referred to in Article 18(3). 

EN 

18 

   EN 

 
 
 
 
 
The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 20 concerning the special provisions regarding the introduction, export or re-
export of personal or household effects. 

(cid:216) new 

4. 

Scientific institutions 

(cid:208) 398/2009 Art. 1 pt. 3(c) 
(adapted) 

The documents referred to in Articles 4, 5, 8 and 9 shall not be required in the case of 
non-commercial  loans,  donations  and  exchanges  between  scientists  and  scientific 
institutions, registered by the management authorities of the States in which they are 
located,  of  herbarium  specimens  and  other  preserved,  dried  or  embedded  museum 
specimens, and of live plant material, bearing a label, the model of which has been 
established in accordance with the regulatory procedure referred to in Article 18(2) 
⌦ second subparagraph of this paragraph ⌫ or a similar label issued or approved 
by a management authority of a third country. 

The Commission shall, by means of implementing acts, establish a model for a label 
for live plant material. Those implementing acts shall be adopted in accordance with 
the examination procedure referred to in Article 21(2). 

(cid:216) new 

(cid:208) 338/97 (adapted) 

Article 8 

Provisions relating to the control of commercial activities 

1. The purchase, offer to purchase, acquisition for commercial purposes, display to the public 
for commercial purposes, use for commercial gain and sale, keeping for sale, offering for sale 
or transporting for sale of specimens of the species listed in Annex A shall be prohibited. 

2.  Member  States  may  prohibit  the  holding  of  specimens,  in  particular  live  animals  of  the 
species listed in Annex A. 

3. In accordance with the requirements of other ⌦ Union ⌫ legislation on the conservation 
of wild fauna and flora, exemptions from the prohibitions referred to in paragraph 1 may be 
granted  by  the  issuance  of  a  certificate  to  that  effect  by  a  management  authority  of  the 
Member  State  in  which  the  specimens  are  located,  on  a  case-by-case  basis  where  the 
specimens: 

(a) 

were  acquired  in,  or  were  introduced  into,  the  ⌦ Union ⌫  before  the  provisions 
relating  to  species  listed  in  Appendix I  to  the  Convention  or  in  Annex C1  to 
Regulation (EEC) No 3626/82 or in Annex A ⌦ to Regulation (EC) No 338/97 or to 
this Regulation ⌫ became applicable to the specimens; or 

EN 

19 

   EN 

 
 
 
 
 
(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

are worked specimens that were acquired more than 50 years previously; or 

were  introduced  into  the  ⌦ Union ⌫  in  compliance  with  the  provisions  of 
⌦ Regulation  (EC)  No 338/97  or  of ⌫  this  Regulation  and  are  to  be  used  for 
purposes which are not detrimental to the survival of the species concerned; or 

(cid:208) 338/97 

are captive-born and bred specimens of an animal species or artificially propagated 
specimens of a plant species or are parts or derivatives of such specimens; or 

are required under exceptional circumstances for the advancement of science or for 
essential biomedical purposes pursuant to Council Directive 86/609/EEC12 where the 
species in question proves to be the only one suitable for those purposes and where 
there are no specimens of the species which have been born and bred in captivity; or 

are intended for breeding or propagation purposes from which conservation benefits 
will accrue to the species concerned; or 

are  intended  for  research  or  education  aimed  at  the  preservation  or  conservation  of 
the species; or 

originate  in  a  Member  State  and  were  taken  from  the  wild  in  accordance  with  the 
legislation in force in that Member State. 

(cid:208) 398/2009 Art. 1 pt. 4 (adapted) 
(cid:214) new 

4.  (cid:214) The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 20 concerning  general derogations from the prohibitions referred to in paragraph 1 
of  this  Article  based  on  the  conditions  referred  to  in  paragraph 3,  as  well  as  general 
derogations  with  regard  to  species  listed  in  Annex A  in  accordance  with  point (ii)  of 
Article 3(1)(b)  may  be  defined  by  the  Commission.  Any  such  derogations  must  be  in 
accordance  with  the  requirements  of  other  ⌦ Union ⌫  legislation  on  the  conservation  of 
wild  fauna  and  flora.  Those  measures,  designed  to  amend  non-essential  elements  of  this 
Regulation, by supplementing it, shall be adopted in accordance with the regulatory procedure 
with scrutiny referred to in Article 18(3). 

(cid:208) 338/97 (adapted) 

5.  The  prohibitions  referred  to  in  paragraph 1  shall  also  apply  to  specimens  of  the  species 
listed in Annex B except where it can be proved to the satisfaction of the competent authority 
of  the  Member  State  concerned  that  such  specimens  were  acquired  and,  if  they  originated 
outside the ⌦ Union ⌫, were introduced into it, in accordance with the legislation in force 
for the conservation of wild fauna and flora. 

6. The competent authorities of the Member States shall have discretion to sell any specimen 
of  the  species  listed  in  Annexes B,  C  and  D  they  have  confiscated  under  this  Regulation, 

12 

OJ L 358, 18.12.1986, p. 1. 

EN 

20 

   EN 

 
 
 
 
                                                 
provided  that  it  is  not  thus  returned  directly  to  the  person  or  entity  from  whom  it  was 
confiscated  or  who  was  party  to  the  offence.  Such  specimens  may  then  be  treated  for  all 
purposes as if they had been legally acquired. 

Article 9 

Movement of live specimens 

1. Any movement within the ⌦ Union ⌫ of a live specimen of a species listed in Annex A 
from  the  location  indicated  in  the  import  permit  or  in  any  certificate  issued  in  compliance 
with  this  Regulation  shall  require  prior  authorisation  from  a  management  authority  of  the 
Member  State  in  which  the  specimen  is  located.  In  other  cases  of  movement,  the  person 
responsible for moving the specimen must be able, where applicable, to provide proof of the 
legal origin of the specimen. 

2. Such authorisation shall: 

(a) 

(b) 

(c) 

be  granted  only  when  the  competent  scientific  authority  of  such  Member  State  or, 
where the movement is to another Member State, the competent scientific authority 
of the latter, is satisfied that the intended accommodation for a live specimen at the 
place of destination is adequately equipped to conserve and care for it properly; 

be confirmed by issuance of a certificate; and 

where  applicable,  be  immediately  communicated  to  a  management  authority  of  the 
Member State in which the specimen is to be located. 

3. However, no such  authorisation  shall be required  if  a  live  animal  must  be  moved  for  the 
purpose of urgent veterinary treatment and is returned directly to its authorised location. 

4. Where a live specimen of a species listed in Annex B is moved within the ⌦ Union ⌫, 
the holder of the specimen may relinquish it only after ensuring that the intended recipient is 
adequately  informed  of  the  accommodation,  equipment  and  practices  required  to  ensure  the 
specimen will be properly cared for. 

5. When any live specimens are transported into, from or within the ⌦ Union ⌫ or are held 
during any period of transit or transhipment, they shall be prepared, moved and cared for in a 
manner such as to minimise the risk of injury, damage to health or cruel treatment and, in the 
case  of  animals,  in  conformity  with  ⌦ Union ⌫  legislation  on  the  protection  of  animals 
during transport. 

(cid:208) 398/2009 Art. 1 pt. 5 (adapted) 
(cid:214) new 

6.  The  Commission  (cid:214) shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 20  concerning   may  establish  restrictions  on  the  holding  or  movement  of  live 
specimens  of  such  species  in  relation  to  which  restrictions  on  introduction  into  the 
⌦ Union ⌫  have  been  established  in  accordance  with  Article 4(6).  Those  measures, 
designed  to  amend  non-essential  elements  of  this  Regulation,  by  supplementing  it,  shall  be 
adopted in accordance with the regulatory procedure with scrutiny referred to in Article 18(3). 

EN 

21 

   EN 

 
 
(cid:208) 338/97 

Article 10 

Certificates to be issued 

On  receiving  an  application,  together  with  all  the  requisite  supporting  documents,  from  the 
person  concerned  and  provided  that  all  the  conditions  governing  their  issuance  have  been 
fulfilled, a management authority of a Member State may issue a certificate for the purposes 
referred to in Article 5(2)(b), Article 5(3) and (4), Article 8(3) and Article 9(2)(b). 

Article 11 

Validity of and special conditions for permits and certificates 

(cid:208) 338/97 (adapted) 

1.  Without  prejudice  to  stricter  measures  which  the  Member  States  may  adopt  or  maintain, 
permits  and  certificates  issued  by  the  competent  authorities  of  the  Member  States  in 
accordance with this Regulation shall be valid throughout the ⌦ Union ⌫. 

2. Any such permit or certificate, as well as any permit or certificate issued on the basis of it, 
shall  be  deemed  void  if  a  competent  authority  or  the  Commission,  in  consultation  with  the 
competent  authority  which  issued  the  permit  or  certificate,  establishes  that  it  was  issued  on 
the false premise that the conditions for its issuance were met. 

Specimens situated in the territory of a Member State and covered by such documents shall be 
seized by the competent authorities of that Member State and may be confiscated. 

3.  Any  permit  or  certificate  issued  in  accordance  with  this  Regulation  may  stipulate 
conditions and requirements imposed by the issuing authority to ensure compliance with the 
provisions  thereof.  Where  such  conditions  or  requirements  need  to  be  incorporated  in  the 
design of permits or certificates, Member States shall inform the Commission thereof. 

4. Any import permit issued on the basis of a copy of the corresponding export permit or re-
export certificate shall be valid for the introduction of specimens into the ⌦ Union ⌫ only 
when accompanied by the original of the valid export permit or re-export certificate. 

(cid:208) 398/2009 Art. 1 pt. 6 (adapted) 
(cid:214) new 

5.  The  Commission  shall  (cid:214) be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 20 concerning the  establish time limits for the issuance of permits and certificates. 
Those  measures,  designed  to  amend  non-essential  elements  of  this  Regulation,  by 
supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny 
referred to in Article 18(3). 

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(cid:208) 338/97 (adapted) 

Article 12 

Places of introduction and export 

1. Member States shall designate customs offices for carrying out the checks and formalities 
for  the  introduction  into  and  export  from  the  ⌦ Union ⌫,  in  order  to  assign  to  them  a 
customs-approved treatment or use, within the meaning of Regulation (EEC) No 2913/92, of 
specimens of species covered by this Regulation and shall state which offices are specifically 
intended to deal with live specimens. 

2. All offices designated in accordance with paragraph 1 shall be provided with sufficient and 
adequately  trained  staff.  Member  States  shall  ensure  that  accommodation  is  provided  in 
transport  and 
accordance  with 
accommodation  of  live  animals  and  that,  where  necessary,  adequate  steps  are  taken  for  live 
plants. 

relevant  ⌦ Union ⌫ 

legislation  as 

regards 

the 

3. All offices designated in accordance with paragraph 1 shall be notified to the Commission 
which shall publish a list of them in the Official Journal of the European Union. 

(cid:208) 398/2009 Art. 1 pt. 7 (adapted) 
(cid:214) new 

4.  In  exceptional  cases  and  in  accordance  with  (cid:214) special   the  criteria  defined  by  the 
Commission,  a  management  authority  may  authorise  the  introduction  into  the ⌦ Union ⌫ 
or  the  export  or  re-export  from  the  Union  at  a  customs  office  other  than  one  designated  in 
accordance with paragraph 1. Those measures, designed to amend non-essential elements of 
this  Regulation,  by  supplementing  it,  shall  be  adopted  in  accordance  with  the  regulatory 
procedure with scrutiny referred to in Article 18(3). 

The Commission  shall  be empowered to adopt delegated acts in accordance with Article 20 
concerning the special criteria in accordance with which the introduction, export or re-export 
at another customs office may be authorised. 

(cid:216) new 

5.  Member  States  shall  ensure  that  at  border  crossing-points  the  public  are  informed  of  the 
implementing provisions (cid:214) adopted pursuant to  of this Regulation. 

(cid:208) 338/97 
(cid:214) new 

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23 

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(cid:208) 338/97 

Article 13 

Management and scientific authorities and other competent authorities 

1. Each Member State shall designate a management authority with primary responsibility for 
the implementation of this Regulation and for communication with the Commission. 

Each  Member  State  may  also  designate  additional  management  authorities  and  other 
competent authorities to assist in the implementation, in which case the primary management 
authority shall be responsible for providing the additional authorities with all the information 
required for the correct application of this Regulation. 

2.  Each  Member  State  shall  designate  one  or  more  scientific  authorities  with  appropriate 
qualifications  whose  duties  shall  be  separate  from  those  of  any  designated  management 
authority. 

3. Not later than ⌦ 3 March 1997 ⌫ Member States shall forward the names and addresses 
of  the  designated  management  authorities,  other  authorities  competent  to  issue  permits  or 
certificates and scientific authorities to the Commission, which shall publish this information 
in the Official Journal of the European Union. 

(cid:208) 338/97 (adapted) 

(cid:208) 338/97 

Each  management  authority  referred  to  in  the  first  subparagraph  of  paragraph 1  shall,  if  so 
requested by the Commission, communicate to it within two months the names and specimen 
signatures  of  the  persons  authorised  to  sign  permits  or  certificates,  and  impressions  of  the 
stamps, seals or other devices used to authenticate permits or certificates. 

Member States shall communicate to the Commission any changes in the information already 
provided, not later than two months after the implementation of such change. 

Article 14 

Monitoring of compliance and investigation of infringements 

1.  The  competent  authorities  of  the  Member  States  shall  monitor  compliance  with  the 
provisions of this Regulation. 

If,  at  any  time,  the  competent  authorities  have  reason  to  believe  that  these  provisions  are 
being infringed, they shall take the appropriate steps to ensure compliance or to instigate legal 
action. 

Member  States  shall  inform  the  Commission  and,  in  the  case  of  species  listed  in  the 
Appendices  to  the  Convention,  the  Convention  Secretariat  of  any  steps  taken  by  the 

EN 

24 

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competent  authorities  in  relation  to  significant  infringements  of  this  Regulation,  including 
seizures and confiscations. 

2. The Commission shall draw the attention of the competent authorities of the Member States 
to  matters  whose  investigation  it  considers  necessary  under  this  Regulation.  Member  States 
shall  inform  the  Commission  and,  in  the  case  of  species  listed  in  the  Appendices  to  the 
Convention, the Convention Secretariat of the outcome of any subsequent investigation. 

3.  An  enforcement  group  shall  be  established  consisting  of  the  representatives  of  each 
Member  State's  authorities  with  responsibility  for  ensuring  the  implementation  of  the 
provisions  of  this  Regulation.  The  group  shall  be  chaired  by  the  representative  of  the 
Commission. 

The  enforcement  group  shall  examine  any  technical  question  relating  to  the  enforcement  of 
this  Regulation  raised  by  the  chairman,  either  on  his  own  initiative  or  at  the  request  of  the 
members of the group or the Committee. 

The  Commission  shall  convey  the  opinions  expressed  in  the  enforcement  group  to  the 
Committee. 

Article 15 

Communication of information 

1. The Member States and the Commission shall communicate to one another the information 
necessary for implementing this Regulation. 

(cid:208) 338/97 
(cid:214) new 

The  Member  States  and  the  Commission  shall  ensure  that  the  necessary  steps  are  taken  to 
make  the  public  aware  and  inform  it  of  the  provisions  regarding  the  implementation  of  the 
Convention  and  of  this  Regulation  and  of  the  latter's  implementing  measures  (cid:214) adopted 
pursuant to this Regulation . 

(cid:208) 338/97 

2.  The  Commission  shall  communicate  with  the  Convention  Secretariat  so  as  to  ensure  that 
the Convention is effectively implemented throughout the territory to which this Regulation 
applies. 

3.  The  Commission  shall  immediately  communicate  any  opinion  of  the  Scientific  Review 
Group to the management authorities of the Member States concerned. 

EN 

25 

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(cid:208) 338/97 (adapted) 
(cid:206)1 398/2009 Art. 1 pt. 8(a)(i) 
(cid:206)2 398/2009 Art. 1 pt. 8(a)(ii) 
(cid:214) new 

4. The management authorities of the Member States shall communicate to the Commission 
before  15 June  each  year  all  the  information  relating  to  the  preceding  year  required  for 
drawing  up  the  reports  referred  to  in  Article VIII.7(a)  of  the  Convention  and  equivalent 
information  on  international trade in all  specimens of species listed in Annexes A, B and C 
and on introduction into the ⌦ Union ⌫ of specimens of species listed in Annex D. ⌦ The 
Commission  shall, ⌫  (cid:214) by  means  of  implementing  acts,   ⌦ specify ⌫  (cid:206)1 the 
information  to  be  communicated  and  the  format  for  its  presentation  in  accordance  with  the 
regulatory  procedure  referred  to  in  Article 18(2).   (cid:214) Those  implementing  acts  shall  be 
adopted in accordance with the examination procedure referred to in Article 21(2).  

On  the  basis  of  the  information  referred  to  in  the  first  subparagraph,  the  Commission  shall 
publish before 31 October each year a statistical report on the introduction into, and the export 
and  re-export  from,  the ⌦ Union ⌫  of  specimens  of  the  species  to  which  this  Regulation 
applies and shall forward to the Convention Secretariat information on the species to which 
the Convention applies. 

Without  prejudice  to  Article 22,  the  management  authorities  of  the  Member  States  shall, 
before  15 June  of  each  second  year,  and  for  the  first  time  in  1999,  communicate  to  the 
Commission all the information relating to the preceding two years required for drawing up 
the  reports  referred  to  in  Article VIII.7(b)  of  the  Convention  and  equivalent  information  on 
the  provisions  of  this  Regulation  that  fall  outside  the  scope  of  the  Convention.  ⌦ The 
Commission  shall, ⌫  (cid:214) by  means  of  implementing  acts,   ⌦ specify ⌫  (cid:206)2 the 
information  to  be  communicated  and  the  format  for  its  presentation  in  accordance  with  the 
regulatory  procedure  referred  to  in  Article 18(2).   (cid:214) Those  implementing  acts  shall  be 
adopted in accordance with the examination procedure referred to in Article 21(2).  

