Index 
Texts adopted
Wednesday, 16 April 2014 - Strasbourg
Protection of species of wild fauna and flora ***I
 Fishing opportunities and financial contribution provided for in the EU-Seychelles Fisheries Partnership Agreement ***
 Fishing opportunities and financial contribution provided for in the EU-Comoros Fisheries Partnership Agreement ***
 Fishing opportunities and financial contribution provided for in the EU-Madagascar Fisheries Partnership Agreement ***
 EU-Korea Framework Agreement as regards matters related to readmission ***
 EU-Korea Framework Agreement with the exception of matters related to readmission ***
 EC-Montenegro Stabilisation and Association Agreement (Protocol to take account of the accession of Croatia) ***
 EU-Georgia Framework Agreement on the general principles for the participation of Georgia in Union programmes ***
 Authorisation for Portugal to apply a reduced rate of excise duty in the autonomous regions of Madeira and Azores on certain alcoholic beverages *
 AIEM tax applicable in the Canary Islands*
 Amendment of the period of application of Council Decision 2004/162/EC concerning the dock dues in the French overseas departments *
 Amendment of Parliament's Rules of Procedure with regard to parliamentary questions
 Amendment of Rule 90 of Parliament's Rules of Procedure on international agreements
 Amendment of Parliament's Rules of Procedure so as to allow for the possibility of electronic signatures
 Draft amending budget No 1/2014: technical adjustments concerning the European Investment Fund, Horizon 2020 and the Shift2Rail Joint Undertaking
 Introduction of noise-related operating restrictions at European Union airports ***II
 Union action for the European Capitals of Culture for the years 2020 to 2033 ***II
 Incidental catches of cetaceans ***II
 Posting of workers in the framework of the provision of services ***I
 Return of cultural objects unlawfully removed from the territory of a Member State ***I
 Reducing the consumption of lightweight plastic carrier bags ***I
 Surveillance of external sea borders ***I
 Financial responsibility linked to investor-state dispute settlement tribunals established by international agreements to which the EU is party ***I
 Protection against dumped and subsidised imports from countries not members of the EU ***I
 Statute and funding of European political parties and European political foundations ***I
 Financing of European political parties ***I
 Financial rules applicable to the general budget of the Union ***I
 Carbon dioxide emissions from maritime transport ***I
 Invasive alien species ***I
 Technical implementation of the Kyoto Protocol to the UN Framework Convention on Climate Change ***I
 Fight against fraud to the Union's financial interests by means of criminal law ***I
 2012 discharge: European Parliament
 European Parliament's right of inquiry
 Relations between the European Parliament and the national parliaments
 Implementing measures for the system of own resources ***
 System of own resources *
 Traditional, VAT- and GNI based own resources and measures to meet cash requirements *
 Implementing measures for the system of own resources
 Public employment services ***I
 European Union Solidarity Fund ***I
 Capital increase of the European Investment Fund ***I
 European Medicines Agency (conduct of pharmacovigilance activities in respect of medicinal products for human use)***I
 Macro-financial assistance to the Republic of Tunisia ***I
 Recovery plan for Bluefin tuna in the eastern Atlantic and Mediterranean ***I
 Protection of the euro and other currencies against counterfeiting by criminal law ***I
 Honey ***I
 European Maritime and Fisheries Fund ***I
 European Police College ***I

Protection of species of wild fauna and flora ***I
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Resolution
Consolidated text
European Parliament legislative resolution of 16 April 2014 on the 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) (COM(2012)0403 – C7-0197/2012 – 2012/0196(COD))
P7_TA(2014)0397A7-0087/2014

(Ordinary legislative procedure – recast)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2012)0403),

–  having regard to Article 294(2) and Article 192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0197/2012),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the European Economic and Social Committee of 14 November 2012(1),

–  after consulting the Committee of the Regions,

–  having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts(2),

–  having regard to the letter of 11 November 2013 from the Committee on Legal Affairs to the Committee on the Environment, Public Health and Food Safety in accordance with Rule 87(3) of its Rules of Procedure,

–  having regard to Rules 87 and 55 of its Rules of Procedure,

–  having regard to the report of the Committee on the Environment, Public Health and Food Safety (A7-0087/2014),

A.  whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the Commission proposal does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance;

1.  Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No …/2014 of the European Parliament and of the Council on the protection of species of wild fauna and flora by regulating trade therein (recast)

P7_TC1-COD(2012)0196


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 Committee(3),

After consulting the Committee of the Regions,

Acting in accordance with the ordinary legislative procedure(4),

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 therein(5) has been substantially amended several times(6). Since further amendments are to be made, that regulation should be recast in the interests of clarity.

(2)  The purpose of this Regulation is to ensure the protection of species of wild fauna and flora which are threatened by trade or likely to be so threatened.

(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.

(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.

(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.

(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.

(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.

(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.

(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(7), 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.

(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.

(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.

(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 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.

(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.

(19)  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 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. 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.

(20)  In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission, in particular for the establishment of the design, the model and the format of certain documents. 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 powers(8), [Am. 1]

HAVE ADOPTED THIS REGULATION:

Article 1

Object

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

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

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

(d)  ‘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 the form provided for in Article 19(2) 10(1d); [Am. 2]

(e)  ‘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;

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

(g)  ‘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;

(h)  ‘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;

(i)  ‘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;

(j)  ‘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;

(k)  ‘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;

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

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

(n)  ‘re-export from the Union ’ means export from the Union of any specimen that has previously been introduced;

(o)  ‘re-introduction into the Union ’ means introduction into the Union of any specimen that has previously been exported or re-exported;

(p)  ‘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;

(q)  ‘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;

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

(s)  ‘species’ means a species, subspecies or population thereof;

(t)  ‘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.

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;

(u)  ‘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;

(v)  ‘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;

(w)  ‘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;

(x)  ‘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.

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

(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)  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;

(b)  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)  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;

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

4.  Annex D shall contain:

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

(b)  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.

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;

(c)  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;

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

(e)  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

(f)  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.

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)  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

(b)  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.

6.  In consultation with The Commission shall be empowered, after consulting the countries of origin concerned and taking account of any opinion of the Scientific Review Group, the Commission may, by means of implementing acts, establish to adopt delegated acts in accordance with Article 20 establishing general restrictions, or restrictions relating to certain countries of origin, on the introduction into the Union: [Am. 3]

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

(b)  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

(c)  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

(d)  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). [Am. 4]

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.

7.  Where special cases of transhipment, air transfer or rail transport occur following the introduction into the Union, 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, in order to permit such checks and the presentation to be carried out at another customs office designated in accordance with Article 12(1).

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)  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;

(b)  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.

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

(b)  if introduced into the Union before 3 March 1997, were introduced in accordance with the provisions of Council Regulation (EEC) No 3626/82(9); 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

(c)  if introduced into the Union before 1984, entered international trade in accordance with the provisions of the Convention; or

(d)  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.

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. 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.

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

(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.

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.

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

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.

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.

The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning:

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

(b)  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.

2.  Transit

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.

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 special conditions.

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.

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 special provisions.

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.

4.  Scientific institutions

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 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).

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

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

(c)  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

(d)  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

(e)  are required under exceptional circumstances for the advancement of science or for essential biomedical purposes pursuant to Council Directive 86/609/EEC(10) 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

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

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

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

4.  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). Any such derogations must be in accordance with the requirements of other Union legislation on the conservation of wild fauna and flora.

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, 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)  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;

(b)  be confirmed by issuance of a certificate; and

(c)  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.

6.  The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning 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).

Article 10

Permits, notifications and certificates to be issued [Am. 5]

1.   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).

1a.  The Commission shall adopt implementing acts in order to determine the design of the certificates referred to in paragraph 1. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). [Am. 6]

1b.  On receiving an application and the requisite supporting documents from the person concerned and provided that all the requirements for their issuance have been fulfilled, the management authority of a Member State may issue a permit for the purposes of Article 4(1) and (2) and Article 5(1) and (4). [Am. 7]

1c.  The Commission shall adopt implementing acts in order to determine the design of the permit referred to in paragraph 1b. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). [Am. 8]

1d.  The Commission shall adopt implementing acts in order to determine the design of the import notification referred to in Article 4(3) and (4). Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2). [Am. 9]

Article 11

Validity of and special conditions for permits and certificates

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.

5.  The Commission shall be empowered to adopt delegated acts in accordance with Article 20 concerning the time limits for the issuance of permits and certificates.

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 accordance with relevant Union legislation as regards the transport and accommodation of live animals and that, where necessary, adequate steps are taken for live plants.

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.

4.  In exceptional cases and in accordance with special criteria, 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.

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.

5.  Member States shall ensure that at border crossing-points the public are informed of the provisions adopted pursuant to this Regulation.

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.

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 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.

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 measures adopted pursuant to this Regulation.

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.

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, by means of implementing acts, specify the information to be communicated and the format for its presentation. 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, by means of implementing acts, specify the information to be communicated and the format for its presentation. 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.

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, by means of implementing acts, specify the information required. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 21(2).

6.  Without prejudice to Directive 2003/4/EC of the European Parliament and of the Council(11), the Commission shall take appropriate measures to protect the confidentiality of information obtained in the implementation of this Regulation.

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)  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;

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

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

(d)  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;

(e)  failure to make an import notification or making a false import notification;

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

(g)  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;

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

(i)  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;

(j)  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;

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

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

(m)  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)  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

(b)  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.

Article 18

Further delegated powers

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

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

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

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

2.  The Commission shall be empowered to adopt, where necessary, 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.

3.  The Commission shall 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.

Article 19

Further implementing powers

1.  The Commission shall, by means of implementing acts, determine the design of the documents referred to in Article 4, Article 5, Article 7(4) and Article 10. 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). [Am. 10]

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(6), 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].[Am. 11]

3.  The delegation of powers referred to in Article 4(6), 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. [Am. 12]

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(6), 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. [Am. 13]

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.

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

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.

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.

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 …,

For the European Parliament For the Council

The President The President

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

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

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

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

4.  Species printed in bold in Annex A are listed there in consistency with their protection as provided for by Directive 2009/147/EC of the European Parliament and of the Council(12) or Council Directive 92/43/EEC(13).

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.  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.

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

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

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

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

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

12.  When a species is included in Annex A, B or C, all parts and derivatives of the species are also included in the same Annex unless the species is annotated to indicate that only specific parts and derivatives are included. In accordance with Article 2(t) 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)  seeds, spores and pollen (including pollinia);

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

(c)  cut flowers of artificially propagated plants; and

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

#2

Designates all parts and derivatives, except:

(a)  seeds and pollen; and

(b)  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)  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;

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

(c)  cut flowers of artificially propagated plants;

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

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

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

#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.  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 this 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 this Regulation.

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

15.  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.

§ 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

Mammals

ARTIODACTYLA

Antilocapridae

Pronghorn

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

Mexican pronghorn

Bovidae

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

Addax nasomaculatus (I)

Addax

Ammotragus lervia (II)

Barbary sheep

Antilope cervicapra (III Nepal)

Blackbuck

Bison bison athabascae (II)

Wood bison

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

Gaur

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

Wild yak

Bos sauveli (I)

Kouprey

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

Wild Asiatic buffalo

Bubalus depressicornis (I)

Lowland anoa

Bubalus mindorensis (I)

Tamarau

Bubalus quarlesi (I)

Mountain anoa

Budorcas taxicolor (II)

Takin

Capra falconeri (I)

Markhor

Capricornis milneedwardsii (I)

Chinese serow

Capricornis rubidus (I)

Red serow

Capricornis sumatraensis (I)

Sumatran serow

Capricornis thar (I)

Himalayan serow

Cephalophus brookei (II)

Brooke’s duiker

Cephalophus dorsalis (II)

Bay duiker

Cephalophus jentinki (I)

Jentink’s duiker

Cephalophus ogilbyi (II)

Ogilby’s duiker

Cephalophus silvicultor (II)

Yellow-backed duiker

Cephalophus zebra (II)

Zebra duiker

Damaliscus pygargus pygargus (II)

Bontebok

Gazella cuvieri (I)

Cuvier’s gazelle

Gazella dorcas (III Algeria / Tunisia)

Dorcas gazelle

Gazella leptoceros (I)

Slender-horned gazelle

Hippotragus niger variani (I)

Giant sable antelope

Kobus leche (II)

Lechwe

Naemorhedus baileyi (I)

Red goral

Naemorhedus caudatus (I)

Long-tailed goral

Naemorhedus goral (I)

Himalayan goral

Naemorhedus griseus (I)

Chinese goral

Nanger dama (I)

Dama gazelle

Oryx dammah (I)

Scimitar-horned oryx

Oryx leucoryx (I)

Arabian oryx

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

Argali

Ovis ammon hodgsonii (I)

Tibetan argali

Ovis ammon nigrimontana (I)

Kara Tau argali

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

Mexican bighorn sheep

Ovis orientalis ophion (I)

Cyprus mouflon

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

Urial

Ovis vignei vignei (I)

Ladakh urial

Pantholops hodgsonii (I)

Chiru

Philantomba monticola (II)

Blue duiker

Pseudoryx nghetinhensis (I)

Siola

Rupicapra pyrenaica ornata (I)

Abruzzo chamois

Saiga borealis (II)

Mongolian saiga

Saiga tatarica (II)

Steppe saiga

Tetracerus quadricornis (III Nepal)

Four-horned antelope

Camelidae

Camels, guanaco, vicuña

Lama guanicoe (II)

Guanaco

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

Vicugna vicugna (II) (Only the populations of Argentina(14) [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(15) [the whole population]; Chile(16) [population of the Primera Región]; Peru(17) [the whole population]; all other populations are included in Annex A)

Vicuña

Cervidae

Deer, huemuls, muntjacs, pudus

Axis calamianensis (I)

Calamian deer

Axis kuhlii (I)

Bawean deer

Axis porcinus annamiticus (I)

Indochina hog deer

Blastocerus dichotomus (I)

Marsh deer

Cervus elaphus bactrianus (II)

Bactrian deer

Cervus elaphus barbarus (III Algeria / Tunisia)

Barbary deer

Cervus elaphus hanglu (I)

Hangul

Dama dama mesopotamica (I)

Persian fallow deer

Hippocamelus spp. (I)

Huemuls

Mazama temama cerasina (III Guatemala)

Central American red brocket

Muntiacus crinifrons (I)

Black muntjac

Muntiacus vuquangensis (I)

Giant muntjac

Odocoileus virginianus mayensis (III Guatemala)

Guatemalan white-tailed deer

Ozotoceros bezoarticus (I)

Pampas deer

Pudu mephistophiles (II)

Northern pudu

Pudu puda (I)

Southern pudu

Rucervus duvaucelii (I)

Barasingha

Rucervus eldii (I)

Eld’s deer

Hippopotamidae

Hippopotamuses

Hexaprotodon liberiensis (II)

Pygmy hippopotamus

Hippopotamus amphibius (II)

Common hippopotamus

Moschidae

Musk deer

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

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

Musk deer

Suidae

Babirusa, hogs, pigs

Babyrousa babyrussa (I)

Buru babirusa

Babyrousa bolabatuensis (I)

Bola Batu babirusa

Babyrousa celebensis (I)

North Sulawesi babirusa

Babyrousa togeanensis (I)

Malenge babirusa

Sus salvanius (I)

Pygmy hog

Tayassuidae

Peccaries

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

Peccaries

Catagonus wagneri (I)

Chacoan peccary

CARNIVORA

Ailuridae

Ailurus fulgens (I)

Red panda

Canidae

Dogs, foxes, wolves

Canis aureus (III India)

Golden jackal

Canis lupus (I/II)

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

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

Grey wolf

Canis simensis

Ethiopian wolf

Cerdocyon thous (II)

Crab-eating fox

Chrysocyon brachyurus (II)

Maned wolf

Cuon alpinus (II)

Dhole

Lycalopex culpaeus (II)

Culpeo

Lycalopex fulvipes (II)

Darwin’s fox

Lycalopex griseus (II)

South American grey fox

Lycalopex gymnocercus (II)

Pampas fox

Speothos venaticus (I)

Bush dog

Vulpes bengalensis (III India)

Bengal fox

Vulpes cana (II)

Blanford’s fox

Vulpes zerda (II)

Fennec fox

Eupleridae

Cryptoprocta ferox (II)

Fossa

Eupleres goudotii (II)

Falanouc

Fossa fossana (II)

Malagasy civet

Felidae

Cats, cheetahs, leopards, lions, tigers etc.

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

Cats

Acinonyx jubatus (I) (Annual export quotas for live specimens and hunting trophies are granted as follows: Botswana: 5; Namibia: 150; Zimbabwe: 50. The trade in such specimens is subject to the provisions of Article 4.1 of this Regulation)

Cheetah

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

Asian Caracal

Catopuma temminckii (I)

Asian golden cat

Felis nigripes (I)

Black-footed cat

Felis silvestris (II)

Wild cat

Leopardus geoffroyi (I)

Geoffroy’s cat

Leopardus jacobitus (I)

Andean mountain cat

Leopardus pardalis (I)

Ocelot

Leopardus tigrinus (I)

Oncilla

Leopardus wiedii (I)

Margay

Lynx lynx (II)

Eurasian lynx

Lynx pardinus (I)

Iberian lynx

Neofelis nebulosa (I)

Clouded leopard

Panthera leo persica (I)

Asiatic lion

Panthera onca (I)

Jaguar

Panthera pardus (I)

Leopard

Panthera tigris (I)

Tiger

Pardofelis marmorata (I)

Marbled cat

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

Bengal leopard cat

Prionailurus iriomotensis (II)

Iriomote cat

Prionailurus planiceps (I)

Flat-headed cat

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

Rusty-spotted cat

Puma concolor coryi (I)

Florida cougar

Puma concolor costaricensis (I)

Costa Rican cougar

Puma concolor couguar (I)

Eastern cougar

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

Jaguarundi

Uncia uncia (I)

Snow leopard

Herpestidae

Mongooses

Herpestes 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

Hyaenidae

Aardwolf, hyenas

Proteles cristata (III Botswana)

Aardwolf

Mephitidae

Skunks

Conepatus humboldtii (II)

Humboldt’s hog-nosed skunk

Mustelidae

Badgers, martens, weasels etc.

Lutrinae

Otters

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

Otters

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

Cameroon clawless otter

Enhydra lutris nereis (I)

Southern sea otter

Lontra felina (I)

Marine otter

Lontra longicaudis (I)

Neotropical otter

Lontra provocax (I)

Southern river otter

Lutra lutra (I)

European otter

Lutra nippon (I)

Japanese otter

Pteronura brasiliensis (I)

Giant otter

Mustelinae

Grisons, martens, tayra, weasels

Eira barbara (III Honduras)

Tayra

Galictis vittata (III Costa Rica)

Greater grison

Martes flavigula (III India)

Yellow-throated marten

Martes foina intermedia (III India)

Stone marten

Martes gwatkinsii (III India)

Nilgiri marten

Mellivora capensis (III Botswana)

Honey badger

Mustela nigripes (I)

Black-footed ferret

Odobenidae

Walrus

Odobenus rosmarus (III Canada)

Walrus

Otariidae

Fur seals, sealions

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

Fur seals

Arctocephalus philippii (II)

Juan Fernández fur seal

Arctocephalus townsendi (I)

Guadalupe fur seal

Phocidae

Seals

Mirounga leonina (II)

Southern elephant seal

Monachus spp. (I)

Monk seals

Procyonidae

Coatis, olingos

Bassaricyon gabbii (III Costa Rica)

Olingo

Bassariscus sumichrasti (III Costa Rica)

Cacomistle

Nasua narica (III Honduras)

White-nosed coati

Nasua nasua solitaria (III Uruguay)

South Brazilian coati

Potos flavus (III Honduras)

Kinkajou

Ursidae

Bears

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

Bears

Ailuropoda melanoleuca (I)

Giant panda

Helarctos malayanus (I)

Sun bear

Melursus ursinus (I)

Sloth bear

Tremarctos ornatus (I)

Spectacled bear

Ursus arctos (I/II)

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

Brown bear

Ursus thibetanus (I)

Asian black bear

Viverridae

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

Arctictis binturong (III India)

Binturong

Civettictis civetta (III Botswana)

African civet

Cynogale bennettii (II)

Otter civet

Hemigalus derbyanus (II)

Banded palm civet

Paguma larvata (III India)

Masked palm civet

Paradoxurus hermaphroditus (III India)

Asian palm civet

Paradoxurus jerdoni (III India)

Jerdon’s palm civet

Prionodon linsang (II)

Banded linsang

Prionodon pardicolor (I)

Spotted linsang

Viverra civettina (III India)

Malabar large-spotted civet

Viverra zibetha (III India)

Large Indian civet

Viverricula indica (III India)

Small Indian civet

CETACEA

Cetaceans (dolphins, porpoises, whales)

CETACEA spp. (I/II)(18)

Cetaceans

CHIROPTERA

Phyllostomidae

Broad-nosed bats

Platyrrhinus lineatus (III Uruguay)

White-lined bat

Pteropodidae

Fruit bats, flying foxes

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

Flying foxes

Acerodon jubatus (I)

Golden-capped fruit bat

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

Flying foxes

Pteropus insularis (I)

Ruck flying fox

Pteropus livingstonii (II)

Comoro flying fox

Pteropus loochoensis (I)

Japanese flying fox

Pteropus mariannus (I)

Marianas flying fox

Pteropus molossinus (I)

Caroline flying fox

Pteropus pelewensis (I)

Pelew flying fox

Pteropus pilosus (I)

Large Pelew flying fox

Pteropus rodricensis (II)

Rodrigues flying fox

Pteropus samoensis (I)

Samoan flying fox

Pteropus tonganus (I)

Pacific flying fox

Pteropus ualanus (I)

Kosrae flying fox

Pteropus voeltzkowi (II)

Pemba flying fox

Pteropus yapensis (I)

Yap flying fox

CINGULATA

Dasypodidae

Armadillos

Cabassous centralis (III Costa Rica)

Northern naked-tailed armadillo

Cabassous tatouay (III Uruguay)

Greater naked-tailed armadillo

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

Andean hairy armadillo

Priodontes maximus (I)

Giant armadillo

DASYUROMORPHIA

Dasyuridae

Dunnarts, marsupial mice, planigales

Sminthopsis longicaudata (I)

Long-tailed dunnart

Sminthopsis psammophila (I)

Sandhill dunnart

Thylacinidae

Tasmanian wolf, thylacine

Thylacinus cynocephalus (possibly extinct) (I)

Thylacine

DIPROTODONTIA

Macropodidae

Kangaroos, wallabies

Dendrolagus inustus (II)

Grizzled tree-kangaroo

Dendrolagus ursinus (II)

Ursine tree-kangaroo

Lagorchestes hirsutus (I)

Rufous hare-wallaby

Lagostrophus fasciatus (I)

Banded hare-wallaby

Onychogalea fraenata (I)

Bridled nail-tail wallaby

Onychogalea lunata (I)

Crescent nail-tail wallaby

Phalangeridae

Cuscus

Phalanger intercastellanus (II)

Eastern common cuscus

Phalanger mimicus (II)

Southern common cuscus

Phalanger orientalis (II)

Northern common cuscus

Spilocuscus kraemeri (II)

Admiralty Island cuscus

Spilocuscus maculatus (II)

Common spotted cuscus

Spilocuscus papuensis (II)

Waigeou cuscus

Potoroidae

Rat-kangaroos

Bettongia spp. (I)

Bettongs

Caloprymnus campestris (possibly extinct) (I)

Desert rat-kangaroo

Vombatidae

Wombats

Lasiorhinus krefftii (I)

Northern hairy-nosed wombat

LAGOMORPHA

Leporidae

Hares, rabbits

Caprolagus hispidus (I)

Hispid hare

Romerolagus diazi (I)

Volcano rabbit

MONOTREMATA

Tachyglossidae

Echidnas, spiny anteaters

Zaglossus spp. (II)

Long-beaked echidnas

PERAMELEMORPHIA

Chaeropodidae

Bandicoots

Chaeropus ecaudatus (possibly extinct) (I)

Pig-footed bandicoot

Peramelidae

Perameles bougainville (I)

Western barred bandicoot

Thylacomyidae

Macrotis lagotis (I)

Greater bilby

Macrotis leucura (I)

Lesser bilby

PERISSODACTYLA

Equidae

Horses, wild asses, zebras

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

African ass

Equus grevyi (I)

Grévy’s zebra

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

Asiatic wild ass

Equus kiang (II)

Kiang

Equus przewalskii (I)

Przewalski’s horse

Equus zebra hartmannae (II)

Hartmann’s mountain zebra

Equus zebra zebra (I)

Cape mountain zebra

Rhinocerotidae

Rhinoceroses

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

Rhinoceroses

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

Southern white rhinoceros

Tapiridae

Tapirs

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

Tapirs

Tapirus terrestris (II)

South American tapir

PHOLIDOTA

Manidae

Pangolins

Manis spp. (II)

(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)

Pangolins

PILOSA

Bradypodidae

Three-toed sloths

Bradypus variegatus (II)

Brown-throated sloth

Megalonychidae

Two-toed sloth

Choloepus hoffmanni (III Costa Rica)

Hoffmann’s two-toed sloth

Myrmecophagidae

American anteaters

Myrmecophaga tridactyla (II)

Giant anteater

Tamandua mexicana (III Guatemala)

Northern tamandua

PRIMATES

Primates (apes and monkeys)

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

Primates

Atelidae

Howlers, spider monkeys

Alouatta coibensis (I)

Coiba Island howler

Alouatta palliata (I)

Mantled howler

Alouatta pigra (I)

Guatemalan black howler

Ateles geoffroyi frontatus (I)

Black-browed spider monkey

Ateles geoffroyi panamensis (I)

Red spider monkey

Brachyteles arachnoides (I)

Southern muriqui

Brachyteles hypoxanthus (I)

Oreonax flavicauda (I)

Yellow-tailed woolly monkey

Cebidae

Marmosets, tamarins, New-world monkeys

Callimico goeldii (I)

Goeldi’s marmoset

Callithrix aurita (I)

Buffy-tufted marmoset

Callithrix flaviceps (I)

Buffy-headed marmoset

Leontopithecus spp. (I)

Lion tamarins

Saguinus bicolor (I)

Pied tamarin

Saguinus geoffroyi (I)

Geoffroy’s tamarin

Saguinus leucopus (I)

White-footed tamarin

Saguinus martinsi (I)

Saguinus oedipus (I)

Cottontop tamarin

Saimiri oerstedii (I)

Central American squirrel monkey

Cercopithecidae

Old-world monkeys

Cercocebus galeritus (I)

Tana River mangabey

Cercopithecus diana (I)

Diana monkey

Cercopithecus roloway (I)

Roloway monkey

Cercopithecus solatus (II)

Sun-tailed monkey

Colobus satanas (II)

Black colobus

Macaca silenus (I)

Lion-tailed macaque

Mandrillus leucophaeus (I)

Drill

Mandrillus sphinx (I)

Mandrill

Nasalis larvatus (I)

Proboscis monkey

Piliocolobus foai (II)

Central African red colobus

Piliocolobus gordonorum (II)

Uzungwa red colobus

Piliocolobus kirkii (I)

Zanzibar red colobus

Piliocolobus pennantii (II)

Pennant’s red colobus

Piliocolobus preussi (II)

Preuss’s red colobus

Piliocolobus rufomitratus (I)

Tana River red colobus

Piliocolobus tephrosceles (II)

Ugandan red colobus

Piliocolobus tholloni (II)

Thollon’s red colobus

Presbytis potenziani (I)

Mentawai langur

Pygathrix spp. (I)

Douc langurs

Rhinopithecus spp. (I)

Snub-nosed monkeys

Semnopithecus ajax (I)

Kashmir grey langur

Semnopithecus dussumieri (I)

Southern Plains grey langur

Semnopithecus entellus (I)

Northern Plains grey langur

Semnopithecus hector (I)

Tarai grey langur

Semnopithecus hypoleucos (I)

Black-footed grey langur

Semnopithecus priam (I)

Tufted grey langur

Semnopithecus schistaceus (I)

Nepal grey langur

Simias concolor (I)

Simakobou

Trachypithecus delacouri (II)

Delacour’s langur

Trachypithecus francoisi (II)

François’s langur

Trachypithecus geei (I)

Gee’s golden langur

Trachypithecus hatinhensis (II)

Hatinh langur

Trachypithecus johnii (II)

Nilgiri langur

Trachypithecus laotum (II)

Laotian langur

Trachypithecus pileatus (I)

Capped langur

Trachypithecus poliocephalus (II)

White-headed langur

Trachypithecus shortridgei (I)

Shortridge’s langur

Cheirogaleidae

Dwarf lemurs and mouse-lemurs

Cheirogaleidae spp. (I)

Dwarf lemurs and mouse lemurs

Daubentoniidae

Aye-aye

Daubentonia madagascariensis (I)

Aye-aye

Hominidae

Chimpanzees, gorillas, orang-utan

Gorilla beringei (I)

Eastern gorilla

Gorilla gorilla (I)

Western gorilla

Pan spp. (I)

Chimpanzee and bonobo

Pongo abelii (I)

Sumatran orangutan

Pongo pygmaeus (I)

Bornean orangutan

Hylobatidae

Gibbons

Hylobatidae spp. (I)

Gibbons

Indriidae

Indri, sifakas and woolly lemurs

Indriidae spp. (I)

Indri, sifakas and woolly lemurs

Lemuridae

Large lemurs

Lemuridae spp. (I)

Large lemurs

Lepilemuridae

Sportive lemurs

Lepilemuridae spp. (I)

Sportive lemurs

Lorisidae

Lorises

Nycticebus spp. (I)

Slow lorises

Pitheciidae

Uacaris, titis, sakis

Cacajao spp. (I)

Uacaris

Callicebus barbarabrownae (II)

Barbara Brown’s Titi

Callicebus melanochir (II)

Coastal Black-handed Titi

Callicebus nigrifrons (II)

Black-fronted Titi

Callicebus personatus (II)

Atlantic titi

Chiropotes albinasus (I)

White-nosed saki

Tarsiidae

Tarsiers

Tarsius spp. (II)

Tarsiers

PROBOSCIDEA

Elephantidae

Elephants

Elephas maximus (I)

Asian elephant

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

Loxodonta africana (II)

(Only the populations of Botswana, Namibia, South Africa and Zimbabwe(19); all other populations are included in Annex A)

African elephant

RODENTIA

Chinchillidae

Chinchillas

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

Chinchillas

Cuniculidae

Pacas

Cuniculus paca (III Honduras)

Lowland paca

Dasyproctidae

Agoutis

Dasyprocta punctata (III Honduras)

Central American agouti

Erethizontidae

New-world porcupines

Sphiggurus mexicanus (III Honduras)

Mexican hairy dwarf porcupine

Sphiggurus spinosus (III Uruguay)

Paraguaian hairy dwarf porcupine

Hystricidae

Old-world porcupines

Hystrix cristata

Crested porcupine

Muridae

Mice, rats

Leporillus conditor (I)

Greater stick-nest rat

Pseudomys fieldi praeconis (I)

Shark Bay mouse

Xeromys myoides (I)

False water rat

Zyzomys pedunculatus (I)

Central Australian rock rat

Sciuridae

Ground squirrels, tree squirrels

Cynomys mexicanus (I)

Mexican prairie dog

Marmota caudata (III India)

Long-tailed marmot

Marmota himalayana (III India)

Himalayan marmot

Ratufa spp. (II)

Giant squirrels

Callosciurus erythraeus

Pallas’s Squirrel

Sciurus carolinensis

Grey squirrel

Sciurus deppei (III Costa Rica)

Deppe’s squirrel

Sciurus niger

Eastern Fox Squirrel

SCANDENTIA

SCANDENTIA spp. (II)

Treeshrews

SIRENIA

Dugongidae

Dugong

Dugong dugon (I)

Dugong

Trichechidae

Manatees

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

Manatees

AVES

Birds

ANSERIFORMES

Anatidae

Ducks, geese, swans etc.

