Endangered species
- Document symbol
- G/LIC/N/3/EU/13
- Original language
- English
- Published on
- 19/11/2024
Outline of Systems
Q1. Give a brief description of each licensing system as a whole and, with respect to each, reply to the following questions as relevant, placing all of the material with respect to a given system in sequence together, and using cross references as appropriate when elements which have already been described are also present in another system.
This section provides a description on the EU legislation regulating the imports of certain endangered species of animals and plants (or parts or derivatives made thereof). Documents are required for the import (and (re-)export as well as intra-EU trade) of endangered species listed in Appendices I, II and III of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), whether alive, dead, parts or derivatives, as well as a number of non‑CITES species covered by the relevant EU legislation.
Purposes and Coverage of Licensing
Q2. Identify each licensing system maintained and state what products, appropriately grouped, are covered.
The EU Wildlife Trade Regulations are based on the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) and comprise a double-checking system involving export and import controls both at the country of origin and at EU level.
The EU Wildlife Trade Regulations and CITES cover trade in, by default, all specimens, whether alive or dead, including parts and derivatives, from animal and plant species listed in the Annexes (EU Regulation)/Appendices (CITES). The term “trade” (in CITES “trade” refers to all cross-border movements of CITES specimens) encompasses not only trade in a commercial sense but also, for example, imports and (re‐)exports for personal use. The species covered by Council Regulation (EC) No 338/97 – the "Basic Regulation" which together with several Implementing Regulations constitute the "Wildlife Trade Regulations" - are listed in four Annexes (A to D).
The EU Regulation lays down different requirements and procedures for each of the groupings of species listed in its Annexes A, B, C and D.
Species listed in Annex A: Any transaction with commercial purposes involving specimens of the species listed in this Annex is prohibited. Exemption from this prohibition can be granted on a case-by-case basis, by issuance of a special certificate by the management authority of the Member State in which the specimens are located, provided the specimens:
- are captive-born and bred (animals), or artificially propagated (plants); or
- are required, under exceptional circumstances, for the advancement of science or biomedical purposes; or
- are intended for breeding or propagation purposes; or
- are intended for research or education aimed at the preservation of the species.
Species listed in Annex B, i.e. most species concerned by the EU Wildlife Trade Regulations: transaction with commercial purposes involving specimens of these species listed in this Annex are possible under a number of strict conditions. Exemptions from this permit requirement can be granted on a case-by-case basis.
Species listed in Annexes C and D need also to meet a number of documentary requirements.
The EU may determine to prohibit the importation of certain specimens or species, either globally or originating from specific third countries. These suspensions are published periodically and affect imports into all EU Member States. The latest list of restrictions is laid down in Commission Implementing Regulation (EU) No. 2019/1587 of 24 September 2019 prohibiting the introduction into the Union of specimens of certain species of wild fauna and flora.
Q3. The system applies to goods originating in and coming from which countries?
The import licensing requirement applies to traders as well as individuals importing these items from all countries and territories outside the EU.
Q4. Is the licensing intended to restrict the quantity or value of imports, and if not, what are its purposes? Have alternative methods of accomplishing the purposes been considered and if so which? Why have they not been adopted?
The licensing is not intended to restrict the quantity or value of imports. The approval system aims at protecting endangered species from over-exploitation through trade in accordance with CITES. Management authorities of the EU Member States verify the following conditions for all imports of the covered species:
A. For all species:
a. whether or not the trade will be harmful to the survival of the species in the wild,
b. whether or not the specimen was legally acquired.
B. Additional requirements, for live specimens:
c. whether or not the specimen is properly prepared for transportation,
d. whether or not the importer has the suitable facilities to house and care for live specimens.
C. Besides, the authority must verify that specimens of species listed in Annex A to Council Regulation (EC) No 338/97 are not imported to be used for primarily commercial purposes.
Q5. Cite the law, regulation and/or administrative order under which the licensing is maintained. Is the licensing statutorily required? Does the legislation leave designation of products to be subjected to licensing to administrative discretion? Is it possible for the government (or the executive branch) to abolish the system without legislative approval?
The EU implements CITES through a set of Regulations collectively known as the "EU Wildlife Trade Regulations".