On the basis of the information referred to in the third subparagraph, the Commission shall, 
before 31 October of each second year, and for the first time in 1999, draw up a report on the 
implementation and enforcement of this Regulation. 

(cid:208) 398/2009 Art. 1 pt. 8(b) 
(cid:214) new 

5. With a view to the preparation of amendments to the Annexes, the competent authorities of 
the  Member  States  shall  forward  all  relevant  information  to  the  Commission.  The 
Commission shall (cid:214) , by means of implementing acts,  specify the information required, in 
accordance with the regulatory procedure referred to in Article 18(2). (cid:214) Those implementing 
acts  shall  be  adopted  in  accordance  with  the  examination  procedure  referred  to  in 
Article 21(2).  

EN 

26 

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(cid:208) 338/97 (adapted) 
(cid:206)1 Corrigendum 338/97 
(OJ L 298, 1.11.1997, p. 70) 

6.  (cid:206)1 Without  prejudice  to  Directive ⌦ 2003/4/EC  of  the  European  Parliament  and  of  the 
Council ⌫ 13, 
the 
confidentiality of information obtained in the implementation of this Regulation. 

take  appropriate  measures 

the  Commission  shall 

to  protect 

Article 16 

Sanctions 

1. Member States shall take appropriate measures to ensure the imposition of sanctions for at 
least the following infringements of this Regulation: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

introduction  into,  or  export  or  re-export  from,  the  ⌦ Union ⌫  of  specimens 
without the appropriate permit or certificate or with a false, falsified or invalid permit 
or certificate or one altered without authorisation by the issuing authority; 

failure to comply with the stipulations specified on a permit or certificate issued in 
accordance with this Regulation; 

making  a  false  declaration  or  knowingly  providing  false  information  in  order  to 
obtain a permit or certificate; 

using  a  false,  falsified  or  invalid  permit  or  certificate  or  one  altered  without 
authorisation as a basis for obtaining a ⌦ Union ⌫ permit or certificate or for any 
other official purpose in connection with this Regulation; 

failure to make an import notification or making a false import notification; 

shipment of live specimens not properly prepared so as to minimise the risk of injury, 
damage to health or cruel treatment; 

use  of  specimens  of  species  listed  in  Annex A  other  than  in  accordance  with  the 
authorisation given at the time of issuance of the import permit or subsequently; 

trade  in  artificially  propagated  plants  contrary  to  the  provisions  laid  down  in 
accordance with the second subparagraph of Article 7(1); 

shipment  of  specimens  into  or  out  of  or  in  transit  through  the  territory  of  the 
⌦ Union ⌫ without the appropriate permit or certificate issued in accordance with 
this Regulation and, in the case of export or re-export from a third country party to 
the  Convention,  in  accordance  therewith,  or  without  satisfactory  proof  of  the 
existence of such permit or certificate; 

13 

OJ L 41, 14.2.2003, p. 26. 

EN 

27 

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(j) 

(k) 

(l) 

(m) 

purchase, offer to purchase, acquisition for commercial purposes, use for commercial 
gain, display to the public for commercial purposes, sale, keeping for sale, offering 
for sale or transporting for sale of specimens in breach of Article 8; 

use of a permit or certificate for any specimen other than one for which it was issued; 

falsification or alteration of any permit or certificate issued in accordance with this 
Regulation; 

failure to disclose the rejection of an application for a ⌦ Union ⌫ import, export or 
re-export permit or certificate, in accordance with Article 6(3). 

2. The measures referred to in paragraph 1 shall be appropriate to the nature and gravity of the 
infringement  and  shall  include  provisions  relating  to  the  seizure  and,  where  appropriate, 
confiscation of specimens. 

3.  Where  a  specimen  is  confiscated,  it  shall  be  entrusted  to  a  competent  authority  of  the 
Member State of confiscation which: 

(a) 

(b) 

following consultation with a scientific authority of that Member State, shall place or 
otherwise dispose of the specimen under conditions which it deems to be appropriate 
and  consistent  with  the  purposes  and  provisions  of  the  Convention  and  this 
Regulation; and 

in the case of a live specimen which has been introduced into the ⌦ Union ⌫, may, 
after  consultation  with  the  State  of  export,  return  the  specimen  to  that  State  at  the 
expense of the convicted person. 

4. Where a live specimen of a species listed in Annex B or C arrives at a point of introduction 
into the ⌦ Union ⌫ without the appropriate valid permit or certificate, the specimen must 
be seized and may be confiscated or, if the consignee refuses to acknowledge the specimen, 
the competent authorities of the Member State responsible for the point of introduction may, 
if appropriate, refuse to accept the shipment and require the carrier to return the specimen to 
its place of departure. 

Article 17 

The Scientific Review Group 

1. A Scientific Review Group is hereby established, consisting of the representatives of each 
Member  State's  scientific  authority  or  authorities  and  chaired  by  the  representative  of  the 
Commission. 

2.  The  Scientific  Review  Group  shall  examine  any  scientific  question  relating  to  the 
application  of  this  Regulation  —  in  particular  concerning  Article 4(1)(a),  (2)(a)  and  (6)  — 
raised  by  the  chairman,  either  on  his  own  initiative  or  at  the  request  of  the  members  of  the 
Group or the Committee. 

3.  The  Commission  shall  convey  the  opinions  of  the  Scientific  Review  Group  to  the 
Committee. 

EN 

28 

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(cid:208) 398/2009 Art. 1 pt. 10 (adapted) 
(cid:214) new 

Article 18 

⌦ Further delegated powers ⌫ 

1. In accordance with the regulatory procedure referred to in Article 18(2), the Commission 
shall adopt the measures referred to in Article 4(6), Article 5(7)(b), Article 7(4), the first and 
the third subparagraphs of Article 15(4), Article 15(5) and Article 21(3). 

2.  The  Commission  shall  adopt  the  measures  referred  to  in  Article 4(7),  Article 5(5),  the 
third subparagraph  of  Article 7(1),  the  third  subparagraph  of  Article 7(2),  Article 7(3), 
Article 8(4), Article 9(6), Article 11(5) and Article 12(4). Those measures, designed to amend 
non-essential elements of this Regulation, by supplementing it, shall be adopted in accordance 
with the regulatory procedure with scrutiny referred to in Article 18(3). 

1.  The  Commission  shall  (cid:214) be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 20 concerning the  uniform conditions and criteria for: 

(a) 

(b) 

(c) 

the  issue,  validity  and  use  of  the  documents  referred  to  in  Article 4,  Article 5, 
Article 7(4) and Article 10; 

the  use  of  phytosanitary  certificates  referred  to  in  point  (a)  of  the  second 
subparagraph of Article 7(1); 

the establishment of procedures, where necessary, for marking specimens in order to 
facilitate identification and ensure enforcement of the provisions of this Regulation. 

Those  measures,  designed  to  amend  non-essential  elements  of  this  Regulation,  by 
supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny 
referred to in Article 18(3). 

2. The Commission shall (cid:214) be empowered to  adopt, where necessary, (cid:214) delegated acts in 
accordance with Article 20 concerning  additional measures to implement resolutions of the 
Conference of the Parties  to  the Convention, decisions or recommendations of the Standing 
Committee  of  the  Convention  and  recommendations  of  the  Convention  Secretariat.  Those 
measures, designed to amend non-essential elements of this Regulation, by supplementing it, 
shall  be  adopted  in  accordance  with  the  regulatory  procedure  with  scrutiny  referred  to  in 
Article 18(3). 

3.  The  Commission  shall  (cid:214) be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 20  for  the  purpose  of   ⌦ amending ⌫  Annexes A  to  D,  except  in  the  case  of 
amendments to Annex A which do not result from decisions of the Conference of the Parties 
to  the  Convention.  Those  measures,  designed  to  amend  non-essential  elements  of  this 
Regulation,  shall  be  adopted  in  accordance  with  the  regulatory  procedure  with  scrutiny 
referred to in Article 18(4). 

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29 

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Article 19 

⌦ Further implementing powers ⌫ 

1. The Commission shall (cid:214) , by means of implementing acts,  determine the design of the 
documents  referred  to  in  Article 4,  Article 5,  Article 7(4)  and Article 10  in  accordance  with 
the  regulatory  procedure  referred  to  in  Article 18(2).  (cid:214) Those  implementing  acts  shall  be 
adopted in accordance with the examination procedure referred to in Article 21(2).  

2.  The  Commission  shall,  by  means  of  implementing  acts,  prescribe  a  form  for  the 
presentation  of  the  import  notification.  Those  implementing  acts  shall  be  adopted  in 
accordance with the examination procedure referred to in Article 21(2). 

(cid:216) new 

Article 20 

Exercise of the delegation 

1. The power to adopt delegated acts is conferred on the Commission subject to the conditions 
laid down in this Article. 

2. The power to adopt delegated acts referred to in Article 4(7), Article 5(5), Article 7(1), (2) 
and (3), Article 8(4), Article 9(6), Article 11(5), Article 12(4) and Article 18(1), (2) and (3) 
shall be conferred on the Commission for an indeterminate period of time from [the date of 
entry into force of the basic legislative act or from any other date set by the legislator]. 

3. The delegation of powers referred to in Article 4(7), Article 5(5), Article 7(1), (2) and (3), 
Article 8(4),  Article  9(6),  Article  11(5),  Article  12(4)  and  Article  18(1),  (2)  and  (3)  may  be 
revoked at any time by the European Parliament or by the Council. A decision to revoke shall 
put an end to the delegation of the power specified in that decision. It shall take effect the day 
following the publication of the decision in the Official Journal of the European Union or at a 
later  date  specified  therein.  It  shall  not  affect  the  validity  of  any  delegated  acts  already  in 
force. 

4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the 
European Parliament and to the Council. 

5.  A  delegated  act  adopted  pursuant  to  Article  4(7),  Article  5(5),  Article  7(1),  (2)  and (3), 
Article 8(4), Article 9(6), Article 11(5), Article 12(4) and Article 18(1), (2) and (3) shall enter 
into force only if no objection has been expressed either by the European Parliament or the 
Council within a period of [two months] of notification of that act to the European Parliament 
and  the  Council  or  if,  before  the  expiry  of  that  period,  the  European  Parliament  and  the 
Council  have  both  informed  the  Commission  that  they  will  not  object.  That  period  shall  be 
extended by [two months] at the initiative of the European Parliament or the Council. 

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30 

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(cid:208) 1882/2003 Art. 3 and Annex III 
pt. 66 (adapted) 

Article 21 

⌦ Committee procedure ⌫ 

1.  The  Commission  shall  be  assisted  by  ⌦ a  Committee  which  shall  be  referred  to  as  the 
Committee on Trade in Wild Fauna and Flora ⌫. ⌦ That committee shall be a committee 
within the meaning of Regulation (EU) No 182/2011. ⌫ 

(cid:208) 1882/2003 Art. 3 and Annex III 
pt. 66 

2.  Where  reference  is  made  to  this  Article,  Articles 5  and  7  of  Decision 1999/468/EC  shall 
apply, having regard to the provisions of Article 8 thereof. 

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months. As 
regards the Committee's tasks referred to in points 1 and 2 of Article 19, if, on the expiry of a 
period of three months from the date of referral to the Council, the Council has not acted, the 
proposed measures shall be adopted by the Commission. 

3.  Where  reference  is  made  to  this  paragraph,  Article 5a(1)  to  (4)  and  Article 7  of 
Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 

(cid:208) 398/2009 Art. 1 pt. 9(a) 

(cid:208) 398/2009 Art. 1 pt. 9(b) 

4. Where reference is made to this paragraph, Article 5a(1) to (4) and (5)(b) and Article 7 of 
Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 

The  time  limits  laid  down  in  Article 5a(3)(c)  and  (4)(b)  and  (e)  of  Decision  1999/468/EC 
shall be set at one month, one month and two months respectively. 

2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall 
apply. 

(cid:216) new 

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31 

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(cid:208) 338/97 

Article 22 

Final provisions 

Each  Member  State  shall  notify  the  Commission  and  the  Convention  Secretariat  of  the 
provisions  which  it  adopts  specifically  for  the  implementation  of  this  Regulation  and  of  all 
legal instruments used and measures taken for its implementation and enforcement. 

The Commission shall communicate that information to the other Member States. 

(cid:208) 

Article 23 

Repeal 

Regulation (EC) No 338/97 is repealed. 

References to the repealed Regulation shall be construed as references to this Regulation and 
shall be read in accordance with the correlation table in Annex III. 

(cid:208) 338/97 (adapted) 

Article 24 

⌦ Entry into force ⌫ 

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, 

For the European Parliament 
The President 

For the Council 
The President 

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(cid:208) 101/2012 Art. 1 and Annex 

ANNEX I 

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

1. 

Species included in these Annexes A, B, C and D are referred to: 

(a) 

by the name of the species; or 

2. 

3. 

4. 

(b) 

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

The abbreviation “spp.” is used to denote all species of a higher taxon. 

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

Species  printed  in  bold  in  Annex  A  are  listed  there  in  consistency  with  their 
protection  as  provided  for  by  Council  Directive  2009/147/EC14  or  Council 
Directive 92/43/EEC15. 

5. 

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

(a) 

“ssp.” is used to denote subspecies; 

(b) 

“var(s).” is used to denote variety (varieties); and 

(c) 

“fa.” is used to denote forma. 

6. 

7. 

8. 

9. 

10. 

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  to  9.  Where  none  of  these  annotations  appears,  the 
species concerned are not listed in the Appendices to the Convention. 

(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. 

(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. 

(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. 

“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 

14 
15 

OJ L 20, 26.1.2010, p. 7. 
OJ L 206, 22.7.1992, p. 7. 

EN 

33 

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11. 

12. 

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. 

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  the  provisions  of  this  Regulation  just  as  if  they  were  full 
species, even if the hybrid concerned is not specifically included in the Annexes. 

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) of this Regulation, 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 the Regulation 
as follows: 

#1  Designates all parts and derivatives, except: 

(a) 

(b) 

(c) 

(d) 

seeds, spores and pollen (including pollinia); 

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

cut flowers of artificially propagated plants; and 

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

#2  Designates all parts and derivatives, except: 

(a) 

(b) 

seeds and pollen; and 

finished products packaged and ready for retail trade. 

#3  Designates whole and sliced roots and parts of roots. 

#4  Designates all parts and derivatives, except: 

(a) 

(b) 

(c) 

(d) 

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  Neodypsis  decaryi  exported 
from Madagascar; 

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

cut flowers of artificially propagated plants; 

fruits  and  parts  and  derivatives  thereof  of  naturalized  or  artificially 

EN 

34 

   EN 

 
propagated  plants  of  the  genus  Vanilla  (Orchidaceae)  and  of  the 
family Cactaceae; 

(e) 

(f) 

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

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

#5  Designates logs, sawn wood and veneer sheets. 

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

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

#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 in collaboration with the CITES Management Authorities of 
Botswana/Namibia/South Africa under agreement no. BW/NA/ZA xxxxxx”. 

#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. 

#12  Designates logs, sawn wood, veneer sheets, plywood and essential oil, 
excluding finished products packaged and ready for retail trade. 

#13  Designates the kernel (also known as “endosperm”, “pulp” or “copra”) and 

any derivative thereof. 

13. 

14. 

15. 

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  the  provisions  of 
Article 4.1  of  the  Regulation,  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 the provisions of the Regulation. 

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

In respect of fauna species listed in Annex D, the provisions 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. 

EN 

35 

   EN 

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

16. 

In respect of flora species listed in Annex D, the provisions 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. 