Anas aucklandica (I)

Auckland Islands teal

Anas bernieri (II)

Madagascar teal

Anas chlorotis (I)

Brown teal

Anas formosa (II)

Baikal teal

Anas laysanensis (I)

Laysan duck

Anas nesiotis (I)

Campbell Island teal

Anas querquedula

Garganey

Asarcornis scutulata (I)

White-winged duck

Aythya innotata

Madagascar pochard

Aythya nyroca

Ferruginous duck

Branta canadensis leucopareia (I)

Aleutian goose

Branta ruficollis (II)

Red-breasted goose

Branta sandvicensis (I)

Nene

Cairina moschata (III Honduras)

Muscovy duck

Coscoroba coscoroba (II)

Coscoroba swan

Cygnus melancoryphus (II)

Black-necked swan

Dendrocygna arborea (II)

West Indian whistling-duck

Dendrocygna autumnalis (III Honduras)

Black-bellied whistling-duck

Dendrocygna bicolor (III Honduras)

Fulvous whistling-duck

Mergus octosetaceus

Brazilian merganser

Oxyura jamaicensis

Ruddy duck

Oxyura leucocephala (II)

White-headed duck

Rhodonessa caryophyllacea (possibly extinct) (I)

Pink-headed duck

Sarkidiornis melanotos (II)

Comb duck

Tadorna cristata

Crested shelduck

APODIFORMES

Trochilidae

Hummingbirds

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

Hummingbirds

Glaucis dohrnii (I)

Hook-billed hermit

CHARADRIIFORMES

Burhinidae

Thick-knees

Burhinus bistriatus (III Guatemala)

Double-striped thick-knee

Laridae

Gulls, terns

Larus relictus (I)

Relict gull

Scolopacidae

Curlews, greenshanks

Numenius borealis (I)

Eskimo curlew

Numenius tenuirostris (I)

Slender-billed curlew

Tringa guttifer (I)

Nordmann’s greenshank

CICONIIFORMES

Ardeidae

Egrets, herons

Ardea alba

Great egret

Bubulcus ibis

Cattle egret

Egretta garzetta

Little egret

Balaenicipitidae

Shoebill, whale-headed stork

Balaeniceps rex (II)

Shoebill

Ciconiidae

Storks

Ciconia boyciana (I)

Oriental stork

Ciconia nigra (II)

Black stork

Ciconia stormi

Storm’s stork

Jabiru mycteria (I)

Jabiru

Leptoptilos dubius

Greater adjutant stork

Mycteria cinerea (I)

Milky stork

Phoenicopteridae

Flamingos

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

Flamingos

Phoenicopterus ruber (II)

Greater flamingo

Threskiornithidae

Ibises, spoonbills

Eudocimus ruber (II)

Scarlet ibis

Geronticus calvus (II)

Bald ibis

Geronticus eremita (I)

Waldrapp

Nipponia nippon (I)

Crested ibis

Platalea leucorodia (II)

Eurasian spoonbill

Pseudibis gigantea

Giant ibis

COLUMBIFORMES

Columbidae

Doves, pigeons

Caloenas nicobarica (I)

Nicobar pigeon

Claravis godefrida

Purple-winged ground-dove

Columba livia

Rock pigeon

Ducula mindorensis (I)

Mindoro zone-tailed pigeon

Gallicolumba luzonica (II)

Luzon bleeding-heart

Goura spp. (II)

Crowned-pigeons

Leptotila wellsi

Grenada dove

Nesoenas mayeri (III Mauritius)

Pink pigeon

Streptopelia turtur

European turtle-dove

CORACIIFORMES

Bucerotidae

Hornbills

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

Hornbills

Aceros nipalensis (I)

Rufous-necked hornbill

Anorrhinus spp. (II)

Hornbills

Anthracoceros spp. (II)

Hornbills

Berenicornis spp. (II)

Hornbills

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

Hornbills

Buceros bicornis (I)

Great hornbill

Penelopides spp. (II)

Hornbills

Rhinoplax vigil (I)

Helmeted hornbill

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

Hornbills

Rhyticeros subruficollis (I)

Plain-pouched hornbill

CUCULIFORMES

Musophagidae

Turacos

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

Turacos

Tauraco bannermani (II)

Bannerman’s turaco

FALCONIFORMES

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

FALCONIFORMES spp. (II)

(Except for the species included in Annex A 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)

Diurnal birds of prey

Accipitridae

Hawks, eagles

Accipiter brevipes (II)

Levant sparrowhawk

Accipiter gentilis (II)

Northern goshawk

Accipiter nisus (II)

Eurasian sparrowhawk

Aegypius monachus (II)

Cinereous vulture

Aquila adalberti (I)

Adalbert’s eagle

Aquila chrysaetos (II)

Golden eagle

Aquila clanga (II)

Greater spotted eagle

Aquila heliaca (I)

Imperial eagle

Aquila pomarina (II)

Lesser spotted eagle

Buteo buteo (II)

Common buzzard

Buteo lagopus (II)

Rough-legged buzzard

Buteo rufinus (II)

Long-legged buzzard

Chondrohierax uncinatus wilsonii (I)

Cuban hook-billed kite

Circaetus gallicus (II)

Short-toed snake-eagle

Circus aeruginosus (II)

Western marsh-harrier

Circus cyaneus (II)

Northern harrier

Circus macrourus (II)

Pallid harrier

Circus pygargus (II)

Montagu’s harrier

Elanus caeruleus (II)

Black-winged kite

Eutriorchis astur (II)

Madagascar serpent-eagle

Gypaetus barbatus (II)

Lammergeier

Gyps fulvus (II)

Eurasian griffon

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

Sea-eagles

Harpia harpyja (I)

Harpy eagle

Hieraaetus fasciatus (II)

Bonelli’s eagle

Hieraaetus pennatus (II)

Booted eagle

Leucopternis occidentalis (II)

Grey-backed hawk

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

Black kite

Milvus milvus (II)

Red kite

Neophron percnopterus (II)

Egyptian vulture

Pernis apivorus (II)

European honey-buzzard

Pithecophaga jefferyi (I)

Great Philippine eagle

Cathartidae

New world vultures

Gymnogyps californianus (I)

California condor

Sarcoramphus papa (III Honduras)

King vulture

Vultur gryphus (I)

Andean condor

Falconidae

Falcons

Falco araeus (I)

Seychelles kestrel

Falco biarmicus (II)

Lanner falcon

Falco cherrug (II)

Saker falcon

Falco columbarius (II)

Merlin

Falco eleonorae (II)

Eleonora’s falcon

Falco jugger (I)

Laggar falcon

Falco naumanni (II)

Lesser kestrel

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

Newton’s kestrel

Falco pelegrinoides (I)

Barbary falcon

Falco peregrinus (I)

Peregrine falcon

Falco punctatus (I)

Mauritius kestrel

Falco rusticolus (I)

Gyrfalcon

Falco subbuteo (II)

Eurasian hobby

Falco tinnunculus (II)

Common kestrel

Falco vespertinus (II)

Red-footed falcon

Pandionidae

Ospreys

Pandion haliaetus (II)

Osprey

GALLIFORMES

Cracidae

Crax alberti (III Colombia)

Blue-knobbed curassow

Crax blumenbachii (I)

Red-billed curassow

Crax daubentoni (III Colombia)

Yellow-knobbed curassow

Crax fasciolata

Bare-faced Curassow

Crax globulosa (III Colombia)

Wattled curassow

Crax rubra (III Colombia, Costa Rica, Guatemala and Honduras)

Great currasow

Mitu mitu (I)

Alagoas curassow

Oreophasis derbianus (I)

Horned guan

Ortalis vetula (III Guatemala/Honduras)

Plain chachalaca

Pauxi pauxi (III Colombia)

Helmeted curassow

Penelope albipennis (I)

White-winged guan

Penelope purpurascens (III Honduras)

Crested guan

Penelopina nigra (III Guatemala)

Highland guan

Pipile jacutinga (I)

Black-fronted piping guan

Pipile pipile (I)

Trinidad piping guan

Megapodiidae

Megapodes, scrubfowl

Macrocephalon maleo (I)

Maleo

Phasianidae

Grouse, guineafowl, partridges, pheasants, tragopans

Argusianus argus (II)

Great argus

Catreus wallichii (I)

Cheer pheasant

Colinus virginianus ridgwayi (I)

Masked bobwhite

Crossoptilon crossoptilon (I)

White eared-pheasant

Crossoptilon mantchuricum (I)

Brown eared-pheasant

Gallus sonneratii (II)

Grey junglefowl

Ithaginis cruentus (II)

Blood pheasant

Lophophorus impejanus (I)

Himalayan monal

Lophophorus lhuysii (I)

Chinese monal

Lophophorus sclateri (I)

Sclater’s monal

Lophura edwardsi (I)

Edwards’ pheasant

Lophura hatinhensis

Vietnamese fireback

Lophura imperialis (I)

Imperial pheasant

Lophura swinhoii (I)

Swinhoe’s pheasant

Meleagris ocellata (III Guatemala)

Ocellated turkey

Odontophorus strophium

Gorgeted wood-quail

Ophrysia superciliosa

Himalayan quail

Pavo muticus (II)

Green peafowl

Polyplectron bicalcaratum (II)

Grey peacock-pheasant

Polyplectron germaini (II)

Germain’s peacock-pheasant

Polyplectron malacense (II)

Malayan peacock-pheasant

Polyplectron napoleonis (I)

Palawan peacock-pheasant

Polyplectron schleiermacheri (II)

Bornean peacock-pheasant

Rheinardia ocellata (I)

Crested argus

Syrmaticus ellioti (I)

Elliot’s pheasant

Syrmaticus humiae (I)

Hume’s pheasant

Syrmaticus mikado (I)

Mikado pheasant

Tetraogallus caspius (I)

Caspian snowcock

Tetraogallus tibetanus (I)

Tibetan snowcock

Tragopan blythii (I)

Blyth’s tragopan

Tragopan caboti (I)

Cabot’s tragopan

Tragopan melanocephalus (I)

Western tragopan

Tragopan satyra (III Nepal)

Satyr tragopan

Tympanuchus cupido attwateri (I)

Attwater’s prairie-chicken

GRUIFORMES

Gruidae

Cranes

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

Cranes

Grus americana (I)

Whooping crane

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

Sandhill crane

Grus grus (II)

Common crane

Grus japonensis (I)

Red-crowned crane

Grus leucogeranus (I)

Siberian crane

Grus monacha (I)

Hooded crane

Grus nigricollis (I)

Black-necked crane

Grus vipio (I)

White-necked crane

Otididae

Bustards

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

Bustards

Ardeotis nigriceps (I)

Indian bustard

Chlamydotis macqueenii (I)

Macqueen’s bustard

Chlamydotis undulata (I)

Houbara bustard

Houbaropsis bengalensis (I)

Bengal florican

Otis tarda (II)

Great bustard

Sypheotides indicus (II)

Lesser florican

Tetrax tetrax (II)

Little bustard

Rallidae

Coots, rails

Gallirallus sylvestris (I)

Lord Howe rail

Rhynochetidae

Kagu

Rhynochetos jubatus (I)

Kagu

PASSERIFORMES

Atrichornithidae

Scrub-birds

Atrichornis clamosus (I)

Noisy scrub-bird

Cotingidae

Cotingas

Cephalopterus ornatus (III Colombia)

Amazonian umbrella bird

Cephalopterus penduliger (III Colombia)

Long-wattled umbrella bird

Cotinga maculata (I)

Banded cotinga

Rupicola spp. (II)

Cocks-of-the-rock

Xipholena atropurpurea (I)

White-winged cotinga

Emberizidae

Cardinals, tanagers

Gubernatrix cristata (II)

Yellow cardinal

Paroaria capitata (II)

Yellow-billed cardinal

Paroaria coronata (II)

Red-crested cardinal

Tangara fastuosa (II)

Seven-coloured tanager

Estrildidae

Mannikins, waxbills

Amandava formosa (II)

Green avadavat

Lonchura fuscata

Timor sparrow

Lonchura oryzivora (II)

Java sparrow

Poephila cincta cincta (II)

Southern black-throated finch

Fringillidae

Finches

Carduelis cucullata (I)

Red siskin

Carduelis yarrellii (II)

Yellow-faced siskin

Hirundinidae

Martins

Pseudochelidon sirintarae (I)

White-eyed river-martin

Icteridae

New-world blackbirds

Xanthopsar flavus (I)

Saffron-cowled blackbird

Meliphagidae

Honey-eaters

Lichenostomus melanops cassidix (I)

Helmeted honeyeater

Muscicapidae

Old-world flycatchers, babblers, etc.

Acrocephalus rodericanus (III Mauritius)

Rodrigues brush-warbler

Cyornis ruckii (II)

Rueck’s blue-flycatcher

Dasyornis broadbenti litoralis (possibly extinct) (I)

Western rufous bristlebird

Dasyornis longirostris (I)

Western bristlebird

Garrulax canorus (II)

Chinese Hwamei

Garrulax taewanus (II)

Taiwan Hwamei

Leiothrix argentauris (II)

Silver-eared mesia

Leiothrix lutea (II)

Red-billed leiothrix

Liocichla omeiensis (II)

Omei Shan liocichla

Picathartes gymnocephalus (I)

White-necked rockfowl

Picathartes oreas (I)

Grey-necked rockfowl

Terpsiphone bourbonnensis (III Mauritius)

Mascarene paradise-flycatcher

Paradisaeidae

Birds of paradise

Paradisaeidae spp. (II)

Birds of paradise

Pittidae

Pittas

Pitta guajana (II)

Banded pitta

Pitta gurneyi (I)

Gurney’s pitta

Pitta kochi (I)

Whiskered pitta

Pitta nympha (II)

Fairy pitta

Pycnonotidae

Bulbuls

Pycnonotus zeylanicus (II)

Straw-headed bulbul

Sturnidae

Mynas

Gracula religiosa (II)

Hill myna

Leucopsar rothschildi (I)

Bali myna

Zosteropidae

White-eyes

Zosterops albogularis (I)

White-chested white-eye

PELECANIFORMES

Fregatidae

Frigatebirds

Fregata andrewsi (I)

Christmas frigatebird

Pelecanidae

Pelicans

Pelecanus crispus (I)

Dalmatian pelican

Sulidae

Boobies

Papasula abbotti (I)

Abbott’s booby

PICIFORMES

Capitonidae

Barbets

Semnornis ramphastinus (III Colombia)

Toucan barbet

Picidae

Woodpeckers

Campephilus imperialis (I)

Imperial woodpecker

Dryocopus javensis richardsi (I)

Tristram’s woodpecker

Ramphastidae

Toucans

Baillonius bailloni (III Argentina)

Saffron toucanet

Pteroglossus aracari (II)

Black-necked aracari

Pteroglossus castanotis (III Argentina)

Chestnut-eared aracari

Pteroglossus viridis (II)

Green aracari

Ramphastos dicolorus (III Argentina)

Red-breasted toucan

Ramphastos sulfuratus (II)

Keel-billed toucan

Ramphastos toco (II)

Toco toucan

Ramphastos tucanus (II)

Red-billed toucan

Ramphastos vitellinus (II)

Channel-billed toucan

Selenidera maculirostris (III Argentina)

Spot-billed toucanet

PODICIPEDIFORMES

Podicipedidae

Grebes

Podilymbus gigas (I)

Atitlan Grebe

PROCELLARIIFORMES

Diomedeidae

Albatrosses

Phoebastria albatrus (I)

Short-tailed albatross

PSITTACIFORMES

Cockatoos, lories, macaws, parakeets, parrots etc.

PSITTACIFORMES spp. (II)

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

Parrots, etc.

Cacatuidae

Cockatoos

Cacatua goffiniana (I)

Tanimbar cockatoo

Cacatua haematuropygia (I)

Philippine cockatoo

Cacatua moluccensis (I)

Salmon-crested cockatoo

Cacatua sulphurea (I)

Yellow-crested cockatoo

Probosciger aterrimus (I)

Palm cockatoo

Loriidae

Lories, lorikeets

Eos histrio (I)

Red and blue lory

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

Blue lorikeets

Psittacidae

Amazons, macaws, parakeets, parrots

Amazona arausiaca (I)

Red-necked parrot

Amazona auropalliata (I)

Yellow-naped parrot

Amazona barbadensis (I)

Yellow-shouldered parrot

Amazona brasiliensis (I)

Red-tailed parrot

Amazona finschi (I)

Lilac-crowned parrot

Amazona guildingii (I)

St Vincent parrot

Amazona imperialis (I)

Imperial parrot

Amazona leucocephala (I)

Cuban parrot

Amazona oratrix (I)

Yellow-headed parrot

Amazona pretrei (I)

Red-spectacled parrot

Amazona rhodocorytha (I)

Red-browed parrot

Amazona tucumana (I)

Tucuman parrot

Amazona versicolor (I)

Saint Lucia parrot

Amazona vinacea (I)

Vinaceous parrot

Amazona viridigenalis (I)

Green-cheeked parrot

Amazona vittata (I)

Puerto Rican parrot

Anodorhynchus spp. (I)

Blue macaws

Ara ambiguus (I)

Great green macaw

Ara glaucogularis (I)

Blue-throated macaw

Ara macao (I)

Scarlet macaw

Ara militaris (I)

Military macaw

Ara rubrogenys (I)

Red-fronted macaw

Cyanopsitta spixii (I)

Spix’s macaw

Cyanoramphus cookii (I)

Norfolk Island parakeet

Cyanoramphus forbesi (I)

Chatham Island yellow-fronted parakeet

Cyanoramphus novaezelandiae (I)

Red-fronted parakeet

Cyanoramphus saisseti (I)

Red-crowned parakeet

Cyclopsitta diophthalma coxeni (I)

Coxen’s double-eyed fig parrot

Eunymphicus cornutus (I)

Horned parakeet

Guarouba guarouba (I)

Golden parakeet

Neophema chrysogaster (I)

Orange-bellied parrot

Ognorhynchus icterotis (I)

Yellow-eared parrot

Pezoporus occidentalis (possibly extinct) (I)

Night parrot

Pezoporus wallicus (I)

Ground parrot

Pionopsitta pileata (I)

Pileated parrot

Primolius couloni (I)

Blue-headed macaw

Primolius maracana (I)

Blue-winged macaw

Psephotus chrysopterygius (I)

Golden-shouldered parrot

Psephotus dissimilis (I)

Hooded parrot

Psephotus pulcherrimus (possibly extinct) (I)

Paradise parrot

Psittacula echo (I)

Mauritius parakeet

Pyrrhura cruentata (I)

Blue-throated parakeet

Rhynchopsitta spp. (I)

Thick-billed parrots

Strigops habroptilus (I)

Kakapo

RHEIFORMES

Rheidae

Rheas

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

Lesser rhea

Pterocnemia pennata pennata (II)

Lesser rhea

Rhea americana (II)

Greater rhea

SPHENISCIFORMES

Spheniscidae

Penguins

Spheniscus demersus (II)

Jackass penguin

Spheniscus humboldti (I)

Humboldt penguin

STRIGIFORMES

Owls

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

Owls

Strigidae

Owls

Aegolius funereus (II)

Boreal owl

Asio flammeus (II)

Short-eared owl

Asio otus (II)

Long-eared owl

Athene noctua (II)

Little owl

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

Eurasian eagle-owl

Glaucidium passerinum (II)

Eurasian pygmy-owl

Heteroglaux blewitti (I)

Forest owlet

Mimizuku gurneyi (I)

Lesser eagle-owl

Ninox natalis (I)

Christmas hawk-owl

Ninox novaeseelandiae undulata (I)

Norfolk boobook

Nyctea scandiaca (II)

Snowy owl

Otus ireneae (II)

Sokoke scops-owl

Otus scops (II)

Eurasian scops-owl

Strix aluco (II)

Tawny owl

Strix nebulosa (II)

Great grey owl

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

Ural owl

Surnia ulula (II)

Northern hawk owl

Tytonidae

Barn owls

Tyto alba (II)

Barn owl

Tyto soumagnei (I)

Soumagne’s owl

STRUTHIONIFORMES

Struthionidae

Ostrich

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

Ostrich

TINAMIFORMES

Tinamidae

Tinamous

Tinamus solitarius (I)

Solitary tinamou

TROGONIFORMES

Trogonidae

Quetzals

Pharomachrus mocinno (I)

Resplendent quetzal

REPTILIA

Reptiles

CROCODYLIA

Alligators, caimans, crocodiles

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

Alligators, caimans, crocodiles

Alligatoridae

Alligators, caimans

Alligator sinensis (I)

Chinese alligator

Caiman crocodilus apaporiensis (I)

Rio Apaporis spectacled caiman

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

Broad-nosed caiman

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

Black caiman

Crocodylidae

Crocodiles

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

American crocodile

Crocodylus cataphractus (I)

African slender-snouted crocodile

Crocodylus intermedius (I)

Orinoco crocodile

Crocodylus mindorensis (I)

Philippine crocodile

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

Morelet’s crocodile

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

Nile crocodile

Crocodylus palustris (I)

Mugger crocodile

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

Estuarine crocodile

Crocodylus rhombifer (I)

Cuban crocodile

Crocodylus siamensis (I)

Siamese crocodile

Osteolaemus tetraspis (I)

West African dwarf crocodile

Tomistoma schlegelii (I)

False gharial

Gavialidae

Gavial or gharial

Gavialis gangeticus (I)

Gharial

RHYNCHOCEPHALIA

Sphenodontidae

Tuataras

Sphenodon spp. (I)

Tuataras

SAURIA

Agamidae

Spiny-tailed lizards (Agamas, mastigures)

Uromastyx spp. (II)

Spiny-tailed lizards

Chamaeleonidae

Chameleons

Bradypodion spp. (II)

Dwarf chameleons

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

Dwarf chameleons

Brookesia perarmata (I)

Dwarf spiny chameleon

Calumma spp. (II)

Madagascar chameleons

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

Chameleons

Chamaeleo chamaeleon (II)

European chameleon

Furcifer spp. (II)

Madagascar chameleons

Kinyongia spp. (II)

Dwarf chameleons

Nadzikambia spp. (II)

Dwarf chameleons

Cordylidae

Spiny-tailed lizards

Cordylus spp. (II)

Girdled lizards

Gekkonidae

Geckos

Cyrtodactylus serpensinsula (II)

Serpent Island gecko

Hoplodactylus spp. (III New Zealand)

Sticky-toed geckos

Naultinus spp. (III New Zealand)

New Zealand tree geckos

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

Day geckos

Phelsuma guentheri (II)

Round Island day gecko

Uroplatus spp. (II)

Flat-tailed geckos

Helodermatidae

Gila monster and beaded lizard

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

Gila monster and beaded lizard

Heloderma horridum charlesbogerti (I)

Guatemalan beaded lizard

Iguanidae

Iguanas

Amblyrhynchus cristatus (II)

Galapagos marine iguana

Brachylophus spp. (I)

Fiji iguanas

Conolophus spp. (II)

Galapagos land iguanas

Ctenosaura bakeri (II)

Utila Island spiny-tailed iguana

Ctenosaura oedirhina (II)

Roatan spiny-tailed iguana

Ctenosaura melanosterna (II)

Rio Aguan Valley spiny-tailed iguana

Ctenosaura palearis (II)

Guatemalan Spiny-tailed iguana

Cyclura spp. (I)

Ground iguanas

Iguana spp. (II)

Iguanas

Phrynosoma blainvillii (II)

Phrynosoma cerroense (II)

Phrynosoma coronatum (II)

Coast horned lizard

Phrynosoma wigginsi (II)

Sauromalus varius (I)

San Esteban Island chuckwalla

Lacertidae

Lizards

Gallotia simonyi (I)

Hierro giant lizard

Podarcis lilfordi (II)

Lilford’s wall lizard

Podarcis pityusensis (II)

Ibiza wall lizard

Scincidae

Skinks

Corucia zebrata (II)

Prehensile-tailed skink

Teiidae

Caiman lizards, tegu lizards

Crocodilurus amazonicus (II)

Dragon lizard

Dracaena spp. (II)

Caiman lizards

Tupinambis spp.(II)

Tegus

Varanidae

Monitor lizards

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

Monitor lizards

Varanus bengalensis (I)

Indian monitor

Varanus flavescens (I)

Yellow monitor

Varanus griseus (I)

Desert monitor

Varanus komodoensis (I)

Komodo dragon

Varanus nebulosus (I)

Clouded monitor

Varanus olivaceus (II)

Gray’s monitor

Xenosauridae

Chinese crocodile lizard

Shinisaurus crocodilurus (II)

Chinese crocodile lizard

SERPENTES

Snakes

Boidae

Boas

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

Boas

Acrantophis spp. (I)

Madagascar ground boas

Boa constrictor occidentalis (I)

Argentine boa constrictor

Epicrates inornatus (I)

Puerto Rican boa

Epicrates monensis (I)

Virgin Island tree boa

Epicrates subflavus (I)

Jamaican boa

Eryx jaculus (II)

Spotted sand boa

Sanzinia madagascariensis (I)

Madagascar tree boa

Bolyeriidae

Round Island boas

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

Round Island boas

Bolyeria multocarinata (I)

Round Island boa

Casarea dussumieri (I)

Round Island keel-scaled boa

Colubridae

Typical snakes, water snakes, whip snakes

Atretium schistosum (III India)

Olive keel-back

Cerberus rynchops (III India)

Dog-faced water snake

Clelia clelia (II)

Mussurana

Cyclagras gigas (II)

False cobra

Elachistodon westermanni (II)

Indian egg-eating snake

Ptyas mucosus (II)

Common rat snake

Xenochrophis piscator (III India)

Checkered keel-back

Elapidae

Cobras, coral snakes

Hoplocephalus bungaroides (II)

Broad-headed snake

Micrurus diastema (III Honduras)

Atlantic coral snake

Micrurus nigrocinctus (III Honduras)

Central American coral snake

Naja atra (II)

Chinese spitting cobra

Naja kaouthia (II)

Monocellate cobra

Naja mandalayensis (II)

Burmese spitting cobra

Naja naja (II)

Indian cobra

Naja oxiana (II)

Central Asian cobra

Naja philippinensis (II)

North Philippine spitting cobra

Naja sagittifera (II)

Andaman cobra

Naja samarensis (II)

South-east Philippine spitting cobra

Naja siamensis (II)

Indochinese spitting cobra

Naja sputatrix (II)

South Indonesian spitting cobra

Naja sumatrana (II)

Golden spitting cobra

Ophiophagus hannah (II)

King cobra

Loxocemidae

Mexican dwarf boa

Loxocemidae spp. (II)

Mexican dwarf boa

Pythonidae

Pythons

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

Pythons

Python molurus molurus (I)

Indian python

Tropidophiidae

Wood boas

Tropidophiidae spp. (II)

Wood boas

Viperidae

Vipers

Crotalus durissus (III Honduras)

Neotropical rattlesnake

Crotalus durissus unicolor

Aruba rattlesnake

Daboia russelii (III India)

Russell’s viper

Vipera latifii

Latifi’s viper

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

Orsini’s viper

Vipera wagneri (II)

Wagner’s viper

TESTUDINES

Carettochelyidae

Pig-nosed turtles

Carettochelys insculpta (II)

Pig-nosed turtle

Chelidae

Austro-American sideneck turtles

Chelodina mccordi (II)

Roti snake-necked turtle

Pseudemydura umbrina (I)

Western swamp turtle

Cheloniidae

Sea turtles

Cheloniidae spp. (I)

Sea turtles

Chelydridae

Snapping turtles

Macrochelys temminckii (III United States of America)

Alligator snapping turtle

Dermatemydidae

Central American river turtle

Dermatemys mawii (II)

Central American river turtle

Dermochelyidae

Leatherback turtle

Dermochelys coriacea (I)

Leatherback turtle

Emydidae

Box turtles, freshwater turtles

Chrysemys picta

Painted turtle

Glyptemys insculpta (II)

Wood turtle

Glyptemys muhlenbergii (I)

Bog turtle

Graptemys spp. (III United States of America)

Map turtles

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

Box turtles

Terrapene coahuila (I)

Aquatic box turtle

Trachemys scripta elegans

Red-eared terrapin

Geoemydidae

Batagur affinis (I)

Southern river terrapin

Batagur baska (I)

Batagur

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

Cuora spp. (II)

Asian box turtles

Geoclemys hamiltonii (I)

Black pond turtle

Geoemyda spengleri (III China)

Black-breasted leaf turtle

Heosemys annandalii (II)

Yellow-headed temple turtle

Heosemys depressa (II)

Arakan forest turtle

Heosemys grandis (II)

Giant Asian turtle

Heosemys spinosa (II)

Spiny turtle

Leucocephalon yuwonoi (II)

Sulawesi forest turtle

Malayemys macrocephala (II)

Snail-eating turtle

Malayemys subtrijuga (II)

Ricefield turtle

Mauremys annamensis (II)

Annam pond turtle

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)

Three-keeled land tortoise

Morenia ocellata (I)

Burmese swamp turtle

Notochelys platynota (II)

Malayan flat-shelled turtle

Ocadia glyphistoma (III China)

Notch-mouthed stripe-necked turtle

Ocadia philippeni (III China)

Philippen’s stripe-necked turtle

Orlitia borneensis (II)

Malayan giant turtle

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

Roofed turtles

Pangshura tecta (I)

Indian roofed turtle

Sacalia bealei (III China)

Beal’s eyed turtle

Sacalia pseudocellata (III China)

Chinese false-eyed turtle

Sacalia quadriocellata (III China)

Four-eyed turtle

Siebenrockiella crassicollis (II)

Black marsh turtle

Siebenrockiella leytensis (II)

Philippine pond turtle

Platysternidae

Big-headed turtle

Platysternon megacephalum (II)

Big-headed turtle

Podocnemididae

Afro-American sideneck turtles

Erymnochelys madagascariensis (II)

Madagascar sideneck turtle

Peltocephalus dumerilianus (II)

Big-headed sideneck turtle

Podocnemis spp. (II)

Sideneck turtles

Testudinidae

Tortoises

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

Tortoises

Astrochelys radiata (I)

Radiated tortoise

Astrochelys yniphora (I)

Angonoka

Chelonoidis nigra (I)

Galapagos giant tortoise

Gopherus flavomarginatus (I)

Bolson tortoise

Malacochersus tornieri (II)

Pancake tortoise

Psammobates geometricus (I)

Geometric tortoise

Pyxis arachnoides (I)

Madagascar spider tortoise

Pyxis planicauda (I)

Madagascar flat-shelled tortoise

Testudo graeca (II)

Spur-thighed tortoise

Testudo hermanni (II)

Hermann’s tortoise

Testudo kleinmanni (I)

Egyptian tortoise

Testudo marginata (II)

Marginated tortoise

Trionychidae

Softshell turtles, terrapins

Amyda cartilaginea (II)

Southeast Asian soft-shelled turtle

Apalone spinifera atra (I)

Cuatro Cienagas soft-shell turtle

Aspideretes gangeticus (I)

Indian soft-shell turtle

Aspideretes hurum (I)

Peacock soft-shell turtle

Aspideretes nigricans (I)

Black soft-shell turtle

Chitra spp. (II)

Narrow-headed softshell turtles

Lissemys punctata (II)

Indo-Gangetic flapshell turtle

Lissemys scutata (II)

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

Amphibians

ANURA

Frogs and toads

Bufonidae

Toads

Altiphrynoides spp. (I)

Malcolm’s Ethiopian toad

Atelopus zeteki (I)

Golden frog

Bufo periglenes (I)

Golden toad

Bufo superciliaris (I)

Cameroon toad

Nectophrynoides spp. (I)

African viviparous toads

Nimbaphrynoides spp. (I)

Nimba toads

Spinophrynoides spp. (I)