Currently, these are:
- Council Regulation (EC) No. 338/97 of 9 December 1997 on the protection of species of wild fauna and flora by regulating trade therein (OJ L 61, 03.03.1997, p. 1) and its subsequent amendments. A consolidated version of the Regulation can be consulted at the following address: https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A01997R0338-20230520
- Commission Regulation (EC) No 865/2006 of 4 May 2006 laying down detailed rules concerning the implementation of Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein (OJ L 166, 19.06.2006, p. 1) and its subsequent amendments. A consolidated version of the Regulation can be consulted at the following address: https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02006R0865-20220119
- Commission Implementing Regulation (EU) No. 792/2012 of 23 August 2012 laying down rules for the design of permits, certificates and other documents provided for in Council Regulation (EC) No. 338/97 on the protection of species of wild fauna and flora by regulating trade therein and amending Commission Regulation (EC) No. 865/2006 (OJ L 242, 07.09.2012, p.13) and its subsequent amendments. A consolidated version of the Regulation can be consulted at the following address: EUR-Lex - 02012R0792-20220119 - EN - EUR-Lex (europa.eu)
- Commission Implementing Regulation (EU) 2023/2770 of 12 December 2023 prohibiting the introduction into the Union of specimens of certain species of wild fauna and flora: https://eur-lex.europa.eu/eli/reg_impl/2023/2770/oj
The legislation does not leave designation of products to be subjected to licensing to administrative discretion and it is not possible for the government (or the executive branch) to abolish the system without legislative approval.
Procedures
Q6. For products under restriction as to the quantity or value of imports (whether applicable globally or to a limited number of countries or whether established bilaterally or unilaterally):
Q6.I. Is information published, and where, concerning allocation of quotas and formalities of filing applications for licences? If not, how is it brought to the attention of possible importers? Of governments and export promotion bodies of exporting countries and their trade representatives? Is the overall amount published? The amount allocated to goods from each country? The maximum amount allocated to each importer? How to request any exceptions or derogations from the licensing requirement?
Q6.II. How is the size of the quotas determined: on a yearly, six-monthly or quarterly basis? Are there cases where the size of quota is determined on a yearly basis but licences are issued for imports on a six-monthly or quarterly basis? In the latter case, is it necessary for importers to apply for fresh licence on a six-monthly or quarterly basis?
Q6.III. Are licences allotted for certain goods partly or only to domestic producers of like goods? What steps are taken to ensure that licences allocated are actually used for imports? Are unused allocations added to quotas for a succeeding period? Are the names of importers to whom licences have been allocated made known to governments and export promotion bodies of exporting countries upon request? If not, for what reason? (Indicate products to which replies relate.)
Q6.IV. From the time of announcing the opening of quotas, as indicated in I above, what is the period of time allowed for the submission of applications for licences?
Q6.V. What are the minimum and maximum lengths of time for processing applications?
Q6.VI. How much time remains, at a minimum, between the granting of licences and the date of opening of the period of importation?
Q6.VII. Is consideration of licence applications effected by a single administrative organ? Or must the application be passed on to other organs for visa, note or approval? If so, which? Does the importer have to approach more than one administrative organ?
Q6.VIII. If the demand for licences cannot be fully satisfied, on what basis is the allocation to applicants made? First come, first served? Past performance? Is there a maximum amount to be allocated per applicant and, if so, on what basis is it determined? What provision is made for new importers? Are applications examined simultaneously or on receipt?
Q6.IX. In the case of bilateral quotas or export restraint arrangements where export permits are issued by exporting countries, are import licences also required? If so, are licences issued automatically?
Q6.X. In cases where imports are allowed on the basis of export permits only, how is the importing country informed of the effect given by the exporting countries to the understanding between the two countries?
Q6.XI. Are there products for which licences are issued on condition that goods should be exported and not sold in the domestic market?
Q7. Where there is no quantitative limit on importation of a product or on imports from a particular country:
Q7.a. How far in advance of importation must application for a licence be made? Can licences be obtained within a shorter time-limit or for goods arriving at the port without a licence (for example, owing to inadvertency)?
Import permits shall be applied for in good time to allow for their issue prior to the introduction of specimens into the EU. EU Member States Management authorities shall decide on the issue of permits and certificates within one month of the date of submission of a complete application. The issue of a licence is not automatic and shipments should not be effected unless and until the licence has been issued. EU Member States Management authorities shall decide on the issue of permits and certificates within one month of the date of submission of a complete application.