Annex A 

Annex B 

Annex C 

Common name 

FAUNA 

CHORDATA (CHORDATES) 

MAMMALIA 

ARTIODACTYLA 

Antilocapridae 

Bovidae 

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

Addax nasomaculatus (I) 

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

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

Bos sauveli (I) 

Ammotragus lervia 
(II) 

Bison bison 
athabascae (II) 

Mammals 

Pronghorn 

Mexican pronghorn 

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

Addax 

Barbary sheep 

Antilope cervicapra (III 
Nepal) 

Blackbuck 

Wood bison 

Gaur 

Wild yak 

Kouprey 

Bubalus arnee (III 
Nepal) (Excludes the 

Wild Asiatic buffalo 

EN 

36 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
domesticated form 
referenced as Bubalus 
bubalis, which is not 
subject to the 
provisions of this 
Regulation) 

Gazella dorcas (III 
Algeria / Tunisia) 

Lowland anoa 

Tamarau 

Mountain anoa 

Takin 

Markhor 

Chinese serow 

Red serow 

Sumatran serow 

Himalayan serow 

Brooke’s duiker 

Bay duiker 

Jentink’s duiker 

Ogilby’s duiker 

Yellow-backed 
duiker 

Zebra duiker 

Bontebok 

Cuvier’s gazelle 

Dorcas gazelle 

Slender-horned 
gazelle 

Giant sable antelope 

Lechwe 

Red goral 

Long-tailed goral 

Himalayan goral 

Bubalus depressicornis (I) 

Bubalus mindorensis (I) 

Bubalus quarlesi (I) 

Capra falconeri (I) 

Capricornis 
milneedwardsii (I) 

Capricornis rubidus (I) 

Capricornis sumatraensis 
(I) 

Capricornis thar (I) 

Cephalophus jentinki (I) 

Gazella cuvieri (I) 

Gazella leptoceros (I) 

Hippotragus niger variani 
(I) 

Naemorhedus baileyi (I) 

Naemorhedus caudatus (I) 

Naemorhedus goral (I) 

Budorcas taxicolor 
(II) 

Cephalophus brookei 
(II) 

Cephalophus dorsalis 
(II) 

Cephalophus ogilbyi 
(II) 

Cephalophus 
silvicultor (II) 

Cephalophus zebra 
(II) 

Damaliscus pygargus 
pygargus (II) 

Kobus leche (II) 

EN 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Naemorhedus griseus (I) 

Nanger dama (I) 

Oryx dammah (I) 

Oryx leucoryx (I) 

Ovis ammon hodgsonii (I) 

Ovis ammon nigrimontana 
(I) 

Ovis orientalis ophion (I) 

Ovis vignei vignei (I) 

Pantholops hodgsonii (I) 

Pseudoryx nghetinhensis 
(I) 

Rupicapra pyrenaica 
ornata (I) 

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

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

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

Philantomba 
monticola (II) 

Saiga borealis (II) 

Saiga tatarica (II) 

Tetracerus 
quadricornis (III 
Nepal) 

Camelidae 

Lama guanicoe (II) 

Vicugna vicugna (I) 
(Except for the 
populations of: Argentina 

Vicugna vicugna (II) 
(Only the populations 
of Argentina16 [the 

Chinese goral 

Dama gazelle 

Scimitar-horned 
oryx 

Arabian oryx 

Argali 

Tibetan argali 

Kara Tau argali 

Mexican bighorn 
sheep 

Cyprus mouflon 

Urial 

Ladakh urial 

Chiru 

Blue duiker 

Siola 

Abruzzo chamois 

Mongolian saiga 

Steppe saiga 

Four-horned 
antelope 

Camels, guanaco, 
vicuña 

Guanaco 

Vicuña 

16 

Population of Argentina (listed in Annex B):For the exclusive purpose of allowing international trade in 
wool  sheared  from  live  vicuñas  of  the  populations  included  in  Annex  B,  in  cloth  and  in  derived 
manufactured  products  and  other  handicraft  artefacts.  The  reverse  side  of  the  cloth  must  bear  the 

EN 

38 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
[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]; and Peru [the 
whole population]; which 
are included in Annex B) 

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]; 
Bolivia17 [the whole 
population]; Chile18 
[population of the 
Primera Región]; 
Peru19 [the whole 
population]; all other 
populations are 
included in Annex A) 

Axis calamianensis (I) 

Axis kuhlii (I) 

Axis porcinus annamiticus 
(I) 

Blastocerus dichotomus (I) 

Cervidae 

Cervus elaphus 
bactrianus (II) 

Cervus elaphus 
barbarus (III Algeria / 
Tunisia) 

Deer, huemuls, 
muntjacs, pudus 

Calamian deer 

Bawean deer 

Indochina hog deer 

Marsh deer 

Bactrian deer 

Barbary deer 

17 

18 

19 

logotype  adopted  by  the  range  States  of  the  species,  which  are  signatories  to  the  Convenio  para  la 
Conservación  y  Manejo  de  la  Vicuña,  and  the  selvages  the  words  “VICUÑA-ARGENTINA”.  Other 
products  must  bear  a  label  including  the  logotype  and  the  designation  “VICUÑA-ARGENTINA-
ARTESANÍA”. All other specimens shall be deemed to be specimens of species included in Annex A 
and the trade in them shall be regulated accordingly. 
Population of Bolivia (listed in Annex B):For the exclusive purpose of allowing international trade in 
wool sheared from live vicuñas and in cloth and items made thereof, including luxury handicrafts and 
knitted articles. The reverse side of the cloth must bear the logotype adopted by the range States of the 
species,  which  are  signatories  to  the  Convenio  para  la  Conservación  y  Manejo  de  la  Vicuña,  and  the 
selvages the words “VICUÑA-BOLIVIA”. Other products must bear a label including the logotype and 
the  designation  “VICUÑA-BOLIVIA-ARTESANÍA”.  All  other  specimens  shall  be  deemed  to  be 
specimens of species included in Annex A and the trade in them shall be regulated accordingly. 
Population  of  Chile  (listed  in  Annex  B):For  the  exclusive  purpose  of  allowing  international  trade  in 
wool sheared from live vicuñas of the populations included in Annex B, and in cloth and items made 
thereof,  including  luxury  handicrafts  and  knitted  articles.  The  reverse  side  of  the  cloth  must  bear  the 
logotype  adopted  by  the  range  States  of  the  species,  which  are  signatories  to  the  Convenio  para  la 
Conservación y Manejo de la Vicuña, and the selvages the words “VICUÑA-CHILE”. Other products 
must  bear  a  label  including  the  logotype  and  the  designation  “VICUÑA-CHILE-ARTESANÍA”.  All 
other specimens shall be deemed to be specimens of species included in Annex A and the trade in them 
shall be regulated accordingly. 
Population of Peru (listed in Annex B):For the exclusive purpose of allowing international trade in wool 
sheared from live vicuñas and in the stock extant at the time of the ninth meeting of the Conference of 
the Parties (November 1994) of 3249 kg of wool, and in cloth and items made thereof, including luxury 
handicrafts  and  knitted  articles.  The  reverse  side  of  the  cloth  must  bear  the  logotype  adopted  by  the 
range States of the species, which are signatories to the Convenio para la Conservación y Manejo de la 
Vicuña, and the selvages the words “VICUÑA-PERU”. Other products must bear a label including the 
logotype and the designation “VICUÑA-PERU-ARTESANÍA”. All other specimens shall be deemed to 
be specimens of species included in Annex A and the trade in them shall be regulated accordingly. 

EN 

39 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                                                                                                                         
Cervus elaphus hanglu (I) 

Dama dama 
mesopotamica (I) 

Hippocamelus spp. (I) 

Muntiacus crinifrons (I) 

Muntiacus vuquangensis 
(I) 

Ozotoceros bezoarticus (I) 

Pudu puda (I) 

Rucervus duvaucelii (I) 

Rucervus eldii (I) 

Pudu mephistophiles 
(II) 

Hexaprotodon 
liberiensis (II) 

Hippopotamus 
amphibius (II) 

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) 

Babyrousa babyrussa (I) 

Babyrousa bolabatuensis 
(I) 

Babyrousa celebensis (I) 

Babyrousa togeanensis (I) 

Sus salvanius (I) 

Tayassuidae spp. (II) 

40 

Hangul 

Persian fallow deer 

Huemuls 

Central American 
red brocket 

Black muntjac 

Giant muntjac 

Mazama temama 
cerasina (III 
Guatemala) 

Odocoileus virginianus 
mayensis (III 
Guatemala) 

Guatemalan white-
tailed deer 

Pampas deer 

Northern pudu 

Southern pudu 

Barasingha 

Eld’s deer 

Hippopotamuses 

Pygmy 
hippopotamus 

Common 
hippopotamus 

Musk deer 

Musk deer 

Babirusa, hogs, pigs 

Buru babirusa 

Bola Batu babirusa 

North Sulawesi 
babirusa 

Malenge babirusa 

Pygmy hog 

Peccaries 

Peccaries 

   EN 

Hippopotamidae 

Moschidae 

Suidae 

Tayassuidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CARNIVORA 

Ailuridae 

Canidae 

(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) 

Catagonus wagneri (I) 

Chacoan peccary 

Ailurus fulgens (I) 

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 simensis 

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) 

Cerdocyon thous (II) 

Chrysocyon 
brachyurus (II) 

Cuon alpinus (II) 

Lycalopex culpaeus 
(II) 

Red panda 

Dogs, foxes, wolves 

Canis aureus (III India)  Golden jackal 

Grey wolf 

Ethiopian wolf 

Crab-eating fox 

Maned wolf 

Dhole 

Culpeo 

Speothos venaticus (I) 

Lycalopex fulvipes (II) 

Darwin’s fox 

South American 
grey fox 

Pampas fox 

Bush dog 

Bengal fox 

Blanford’s fox 

Fennec fox 

Vulpes bengalensis (III 
India) 

Lycalopex griseus (II) 

Lycalopex 
gymnocercus (II) 

Vulpes cana (II) 

Vulpes zerda (II) 

41 

   EN 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Eupleridae 

Felidae 

Cryptoprocta ferox 
(II) 

Fossa 

Eupleres goudotii (II) 

Falanouc 

Fossa fossana (II) 

Felidae spp. (II) 
(Except for the 
species included in 
Annex A. Specimens 
of the domesticated 
form are not subject to 
the provisions of this 
Regulation) 

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 the provisions of 
Article 4.1 of this 
Regulation) 

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

Catopuma temminckii (I) 

Felis nigripes (I) 

Felis silvestris (II) 

Leopardus geoffroyi (I) 

Leopardus jacobitus (I) 

Leopardus pardalis (I) 

Leopardus tigrinus (I) 

Leopardus wiedii (I) 

Lynx lynx (II) 

Lynx pardinus (I) 

Neofelis nebulosa (I) 

Panthera leo persica (I) 

Panthera onca (I) 

Panthera pardus (I) 

Panthera tigris (I) 

Malagasy civet 

Cats, cheetahs, 
leopards, lions, 
tigers etc. 

Cats 

Cheetah 

Asian Caracal 

Asian golden cat 

Black-footed cat 

Wild cat 

Geoffroy’s cat 

Andean mountain 
cat 

Ocelot 

Oncilla 

Margay 

Eurasian lynx 

Iberian lynx 

Clouded leopard 

Asiatic lion 

Jaguar 

Leopard 

Tiger 

EN 

42 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Pardofelis marmorata (I) 

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

Prionailurus iriomotensis 
(II) 

Prionailurus planiceps (I) 

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

Puma concolor coryi (I) 

Puma concolor 
costaricensis (I) 

Puma concolor couguar 
(I) 

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

Uncia uncia (I) 

Marbled cat 

Bengal leopard cat 

Iriomote cat 

Flat-headed cat 

Rusty-spotted cat 

Florida cougar 

Costa Rican cougar 

Eastern cougar 

Jaguarundi 

Snow leopard 

Mongooses 

Herpestes fuscus (III 
India) 

Indian brown 
mongoose 

Herpestes edwardsi (III 
India) 

Indian grey 
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 

Aardwolf, hyenas 

Proteles cristata (III 
Botswana) 

Aardwolf 

Skunks 

Humboldt’s hog-
nosed skunk 

   EN 

Conepatus humboldtii 
(II) 

43 

Herpestidae 

Hyaenidae 

Mephitidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Mustelidae 

Lutrinae 

Mustelinae 

Odobenidae 

Otariidae 

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

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

Enhydra lutris nereis (I) 

Lontra felina (I) 

Lontra longicaudis (I) 

Lontra provocax (I) 

Lutra lutra (I) 

Lutra nippon (I) 

Pteronura brasiliensis (I) 

Badgers, martens, 
weasels etc. 

Otters 

Otters 

Cameroon clawless 
otter 

Southern sea otter 

Marine otter 

Neotropical otter 

Southern river otter 

European otter 

Japanese otter 

Giant otter 

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 

Odobenus rosmarus 
(III Canada) 

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

Arctocephalus philippii 
(II) 

Walrus 

Walrus 

Fur seals, sealions 

Fur seals 

Juan Fernández fur 
seal 

EN 

44 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Phocidae 

Procyonidae 

Ursidae 

Viverridae 

Arctocephalus townsendi 
(I) 

Mirounga leonina (II) 

Monachus spp. (I) 

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

Ailuropoda melanoleuca 
(I) 

Helarctos malayanus (I) 

Melursus ursinus (I) 

Tremarctos ornatus (I) 

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) 

Ursus thibetanus (I) 

Guadalupe fur seal 

Seals 

Southern elephant 
seal 

Monk seals 

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 

Bears 

Bears 

Giant panda 

Sun bear 

Sloth bear 

Spectacled bear 

Brown bear 

Asian black bear 

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

Arctictis binturong (III 
India) 

Binturong 

Civettictis civetta (III 
Botswana) 

African civet 

EN 

45 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Cynogale bennettii 
(II) 

Hemigalus derbyanus 
(II) 

Otter civet 

Banded palm civet 

Masked palm civet 

Asian palm civet 

Paguma larvata (III 
India) 

Paradoxurus 
hermaphroditus (III 
India) 

Paradoxurus jerdoni 
(III India) 

Jerdon’s palm civet 

Prionodon linsang (II) 

Prionodon pardicolor (I) 

Banded linsang 

Spotted linsang 

CETACEA spp. (I/II)20 

CETACEA 

CHIROPTERA 

Phyllostomidae 

Pteropodidae 

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

Acerodon jubatus (I) 

Viverra civettina (III 
India) 

Malabar large-
spotted civet 

Viverra zibetha (III 
India) 

Large Indian civet 

Viverricula indica (III 
India) 

Small Indian civet 

Cetaceans (dolphins, 
porpoises, whales) 

Cetaceans 

Broad-nosed bats 

Platyrrhinus lineatus 
(III Uruguay) 

White-lined bat 

Fruit bats, flying 
foxes 

Flying foxes 

Golden-capped fruit 
bat 

20 

All  species  are  listed  in  Appendix  II  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  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. 

EN 

46 

   EN 

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

Pteropus insularis (I) 

Pteropus livingstonii (II) 

Pteropus loochoensis (I) 

Pteropus mariannus (I) 

Pteropus molossinus (I) 

Pteropus pelewensis (I) 

Pteropus pilosus (I) 

Pteropus rodricensis (II) 

Pteropus samoensis (I) 

Pteropus tonganus (I) 

Pteropus ualanus (I) 

Pteropus voeltzkowi (II) 

Pteropus yapensis (I) 

Flying foxes 

Ruck flying fox 

Comoro flying fox 

Japanese flying fox 

Marianas flying fox 

Caroline flying fox 

Pelew flying fox 

Large Pelew flying 
fox 

Rodrigues flying fox 

Samoan flying fox 

Pacific flying fox 

Kosrae flying fox 

Pemba flying fox 

Yap flying fox 

Armadillos 

CINGULATA 

Dasypodidae 

Cabassous centralis (III 
Costa Rica) 

Northern naked-
tailed armadillo 

Cabassous tatouay (III 
Uruguay) 

Greater naked-tailed 
armadillo 

Andean hairy 
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) 

Priodontes maximus (I) 

Giant armadillo 

DASYUROMORPHIA 

Dasyuridae 

Sminthopsis longicaudata 
(I) 

Sminthopsis psammophila 
(I) 

Dunnarts, marsupial 
mice, planigales 

Long-tailed dunnart 

Sandhill dunnart 

EN 

47 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Dendrolagus inustus 
(II) 

Dendrolagus ursinus 
(II) 

Phalanger 
intercastellanus (II) 

Phalanger mimicus 
(II) 

Phalanger orientalis 
(II) 

Spilocuscus kraemeri 
(II) 

Spilocuscus maculatus 
(II) 

Spilocuscus papuensis 
(II) 

Thylacinidae 

DIPROTODONTIA 

Macropodidae 

Thylacinus cynocephalus 
(possibly extinct) (I) 

Lagorchestes hirsutus (I) 

Lagostrophus fasciatus (I) 

Onychogalea fraenata (I) 

Onychogalea lunata (I) 

Phalangeridae 

Potoroidae 

Vombatidae 

LAGOMORPHA 

Leporidae 

Bettongia spp. (I) 

Caloprymnus campestris 
(possibly extinct) (I) 

Lasiorhinus krefftii (I) 

Caprolagus hispidus (I) 

Tasmanian wolf, 
thylacine 

Thylacine 

Kangaroos, 
wallabies 

Grizzled tree-
kangaroo 

Ursine tree-kangaroo 

Rufous hare-wallaby 

Banded hare-
wallaby 

Bridled nail-tail 
wallaby 

Crescent nail-tail 
wallaby 

Cuscus 

Eastern common 
cuscus 

Southern common 
cuscus 

Northern common 
cuscus 

Admiralty Island 
cuscus 

Common spotted 
cuscus 

Waigeou cuscus 

Rat-kangaroos 

Bettongs 

Desert rat-kangaroo 

Wombats 

Northern hairy-
nosed wombat 

Hares, rabbits 

Hispid hare 

EN 

48 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Romerolagus diazi (I) 

Volcano rabbit 

MONOTREMATA 

Tachyglossidae 

PERAMELEMORPHIA 

Chaeropodidae 

Peramelidae 

Thylacomyidae 

PERISSODACTYLA 

Equidae 

Rhinocerotidae 

Chaeropus ecaudatus 
(possibly extinct) (I) 

Perameles bougainville (I) 

Macrotis lagotis (I) 

Macrotis leucura (I) 

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

Equus grevyi (I) 

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) 

Equus kiang (II) 

Equus przewalskii (I) 

Equus zebra zebra (I) 

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

Zaglossus spp. (II) 

Equus zebra 
hartmannae (II) 

Echidnas, spiny 
anteaters 

Long-beaked 
echidnas 

Bandicoots 

Pig-footed bandicoot 

Western barred 
bandicoot 

Greater bilby 

Lesser bilby 

Horses, wild asses, 
zebras 

African ass 

Grévy’s zebra 

Asiatic wild ass 

Kiang 

Przewalski’s horse 

Hartmann’s 
mountain zebra 

Cape mountain zebra 

Rhinoceroses 

Rhinoceroses 

Ceratotherium simum 
simum (II) (Only the 

Southern white 

EN 

49 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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) 

rhinoceros 

Tapirs 

Tapirs 

Tapirus terrestris (II) 

South American 
tapir 

Manis spp. (II) 

(A zero annual export 
quota has been 
established for Manis 
crassicaudata, Manis 
culionensis, Manis 
javanica and Manis 
pentadactyla for 
specimens removed 
from the wild and 
traded for primarily 
commercial purposes) 

Bradypus variegatus 
(II) 

Myrmecophaga 
tridactyla (II) 