Osgood’s Ethiopian toad

Calyptocephalellidae

Calyptocephalella gayi (III Chile)

Dendrobatidae

Poison frogs

Allobates femoralis (II)

Brilliant-thighed poison frog

Allobates zaparo (II)

Sanguine poison frog

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

Hylidae

Agalychnis spp. (II)

Mantellidae

Mantella frogs

Mantella spp. (II)

Mantella frogs

Microhylidae

Tomato frogs

Dyscophus antongilii (I)

Tomato frog

Scaphiophryne gottlebei (II)

Red rain frog

Ranidae

Frogs

Conraua goliath

Goliath frog

Euphlyctis hexadactylus (II)

Six-fingered frog

Hoplobatrachus tigerinus (II)

Tiger frog

Rana catesbeiana

American bullfrog

Rheobatrachidae

Gastric brooding frogs

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

Gastric brooding frog

Rheobatrachus silus (II)

Platypus frog

CAUDATA

Ambystomatidae

Axolotls

Ambystoma dumerilii (II)

Lake Patzcuaro salamander

Ambystoma mexicanum (II)

Axolotl

Cryptobranchidae

Giant salamanders

Andrias spp. (I)

Giant salamanders

Salamandridae

Salamanders and newts

Neurergus kaiseri (I)

Kaiser’s spotted newt

ELASMOBRANCHII

Sharks and rays

LAMNIFORMES

Cetorhinidae

Basking sharks

Cetorhinus maximus (II)

Basking shark

Lamnidae

Great white shark

Carcharodon carcharias (II)

Great white shark

Lamna nasus (III 27 Member States)(20)

Porbeagle

ORECTOLOBIFORMES

Rhincodontidae

Whale sharks

Rhincodon typus (II)

Whale shark

RAJIFORMES

Pristidae

Sawfishes

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

Sawfishes

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)

Freshwater sawfish

ACTINOPTERYGII

Fish

ACIPENSERIFORMES

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

Sturgeons and paddlefish

Acipenseridae

Sturgeons

Acipenser brevirostrum (I)

Shortnose sturgeon

Acipenser sturio (I)

Common sturgeon

ANGUILLIFORMES

Anguillidae

Freshwater eels

Anguilla anguilla (II)

European eel

CYPRINIFORMES

Catostomidae

Cui-ui

Chasmistes cujus (I)

Cui-ui

Cyprinidae

Blind carps, plaeesok

Caecobarbus geertsi (II)

African blind barb fish

Probarbus jullieni (I)

Ikan temoleh

OSTEOGLOSSIFORMES

Osteoglossidae

Arapaimas, bonytongues

Arapaima gigas (II)

Arapaima

Scleropages formosus (I)

Asian arowana

PERCIFORMES

Labridae

Wrasses

Cheilinus undulatus (II)

Humphead wrasse

Sciaenidae

Totoabas

Totoaba macdonaldi (I)

Totoaba

SILURIFORMES

Pangasiidae

Pangasid catfish

Pangasianodon gigas (I)

Giant catfish

SYNGNATHIFORMES

Syngnathidae

Pipefishes, seahorses

Hippocampus spp. (II)

Seahorses

SARCOPTERYGII

Lungfishes

CERATODONTIFORMES

Ceratodontidae

Australian lungfishes

Neoceratodus forsteri (II)

Australian lungfish

COELACANTHIFORMES

Latimeriidae

Coelacanths

Latimeria spp. (I)

Coelacanths

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

HOLOTHUROIDEA

Sea cucumbers

ASPIDOCHIROTIDA

Stichopodidae

Sea cucumbers

Isostichopus fuscus (III Ecuador)

Brown sea cucumber

ARTHROPODA (ARTHROPODS)

ARACHNIDA

Spiders and scorpions

ARANEAE

Theraphosidae

Red-kneed tarantulas, tarantulas

Aphonopelma albiceps (II)

Aphonopelma pallidum (II)

Chihuahua rose-grey tarantula

Brachypelma spp. (II)

Central American tarantulas

SCORPIONES

Scorpionidae

Scorpions

Pandinus dictator (II)

Pandinus gambiensis (II)

Giant Senegalese scorpion

Pandinus imperator (II)

Emperor scorpion

INSECTA

Insects

COLEOPTERA

Beetles

Lucanidae

Stag beetles

Colophon spp. (III South Africa)

Cape stag beetles

Scarabaeidae

Scarab beetles

Dynastes satanas (II)

Satanas beetle

LEPIDOPTERA

Butterflies

Nymphalidae

Agrias amydon boliviensis (III Bolivia)

Morpho godartii lachaumei (III Bolivia)

Prepona praeneste buckleyana (III Bolivia)

Papilionidae

Birdwing and swallowtail butterflies

Atrophaneura jophon (II)

Sri Lankan rose

Atrophaneura palu

Palu swallowtail butterfly

Atrophaneura pandiyana (II)

Malabar rose

Bhutanitis spp. (II)

Swallowtail butterflies

Graphium sandawanum

Apo swallowtail butterfly

Graphium stresemanni

Seram swallowtail

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

Birdwing butterflies

Ornithoptera alexandrae (I)

Queen Alexandra’s birdwing

Papilio benguetanus

Papilio chikae (I)

Luzon peacock swallowtail

Papilio esperanza

Papilio homerus (I)

Homerus swallowtail

Papilio hospiton (I)

Corsican swallowtail

Papilio morondavana

Madagascan emperor swallowtail

Papilio neumoegeni

Parides ascanius

Fluminense swallowtail butterfly

Parides hahneli

Hahnel’s amazonian swallowtail butterfly

Parnassius apollo (II)

Mountain apollo

Teinopalpus spp. (II)

Kaiser-I-Hind butterflies

Trogonoptera spp. (II)

Birdwing butterflies

Troides spp. (II)

Birdwing butterflies

ANNELIDA (SEGMENTED WORMS AND LEECHES)

HIRUDINOIDEA

Leeches

ARHYNCHOBDELLIDA

Hirudinidae

Leeches

Hirudo medicinalis (II)

Northern medicinal leech

Hirudo verbana (II)

Southern medicinal leech

MOLLUSCA (MOLLUSCS)

BIVALVIA

Bivalve molluscs (clams, mussels etc.)

MYTILOIDA

Mytilidae

Marine mussels

Lithophaga lithophaga (II)

European date mussel

UNIONOIDA

Unionidae

Freshwater mussels, pearly mussels

Conradilla caelata (I)

Birdwing pearly mussel

Cyprogenia aberti (II)

Western fanshell mussel

Dromus dromas (I)

Dromedary pearly mussel

Epioblasma curtisii (I)

Curtis’ pearly mussel

Epioblasma florentina (I)

Yellow-blossom pearly mussel

Epioblasma sampsonii (I)

Wabash riffleshell

Epioblasma sulcata perobliqua (I)

White catspaw mussel

Epioblasma torulosa gubernaculum (I)

Green-blossom pearly mussel

Epioblasma torulosa rangiana (II)

Northern riffleshell

Epioblasma torulosa torulosa (I)

Turbercled-blossom pearly mussel

Epioblasma turgidula (I)

Turgid-blossom pearly mussel

Epioblasma walkeri (I)

Tan riffleshell

Fusconaia cuneolus (I)

Fine-rayed pigtoe pearly mussel

Fusconaia edgariana (I)

Shiny pigtoe pearly mussel

Lampsilis higginsii (I)

Higgins’ eye pearly mussel

Lampsilis orbiculata orbiculata (I)

Pink mucket pearly mussel

Lampsilis satur (I)

Sandback pocketbook mussel

Lampsilis virescens (I)

Alabama lamp pearly mussel

Plethobasus cicatricosus (I)

White warty-back pearly mussel

Plethobasus cooperianus (I)

Orange-footed pimpleback mussel

Pleurobema clava (II)

Clubshell pearly mussel

Pleurobema plenum (I)

Rough pigtoe pearly mussel

Potamilus capax (I)

Fat pocketbook pearly mussel

Quadrula intermedia (I)

Cumberland monkey-face pearly mussel

Quadrula sparsa (I)

Appalachian monkey-face pearly mussel

Toxolasma cylindrella (I)

Pale lilliput pearly mussel

Unio nickliniana (I)

Nicklin’s pearly mussel

Unio tampicoensis tecomatensis (I)

Tampico pearly mussel

Villosa trabalis (I)

Cumberland bean pearly mussel

VENEROIDA

Tridacnidae

Giant clams

Tridacnidae spp. (II)

Giant clams

GASTROPODA

Slugs, snails and conches

MESOGASTROPODA

Strombidae

Conches

Strombus gigas (II)

Queen conch

STYLOMMATOPHORA

Achatinellidae

Agate snails, oahu tree snails

Achatinella spp. (I)

Little agate shells

Camaenidae

Green tree snail

Papustyla pulcherrima (II)

Manus green tree snail

CNIDARIA (CORALS, FIRE CORALS, SEA ANEMONES)

ANTHOZOA

Corals, sea anemones

ANTIPATHARIA

ANTIPATHARIA spp. (II)

Black corals

GORGONACEAE

Coralliidae

Corallium elatius (III China)

Corallium japonicum (III China)

Corallium konjoi (III China)

Corallium secundum (III China)

HELIOPORACEA

Helioporidae

Blue coral

Helioporidae spp. (II) (Includes only the species Heliopora coerulea)(21)

Blue coral

SCLERACTINIA

SCLERACTINIA spp. (II)(22)

Stony corals

STOLONIFERA

Tubiporidae

Organpipe corals

Tubiporidae spp. (II)(23)

Organpipe corals

HYDROZOA

Sea ferns, fire corals, stinging medusas

MILLEPORINA

Milleporidae

Wello fire corals

Milleporidae spp. (II)(24)

Wello fire corals

STYLASTERINA

Stylasteridae

Lace corals

Stylasteridae spp. (II)(25)

Lace corals

FLORA

AGAVACEAE

Agaves

Agave parviflora (I)

Santa Cruz striped agave

Agave victoriae-reginae (II) #4

Queen Victoria agave

Nolina interrata (II)

Dehesa bear-grass

AMARYLLIDACEAE

Amaryllids

Galanthus spp. (II) #4

Snowdrops

Sternbergia spp. (II) #4

Sternbergias

ANACARDIACEAE

Operculicarya hyphaenoides (II)

Jabihy

Operculicarya pachypus (II)

Tabily

APOCYNACEAE

Hoodia spp. (II) #9

Hoodia

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

Elephant trunks

Pachypodium ambongense (I)

Pachypodium baronii (I)

Pachypodium decaryi (I)

Rauvolfia serpentina (II) #2

Snake-root devil-pepper

ARALIACEAE

Aralias

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

Asian ginseng

Panax quinquefolius (II) #3

American ginseng

ARAUCARIACEAE

Araucarias

Araucaria araucana (I)

Monkey-puzzle tree

BERBERIDACEAE

Barberries

Podophyllum hexandrum (II) #2

Himalayan may-apple

BROMELIACEAE

Air plants, bromelias

Tillandsia harrisii (II) #4

Harris’ tillandsia

Tillandsia kammii (II) #4

Kamm’s tillandsia

Tillandsia kautskyi (II) #4

Kautsky’s tillandsia

Tillandsia mauryana (II) #4

Maury’s tillandsia

Tillandsia sprengeliana (II) #4

Sprengel’s tillandsia

Tillandsia sucrei (II) #4

Sucre tillandsia

Tillandsia xerographica (II)(26) #4

Xerographic tillandsia

CACTACEAE

Cacti

CACTACEAE spp. (II) (Except for the species included in Annex A and Pereskia spp., Pereskiopsis spp. and Quiabentia spp.)(27) #4

Cacti

Ariocarpus spp. (I)

Living rock cacti

Astrophytum asterias (I)

Star cactus

Aztekium ritteri (I)

Aztec cactus

Coryphantha werdermannii (I)

Jobali pincushion cactus

Discocactus spp. (I)

Discocacti

Echinocereus ferreirianus ssp. lindsayi (I)

Lindsay’s hedgehog cacti

Echinocereus schmollii (I)

Lamb’s-tail cactus

Escobaria minima (I)

Nelle’s cactus

Escobaria sneedii (I)

Sneed’s pincushion cactus

Mammillaria pectinifera (I)

Conchilinque

Mammillaria solisioides (I)

Pitayita

Melocactus conoideus (I)

Conelike Turk’s-cap cactus

Melocactus deinacanthus (I)

Wonderfully-bristled Turk’s cap cactus

Melocactus glaucescens (I)

Woolly waxy-stemmed Turk’s-cap cactus

Melocactus paucispinus (I)

Few-spined Turk’s-cap cactus

Obregonia denegrii (I)

Artichoke cactus

Pachycereus militaris (I)

Grenadier’s cap

Pediocactus bradyi (I)

Brady’s pincushion cactus

Pediocactus knowltonii (I)

Knowlton’s cactus

Pediocactus paradinei (I)

Houserock valley cactus

Pediocactus peeblesianus (I)

Peebles’s Navajo cactus

Pediocactus sileri (I)

Siler’s pincushion cactus

Pelecyphora spp. (I)

Pine cane cactus

Sclerocactus brevihamatus ssp. tobuschii (I)

Tobusch fishhook cactus

Sclerocactus erectocentrus (I)

Needle-spined pineapple cactus

Sclerocactus glaucus (I)

Uinta Basin hookless cactus

Sclerocactus mariposensis (I)

Mariposa cactus

Sclerocactus mesae-verdae (I)

Mesa Verde cactus

Sclerocactus nyensis (I)

Tonopah fishook cactus

Sclerocactus papyracanthus (I)

Grama-grass cactus

Sclerocactus pubispinus (I)

Great-Basin fishhook cactus

Sclerocactus wrightiae (I)

Wright’s fishhook cactus

Strombocactus spp. (I)

Peyote

Turbinicarpus spp. (I)

Turbinicarps

Uebelmannia spp. (I)

Uebelmann cacti

CARYOCARACEAE

Ajos

Caryocar costaricense (II) #4

Ajillo

COMPOSITAE (ASTERACEAE)

Asters, daisies, costus

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

Costus

CRASSULACEAE

Dudleyas, crassulas

Dudleya stolonifera (II)

Laguna beach dudleya

Dudleya traskiae (II)

Santa Barbara Island dudleya

CUCURBITACEAE

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

Tobory

Zygosicyos tripartitus (II)

Betoboky

CUPRESSACEAE

Cypresses

Fitzroya cupressoides (I)

Alerce

Pilgerodendron uviferum (I)

Pilgerodendron

CYATHEACEAE

Tree ferns

Cyathea spp. (II) #4

Tree ferns

CYCADACEAE

Cycads

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

Cycads

Cycas beddomei (I)

Beddome’s cycad

DICKSONIACEAE

Tree ferns

Cibotium barometz (II) #4

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

Tree ferns

DIDIEREACEAE

Didiereas

DIDIEREACEAE spp. (II) #4

Alluaudias, didiereas

DIOSCOREACEAE

Yams

Dioscorea deltoidea (II) #4

Elephant’s foot

DROSERACEAE

Sundews

Dionaea muscipula (II) #4

Venus fly-trap

EUPHORBIACEAE

Spurges

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

5)  the species included in Annex A)

Euphorbias

Euphorbia ambovombensis (I)

Euphorbia capsaintemariensis (I)

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

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

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

Euphorbia francoisii (I)

Euphorbia handiensis (II)

Euphorbia lambii (II)

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

Euphorbia parvicyathophora (I)

Euphorbia quartziticola (I)

Euphorbia stygiana (II)

Euphorbia tulearensis (I)

FOUQUIERIACEAE

Ocotillos, boojums

Fouquieria columnaris (II) #4

Boojum tree

Fouquieria fasciculata (I)

Arbol del barril

Fouquieria purpusii (I)

GNETACEAE

Joint firs

Gnetum montanum (III Nepal) #1

JUGLANDACEAE

Walnuts, gavilan

Oreomunnea pterocarpa (II) #4

Gavilàn

LAURACEAE

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

Brazilian rosewood

LEGUMINOSAE

(FABACEAE)

Legumes

Caesalpinia echinata (II) #10

Brazil wood

Dalbergia nigra (I)

Brazilian rosewood

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

Black rosewood

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

Honduras rosewood

Dipteryx panamensis (III Costa Rica / Nicaragua)

Almendro

Pericopsis elata (II) #5

Afrormosia

Platymiscium pleiostachyum (II) #4

Quira macawood

Pterocarpus santalinus (II) #7

Red sandalwood

LILIACEAE

Lilies

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

Aloes

Aloe albida (I)

Aloe albiflora (I)

Aloe alfredii (I)

Aloe bakeri (I)

Aloe bellatula (I)

Aloe calcairophila (I)

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

Aloe delphinensis (I)

Aloe descoingsii (I)

Aloe fragilis (I)

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

Aloe helenae (I)

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

Aloe parallelifolia (I)

Aloe parvula (I)

Aloe pillansii (I)

Aloe polyphylla (I)

Aloe rauhii (I)

Aloe suzannae (I)

Aloe versicolor (I)

Aloe vossii (I)

MAGNOLIACEAE

Magnolias

Magnolia liliifera var. obovata (III Nepal) #1

Safan

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

Swietenia humilis (II) #4

Honduras mahogany

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

Big-leaf mahogany

Swietenia mahagoni (II) #5

Caribbean mahogany

NEPENTHACEAE

Pitcher plants (old-world)

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

Tropical pitcher plants

Nepenthes khasiana (I)

Indian pitcher plant

Nepenthes rajah (I)

Giant tropical pitcher plant

ORCHIDACEAE

Orchids

ORCHIDACEAE spp. (II) (Except for the species included in Annex A)(28) #4

Orchids

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 in sterile containers

Aerangis ellisii (I)

Cephalanthera cucullata (II)

Hooded helleborine

Cypripedium calceolus (II)

Lady’s slipper orchid

Dendrobium cruentum (I)

Goodyera macrophylla (II)

Madeiran lady’s-tresses

Laelia jongheana (I)

Laelia lobata (I)

Liparis loeselii (II)

Fen orchid

Ophrys argolica (II)

Eyed bee orchid

Ophrys lunulata (II)

Crescent ophrys

Orchis scopulorum (II)

Madeiran orchid

Paphiopedilum spp. (I)

Asian slipper orchids

Peristeria elata (I)

Holy ghost orchid

Phragmipedium spp. (I)

South American slipper orchids

Renanthera imschootiana (I)

Red vanda

Spiranthes aestivalis (II)

Summer lady’s-tresses

OROBANCHACEAE

Broomrapes

Cistanche deserticola (II) #4

Desert cistanche

PALMAE

(ARECACEAE)

Palms

Beccariophoenix madagascariensis (II) #4

Manarano

Chrysalidocarpus decipiens (I)

Butterfly palm

Lemurophoenix halleuxii (II)

Hovitra varimena

Lodoicea maldivica (III Seychelles) #13

Coco de Mer

Marojejya darianii (II)

Ravimbe

Neodypsis decaryi (II) #4

Triangle palm

Ravenea louvelii(II)

Lakamarefo

Ravenea rivularis (II)

Gora

Satranala decussilvae (II)

Satranabe

Voanioala gerardii (II)

Voanioala

PAPAVERACEAE

Poppies

Meconopsis regia (III Nepal) #1

Himalayan poppy

PASSIFLORACEAE

Adenia olaboensis (II)

Vahisasety

PINACEAE

Pine family

Abies guatemalensis (I)

Guatemalan fir

Pinus koraiensis (III Russian Federation) #5

PODOCARPACEAE

Podocarps

Podocarpus neriifolius (III Nepal) #1

Yellow wood

Podocarpus parlatorei (I)

Parlatore’s podocarp

PORTULACACEAE

Portulacas, purslanes

Anacampseros spp. (II) #4

Purslanes

Avonia spp. (II) #4

Lewisia serrata (II) #4

Saw-toothed lewisia

PRIMULACEAE

Primulas, cyclamens

Cyclamen spp. (II)(29) #4

Cyclamens

RANUNCULACEAE

Buttercups

Adonis vernalis (II) #2

Yellow adonis

Hydrastis canadensis (II) #8

Golden seal

ROSACEAE

Roses, cherries

Prunus africana (II) #4

African cherry

RUBIACEAE

Ayugue

Balmea stormiae (I)

Ayugue

SARRACENIACEAE

Pitcher plants (new world)

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

Pitcher plants

Sarracenia oreophila (I)

Green pitcher plant

Sarracenia rubra ssp. alabamensis (I)

Alabama canebrake pitcher plant

Sarracenia rubra ssp. jonesii (I)

Mountain sweet pitcher plant

SCROPHULARIACEAE

Figworts

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

Indian gentian

STANGERIACEAE

Stangerias (cycads)

Bowenia spp. (II) #4

Cycads

Stangeria eriopus (I)

Stangeria

TAXACEAE

Yews

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

Chinese yew

Taxus cuspidata and infraspecific taxa of this species (II)(30) #2

Japanese yew

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

Tibetan yew

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

Sumatran yew

Taxus wallichiana (II) #2

Himalayan yew

THYMELAEACEAE

(AQUILARIACEAE)

Agarwood, ramin

Aquilaria spp. (II) #4

Agarwood

Gonystylus spp. (II) #4

Ramin

Gyrinops spp. (II) #4

Agarwood

TROCHODENDRACEAE

(TETRACENTRACEAE)

Tetracentrons

Tetracentron sinense (III Nepal) #1

VALERIANACEAE

Valerians

Nardostachys grandiflora (II) #2

VITACEAE

Cyphostemma elephantopus (II)

Lazampasika

Cyphostemma montagnacii (II)

Lazambohitra

WELWITSCHIACEAE

Welwitschias

Welwitschia mirabilis (II) #4

Welwitschia

ZAMIACEAE

Cycads

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

Cycads

Ceratozamia spp. (I)

Horncones

Chigua spp. (I)

Encephalartos spp. (I)

Bread palms

Microcycas calocoma (I)

Palm corcho

ZINGIBERACEAE

Ginger lilies

Hedychium philippinense (II) #4

Philippine garland-flower

ZYGOPHYLLACEAE

Lignum-vitae

Bulnesia sarmientoi (II) #11

Holy wood

Guaiacum spp. (II) #2

Lignum-vitae

Annex D

Common name

FAUNA

CHORDATA (CHORDATES)

MAMMALIA

Mammals

CARNIVORA

Canidae

Dogs, foxes, wolves

Vulpes vulpes griffithi (III India) §1

Red fox

Vulpes vulpes montana (III India) §1

Red fox

Vulpes vulpes pusilla (III India) §1

Red fox

Mustelidae

Badgers, martens, weasels etc.

Mustela altaica (III India) §1

Mountain weasel

Mustela erminea ferghanae (III India) §1

Stoat

Mustela kathiah (III India) §1

Yellow-bellied weasel

Mustela sibirica (III India) §1

Siberian weasel

DIPROTODONTIA

Macropodidae

Kangaroos, wallabies

Dendrolagus dorianus

Doria’s tree-kangaroo

Dendrolagus goodfellowi

Goodfellow’s tree-kangaroo

Dendrolagus matschiei

Huon tree-kangaroo

Dendrolagus pulcherrimus

Golden-mantled tree-kangaroo

Dendrolagus stellarum

Seri’s tree-kangaroo

AVES

Birds

ANSERIFORMES

Anatidae

Ducks, geese, swans

Anas melleri

Meller’s duck

COLUMBIFORMES

Columbidae

Doves, pigeons

Columba oenops

Peruvian pigeon

Didunculus strigirostris

Tooth-billed pigeon

Ducula pickeringii

Grey imperial-pigeon

Gallicolumba crinigera

Mindanao bleeding-heart

Ptilinopus marchei

Flame-breasted fruit-dove

Turacoena modesta

Black cuckoo-dove

GALLIFORMES

Cracidae

Chachalacas, currassows, guans

Crax alector

Black curassow

Pauxi unicornis

Horned curassow

Penelope pileata

White-crested guan

Megapodiidae

Megapodes, scrubfowl

Eulipoa wallacei

Moluccan scrubfowl

Phasianidae

Grouse, guineafowl, partridges, pheasants, tragopans

Arborophila gingica

White-necklaced partridge

Lophura bulweri

Bulwer’s pheasant

Lophura diardi

Siamese fireback

Lophura inornata

Salvadori’s pheasant

Lophura leucomelanos

Kalij pheasant

Syrmaticus reevesii §2

Reeves’s pheasant

PASSERIFORMES

Bombycillidae

Waxwings

Bombycilla japonica

Japanese waxwing

Corvidae

Crows, magpies, jays

Cyanocorax caeruleus

Azure jay

Cyanocorax dickeyi

Tufted jay

Cotingidae

Cotingas

Procnias nudicollis

Bare-throated bellbird

Emberizidae

Cardinals, seedeaters, tanagers

Dacnis nigripes

Black-legged dacnis

Sporophila falcirostris

Temminck’s seedeater

Sporophila frontalis

Buffy-throated seedeater

Sporophila hypochroma

Grey-and-chestnut seedeater

Sporophila palustris

Marsh seedeater

Estrildidae

Mannikins, waxbills

Amandava amandava

Red avadavat

Cryptospiza reichenovii

Red-faced crimson-wing

Erythrura coloria

Red-eared parrotfinch

Erythrura viridifacies

Green-faced parrotfinch

Estrilda quartinia (Frequently traded as Estrilda melanotis)

Yellow-bellied waxbill

Hypargos niveoguttatus

Peters’s twinspot

Lonchura griseicapilla

Grey-headed silverbill

Lonchura punctulata

Scaly-breasted munia

Lonchura stygia

Black munia

Fringillidae

Finches

Carduelis ambigua

Black-headed greenfinch

Carduelis atrata

Black siskin

Kozlowia roborowskii

Tibetan rosefinch

Pyrrhula erythaca

Grey-headed bullfinch

Serinus canicollis

Cape canary

Serinus citrinelloides hypostictus (Frequently traded as Serinus citrinelloides)

East African citril

Icteridae

New-world blackbirds

Sturnella militaris

Pampas meadowlark

Muscicapidae

Old-world flycatchers, thrushes

Cochoa azurea

Javan cochoa

Cochoa purpurea

Purple cochoa

Garrulax formosus

Red-winged laughingthrush

Garrulax galbanus

Yellow-throated laughingthrush

Garrulax milnei

Red-tailed laughing thrush

Niltava davidi

Fujian niltava

Stachyris whiteheadi

Chestnut-faced babbler

Swynnertonia swynnertoni (Also referenced as Pogonicichla swynnertoni)

Swynnerton’s robin

Turdus dissimilis

Black-breasted thrush

Pittidae

Pittas

Pitta nipalensis

Blue-naped pitta

Pitta steerii

Azure-breasted pitta

Sittidae

Nuthatches

Sitta magna

Giant nuthatch

Sitta yunnanensis

Yunnan nuthatch

Sturnidae

Mynas, starlings

Cosmopsarus regius

Golden-breasted starling

Mino dumontii

Yellow-faced myna

Sturnus erythropygius

White-headed starling

REPTILIA

Reptiles

TESTUDINES

Geoemydidae

Freshwater turtles

Melanochelys trijuga

Indian black turtle

SAURIA

Agamidae

Physignathus cocincinus

Chinese water dragon

Anguidae

Abronia graminea

Arboreal alligator lizard

Gekkonidae

Geckos

Rhacodactylus auriculatus

New Caledonia bumpy gecko

Rhacodactylus ciliatus

Guichenot’s giant gecko

Rhacodactylus leachianus

New Caledonia giant gecko

Teratoscincus microlepis

Small-scaled wonder gecko

Teratoscincus scincus

Common wonder gecko

Gerrhosauridae

Spiny-tailed lizards

Zonosaurus karsteni

Karsten’s girdled lizard

Zonosaurus quadrilineatus

Four-lined girdled lizard

Iguanidae

Ctenosaura quinquecarinata

Club-tail iguana

Scincidae

Skinks

Tribolonotus gracilis

Crocodile skink

Tribolonotus novaeguineae

New Guinea helmet skink

SERPENTES

Colubridae

Typical snakes, water snakes, whip snakes

Elaphe carinata §1

Taiwan stink snake

Elaphe radiata §1

Radiated rat snake

Elaphe taeniura §1

Taiwan beauty snake

Enhydris bocourti §1

Bocourt’s water snake

Homalopsis buccata §1

Masked water snake

Langaha nasuta

Northern leafnose snake

Leioheterodon madagascariensis

Madagascar menarana snake

Ptyas korros §1

Indochinese rat snake

Rhabdophis subminiatus §1

Redneck keelback

Hydrophiidae

Sea snakes

Lapemis curtus (Includes Lapemis hardwickii) §1

Shaw’s sea snake

Viperidae

Vipers

Calloselasma rhodostoma §1

Malayan pit viper

AMPHIBIA

ANURA

Frogs and toads

Hylidae

Tree frogs

Phyllomedusa sauvagii

Waxy monkey tree frog

Leptodactylidae

Neotropical frogs

Leptodactylus laticeps

Red spotted burrow frog

Ranidae

True frogs

Limnonectes macrodon

Fanged River Frog or Javan Giant Frog

Rana shqiperica

Albanian pool frog

CAUDATA

Hynobiidae

Asiatic salamanders

Ranodon sibiricus

Semirechensk salamander / Central Asian salamander / Siberian salamander

Plethodontidae

Lungless salamanders

Bolitoglossa dofleini

Giant palm salamander

Salamandridae

Newts and salamanders

Cynops ensicauda

Sword-tailed newt

Echinotriton andersoni

Anderson’s salamander

Pachytriton labiatus

Paddletail newt

Paramesotriton spp.

Warty newt

Salamandra algira

North African fire salamander

Tylototriton spp.