Q7.b. Can a licence be granted immediately on request?
No. The issue of a licence is not automatic and shipments should not be effected unless and until the licence has been issued.
Q7.c. Are there any limitations as to the period of the year during which application for licence and/or importation may be made? If so, explain.
No.
Q7.d. Is consideration of licence applications effected by a single administrative organ? Or must the application be passed on to other organs for visa, note or approval? If so, which? Does the importer have to approach more than one administrative organ?
Permits and certificates are issued exclusively by Member States Management Authorities, upon advice of their national Scientific Authority and taking into account the opinion of Scientific Review Group (SRG), when such an opinion has been issued. CITES authorities of exporting countries or of other importing Member States may need to be consulted in some cases. In a very limited number of cases the CITES Secretariat should be consulted.
Q8. Under what circumstances may an application for a licence be refused other than failure to meet the ordinary criteria? Are the reasons for any refusal given to the applicant? Have applicants a right of appeal in the event of refusal to issue a licence and, if so, to what bodies and under what procedures?
Licensing policy follows closely the provisions and spirit of CITES, and an application for a licence can only be refused in case of failure to meet the conditions posed by the EU Wildlife Trade Regulations.
Eligibility of Importers to Apply for Licence
Q9. Are all persons, firms and institutions eligible to apply for licences: (If not, is there a system of registration of persons or firms permitted to engage in importation? What persons or firms are eligible? Is there a registration fee? Is there a published list of authorized importers?) a) under restrictive licensing systems? b) under non-restrictive systems?
Any person can lodge an application
Documentational and Other Requirements for Application for Licence
Q10. What information is required in applications? Submit a sample form. What documents is the importer required to supply with the application?
The standard model forms that must be used for permits, certificates, notifications and applications for these documents, as well as labels for scientific specimens, are contained in Implementing Regulation (EU) No. 792/2012 as regards the rules for the design of permits, certificates and other documents provided for in Council Regulation (EC) No. 338/97 on the protection of species of wild fauna and flora by regulating trade therein and in Commission Regulation (EC) No. 865/2006 laying down detailed rules concerning the implementation of Council Regulation (EC) No. 338/97.
Q11. What documents are required upon actual importation?
Under the scheme, different types of documents are required for trade into (and from) the EU:
• an import permit for the import of specimens of Annex A‐ or B‐listed species;
• an import notification for the import of Annex C‐ or D‐listed species, which is to be completed by the importer.
Q12. Is there any licensing fee or administrative charge? If so, what is the amount of the fee or charge?
Certain EU Member States apply licensing fees. The amount depends on each Member State.
Q13. Is there any deposit or advance payment requirement associated with the issue of licences? If so, state the amount or rate, whether it is refundable, the period of retention and the purpose of the requirement.
Neither a deposit nor an advance payment is required.
Conditions of Licensing
Q14. What is the period of validity of a licence? Can the validity of a licence be extended? How?
The maximum validity of an import permit is six or 12 months. However, in the case of caviar of sturgeon and paddlefish species (Acipenseriformes) that originated from shared stocks that are subject to export quotas, the permit ceases to be valid at the latest on the last day of the year to which the quota applies (i.e. the quota year in which the caviar was harvested and processed). An import permit shall, however, not be valid in the absence of a valid corresponding document from the country of export or re-export (the maximum validity of these documents is six months).
Q15. Is there any penalty for the non-utilization of a licence or a portion of a licence?
No penalty for non-utilization.
Q16. Are licences transferable between importers? If so, are any limitations or conditions attached to such transfer?
Not transferable.
Q17. Are any other conditions attached to the issue of a licence? a) for products subject to quantitative restriction? b) for products not subject to quantitative restriction?
Other Procedural Requirements
Q18. Are there any other administrative procedures, apart from import licensing and similar administrative procedures, required prior to importation?
No other administrative/procedural requirements prior to importation.
Q19. Is foreign exchange automatically provided by the banking authorities for goods to be imported? Is a licence required as a condition to obtaining foreign exchange? Is foreign exchange always available to cover licences issued? What formalities must be fulfilled for obtaining the foreign exchange?
No foreign exchange control.