Pangolins 

Pangolins 

Three-toed sloths 

Brown-throated 
sloth 

Two-toed sloth 

Choloepus hoffmanni 
(III Costa Rica) 

Hoffmann’s two-
toed sloth 

American anteaters 

Giant anteater 

Tamandua mexicana 
(III Guatemala) 

Northern tamandua 

Primates (apes and 
monkeys) 

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

Tapiridae 

PHOLIDOTA 

Manidae 

PILOSA 

Bradypodidae 

Megalonychidae 

Myrmecophagidae 

PRIMATES 

EN 

50 

   EN 

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

Atelidae 

Cebidae 

Cercopithecidae 

Alouatta coibensis (I) 

Alouatta palliata (I) 

Alouatta pigra (I) 

Ateles geoffroyi frontatus 
(I) 

Ateles geoffroyi 
panamensis (I) 

Brachyteles arachnoides 
(I) 

Brachyteles hypoxanthus 
(I) 

Oreonax flavicauda (I) 

Callimico goeldii (I) 

Callithrix aurita (I) 

Callithrix flaviceps (I) 

Leontopithecus spp. (I) 

Saguinus bicolor (I) 

Saguinus geoffroyi (I) 

Saguinus leucopus (I) 

Saguinus martinsi (I) 

Saguinus oedipus (I) 

Saimiri oerstedii (I) 

Cercocebus galeritus (I) 

Cercopithecus diana (I) 

Cercopithecus roloway (I) 

Primates 

Howlers, spider 
monkeys 

Coiba Island howler 

Mantled howler 

Guatemalan black 
howler 

Black-browed spider 
monkey 

Red spider monkey 

Southern muriqui 

Yellow-tailed 
woolly monkey 

Marmosets, 
tamarins, New-world 
monkeys 

Goeldi’s marmoset 

Buffy-tufted 
marmoset 

Buffy-headed 
marmoset 

Lion tamarins 

Pied tamarin 

Geoffroy’s tamarin 

White-footed 
tamarin 

Cottontop tamarin 

Central American 
squirrel monkey 

Old-world monkeys 

Tana River 
mangabey 

Diana monkey 

Roloway monkey 

EN 

51 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Cercopithecus solatus (II) 

Colobus satanas (II) 

Macaca silenus (I) 

Mandrillus leucophaeus 
(I) 

Mandrillus sphinx (I) 

Nasalis larvatus (I) 

Piliocolobus foai (II) 

Piliocolobus gordonorum 
(II) 

Piliocolobus kirkii (I) 

Piliocolobus pennantii (II) 

Piliocolobus preussi (II) 

Piliocolobus rufomitratus 
(I) 

Piliocolobus tephrosceles 
(II) 

Piliocolobus tholloni (II) 

Presbytis potenziani (I) 

Pygathrix spp. (I) 

Rhinopithecus spp. (I) 

Semnopithecus ajax (I) 

Semnopithecus dussumieri 
(I) 

Semnopithecus entellus (I) 

Semnopithecus hector (I) 

Semnopithecus hypoleucos 
(I) 

Semnopithecus priam (I) 

Semnopithecus schistaceus 
(I) 

Simias concolor (I) 

Trachypithecus delacouri 
(II) 

Trachypithecus francoisi 

Sun-tailed monkey 

Black colobus 

Lion-tailed macaque 

Drill 

Mandrill 

Proboscis monkey 

Central African red 
colobus 

Uzungwa red 
colobus 

Zanzibar red colobus 

Pennant’s red 
colobus 

Preuss’s red colobus 

Tana River red 
colobus 

Ugandan red colobus 

Thollon’s red 
colobus 

Mentawai langur 

Douc langurs 

Snub-nosed 
monkeys 

Kashmir grey langur 

Southern Plains grey 
langur 

Northern Plains grey 
langur 

Tarai grey langur 

Black-footed grey 
langur 

Tufted grey langur 

Nepal grey langur 

Simakobou 

Delacour’s langur 

François’s langur 

EN 

52 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
(II) 

Trachypithecus geei (I) 

Trachypithecus 
hatinhensis (II) 

Trachypithecus johnii (II) 

Trachypithecus laotum (II) 

Trachypithecus pileatus (I) 

Trachypithecus 
poliocephalus (II) 

Trachypithecus 
shortridgei (I) 

Cheirogaleidae spp. (I) 

Daubentonia 
madagascariensis (I) 

Gorilla beringei (I) 

Gorilla gorilla (I) 

Pan spp. (I) 

Pongo abelii (I) 

Pongo pygmaeus (I) 

Hylobatidae spp. (I) 

Indriidae spp. (I) 

Lemuridae spp. (I) 

Lepilemuridae spp. (I) 

Nycticebus spp. (I) 

Cheirogaleidae 

Daubentoniidae 

Hominidae 

Hylobatidae 

Indriidae 

Lemuridae 

Lepilemuridae 

Lorisidae 

Gee’s golden langur 

Hatinh langur 

Nilgiri langur 

Laotian langur 

Capped langur 

White-headed langur 

Shortridge’s langur 

Dwarf lemurs and 
mouse-lemurs 

Dwarf lemurs and 
mouse lemurs 

Aye-aye 

Aye-aye 

Chimpanzees, 
gorillas, orang-utan 

Eastern gorilla 

Western gorilla 

Chimpanzee and 
bonobo 

Sumatran orangutan 

Bornean orangutan 

Gibbons 

Gibbons 

Indri, sifakas and 
woolly lemurs 

Indri, sifakas and 
woolly lemurs 

Large lemurs 

Large lemurs 

Sportive lemurs 

Sportive lemurs 

Lorises 

Slow lorises 

EN 

53 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Pitheciidae 

Tarsiidae 

PROBOSCIDEA 

Elephantidae 

Cacajao spp. (I) 

Callicebus 
barbarabrownae (II) 

Callicebus melanochir (II) 

Callicebus nigrifrons (II) 

Callicebus personatus (II) 

Chiropotes albinasus (I) 

Tarsius spp. (II) 

Elephas maximus (I) 

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 Zimbabwe21; all 

Uacaris, titis, sakis 

Uacaris 

Barbara Brown’s 
Titi 

Coastal Black-
handed Titi 

Black-fronted Titi 

Atlantic titi 

White-nosed saki 

Tarsiers 

Tarsiers 

Elephants 

Asian elephant 

African elephant 

21 

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 20000 kg (Botswana), 10000 kg 
(Namibia),  30000 kg  (South  Africa);  (v)  in  addition  to  the  quantities  agreed  at  CoP12,  government-
owned  ivory  from  Botswana,  Zimbabwe,  Namibia  and  South  Africa  registered  by  the  31st  of 
January 2007 and verified by the Secretariat may be traded and despatched, with the ivory in (g)(iv) 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 (g)(v) 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  on  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 paragraph (g)(i), 
(g)(ii), (g)(iii), (g)(vi), and (g)(vii). In addition, such further proposals shall be dealt with in accordance 

EN 

54 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
other populations are 
included in Annex A) 

RODENTIA 

Chinchillidae 

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

Cuniculidae 

Dasyproctidae 

Erethizontidae 

Hystricidae 

Muridae 

Sciuridae 

Hystrix cristata 

Leporillus conditor (I) 

Pseudomys fieldi 
praeconis (I) 

Xeromys myoides (I) 

Zyzomys pedunculatus (I) 

Cynomys mexicanus (I) 

Chinchillas 

Chinchillas 

Pacas 

Lowland paca 

Agoutis 

Cuniculus paca (III 
Honduras) 

Dasyprocta punctata 
(III Honduras) 

Central American 
agouti 

New-world 
porcupines 

Sphiggurus mexicanus 
(III Honduras) 

Mexican hairy dwarf 
porcupine 

Sphiggurus spinosus 
(III Uruguay) 

Paraguaian hairy 
dwarf porcupine 

Old-world 
porcupines 

Crested porcupine 

Mice, rats 

Greater stick-nest rat 

Shark Bay mouse 

False water rat 

Central Australian 
rock rat 

Ground squirrels, 
tree squirrels 

Mexican prairie dog 

Marmota caudata (III 
India) 

Long-tailed marmot 

Marmota himalayana 
(III India) 

Himalayan marmot 

with Decisions 14.77 and 14.78. 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. 

EN 

55 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                                                                                                                         
SCANDENTIA 

SIRENIA 

Dugongidae 

Trichechidae 

AVES 

ANSERIFORMES 

Anatidae 

Ratufa spp. (II) 

Callosciurus 
erythraeus 

Sciurus carolinensis 

Giant squirrels 

Pallas’s Squirrel 

Grey squirrel 

Deppe’s squirrel 

Sciurus deppei (III 
Costa Rica) 

Sciurus niger 

Eastern Fox Squirrel 

SCANDENTIA spp. 
(II) 

Treeshrews 

Dugong dugon (I) 

Trichechidae spp. (I/II) 
(Trichechus inunguis and 
Trichechus manatus are 
listed in Appendix I. 
Trichechus senegalensis is 
listed in Appendix II) 

Anas aucklandica (I) 

Anas chlorotis (I) 

Anas laysanensis (I) 

Anas nesiotis (I) 

Anas querquedula 

Asarcornis scutulata (I) 

Aythya innotata 

Aythya nyroca 

Branta canadensis 
leucopareia (I) 

Branta ruficollis (II) 

Branta sandvicensis (I) 

Anas bernieri (II) 

Anas formosa (II) 

Dugong 

Dugong 

Manatees 

Manatees 

Birds 

Ducks, geese, swans 
etc. 

Auckland Islands 
teal 

Madagascar teal 

Brown teal 

Baikal teal 

Laysan duck 

Campbell Island teal 

Garganey 

White-winged duck 

Madagascar pochard 

Ferruginous duck 

Aleutian goose 

Red-breasted goose 

Nene 

EN 

56 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Cairina moschata (III 
Honduras) 

Muscovy duck 

Coscoroba coscoroba 
(II) 

Cygnus 
melancoryphus (II) 

Dendrocygna arborea 
(II) 

Dendrocygna 
autumnalis (III 
Honduras) 

Coscoroba swan 

Black-necked swan 

West Indian 
whistling-duck 

Black-bellied 
whistling-duck 

Dendrocygna bicolor 
(III Honduras) 

Fulvous whistling-
duck 

Mergus octosetaceus 

Brazilian merganser 

Oxyura jamaicensis 

Ruddy duck 

Oxyura leucocephala (II) 

Rhodonessa 
caryophyllacea (possibly 
extinct) (I) 

Tadorna cristata 

Sarkidiornis 
melanotos (II) 

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

White-headed duck 

Pink-headed duck 

Comb duck 

Crested shelduck 

Hummingbirds 

Hummingbirds 

Glaucis dohrnii (I) 

Hook-billed hermit 

Thick-knees 

Burhinus bistriatus (III 
Guatemala) 

Double-striped 
thick-knee 

Gulls, terns 

Relict gull 

Curlews, 
greenshanks 

Eskimo curlew 

Slender-billed 
curlew 

Nordmann’s 
greenshank 

Larus relictus (I) 

Numenius borealis (I) 

Numenius tenuirostris (I) 

Tringa guttifer (I) 

APODIFORMES 

Trochilidae 

CHARADRIIFORMES 

Burhinidae 

Laridae 

Scolopacidae 

EN 

57 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CICONIIFORMES 

Ardeidae 

Balaenicipitidae 

Ciconiidae 

Phoenicopteridae 

Ardea alba 

Bubulcus ibis 

Egretta garzetta 

Ciconia boyciana (I) 

Ciconia nigra (II) 

Ciconia stormi 

Jabiru mycteria (I) 

Leptoptilos dubius 

Mycteria cinerea (I) 

Phoenicopterus ruber (II) 

Threskiornithidae 

Balaeniceps rex (II) 

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

Eudocimus ruber (II) 

COLUMBIFORMES 

Columbidae 

Geronticus calvus (II) 

Geronticus eremita (I) 

Nipponia nippon (I) 

Platalea leucorodia (II) 

Pseudibis gigantea 

Caloenas nicobarica (I) 

Claravis godefrida 

Columba livia 

Ducula mindorensis (I) 

Egrets, herons 

Great egret 

Cattle egret 

Little egret 

Shoebill, whale-
headed stork 

Shoebill 

Storks 

Oriental stork 

Black stork 

Storm’s stork 

Jabiru 

Greater adjutant 
stork 

Milky stork 

Flamingos 

Flamingos 

Greater flamingo 

Ibises, spoonbills 

Scarlet ibis 

Bald ibis 

Waldrapp 

Crested ibis 

Eurasian spoonbill 

Giant ibis 

Doves, pigeons 

Nicobar pigeon 

Purple-winged 
ground-dove 

Rock pigeon 

Mindoro zone-tailed 

EN 

58 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Gallicolumba 
luzonica (II) 

Goura spp. (II) 

Leptotila wellsi 

pigeon 

Luzon bleeding-
heart 

Crowned-pigeons 

Grenada dove 

Pink pigeon 

Nesoenas mayeri (III 
Mauritius) 

Streptopelia turtur 

European turtle-dove 

CORACIIFORMES 

Bucerotidae 

Aceros nipalensis (I) 

Buceros bicornis (I) 

Rhinoplax vigil (I) 

Rhyticeros subruficollis (I) 

CUCULIFORMES 

Musophagidae 

Tauraco bannermani (II) 

FALCONIFORMES 

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

Anorrhinus spp. (II) 

Anthracoceros spp. 
(II) 

Berenicornis spp. (II) 

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

Penelopides spp. (II) 

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

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

Hornbills 

Hornbills 

Rufous-necked 
hornbill 

Hornbills 

Hornbills 

Hornbills 

Hornbills 

Great hornbill 

Hornbills 

Helmeted hornbill 

Hornbills 

Plain-pouched 
hornbill 

Turacos 

Turacos 

Bannerman’s turaco 

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

EN 

59 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
FALCONIFORMES 
spp. (II) 

(Except for the 
species included in 
Annex A and 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) 

Accipitridae 

Accipiter brevipes (II) 

Accipiter gentilis (II) 

Accipiter nisus (II) 

Aegypius monachus (II) 

Aquila adalberti (I) 

Aquila chrysaetos (II) 

Aquila clanga (II) 

Aquila heliaca (I) 

Aquila pomarina (II) 

Buteo buteo (II) 

Buteo lagopus (II) 

Buteo rufinus (II) 

Chondrohierax uncinatus 
wilsonii (I) 

Circaetus gallicus (II) 

Circus aeruginosus (II) 

Circus cyaneus (II) 

Circus macrourus (II) 

Circus pygargus (II) 

Elanus caeruleus (II) 

Eutriorchis astur (II) 

Gypaetus barbatus (II) 

Gyps fulvus (II) 

Diurnal birds of prey 

Hawks, eagles 

Levant sparrowhawk 

Northern goshawk 

Eurasian 
sparrowhawk 

Cinereous vulture 

Adalbert’s eagle 

Golden eagle 

Greater spotted eagle 

Imperial eagle 

Lesser spotted eagle 

Common buzzard 

Rough-legged 
buzzard 

Long-legged 
buzzard 

Cuban hook-billed 
kite 

Short-toed snake-
eagle 

Western marsh-
harrier 

Northern harrier 

Pallid harrier 

Montagu’s harrier 

Black-winged kite 

Madagascar serpent-
eagle 

Lammergeier 

Eurasian griffon 

EN 

60 

   EN 

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

Harpia harpyja (I) 

Hieraaetus fasciatus (II) 

Hieraaetus pennatus (II) 

Leucopternis occidentalis 
(II) 

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

Milvus milvus (II) 

Neophron percnopterus 
(II) 

Pernis apivorus (II) 

Pithecophaga jefferyi (I) 

Gymnogyps californianus 
(I) 

Vultur gryphus (I) 

Falco araeus (I) 

Falco biarmicus (II) 

Falco cherrug (II) 

Falco columbarius (II) 

Falco eleonorae (II) 

Falco jugger (I) 

Falco naumanni (II) 

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

Falco pelegrinoides (I) 

Falco peregrinus (I) 

Falco punctatus (I) 

Sea-eagles 

Harpy eagle 

Bonelli’s eagle 

Booted eagle 

Grey-backed hawk 

Black kite 

Red kite 

Egyptian vulture 

European honey-
buzzard 

Great Philippine 
eagle 

New world vultures 

California condor 

Sarcoramphus papa (III 
Honduras) 

King vulture 

Andean condor 

Falcons 

Seychelles kestrel 

Lanner falcon 

Saker falcon 

Merlin 

Eleonora’s falcon 

Laggar falcon 

Lesser kestrel 

Newton’s kestrel 

Barbary falcon 

Peregrine falcon 

Mauritius kestrel 

Cathartidae 

Falconidae 

EN 

61 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Pandionidae 

GALLIFORMES 

Cracidae 

Falco rusticolus (I) 

Falco subbuteo (II) 

Falco tinnunculus (II) 

Falco vespertinus (II) 

Pandion haliaetus (II) 

Crax alberti (III 
Colombia) 

Crax blumenbachii (I) 

Mitu mitu (I) 

Oreophasis derbianus (I) 

Gyrfalcon 

Eurasian hobby 

Common kestrel 

Red-footed falcon 

Ospreys 

Osprey 

Blue-knobbed 
curassow 

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 and 
Honduras) 

Great currasow 

Alagoas curassow 

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) 

Pipile pipile (I) 

Macrocephalon maleo (I) 

Megapodiidae 

Phasianidae 

Black-fronted piping 
guan 

Trinidad piping guan 

Megapodes, 
scrubfowl 

Maleo 

Grouse, guineafowl, 
partridges, 
pheasants, 

EN 

62 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Argusianus argus (II) 

Gallus sonneratii (II) 