Crocodile newts

ACTINOPTERYGII

Fish

PERCIFORMES

Apogonidae

Pterapogon kauderni

Banggai cardinalfish

ARTHROPODA (ARTHROPODS)

INSECTA

Insects

LEPIDOPTERA

Butterflies

Papilionidae

Birdwing and swallow-tail butterflies

Baronia brevicornis

Short-horned baronia

Papilio grosesmithi

Papilio maraho

Broad-tailed swallowtail

MOLLUSCA (MOLLUSCS)

GASTROPODA

Haliotidae

Haliotis midae

Midas ear abalone

FLORA

AGAVACEAE

Agaves

Calibanus hookeri

Dasylirion longissimum

Beargrass

ARACEAE

Arums

Arisaema dracontium

Green dragon

Arisaema erubescens

Arisaema galeatum

Arisaema nepenthoides

Arisaema sikokianum

Arisaema thunbergii var. urashima

Arisaema tortuosum

Biarum davisii ssp. marmarisense

Biarum ditschianum

COMPOSITAE (ASTERACEAE)

Asters, daisies, costus

Arnica montana §3

Mountain tobacco

Othonna cacalioides

Othonna clavifolia

Othonna hallii

Othonna herrei

Othonna lepidocaulis

Othonna retrorsa

ERICACEAE

Heathers, rhododendrons

Arctostaphylos uva-ursi §3

Bearberry

GENTIANACEAE

Gentians

Gentiana lutea §3

Great yellow gentian

LEGUMINOSAE (FABACEAE)

Legumes

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

Ill-scented wakerobin

Trillium sessile

Sessile-flowered wakerobin wood-lily

LYCOPODIACEAE

Clubmosses

Lycopodium clavatum §3

Stagshorn clubmoss

MELIACEAE

Mahoganies, cedars

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

MENYANTHACEAE

Bogbeans

Menyanthes trifoliata §3

Bogbean

PARMELIACEAE

Parmelioid lichens

Cetraria islandica §3

Icelandic moss

PASSIFLORACEAE

Desert roses

Adenia glauca

Desert rose

Adenia pechuelli

Desert rose

PEDALIACEAE

Sesame, devil’s claw

Harpagophytum spp. §3

Devil’s claw

PORTULACACEAE

Portulas, purslanes

Ceraria carrissoana

Ceraria fruticulosa

SELAGINELLACEAE

Clubmosses, spikemosses

Selaginella lepidophylla

Rose of Jericho

_____________

ANNEX 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)

only Article 3 and Annex III, pt. 66

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)

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)

_____________

ANNEX III

Correlation Table

Regulation (EC) No 338/97

This Regulation

Article 1

Article 1

Article 2

Article 2

Article 3

Article 3

Article 4

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)(a)

Article 5(6)(ii)

Article 5(6)(b)

Article 5(7)(a)

Article 5(7), first subparagraph

Article 5(7)(b)

Article 5(7), second subparagraph

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

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

Article 6(4)(a)

Article 6(4), first subparagraph

Article 6(4)(b)

Article 6(4), second subparagraph

Article 7(1)(a)

Article 7(1), first subparagraph

Article 7(1)(b), introductory words

Article 7(1), second subparagraph

Article 7(1)(b)(i)

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

Article 7(1)(b)(ii)

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

Article 7(1)(b)(iii)

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

Article 7(1)(c)

Article 7(1), third subparagraph

Article 7(2)(a)

Article 7(2), first subparagraph

Article 7(2)(b)

Article 7(2), second subparagraph

Article 7(2)(c)

Article 7(2), third subparagraph

Article 7(2), fourth subparagraph

Article 7(3)

Article 7(3), first subparagraph

Article 7(3), second subparagraph

Article 7(4)

Article 7(4), first subparagraph

Article 7(4), second subparagraph

Article 8

Article 8

Article 9

Article 9

Article 10

Article 10

Article 11(1)

Article 11(1)

Article 11(2)(a)

Article 11(2), first subparagraph

Article 11(2)(b)

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(4), first subparagraph

Article 12(4), second subparagraph

Article 12(5)

Article 12(5)

Article 13(1)(a)

Article 13(1), first subparagraph

Article 13(1)(b)

Article 13(1), second subparagraph

Article 13(2)

Article 13(2)

Article 13(3)(a)

Article 13(3), first subparagraph

Article 13(3)(b)

Article 13(3), second subparagraph

Article 13(3)(c)

Article 13(3), third subparagraph

Article 14(1)(a)

Article 14(1), first subparagraph

Article 14(1)(b)

Article 14(1), second subparagraph

Article 14(1)(c)

Article 14(1), third subparagraph

Article 14(2)

Article 14(2)

Article 14(3)(a)

Article 14(3), first subparagraph

Article 14(3)(b)

Article 14(3), second subparagraph

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), first subparagraph

Article 15(4)(b)

Article 15(4), second subparagraph

Article 15(4)(c)

Article 15(4), third subparagraph

Article 15(4)(d)

Article 15(4), fourth subparagraph

Article 15(5) and (6)

Article 15(5) and (6)

Article 16

Article 16

Article 17(1)

Article 17(1)

Article 17(2)(a)

Article 17(2)

Article 17(2)(b)

Article 17(3)

Article 18

Article 21

Article 19(1), first subparagraph

Article 19(1), second subparagraph

Article 19(2)

Article 19(3)

Article 18(1)

Article 19(4)

Article 18(2)

Article 19(5)

Article 18(3)

Article 20

Article 20

Article 22

Article 21

Article 23

Article 22

Article 24

Annex

Annex I

Annex II

Annex III

_____________

(1) OJ C 11, 15.1.2013, p. 85.
(2) OJ C 77, 28.3.2002, p. 1.
(3)OJ C 11, 15.1.2013, p. 85.
(4)Position of the European Parliament of 16 April 2014.
(5)OJ L 61, 3.3.1997, p. 1.
(6)See Annex II.
(7)Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).
(8)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 powers (OJ L 55, 28.2.2011, p. 13).
(9)Council Regulation (EEC) No 3626/82 of 3 December 1982 on the implementation in the Community of the Convention on international trade in endangered species of wild fauna and flora (OJ L 384, 31.12.1982, p. 1).
(10)Council Directive 86/609/EEC of 24 November 1986 on the approximation of laws, regulations and administrative provisions of the Member States regarding the protection of animals used for experimental and other scientific purposes (OJ L 358, 18.12.1986, p. 1).
(11)Directive 2003/4/EC of the European Parliament and of the Council of 28 January 2003 on public access to environmental information and repealing Council Directive 90/313/EEC (OJ L 41, 14.2.2003, p. 26).
(12)Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds (OJ L 20, 26.1.2010, p. 7).
(13)Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora (OJ L 206, 22.7.1992, p. 7).
(14)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 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.
(15)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.
(16)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.
(17)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.
(18)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.
(19)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 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.
(20)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.
(21)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.
(22)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.
(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.
(24)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.
(25)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.
(26)Trade of specimens with source code A is allowed only if specimens traded possess cataphylls.
(27)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)
(28)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.
(29)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.
(30)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.


Fishing opportunities and financial contribution provided for in the EU-Seychelles Fisheries Partnership Agreement ***
PDF 199kWORD 36k
European Parliament legislative resolution of 16 April 2014 on the draft Council decision on the conclusion, on behalf of the European Union, of the Protocol setting out the fishing opportunities and the financial contribution provided for by the Fisheries Partnership Agreement between the European Union and the Republic of Seychelles (16651/2013 – C7-0020/2014 – 2013/0375(NLE))
P7_TA(2014)0398A7-0201/2014

(Consent)

The European Parliament,

–  having regard to the draft Council decision (16651/2013),

–  having regard to the draft Protocol setting out the fishing opportunities and the financial contribution provided for by the Fisheries Partnership Agreement between the European Union and the Republic of Seychelles (16648/2013),

–  having regard to the request for consent submitted by the Council in accordance with Article 43 and Article 218(6), second subparagraph, point (a), and (7), of the Treaty on the Functioning of the European Union (C7-0020/2014),

–  having regard to the proposal for a Council regulation concerning the allocation of fishing opportunities under the Protocol to the Fisheries Partnership Agreement between the European Community and the Republic of Seychelles (COM(2013)0765),

–  having regard to the proposal for a Council decision on the signing, on behalf of the European Union, and on the provisional application of the Protocol setting out the fishing opportunities and the financial contribution provided for by the Fisheries Partnership Agreement between the European Community and the Republic of Seychelles ((COM(2013)0766),

–  having regard to Rule 81(1), first and third subparagraphs, Rule 81(2), and Rule 90(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Fisheries and the opinion of the Committee on Budgets (A7-0201/2014),

1.  Gives its consent to conclusion of the Protocol;

2.  Calls on the Commission to provide Parliament with relevant information on the joint scientific meetings provided for in Article 4 of the Partnership Agreement and on meetings of the joint committee provided for in Article 9 of the Partnership Agreement, in particular the corresponding minutes and conclusions, together with an annual report on the practical implementation of the multiannual sectoral support programme referred to in Article 3 of the Protocol;

3.  Calls for representatives of its Committee on Fisheries, acting as observers, to be able to attend the above meetings of the joint committee provided for in Article 9 of the Partnership Agreement;

4.  Calls on the Commission to submit to Parliament and the Council, during the final year of the Protocol’s validity and before the opening of negotiations on its renewal, an ex-post assessment report on its implementation, containing an analysis of the uptake of fishing opportunities and a cost-benefit analysis of the Protocol, along with a report on possible constraints on fishing operations and damage caused to the Union fleet operating in the Seychelles’ Exclusive Economic Zone as a result of piracy in this part of the Indian Ocean;

5.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Seychelles.


Fishing opportunities and financial contribution provided for in the EU-Comoros Fisheries Partnership Agreement ***
PDF 193kWORD 36k
European Parliament legislative resolution of 16 April 2014 on the draft Council decision on the conclusion, on behalf of the European Union, of the Protocol between the European Union and the Union of the Comoros setting out the fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement currently in force between the two parties (16130/2013 – C7-0011/2014 – 2013/0388(NLE))
P7_TA(2014)0399A7-0177/2014

(Consent)

The European Parliament,

–  having regard to the draft Council decision (16130/2013),

–  having regard to the draft protocol between the European Union and the Union of the Comoros setting out fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement between the two parties currently in force (16127/2013),

–  having regard to the request for consent submitted by the Council in accordance with Article 43 and Article 218(6), second subparagraph, point (a), and (7), of the Treaty on the Functioning of the European Union (C7-0011/2014),

–  having regard to Rule 81(1), first and third subparagraphs, Rule 81(2), and Rule 90(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Fisheries and the opinion of the Committee on Budgets (A7-0177/2014),

1.  Gives its consent to conclusion of the protocol;

2.  Calls on the Commission to forward to Parliament the minutes and the conclusions of the meetings of the Joint Committee to monitor the implementation, interpretation and application of the Agreement, as provided for in Article 9 of the Agreement, as well as the evaluation of the progress made in implementing multiannual sectorial programme provided for in Article 3 of the protocol; calls on the Commission to facilitate the participation of representatives of Parliament as observers in the meetings of the Joint Committee; calls on the Commission to submit to Parliament and the Council, within the last year of application of the protocol and before the opening of negotiations for its renewal, a full report on its implementation, without unnecessary restrictions on document access;

3.  Calls on the Council and the Commission, acting within the limits of their respective powers, to keep Parliament immediately and fully informed at all stages of the procedures related to the new protocol and its renewal, pursuant to Article 13(2) of the Treaty on European Union and Article 218(10) of the Treaty on the Functioning of the European Union;

4.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Union of the Comoros.


Fishing opportunities and financial contribution provided for in the EU-Madagascar Fisheries Partnership Agreement ***
PDF 191kWORD 34k
European Parliament legislative resolution of 16 April 2014 on the draft Council Decision on the conclusion of the Protocol agreed between the European Union and the Republic of Madagascar setting out fishing opportunities and the financial contribution provided for in the Fisheries Partnership Agreement between the two parties currently in force (14164/1/2012 – C7-0408/2012 – 2012/0238(NLE))
P7_TA(2014)0400A7-0178/2014

(Consent)

The European Parliament,

–  having regard to the draft Council decision (14164/1/2012),

–  having regard to the draft Protocol agreed between the European Union and the Republic of Madagascar setting out fishing opportunities and the financial contribution provided for in the Fisheries Partnership Agreement between the two parties currently in force (14159/2012)

–  having regard to the request for consent submitted by the Council in accordance with Article 43(2) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0408/2012),

–  having regard to Rule 81(1), first and third subparagraphs, Rule 81(2), and Rule 90(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Fisheries and the opinions of the Committee on Development and the Committee on Budgets (A7-0178/2014),

1.  Gives its consent to conclusion of the Protocol;

2.  Instructs its President to forward its position to the Council and Commission, and the governments and parliaments of the Member States and the Republic of Madagascar.


EU-Korea Framework Agreement as regards matters related to readmission ***
PDF 193kWORD 35k
European Parliament legislative resolution of 16 April 2014 on the draft Council decision on the conclusion of the Framework Agreement between the European Union and its Member States, on the one part, and the Republic of Korea, on the other part, as regards matters related to readmission (05290/2014 – C7-0046/2014 – 2013/0267A(NLE))
P7_TA(2014)0401A7-0267/2014

(Consent)

The European Parliament,

–  having regard to the draft Council decision (05290/2014),

–  having regard to the draft Framework Agreement between the European Union and its Member States, on the one part, and the Republic of Korea, on the other part (06151/2010),

–  having regard to the request for consent submitted by the Council in accordance with Article 79(3) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7‑0046/2014),

–  having regard to Rule 81(1), first and third subparagraphs, Rule 81(2), and Rule 90(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs (A7-0267/2014),

1.  Gives its consent to the conclusion of the Agreement;

2.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Korea.


EU-Korea Framework Agreement with the exception of matters related to readmission ***
PDF 193kWORD 35k
European Parliament legislative resolution of 16 April 2014 on the draft Council decision on the conclusion of the Framework Agreement between the European Union and its Member States, on the one part, and the Republic of Korea, on the other part, with the exception of matters related to readmission (05287/2014 – C7-0044/2014 – 2013/0267B(NLE))
P7_TA(2014)0402A7-0265/2014

(Consent)

The European Parliament,

–  having regard to the draft Council decision (05287/2014),

–  having regard to the Framework Agreement between the European Union and its Member States, of the one part, and the Republic of Korea, of the other part (06151/2010),

–  having regard to the request for consent submitted by the Council in accordance with Articles 91, 100, 191(4), 207, 212 and Article 218(6), second subparagraph, point (a) of the Treaty on the Functioning of the European Union (C7‑0044/2014),

–  having regard to Rule 81(1), first and third subparagraphs, Rule 81(2), and Rule 90(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Foreign Affairs and the opinion of the Committee on International Trade (A7-0265/2014),

1.  Gives its consent to conclusion of the agreement;

2.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Korea.


EC-Montenegro Stabilisation and Association Agreement (Protocol to take account of the accession of Croatia) ***
PDF 192kWORD 34k
European Parliament legislative resolution of 16 April 2014 on the draft Council decision on the conclusion on behalf of the European Union and its Member States of the Protocol to the Stabilisation and Association Agreement between the European Communities and their Member States, of the one part, and the Republic of Montenegro, of the other part, to take account of the accession of the Republic of Croatia to the European Union (14187/2013 – C7-0007/2014 – 2013/0262(NLE))
P7_TA(2014)0403A7-0192/2014

(Consent)

The European Parliament,

–  having regard to the draft Council decision (14187/2013),

–  having regard to the Protocol to the Stabilisation and Association Agreement between the European Communities and their Member States, of the one part, and the Republic of Montenegro, of the other part, to take account of the accession of the Republic of Croatia to the European Union (14190/2013),

–  having regard to the request for consent submitted by the Council in accordance with Article 217, in conjunction with Article 218(6), second subparagraph, point (a)(i) and Article 218(8), second subparagraph, of the Treaty on the Functioning of the European Union (C7–0007/2014),

–  having regard to Rule 81(1), first and third subparagraphs, Rule 81(2) and Rule 90(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Foreign Affairs (A7-0192/2014),

1.  Gives its consent to conclusion of the Protocol;

2.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Montenegro.


EU-Georgia Framework Agreement on the general principles for the participation of Georgia in Union programmes ***
PDF 192kWORD 34k
European Parliament legislative resolution of 16 April 2014 on the draft Council decision on the conclusion of a Protocol to the Partnership and Cooperation Agreement between the European Communities and their Member States, of the one part, and Georgia of the other part, on a Framework Agreement between the European Union and Georgia on the general principles for the participation of Georgia in Union programmes (16612/2013 – C7-0486/2013 – 2013/0257(NLE))
P7_TA(2014)0404A7-0191/2014

(Consent)

The European Parliament,

–  having regard to the draft Council decision (16612/2013),

–  having regard to the Protocol to the Partnership and Cooperation Agreement between the European Communities and their Member States, of the one part, and Georgia, of the other part, on a Framework Agreement between the European Union and Georgia, on the general principles for the participation of Georgia in Union programmes (16613/2013),

–  having regard to the request for consent submitted by the Council in accordance with Article 212 and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7‑0486/2013),

–  having regard to Rule 81(1), first and third subparagraphs, Rule 81(2) and Rule 90(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Foreign Affairs (A7-0191/2014),

1.  Gives its consent to conclusion of the Protocol;

2.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of Georgia.


Authorisation for Portugal to apply a reduced rate of excise duty in the autonomous regions of Madeira and Azores on certain alcoholic beverages *
PDF 190kWORD 33k
European Parliament legislative resolution of 16 April 2014 on the proposal for a Council decision authorising Portugal to apply a reduced rate of excise duty in the autonomous region of Madeira on locally produced and consumed rum and liqueurs and in the autonomous region of the Azores on locally produced and consumed liqueurs and eaux-de-vie (COM(2014)0117 – C7-0104/2014 – 2014/0064(CNS))
P7_TA(2014)0405A7-0262/2014

(Special legislative procedure – consultation)

The European Parliament,

–  having regard to the Commission proposal to the Council (COM(2014)0117),

–  having regard to Article 349 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7‑0104/2014),

–  having regard to Rules 55 and 46(1) of its Rules of Procedure,

–  having regard to the report of the Committee on Regional Development (A7-0262/2014),

1.  Approves the Commission proposal;

2.  Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

3.  Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament;

4.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.


AIEM tax applicable in the Canary Islands*
PDF 190kWORD 33k
European Parliament legislative resolution of 16 April 2014 on the proposal for a Council decision on the AIEM tax applicable in the Canary Islands (COM(2014)0171 – C7-0106/2014 – 2014/0093(CNS))
P7_TA(2014)0406A7-0263/2014

(Special legislative procedure – consultation)

The European Parliament,

–  having regard to the Commission proposal to the Council (COM(2014)0171),

–  having regard to Article 349 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7‑0106/2014),

–  having regard to Rules 55 and 46(1) of its Rules of Procedure,

–  having regard to the report of the Committee on Regional Development (A7-0263/2014),

1.  Approves the Commission proposal;

2.  Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

3.  Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament;

4.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.


Amendment of the period of application of Council Decision 2004/162/EC concerning the dock dues in the French overseas departments *
PDF 189kWORD 32k
European Parliament legislative resolution of 16 April 2014 on the proposal for a Council decision amending the period of application of Council Decision 2004/162/EC concerning the dock dues in the French overseas departments (COM(2014)0181 – C7-0129/2014 – 2014/0101(CNS))
P7_TA(2014)0407A7-0264/2014

(Special legislative procedure – consultation)

The European Parliament,

–  having regard to the Commission proposal to the Council (COM(2014)0181),

–  having regard to Article 349 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7‑0129/2014),

–  having regard to Rules 55 and 46(1) of its Rules of Procedure,

–  having regard to the report of the Committee on Regional Development (A7-0264/2014),

1.  Approves the Commission proposal;

2.  Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

3.  Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament;

4.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.


Amendment of Parliament's Rules of Procedure with regard to parliamentary questions
PDF 336kWORD 92k
European Parliament decision of 16 April 2014 on amendment of Parliament's Rules of Procedure with regard to parliamentary questions (2013/2083(REG))
P7_TA(2014)0408A7-0123/2014

The European Parliament,

–  having regard to the letter from its President of 13 February 2013,

–  having regard to Rules 211 and 212 of its Rules of Procedure,

–  having regard to the report of the Committee on Constitutional Affairs (A7-0123/2014),

1.  Decides to amend its Rules of Procedure as shown below;

2.  Decides that the amendments shall enter into force on the first day of the first part-session of the eighth parliamentary term;

3.  Decides that the ballot system established by the amendments for determining the Members allowed to put a question shall be assessed after a trial period of one year from the beginning of the eighth parliamentary term;

4.  Instructs its President to forward this decision to the Council and the Commission, for information.

Present text   Amendment
Amendment 1
Parliament's Rules of Procedure
Rule 116
1.  Question Time with the Commission shall be held at each part-session at times decided by Parliament on a proposal from the Conference of Presidents.
1.  Question Time with the Commission shall be held at each part-session for a duration of 90 minutes on one or more specific horizontal themes to be decided upon by the Conference of Presidents one month in advance of the part-session.
2.  No Member may put more than one question to the Commission at any given part-session.
2.  The Commissioners invited to participate by the Conference of Presidents shall have a portfolio related to the specific horizontal theme or themes on which questions are to be put to them. The number of Commissioners shall be limited to two per part-session, with the possibility of adding a third being dependent on the specific horizontal theme or themes chosen for the Question Time.
3.  Questions shall be submitted in writing to the President, who shall rule on their admissibility and on the order in which they are to be taken. The questioner shall be notified immediately of this decision.
4.  The detailed procedure shall be governed by guidelines laid down in an annex to these Rules of Procedure17.
3.  Question time shall be conducted in accordance with a ballot-system the details of which are laid down in an annex to these Rules of Procedure17.
5.   In accordance with guidelines established by the Conference of Presidents, specific question hours may be held with the Council, with the President of the Commission, with the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy and with the President of the Eurogroup.
4.   In accordance with guidelines established by the Conference of Presidents, specific question hours may be held with the Council, with the President of the Commission, with the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy and with the President of the Eurogroup.
_______________
_______________
17 See Annex II.
17 See Annex II.
Amendment 2
Parliament's Rules of Procedure
Rule 117 – paragraph 1
1.  Any Member may put questions for written answer to the President of the European Council, the Council, the Commission or the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy in accordance with guidelines laid down in an annex to these Rules of Procedure18. The content of questions shall be the sole responsibility of their authors.
1.  Any Member may put questions for written answer to the President of the European Council, the Council, the Commission or the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy in accordance with criteria laid down in an annex to these Rules of Procedure18. The content of questions shall be the sole responsibility of their authors.
__________
_________
18 See Annex III.
18 See Annex III.
Amendment 3
Parliament's Rules of Procedure
Rule 117 – paragraph 2
2.  Questions shall be submitted in writing to the President who shall forward them to the addressees. Doubts concerning the admissibility of a question shall be settled by the President. The questioner shall be notified of his decision.
2.  Questions shall be submitted to the President. Doubts concerning the admissibility of a question shall be settled by the President. The President's decision shall be based not exclusively on the provisions of the annex referred to in paragraph 1 but on the provisions of these Rules of Procedure in general. The questioner shall be notified of the President's decision.
Amendment 4
Parliament's Rules of Procedure
Rule 117 – paragraph 2 a (new)
2a.  Questions shall be submitted in electronic format. Each Member may submit a maximum of five questions per month.
By way of exception, additional questions may be submitted in the form of a paper document tabled and signed personally by the Member concerned in the relevant service of the Secretariat.
After a period expiring one year from the beginning of the eighth parliamentary term, the Conference of Presidents shall carry out an assessment of the regime in respect of additional questions.
Amendment 7
Parliament's Rules of Procedure
Rule 117 – paragraph 4 – subparagraph 3
Members shall indicate which type of question they are submitting. The final decision shall be taken by the President.
deleted
Amendment 8
Parliament's Rules of Procedure
Rule 117 – paragraph 5
5.  Questions and answers shall be published in the Official Journal of the European Union.
5.  Questions and answers shall be published on Parliament’s website.
Amendment 9
Parliament's Rules of Procedure
Rule 118 – paragraph 1
1.  Any Member may put questions for written answer to the European Central Bank in accordance with guidelines laid down in an annex to these Rules of Procedure19.
1.  Any Member may put a maximum of six questions per month for written answer to the European Central Bank in accordance with criteria laid down in an annex to these Rules of Procedure19. The content of questions shall be the sole responsibility of their authors.
_________
_________
19 See Annex III.
19 See Annex III.
Amendment 10
Parliament's Rules of Procedure
Rule 118 – paragraph 2
2.  Such questions shall be submitted in writing to the Chair of the committee responsible, who shall forward them to the European Central Bank.
2.  Such questions shall be submitted in writing to the Chair of the committee responsible, who shall notify them to the European Central Bank. Doubts concerning the admissibility of a question shall be settled by the Chair. The questioner shall be notified of the Chair's decision.
Amendment 11
Parliament's Rules of Procedure
Rule 118 – paragraph 3
3.  The questions and answers shall be published in the Official Journal of the European Union.
3.  Questions and answers shall be published on Parliament’s website.
Amendment 12
Parliament's Rules of Procedure
Annex II
Conduct of Question Time under Rule 116
Conduct of Question Time with the Commission
A.  Guidelines
1.  Members who put a question to one of the Commissioners shall be chosen by means of a ballot system in the following way:
1.  Questions shall be admissible only where they
–  a ballot box shall be placed at the entrance to the Chamber one hour before the start of Question Time;
–  are concise and are drafted so as to permit a brief answer to be given;
–  Members wishing to put a question write their name on a form and place it in the ballot box;
–  fall within the competence and sphere of responsibility of the addressee and are of general interest;
–  Members wishing to put a question may submit no more than one form;
–  concern in particular, in the case of specific questions to the Council, the exercise of its functions in defining, coordinating and implementing Union policies, or concern its powers relating to appointment procedures or the operation of the institutions, agencies and bodies of the European Union or a revision of the Treaties,
–  the President opens Question Time and closes the ballot box;
–  do not require extensive prior study or research by the institution concerned;
–  the President draws one ballot at a time and calls on the chosen Member to put his or her question to the competent Commissioner.
–  are clearly worded and relate to a specific matter;
2.  The Member shall be given one minute in which to formulate the question and the Commissioner two minutes in which to reply. That Member may put a supplementary question of 30 seconds duration, having a direct bearing on the main question. The Commissioner shall then be given two minutes in which to give a supplementary reply.
–  do not contain assertions or opinions;
3.  Questions and supplementary questions must be directly related to the specific horizontal theme chosen. The President may rule on the admissibility.
–  do not relate to strictly personal matters;
–  are not aimed at procuring documents or statistical information;
–  are interrogatory in form.
2.  A question shall be inadmissible if the agenda already provides for the subject to be discussed with the participation of the institution concerned, or if it relates to the exercise of the Council’s legislative and budgetary functions referred to in Article 16(1), first sentence, of the Treaty on European Union.
3.  A question shall be inadmissible if an identical or similar question has been put down and answered during the preceding three months, or to the extent that it merely seeks information on the follow-up to a specific resolution of Parliament of a kind which the Commission has already provided in a written follow-up communication, unless there are new developments or the author is seeking further information. In the first case a copy of the question and the answer shall be given to the author.
Supplementary questions
4.  Each Member may follow up the reply with a supplementary question to any question and may put in all two supplementary questions.
5.  Supplementary questions shall be subject to the rules of admissibility laid down in these Guidelines.
6.  The President shall rule on the admissibility of supplementary questions and shall limit their number so that each Member who has put down a question may receive an answer to it.
The President shall not be obliged to declare a supplementary question admissible, even if it satisfies the foregoing conditions of admissibility, if:
a)  it is likely to upset the normal conduct of Question Time, or
b)  the main question to which it relates has already been adequately covered by other supplementary questions, or
c)  it has no direct bearing on the main question.
Answers to questions
7.  The institution concerned shall ensure that answers are concise and are relevant to the subject of the question.
8.  If the content of the questions concerned permits it, the President may decide, after consulting the questioners, that the institution concerned should answer them together.
9.  A question may be answered only if the questioner is present or has notified the President in writing, before Question Time begins, of the name of a substitute.
10.  If neither the questioner nor a substitute is present, the question shall lapse.
11.  If a Member tables a question, but neither that Member nor a substitute is present at Question Time, the President shall remind the Member in writing of his or her responsibility to be present or substituted. If the President has to send such a letter three times in the space of any twelve-month period, the Member concerned shall lose the right to table questions at Question Time for a six-month period.
12.  Questions that remain unanswered for lack of time shall be answered in accordance with Rule 117(4), first subparagraph, unless their authors request the application of Rule 117(3).
13.  The procedure for answers in writing shall be governed by Rule 117(3) and (5).
Time limits
14.  Questions shall be tabled at least one week before Question Time begins. Questions not tabled within this time limit may be taken during Question Time with the consent of the institution concerned.
Questions declared admissible shall be distributed to Members and forwarded to the institutions concerned.
B.  Recommendations
(extract from resolution of Parliament of 13 November 1986)
The European Parliament,
1.  Recommends stricter application of the guidelines for the conduct of Question Time under Rule 4327, and in particular of point 1 of those guidelines concerning admissibility;
2.  Recommends more frequent use of the power conferred on the President of the European Parliament by Rule 43(3)28 to group questions for Question Time according to subject; considers, however, that only the questions falling within the first half of the list of questions tabled for a given part-session should be subject to such grouping;
3.  Recommends, as regards supplementary questions, that as a general rule the President should allow one supplementary question from the questioner and one or at most two supplementaries put by Members belonging preferably to a different political group and/or Member State from the author of the main question; recalls that supplementary questions must be concise and interrogatory in form and suggests that their duration should not exceed 30 seconds;
4.  Invites the Commission and the Council, pursuant to point 7 of the guidelines, to ensure that answers are concise and relevant to the subject of the question.
_______________
27 Now Rule 116.
28 Now Rule 116(3).
Amendment 13
Parliament's Rules of Procedure
Annex III – title
Guidelines for questions for written answer under Rules 117 and 118
Criteria for questions for written answer under Rules 117 and 118
Amendment 14
Parliament's Rules of Procedure
Annex III – paragraph 1 – indent 2
–  fall within the competence and sphere of responsibility of the addressee and be of general interest;
–  fall exclusively within the limits of the competences of the institutions as laid down in the relevant Treaties and within the sphere of responsibility of the addressee, and be of general interest;
Amendment 15
Parliament's Rules of Procedure
Annex III – paragraph 1 – indent 3 a (new)
–  not exceed 200 words;
Amendment 16
Parliament's Rules of Procedure
Annex III – paragraph 1 – indent 5 a (new)
–  not contain more than three sub-questions.
Amendment 17
Parliament's Rules of Procedure
Annex III – paragraph 2
2.  If a question does not comply with these guidelines, the Secretariat shall provide the author with advice on how the question may be drafted in order to be admissible.
2.  Upon request, the Secretariat shall provide authors with advice on how to comply in an individual case with the criteria laid down in paragraph 1.
Amendment 18
Parliament's Rules of Procedure
Annex III – paragraph 3
3.  If an identical or similar question has been put and answered during the preceding six months, or to the extent that a question merely seeks information on the follow-up to a specific resolution of Parliament of a kind which the Commission has already provided in a written follow-up communication, the Secretariat shall transmit a copy of the previous question and answer to the author. The renewed question shall not be forwarded to the addressee unless the author invokes new significant developments or is seeking further information.
3.  If an identical or similar question has been put and answered during the preceding six months, or to the extent that a question merely seeks information on the follow-up to a specific resolution of Parliament of a kind which the Commission has already provided in a written follow-up communication, the Secretariat shall transmit a copy of the previous question and answer to the author. The renewed question shall not be forwarded to the addressee unless the President so decides in the light of significant new developments and in response to a reasoned request by the author.
Amendment 19
Parliament's Rules of Procedure
Annex III – paragraph 4
4.  If a question seeks factual or statistical information that is already available to Parliament's library, the latter shall inform the Member, who may withdraw the question.
4.  If a question seeks factual or statistical information that is already available to Parliament's research services, it shall not be forwarded to the addressee but to those services, unless the President decides otherwise upon request by the author.
Amendment 20
Parliament's Rules of Procedure
Annex III – paragraph 5
5.  Questions concerning related matters may be answered together.
5.  Questions concerning related matters may be merged into a single question by the Secretariat and answered together.

Amendment of Rule 90 of Parliament's Rules of Procedure on international agreements
PDF 195kWORD 43k
European Parliament decision of 16 April 2014 on amendment of Rule 90 of Parliament's Rules of Procedure on international agreements (2013/2259(REG))
P7_TA(2014)0409A7-0253/2014

The European Parliament,

–  having regard to the letters of 29 January 2013 from the Chair of the Committee on Foreign Affairs and of 13 February 2013 from the Chair of the Committee on International Trade, to the Chair of the Committee on Constitutional Affairs,

–  having regard to Rules 211 and 212 of its Rules of Procedure,

–  having regard to the report of the Committee on Constitutional Affairs (A7-0253/2014),

1.  Decides to amend its Rules of Procedure as shown below;

2.  Points out that the amendments will enter into force on the first day of the next part-session;

3.  Instructs its President to forward this decision to the Council and the Commission, for information.

Present text   Amendment
Amendment 1
Parliament's Rules of Procedure
Rule 90 – paragraph 4
4.  At any stage of the negotiations Parliament may, on the basis of a report from the committee responsible, and after considering any relevant proposal tabled pursuant to Rule 121, adopt recommendations and require them to be taken into account before the conclusion of the international agreement under consideration.
4.  At any stage of the negotiations and from the end of the negotiations to the conclusion of the international agreement, Parliament may, on the basis of a report from the committee responsible, and after considering any relevant proposal tabled pursuant to Rule 121, adopt recommendations and require them to be taken into account before the conclusion of that agreement.
Amendment 2
Parliament's Rules of Procedure
Rule 90 – paragraph 5
5.   When the negotiations are completed, but before any agreement is signed, the draft agreement shall be submitted to Parliament for its opinion or consent. In the case of the consent procedure Rule 81 shall apply.
5.   Requests by the Council for Parliament's consent or opinion shall be referred by the President to the committee responsible for consideration in accordance with Rule 81 or Rule 43(1).
Amendment 3
Parliament's Rules of Procedure
Rule 90 – paragraph 6
6.  Before the vote on the consent is taken, the committee responsible, a political group or at least one-tenth of the Members may propose that Parliament seek an opinion from the Court of Justice on the compatibility of an international agreement with the Treaties. If Parliament approves such a proposal, the vote on the consent shall be adjourned until the Court has delivered its opinion15.
6.  Before the vote is taken, the committee responsible, a political group or at least one-tenth of the Members may propose that Parliament seek an opinion from the Court of Justice on the compatibility of an international agreement with the Treaties. If Parliament approves such a proposal, the vote shall be adjourned until the Court has delivered its opinion15.
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__________________
15 See also interpretation of Rule 128.
15 See also interpretation of Rule 128.

