Regulation (EC) No. 338/97

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Regulation (EC) No. 338/97

Title: Council Regulation (EC) No. 338/97 of 9 December 1996 on the protection of specimens of wild fauna and flora through trade surveillance
(not official)
Species Protection Ordinance
Scope: EU
Legal matter: Environmental law
Basis: EGV , in particular Art. 130s Para. 1
Procedure overview: European Commission
European Parliament
To be used from: January 1, 1997
Reference: OJ L 61 of 3.3.1997, pp. 1-69
Full text Consolidated version (not official)
basic version
Regulation has entered into force and is applicable.
Please note the information on the current version of legal acts of the European Union !

The Regulation (EC) no. 338/97 on the protection of species of wild fauna and flora by regulating trade is a regulation of the European Community , which regulates international trade in endangered animal and plant species. According to Article 1, the aim is to ensure the protection and conservation of wild animal and plant species by regulating trade in them.

The regulation implements the Washington Convention on the Protection of Species  (WA; CITES: Convention on International Trade in Endangered Species of Wild Fauna and Flora ), and the relevant provisions of two European directives ( Habitats Directive and Birds Directive ).

The annexes were revised with Regulation No. 750/2013 and have been in effect since August 10, 2013. This is required after every CITES conference of the parties to the contract.

Regulation content

The regulation regulates the import and export of all EU countries in accordance with the specifications of the Washington Convention on the Protection of Species . It not only regulates the import, export and marketing of living animals and plants, but also parts thereof and products made from them. These include groomed animals, ivory , wood products, and medicines. The regulated species are listed in Regulation (EC) No. 338/97 in its appendices A to D; it also contains comments on individual commodities or populations. Provisions of the Washington Convention on the Protection of Species have been adopted in principle, but are more strictly regulated in some points (e.g. import permits for Appendix B species) and the listed species have been slightly changed. In order to avoid misunderstandings, the appendices are marked with letters and not - as with WA / CITES - with numbers. In Regulation (EC) No. 338/97, the stricter listings resulting from the Habitats Directive and the Birds Directive are also taken into account. Therefore, more species are listed in it than in the appendices of CITES.

The EU is defined as a single market, an act between two EU member states therefore no import / export. The rules of Regulation (EC) No. 338/97 on marketing activities also apply if they take place across this internal border.


The provisions and listed types of the annexes (letters; ascending) of Regulation (EC) 338/97 largely correspond to those in CITES (Roman numerals; ascending). Changes only arise for the species that are listed in the Habitats Directive or the Birds Directive (stricter listing, e.g., Ursus arctos ), as well as for species for which the EU states have registered a reservation with CITES (less strict Regulation, e.g. Mustela altaica ). Article 3 of Regulation (EC) No 338/97 explains what the annexes mean; Depending on the protection status determined in this way, Art. 4 regulates the import, Art. 5 the export, Art. 8 the marketing and Art. 9 the transport of specimens of the type mentioned.

Appendix A.
The species in Appendix A (Appendix I at CITES) are severely threatened by international trade. Specimens of these species are subject to a marketing ban. Exceptions would have to be approved by the responsible enforcement authority. This also included a sale, purchase or the offer of offspring by or to a private person. Permits from the importing and exporting country are required for import and export. Examples: whales , some monkey species , sea ​​turtles ; some tortoises and some cacti and orchids .
Appendix B.
The species in Appendix B (Appendix II at CITES) are threatened with trade, so trade in them is regulated. Marketing is possible with restrictions. For the import or export the permit of the importing and exporting country is necessary, for which it has to be proven that the trade does not endanger the survival of the species. Species are also listed that are not endangered but cannot be differentiated from endangered species in trade. This appendix also contains the Appendix I species for which the EU member states have registered a reservation. Examples: all monkeys , all tortoises , all cacti , all orchids , crocodiles , monitor lizards and some tropical woods.
Appendix C.
The species in Appendix C (Appendix III at CITES) are always listed in combination with a country. An export license from the listed country is required to trade in individuals from this country; individuals from other countries only need a certificate of origin. This appendix also contains the Appendix II species for which the EU member states have made a reservation. Examples: some mongooses from India, some turtles from China and cedars from Bolivia.
Appendix D.
The species in Appendix D (no equivalent in CITES) are monitored with regard to the amount traded. When importing into the EU, only an import declaration is required. This appendix also contains the Appendix III species for which the EU member states have registered a reservation.

The annexes are adapted to the changed listing in CITES after each CITES conference of the parties to the contract. This includes listing a species in another appendix as well as deleting and adding species. The last two Conference of the Parties took place in Bangkok in 2013 and Johannesburg in 2016 . The next is expected to be held in Geneva (Switzerland) in August 2019.

Implementation and enforcement

As a regulation, Regulation (EC) No. 338/97 does not have to be transposed into national law, but applies directly in every member state. Sanctions for violations are regulated nationally; each member state can adopt stricter measures. In Germany this is done through the Federal Nature Conservation Act and the Federal Species Protection Ordinance issued on this basis , in Austria through the Species Trade Act (ArtHG2009).

In Germany, import and export are carried out by the Federal Agency for Nature Conservation and partly by the main customs offices and market and property surveillance by the authorities responsible under state law, i.e. mostly by the independent cities and district administrative authorities. In Austria this is done by the ( Federal Ministry for Agriculture, Forestry, Environment and Water Management ).

In Germany, species in Appendix A are strictly protected , species in Appendix B are defined as particularly protected ( Section 7 (2) No. 13 and 14 BNatschG , see also Federal Species Protection Ordinance ). Possession and change of ownership (acquisition, breeding, sale, sale, death, escape, etc.) of vertebrates of wild species of appendices A and B must be reported to the responsible nature conservation authorities according to § 7 paragraph 2 BArtSchV . Legally acquired copies may be held without additional permission. Animals listed in Annex 5 of the Federal Species Protection Ordinance, such as B. peach heads and green iguana excluded, as they are often bred and illegal trade rarely takes place. This rule does not apply to species listed in Appendix C.

Legal sources

Web links

Individual evidence

  1. Art. 16 Regulation (EC) No. 338/97
  2. Oliver Drewes: Terrarium animals from A to Z, legal provisions p. 22-25, Gräfe and Unzer Verlag GmbH Munich, ISBN 978-3-7742-6316-1 .
  3. §70 of the Federal Nature Conservation Act