Ithaginis cruentus (II) 

tragopans 

Great argus 

Cheer pheasant 

Masked bobwhite 

White eared-
pheasant 

Brown eared-
pheasant 

Grey junglefowl 

Blood pheasant 

Himalayan monal 

Chinese monal 

Sclater’s monal 

Edwards’ pheasant 

Lophura hatinhensis 

Vietnamese fireback 

Imperial pheasant 

Swinhoe’s pheasant 

Meleagris ocellata (III 
Guatemala) 

Ocellated turkey 

Pavo muticus (II) 

Polyplectron 
bicalcaratum (II) 

Polyplectron germaini 
(II) 

Polyplectron 
malacense (II) 

Polyplectron 
schleiermacheri (II) 

Gorgeted wood-
quail 

Himalayan quail 

Green peafowl 

Grey peacock-
pheasant 

Germain’s peacock-
pheasant 

Malayan peacock-
pheasant 

Palawan peacock-
pheasant 

Bornean peacock-
pheasant 

Crested argus 

Elliot’s pheasant 

Hume’s pheasant 

Mikado pheasant 

Catreus wallichii (I) 

Colinus virginianus 
ridgwayi (I) 

Crossoptilon crossoptilon 
(I) 

Crossoptilon 
mantchuricum (I) 

Lophophorus impejanus 
(I) 

Lophophorus lhuysii (I) 

Lophophorus sclateri (I) 

Lophura edwardsi (I) 

Lophura imperialis (I) 

Lophura swinhoii (I) 

Odontophorus strophium 

Ophrysia superciliosa 

Polyplectron napoleonis 
(I) 

Rheinardia ocellata (I) 

Syrmaticus ellioti (I) 

Syrmaticus humiae (I) 

Syrmaticus mikado (I) 

EN 

63 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
GRUIFORMES 

Gruidae 

Otididae 

Tetraogallus caspius (I) 

Tetraogallus tibetanus (I) 

Tragopan blythii (I) 

Tragopan caboti (I) 

Tragopan melanocephalus 
(I) 

Tympanuchus cupido 
attwateri (I) 

Grus americana (I) 

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) 

Grus grus (II) 

Grus japonensis (I) 

Grus leucogeranus (I) 

Grus monacha (I) 

Grus nigricollis (I) 

Grus vipio (I) 

Ardeotis nigriceps (I) 

Chlamydotis macqueenii 
(I) 

Chlamydotis undulata (I) 

Houbaropsis bengalensis 
(I) 

Otis tarda (II) 

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

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

Caspian snowcock 

Tibetan snowcock 

Blyth’s tragopan 

Cabot’s tragopan 

Western tragopan 

Tragopan satyra (III 
Nepal) 

Satyr tragopan 

Attwater’s prairie-
chicken 

Cranes 

Cranes 

Whooping crane 

Sandhill crane 

Common crane 

Red-crowned crane 

Siberian crane 

Hooded crane 

Black-necked crane 

White-necked crane 

Bustards 

Bustards 

Indian bustard 

Macqueen’s bustard 

Houbara bustard 

Bengal florican 

Great bustard 

EN 

64 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Sypheotides indicus (II) 

Tetrax tetrax (II) 

Gallirallus sylvestris (I) 

Rhynochetos jubatus (I) 

Atrichornis clamosus (I) 

Rallidae 

Rhynochetidae 

PASSERIFORMES 

Atrichornithidae 

Cotingidae 

Emberizidae 

Estrildidae 

Cotinga maculata (I) 

Xipholena atropurpurea 
(I) 

Rupicola spp. (II) 

Gubernatrix cristata 
(II) 

Paroaria capitata (II) 

Paroaria coronata 
(II) 

Tangara fastuosa (II) 

Amandava formosa 
(II) 

Lonchura fuscata 

Lonchura oryzivora 
(II) 

Poephila cincta cincta 
(II) 

Fringillidae 

Carduelis cucullata (I) 

Lesser florican 

Little bustard 

Coots, rails 

Lord Howe rail 

Kagu 

Kagu 

Scrub-birds 

Noisy scrub-bird 

Cotingas 

Cephalopterus ornatus 
(III Colombia) 

Amazonian umbrella 
bird 

Cephalopterus 
penduliger (III 
Colombia) 

Long-wattled 
umbrella bird 

Banded cotinga 

Cocks-of-the-rock 

White-winged 
cotinga 

Cardinals, tanagers 

Yellow cardinal 

Yellow-billed 
cardinal 

Red-crested cardinal 

Seven-coloured 
tanager 

Mannikins, waxbills 

Green avadavat 

Timor sparrow 

Java sparrow 

Southern black-
throated finch 

Finches 

Red siskin 

Carduelis yarrellii (II) 

Yellow-faced siskin 

EN 

65 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Hirundinidae 

Icteridae 

Meliphagidae 

Muscicapidae 

Paradisaeidae 

Pittidae 

Pseudochelidon sirintarae 
(I) 

Xanthopsar flavus (I) 

Lichenostomus melanops 
cassidix (I) 

Acrocephalus rodericanus 
(III Mauritius) 

Dasyornis broadbenti 
litoralis (possibly extinct) 
(I) 

Dasyornis longirostris (I) 

Cyornis ruckii (II) 

Garrulax canorus (II) 

Garrulax taewanus 
(II) 

Leiothrix argentauris 
(II) 

Martins 

White-eyed river-
martin 

New-world 
blackbirds 

Saffron-cowled 
blackbird 

Honey-eaters 

Helmeted 
honeyeater 

Old-world 
flycatchers, 
babblers, etc. 

Rodrigues brush-
warbler 

Rueck’s blue-
flycatcher 

Western rufous 
bristlebird 

Western bristlebird 

Chinese Hwamei 

Taiwan Hwamei 

Silver-eared mesia 

Leiothrix lutea (II) 

Red-billed leiothrix 

Liocichla omeiensis 
(II) 

Omei Shan liocichla 

White-necked 
rockfowl 

Grey-necked 
rockfowl 

Terpsiphone 
bourbonnensis (III 
Mauritius) 

Mascarene paradise-
flycatcher 

Paradisaeidae spp. (II) 

Pitta guajana (II) 

Birds of paradise 

Birds of paradise 

Pittas 

Banded pitta 

Gurney’s pitta 

Whiskered pitta 

Picathartes 
gymnocephalus (I) 

Picathartes oreas (I) 

Pitta gurneyi (I) 

Pitta kochi (I) 

EN 

66 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Pitta nympha (II) 

Pycnonotus zeylanicus 
(II) 

Gracula religiosa (II) 

Pycnonotidae 

Sturnidae 

Zosteropidae 

PELECANIFORMES 

Fregatidae 

Pelecanidae 

Sulidae 

PICIFORMES 

Capitonidae 

Picidae 

Ramphastidae 

Leucopsar rothschildi (I) 

Zosterops albogularis (I) 

Fregata andrewsi (I) 

Pelecanus crispus (I) 

Papasula abbotti (I) 

Campephilus imperialis (I) 

Dryocopus javensis 
richardsi (I) 

Semnornis 
ramphastinus (III 
Colombia) 

Fairy pitta 

Bulbuls 

Straw-headed bulbul 

Mynas 

Hill myna 

Bali myna 

White-eyes 

White-chested 
white-eye 

Frigatebirds 

Christmas 
frigatebird 

Pelicans 

Dalmatian pelican 

Boobies 

Abbott’s booby 

Barbets 

Toucan barbet 

Woodpeckers 

Imperial 
woodpecker 

Tristram’s 
woodpecker 

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 

EN 

67 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Ramphastos 
sulfuratus (II) 

Keel-billed toucan 

Ramphastos toco (II) 

Toco toucan 

Ramphastos tucanus 
(II) 

Ramphastos vitellinus 
(II) 

Selenidera 
maculirostris (III 
Argentina) 

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) 

Red-billed toucan 

Channel-billed 
toucan 

Spot-billed toucanet 

Grebes 

Atitlan Grebe 

Albatrosses 

Short-tailed 
albatross 

Cockatoos, lories, 
macaws, parakeets, 
parrots etc. 

Parrots, etc. 

Cockatoos 

Tanimbar cockatoo 

Philippine cockatoo 

Salmon-crested 
cockatoo 

Yellow-crested 
cockatoo 

Palm cockatoo 

Lories, lorikeets 

Red and blue lory 

PODICIPEDIFORMES 

Podicipedidae 

PROCELLARIIFORMES 

Diomedeidae 

PSITTACIFORMES 

Podilymbus gigas (I) 

Phoebastria albatrus (I) 

Cacatuidae 

Loriidae 

Cacatua goffiniana (I) 

Cacatua haematuropygia 
(I) 

Cacatua moluccensis (I) 

Cacatua sulphurea (I) 

Probosciger aterrimus (I) 

Eos histrio (I) 

EN 

68 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Psittacidae 

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

Amazona arausiaca (I) 

Amazona auropalliata (I) 

Amazona barbadensis (I) 

Amazona brasiliensis (I) 

Amazona finschi (I) 

Amazona guildingii (I) 

Amazona imperialis (I) 

Amazona leucocephala (I) 

Amazona oratrix (I) 

Amazona pretrei (I) 

Amazona rhodocorytha (I) 

Amazona tucumana (I) 

Amazona versicolor (I) 

Amazona vinacea (I) 

Amazona viridigenalis (I) 

Amazona vittata (I) 

Anodorhynchus spp. (I) 

Ara ambiguus (I) 

Ara glaucogularis (I) 

Ara macao (I) 

Ara militaris (I) 

Ara rubrogenys (I) 

Cyanopsitta spixii (I) 

Cyanoramphus cookii (I) 

Cyanoramphus forbesi (I) 

Blue lorikeets 

Amazons, macaws, 
parakeets, parrots 

Red-necked parrot 

Yellow-naped parrot 

Yellow-shouldered 
parrot 

Red-tailed parrot 

Lilac-crowned parrot 

St Vincent parrot 

Imperial parrot 

Cuban parrot 

Yellow-headed 
parrot 

Red-spectacled 
parrot 

Red-browed parrot 

Tucuman parrot 

Saint Lucia parrot 

Vinaceous parrot 

Green-cheeked 
parrot 

Puerto Rican parrot 

Blue macaws 

Great green macaw 

Blue-throated 
macaw 

Scarlet macaw 

Military macaw 

Red-fronted macaw 

Spix’s macaw 

Norfolk Island 
parakeet 

Chatham Island 
yellow-fronted 
parakeet 

EN 

69 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Cyanoramphus 
novaezelandiae (I) 

Cyanoramphus saisseti (I) 

Cyclopsitta diophthalma 
coxeni (I) 

Eunymphicus cornutus (I) 

Guarouba guarouba (I) 

Neophema chrysogaster 
(I) 

Ognorhynchus icterotis (I) 

Pezoporus occidentalis 
(possibly extinct) (I) 

Pezoporus wallicus (I) 

Pionopsitta pileata (I) 

Primolius couloni (I) 

Primolius maracana (I) 

Psephotus chrysopterygius 
(I) 

Psephotus dissimilis (I) 

Psephotus pulcherrimus 
(possibly extinct) (I) 

Psittacula echo (I) 

Pyrrhura cruentata (I) 

Rhynchopsitta spp. (I) 

Strigops habroptilus (I) 

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

Pterocnemia pennata 
pennata (II) 

Red-fronted parakeet 

Red-crowned 
parakeet 

Coxen’s double-
eyed fig parrot 

Horned parakeet 

Golden parakeet 

Orange-bellied 
parrot 

Yellow-eared parrot 

Night parrot 

Ground parrot 

Pileated parrot 

Blue-headed macaw 

Blue-winged macaw 

Golden-shouldered 
parrot 

Hooded parrot 

Paradise parrot 

Mauritius parakeet 

Blue-throated 
parakeet 

Thick-billed parrots 

Kakapo 

Rheas 

Lesser rhea 

Lesser rhea 

Rhea americana (II) 

Greater rhea 

Spheniscus demersus 
(II) 

70 

Penguins 

Jackass penguin 

   EN 

RHEIFORMES 

Rheidae 

SPHENISCIFORMES 

Spheniscidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Spheniscus humboldti (I) 

Humboldt penguin 

STRIGIFORMES 

Strigidae 

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

Aegolius funereus (II) 

Asio flammeus (II) 

Asio otus (II) 

Athene noctua (II) 

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

Glaucidium passerinum 
(II) 

Heteroglaux blewitti (I) 

Mimizuku gurneyi (I) 

Ninox natalis (I) 

Ninox novaeseelandiae 
undulata (I) 

Nyctea scandiaca (II) 

Otus ireneae (II) 

Otus scops (II) 

Strix aluco (II) 

Strix nebulosa (II) 

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

Surnia ulula (II) 

Tyto alba (II) 

Tyto soumagnei (I) 

Struthio camelus (I) (Only 
the populations of Algeria, 
Burkina Faso, Cameroon, 
the Central African 

Tytonidae 

STRUTHIONIFORMES 

Struthionidae 

Owls 

Owls 

Owls 

Boreal owl 

Short-eared owl 

Long-eared owl 

Little owl 

Eurasian eagle-owl 

Eurasian pygmy-owl 

Forest owlet 

Lesser eagle-owl 

Christmas hawk-owl 

Norfolk boobook 

Snowy owl 

Sokoke scops-owl 

Eurasian scops-owl 

Tawny owl 

Great grey owl 

Ural owl 

Northern hawk owl 

Barn owls 

Barn owl 

Soumagne’s owl 

Ostrich 

Ostrich 

EN 

71 

   EN 

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

TINAMIFORMES 

Tinamidae 

TROGONIFORMES 

Trogonidae 

REPTILIA 

CROCODYLIA 

Alligatoridae 

Crocodylidae 

Republic, Chad, Mali, 
Mauritania, Morocco, the 
Niger, Nigeria, Senegal 
and the Sudan; all other 
populations are not 
included in the Annexes to 
this Regulation) 

Tinamus solitarius (I) 

Pharomachrus mocinno 
(I) 

Alligator sinensis (I) 

Caiman crocodilus 
apaporiensis (I) 

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

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) 

Crocodylus acutus (I) 
(Except for the population 
of Cuba, which is included 
in Annex B) 

Crocodylus cataphractus 
(I) 

Crocodylus intermedius (I) 

Tinamous 

Solitary tinamou 

Quetzals 

Resplendent quetzal 

Reptiles 

Alligators, caimans, 
crocodiles 

Alligators, caimans, 
crocodiles 

Alligators, caimans 

Chinese alligator 

Rio Apaporis 
spectacled caiman 

Broad-nosed caiman 

Black caiman 

Crocodiles 

American crocodile 

African slender-
snouted crocodile 

Orinoco crocodile 

EN 

72 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Crocodylus mindorensis 
(I) 

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

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) 

Crocodylus palustris (I) 

Crocodylus porosus (I) 
(Except for the 
populations of Australia, 
Indonesia and Papua New 
Guinea, which are 
included in Annex B) 

Crocodylus rhombifer (I) 

Crocodylus siamensis (I) 

Osteolaemus tetraspis (I) 

Tomistoma schlegelii (I) 

Gavialis gangeticus (I) 

Sphenodon spp. (I) 

Gavialidae 

RHYNCHOCEPHALIA 

Sphenodontidae 

SAURIA 

Agamidae 

Philippine crocodile 

Morelet’s crocodile 

Nile crocodile 

Mugger crocodile 

Estuarine crocodile 

Cuban crocodile 

Siamese crocodile 

West African dwarf 
crocodile 

False gharial 

Gavial or gharial 

Gharial 

Tuataras 

Tuataras 

Spiny-tailed lizards 
(Agamas, 
mastigures) 

Uromastyx spp. (II) 

Spiny-tailed lizards 

EN 

73 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Chamaeleonidae 

Chameleons 

Bradypodion spp. (II) 

Dwarf chameleons 

Brookesia perarmata (I) 

Chamaeleo chamaeleon 
(II) 

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

Calumma spp. (II) 

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

Furcifer spp. (II) 

Dwarf chameleons 

Dwarf spiny 
chameleon 

Madagascar 
chameleons 

Chameleons 

European chameleon 

Madagascar 
chameleons 

Kinyongia spp. (II) 

Dwarf chameleons 

Nadzikambia spp. (II) 

Dwarf chameleons 

Cordylus spp. (II) 

Cyrtodactylus 
serpensinsula (II) 

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

Uroplatus spp. (II) 

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

Spiny-tailed lizards 

Girdled lizards 

Geckos 

Serpent Island gecko 

Hoplodactylus spp. (III 
New Zealand) 

Sticky-toed geckos 

Naultinus spp. (III New 
Zealand) 

New Zealand tree 
geckos 

Day geckos 

Round Island day 
gecko 

Flat-tailed geckos 

Gila monster and 
beaded lizard 

Gila monster and 
beaded lizard 

Guatemalan beaded 
lizard 

Iguanas 

Phelsuma guentheri (II) 

Heloderma horridum 
charlesbogerti (I) 

74 

   EN 

Cordylidae 

Gekkonidae 

Helodermatidae 

Iguanidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Brachylophus spp. (I) 

Cyclura spp. (I) 

Sauromalus varius (I) 

Gallotia simonyi (I) 

Podarcis lilfordi (II) 

Podarcis pityusensis (II) 

Amblyrhynchus 
cristatus (II) 

Conolophus spp. (II) 

Ctenosaura bakeri (II) 

Ctenosaura oedirhina 
(II) 

Ctenosaura 
melanosterna (II) 

Ctenosaura palearis 
(II) 

Iguana spp. (II) 

Phrynosoma 
blainvillii (II) 

Phrynosoma 
cerroense (II) 

Phrynosoma 
coronatum (II) 

Phrynosoma wigginsi 
(II) 

Corucia zebrata (II) 

Crocodilurus 
amazonicus (II) 