Amendment of Parliament's Rules of Procedure so as to allow for the possibility of electronic signatures
PDF 188kWORD 40k
European Parliament decision of 16 April 2014 on amendment of Parliament's Rules of Procedure so as to allow for the possibility of electronic signatures (2014/2011(REG))
P7_TA(2014)0410A7-0175/2014

The European Parliament,

–  having regard to the letter from the Chair of the Conference of Committee Chairs of 10 December 2013,

–  having regard to Rules 211 and 212 of its Rules of Procedure,

–  having regard to the report of the Committee on Constitutional Affairs (A7-0175/2014),

1.  Decides to amend its Rules of Procedure as shown below;

2.  Points out that the amendments will enter into force on the first day of the next part-session;

3.  Instructs its President to forward this decision to the Council and the Commission, for information.

Present text   Amendment
Amendment 1
Parliament's Rules of Procedure
Rule 148a (new)

Rule 148a

Electronic handling of documents

Parliament documents may be prepared, signed and distributed in electronic form. The Bureau shall decide on the technical specifications and on the presentation of the electronic form.
Amendment 2
Parliament's Rules of Procedure
Rule 156 – paragraph 1 – interpretation appearing after subparagraph 2
Amendments may be signed electronically as part of a pilot project involving a limited number of parliamentary committees, on condition, first, that the committees participating in the project have given their agreement and, second, that appropriate measures have been put in place to ensure the authenticity of the signatures.
deleted

Draft amending budget No 1/2014: technical adjustments concerning the European Investment Fund, Horizon 2020 and the Shift2Rail Joint Undertaking
PDF 202kWORD 38k
European Parliament resolution of 16 April 2014 on the Council position on Draft amending budget No 1/2014 of the European Union for the financial year 2014, Section III – Commission (08219/2014 – C7-0146/2014 – 2014/2018(BUD))
P7_TA(2014)0411A7-0276/2014

The European Parliament,

–  having regard to Article 314 of the Treaty on the Functioning of the European Union and Article 106a of the Euratom Treaty,

–  having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002(1), and in particular Article 41 thereof,

–  having regard to the general budget of the European Union for the financial year 2014, as definitively adopted on 20 November 2013(2),

–  having regard to the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management(3),

–  having regard to Council Regulation (EU, Euratom) No 1311/2013 of 2 December 2013 laying down the multiannual financial framework for years 2014-2020(4),

–  having regard to the proposal for a decision of the European Parliament and of the Council on the participation of the European Union in the capital increase of the European Investment Fund (COM(2014)0066),

–  having regard to the proposal for a Council Regulation establishing the Shift2Rail Joint Undertaking (COM(2013)0922),

–  having regard to Draft amending budget No 1/2014, which the Commission adopted on 11 February 2014 (COM(2014)0078),

–  having regard to the position on Draft amending budget No 1/2014 which the Council adopted on 9 April 2014 and forwarded to Parliament on 10 April 2014 (08219/2014 – C7-0146/2014),

–  having regard to Rules 75b and 75e of its Rules of Procedure,

–  having regard to the report of the Committee on Budgets (A7-0276/2014),

A.  whereas Draft amending budget No 1/2014 relates to a number of adjustments necessary for the implementation of budget 2014 in line with the adoption of the latest legislative acts, and in particular adjustments needed to implement the proposed European Investment Fund (EIF) capital increase, changes arising from the legal basis of Horizon 2020 adopted after the formal adoption of budget 2014, and adjustments linked to the creation of the budget structure for the proposal of the Shift2Rail Joint Undertaking;

B.  whereas the increase in the EIF's capital base will contribute to improving the access of small and medium-sized enterprises to financing through the COSME and Horizon 2020 programmes;

C.  whereas the changes to nomenclature of the Horizon 2020 programme are necessary to align it with the provisions of the legal basis adopted in December 2013;

D.  whereas the creation of the appropriate budgetary structure for the Shift2Rail Joint Undertaking is necessary and has already been done for other joint undertakings during the 2014 budgetary procedure;

E.  whereas the purpose of Draft amending budget No 1/2014 is to formally enter this budgetary adjustments into the 2014 budget;

F.  whereas the proposed changes are presented as budgetary neutral, with no change to the overall level of expenditure for 2014;

1.  Reminds that the work programme for the activity covered by budget line 08 02 04 01 "Science for and with society" indicates commitments of some EUR 53 million in 2014 while Draft amending budget No 1/2014 does not suggest any allocations to this line; reminds the Commission of the commitment made during the budgetary trilogue of 2 April 2014 to immediately proceed to an internal transfer to line 08 02 04 01 "Science for and with society" in order to ensure the smooth start of this activity according to the work programme and as foreseen in the legal base;

2.  Takes note of Draft amending budget No 1/2014, as submitted by the Commission, and of the Council's position thereon;

3.  Approves the Council position on Draft amending budget No 1/2014;

4.  Instructs its President to declare that Amending budget No 1/2014 has been definitively adopted and arrange for its publication in the Official Journal of the European Union;

5.  Instructs its President to forward this resolution to the Council, the Commission and the national parliaments.

(1) OJ L 298, 26.10.2012, p. 1.
(2) OJ L 51, 20.2.2014.
(3) OJ C 373, 20.12.2013, p. 1.
(4) OJ L 347, 20.12.2013, p. 884.


Introduction of noise-related operating restrictions at European Union airports ***II
PDF 200kWORD 37k
Resolution
Annex
European Parliament legislative resolution of 16 April 2014 on the Council position at first reading with a view to the adoption of a regulation of the European Parliament and of the Council on the establishment of rules and procedures with regard to the introduction of noise-related operating restrictions at Union airports within a Balanced Approach and repealing Directive 2002/30/EC (05560/2/2014 – C7-0133/2014 – 2011/0398(COD))
P7_TA(2014)0412A7-0274/2014

(Ordinary legislative procedure: second reading)

The European Parliament,

–  having regard to the Council position at first reading (05560/2/2014 – C7‑0133/2014),

–  having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the French Senate, the German Bundesrat and the Dutch House of Representatives, asserting that the draft legislative act does not comply with the principle of subsidiarity,

–  having regard to the opinion of the European Economic and Social Committee of 28 March 2012(1),

–  having regard to the opinion of the Committee of the Regions of 19 July 2012(2)

–  having regard to its position at first reading(3) on the Commission proposal to Parliament and the Council (COM(2011)0828),

–  having regard to Article 294(7) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 72 of its Rules of Procedure,

–  having regard to the recommendation for second reading of the Committee on Transport and Tourism (A7-0274/2014),

1.  Approves the Council position at first reading;

2.  Takes note of the Commission statement annexed to this resolution;

3.  Notes that the act is adopted in accordance with the Council position;

4.  Instructs its President to sign the act with the President of the Council, in accordance with Article 297(1) of the Treaty on the Functioning of the European Union;

5.  Instructs its Secretary-General to sign the act, once it has been verified that all the procedures have been duly completed, and, in agreement with the Secretary-General of the Council, to arrange for its publication in the Official Journal of the European Union;

6.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

ANNEX TO THE LEGISLATIVE RESOLUTION

Statement by the Commission on the revision of Directive 2002/49/EC

The Commission is discussing with the Member States Annex II to Directive 2002/49/EC (noise calculation methods) with a view to adopting it in the coming months.

Based on work the WHO is currently undertaking regarding the methodology to assess health implications of the noise impact, the Commission intends to revise Annex III to Directive 2002/49/EC (estimation of health impact, dose response curves).

(1) OJ C 181, 21.6.2012, p. 173.
(2)OJ C 277, 13.9.2012, p. 110.
(3) Texts adopted of 12.12.2012, P7_TA(2012)0496.


Union action for the European Capitals of Culture for the years 2020 to 2033 ***II
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European Parliament legislative resolution of 16 April 2014 on the Council position at first reading in view of the adoption of a Decision of the European Parliament and of the Council establishing a Union action for the European Capitals of Culture for the years 2020 to 2033 and repealing Decision No 1622/2006/EC (05793/1/2014 – C7-0132/2014 – 2012/0199(COD))
P7_TA(2014)0413A7-0275/2014

(Ordinary legislative procedure: second reading)

The European Parliament,

–  having regard to the Council position at first reading (05793/1/2014 – C7-0132/2014),

–  having regard to the opinions of the Committee of the Regions of 15 February 2012(1) and 30 November 2012(2),

–  having regard to its position at first reading(3) on the Commission proposal to Parliament and the Council (COM(2012)0407),

–  having regard to Article 294(7) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 72 of its Rules of Procedure,

–  having regard to the recommendation for second reading of the Committee on Culture and Education (A7-0275/2014),

1.  Approves the Council position at first reading;

2.  Notes that the act is adopted in accordance with the Council position;

3.  Instructs its President to sign the act with the President of the Council, in accordance with Article 297(1) of the Treaty on the Functioning of the European Union;

4.  Instructs its Secretary-General to sign the act, once it has been verified that all the procedures have been duly completed, and, in agreement with the Secretary-General of the Council, to arrange for its publication in the Official Journal of the European Union;

5.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

(1) OJ C 113, 18.4.2012, p. 17.
(2) OJ C 17, 19.1.2013, p. 97.
(3) Texts adopted of 12.12.2013, P7_TA(2013)0590.


Incidental catches of cetaceans ***II
PDF 192kWORD 34k
European Parliament legislative resolution of 16 April 2014 on the Council position at first reading with a view to the adoption of a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 812/2004 laying down measures concerning incidental catches of cetaceans in fisheries (06103/1/2014 – C7-0100/2014 – 2012/0216(COD))
P7_TA(2014)0414A7-0272/2014

(Ordinary legislative procedure: second reading)

The European Parliament,

–  having regard to the Council position at first reading (06103/1/2014 – C7‑0100/2014),

–  having regard to the opinion of the European Economic and Social Committee of 14 November 2012(1),

–  having regard to its position at first reading(2) on the Commission proposal to Parliament and the Council (COM(2012)0447),

–  having regard to Article 294(7) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 72 of its Rules of Procedure,

–  having regard to the recommendation for second reading of the Committee on Fisheries (A7-0272/2014),

1.  Approves the Council position at first reading;

2.  Notes that the act is adopted in accordance with the Council position;

3.  Instructs its President to sign the act with the President of the Council, in accordance with Article 297(1) of the Treaty on the Functioning of the European Union;

4.  Instructs its Secretary-General to sign the act, once it has been verified that all the procedures have been duly completed, and, in agreement with the Secretary-General of the Council, to arrange for its publication in the Official Journal of the European Union;

5.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

(1) OJ C 11, 15.1.2013, p. 85.
(2) Texts adopted of 16.4.2013, P7_TA(2013)0104.


Posting of workers in the framework of the provision of services ***I
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Resolution
Text
Annex
European Parliament legislative resolution of 16 April 2014 on the proposal for a directive of the European Parliament and of the Council on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services (COM(2012)0131 – C7-0086/2012 – 2012/0061(COD))
P7_TA(2014)0415A7-0249/2013

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2012)0131),

–  having regard to Article 294(2) and Articles 53(1) and 62 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0086/2012),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the European Economic and Social Committee of 19 September 2012(1),

–  having regard to the opinion of the Committee of the Regions of 29 November 2012(2),

–  having regard to the undertaking given by the Council representative by letter of 5 March 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on Employment and Social Affairs and the opinions of the Committee on Internal Market and Consumer Protection and of the Committee on Legal Affairs (A7-0249/2013),

1.  Adopts its position at first reading hereinafter set out;

2.  Approves the joint statement by Parliament, the Council and the Commission annexed hereto, which will be published in the L series of the Official Journal of the European Union together with the final legislative act;

3.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

4.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Directive 2014/…/EU of the European Parliament and of the Council on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’ )

P7_TC1-COD(2012)0061


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive 2014/67/EU.)

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint statement by the European Parliament, the Council and the Commission

on Article 4(3)(g)

The fact whether or not the post to which the posted worker is temporarily assigned to carry out his or her work in the framework of the provision of services was filled by the same or another (posted) worker during any previous periods constitutes only one of the possible elements to be taken into account while making an overall assessment of the factual situation in case of doubt.

The mere fact that it can be one of the elements should in no way be interpreted as imposing a ban on the possible replacement of a posted worker by another posted worker or hampering the possibility of such a replacement, which may be inherent in particular to services which are provided on a seasonal, cyclical or repetitive basis.

(1)OJ C 351, 15.11.2012, p. 61.
(2) OJ C 17, 19.1.2013, p. 67.


Return of cultural objects unlawfully removed from the territory of a Member State ***I
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Resolution
Text
European Parliament legislative resolution of 16 April 2014 on the proposal for a directive of the European Parliament and of the Council on the return of cultural objects unlawfully removed from the territory of a Member State (recast) (COM(2013)0311 – C7-0147/2013 – 2013/0162(COD))
P7_TA(2014)0416A7-0058/2014

(Ordinary legislative procedure – recast)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0311),

–  having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0147/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the European Economic and Social Committee of 18 September 2013(1),

–  having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts(2),

–  having regard to the letter of 5 November 2013 from the Committee on Legal Affairs to the Committee on Culture and Education in accordance with Rule 87(3) of its Rules of Procedure,

–  having regard to the undertaking given by the Council representative by letter of 27 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rules 87 and 55 of its Rules of Procedure,

–  having regard to the report of the Committee on Culture and Education (A7‑0058/2014),

A.  whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the Commission proposal does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance;

1.  Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Directive 2014/…/EU of the European Parliament and of the Council on the return of cultural objects unlawfully removed from the territory of a Member State and amending Regulation (EU) No 1024/2012 (Recast)

P7_TC1-COD(2013)0162


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive 2014/60/EU.)

(1) OJ C 341, 21.11.2013, p. 98.
(2) OJ C 77, 28.3.2002, p. 1.


Reducing the consumption of lightweight plastic carrier bags ***I
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Resolution
Consolidated text
European Parliament legislative resolution of 16 April 2014 on the proposal for a directive of the European Parliament and of the Council amending Directive 94/62/EC on packaging and packaging waste to reduce the consumption of lightweight plastic carrier bags (COM(2013)0761 – C7-0392/2013 – 2013/0371(COD))
P7_TA(2014)0417A7-0174/2014

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0761),

–  having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0392/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the European Economic and Social Committee of 26 February 2014(1),

–  having regard to the opinion of the Committee of the Regions of 3 April 2014(2),

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on the Environment, Public Health and Food Safety (A7-0174/2014),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council amending Directive 94/62/EC on packaging and packaging waste to reduce the consumption of lightweight plastic carrier bags

P7_TC1-COD(2013)0371


(Text with EEA relevance)

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 114 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 Committee(3),

Having regard to the opinion of the Committee of the Regions(4),

Acting in accordance with the ordinary legislative procedure(5),

Whereas:

(1)  Directive 94/62/EC of the European Parliament and of the Council(6) was adopted in order to prevent or reduce the impact of packaging and packaging waste on the environment. Although plastic carrier bags constitute packaging within the meaning of that Directive, its provisions do not contain specific measures relating to the consumption of such bags.

(2)  Consumption of plastic carrier bags results in high levels of littering and an inefficient use of resources and is expected to increase if no action is taken. Littering of plastic carrier bags contributes to the problem results in environmental pollution and aggravates the widespread problem of marine litter that threatens marine in water bodies, threatening aquatic eco-systems worldwide. [Am. 1]

(2a)  Furthermore, the accumulation of plastic carrier bags in the environment has a clearly negative impact on certain branches of the economy, such as tourism. [Am. 2]

(3)  Lightweight plastic carrier bags with a thickness below 50 microns, which represent the vast majority of the total number of plastic carrier bags consumed in the Union, are less frequently re-used reusable than thicker plastic carrier bags and, thus become waste more quickly, are more prone to littering and, due to their light weight, more likely to end up scattered through the environment, both on land and in freshwater and marine-ecosystems. [Am. 3]

(3a)  Current recycling rates are very low even though plastic carrier bags are recyclable. Furthermore, the recycling of plastic carrier bags is not expected to reach a significant level, as due to their thinness and light weight, plastic carrier bags do not have a high recycling value. In addition, there is no separate collection for plastic carrier bags, their transportation is costly, and washing them for recycling requires large volumes of water. The recycling of plastic carrier bags therefore does not resolve the problems caused by them. [Am. 4]

(3b)  According to the waste hierarchy prevention comes first. Therefore, an EU-wide reduction target has been defined. However, plastic carrier bags serve several purposes and they will still be used in the future. In order to ensure that the needed plastic carrier bags will not end up in the environment, the infrastructure for waste management – especially recycling – should be expanded and consumers should be informed about proper waste disposal. [Am. 46]

(4)  Consumption levels of plastic carrier bags vary considerably across the Union due not only to differences in consumption habits, and environmental awareness, as well as the but mainly to the degree of effectiveness of policy measures taken by Member States. Some Member States have managed to reduce consumption levels of plastic carrier bags significantly, with the average consumption level in the seven best performing Member States amounting to only 20% of the EU average consumption. EU-wide reduction targets should be set compared to the average consumption of plastic carrier bags across the Union so as to take account of reductions already achieved by certain Member States. [Am. 5]

(4a)  The data available concerning the use of plastic carrier bags in the Union clearly show that consumption is low or has been reduced in those Member States where economic operators do not make plastic carrier bags available free of charge, but instead subject to a small payment. [Am. 6]

(4b)  Furthermore, consumer information has been shown to play a decisive part in achieving any goals regarding reduced plastic bag consumption. It is therefore necessary for efforts to be made at institutional level to heighten awareness of the environmental impact of plastic bags and do away with the current perception of plastic as a harmless, cheap and intrinsically worthless commodity. [Am. 7]

(5)  To promote similar reductions of the average consumption level of lightweight plastic carrier bags, Member States should take measures to significantly reduce the consumption of plastic carrier bags with a thickness below 50 microns with very limited reusability in line with the overall objectives of the Union’s waste policy and the Union's waste hierarchy as provided for in Directive 2008/98/EC of the European Parliament and of the Council (7). Such reduction measures should take account of current consumption levels of plastic carrier bags in individual Member States, with higher levels requiring more ambitious efforts. To monitor progress in reducing the use of lightweight plastic carrier bags national authorities will provide data on their use in accordance with Article 17 of Directive 94/62/EC. [Am. 8]

(5a)  Measures to be taken by Member States should involve the use of economic instruments such as pricing, which has proved particularly effective to reduce the use of plastic carrier bags. Member States should ensure that economic operators selling food do not provide plastic carrier bags other than very lightweight plastic carrier bags or alternatives to such very lightweight plastic carrier bags, free of charge at the point of sale of goods or products. Member States should also encourage economic operators selling solely non-food items not to provide plastic carrier bags free of charge at the point of sale of goods or products. [Am. 9]

(6)  Measures to be taken by Member States may involve the should also be able to use of economic instruments such as taxes and levies, which have proved particularly effective to reduce the use of plastic carrier bags, as well as marketing restrictions such as bans in derogation of Article 18 of Directive 94/62/EC, subject to the requirements laid down in Articles 34 to 36 of the Treaty on the Functioning of the European Union ('TFEU'). [Am. 10]

(6a)  Plastic carrier bags used to wrap humid, loose foods such as raw meat, fish and dairy, and plastic bags used to hold unpackaged prepared foodstuffs are required for food hygiene and should therefore be exempt from the scope of this Directive. [Ams 47 and 51]

(6b)  Very lightweight plastic carrier bags are routinely used to purchase dry, loose unpackaged foods such as fruits, vegetables or confectionery. The use of very lightweight plastic carrier bags for such purposes helps prevent food wastage, since it enables consumers to purchase the exact amount required rather than a fixed pre-packaged quantity, and since it allows the withdrawal of a product that is no longer fit for consumption specifically without needing to discard entire pre-packaged packages. Nevertheless, very lightweight plastic carrier bags made of conventional plastics are a particular problem with regard to littering. [Am. 12]

(6c)  Plastic carrier bags made of biodegradable and compostable materials are less harmful to the environment than conventional plastic carrier bags. Where the use of plastic carrier bags provides important benefits, namely where very lightweight plastic carrier bags are used for dry loose, unpackaged foods such as fruits, vegetables and confectionery, those conventional very lightweight plastic carrier bags should be gradually replaced by carrier bags made of recycled paper, or by very lightweight plastic carrier bags that are biodegradable and compostable. Where the use of plastic carrier bags should be reduced, namely the use of lightweight plastic carrier bags, the use of such bags made of biodegradable and compostable materials should also fall under the general reduction target. However, Member States with separate collection of bio-waste should be allowed to reduce the price of biodegradable and compostable lightweight plastic carrier bags. [Am. 13]

(6d)  Education programmes aimed at consumers in general, as well as at children in particular, should play a particular role in the reduction of the use of plastic bags. Those education programmes should be implemented both by Member States as well as by producers and retailers at the point of sale of goods and products. [Am. 14]

(6e)  The essential requirements with regard to packaging that is recoverable in the form of composting should be amended so as to ensure that a European standard for garden composting is developed. The essential requirements with regard to biodegradable packaging should be amended so as to ensure that only materials that are fully biodegraded are considered to be biodegradable. [Am. 15]

(6f)  European standard EN 13432 on “Requirements for packaging recoverable through composting and biodegradation - Test scheme and evaluation criteria for the final acceptance of packaging” lays down the characteristics that a material must possess in order to be considered "compostable", namely that it can be recycled through a process of organic recovery comprised of composting and anaerobic digestion. The Commission should ask the European Committee for Standardization to develop a separate standard for garden composting. [Am. 16]

(6g)  Some plastic materials are referred to as “oxo-biodegradable” by their manufacturers. In such plastic materials, "oxo-biodegradable" additives, typically metal salts, are incorporated into conventional plastics. As a result of the oxidation of those additives, the plastic materials fragment into small particles, which remain in the environment. It is thus misleading to refer to such plastic materials as “biodegradable”. Fragmentation transforms visible littering of items such as plastic carrier bags into invisible littering by secondary microplastics. This is not a solution to the waste problem, but rather increases pollution of the environment by those plastic materials. Such plastic materials should therefore not be used for plastic packaging. [Am. 17]

(6h)  The use of substances that are carcinogenic, mutagenic or toxic to reproduction and of substances that are endocrine disrupters should be phased out from packaging material so as to avoid unnecessary exposure of humans to such substances and to avoid that such substances enter the environment during the waste phase. [Am. 18]

(6i)  Harmful substances, particularly hormone-disrupting chemicals, in plastic bags, should be entirely banned to ensure a good level of protection for the environment and human health. [Am. 19]

(7)  Measures to reduce the consumption of plastic carrier bags should lead to a sustained reduction in the consumption of lightweight plastic carrier bags and should not lead to an overall increase in the generation of packaging. [Am. 20]

(7a)  In order to ensure Union-wide recognition of indications (mark, feature or colour code) for biodegradable and compostable bags, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of defining such indications. 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. [Am. 21]

(8)  The measures provided for by this Directive are consistent with the Communication from the Commission on the Roadmap to a Resource Efficient Europe(8) and should contribute to actions against littering undertaken in accordance with Directive 2008/56/EC of the European Parliament and of the Council (9).

(8a)  In order not to impede the functioning of the internal market, the same conditions should apply throughout the Union in respect of the materials used. Differences in the way certain materials are dealt with in certain Member States are detrimental to recycling and trade. [Am. 22]

(9)  Directive 94/62/EC should therefore be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Directive 94/62/EC is hereby amended as follows:

(1)  In Article 3, the following points are inserted:"

'-2a. "plastic carrier bags" shall mean bags, with or without handle, made of plastic materials as defined in point (1) of Article 3 of Commission Regulation (EU) No 10/2011*, which are supplied to consumers at the point of sale of goods or products for the purpose of carrying goods. Plastic carrier bags that are necessary for food hygiene to wrap humid, loose foods such as raw meat, fish and dairy and plastic bags to hold unpackaged prepared foodstuffs shall not be considered as plastic carrier bags for the purposes of this Directive; [Ams 48 and 53]

   2a. "lightweight plastic carrier bags” shall mean bags made of plastic materials as defined in point (1) of Article 3 of Regulation (EU) No 10/2011 with a wall thickness below 50 microns and which are supplied to consumers at the point of sale of goods or products, except very lightweight plastic carrier bag; [Am. 24]
   2b. "very lightweight plastic carrier bags" shall mean bags made of plastic materials as defined in point (1) of Article 3 of Regulation (EU) No 10/2011 with a wall thickness below 10 microns; [Am. 25]
   2c. “oxo-fragmentable plastic materials” shall mean plastic materials that include additives that catalyse the fragmentation of the plastic material into micro-fragments of plastic material; [Am. 26]
   2d. “bio-waste” shall mean biodegradable garden and park waste, food and kitchen waste from households, restaurants, caterers and retail premises, and comparable waste from food processing plants. It does not include forestry or agricultural residues, manure, sewage sludge, or other biodegradable waste such as natural textiles, paper or processed wood. It also excludes those by-products of food production that never become waste; [Am. 27]
   2e. "substances that are carcinogenic, mutagenic or toxic to reproduction" shall mean substances that are carcinogenic, mutagenic or toxic to reproduction of category 1A or 1B in accordance with Part 3 of Annex VI to Regulation (EC) No 1272/2008 of the European Parliament and of the Council**; [Am. 28]
   2f. "endocrine disrupters" shall mean substances having endocrine disrupting properties for which there is scientific evidence of possible serious effects to human health or which are identified in accordance with the procedure set out in Article 59 of Regulation (EC) No 1907/2006 of the European Parliament and of the Council*** or which are identified according to Commission Recommendation [.../.../EU]****;

_______________________

* Commission Regulation (EU) No 10/2011 of 14 January 2011 on plastic materials and articles intended to come into contact with food (OJ L 12, 15.1.2011, p. 1).

** Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006 (OJ L 353, 31.12.2008, p. 1).

*** Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006, p. 1).

**** Commission Recommendation [.../.../EU] of ... on criteria for the identification of endocrine disrupters (OJ C ...).' [Am. 29]

"

(2)  In Article 4, the following paragraphs are inserted:"

'-1a. Member State shall ensure that packaging is manufactured in such a way that it does not contain substances in concentrations above 0,01 % that are carcinogenic, mutagenic or toxic to reproduction or that are endocrine disrupters. Member States shall ensure that packaging is manufactured in such a way that it does not contain “oxo-fragmentable” plastic materials. Those measures shall be achieved by …(10).

[Am. 30]

   1a. Member States shall take measures to achieve a sustained reduction in the consumption of lightweight plastic carrier bags on their territory within two years of entry into force of this Directive. of at least:
   50 % by …(11), and
   80 % by …(12)+,

as compared to the average consumption in the Union in 2010, respectively. [Am. 31]

Member States shall take measures to ensure that economic operators selling food do not provide plastic carrier bags free of charge, except for very lightweight plastic carrier bags, or alternatives to such very lightweight plastic carrier bags as referred to in the sixth subparagraph.

Member States shall ensure that economic operators selling food charge a price for lightweight plastic carrier bags that is effective and proportionate so as to achieve the reduction targets referred to in the first subparagraph. Member States shall ensure that economic operators selling food charge at least the same price for thicker plastic carrier bags, and that economic operators do not replace lightweight plastic carrier bags by very lightweight plastic carrier bags at the point of sale. Member States shall take such measures by …(13).

Member States that have set up separate collection for bio-waste may require economic operators selling food to reduce the price by up to 50 % for lightweight plastic carrier bags that are biodegradable and compostable.

Member States shall encourage economic operators selling non-food items to charge for plastic carrier bags to an extent that is effective and proportionate so as to achieve the reduction targets referred to in the first subparagraph. [Am. 32]

Member States shall take measures to ensure that very lightweight plastic carrier bags used to wrap dry loose, unpackaged foods such as fruits, vegetables and confectionery are replaced progressively by carrier bags that are made of recycled paper, or by very lightweight plastic carrier bags that are biodegradable and compostable. Member States shall achieve a replacement rate of 50 % by …(14) and of 100 % by …(15)+. [Am. 33]

These measures Member States may include the use of national reduction targets, other economic instruments as well as maintain or introduce marketing restrictions in derogation from Article 18. Such measures shall not, however, constitute a means of arbitrary discrimination or a disguised restriction on trade between Member States. [Am. 34]

Member States shall report on the effects of these measures on the overall formation of packaging waste when reporting to the Commission in accordance with Article 17.

   1b. Consumers shall be allowed by retailers to refuse and to leave at the point of sale any packaging they consider superfluous, in particular as regard to carrier bags. Retailers shall ensure that such packaging is either reused or recycled. [Am. 35]
   1c. The Commission and the Member States shall, at least during the first year after the entry into force of this Directive, promote public information and awareness campaigns concerning the adverse environmental impact of excessive use of conventional plastic bags. [Am. 36]
   1d. Member States shall ensure that the measures to reduce the consumption of lightweight plastic carrier bags do not lead to an overall increase in the generation of packaging.' [Am. 38]

"

(3)  The following Article is inserted:"

'Article 6a

Information to be indicated on plastic bags

If bags are biodegradable and compostable, this shall be clearly indicated on the bag with a mark, feature or colour code. The Commission shall be empowered to adopt delegated acts to define such indications in order to ensure Union-wide recognition. Member States may adopt measures to indicate other characteristics, such as reusability, recyclability and degradability.' [Am. 39]

"

(4)  The following Article is inserted:"

'Article 20a

Exercise of 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 6a shall be conferred on the Commission for an indeterminate period of time from …(16).

3.  The delegation of power referred to in Article 6a 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 6a 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 of the Council. ' [Am. 40]

"

(5)  In Annex II, points (c) and (d) of paragraph 3 are amended as follows:"

'(c) Packaging recoverable in the form of composting

Packaging waste processed for the purpose of composting shall be of such a biodegradable nature that it should be fully compatible with the separate collection and the industrial and/or garden composting process or activity into which it is introduced.

   (d) Biodegradable packaging

Biodegradable packaging waste shall be of such a nature that it is capable of undergoing physical, chemical, thermal or biological decomposition such that all of the material ultimately decomposes into carbon dioxide, biomass and water. ' [Am. 41]

"

Article 2

1.  Member States shall amend their national legislation if necessary and shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by twelve months after the entry into force of this Directive. They shall forthwith communicate to the Commission the text of those provisions. [Am. 42]

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

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

Article 2a

By …(17) the Commission shall review the effectiveness of this Directive and assess whether further measures need to be taken, to be accompanied, if appropriate, by a legislative proposal. [Am. 43]

Article 3

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

Article 4

This Directive is addressed to the Member States.

Done at …,

For the European Parliament For the Council

The President The President

(1) Not yet published in the Official Journal.
(2) Not yet published in the Official Journal.
(3)OJ C , , p. .
(4)OJ C , , p. .
(5) Position of the European Parliament of 16 April 2014.
(6)Directive 94/62/EC of the European Parliament and of the Council of 20 December 1994 on packaging and packaging waste (OJ L 365, 31.12.1994, p. 10).
(7)Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives (OJ L 312, 22.11.2008, p. 3).
(8)Communication from the Commission to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions on the Roadmap to a Resource Efficient Europe (COM(2011)0571 final).
(9)Directive 2008/56/EC of the European Parliament and of the Council of 17 June 2008 establishing a framework for community action in the field of marine environmental policy (Marine Strategy Framework Directive) (OJ L 164, 25.6.2008, p. 19).
(10) Two years after the entry into force of this Directive.
(11) Three years after the entry into force of this Directive.
(12)+ Five years after the entry into force of this Directive.
(13) Two years after the entry into force of this Directive.
(14) Three years after the entry into force of this Directive.
(15)+ Five years after entry into force of this Directive.
(16) Date of entry into force of the amending directive.
(17) Six years after the entry into force of this Directive.


Surveillance of external sea borders ***I
PDF 197kWORD 44k
Resolution
Text
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council establishing rules for the surveillance of the external sea borders in the context of operational cooperation coordinated by the European Agency for the Management of Operational Cooperation at the External Borders of the Member States of the European Union (COM(2013)0197 – C7-0098/2013 – 2013/0106(COD))
P7_TA(2014)0418A7-0461/2013

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0197),

–  having regard to Article 294(2) and Article 77(2)(d) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0098/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to its resolution of 23 October 2013 on organised crime, corruption, and money laundering: recommendations on action and initiatives to be taken(1), with particular reference to the fight against trafficking in human beings and traffickers in death,

–  having regard to the undertaking given by the Council representative by letter of 13 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Foreign Affairs and the Committee on Transport and Tourism (A7-0461/2013),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council establishing rules for the surveillance of the external sea borders in the context of operational cooperation coordinated by the European Agency for the Management of Operational Cooperation at the External Borders of the Member States of the European Union

P7_TC1-COD(2013)0106


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 656/2014.)

(1) Texts adopted, P7_TA(2013)0444.


Financial responsibility linked to investor-state dispute settlement tribunals established by international agreements to which the EU is party ***I
PDF 201kWORD 40k
Resolution
Text
Annex
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council establishing a framework for managing financial responsibility linked to investor-state dispute settlement tribunals established by international agreements to which the European Union is party (COM(2012)0335 – C7-0155/2012 – 2012/0163(COD))
P7_TA(2014)0419A7-0124/2013

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2012)0335),

–  having regard to Article 294(2) and Article 207(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0155/2012),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the undertaking given by the Council representative by letter of 4 April 2014 to approve Parliament's position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on International Trade (A7-0124/2013),

1.  Adopts its position at first reading hereinafter set out(1);

2.  Approves the joint declaration by the European Parliament, the Council and the Commission annexed to this resolution;

3.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

4.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No …/2014 of the European Parliament and of the Council establishing a framework for managing financial responsibility linked to investor-to-state dispute settlement tribunals established by international agreements to which the European Union is party

P7_TC1-COD(2012)0163


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 912/2014.)

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint declaration by the European Parliament, the Council and the Commission

The adoption and application of this Regulation is without prejudice to the division of competence established by the Treaties and shall not be interpreted as an exercise of shared competence by the Union in areas where the Union’s competence has not been exercised.

(1) This position replaces the amendments adopted on 23 May 2013 (Texts adopted P7_TA(2013)0219).


Protection against dumped and subsidised imports from countries not members of the EU ***I
PDF 427kWORD 133k
Resolution
Consolidated text
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 1225/2009 on protection against dumped imports from countries not members of the European Community and Council Regulation (EC) No 597/2009 on protection against subsidised imports from countries not members of the European Community (COM(2013)0192 – C7-0097/2013 – 2013/0103(COD))
P7_TA(2014)0420A7-0053/2014

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0192),

–  having regard to Article 294(2) and Article 207(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0097/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on International Trade (A7-0053/2014),

1.  Adopts as its position at first reading hereinafter set out(1);

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 1225/2009 on protection against dumped imports from countries not members of the European Community and Council Regulation (EC) No 597/2009 on protection against subsidised imports from countries not members of the European Community

P7_TC1-COD(2013)0103


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 207(2) thereof,

Having regard to the proposal from the European Commission,

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

Acting in accordance with the ordinary legislative procedure(2),

Whereas:

(1)  The common rules for protection against dumped and subsidised imports from countries which are not members of the European Union are contained in Council Regulation (EC) No 1225/2009(3) and Council Regulation (EC) No 597/2009(4) respectively (hereinafter jointly referred to as the 'Regulations'). The Regulations were initially adopted in 1995 following the conclusion of the Uruguay Round. Given that a number of amendments were made to the Regulations since then, the Council decided in 2009 to codify the Regulations in the interest of clarity and rationality.

(2)  While the Regulations have been amended, there has not been a fundamental review of their functioning since 1995. As a result, the Commission launched a review of the Regulations in 2011 in order to, inter alia, better reflect the needs of business at the beginning of the 21st century.

(3)  Following the review, certain provisions of the Regulations should be amended in order to improve transparency and predictability, provide for effective measures to fight against retaliation by third countries, improve effectiveness and enforcement and optimise review practice. In addition, certain practices that in recent years have been applied in the context of anti-dumping and anti-subsidy investigations should be included in the Regulations. [Am. 1]

(4)  In order to improve transparency and predictability of anti-dumping and anti-subsidy investigations, the parties affected by the imposition of provisional anti-dumping and countervailing measures, in particular importers, should be made aware of the impending imposition of such measures. The time given should correspond to the period between the submission of the draft implementing act to the anti-dumping committee established pursuant to Article 15 of Regulation (EC) No 1225/2009 and the anti-subsidy committee established pursuant to Article 25 of Regulation (EC) No 597/2009 and the adoption of that act by the Commission. This period is fixed in Article 3(3) of Regulation (EU) No 182/2011. Also, in investigations where it is not appropriate to impose provisional measures, it is desirable that parties are aware sufficiently in advance of such non-imposition. [Am. 2]

(5)  A short period of time in advance of the imposition of provisional measures should be allowed for exporters or producers to check the calculation of their individual dumping or subsidy margin. Calculation errors could then be corrected in advance of the imposition of measures. [Am. 95]

(6)  In order to ensure effective measures to fight against retaliation, Union producers should be able to rely on the Regulations without fear of retaliation by third parties. Existing provisions, under special circumstances, in particular where diverse and fragmented sectors largely composed of small and medium-sized enterprises (SMEs) are concerned, provide for the initiation of an investigation without having received a complaint, where sufficient evidence of the existence of dumping, countervailable subsidies, injury and causal link exists. Such special circumstances should include threat of retaliation from third countries. [Am. 3]

(7)  When an investigation is not initiated by a complaint, an obligation a request for cooperation should be imposed on made to Union producers to provide the necessary information in order for the investigation to proceed, in order to ensure that sufficient information is available for carrying out the investigation in case of such threats of retaliation. Small-sized enterprises and microenterprises should be exempt from that obligation in order to spare them from unreasonable administrative burden and costs. [Am. 4]

(8)  Third countries increasingly interfere in trade of raw materials with a view to keeping raw materials in those countries for the benefit of domestic downstream users, for instance by imposing export taxes or operating dual pricing schemes. As a result, the costs of raw materials do not result from the operation of normal market forces reflecting supply and demand for a given raw material. Such interference creates additional distortions of trade. As a consequence, Union producers are not only harmed by dumping, but suffer, compared to downstream producers from third countries engaged in such practices, additional distortions of trade. In order to protect trade adequately, the lesser duty rule shall not apply in such cases of structural raw material distortions.

(9)  Within the Union, countervailable subsidies are in principle prohibited pursuant to Article 107(1) TFEU. Therefore, countervailable subsidies granted by third countries are particularly distortive of trade. The amount of State aid authorised by the Commission has steadily been reduced over time. For the anti-subsidy instrument, the lesser duty rule should hence no longer be applied to imports from a country/countries engaged in subsidisation.

(10)  In order to optimise the review practice, duties collected during the investigation should be reimbursed to importers, where measures are not prolonged after the conclusion of an expiry review investigation. This is appropriate given that the conditions required for the continuation of the measures have not been found to exist during the investigation period. [Am. 5]

(11)  Certain practices which in recent years have been applied in the context of anti-dumping and anti-subsidy investigations should be included in the Regulations.

(11a)  Any document aimed at clarifying the established practices of the Commission with regard to the application of this Regulation (including the four draft guidelines on the selection of analogue country, on expiry reviews and the duration of measures, on the injury margin and on the Union interest) should be adopted by the Commission only after the entry into force of this Regulation and proper consultation of the European Parliament and of the Council and should then fully reflect the content of this Regulation. [Am. 6]

(11b)  The Union is not party to ILO Conventions, but its Member States are. For the time being, only "core" ILO Conventions have been ratified by all Union Member States. In order to keep the definition of sufficient level of social standards based on ILO Conventions listed in Annex Ia to Regulation (EU) No 1225/2009 up to date, the Commission will, by means of delegated acts, update that Annex, as soon as Union Member States have ratified other ILO "priority" Conventions. [Am. 7]

(12)  The Union industry should no longer be defined by reference to the initiation thresholds set out in the Regulations.

(12a)  Diverse and fragmented sectors largely composed of SMEs have difficulties in acceding to trade defence proceedings due to the complexity of the procedures and the high costs related thereto. SMEs’ access to the instrument should be facilitated by strengthening the role of the SME Help Desk, which should support SMEs in filing complaints and in reaching the necessary thresholds for investigations to be launched. Administrative procedures relating to trade defence proceedings should also be better adapted to SMEs' constraints. [Am. 8]

(12b)  In anti-dumping cases, the duration of investigations should be limited to nine months and those investigations should be concluded within 12 months of initiation of the proceedings. In anti-subsidy cases, the duration of investigations should be limited to nine months and those investigations should be concluded within 10 months of initiation of the proceedings. In any event, the provisional duties should be imposed only during a period commencing 60 days after the initiation of the proceedings until six months after the initiation of the proceedings. [Am. 9]

(12c)  Non-confidential elements of undertakings submitted to the Commission should be better disclosed to the interested parties, the European Parliament and the Council. The Commission should be obliged to consult Union industry before accepting any offer of undertaking. [Am. 10]

(13)  In initial investigations where dumping or subsidy margins have been found to be less than the de minimis thresholds, the investigation should be immediately terminated in relation to exporters that will not be subject to subsequent review investigations.

(14)  In the framework of anti-dumping and anti-subsidy review investigations, it seems appropriate to be able to change methodology as compared to the investigation that led to the imposition of the measure in order to ensure that, inter alia, coherent methodologies are used across different investigations at a given point in time. This will allow, in particular, scope to change methodologies which are revised over time as situations change.

(15)  When the conditions are met for initiating an anti-circumvention investigation, imports should in all cases be made subject to registration.

(16)  In anti-circumvention investigations, it seems advisable to remove the condition that, in order to be granted an exemption from registration or extended duties, producers of the product concerned should not be related to any producer subject to the original measures. This is because experience shows that sometimes producers of the product concerned are found not to be engaged in circumvention practices but are found to be related to a producer subject to the original measures. In such cases the producer should not be denied an exemption merely on the grounds that the company is related to a producer subject to the original measures. Also, when the circumvention practice takes place in the Union, the fact that importers are related to producers subject to the measures should not be decisive in determining whether the importer may be granted an exemption.

(17)  Where the number of producers in the Union is so large that resort must be made to sampling, a sample of producers should be chosen from among all producers in the Union and not just from among producers lodging the complaint.

(18)  In making the Union interest assessment, the opportunity to provide comments should be given to all producers in the Union and not just those producers lodging the complaint. [Am. 93]

(18a)  The annual report by the Commission to the European Parliament and the Council on its implementation of Regulation (EC) No 1225/2009 and Regulation (EC) No 597/2009 allows a regular and timely monitoring of the trade defence instruments as part of the establishment of a structured interinstitutional dialogue on that issue. The public release of that report, six months after presentation to the European Parliament and the Council, ensures the transparency of the trade defence instruments for stakeholders and the public. [Am. 11]

(18b)  The Commission should ensure greater transparency with regard to proceedings, internal procedures and outcomes of investigations, and all non-confidential files should be made accessible to interested parties through a web-based platform. [Am. 12]

(18c)  The Commission should inform the European Parliament and the Council of the initiation of any investigations and of developments relating to those investigations on a regular basis. [Am. 13]

(18d)  Where the number of producers in the Union is so large that resort must be made to sampling, the Commission should, when choosing a sample of producers, fully take into account the proportion of SMEs in the sample, in particular in the case of diverse and fragmented industry sectors largely composed of SMEs. [Am. 14]

(18e)  In order to improve the effectiveness of trade defence instruments, trade unions should be allowed to submit written complaints jointly with the Union industry. [Am. 92]

(19)  Regulation (EC) No 1225/2009 and Regulation (EC) No 597/2009 should therefore be amended accordingly,

HAVE ADOPTED THIS REGULATION:

Article 1

Regulation (EC) No 1225/2009 is amended as follows:

-1. The title is replaced by the following:"

"Council Regulation (EC) No 1225/2009 of 30 November 2009 on protection against dumped imports from countries not members of the European Union"; [Am. 15]

"

-1a. The following recital is inserted: "

"(11a) Third countries increasingly interfere in trade with a view to benefitting domestic producers, for instance by imposing export taxes or operating dual pricing schemes. Such interference creates additional distortions of trade. As a consequence, Union producers are not only harmed by dumping, but suffer, compared to producers from third countries engaged in such practices, additional distortions of trade. Differences in the level of labour and environmental standards can also result in additional distortions of trade. Therefore, the lesser duty rule should not apply in such cases, when the exporting country has an insufficient level of social and environmental standards. A sufficient level is defined by the ratification of core International Labour Organisation (ILO) Conventions and of Multilateral Environmental Agreements (MEAs) to which the Union is party. Small and medium-sized enterprises (SMEs) particularly suffer from unfair competition because their small size prevents them from adapting to it. Therefore, the lesser duty rule should not apply when the complaint has been presented on behalf of a sector largely composed of SMEs. The lesser duty rule should always apply, however, when structural raw material distortions are the result of a deliberate choice made by a least developed country to protect the public interest."; [Am. 16]

"

-1b. In Article 1(1), the following subparagraph is added:"

"The use of any dumped product in connection with the exploration of the Continental Shelf or the Exclusive Economic Zone of a Member State, or the exploitation of its resources, shall be treated as an import under this Regulation and shall be charged to duty accordingly, when causing injury to the Union industry."; [Am. 17]

"

-1c. In Article 1, the following paragraph is added:"

"4a. For the purpose of this Regulation, it shall be understood that a raw material is the input of a given product which has a significant impact on its cost of production."; [Am. 18]

"

-1d. In Article 1, the following paragraph is added:"

"4b. A raw material shall be considered to be subject to structural distortion when its price is not solely the result of a normal operation of market forces reflecting supply and demand. Such distortions are the outcome of interference from third countries, which includes, inter alia, export taxes, export restrictions and dual pricing schemes."; [Am. 19]

"

-1e. In Article 2(7)(a), the second subparagraph is replaced by the following:"

"An appropriate market economy third country shall be selected in a not unreasonable manner, due account being taken of any reliable information made available at the time of selection. The selected country shall also have a sufficient level of social and environmental standards, where sufficient levels are determined on the basis of ratification and effective implementation by the third country of the MEAs, and protocols thereunder, the Union is party to at any point in time and of ILO Conventions listed in Annex Ia. Account shall also be taken of time-limits; where appropriate, a market economy third country which is subject to the same investigation shall be used."; [Ams. 70 and 86]

"

1.  In Article 4(1), the introductory wording is replaced by the following:"

"1. For the purposes of this Regulation, the term ‘Union industry’ shall be interpreted as referring to the Union producers as a whole of the like products or to those of them whose collective output of the products constitutes a major proportion of the total Union production of those products, except that:";

"

1a.  In Article 5(1), the first subparagraph is replaced by the following:"

"Except as provided for in paragraph 6, an investigation to determine the existence, degree and effect of any alleged dumping shall be initiated upon a written complaint by any natural or legal person, or any association not having legal personality, acting on behalf of the Union industry. Complaints may also be submitted jointly by the Union industry, or by any natural or legal person or any association not having legal personality acting on behalf thereof, and trade unions."; [Ams. 87 and 90]

"

1b.  In Article 5, the following paragraph is inserted:"

"1a. The Commission shall facilitate access to the instrument for diverse and fragmented industry sectors, largely composed of SMEs, in the context of anti-dumping cases, through an SME Help Desk.

The SME Help Desk shall raise awareness of the instrument, provide information and explanations on cases, how to file a complaint and how to better present evidence of dumping and injury.

The SME Help Desk shall make available standard forms for statistics to be submitted for standing purposes and questionnaires.

After the initiation of an investigation, the SME Help Desk shall inform SMEs and their relevant associations likely to be affected by the initiation of proceedings and the relevant deadlines for registering as an interested party.

The SME Help Desk shall assist in addressing questions regarding the completion of questionnaires, where special attention shall be given to queries of SMEs as regards investigations initiated under Article 5(6). To the extent possible, it shall assist in reducing the burden caused by language barriers.

In the event that SMEs provide prima facie evidence of dumping, the SME Help Desk shall provide SMEs with information on the evolution of the volume and value of imports of the product concerned in accordance with Article 14(6).

The SME Help Desk shall also provide guidance on additional methods of contact and liaison with the Hearing Officer and national customs authorities. The SME Help Desk shall also inform SMEs on the possibilities and conditions under which they can request a review of the measures and refund of the anti-dumping duties paid."; [Am. 20]

"

1c.  In Article 5(4), the following subparagraph is added:"

"In the case of diverse and fragmented industrial sectors, largely composed of SMEs, the Commission shall assist in reaching those thresholds through the support of the SME Help Desk."; [Am. 21]

"

1d.  In Article 5, paragraph 6 is replaced by the following:"

"6. If in special circumstances, in particular where diverse and fragmented sectors largely composed of SMEs are concerned, the Commission decides to initiate an investigation without having received a written complaint by or on behalf of the Union industry for the initiation of such investigation, this shall be done on the basis of sufficient evidence of dumping, injury and a causal link, as described in paragraph 2, to justify such initiation."; [Am. 22]

"

1e.  In Article 6, paragraph 9 is replaced by the following:"

"9. For proceedings initiated pursuant to Article 5(9), an investigation shall be concluded within nine months. In any event, such an investigation shall in all cases be concluded within one year of initiation, in accordance with the findings made pursuant to Article 8 for undertakings or the findings made pursuant to Article 9 for definitive action. Investigation periods shall, whenever possible, especially in the case of diverse and fragmented sectors largely composed of SMEs, coincide with the financial year."; [Am. 23]

"

2.  In Article 6, the following paragraphs are added:"

"10. Union producers of the like product with the exception of small-sized and micro-sized Union producers are obliged requested to cooperate in proceedings that have been initiated pursuant to Article 5(6). [Am. 24]

   10a. The Commission shall ensure the best possible access to information to all interested parties by allowing for an information system whereby interested parties are notified when new non-confidential information is added to the investigation files. Non-confidential information shall also be made accessible through a web-based platform. [Am. 25]
   10b. The Commission shall safeguard the effective exercise of the procedural rights of the interested parties and shall ensure that proceedings are handled impartially, objectively and within a reasonable time period, through a Hearing Officer, where appropriate. [Am. 26]
   10c. The Commission shall issue questionnaires used in investigations, in all official languages of the Union, upon request of interested parties."; [Am. 27]

"

3.  Article 7 is amended as follows:

(a)  paragraph 1 is replaced by the following:"

"1. Provisional duties may be imposed if proceedings have been initiated in accordance with Article 5, if a notice has been given to that effect and interested parties have been given adequate opportunities to submit information and make comments in accordance with Article 5(10), if a provisional affirmative determination has been made of dumping and consequent injury to the Union industry, and if the Union interest calls for intervention to prevent such injury. The provisional duties shall be imposed no earlier than 60 days from the initiation of the proceedings but no later than six months from the initiation of the proceedings."; [Am. 28]

"

(a)  in paragraph 1, the following sentence is added:"

'Provisional duties shall not be applied within a period of two weeks after the information is sent to interested parties under Article 19a. The provision of such information shall not prejudice any subsequent decision that may be taken by the Commission.' [Am. 29]

"

(b)  paragraph 2 is replaced by the following:"

"2. The amount of the provisional anti-dumping duty shall not exceed the margin of dumping as provisionally established. Unless structural raw material distortions were found to exist with regard to the product concerned in the exporting country, but it should be less than the margin of dumping if such lesser duty would be adequate to remove the injury to the Union industry.

Such a lesser duty shall not apply in any of the following circumstances:

   (a) structural distortions or significant State interference regarding, inter alia, prices, costs and inputs, including for instance raw materials and energy, research and labour, outputs, sales and investments, currency exchange rate and fair trade finance conditions, are found to exist with regard to the product concerned in the exporting country;
   (b) the exporting country does not have a sufficient level of social and environmental standards, where sufficient levels are determined on the basis of the ratification and effective implementation by the third country of MEAs, and protocols thereunder, to which the Union is party any point in time, and of ILO Conventions listed in Annex Ia;
   (c) the complainant represents a diverse and fragmented industry, largely composed of SMEs;
   (d) the investigation or a separate anti-subsidy investigation has established at least provisionally that the exporting country provides one or more subsidies to exporting producers of the product concerned.

However, such a lesser duty shall always be granted when structural raw materials distortions are found to exist with regard to the product concerned in the exporting country and such country is a least-developed country listed in Annex IV to Regulation (EU) No 978/2012 of the European Parliament and of the Council*.

__________

* Regulation (EU) No 978/2012 of the European Parliament and of the Council of 25 October 2012 applying a scheme of generalised tariff preferences and repealing Council Regulation (EC) No 732/2008."; [Am. 30]

"

3a.  In Article 8, paragraph 1 is replaced by the following:"

"1. Upon condition that a provisional affirmative determination of dumping and injury has been made, the Commission may accept voluntary undertaking offers submitted by any exporter to revise its prices or to cease exports at dumped prices, after specific consultation of the Advisory Committee, provided that such offers effectively eliminate the injurious effect of the dumping. In such a case and as long as such undertakings are in force, provisional duties imposed by the Commission in accordance with Article 7(1) or definitive duties imposed by the Council in accordance with Article 9(4) as the case may be shall not apply to the relevant imports of the product concerned manufactured by the companies referred to in the Commission decision accepting undertakings, as subsequently amended. Price increases under such undertakings shall not be higher than necessary to eliminate the margin of dumping and they shall be less than the margin of dumping if such increases would be adequate to remove the injury to the Union industry, unless the Commission, in the imposition of provisional or definitive duties, has decided that that lesser duty is not to be applied."; [Am. 31]

"

3b.  In Article 8, paragraph 4 is replaced by the following:"

"4. Parties which offer an undertaking shall be required to provide a meaningful non-confidential version of such undertaking, so that it may be made available to interested parties to the investigation, the European Parliament and the Council. The parties shall be requested to disclose as much information as possible regarding the content and nature of the undertaking with due regard to the protection of confidential information within the meaning of Article 19. Furthermore, before accepting any such offer the Commission shall consult the Union industry with regard to the main features of the undertaking."; [Am. 32]

"

4.  Article 9 is amended as follows:

(a)  paragraph 3 is replaced by the following:"

"3. For a proceeding initiated pursuant to Article 5(9), injury shall normally be regarded as negligible where the imports concerned represent less than the volumes set out in Article 5(7). For the same proceeding, there shall be immediate termination where it is determined that the margin of dumping is less than 2 %, expressed as a percentage of the export price.";

"

(b)  in paragraph 4, the last sentence is replaced by the following:"

"The amount of the anti-dumping duty shall not exceed the margin of dumping established. Unless structural raw material distortions were found to exist with regard to the product concerned in the exporting country, but it shall be less than the margin of dumping if such lesser duty would be adequate to remove the injury to the Union industry.

Such a lesser duty shall not apply in any of the following circumstances:

   (a) structural distortions or significant State interferences regarding, inter alia, prices, costs and inputs, including for instance raw materials and energy, research and labour, outputs, sales and investments, currency exchange rate and fair trade finance conditions, is found to exist with regard to the product concerned in the exporting country;
   (b) the exporting country does not have a sufficient level of social and environmental standards, where sufficient levels are determined on the basis of the ratification and effective implementation by the third country of MEAs, and protocols thereunder, to which the Union is party any point in time, and of ILO Conventions listed in Annex Ia;
   (c) the complainant represents a diverse and fragmented industry, largely composed of SMEs;
   (d) the investigation or a separate anti-subsidy investigation has established that the exporting country provides one or more subsidies to exporting producers of the product concerned.

However, such a lesser duty shall always be granted when structural raw materials distortions are found to exist with regard to the product concerned in the exporting country and that country is a least-developed country listed in Annex IV to Regulation (EU) No 978/2012."; [Am. 33]

"

5.  Article 11 is amended as follows:

(-a)  in paragraph 2, the second subparagraph is replaced by the following:"

"An expiry review shall be initiated where the request contains sufficient evidence that the expiry of the measures would be likely to result in a continuation or recurrence of dumping and injury. Such likelihood may, for example, be indicated by evidence of continued dumping and injury or evidence that the removal of injury is partly or solely due to the existence of measures or evidence that the circumstances of the exporters, or market conditions, are such that they would indicate the likelihood of further injurious dumping. Such likelihood may also be indicated by continuing interference by the exporting country."; [Am. 77/rev]

"

(a)  in paragraph 5, the following subparagraph is added: "

'If following an investigation pursuant to paragraph 2, the measure expires, any duties collected from the date of the initiation of such investigation shall be repaid provided that this is requested from national customs authorities and granted by those authorities in accordance with the applicable Union customs legislation concerning repayment and remission of duty. Such repayment does not give rise to the payment of interest by the national customs authorities concerned.' [Am. 35]

"

(b)  paragraph 9 is deleted.

6.  Article 13 is amended as follows:

(a)  in paragraph 3, the second sentence is replaced by the following:"

"Initiations shall be made, after consultation of the Advisory Committee, by Commission Regulation which shall also instruct the customs authorities to make imports subject to registration in accordance with Article 14(5) or to request guarantees." ;

"

(b)  in paragraph 4, the first subparagraph is replaced by the following:"

"Imports shall not be subject to registration pursuant to Article 14(5) or measures where they are traded by companies which benefit from exemptions. Requests for exemptions duly supported by evidence shall be submitted within the time-limits established in the Commission regulation initiating the investigation. Where the circumventing practice, process or work takes place outside the Union, exemptions may be granted to producers of the product concerned that are found not to be engaged in circumvention practices as defined in paragraphs 1 and 2 of this Article. Where the circumventing practice, process or work takes place inside the Union, exemptions may be granted to importers that can show that they are not engaged in circumvention practices as defined in paragraphs 1 and 2 of this Article.";

"

6a.  In Article 14, paragraph 3 is replaced by the following:"

"3. Special provisions, in particular with regard to the common definition of the concept of origin, as contained in Regulation (EEC) No 2913/92 or in accordance with Article 2 thereof, may be adopted pursuant to this Regulation."; [Am. 36]

"

6b.  In Article 14, paragraph 5 is replaced by the following:"

"5. The Commission may, after having informed the Member States in due time, direct the customs authorities to take the appropriate steps to register imports, so that measures may subsequently be applied against those imports from the date of such registration. Imports shall be made subject to registration following a request from the Union industry which contains sufficient evidence to justify such action. Imports may also be made subject to registration on the Commission’s own initiative.

Imports shall be made subject to registration from the date of initiation of the investigation where the complaint of the Union industry contains a request for registration and sufficient evidence to justify such action.