Galapagos marine 
iguana 

Fiji iguanas 

Galapagos land 
iguanas 

Utila Island spiny-
tailed iguana 

Roatan spiny-tailed 
iguana 

Rio Aguan Valley 
spiny-tailed iguana 

Guatemalan Spiny-
tailed iguana 

Ground iguanas 

Iguanas 

Coast horned lizard 

San Esteban Island 
chuckwalla 

Lizards 

Hierro giant lizard 

Lilford’s wall lizard 

Ibiza wall lizard 

Skinks 

Prehensile-tailed 
skink 

Caiman lizards, tegu 
lizards 

Dragon lizard 

Dracaena spp. (II) 

Caiman lizards 

Tupinambis spp.(II) 

Tegus 

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

75 

Monitor lizards 

Monitor lizards 

   EN 

Lacertidae 

Scincidae 

Teiidae 

Varanidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Annex A) 

Varanus bengalensis (I) 

Varanus flavescens (I) 

Varanus griseus (I) 

Varanus komodoensis (I) 

Varanus nebulosus (I) 

Varanus olivaceus (II) 

Shinisaurus 
crocodilurus (II) 

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

Acrantophis spp. (I) 

Boa constrictor 
occidentalis (I) 

Epicrates inornatus (I) 

Epicrates monensis (I) 

Epicrates subflavus (I) 

Eryx jaculus (II) 

Sanzinia 
madagascariensis (I) 

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

Bolyeria multocarinata (I) 

Casarea dussumieri (I) 

Xenosauridae 

SERPENTES 

Boidae 

Bolyeriidae 

Colubridae 

Indian monitor 

Yellow monitor 

Desert monitor 

Komodo dragon 

Clouded monitor 

Gray’s monitor 

Chinese crocodile 
lizard 

Chinese crocodile 
lizard 

Snakes 

Boas 

Boas 

Madagascar ground 
boas 

Argentine boa 
constrictor 

Puerto Rican boa 

Virgin Island tree 
boa 

Jamaican boa 

Spotted sand boa 

Madagascar tree boa 

Round Island boas 

Round Island boas 

Round Island boa 

Round Island keel-
scaled boa 

Typical snakes, 
water snakes, whip 
snakes 

Atretium schistosum 
(III India) 

Olive keel-back 

Cerberus rynchops (III 

Dog-faced water 

EN 

76 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
India) 

snake 

Clelia clelia (II) 

Cyclagras gigas (II) 

Elachistodon 
westermanni (II) 

Mussurana 

False cobra 

Indian egg-eating 
snake 

Ptyas mucosus (II) 

Common rat snake 

Elapidae 

Hoplocephalus 
bungaroides (II) 

Xenochrophis piscator 
(III India) 

Checkered keel-back 

Cobras, coral snakes 

Broad-headed snake 

Micrurus diastema (III 
Honduras) 

Atlantic coral snake 

Micrurus nigrocinctus 
(III Honduras) 

Central American 
coral snake 

Naja atra (II) 

Chinese spitting 
cobra 

Naja kaouthia (II) 

Monocellate cobra 

Naja mandalayensis 
(II) 

Naja naja (II) 

Naja oxiana (II) 

Naja philippinensis 
(II) 

Naja sagittifera (II) 

Naja samarensis (II) 

Naja siamensis (II) 

Naja sputatrix (II) 

Naja sumatrana (II) 

Ophiophagus hannah 
(II) 

Burmese spitting 
cobra 

Indian cobra 

Central Asian cobra 

North Philippine 
spitting cobra 

Andaman cobra 

South-east 
Philippine spitting 
cobra 

Indochinese spitting 
cobra 

South Indonesian 
spitting cobra 

Golden spitting 
cobra 

King cobra 

Mexican dwarf boa 

Loxocemidae spp. (II) 

Mexican dwarf boa 

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

77 

Pythons 

Pythons 

   EN 

Loxocemidae 

Pythonidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Annex A) 

Python molurus molurus 
(I) 

Tropidophiidae spp. 
(II) 

Tropidophiidae 

Viperidae 

Indian python 

Wood boas 

Wood boas 

Vipers 

Vipera latifii 

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) 

Pseudemydura umbrina (I) 

Cheloniidae spp. (I) 

Crotalus durissus (III 
Honduras) 

Neotropical 
rattlesnake 

Crotalus durissus 
unicolor 

Aruba rattlesnake 

Daboia russelii (III 
India) 

Russell’s viper 

Latifi’s viper 

Orsini’s viper 

Vipera wagneri (II) 

Wagner’s viper 

Carettochelys 
insculpta (II) 

Chelodina mccordi 
(II) 

Dermatemys mawii 
(II) 

78 

Macrochelys 
temminckii (III United 
States of America) 

Pig-nosed turtles 

Pig-nosed turtle 

Austro-American 
sideneck turtles 

Roti snake-necked 
turtle 

Western swamp 
turtle 

Sea turtles 

Sea turtles 

Snapping turtles 

Alligator snapping 
turtle 

Central American 
river turtle 

Central American 
river turtle 

Leatherback turtle 

   EN 

TESTUDINES 

Carettochelyidae 

Chelidae 

Cheloniidae 

Chelydridae 

Dermatemydidae 

Dermochelyidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Dermochelys coriacea (I) 

Emydidae 

Graptemys spp. (III 
United States of 
America) 

Leatherback turtle 

Box turtles, 
freshwater turtles 

Painted turtle 

Wood turtle 

Bog turtle 

Map turtles 

Box turtles 

Aquatic box turtle 

Red-eared terrapin 

Southern river 
terrapin 

Batagur 

Asian box turtles 

Black pond turtle 

Geoemyda spengleri 
(III China) 

Black-breasted leaf 
turtle 

Yellow-headed 
temple turtle 

Arakan forest turtle 

Glyptemys muhlenbergii 
(I) 

Terrapene coahuila (I) 

Batagur affinis (I) 

Batagur baska (I) 

Geoclemys hamiltonii (I) 

Chrysemys picta 

Glyptemys insculpta 
(II) 

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

Trachemys scripta 
elegans 

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

Cuora spp. (II) 

Heosemys annandalii 
(II) 

Heosemys depressa 
(II) 

Heosemys grandis (II) 

Giant Asian turtle 

Heosemys spinosa (II) 

Spiny turtle 

Leucocephalon 
yuwonoi (II) 

Malayemys 
macrocephala (II) 

Malayemys subtrijuga 
(II) 

Mauremys 
annamensis (II) 

79 

Sulawesi forest turtle 

Snail-eating turtle 

Ricefield turtle 

Annam pond turtle 

   EN 

Geoemydidae 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Mauremys iversoni (III 
China) 

Fujian pond turtle 

Mauremys 
megalocephala (III 
China) 

Big-headed pond 
turtle 

Mauremys mutica (II) 

Yellow pond turtle 

Mauremys nigricans 
(III China) 

Red-necked 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) 

Morenia ocellata (I) 

Notochelys platynota 
(II) 

Three-keeled land 
tortoise 

Burmese swamp 
turtle 

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) 

Malayan giant turtle 

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

Pangshura tecta (I) 

Roofed turtles 

Indian roofed turtle 

Beal’s eyed turtle 

Sacalia bealei (III 
China) 

Sacalia pseudocellata 
(III China) 

Chinese false-eyed 
turtle 

Sacalia quadriocellata 
(III China) 

Four-eyed turtle 

Platysternidae 

Podocnemididae 

EN 

Siebenrockiella 
crassicollis (II) 

Siebenrockiella 
leytensis (II) 

Platysternon 
megacephalum (II) 

80 

Black marsh turtle 

Philippine pond 
turtle 

Big-headed turtle 

Big-headed turtle 

Afro-American 
sideneck turtles 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Erymnochelys 
madagascariensis (II) 

Peltocephalus 
dumerilianus (II) 

Madagascar 
sideneck turtle 

Big-headed sideneck 
turtle 

Podocnemis spp. (II) 

Sideneck turtles 

Testudinidae 

Trionychidae 

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

Amyda cartilaginea 
(II) 

Astrochelys radiata (I) 

Astrochelys yniphora (I) 

Chelonoidis nigra (I) 

Gopherus flavomarginatus 
(I) 

Malacochersus tornieri 
(II) 

Psammobates geometricus 
(I) 

Pyxis arachnoides (I) 

Pyxis planicauda (I) 

Testudo graeca (II) 

Testudo hermanni (II) 

Testudo kleinmanni (I) 

Testudo marginata (II) 

Apalone spinifera atra (I) 

Aspideretes gangeticus (I) 

Aspideretes hurum (I) 

Tortoises 

Tortoises 

Radiated tortoise 

Angonoka 

Galapagos giant 
tortoise 

Bolson tortoise 

Pancake tortoise 

Geometric tortoise 

Madagascar spider 
tortoise 

Madagascar flat-
shelled tortoise 

Spur-thighed tortoise 

Hermann’s tortoise 

Egyptian tortoise 

Marginated tortoise 

Softshell turtles, 
terrapins 

Southeast Asian 
soft-shelled turtle 

Cuatro Cienagas 
soft-shell turtle 

Indian soft-shell 
turtle 

Peacock soft-shell 
turtle 

EN 

81 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Aspideretes nigricans (I) 

Chitra spp. (II) 

Lissemys punctata (II) 

Lissemys scutata (II) 

Black soft-shell 
turtle 

Narrow-headed 
softshell turtles 

Indo-Gangetic 
flapshell turtle 

Burmese flapshell 
turtle 

Palea steindachneri (III 
China) 

Wattle-necked 
softshell turtle 

Pelochelys spp. (II) 

Giant softshell 
turtles 

Pelodiscus axenaria 
(III China) 

Hunan softshell 
turtle 

Pelodiscus maackii (III 
China) 

Amur softshell turtle 

Pelodiscus parviformis 
(III China) 

Chinese softshell 
turtle 

Rafetus swinhoei (III 
China) 

Yangtze softshell 
turtle 

AMPHIBIA 

ANURA 

Bufonidae 

Calyptocephalellidae 

Dendrobatidae 

Altiphrynoides spp. (I) 

Atelopus zeteki (I) 

Bufo periglenes (I) 

Bufo superciliaris (I) 

Nectophrynoides spp. (I) 

Nimbaphrynoides spp. (I) 

Spinophrynoides spp. (I) 

EN 

Amphibians 

Frogs and toads 

Toads 

Malcolm’s Ethiopian 
toad 

Golden frog 

Golden toad 

Cameroon toad 

African viviparous 
toads 

Nimba toads 

Osgood’s Ethiopian 
toad 

Poison frogs 

Brilliant-thighed 
poison frog 

Sanguine poison 
frog 

   EN 

Calyptocephalella gayi 
(III Chile) 

Allobates femoralis 
(II) 

Allobates zaparo (II) 

82 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Cryptophyllobates 
azureiventris (II) 

Sky-blue poison frog 

Dendrobates spp. (II) 

Poison-arrow frogs 

Epipedobates spp. (II) 

Poison-arrow frogs 

Phyllobates spp. (II) 

Poison-arrow frogs 

Dyscophus antongilii (I) 

Agalychnis spp. (II) 

Mantella spp. (II) 

Scaphiophryne 
gottlebei (II) 

Conraua goliath 

Euphlyctis 
hexadactylus (II) 

Hoplobatrachus 
tigerinus (II) 

Mantella frogs 

Mantella frogs 

Tomato frogs 

Tomato frog 

Red rain frog 

Frogs 

Goliath frog 

Six-fingered frog 

Tiger frog 

Rana catesbeiana 

American bullfrog 

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

Gastric brooding 
frogs 

Gastric brooding 
frog 

Rheobatrachus silus (II) 

Platypus frog 

Ambystoma dumerilii 
(II) 

Ambystoma 
mexicanum (II) 

Andrias spp. (I) 

Neurergus kaiseri (I) 

Axolotls 

Lake Patzcuaro 
salamander 

Axolotl 

Giant salamanders 

Giant salamanders 

Salamanders and 
newts 

Kaiser’s spotted 
newt 

Hylidae 

Mantellidae 

Microhylidae 

Ranidae 

Rheobatrachidae 

CAUDATA 

Ambystomatidae 

Cryptobranchidae 

Salamandridae 

EN 

83 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ELASMOBRANCHII 

LAMNIFORMES 

Cetorhinidae 

Lamnidae 

ORECTOLOBIFORMES 

Rhincodontidae 

RAJIFORMES 

Pristidae 

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

ACTINOPTERYGII 

ACIPENSERIFORMES 

Acipenseridae 

Acipenser brevirostrum (I) 

Acipenser sturio (I) 

Cetorhinus maximus 
(II) 

Carcharodon 
carcharias (II) 

Rhincodon typus (II) 

Pristis microdon (II) 
(For the exclusive 
purpose of allowing 
international trade in 
live animals to 
appropriate and 
acceptable aquaria for 
primarily conservation 
purposes. All other 
specimens shall be 
deemed to be 
specimens of species 
included in Annex A 
and the trade in them 
shall be regulated 
accordingly) 

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

Sharks and rays 

Basking sharks 

Basking shark 

Great white shark 

Great white shark 

Lamna nasus (III 27 
Member States)22 

Porbeagle 

Whale sharks 

Whale shark 

Sawfishes 

Sawfishes 

Freshwater sawfish 

Fish 

Sturgeons and 
paddlefish 

Sturgeons 

Shortnose sturgeon 

Common sturgeon 

22 

The inclusion of Lamna nasus into Annex C applies as soon as the inclusion of this species in Appendix 
III  to  the  Convention  takes  effect,  i.e.  90  days  after  the  Convention  Secretariat  communicates  to  all 
Parties that the species is included in Appendix III to the Convention. 

EN 

84 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
ANGUILLIFORMES 

Anguillidae 

CYPRINIFORMES 

Catostomidae 

Cyprinidae 

OSTEOGLOSSIFORMES 

Osteoglossidae 

PERCIFORMES 

Labridae 

Sciaenidae 

SILURIFORMES 

Pangasiidae 

SYNGNATHIFORMES 

Syngnathidae 

SARCOPTERYGII 

CERATODONTIFORMES 

Ceratodontidae 

COELACANTHIFORMES 

Anguilla anguilla (II) 

Chasmistes cujus (I) 

Caecobarbus geertsi 
(II) 

Probarbus jullieni (I) 

Arapaima gigas (II) 

Scleropages formosus (I) 

Cheilinus undulatus 
(II) 

Totoaba macdonaldi (I) 

Pangasianodon gigas (I) 

Hippocampus spp. (II) 

Freshwater eels 

European eel 

Cui-ui 

Cui-ui 

Blind carps, 
plaeesok 

African blind barb 
fish 

Ikan temoleh 

Arapaimas, 
bonytongues 

Arapaima 

Asian arowana 

Wrasses 

Humphead wrasse 

Totoabas 

Totoaba 

Pangasid catfish 

Giant catfish 

Pipefishes, 
seahorses 

Seahorses 

Lungfishes 

Australian 
lungfishes 

Neoceratodus forsteri 
(II) 

Australian lungfish 

EN 

85 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Latimeria spp. (I) 

Latimeriidae 

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

HOLOTHUROIDEA 

ASPIDOCHIROTIDA 

Stichopodidae 

ARTHROPODA 
(ARTHROPODS) 

ARACHNIDA 

ARANEAE 

Theraphosidae 

SCORPIONES 

Scorpionidae 

INSECTA 

COLEOPTERA 

Lucanidae 

Scarabaeidae 

LEPIDOPTERA 

Coelacanths 

Coelacanths 

Sea cucumbers 

Sea cucumbers 

Isostichopus fuscus (III 
Ecuador) 

Brown sea cucumber 

Spiders and 
scorpions 

Red-kneed 
tarantulas, 
tarantulas 

Chihuahua rose-grey 
tarantula 

Central American 
tarantulas 

Scorpions 

Giant Senegalese 
scorpion 

Emperor scorpion 

Insects 

Beetles 

Stag beetles 

Cape stag beetles 

Scarab beetles 

Satanas beetle 

Butterflies 

Aphonopelma 
albiceps (II) 

Aphonopelma 
pallidum (II) 

Brachypelma spp. (II) 

Pandinus dictator (II) 

Pandinus gambiensis 
(II) 

Pandinus imperator 
(II) 

Colophon spp. (III 
South Africa) 

Dynastes satanas (II) 

EN 

86 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Nymphalidae 

Papilionidae 

Agrias amydon 
boliviensis (III Bolivia) 

Morpho godartii 
lachaumei (III Bolivia) 

Prepona praeneste 
buckleyana (III Bolivia) 

Atrophaneura jophon 
(II) 

Atrophaneura palu 

Atrophaneura 
pandiyana (II) 

Bhutanitis spp. (II) 

Graphium 
sandawanum 

Graphium 
stresemanni 

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

Papilio benguetanus 

Papilio esperanza 

Papilio morondavana 

Papilio neumoegeni 

Parides ascanius 

Parides hahneli 

Teinopalpus spp. (II) 

87 

Ornithoptera alexandrae 
(I) 

Papilio chikae (I) 

Papilio homerus (I) 

Papilio hospiton (I) 

Parnassius apollo (II) 

EN 

Birdwing and 
swallowtail 
butterflies 

Sri Lankan rose 

Palu swallowtail 
butterfly 

Malabar rose 

Swallowtail 
butterflies 

Apo swallowtail 
butterfly 

Seram swallowtail 

Birdwing butterflies 

Queen Alexandra’s 
birdwing 

Luzon peacock 
swallowtail 

Homerus 
swallowtail 

Corsican swallowtail 

Madagascan 
emperor swallowtail 

Fluminense 
swallowtail butterfly 

Hahnel’s amazonian 
swallowtail butterfly 

Mountain apollo 

Kaiser-I-Hind 
butterflies 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Trogonoptera spp. (II) 

Birdwing butterflies 

Troides spp. (II) 

Birdwing butterflies 

ANNELIDA (SEGMENTED 
WORMS AND LEECHES) 

HIRUDINOIDEA 

ARHYNCHOBDELLIDA 

Hirudinidae 

MOLLUSCA (MOLLUSCS) 

BIVALVIA 

MYTILOIDA 

Mytilidae 

UNIONOIDA 

Unionidae 

Hirudo medicinalis 
(II) 

Hirudo verbana (II) 

Lithophaga 
lithophaga (II) 

Cyprogenia aberti (II) 

Epioblasma torulosa 
rangiana (II) 

Conradilla caelata (I) 

Dromus dromas (I) 

Epioblasma curtisii (I) 

Epioblasma florentina (I) 

Epioblasma sampsonii (I) 

Epioblasma sulcata 
perobliqua (I) 

Epioblasma torulosa 
gubernaculum (I) 

Epioblasma torulosa 
torulosa (I) 

Epioblasma turgidula (I) 

Leeches 

Leeches 

Northern medicinal 
leech 

Southern medicinal 
leech 

Bivalve molluscs 
(clams, mussels etc.) 