Registration shall be introduced by regulation which shall specify the purpose of the action and, if appropriate, the estimated amount of possible future liability. Imports shall not be made subject to registration for a period longer than nine months."; [Am. 79]

"

6c.  In Article 14, paragraph 6 is replaced by the following:"

"6. Member States shall report to the Commission every month, on the import trade in products subject to investigation and to measures, and on the amount of duties collected pursuant to this Regulation. The Commission may, upon receiving a specific reasoned request from an interested party, and after receiving the opinion of the Committee referred to in Article 15(2) on it, decide to provide them with information concerning the volume and import values of those products."; [Am. 75]

"

6d.  In Article 14, the following paragraph is added:"

"7a. Whenever the Commission intends to adopt or publish any document aimed at clarifying the established practice of the Commission with regard to the application of this Regulation in any of its elements, the Commission, prior to the adoption or publication, shall consult the European Parliament and the Council, aiming at a consensus with a view to the approval of the given document. Any subsequent modification of such documents shall be subject to such procedural requirements. In any event, any of those documents shall be in full conformity with the provisions of this Regulation. No such document shall broaden the discretion of the Commission, as interpreted by the Court of Justice of the European Union, in adopting measures."; [Am. 39]

"

7.  In Article 17, paragraph 1 is replaced by the following:"

"1. In cases where the number of Union producers, exporters or importers that cooperate in the investigation with their consent, types of product or transactions is large, the investigation may be limited to a reasonable number of parties, products or transactions by using samples which are statistically valid on the basis of information available at the time of the selection, or to the largest representative volume of production, sales or exports which can reasonably be investigated within the time available. In the case of diverse and fragmented industry sectors, largely composed of SMEs, the final selection of parties should, where possible, take into account their proportion of the sector concerned."; [Am. 40]

"

8.  The following article is inserted:"

"Article 19a

Information about provisional measures

   1. The Union producers, importers and exporters and their representative associations, and representatives of the exporting country, may request information on the planned imposition of provisional duties. Requests for such information shall be made in writing within the time limit prescribed in the notice of initiation. Such information shall be provided to those parties, at least two weeks before the expiry of the deadline mentioned in Article 7(1) for the imposition of provisional duties. Such information shall include:
   (a) a summary of the proposed duties for information purposes only, and
   (b) details of the calculation of the dumping margin and the margin adequate to remove the injury to the Union industry, due account being taken of the need to respect the confidentiality obligations contained in Article 19. Parties shall have a period of three working days to provide comments on the accuracy of the calculations. [Am. 41]
   2. In cases where it is intended not to impose provisional duties but to continue the investigation, interested parties shall be informed of the non-imposition of duties two weeks before the expiry of the deadline mentioned in Article 7(1) for the imposition of provisional duties.";

"

9.  Article 21(2) is replaced by the following:"

'2. In order to provide a sound basis on which the authorities can take account of all views and information in the decision as to whether or not the imposition of measures is in the Union interest, the Union producers, importers and their representative associations, representative users and representative consumer organisations may, within the time-limits specified in the notice of initiation of the anti-dumping investigation, make themselves known and provide information to the Commission. Such information, or appropriate summaries thereof, shall be made available to the other parties specified in this Article, and they shall be entitled to respond to such information.' [Am. 42]

"

9a.  In Article 22, the following paragraph is added:"

"1a. As soon as all Member States have ratified new ILO Conventions, the Commission shall update Annex Ia accordingly, in conformity with the procedure set out in Article 290 TFEU."; [Am. 43]

"

9b.  The following article is inserted:"

"Article 22a

Report

   1. In order to facilitate the monitoring of the implementation of the Regulation by the European Parliament and the Council, the Commission shall, with due regard to the protection of confidential information within the meaning of Article 19, present an annual report on the application and implementation of this Regulation to the European Parliament and to the Council, as a part of a trade defence instrument dialogue between the Commission, the European Parliament and the Council. The report shall include information about the application of provisional and definitive measures, the termination of investigations without measures, undertakings, reinvestigations, reviews and verification visits, and the activities of the various bodies responsible for monitoring the implementation of this Regulation and fulfilment of the obligations arising therefrom. The report shall also cover the use of trade defence instruments by third countries targeting the Union, information on the recovery of the Union industry concerned by the measures imposed and appeals against the measures imposed. It shall include the activities of the Hearing Officer of the Commission's Directorate General for Trade and those of the SME Help Desk in relation to the application of this Regulation.
   2. The European Parliament may, within one month of the Commission's presentation of the report, invite the Commission to an ad hoc meeting of its responsible committee to present and explain any issues related to the implementation of this Regulation. The report may also be subject to a resolution.
   3. No later than six months after presenting the report to the European Parliament and to the Council, the Commission shall make the report public."; [Am. 44]

"

9c.  The following annex is added:"

"Annex Ia

ILO Conventions referred to in Articles 7, 8 and 9

   1. Convention concerning Forced or Compulsory Labour, No 29 (1930)
   2. Convention concerning Freedom of Association and Protection of the Right to Organise, No 87 (1948)
   3. Convention concerning the Application of the Principles of the Right to Organise and to Bargain Collectively, No 98 (1949)
   4. Convention concerning Equal Remuneration of Men and Women Workers for Work of Equal Value, No 100 (1951)
   5. Convention concerning the Abolition of Forced Labour, No 105 (1957)
   6. Convention concerning Discrimination in Respect of Employment and Occupation, No 111 (1958)
   7. Convention concerning Minimum Age for Admission to Employment, No 138 (1973)
   8. Convention concerning the Prohibition and Immediate Action for the Elimination of the Worst Forms of Child Labour, No 182 (1999)"; [Am. 45]

"

Article 2

Regulation (EC) No 597/2009 is amended as follows:

-1. The title is replaced by the following:"

"Council Regulation (EC) No 597/2009 of 11 June 2009 on protection against subsidised imports from countries not members of the European Union"; [Am. 46]

"

-1a. The following recital is inserted:"

"(9a) Within the Union, countervailable subsidies are as a general rule prohibited pursuant to Article 107(1) TFEU. Therefore, countervailable subsidies granted by third countries are particularly distortive of trade. The amount of State aid authorised by the Commission has steadily been reduced over time. For the anti-subsidy instrument, the lesser duty rule should hence no longer be applied to imports from a country or countries engaged in subsidisation."; [Am. 47]

"

-1b. In Article 1(1), the following subparagraph shall be added:"

"The use of any subsidised products in connection with the exploration of the Continental Shelf or the Exclusive Economic Zone of a Member State, or the exploitation of its resources, shall be treated as an import under this Regulation and shall be charged to duty accordingly, when it causes injury to the Union industry."; [Am. 48]

"

1.  In Article 9(1), the introductory wording is replaced by the following:"

"1. For the purposes of this Regulation, the term ‘Union industry’ shall be interpreted as referring to the Union producers as a whole of the like products or to those of them whose collective output of the products constitutes a major proportion of the total Union production of those products, except that:";

"

1a.  In Article 10(1), the first subparagraph is replaced by the following:"

"1. Except as provided for in paragraph 8, an investigation to determine the existence, degree and effect of any alleged dumping shall be initiated upon a written complaint by any natural or legal person, or any association not having legal personality, acting on behalf of the Union industry. Complaints may also be submitted jointly by the Union industry, or by any natural or legal person or any association not having legal personality acting on behalf thereof, and trade unions."; [Am. 91]

"

1b.  In Article 10(6), the following subparagraph is added:"

"In the case of diverse and fragmented industrial sectors, largely composed of small-and-medium-sized enterprises (SMEs), the Commission shall assist in reaching these thresholds through the support of the SME Help Desk."; [Am. 94]

"

1c.  In Article 10, paragraph 8 shall be replaced by the following:"

"8. If in special circumstances, in particular where diverse and fragmented sectors largely composed of SMEs are concerned, the Commission decides to initiate an investigation without having received a written complaint by or on behalf of the Union industry for the initiation of such investigation, this shall be done on the basis of sufficient evidence of the existence of countervailable subsidies, injury and a causal link, as described in paragraph 2, to justify such initiation."; [Am. 49]

"

1d.  In Article 11, paragraph 9 shall be replaced by the following:"

"9. For proceedings initiated pursuant to Article 10(11), an investigation shall, whenever possible, be concluded within nine months. In any event, such investigations shall in all cases be concluded within 10 months of their initiation, in accordance with the findings made pursuant to Article 13 for undertakings or the findings made pursuant to Article 15 for definitive action. Investigation periods shall, whenever possible, especially in the case of diverse and fragmented sectors largely composed of SMEs, coincide with the financial year. "; [Am. 51]

"

2.  In Article 11, the following paragraphs are added:"

"11. Union producers of the like product with the exception of small-sized and micro-sized Union producers are obliged requested to cooperate in proceedings that have been initiated pursuant to Article 10(8). [Am. 50]

   11a. The Commission shall facilitate the access to the instrument for diverse and fragmented sectors, largely composed of SMEs, in the context of anti-subsidy cases, through the SME Help Desk.

The SME Help Desk shall raise awareness of the instrument, provide information and explanations on cases, how to file a complaint and how to better present evidence of countervailable subsidies and injury. The SME Help Desk shall make available standard forms for statistics to be submitted for standing purposes and questionnaires.

After the initiation of an investigation, the SME Help Desk shall inform SMEs and their relevant associations likely to be affected by the initiation of proceedings and the relevant deadlines for registering as an interested party.

The SME Help Desk shall assist addressing questions regarding the completion of questionnaires, where special attention shall be given to queries of SMEs as regards investigations initiated under Article 10(8). To the extent possible, it shall assist reducing the burden caused by language barriers.

In case SMEs provide prima facie evidence of countervailable subsidies, the SME Help Desk shall provide SMEs with information on the evolution of the volume and value of imports of the product concerned in accordance with Article 24(6).

The SME Help Desk shall also provide guidance on additional methods of contact and liaison with the Hearing Officer and national customs authorities. The SME Help Desk shall also inform SMEs on the possibilities and conditions under which they could request a review of the measures and refund of the countervailable duties paid. [Am. 52]

   11b. The Commission shall ensure the best possible access to information to all interested parties by allowing for an information system whereby interested parties are notified when new non-confidential information is added to the investigation files. Non-confidential information shall also be made accessible through a web-based platform. [Am. 53]
   11c. The Commission shall safeguard the effective exercise of the procedural rights of the interested parties and shall ensure that proceedings are handled impartially, objectively and within a reasonable time period, through a Hearing Officer, where appropriate. [Am. 54]
   11d. The Commission shall issue questionnaires used in investigations, in all official languages of the Union upon request of interested parties."; [Am. 55]

"

3.  Article 12(1) is amended as follows:

(-a)  the second subparagraph shall be replaced by the following:"

"The provisional duties shall be imposed no earlier than 60 days from the initiation of the proceedings but no later than six months from the initiation of the proceedings."; [Am. 56]

"

(a)  the third subparagraph is replaced by the following:"

"The amount of the provisional countervailing duty shall not exceed the total amount of countervailable subsidies as provisionally established.";

"

(b)  he following subparagraph is added at the end:"

'Provisional duties shall not be applied within a period of two weeks after the information is sent to interested parties under Article 29b. The provision of such information shall not prejudice any subsequent decision that may be taken by the Commission.' [Am. 57]

"

3a.  In Article 13, paragraph 1 is replaced by the following:"

"1. Upon condition that a provisional affirmative determination of subsidisation and injury has been made, the Commission may accept voluntary undertakings offers under which:

   (a) the country of origin and/or export agrees to eliminate or limit the subsidy or take other measures concerning its effects; or
   (b) any exporter undertakes to revise its prices or to cease exports to the area in question as long as such exports benefit from countervailable subsidies, provided that the Commission, after specific consultation of the Advisory Committee, has determined that the injurious effect of the subsidies is thereby effectively eliminated.

In such a case and as long as such undertakings are in force, the provisional duties imposed by the Commission in accordance with Article 12(3) and the definitive duties imposed by the Council in accordance with Article 15(1) shall not apply to the relevant imports of the product concerned manufactured by the companies referred to in the Commission decision accepting undertakings and in any subsequent amendment of such decision.

The lesser duty rule shall not apply to prices agreed under such undertakings in the framework of anti-subsidy proceedings."; [Am. 58]

"

3b.  In Article 13, paragraph 4 is replaced by the following:"

"4. Parties which offer an undertaking shall be required to provide a meaningful non-confidential version of such undertaking, so that it may be made available to interested parties to the investigation, the European Parliament and the Council. The parties shall be requested to disclose as much information as possible regarding the content and nature of the undertaking with due regard to the protection of confidential information within the meaning of Article 29. Furthermore, before accepting any such offer the Commission shall consult the Union industry with regard to the main features of such undertaking."; [Am. 59]

"

4.  In Article 14, paragraph 5 is replaced by the following:"

"5. The amount of the countervailable subsidies shall be considered to be de minimis if such amount is less than 1 % ad valorem, except where, as regards investigations concerning imports from developing countries, the de minimis threshold shall be 2 % ad valorem.";

"

5.  In Article 15(1), the last subparagraph is replaced by the following:"

"The amount of the countervailing duty shall not exceed the amount of countervailable subsidies established.";

"

6.  Article 22 is amended as follows:

(a)  in paragraph 1 the following subparagraph is added: "

'If following an investigation pursuant to Article 18, the measure expires, any duties collected after the date of the initiation of such investigation shall be reimbursed. The reimbursement should be requested from national customs authorities in accordance with the applicable Union customs legislation.' [Am. 60]

"

(b)  paragraph 6 is deleted.

7.  Article 23 is amended as follows:

(a)  in the second sentence of paragraph 4, the word “may” is replaced by “shall”.

(b)  in paragraph 6, the second subparagraph is replaced by the following:"

"Where the circumventing practice, process or work takes place outside the Union, exemptions may be granted to producers of the product concerned that are found not to be engaged in circumvention practices as defined in paragraph 3." ;

"

(c)  in paragraph 6, the third subparagraph is replaced by the following:"

"Where the circumventing practice, process or work takes place inside the Union, exemptions may be granted to importers that can show that they are not engaged in circumvention practices as defined in paragraph 3.";

"

7a.  In Article 24, paragraph 3 is replaced by the following:"

"3. Special provisions, in particular with regard to the common definition of the concept of origin, as contained in Regulation (EEC) No 2913/92 or in accordance with Article 2 thereof, may be adopted pursuant to this Regulation."; [Am. 61]

"

7b.  In Article 24, paragraph 5 is replaced by the following:"

"5. The Commission may, after having informed the Member States in due time direct the customs authorities to take the appropriate steps to register imports, so that measures may subsequently be applied against those imports from the date of such registration.

Imports shall be made subject to registration following a request from the Union industry which contains sufficient evidence to justify such action. Imports may also be made subject to registration on the Commission’s own initiative.

Imports shall be made subject to registration from the date of initiation of the investigation where the complaint of the Union industry contains a request for registration and sufficient evidence to justify such action.

Registration shall be introduced by regulation which shall specify the purpose of the action and, if appropriate, the estimated amount of possible future liability. Imports shall not be made subject to registration for a period longer than nine months."; [Am. 78]

"

7c.  In Article 24, paragraph 6 is replaced by the following:"

"6. Member States shall report to the Commission every month, on the import trade in products subject to investigation and to measures, and on the amount of duties collected pursuant to this Regulation. The Commission may, upon receiving a specific reasoned request from an interested party, and after receiving the opinion of the Committee referred to in Article 25(2) on it, decide to provide them with information concerning the volume and import values of those products."; [Am. 76]

"

7d.  In Article 24, the following paragraph is added:"

"7a. Whenever the Commission intends to adopt or publish any document aimed at clarifying the established practice of the Commission with regard to the application of this Regulation in any of its elements, the Commission, prior to the adoption or publication, shall consult the European Parliament and the Council, aiming at a consensus with a view to the approval of the given document. Any subsequent modification of such documents shall be subject to such procedural requirements. In any event, any of these documents shall be in full conformity with the provisions of this Regulation. No such document can broaden the discretion of the Commission, as interpreted by the Court of Justice of the European Union, in adopting measures."; [Am. 64]

"

8.  In Article 27(1), the first subparagraph paragraph 1 is replaced by the following:"

"1. In cases where the number of Union producers, exporters or importers, that cooperate in the investigation, or types of product or transactions is large, the investigation may be limited to:

   (a) a reasonable number of parties, products or transactions by using samples which are statistically valid on the basis of information available at the time of the selection; or
   (b) the largest representative volume of the production, sales or exports which can reasonably be investigated within the time available.

In the case of diverse and fragmented industry sectors, largely composed of SMEs, the final selection of parties shall, where possible, take into account their proportion of the sector concerned."; [Am. 65]

"

9.  After Article 29, the following Article is inserted:"

'Article 29b

Information about provisional measures

   1. The Union producers, importers and exporters and their representative associations, and the country of origin and/or export, may request information on the planned imposition of provisional duties. Requests for such information shall be made in writing within the time limit prescribed in the notice of initiation. Such information shall be provided to those parties, at least two weeks before the expiry of the deadline mentioned in Article 12(1) for the imposition of provisional duties.

Such information shall include:

   (a) a summary of the proposed duties for information purposes only, and
   (b) details of the calculation of the subsidy margin and the margin adequate to remove the injury to the Union industry, due account being taken of the need to respect the confidentiality obligations contained in Article 29. Parties shall have a period of three working days to provide comments on the accuracy of the calculations.
   2. In cases where it is intended not to impose provisional duties but to continue the investigation, interested parties shall be informed of the non-imposition of duties two weeks before the expiry of the deadline mentioned in Article 12(1) for the imposition of provisional duties.' [Am. 66]

"

10.  Article 31(2) is replaced by the following:"

'2. In order to provide a sound basis on which the authorities can take account of all views and information in the decision as to whether or not the imposition of measures is in the Union interest, the Union producers, importers and their representative associations, representative users and representative consumer organisations may, within the time-limits specified in the notice of initiation of the countervailing investigation, make themselves known and provide information to the Commission. Such information, or appropriate summaries thereof, shall be made available to the other parties specified in this paragraph, and they shall be entitled to respond to such information.' [Am. 67]

"

10a.  The following article is inserted:"

"Article 33a

Report

   1. In order to facilitate the monitoring of the implementation of the Regulation by the European Parliament and the Council, the Commission shall, with due regard to the protection of confidential information within the meaning of Article 19, present an annual report on the application and implementation of this Regulation to the European Parliament and to the Council, as a part of a trade defence instrument dialogue between the Commission, the European Parliament and the Council. The report shall include information about the application of provisional and definitive measures, the termination of investigations without measures, undertakings, reinvestigations, reviews and verification visits, and the activities of the various bodies responsible for monitoring the implementation of this Regulation and fulfilment of the obligations arising therefrom. The report shall also cover the use of trade defence instruments by third countries targeting the Union, information on the recovery of the Union industry concerned by the measures imposed and appeals against the measures imposed. It shall include the activities of the Hearing Officer of the Commission's Directorate General for Trade and those of the SME Help Desk in relation to the application of this Regulation.
   2. The European Parliament may, within one month of the Commission's presentation of the report, invite the Commission to an ad hoc meeting of its responsible committee to present and explain any issues related to the implementation of this Regulation. The report may also be subject to a resolution.
   3. No later than six months after presenting the report to the European Parliament and to the Council, the Commission shall make the report public.". [Am. 68]

"

Article 3

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

It shall be consolidated with Regulation (EC) No 1225/2009 and Regulation (EC) No 597/2009 by …(5). [Am. 69]

Article 4

This Regulation shall apply to all investigations for which the notice of initiation pursuant to Article 10(11) of Regulation (EC) No 597/2009 or Article 5(9) of Regulation (EC) No 1225/2009 has been published in the Official Journal of the European Union after the date of entry into force of this Regulation.

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

Done at …,

For the European Parliament For the Council

The President The President

(1) On the basis of the amendments adopted on 5 February 2014 (texts adopted, P7_TA(2014)0082).
(2) Position of the European Parliament of 16 April 2014.
(3)Council Regulation (EC) No 1225/2009 of 30 November 2009 on protection against dumped imports from countries not members of the European Community (OJ L 343, 22.12.2009, p. 51).
(4)Council Regulation (EC) No 597/2009 of 11 June 2009 on protection against subsidised imports from countries not members of the European Community (OJ L 188, 18.7.2009, p. 93).
(5) Three months after the date of entry into force of this Regulation.


Statute and funding of European political parties and European political foundations ***I
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Resolution
Text
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council on the statute and funding of European political parties and European political foundations (COM(2012)0499 – C7-0288/2012 – 2012/0237(COD))
P7_TA(2014)0421A7-0140/2013

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2012)0499),

–  having regard to Article 294(2) and Article 224 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0288/2012),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the Court of Auditors of 7 February 2013(1),

–  having regard to the opinion of the Economic and Social Committee of 13 February 2013(2),

–  having regard to the opinion of the Committee of the Regions of 31 January 2013(3),

–  having regard to its resolution of 6 April 2011 on the application of Regulation (EC) No 2004/2003 on the regulations governing political parties at European level and the rules regarding their funding(4),

–  having regard to the undertaking given by the Council representative by letter of 5 March 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on Constitutional Affairs and the opinions of the Committee on Budgets and the Committee on Legal Affairs (A7-0140/2013),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the statute and funding of European political parties and European political foundations

P7_TC1-COD(2012)0237


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU, Euratom) No 1141/2014.)

(1) OJ C 67, 7.3.2013, p. 1.
(2) OJ C 133, 9.5.2013, p. 90.
(3) OJ C 62, 2.3.2013, p. 77.
(4) OJ C 296 E, 2.10.2012, p. 46.


Financing of European political parties ***I
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Resolution
Text
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU, Euratom) No 966/2012 as regards the financing of European political parties (COM(2012)0712 – C7-0393/2012 – 2012/0336(COD))
P7_TA(2014)0422A7-0200/2013

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2012)0712),

–  having regard to Article 294(2) and Article 322 of the Treaty on the Functioning of the European Union and Article 106a of the Treaty establishing the European Atomic Energy Community, pursuant to which the Commission submitted the proposal to Parliament (C7‑0393/2012),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the Court of Auditors of 7 February 2013(1),

–  having regard to the undertaking given by the Council representative by letter of 31 March 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rules 55 of its Rules of Procedure,

–  having regard to the report of the Committee on Budgets and the opinion of the Committee on Constitutional Affairs (A7-0200/2013),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission, the European Court of Auditors and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EU, Euratom) No 966/2012 as regards the financing of European political parties

P7_TC1-COD(2012)0336


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU, Euratom) No 1142/2014.)

(1) OJ C 67, 7.3.2013, p. 1.


Financial rules applicable to the general budget of the Union ***I
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Resolution
Text
Annex
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU, Euratom) No 966/2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 (COM(2013)0639 – C7-0303/2013 – 2013/0313(COD))
P7_TA(2014)0423A7-0108/2014

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0639),

–  having regard to Article 294(2) and Article 322 of the Treaty on the Functioning of the European Union and Article 106a of the Treaty establishing the European Atomic Energy Community, pursuant to which the Commission submitted the proposal to Parliament (C7‑0303/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the Court of Auditors of 3 December 2013(1),

–  having regard to the undertaking given by the Council representative by letter of 28 March 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on Budgets (A7-0108/2014),

1.  Adopts its position at first reading hereinafter set out;

2.  Approves the joint statement by Parliament, the Council and the Commission annexed to this resolution;

3.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

4.  Instructs its President to forward its position to the Council, the Commission, the European Court of Auditors and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EU, Euratom) No 966/2012 on the financial rules applicable to the general budget of the Union

P7_TC1-COD(2013)0313


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU, Euratom) No 547/2014.)

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint statement on the separate discharge for Joint Undertakings under Article 209 of the Financial Regulation

1.  The European Parliament, the Council and the Commission agree that in order for the Joint Undertakings to benefit from simplified financial rules better adapted to their public-private nature, they should be set up under Article 209 of the Financial Regulation.

However, they also agree that:

–  In view of the specific nature and the current status of the Joint Undertakings, and in order to ensure continuity with the 7th Framework Programme, the Joint Undertakings should continue to be subject to a separate discharge to be given by the European Parliament upon recommendation of the Council. For this reason, specific derogations from Article 209 of the Financial Regulation shall be introduced in the constituent acts of the Joint Undertakings to be set up under Horizon 2020 Programme. Those derogations will refer to the separate discharge and will include any additional necessary adaptations.

–  In order to allow the Joint Undertakings to benefit immediately from the simplifications introduced in the new financial framework, it is necessary that the Commission delegated regulation of 30 September 2013 on the model financial regulation for PPP bodies under Article 209 of the Financial Regulation enters into force.

2.  The European Parliament and the Council take note that the Commission:

–  will ensure that the financial rules of the Joint Undertakings include derogations from the Model Financial Regulation for PPP bodies to reflect the introduction of the separate discharge in their constituent acts;

–  intends to propose relevant modifications to Articles 209 and 60(7) of the Financial Regulation in the framework of the future revision of the Financial Regulation.

(1) OJ C 4, 8.1.2014, p. 1.


Carbon dioxide emissions from maritime transport ***I
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Resolution
Consolidated text
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council on the monitoring, reporting and verification of carbon dioxide emissions from maritime transport and amending Regulation (EU) No 525/2013 (COM(2013)0480 – C7-0201/2013 – 2013/0224(COD))
P7_TA(2014)0424A7-0080/2014

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0480),

–  having regard to Article 294(2) and Article 192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0201/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the European Economic and Social Committee of 16 October 2013(1),

–  after consulting the Committee of the Regions,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0080/2014),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the monitoring, reporting and verification of carbon dioxide greenhouse gas emissions from maritime transport and amending Regulation (EU) No 525/2013 [Am. 1]

P7_TC1-COD(2013)0224


(Text with EEA relevance)

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 Committee(2),

Having regard to the opinion of the Committee of the Regions(3),

Acting in accordance with the ordinary legislative procedure(4),

Whereas:

(1)  The Climate and Energy Package(5) calling for contributions of all sectors of the economy to achieving these emission reductions, including international maritime shipping, provides a clear mandate: "… in the event that no international agreement which includes international maritime emissions in its reduction targets through the International Maritime Organisation (IMO) has been approved by Member States or no such agreement through the UNFCCC has been approved by the Community by 31 December 2011, the Commission should make a proposal to include international maritime emissions in the Community reduction commitment, with the aim of the proposed act entering into force by 2013. Such a proposal should minimise any negative impact on the Community’s competitiveness while taking into account the potential environmental benefits."

(1a)  Maritime transport has an impact on the global climate and on air quality, as a result of carbon dioxide (CO2) emissions and other emissions, including nitrogen oxides (NOx), sulphur oxides (SOx), methane (CH4), particulate matter (PM) and black carbon (BC). [Am. 2]

(1b)  International maritime shipping remains the only means of transportation not included in the Union's commitment to reduce greenhouse gas emissions. According to the impact assessment accompanying the proposal for this Regulation, Union-related CO2 emissions from international shipping increased by 48 % between 1990 and 2007. [Am. 3]

(1c)  In the light of the rapidly developing scientific understanding of the non-CO2 impact of maritime transport on the global climate, an updated assessment of that impact should be carried out regularly in the context of this Regulation. Based on its assessments, and taking into account the European Parliament’s resolution of 14 September 2011 on a comprehensive approach to non-CO2 climate-relevant anthropogenic emissions, the Commission should analyse the implications for policies and measures in order to reduce those emissions. [Am. 4]

(1d)  The Commission should also take action to address other activities that lead to emissions of greenhouse gases and air pollutants that are not covered by this Regulation, i.e. the use of refrigerants by fishing boats, and evaporative emissions from the loading-offloading of fuels and bulk goods (e.g. volatile organic compounds (VOCs), PM). [Am. 5]

(1e)  The Commission White Paper "Roadmap to a Single European Transport Area – Towards a competitive and resource efficient transport system" of 28 March 2011 calls for a reduction of emissions from maritime transport by 40 % (50 % if feasible) compared to 2005 levels by 2050, namely through the application of the "user pays" and "polluter pays" principles. [Am. 6]

(1f)  The European Parliament's resolution of 15 December 2011 on the Roadmap to a Single European Transport Area – Towards a competitive and resource efficient transport system calls for a Union-wide uniform 30 % reduction in emissions of CO2 and pollutants in shipping, to which the IMO agreements on the Energy Efficiency Design Index (EEDI) and the Ship Energy Efficiency Management Plan (SEEMP) are to make a contribution. [Am. 7]

(2)  In July 2011, the IMO adopted technical and operational measures, in particular the EEDI for new ships and the SEEMP, which will bring improvement in terms of reducing the expected increase in greenhouse gas emissions, but alone cannot lead to the necessary absolute emission reductions of greenhouse gases from international shipping to keep efforts in line with the global objective of limiting increases in global temperatures to 2 °C.

(3)  According to data provided by the IMO, the specific energy consumption and CO2 emissions of ships could be reduced by up to 75% 25 to 75 % by applying operational measures and implementing existing technologies; a significant part of those measures can be regarded as cost-effective and being such that they could offer net benefits to the sector, as the reduced fuel costs ensure the pay-back of any operational or investment costs. [Am. 8]

(4)  In order to reduce carbon dioxide emissions from shipping at Union level the best possible option remains implementing a market based measure, namely, pricing of the emissions or a levy, that requires setting up a system for monitoring, reporting and verification (MRV) of CO2 greenhouse gas emissions based on the fuel consumption of ships as. Collecting data on such emissions is a first step of a staged approach, justified by the necessity of reducing such emissions, for the inclusion of maritime transport emissions in the Union's greenhouse gas reduction commitment. Public access to the emissions data will contribute to removing market barriers that prevent the uptake of many cost-negative measures which would reduce emissions from the sector. [Am. 9]

(5)  The adoption of measures to reduce greenhouse gas emissions and fuel consumption is hampered by the existence of market barriers such as lack of reliable information on fuel efficiency of ships or of technologies available for retrofitting ships, lack of access to finance for investments into ship efficiency and split incentives as ship owners would not benefit from their investments into ship efficiency when fuel bills are paid by operators.

(6)  The results of the stakeholder consultation and discussions with international partners indicate that a staged approach for the inclusion of maritime transport emissions in the Union's greenhouse gas reduction commitment should be applied with the implementation of a robust MRV system for CO2 greenhouse gas emissions from maritime transport as a first step and the pricing of these emissions the introduction of new policy instruments, namely, pricing of the emissions or a levy, at a later stage. This approach facilitates making significant progress at international level on the agreement of greenhouse gas emission reduction targets and further measures to achieve these reductions at minimum cost. [Am. 10]

(7)  The introduction of a Union MRV system is expected to lead to emission reductions of up to 2 % compared to business-as-usual and aggregated net costs reductions of up to 1.2 billion EUR by 2030 as it could contribute to the removal of market barriers, in particular those related to the lack of information about ship efficiency. This reduction of transport costs should facilitate international trade. Furthermore, a robust MRV system is a prerequisite for any market-based measure or efficiency standard, other measures aiming at providing a better basis for the "polluter pays" principle, whether applied at Union level or globally. In view of the international nature of shipping, a globally agreed procedure would be the preferred and most effective method of reducing emissions in international maritime transport. It also provides reliable data to set precise emission reduction targets and to assess the progress of maritime transport's contribution towards achieving a low carbon economy. [Am. 11]

(8)  All intra-Union voyages, all incoming voyages from the last non-Union port to the first Union port of call and all outgoing voyages from a Union port to the next non-Union port of call should be considered relevant for purposes of monitoring. CO2 Greenhouse gas emissions in Union ports including when ships are at berth or move within a port, should be covered as well, in particular as specific measures and alternative technologies, such as facilities which make it possible for ships to connect to mains electricity while at berth, for their reduction or avoidance are available. These rules should be applied in a non-discriminatory manner to all ships regardless of their flag. [Am. 12]

(8a)  In view of the geographical scope and the concomitant need for the monitoring of greenhouse gas emissions outside the jurisdiction of the Member States, and given the inclusion of shipping companies registered all over the world, the Commission should inform third countries in good time and in an appropriate manner in order to secure maximum international acceptance. [Am. 13]

(9)  The proposed MRV system should take the form of a Regulation on account of the complex and highly technical nature of provisions introduced, the need for uniform rules applicable throughout the Union to reflect the international nature of maritime transport with numerous ships being expected to call at ports in different Member States, and to facilitate implementation throughout the Union.

(10)  A robust ship-specific Union MRV system should be based on the calculation of emissions from fuel consumed on, or on the accurate reporting of real emissions from, voyages from and to Union ports as fuel sales data could not provide appropriately accurate estimates for the fuel consumption within this specific scope due to the large tank capacities of ships. [Am. 14]

(11)  The Union MRV system should also cover other climate relevant information allowing for the determination of ships' efficiency or in order to further analyse the drivers for the development of emissions. This scope also aligns, to align the Union MRV system with international initiatives to introduce efficiency standards for existing ships, also covering operational measures, and contributes to contribute to the removal of market barriers related to the lack of information. [Am. 15]

(12)  In order to minimise the administrative burden for ship owners and operators, in particular for small and medium sized enterprises, and to optimise the benefits-costs-ratio of the MRV system without jeopardising the objective to cover a widely predominant share of greenhouse gas emissions from maritime transport, the rules for MRV should only apply to large emitters. A threshold of 5 000 gross tonnage (GT) has been selected after detailed objective analysis of sizes and emissions of ships going to and coming from Union ports. Ships above 5 000 GT account for around 55 % of the number of ships calling into Union ports and represent around 90 % of the related emissions. This non-discriminatory threshold would ensure that that the most relevant emitters are covered. A lower threshold would result in higher administrative burden while a higher threshold would limit the coverage of emissions and thus the environmental effectiveness of the system.

(13)  To further reduce the administrative effort for ship owners and operators, the monitoring rules should focus on CO2 as the by far most relevant greenhouse gas emitted by maritime transport which contributes to up to 98% of the total greenhouse gas emissions of this sector. [Am. 17]

(14)  The rules should take into account existing requirements and data already available on board of ships; therefore, ship owners should be given the opportunity to select one out of the following four monitoring methods: the use of Bunker Fuel Delivery Notes, bunker fuel tank monitoring, flow meters for applicable combustion processes or direct emission measurements. A ship specific monitoring plan should document the choice made and provide further details on the application of the selected method.

(15)  Any company with responsibility for an entire reporting period over a ship performing shipping activities should be considered responsible for all monitoring and reporting requirements arising in relation to this reporting period, including the submission of a satisfactorily verified emissions report. In case of change of ownership, the new owner will only be responsible for the monitoring and reporting obligations related to the reporting period where the change of ownership has taken place. To facilitate the fulfilment of these obligations the new owner should receive a copy of the latest monitoring plan, and document of compliance if applicable. Change of ownership should also lead to the modification of the monitoring plan in order to allow new ship owner to make their own choices in relation to the monitoring methodology.

(16)  Other greenhouse gases, climate forcers or air pollutants should not be covered by the Union The Union MRV system at this stage to avoid requirements to install not sufficiently reliable and commercially available measurement equipment, which could impede the implementation of the Union MRV system is an opportunity to ensure coherent regulation of the shipping sector with regard to other sectors. [Am. 18]

(16a)  The MARPOL Convention includes the mandatory application of the EEDI to new ships and the use of SEEMPs throughout the entire world fleet. [Am. 19]

(17)  To minimise the administrative burden for ship owners and operators, reporting and publication of reported information should be organised on an annual basis. By restricting the publication of emissions, fuel consumption and efficiency-related information to annual averages and aggregated figures, confidentiality issues should be addressed. The data reported to the Commission should be integrated with statistics to the extent that these data are relevant for the development, production and dissemination of European statistics in accordance with Commission Decision 2012/504/EU(6).