Marine mussels 

European date 
mussel 

Freshwater mussels, 
pearly mussels 

Birdwing pearly 
mussel 

Western fanshell 
mussel 

Dromedary pearly 
mussel 

Curtis’ pearly 
mussel 

Yellow-blossom 
pearly mussel 

Wabash riffleshell 

White catspaw 
mussel 

Green-blossom 
pearly mussel 

Northern riffleshell 

Turbercled-blossom 
pearly mussel 

Turgid-blossom 

EN 

88 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Epioblasma walkeri (I) 

Fusconaia cuneolus (I) 

Fusconaia edgariana (I) 

Lampsilis higginsii (I) 

Lampsilis orbiculata 
orbiculata (I) 

Lampsilis satur (I) 

Lampsilis virescens (I) 

Plethobasus cicatricosus 
(I) 

Plethobasus cooperianus 
(I) 

Pleurobema plenum (I) 

Potamilus capax (I) 

Quadrula intermedia (I) 

Quadrula sparsa (I) 

Toxolasma cylindrella (I) 

Unio nickliniana (I) 

Unio tampicoensis 
tecomatensis (I) 

Villosa trabalis (I) 

Pleurobema clava (II) 

VENEROIDA 

Tridacnidae 

GASTROPODA 

MESOGASTROPODA 

Tridacnidae spp. (II) 

pearly mussel 

Tan riffleshell 

Fine-rayed pigtoe 
pearly mussel 

Shiny pigtoe pearly 
mussel 

Higgins’ eye pearly 
mussel 

Pink mucket pearly 
mussel 

Sandback 
pocketbook mussel 

Alabama lamp 
pearly mussel 

White warty-back 
pearly mussel 

Orange-footed 
pimpleback mussel 

Clubshell pearly 
mussel 

Rough pigtoe pearly 
mussel 

Fat pocketbook 
pearly mussel 

Cumberland 
monkey-face pearly 
mussel 

Appalachian 
monkey-face pearly 
mussel 

Pale lilliput pearly 
mussel 

Nicklin’s pearly 
mussel 

Tampico pearly 
mussel 

Cumberland bean 
pearly mussel 

Giant clams 

Giant clams 

Slugs, snails and 
conches 

EN 

89 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Strombidae 

STYLOMMATOPHORA 

Achatinellidae 

Achatinella spp. (I) 

Camaenidae 

CNIDARIA (CORALS, FIRE 
CORALS, SEA ANEMONES) 

ANTHOZOA 

ANTIPATHARIA 

GORGONACEAE 

Coralliidae 

HELIOPORACEA 

Helioporidae 

Strombus gigas (II) 

Papustyla 
pulcherrima (II) 

ANTIPATHARIA 
spp. (II) 

Conches 

Queen conch 

Agate snails, oahu 
tree snails 

Little agate shells 

Green tree snail 

Manus green tree 
snail 

Corals, sea 
anemones 

Black corals 

Corallium elatius (III 
China) 

Corallium japonicum 
(III China) 

Corallium konjoi (III 
China) 

Corallium secundum 
(III China) 

Helioporidae spp. (II) 
(Includes only the 
species Heliopora 
coerulea)23 

Blue coral 

Blue coral 

23 

The following are not subject to the provisions of this Regulation: 
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 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. 

EN 

90 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 
 
SCLERACTINIA 

STOLONIFERA 

Tubiporidae 

HYDROZOA 

MILLEPORINA 

Milleporidae 

STYLASTERINA 

Stylasteridae 

FLORA 

AGAVACEAE 

SCLERACTINIA 
spp. (II)24 

Stony corals 

Tubiporidae spp. (II)25 

Milleporidae spp. 
(II)26 

Stylasteridae spp. 
(II)27 

Organpipe corals 

Organpipe corals 

Sea ferns, fire 
corals, stinging 
medusas 

Wello fire corals 

Wello fire corals 

Lace corals 

Lace corals 

Agaves 

24 

25 

26 

27 

The following are not subject to the provisions of this Regulation: 
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 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. 
The following are not subject to the provisions of this Regulation: 
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 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. 
The following are not subject to the provisions of this Regulation: 
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 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. 
The following are not subject to the provisions of this Regulation: 
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 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. 

EN 

91 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 
 
 
 
 
 
 
 
Agave parviflora (I) 

Agave victoriae-
reginae (II) #4 

Santa Cruz striped 
agave 

Queen Victoria 
agave 

Nolina interrata (II) 

Dehesa bear-grass 

Galanthus spp. (II) #4 

Sternbergia spp. (II) 
#4 

Operculicarya 
hyphaenoides (II) 

Operculicarya 
pachypus (II) 

Amaryllids 

Snowdrops 

Sternbergias 

Jabihy 

Tabily 

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) 

Araucaria araucana (I) 

Rauvolfia serpentina 
(II) #2 

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

Panax quinquefolius 
(II) #3 

Podophyllum 
hexandrum (II) #2 

Snake-root devil-
pepper 

Aralias 

Asian ginseng 

American ginseng 

Araucarias 

Monkey-puzzle tree 

Barberries 

Himalayan may-
apple 

Air plants, bromelias 

AMARYLLIDACEAE 

ANACARDIACEAE 

APOCYNACEAE 

ARALIACEAE 

ARAUCARIACEAE 

BERBERIDACEAE 

BROMELIACEAE 

Tillandsia harrisii (II) 

Harris’ tillandsia 

EN 

92 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
#4 

Tillandsia kammii (II) 
#4 

Tillandsia kautskyi 
(II) #4 

Tillandsia mauryana 
(II) #4 

Tillandsia 
sprengeliana (II) #4 

Tillandsia sucrei (II) 
#4 

Tillandsia 
xerographica (II)28 #4 

CACTACEAE spp. 
(II) (Except for the 
species included in 
Annex A and Pereskia 
spp., Pereskiopsis spp. 
and Quiabentia spp.)29 
#4 

CACTACEAE 

Ariocarpus spp. (I) 

Astrophytum asterias (I) 

Aztekium ritteri (I) 

Coryphantha 
werdermannii (I) 

Discocactus spp. (I) 

Echinocereus ferreirianus 
ssp. lindsayi (I) 

Echinocereus schmollii (I) 

Escobaria minima (I) 

Escobaria sneedii (I) 

Mammillaria pectinifera 

Kamm’s tillandsia 

Kautsky’s tillandsia 

Maury’s tillandsia 

Sprengel’s tillandsia 

Sucre tillandsia 

Xerographic 
tillandsia 

Cacti 

Cacti 

Living rock cacti 

Star cactus 

Aztec cactus 

Jobali pincushion 
cactus 

Discocacti 

Lindsay’s hedgehog 
cacti 

Lamb’s-tail cactus 

Nelle’s cactus 

Sneed’s pincushion 
cactus 

Conchilinque 

28 
29 

Trade of specimens with source code A is allowed only if specimens traded possess cataphylls. 
Artificially  propagated  specimens  of  the  following  hybrids  and/or  cultivars  are  not  subject  to  the 
provisions of this Regulation: 
Hatiora x graeseri 
Schlumbergera x buckleyi   
Schlumbergera russelliana x Schlumbergera truncata  
Schlumbergera orssichiana x Schlumbergera truncata 
Schlumbergera opuntioides x Schlumbergera truncata 
Schlumbergera truncata (cultivars)  
Cactaceae spp. colour mutants grafted on the following grafting stocks: Harrisia“Jusbertii”, Hylocereus 
trigonus or Hylocereus undatus 
Opuntia microdasys (cultivars) 

EN 

93 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 
 
 
 
 
(I) 

Mammillaria solisioides 
(I) 

Melocactus conoideus (I) 

Melocactus deinacanthus 
(I) 

Melocactus glaucescens 
(I) 

Melocactus paucispinus 
(I) 

Obregonia denegrii (I) 

Pachycereus militaris (I) 

Pediocactus bradyi (I) 

Pediocactus knowltonii (I) 

Pediocactus paradinei (I) 

Pediocactus peeblesianus 
(I) 

Pediocactus sileri (I) 

Pelecyphora spp. (I) 

Sclerocactus brevihamatus 
ssp. tobuschii (I) 

Sclerocactus erectocentrus 
(I) 

Sclerocactus glaucus (I) 

Sclerocactus mariposensis 
(I) 

Sclerocactus mesae-
verdae (I) 

Sclerocactus nyensis (I) 

Sclerocactus 
papyracanthus (I) 

Sclerocactus pubispinus 
(I) 

Sclerocactus wrightiae (I) 

Strombocactus spp. (I) 

Pitayita 

Conelike Turk’s-cap 
cactus 

Wonderfully-bristled 
Turk’s cap cactus 

Woolly waxy-
stemmed Turk’s-cap 
cactus 

Few-spined Turk’s-
cap cactus 

Artichoke cactus 

Grenadier’s cap 

Brady’s pincushion 
cactus 

Knowlton’s cactus 

Houserock valley 
cactus 

Peebles’s Navajo 
cactus 

Siler’s pincushion 
cactus 

Pine cane cactus 

Tobusch fishhook 
cactus 

Needle-spined 
pineapple cactus 

Uinta Basin hookless 
cactus 

Mariposa cactus 

Mesa Verde cactus 

Tonopah fishook 
cactus 

Grama-grass cactus 

Great-Basin 
fishhook cactus 

Wright’s fishhook 
cactus 

Peyote 

EN 

94 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Turbinicarpus spp. (I) 

Uebelmannia spp. (I) 

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

Fitzroya cupressoides (I) 

Pilgerodendron uviferum 
(I) 

CARYOCARACEAE 

COMPOSITAE 
(ASTERACEAE) 

CRASSULACEAE 

CUCURBITACEAE 

CUPRESSACEAE 

CYATHEACEAE 

CYCADACEAE 

Cycas beddomei (I) 

DICKSONIACEAE 

Caryocar costaricense 
(II) #4 

Dudleya stolonifera 
(II) 

Dudleya traskiae (II) 

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

Zygosicyos tripartitus 
(II) 

Cyathea spp. (II) #4 

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

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 

95 

EN 

Turbinicarps 

Uebelmann cacti 

Ajos 

Ajillo 

Asters, daisies, 
costus 

Costus 

Dudleyas, crassulas 

Laguna beach 
dudleya 

Santa Barbara Island 
dudleya 

Tobory 

Betoboky 

Cypresses 

Alerce 

Pilgerodendron 

Tree ferns 

Tree ferns 

Cycads 

Cycads 

Beddome’s cycad 

Tree ferns 

Tree ferns 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
DIDIEREACEAE 

DIOSCOREACEAE 

DROSERACEAE 

EUPHORBIACEAE 

EN 

berteriana, D. 
externa, D. sellowiana 
and D. stuebelii) #4 

DIDIEREACEAE 
spp. (II) #4 

Dioscorea deltoidea 
(II) #4 

Dionaea muscipula 
(II) #4 

Euphorbia spp. (II) #4 

(Succulent species 
only except for: 

1) Euphorbia misera; 

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 

-  fan-shaped, or 

-  colour mutants; 

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; 

which are not subject 
to the provisions of 
this Regulation, and 

96 

Didiereas 

Alluaudias, didiereas 

Yams 

Elephant’s foot 

Sundews 

Venus fly-trap 

Spurges 

Euphorbias 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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) 

Fouquieria fasciculata (I) 

Fouquieria purpusii (I) 

FOUQUIERIACEAE 

GNETACEAE 

JUGLANDACEAE 

LAURACEAE 

5) the species 
included in Annex A) 

Ocotillos, boojums 

Boojum tree 

Arbol del barril 

Joint firs 

Walnuts, gavilan 

Gavilàn 

Gnetum montanum (III 
Nepal) #1 

Fouquieria 
columnaris (II) #4 

Oreomunnea 
pterocarpa (II) #4 

Aniba rosaeodora (II) 
(also known as A. 

Brazilian rosewood 

EN 

97 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Dalbergia retusa (III 
Guatemala) (Only the 
population of 
Guatemala; all other 
populations are 
included in Annex D) 
#5 

Dalbergia stevensonii 
(III Guatemala) (Only 
the population of 
Guatemala; all other 
populations are 
included in Annex D) 
#5 

Dipteryx panamensis 
(III Costa Rica / 
Nicaragua) 

Legumes 

Brazil wood 

Brazilian rosewood 

Black rosewood 

Honduras rosewood 

Almendro 

Afrormosia 

Quira macawood 

Red sandalwood 

Lilies 

Aloes 

LEGUMINOSAE 

(FABACEAE) 

Dalbergia nigra (I) 

duckei) #12 

Caesalpinia echinata 
(II) #10 

LILIACEAE 

Pericopsis elata (II) 
#5 

Platymiscium 
pleiostachyum (II) #4 

Pterocarpus 
santalinus (II) #7 

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 to this 
Regulation) #4 

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) 

EN 

98 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 

MELIACEAE 

Mahoganies, cedars 

Cedrela fissilis (III 
Bolivia) (Only the 
population of Bolivia; 
all other populations 
are included in Annex 
D) #5 

Cedrela lilloi (III 
Bolivia) (Only the 
population of Bolivia; 
all other populations 
are included in Annex 
D) #5 

Cedrela odorata (III 
Bolivia / Brazil / 
Colombia / Guatemala / 
Peru) (Only the 
populations of the 
countries that listed the 
species in Appendix III; 
all other populations 
are included in Annex 
D) #5 

Spanish cedar 

Honduras mahogany 

Big-leaf mahogany 

   EN 

Swietenia humilis (II) 
#4 

Swietenia 
macrophylla (II) 
(Population of the 
Neotropics - includes 
Central and South 

99 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
America and the 
Caribbean) #6 

Swietenia mahagoni 
(II) #5 

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

ORCHIDACEAE spp. 
(II) (Except for the 
species included in 
Annex A)30 #4 

Caribbean 
mahogany 

Pitcher plants (old-
world) 

Tropical pitcher 
plants 

Indian pitcher plant 

Giant tropical 
pitcher plant 

Orchids 

Orchids 

NEPENTHACEAE 

ORCHIDACEAE 

Nepenthes khasiana (I) 

Nepenthes rajah (I) 

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

- 

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, and 

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

30 

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 
(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. 

EN 

100 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 
 
 
in sterile containers 

Aerangis ellisii (I) 

Cephalanthera cucullata 
(II) 

Cypripedium calceolus (II) 

Dendrobium cruentum (I) 

Goodyera macrophylla 
(II) 

Laelia jongheana (I) 

Laelia lobata (I) 

Liparis loeselii (II) 

Ophrys argolica (II) 

Ophrys lunulata (II) 

Orchis scopulorum (II) 

Paphiopedilum spp. (I) 

Peristeria elata (I) 

Phragmipedium spp. (I) 

Renanthera imschootiana 
(I) 

Spiranthes aestivalis (II) 

Chrysalidocarpus 
decipiens (I) 

Cistanche deserticola 
(II) #4 

Beccariophoenix 
madagascariensis (II) 
#4 

Lemurophoenix 
halleuxii (II) 

Marojejya darianii 
(II) 

Neodypsis decaryi (II) 
#4 

Hooded helleborine 

Lady’s slipper 
orchid 

Madeiran lady’s-
tresses 

Fen orchid 

Eyed bee orchid 

Crescent ophrys 

Madeiran orchid 

Asian slipper orchids 

Holy ghost orchid 

South American 
slipper orchids 

Red vanda 

Summer lady’s-
tresses 

Broomrapes 

Desert cistanche 

Palms 

Manarano 

Butterfly palm 

Hovitra varimena 

Lodoicea maldivica (III 
Seychelles) #13 

Coco de Mer 

Ravimbe 

Triangle palm 

OROBANCHACEAE 

PALMAE 

(ARECACEAE) 

Ravenea louvelii(II) 

Lakamarefo 

EN 

101 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Ravenea rivularis (II) 

Satranala decussilvae 
(II) 

Voanioala gerardii 
(II) 

Adenia olaboensis (II) 

Gora 

Satranabe 

Voanioala 

Poppies 

Meconopsis regia (III 
Nepal) #1 

Himalayan poppy 

Vahisasety 

Pine family 

Guatemalan fir 

Podocarps 

Pinus koraiensis (III 
Russian Federation) #5 

Podocarpus neriifolius 
(III Nepal) #1 

Yellow wood 

Abies guatemalensis (I) 

Podocarpus parlatorei (I) 

Parlatore’s podocarp 

Portulacas, 
purslanes 

Purslanes 

Anacampseros spp. 
(II) #4 

Avonia spp. (II) #4 

Lewisia serrata (II) #4 

Saw-toothed lewisia 

Cyclamen spp. (II)31 
#4 

Adonis vernalis (II) #2 

Hydrastis canadensis 
(II) #8 

Prunus africana (II) 
#4 

Balmea stormiae (I) 

Primulas, cyclamens 

Cyclamens 

Buttercups 

Yellow adonis 

Golden seal 

Roses, cherries 

African cherry 

Ayugue 

Ayugue 

PAPAVERACEAE 

PASSIFLORACEAE 

PINACEAE 

PODOCARPACEAE 

PORTULACACEAE 

PRIMULACEAE 

RANUNCULACEAE 

ROSACEAE 

RUBIACEAE 

31 

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. 

EN 

102 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
SARRACENIACEAE 

SCROPHULARIACEAE 

STANGERIACEAE 

TAXACEAE 

Sarracenia oreophila (I) 

Sarracenia rubra ssp. 
alabamensis (I) 

Sarracenia rubra ssp. 
jonesii (I) 

Stangeria eriopus (I) 

THYMELAEACEAE 

(AQUILARIACEAE) 

TROCHODENDRACEAE 

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

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

Bowenia spp. (II) #4 

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

Taxus cuspidata and 
infraspecific taxa of 
this species (II)32 #2 

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

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

Taxus wallichiana (II) 
#2 

Aquilaria spp. (II) #4 

Gonystylus spp. (II) 
#4 

Gyrinops spp. (II) #4 

Pitcher plants (new 
world) 

Pitcher plants 

Green pitcher plant 

Alabama canebrake 
pitcher plant 

Mountain sweet 
pitcher plant 

Figworts 

Indian gentian 

Stangerias (cycads) 

Cycads 

Stangeria 

Yews 

Chinese yew 

Japanese yew 

Tibetan yew 

Sumatran yew 

Himalayan yew 

Agarwood, ramin 

Agarwood 

Ramin 

Agarwood 

Tetracentrons 

32 

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. 

EN 

103 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Tetracentron sinense 
(III Nepal) #1 

(TETRACENTRACEAE) 

VALERIANACEAE 

VITACEAE 

WELWITSCHIACEAE 

ZAMIACEAE 

ZINGIBERACEAE 

ZYGOPHYLLACEAE 

Nardostachys 
grandiflora (II) #2 

Cyphostemma 
elephantopus (II) 

Cyphostemma 
montagnacii (II) 

Welwitschia mirabilis 
(II) #4 

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

Hedychium 
philippinense (II) #4 

Bulnesia sarmientoi 
(II) #11 

Ceratozamia spp. (I) 

Chigua spp. (I) 

Encephalartos spp. (I) 

Microcycas calocoma (I) 

Valerians 

Lazampasika 

Lazambohitra 

Welwitschias 

Welwitschia 

Cycads 

Cycads 

Horncones 

Bread palms 

Palm corcho 

Ginger lilies 

Philippine garland-
flower 

Lignum-vitae 

Holy wood 

Guaiacum spp. (II) #2 

Lignum-vitae 

Annex D 

Common name 

FAUNA 

CHORDATA (CHORDATES) 

MAMMALIA 

Canidae 

CARNIVORA 

Mammals 

Dogs, foxes, wolves 

Vulpes vulpes griffithi (III India) §1 

Vulpes vulpes montana (III India) §1 

Red fox 

Red fox 

EN 

104 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Mustelidae 

Badgers, martens, weasels etc. 

Vulpes vulpes pusilla (III India) §1 

Red fox 

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 

AVES 

Anatidae 

ANSERIFORMES 

COLUMBIFORMES 

Columbidae 

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 

Birds 

Ducks, geese, swans 

Anas melleri 

Meller’s duck 

Columba oenops 

Doves, pigeons 

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 

Megapodiidae 

Crax alector 

Pauxi unicornis 

Penelope pileata 

Chachalacas, currassows, guans 

Black curassow 

Horned curassow 

White-crested guan 

Megapodes, scrubfowl 

Eulipoa wallacei 

Moluccan scrubfowl 

EN 

105 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Phasianidae 

Grouse, guineafowl, partridges, 
pheasants, tragopans 

PASSERIFORMES 

Bombycillidae 

Corvidae 

Cotingidae 

Emberizidae 

Arborophila gingica 

White-necklaced partridge 

Lophura bulweri 

Lophura diardi 

Bulwer’s pheasant 

Siamese fireback 

Lophura inornata 

Salvadori’s pheasant 

Lophura leucomelanos 

Kalij pheasant 

Syrmaticus reevesii §2 

Reeves’s pheasant 

Bombycilla japonica 

Japanese waxwing 

Waxwings 

Cyanocorax caeruleus 

Cyanocorax dickeyi 

Crows, magpies, jays 

Azure jay 

Tufted jay 

Cotingas 

Procnias nudicollis 

Bare-throated bellbird 

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 

EN 

106 

   EN 

 
 
 
 
 
 
 
 
 
Fringillidae 

Finches 

Carduelis ambigua 

Black-headed greenfinch 

Carduelis atrata 

Black siskin 

Kozlowia roborowskii 

Tibetan rosefinch 

Pyrrhula erythaca 

Serinus canicollis 

Grey-headed bullfinch 

Cape canary 

Serinus citrinelloides hypostictus (Frequently 
traded as Serinus citrinelloides) 

East African citril 

Sturnella militaris 

Pampas meadowlark 

New-world blackbirds 

Cochoa azurea 

Cochoa purpurea 

Old-world flycatchers, thrushes 

Javan cochoa 

Purple cochoa 

Garrulax formosus 

Red-winged laughingthrush 

Garrulax galbanus 

Yellow-throated laughingthrush 

Garrulax milnei 

Niltava davidi 

Red-tailed laughing thrush 

Fujian niltava 

Stachyris whiteheadi 

Chestnut-faced babbler 

Swynnertonia swynnertoni (Also referenced as 
Pogonicichla swynnertoni) 

Swynnerton’s robin 

Turdus dissimilis 

Black-breasted thrush 

Pitta nipalensis 

Pitta steerii 

Sitta magna 

Sitta yunnanensis 

Pittas 

Blue-naped pitta 

Azure-breasted pitta 

Nuthatches 

Giant nuthatch 

Yunnan nuthatch 

Mynas, starlings 

Icteridae 

Muscicapidae 

Pittidae 

Sittidae 

Sturnidae 

Cosmopsarus regius 

Golden-breasted starling 

Mino dumontii 

Yellow-faced myna 

Sturnus erythropygius 

White-headed starling 

Reptiles 

REPTILIA 

TESTUDINES 

EN 

107 

   EN 

 
 
 
 
 
 
 
 
 
 
Geoemydidae 

Freshwater turtles 

Melanochelys trijuga 

Indian black turtle 

SAURIA 

Agamidae 

Anguidae 

Gekkonidae 

Physignathus cocincinus 

Chinese water dragon 

Abronia graminea 

Arboreal alligator lizard 

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 

Iguanidae 

Scincidae 

SERPENTES 

Colubridae 

Zonosaurus karsteni 

Karsten’s girdled lizard 

Zonosaurus quadrilineatus 

Four-lined girdled lizard 

Ctenosaura quinquecarinata 

Club-tail iguana 

Skinks 

Tribolonotus gracilis 

Crocodile skink 

Tribolonotus novaeguineae 

New Guinea helmet skink 

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 

EN 

108 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Hydrophiidae 

Sea snakes 

Lapemis curtus (Includes Lapemis hardwickii) 
§1 

Shaw’s sea snake 

Vipers 

Calloselasma rhodostoma §1 

Malayan pit viper 

Frogs and toads 

Tree frogs 

Phyllomedusa sauvagii 

Waxy monkey tree frog 

Neotropical frogs 

Leptodactylus laticeps 

Red spotted burrow frog 

True frogs 

Limnonectes macrodon 

Fanged River Frog or Javan Giant Frog 

Rana shqiperica 

Albanian pool frog 

Ranodon sibiricus 

Asiatic salamanders 

Semirechensk salamander / Central 
Asian salamander / Siberian salamander 

Lungless salamanders 

Bolitoglossa dofleini 

Giant palm salamander 

Newts and salamanders 

Cynops ensicauda 

Sword-tailed newt 

Echinotriton andersoni 

Anderson’s salamander 

Pachytriton labiatus 

Paramesotriton spp. 

Paddletail newt 

Warty newt 

Salamandra algira 

North African fire salamander 

Tylototriton spp. 

Crocodile newts 

Fish 

Pterapogon kauderni 

Banggai cardinalfish 

Viperidae 

ANURA 

Hylidae 

AMPHIBIA 

Leptodactylidae 

Ranidae 

CAUDATA 

Hynobiidae 

Plethodontidae 

Salamandridae 

ACTINOPTERYGII 

PERCIFORMES 

Apogonidae 

ARTHROPODA (ARTHROPODS) 

INSECTA 

Insects 

EN 

109 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
LEPIDOPTERA 

Papilionidae 

Butterflies 

Birdwing and swallow-tail butterflies 

Baronia brevicornis 

Short-horned baronia 

Papilio grosesmithi 

Papilio maraho 

Broad-tailed swallowtail 

MOLLUSCA (MOLLUSCS) 

GASTROPODA 

Haliotidae 

FLORA 

AGAVACEAE 

ARACEAE 

Haliotis midae 

Midas ear abalone 

Calibanus hookeri 

Dasylirion longissimum 

Agaves 

Beargrass 

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 

EN 

110 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
GENTIANACEAE 

Arctostaphylos uva-ursi §3 

Bearberry 

Gentians 

LEGUMINOSAE (FABACEAE) 

Legumes 

Gentiana lutea §3 

Great yellow gentian 

Dalbergia granadillo §4 

Black rosewood 

Dalbergia retusa (Except for the population 
which is included in Annex C) §4 

Black rosewood 

Dalbergia stevensonii (Except for the 
population which is included in Annex C) §4 

Honduras rosewood 

LILIACEAE 

Wakerobins 

Trillium pusillum 

Dwarf wakerobin 

Trillium rugelii 

Trillium sessile 

Ill-scented wakerobin 

Sessile-flowered wakerobin wood-lily 

LYCOPODIACEAE 

Clubmosses 

MELIACEAE 

Mahoganies, cedars 

Lycopodium clavatum §3 

Stagshorn clubmoss 

Cedrela fissilis (Except for the population which 
is included in Annex C) §4 

Cedrela lilloi (C. angustifolia) (Except for the 
population which is included in Annex C) §4 

Cedrela montana §4 

Cedrela oaxacensis §4 

Cedrela odorata (Except for the populations 
which are included in Annex C) §4 

Spanish cedar 

Cedrela salvadorensis §4 

Cedrela tonduzii §4 

Menyanthes trifoliata §3 

Bogbeans 

Bogbean 

Parmelioid lichens 

Cetraria islandica §3 

Icelandic moss 

Adenia glauca 

Adenia pechuelli 

Desert roses 

Desert rose 

Desert rose 

MENYANTHACEAE 

PARMELIACEAE 

PASSIFLORACEAE 

PEDALIACEAE 

Sesame, devil’s claw 

Harpagophytum spp. §3 

Devil’s claw 

EN 

111 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
PORTULACACEAE 

Portulas, purslanes 

Ceraria carrissoana 

Ceraria fruticulosa 

SELAGINELLACEAE 

Clubmosses, spikemosses 

Selaginella lepidophylla 

Rose of Jericho 

_____________ 

EN 

112 

   EN 

 
 
 
 
 
(cid:207) 

ANNEX II 

Repealed Regulation with list of its successive amendments 

Council Regulation (EC) No 338/97 
(OJ L 61, 3.3.1997, p. 1) 

Commission Regulation (EC) No 938/97 
(OJ L 140, 30.5.1997, p. 1) 

Commission Regulation (EC) No 2307/97 
(OJ L 325, 27.11.1997, p. 1) 

Commission Regulation (EC) No 2214/98 
(OJ L 279, 16.10.1998, p. 3) 

Commission Regulation (EC) No 1476/1999 
(OJ L 171, 7.7.1999, p. 5) 

Commission Regulation (EC) No 2724/2000 
(OJ L 320, 18.12.2000, p. 1) 

Commission Regulation (EC) No 1579/2001 
(OJ L 209, 2.8.2001, p. 14) 

Commission Regulation (EC) No 2476/2001 
(OJ L 334, 18.12.2001, p. 3) 

Commission Regulation (EC) No 1497/2003 
(OJ L 215, 27.8.2003, p. 3) 

Regulation (EC) No 1882/2003 of the European 
Parliament and of the Council 
(OJ L 284, 31.10.2003, p. 1) 

Commission Regulation (EC) No 834/2004 
(OJ L 127, 29.4.2004, p. 40) 

Commission Regulation (EC) No 1332/2005 
(OJ L 215, 19.8.2005, p. 1) 

Commission Regulation (EC) No 318/2008 
(OJ L 95, 8.4.2008, p. 3) 

Commission Regulation (EC) No 407/2009 
(OJ L 123, 19.5.2009, p. 3) 

only Article 3 and Annex III, pt. 66 

EN 

113 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Regulation (EC) No 398/2009 of the European 
Parliament and of the Council 
(OJ L 126, 21.5.2009, p. 5) 

Commission Regulation (EU) No 709/2010 
(OJ L 212, 12.8.2010, p. 1) 

Commission Regulation (EU) No 101/2012 
(OJ L 39, 11.2.2012, p. 133) 

_____________ 

EN 

114 

   EN 

 
 
 
 
ANNEX III 

CORRELATION TABLE 

Regulation (EC) No 338/97 

This Regulation 

Article 1 

Article 2 

Article 3 

Article 4 

Article 1 

Article 2 

Article 3 

Article 4 

Article 5(1) to (5) 

Article 5(1) to (5) 

Article 5(6), introductory words 

Article 5(6), introductory words 

Article 5(6)(i) 

Article 5(6)(ii) 

Article 5(7)(a) 

Article 5(7)(b) 

Article 5(6)(a) 

Article 5(6)(b) 

Article 5(7), first subparagraph 

Article 5(7), second subparagraph 

Article 6(1), (2) and (3) 

Article 6(1), (2) and (3) 

Article 6(4)(a) 

Article 6(4)(b) 

Article 7(1)(a) 

Article 6(4), first subparagraph 

Article 6(4), second subparagraph 

Article 7(1), first subparagraph 

Article 7(1)(b), introductory words 

Article 7(1), second subparagraph 

Article 7(1)(b)(i) 

Article 7(1)(b)(ii) 

Article 7(1)(b)(iii) 

Article 7(1)(c) 

Article 7(2)(a) 

Article 7(2)(b) 

Article 7(2)(c) 

– 

Article 7(1), third subparagraph, point (b)(i) 

Article 7(1), third subparagraph, point (b)(ii) 

Article 7(1), third subparagraph, point (b)(iii) 

Article 7(1), third subparagraph 

Article 7(2), first subparagraph 

Article 7(2), second subparagraph 

Article 7(2), third subparagraph 

Article 7(2), fourth subparagraph 

EN 

115 

   EN 

 
Article 7(3) 

– 

Article 7(4) 

– 

Article 8 

Article 9 

Article 10 

Article 11(1) 

Article 11(2)(a) 

Article 11(2)(b) 

Article 7(3), first subparagraph 

Article 7(3), second subparagraph 

Article 7(4), first subparagraph 

Article 7(4), second subparagraph 

Article 8 

Article 9 

Article 10 

Article 11(1) 

Article 11(2), first subparagraph 

Article 11(2), second subparagraph 

Article 11(3), (4) and (5) 

Article 11(3), (4) and (5) 

Article 12(1), (2) and (3) 

Article 12(1), (2) and (3) 

Article 12(4) 

– 

Article 12(5) 

Article 13(1)(a) 

Article 13(1)(b) 

Article 13(2) 

Article 13(3)(a) 

Article 13(3)(b) 

Article 13(3)(c) 

Article 14(1)(a) 

Article 14(1)(b) 

Article 14(1)(c) 

Article 14(2) 

Article 14(3)(a) 

Article 14(3)(b) 

Article 12(4), first subparagraph 

Article 12(4), second subparagraph 

Article 12(5) 

Article 13(1), first subparagraph 

Article 13(1), second subparagraph 

Article 13(2) 

Article 13(3), first subparagraph 

Article 13(3), second subparagraph 

Article 13(3), third subparagraph 

Article 14(1), first subparagraph 

Article 14(1), second subparagraph 

Article 14(1), third subparagraph 

Article 14(2) 

Article 14(3), first subparagraph 

Article 14(3), second subparagraph 

EN 

116 

   EN 

 
Article 14(3)(c) 

Article 14(3), third subparagraph 

Article 15(1), (2) and (3) 

Article 15(1), (2) and (3) 

Article 15(4)(a) 

Article 15(4)(b) 

Article 15(4)(c) 

Article 15(4)(d) 

Article 15(4), first subparagraph 

Article 15(4), second subparagraph 

Article 15(4), third subparagraph 

Article 15(4), fourth subparagraph 

Article 15(5) and (6) 

Article 15(5) and (6) 

Article 16 

Article 17(1) 

Article 17(2)(a) 

Article 17(2)(b) 

Article 18 

Article 16 

Article 17(1) 

Article 17(2) 

Article 17(3) 

Article 21 

Article 19(1), first subparagraph 

– 

Article 19(1), second subparagraph 

Article 19(1) 

Article 19(2) 

Article 19(3) 

Article 19(4) 

Article 19(5) 

– 

– 

Article 20 

Article 21 

– 

Article 22 

– 

Article 18(1) 

Article 18(2) 

Article 18(3) 

Article 19(2) 

Article 20 

Article 22 

– 

Article 23 

Article 24 

EN 

117 

   EN 

 
Annex 

– 

– 

Annex I 

Annex II 

Annex III 

_____________ 

EN 

118 

   EN