(18)  Verification by accredited verifiers should ensure that monitoring plans and emission reports are correct and in compliance with the requirements defined by this Regulation. Therefore, competence requirements are essential for a verifier to be able to perform the verification activities under this Regulation. As an important element to simplify verification, verifiers should check data credibility by comparing reported data with estimated data based on ship tracking data and characteristics. Such estimates could be provided by the Commission. Verifiers should be independent and competent persons or legal entities and should be accredited by national accreditation bodies established pursuant to Regulation (EC) No 765/2008 of the European Parliament and of the Council(7). [Am. 20]

(19)  A document of compliance issued by a verifier should be kept on board of ships to demonstrate compliance with the obligations for monitoring, reporting and verification. Verifiers should inform the Commission on the issuance of such documents.

(20)  Based on experience from similar tasks related to maritime safety, the European Maritime Safety Agency (EMSA) should support the Commission by carrying out certain tasks.

(21)  Non compliance with the provisions of this Regulation should result in the application of sanctions. Enforcement of the obligations related to the MRV system should be based on existing instruments, namely those instituted in application of Directive 2009/21/EC(8) and Directive 2009/16/EC(9) of the European Parliament and of the Council, and on information on the issuance of documents of compliance. The document confirming compliance of the ship with the monitoring and reporting obligations should be added by the Commission to the list of certificates and documents referred to in Article 13(1) of Directive 2009/16/EC.

(22)  Directive 2009/16/EC provides for the detention of ships in the absence of certificates which have to be carried on board. In the case of ships having failed to comply with monitoring and reporting obligations for more than one reporting period, it is nonetheless appropriate to provide for the possibility of expelling. This should be applied in such a way as to allow the situation to be rectified within a reasonable period of time.

(23)  Regulation (EU) No 525/2013 of the European Parliament and of the Council(10) should be amended to establish requirements for the monitoring and reporting of CO2 emissions from maritime transport by Member States pursuant to this Regulation.

(24)  The Union MRV system should serve as a model for the implementation of a global MRV system. A global MRV system is preferable as it could be regarded as more effective due to the broader scope. In this context, the Commission should share relevant information on the implementation of this Regulation with the IMO and other relevant international bodies on a regular basis and relevant submissions should be made to the IMO. Where an agreement on a global MRV system is reached, the Commission should review the Union MRV system in view of aligning it to the global system.

(25)  In order to make use of the best available practices and scientific evidence, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of reviewing certain technical aspects of monitoring and reporting of CO2 greenhouse gas emissions from ships and of further specifying rules for the verification of emission reports and the accreditation of verifiers. It is of particular importance that the Commission carries 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 Council. [Am. 21]

(26)  In order to ensure uniform conditions for the use of automated systems and standard electronic templates for coherent reporting of emissions and other climate-relevant relevant information to the Commission and involved States implementing powers should be conferred on the Commission. Those necessary implementing powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council(11). [Am. 22]

(27)  The objective of the proposed action, namely to monitor, report and verify CO2 greenhouse gas emissions from ships as first step of a staged approach to reduce these emissions and achieve the targets set out in the Commission White Paper "Roadmap to a Single European Transport Area", cannot be sufficiently achieved by the Member States acting individually, due to the international nature of maritime transport and can therefore, by reason of scale and effects of the action, be better achieved at Union level. The Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives. [Am. 23]

(28)  The rules establishing the MRV system should comply with the provisions of Directive 95/46/EC(12) and Regulation (EC) No 45/2001(13) of the European Parliament and of the Council.

(29)  This Regulation should enter into force on 1 July 2015 to ensure that the Member States and relevant stakeholders have sufficient time to take the necessary measures for the effective application of this Regulation before the first reporting period starts on 1 January 2018,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter

This Regulation lays down rules for the accurate monitoring, reporting and verification of carbon dioxide (CO2) greenhouse gas emissions and other climate relevant information from ships arriving at, within or departing from ports under the jurisdiction of a Member State in order to promote the reduction of CO2 greenhouse gas emissions from maritime transport in a cost effective manner. [Am. 24]

Article 2

Scope

1.  This Regulation applies to ships above 5 000 gross tons in respect of emissions released during their voyages from the last port of call to a port under the jurisdiction of a Member State and from a port under the jurisdiction of a Member State to their next port of call, as well as within ports under the jurisdiction of a Member State.

2.  This Regulation does not apply to warships, naval auxiliaries, fish catching or processing ships, wooden ships of a primitive build, ships not propelled by mechanical means and government ships used for non-commercial purposes. [Am. 26]

Article 3

Definitions

For the purposes of this Regulation the following definitions apply:

(a)  'emissions' means the release of CO2 into the atmosphere by ships as provided for in Article 2;

(b)  'port of call' means the port where a ship stops to load or unload cargo or to embark or disembark passengers, excluding stops for the sole purpose of refuelling, obtaining fresh supplies and/or relieving the crew;

(c)  'company' means the owner of a ship as provided for in Article 2 or any other person, such as the manager or the bareboat charterer, who has assumed the responsibility from the ship-owner for its operations;

(d)  'gross tonnage' (GT) means the metric gross tonnage calculated in accordance with the tonnage measurement regulations contained in Annex 1 to the International Convention on Tonnage Measurement of Ships, 1969;

(e)  'verifier' means a legal entity carrying out verification activities that is accredited by a national accreditation body pursuant to Regulation (EC) No 765/2008 and this Regulation, or an agency in charge of a modelling system for the monitoring of ship emissions; [Am. 28]

(f)  ‘verification’ means the activities carried out by a verifier to assess the conformity of the documents transmitted by the company with the requirements under this Regulation;

(g)  'other climate-relevant relevant information' means information related to the greenhouse gas emissions from the consumption of fuels, transport work distance sailed, the scope for connecting to mains electricity while at berth and energy efficiency of ships which allow for analysing emission trends and assessing ships' indicating shipping performances; [Am. 29]

(h)  ‘emission factor’ means the average emission rate of a greenhouse gas relative to the activity data of a source stream assuming complete oxidation for combustion and complete conversion for all other chemical reactions;

(i)  ‘uncertainty’ means a parameter, associated with the result of the determination of a quantity, that characterises the dispersion of the values that could reasonably be attributed to the particular quantity, including the effects of systematic as well as of random factors, expressed in per cent, and describes a confidence interval around the mean value comprising 95 % of inferred values taking into account any asymmetry of the distribution of values;

(j)  ‘conservative’ means that a set of assumptions is defined in order to ensure that no under-estimation of annual emissions or over-estimation of distances or amounts of cargo carried occurs; [Am. 30]

(k)  ‘tonnes of CO2’ means metric tonnes of CO2; [Am. 31]

(l)  ‘reporting period’ means one calendar year during which emissions have to be monitored and reported;

(la)   'ship at berth' means a ship which is securely moored or anchored in a Union port while it is loading, unloading or hotelling, including the time spent when not engaged in cargo operations; [Am. 32]

(lb)  'ice class' means the notation assigned to a ship by the administration or by an organization recognized by the administration showing that the ship has been designed for navigation in sea-ice conditions. [Am. 33]

CHAPTER II

MONITORING AND REPORTING

SECTION 1

Principles and methods for monitoring and Reporting

Article 4

Common principles for monitoring and reporting

1.  Companies shall monitor and report for every ship the amount and type of fuel consumed during a calendar year reporting period within each port all ports under the jurisdiction of a Member State and for each voyage all voyages arriving to and departing from a port located under the jurisdiction of a Member State in accordance with paragraphs 2 to 6. [Am. 34]

2.  Monitoring and reporting shall be complete and cover all CO2 emissions from the combustion of fuels, while the ship is at sea as well as at berth. Companies shall apply appropriate measures to prevent any data gaps within the reporting period. [Am. 35]

3.  Monitoring and reporting shall be consistent and comparable over time. Companies shall use the same monitoring methodologies and data sets subject to changes and derogations approved by the verifier.

4.  Companies shall obtain, record, compile, analyse and document monitoring data, including assumptions, references, emission factors and activity data, in a transparent manner that enables the reproduction of the determination of emissions by the verifier.

5.  Companies shall ensure that emission determination is neither systematically nor knowingly inaccurate. They shall identify and reduce any source of inaccuracies.

6.  Companies shall enable reasonable assurance of the integrity of emission data to be monitored and reported.

6a.  Companies shall take account of the recommendations included in the verification reports issued pursuant to Article 13 in their consequent monitoring and reporting. [Am. 36]

Article 5

Methods for monitoring and reporting emissions on maritime transport

1.  For the purposes of Article 4(1), (2) and (3), companies shall determine their emissions and other climate relevant information for each of their ships above 5 000 GT in accordance with any of the methods set out in Annex I.

1a.  Where an international agreement to monitor greenhouse gas emissions from maritime transport is reached, the Commission shall review the methods set out in Annex I and shall be empowered to adopt delegated acts in accordance with Article 24, concerning, if appropriate, amendments to that Annex in order to specify the use of flow meters for applicable combustion processes and direct emission measurements. [Am. 38]

SECTION 2

MONITORING PLAN

Article 6

Content and submission of the monitoring plan

1.  By 31 August 2017, companies shall submit to the verifiers a monitoring plan indicating the method chosen to monitor and report emissions and other climate-relevant relevant information for each of their ships above 5 000 GT. [Am. 39 - adapted for consistency with Article 2(1) on scope.]

2.  By way of derogation from paragraph 1, for ships falling under the scope of this Regulation for the first time after 1 January 2018, the company shall submit a monitoring plan to the verifier without undue delay and no later than two months after their first call in a port under the jurisdiction of a Member State.

3.  The monitoring plan referred to in paragraph 1 shall consist of a complete and transparent documentation of the monitoring methodology of a specific ship and shall contain at least the following elements:

(a)  the identification and type of the ship including the name of the ship, its International Maritime Organisation (IMO) registration number, its port of registry or home port, the ice class of the ship, and the name of the ship owner; [Am. 40]

(b)  the name of the company and the address, telephone, fax and e-mail details for a contact person;

(c)  a description of the following emission sources on board of the ship such as main engines, auxiliary engines, boilers and inert gas generators and the fuel types used; and their associated fuel types on board of the ship as follows:

(i)  main engine(s);

(ii)  auxiliary engine(s);

(iii)  boiler(s);

(iv)  inert gas generator(s); [Am. 41]

(d)  a description of procedures, systems and responsibilities used to update the completeness of the list of emission sources over the monitoring year period for the purpose of ensuring the completeness of monitoring and reporting of the emissions of the ship; [Am. 42]

(e)  a description of the procedures used to monitor the completeness of the list of voyages;

(f)  a description of the procedures for monitoring fuel consumption of the ship, including:

(i)  the chosen method as set out in Annex I for calculating the fuel consumption of each emission source including a description of the measurement equipment used, as applicable;

(ii)  procedures for the measurement of fuel uplifts and fuel in tanks, a description of the measuring instruments involved and the procedures for recording, retrieving, transmitting and storing information regarding measurements, as applicable;

(iii)  the chosen method for the determination of density, where applicable;

(iv)  a procedure to ensure that the total uncertainty of fuel measurements is consistent with the requirements of this regulation, where possible referring to national laws, clauses in customer contracts or fuel supplier accuracy standards;

(g)  single emission factors used for each fuel type, or in the case of alternative fuels, the methodologies for determining the emission factors, including the methodology for sampling, methods of analysis, a description of the laboratories used (and confirmed ISO 17025 accreditation where relevant);

(h)  a description of the procedures used for determining activity data per voyage, including:

(i)  the procedures, responsibilities and data sources for determining and recording the distance per voyage made;

(ii)  the procedures, responsibilities, formulae and data sources for determining and recording the cargo carried and the number of passengers as applicable; [Am. 43]

(iii)  the procedures, responsibilities, formulae and data sources for determining and recording the time spent at sea between the port of departure and the port of arrival;

(ha)  the procedures, responsibilities, formulae and data sources for determining and recording the distance travelled and the time spent when navigating through ice; [Am. 44]

(i)  a description of the method to be used to determine surrogate data for closing data gaps;

(j)  the date of the latest modification to the monitoring plan. [Am. 45]

(ja)  a revision record sheet to record all details of the revision history. [Am. 46]

4.  Companies shall use standardised monitoring plans based on templates. The Commission shall be empowered to adopt delegated acts in accordance with Article 24 in order to determine technical rules establishing the templates for the monitoring plans referred to in paragraph 1 shall be determined by means of implementing acts. Those implementing acts templates shall be adopted by the Commission in accordance with the procedure referred to in Article 25(2) of this Regulation as simple as possible and shall not entail needless bureaucracy. [Am. 47]

Article 7

Modifications of the monitoring plan

Companies shall regularly check if the ship's monitoring plan reflects the nature and functioning of the ship and whether the monitoring methodology can be improved.

A company shall modify the monitoring plan in any of the following situations set out in points (a) to (e). The monitoring plan shall be modified only in respect of the specific changes that have occurred as a result of those situations: [Am. 48]

(a)  where a change of ownership of ships, or change of DOC holder or of flag occurs; [Am. 49]

(b)  where new emissions occur due to new emission sources or due to the use of new fuels not yet contained in the monitoring plan;

(c)  where the change in availability of data, due to the use of new measuring instrument types, sampling methods or analysis methods, or for other reasons, leads to higher accuracy in the determination of emissions;

(d)  where data resulting from the previously applied monitoring methodology has been found incorrect;

(e)  where the monitoring plan is not in conformity with the requirements of this Regulation and the verifiers requests the company to modify it.

Companies shall notify any proposals for modification of the monitoring plan to the verifiers without undue delay.

Any significant modification of the monitoring plan shall be subject to assessment by the verifier.

SECTION 3

MONITORING OF EMISSIONS AND OTHER RELEVANT INFORMATION

Article 8

Monitoring of activities within a reporting period

1.  From 1 January 2018, companies shall, based on the monitoring plan approved in accordance with Article 13(1), monitor emissions for each ship on a per-voyage and an annual basis by applying the appropriate method among those set out in part B of Annex I and by calculating emissions in accordance with part A of Annex I.

1a.  Monitoring may be suspended during periods during which a ship is engaged in emergency situations including life-saving activities. [Am. 50]

Article 9

Monitoring on a per-voyage basis

Based on the monitoring plan approved in accordance to Article 13(1), for each ship and for each voyage arriving to and departing from a port under a Member State's jurisdiction, companies shall monitor in accordance with part A of Annex I and Annex II, the following information:

(a)  port of departure and port of arrival including the date and hour of departure and arrival;

(b)  amount and emission factor for each type of fuel consumed in total and differentiated between fuel used inside and outside emission control areas; [Am. 51]

(c)  CO2 emitted;

(d)  distance travelled;

(e)  time spent at sea;

(f)  cargo carried; [Am. 53]

(fa)  energy efficiency as determined in Annex II; [Am. 54]

(g)  transport work. [Am. 55]

(ga)  date and time of the start and finish of periods during which monitoring was suspended due to emergency situations such as life-saving activities, along with a description of same. [Am. 56]

For deep sea shipping calling at a series of Union ports, the European leg should be considered as one voyage. [Am. 57]

By way of derogation from the first paragraph, vessels exclusively operating within the scope of this Regulation and performing multiple voyages per day are exempted from monitoring emissions on a per-voyage basis. [Am. 58]

Article 10

Monitoring on a yearly basis

Based on the monitoring plan approved in accordance to Article 13(1), for each ship and for each calendar year, the company shall monitor in accordance with part A of Annex I and Annex II the following parameters:

(a)  amount and emission factor for each type of fuel consumed in total and differentiated between fuel used inside and outside emission control areas;

(b)  total CO2 emitted;

(c)  aggregated CO2 emissions from all voyages between ports under a Member State's jurisdiction;

(d)  aggregated CO2 emissions from all voyages which departed from ports under a Member State's jurisdiction;

(e)  aggregated CO2 emissions from all voyages to ports under a Member State's jurisdiction;

(f)  CO2 emissions which occurred within ports under a Member State's jurisdiction at berth;

(g)  total distance travelled;

(h)  total time spent at sea and at berth;

(i)  total transport work;

(j)  average energy efficiency. [Am. 59]

SECTION 4

REPORTING

Article 11

Content of the emission report

1.  From 2019, by 30 April of each year, companies shall submit to the Commission and to the authorities of the flag States concerned, an emission report concerning the emissions and other climate-relevant information during the entire reporting period for each ship under their responsibility, which has been verified as satisfactory by a verifier in accordance with the requirements referred to in Article 14.

2.  Where there is a change in ownership of ships, the new company shall ensure that each ship under its responsibility complies with the requirements of this Regulation in relation to the entire reporting period where it takes responsibility for the ship concerned.

3.  Companies shall include in the emission report referred to in paragraph 1 the following information:

(a)  data identifying the ship and the company, including:

(i)  name of the ship,

(ii)  IMO registration number,

(iii)  port of registry or home port,

(iiia)  the ice class of the ship, [Am. 60]

(iv)  certified technical efficiency of the ship (expressed by the Energy Efficiency Design Index (EEDI) or the Estimated Index Value (EIV) in accordance with IMO Resolution MEPC.215 (63), where applicable) to the relevant ship type, [Am. 61]

(v)  name of the ship owner,

(vi)  address of the ship owner and his principal place of business,

(vii)  name of the company (if not the ship owner),

(viii)  address of the company (if not the ship owner) and his principal place of business,

(ix)  address, telephone, fax and e-mail details for a contact person; [Am. 62]

(b)  information on the monitoring method used and the related level of uncertainty;

(c)  the results from annual monitoring of the parameters in accordance with Article 10;

(ca)  details of suspended monitoring periods due to emergency situations and life-saving activities. [Am. 63]

Article 12

Format of the emission report

1.  The emission report referred to in Article 11 shall be submitted using automated systems and complete data exchange formats, including electronic templates.

2.  Technical rules establishing the data exchange format including electronic templates referred to in paragraph 1 shall be determined by means of implementing acts. Those implementing acts shall be adopted by the Commission in accordance with the procedure referred to in Article 25(2) of this Regulation.

CHAPTER III

VERIFICATION AND ACCREDITATION

Article 13

Scope of verification activities and verification report

1.  The verifier shall assess the conformity of the monitoring plan referred to in Article 6 with the requirements laid down in Articles 6 and 7. Where the assessment contains recommendations necessary to be incorporated within a monitoring plan, the respective company shall revise its monitoring plan before the reporting period starts.

2.  The verifier shall assess the conformity of the emission report with the requirements laid down in Articles 8 to 11 and Annex I and II.

3.  In particular the verifier shall ensure that the emissions and other climate-relevant relevant information included in the emission report have been determined in accordance with Articles 8, 9 and 10 and the monitoring plan referred to in Article 6. The verifier shall also ensure that the emissions and other climate-relevant relevant information declared in the reports are consistent with data calculated from other sources in accordance with Annexes I and II. [Am. 64]

4.  Where the assessment concludes that, to the best knowledge of the verifier, the emission report is free from material misstatements and errors, the verifier shall issue a verification report. The verification report shall specify all issues relevant to the work carried out by the verifier.

5.  Where the assessments concludes that the emission report includes material misstatements, errors, inconsistencies or does not meet the requirements of Articles 11 and 14 and Annex I, the verifier shall inform the company thereof on a timely basis and ask it to resubmit a reviewed emission report. The company shall correct any communicated non-conformities or inconsistencies so as to allow the verification process to be finished in a timely manner. The verifier shall report in its verification report whether the non-conformities have been resolved by the company during verification.

5a.  Where the verifier has identified areas for improvement in the company's performance related to the monitoring and reporting of emissions, including in relation to achieving higher accuracy and enhancing efficiency in the monitoring and reporting, it shall include in the verification report recommendations for improvement. [Am. 65]

Article 14

General obligations and principles for the verifiers

1.  The verifier shall be independent from a company or operator of the ship concerned and carry out the activities required under this regulation in the public interest. For that purpose, the verifier and any part of the same legal entity shall not be a company or ship operator, the owner of a company or owned by them nor shall the verifier have relations with the company that could affect its independence and impartiality.

2.  When considering the verification of the emission report referred to in Article 11 and of the monitoring procedures applied by the company, the verifier shall assess the reliability, credibility and accuracy of the monitoring systems and of the reported data and information relating to emissions, in particular:

(a)  the assigning of fuel consumption to voyages within the scope of this Regulation;

(b)  the reported fuel consumption data and related measurements and calculations;

(c)  the choice and the employment of emission factors;

(d)  the calculations leading to the determination of the overall emissions;

(e)  the calculations leading to the determination of the energy efficiency.

3.  The verifier shall only consider reports submitted in accordance with Article 11 if reliable and credible data and information allow the emissions to be determined with a high degree of certainty and provided that the following are ensured:

(a)  the reported data is coherent in view of estimated data based on ship tracking data and characteristics such as the installed engine power;

(b)  the reported data is free of inconsistencies, in particular when comparing the total volume of fuel purchased annually by each ship and the aggregate fuel consumption during voyages which fall within the scope of this Regulation;

(c)  the collection of the data has been carried out in accordance with the applicable rules;

(d)  the relevant records of the ship are complete and consistent.

Article 15

Verification procedures

1.  The verifier shall identify potential risks related to the monitoring and reporting process by comparing reported emissions with estimated data based on ship tracking data and characteristics such as the installed engine power. Where significant deviations are found, the verifier shall carry out further analyses. [Am. 66]

2.  The verifier shall identify potential risks related to the different calculation steps by reviewing all data sources and methodologies used.

3.  The verifier shall take into consideration any effective risk control methods applied by the company to reduce levels of uncertainty, considering the accuracy of the monitoring methods used.

4.  The company shall provide the verifier with any additional information that enables it to carry out the verification procedures. The verifier may conduct spot-checks during the verification process to determine the reliability of reported data and information.

5.  The Commission shall be empowered to adopt delegated acts in accordance with Article 24 in order to further specify the rules for the verification activities referred to in this Regulation and the methods of accreditation of verifiers. These delegated acts shall be based on the principles for verification provided for in Article 14 and on relevant internationally accepted standards.

Article 16

Accreditation of verifiers

1.  A verifier assessing monitoring plans and emission reports and issuing verification and compliance documents referred to in Articles 13 and 17 shall be accredited for activities under the scope of the present Regulation by a national accreditation body pursuant to Regulation (EC) No 765/2008.

2.  Where no specific provisions concerning the accreditation of verifiers are laid in this Regulation, the relevant provisions of Regulation (EC) No 765/2008 shall apply.

3.  The Commission shall be empowered to adopt delegated acts in accordance with Article 24, in order to further specify the methods of accreditation of verifiers.

CHAPTER IV

COMPLIANCE AND PUBLICATION OF INFORMATION

Article 17

Issuance of a document of compliance

1.  Where the emission report referred to in Article 11 fulfils the requirements of Articles 11, to 15 and those laid down in Annexes I and II, on the basis of a verification report, the verifier shall deliver a document of compliance for the ship concerned.

2.  The document of compliance referred to in paragraph 1 shall include the following information:

(a)  the identity of the ship (name, IMO registration number and port of registry or home port);

(b)  name and address and principal place of business of the owner of the ship;

(c)  the identity of the verifier;

(d)  the date of issue of the document of compliance (the reporting period it refers to and its period of validity).

3.  Documents of compliance shall be considered valid documents for a period of 18 months after the end of the reporting period.

4.  Without delay, the verifier shall inform the Commission and the authority of the flag State on the issuance of any document of compliance and transmit the information referred to in paragraph 2 using automated systems and complete data exchange formats, including electronic templates established by the Commission in accordance with the procedure established in the present Regulation.

5.  Technical rules establishing the data exchange format including electronic templates referred to in paragraph 4 shall be determined by means of implementing acts. Those implementing acts shall be adopted by the Commission in accordance with the procedure referred to in Article 25(2) of this Regulation.

Article 18

Obligation to carry a valid document of compliance on board

From 30 June 2019 ships arriving at, within or departing from a port under the jurisdiction of a Member State shall carry on board a valid document certifying the ship's compliance with the reporting and monitoring obligations for the concerned reporting period, issued in accordance with Article 17.

Article 19

Compliance with monitoring and reporting obligations and inspections

1.  Based on the information published in accordance with Article 21(1), each Member State shall ensure the compliance with the monitoring and reporting requirements set out in Articles 8 to 12 by ships flying its flag.

2.  Each Member State shall ensure that any inspection of a ship in a port under its jurisdiction includes verification that the document of compliance referred to in Article 18 is carried on board.

3.  Without prejudice to paragraph 2 of this Article and based on the information published in accordance with Article 21, for each ship in failure to comply with Article 21(2) (j) and (k) which entered a port under jurisdiction of a Member State, the Member State shall verify that the document of compliance referred to in Article 18 is carried on board.

3a.  During the course of visits and inspections undertaken by EMSA to monitor the implementation of Directive 2009/16/EC, EMSA will also monitor the application of paragraphs 1, 2, and 3 by the competent authorities of Member States and report to the Commission. [Am. 67]

Article 20

Penalties, information exchange and expulsion order

1.  Member States shall lay down a system of penalties for failure to comply with the monitoring and reporting requirements set out in Articles 8 to 12 and shall take all the measures necessary to ensure that those penalties are applied. The penalties provided for shall be no less stringent than those foreseen under national legislation on greenhouse gas emissions in case of non-compliance with reporting obligations by operators and be effective, proportionate and dissuasive. Member States shall notify these provisions to the Commission by 1 July 2017, and shall notify any subsequent amendments affecting these provisions to the Commission without delay. [Am. 68]

2.  Member States shall establish an effective exchange of information and effective cooperation between their national authorities ensuring compliance with the monitoring and reporting requirements or, where applicable, their authority entrusted with the sanctioning procedures. National sanctioning procedures launched by any Members State shall be notified to the Commission, EMSA, to the other Member States and to the flag State concerned.

3.  For ships having failed to comply with the monitoring and reporting requirements for more than one reporting period, the national State port authority may issue an expulsion order which shall be notified to the Commission, EMSA, the other Member States and the flag State concerned. As a result of the issuing of such an expulsion order, every Member State shall refuse entry of this ship into any of its ports until the company fulfils its monitoring and reporting requirements in accordance with Articles 8 to 12, confirmed by the notification of a valid document of compliance to the national port State authority which issued the expulsion order.

Article 21

Publication of information

1.  By 30 June each year, the Commission shall make publicly available the yearly emissions reported in accordance with Article 11 and, respecting the confidentiality of commercial information on the company's compliance with the monitoring and reporting requirements set out in Articles 11 and 17 to protect a legitimate economic interest pursuant to Articles 3 and 4 of Directive 2003/4/EC of the European Parliament and of the Council(14). [Am. 69]

2.  The publication referred to in paragraph 1 shall include the following information:

(a)  the identity of the ship (name, IMO registration number and, port of registry or home port and the ice class of the ship); [Am. 70]

(b)  the identity of the ship owner (name and address of owner and his principal place of business);

(c)  technical efficiency of the ship (EEDI or EIV where applicable to the relevant ship type); [Am. 71]

(d)  annual CO2 emissions;

(e)  annual total fuel consumption for voyages falling within the scope of this Regulation;

(f)  annual average fuel consumption and greenhouse gas emissions per distance travelled of voyages falling within the scope of this Regulation;

(g)  annual average fuel consumption and greenhouse gas emissions per distance travelled and cargo carried on voyages falling within the scope of this Regulation; [Am. 73]

(h)  annual total time spent at sea in voyages falling within the scope of this Regulation; [Am. 74]

(i)  methodology for monitoring applied;

(j)  the date of issue and the expiry date of the document of compliance;

(k)  the identity of the verifier having approved the emission report.

3.  The Commission shall publish an annual report on emissions and other climate-relevant relevant information from maritime transport. [Am. 75]

4.  EMSA shall assist the Commission in its work to comply with Articles 11, 12, 17 and 21 of this Regulation, in accordance with Regulation (EC) No 1406/2002 of the European Parliament and of the Council(15).

CHAPTER V

INTERNATIONAL COOPERATION

Article 22

International cooperation

1.  The Commission shall inform the IMO and other relevant international bodies on a regular basis of the implementation of this Regulation with a view to facilitate the development of international rules within the IMO for the monitoring, reporting and verification of greenhouse gas emissions from maritime transport.

2.  The Commission shall maintain technical exchange with third countries on the implementation of this Regulation, in particular the further development of monitoring methods, the organisation of reporting and the verification of emission reports.

3.  Where an international agreement on global measures to reduce greenhouse gas emissions from maritime transport is reached, the Commission shall review this Regulation and may, if appropriate, propose amendments to this Regulation ensure alignment with the relevant international regulations set by the IMO. [Am. 76]

CHAPTER VI

DELEGATED AND IMPLEMENTING POWERS AND FINAL PROVISIONS

Article 23

Delegation of powers

The power to adopt delegated acts in order to supplement and amend the provisions of Annexes I and II shall be conferred on the Commission in order to take into account up-to-date scientific evidence available, as well as to align the Annexes with the relevant data available on board of ships and the relevant international regulations as agreed by the IMO, with the aim of ensuring conformity with international rules and internationally accepted standards, to identify regulations, identifying the most accurate and efficient methods for monitoring of emissions, and to improve improving the accuracy of the information requested related to the monitoring and reporting of emissions. This power is conferred on the Commission subject to the conditions laid down under Article 24 only to the extent it concerns non-essential elements of this Regulation. [Am. 77]

Article 24

Exercise of delegation

1.  The power to adopt delegated acts referred to in Articles 5(1a) and 6(4) and Articles 15, 16 and 23 shall be conferred on the Commission for a period of five years from 1 July 2015 (16). The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the 5-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. [Am. 78]

2.  The delegation of power referred to in Article Articles 5(1a) and 6(4) and Articles 15, 16 and 23 may be revoked at any time by the European Parliament or by the Council. A decision of revocation 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. [Am. 79]

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

4.  A delegated act adopted pursuant to Article Articles 5(1a) and 6(4) and Articles 15, 16 and 23 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. [Am. 80]

Article 25

Implementing acts

1.  The Commission shall be assisted by the Committee established by Article 8 of Council Decision 93/389/EEC(17). That Committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

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

Article 26

Amendments to Regulation (EU) No 525/2013

Regulation (EU) No 525/2013 is amended as follows:

1.  In Article 1, the following point shall be added:"

"(h) monitoring and reporting of greenhouse gas emissions from marine ships pursuant to Articles 9 and 10 of Regulation (EU) No .../... of the European Parliament and of the Council(18).

______________(19)

OJ L ...+."

"

2.  The following Article shall be inserted:"

"Article 21a

Reporting emissions from maritime transport

1.  Member States shall report to the Commission by 15 January each year ('year X') for the year X-2, the CO2 emissions from maritime transport pursuant to Articles 9 and 10 of Regulation (EU) No .../...++.

2.  The Commission shall be empowered to adopt delegated acts in accordance with [Article 25 of this Regulation] to specify the requirements for the monitoring and reporting of CO2 emissions from maritime transport pursuant to Articles 9 and 10 of Regulation (EU) No .../...(20) and taking into account, where applicable, relevant decisions adopted by the bodies of the UNFCCC and the Kyoto Protocol or agreements deriving from them or succeeding them or decisions adopted in the context of the International Maritime Organisation.

3.  The Commission shall adopt implementing acts to set out the structure, format and process for the Member states' submission of CO2 emissions from maritime transport pursuant to Articles 9 and 10 of Regulation (EU) No .../...*. These implementing acts shall be adopted in accordance with the examination procedure referred to in [Article 26(2)].

3a.  The Commission shall biennially assess the maritime transport sector's overall impact on the global climate including through non-CO2 emissions or effects, based on the emission data provided by Member States pursuant to Article 7 and/or provided under Regulation (EU) No .../...* and improve that assessment by reference to scientific advancements and maritime traffic data." [Am. 82]

"

3.  In Article 25(2), (3) and (5) the following reference shall be inserted:"

"21a"

"

Article 27

Entry into force

This Regulation shall enter into force on 1 July 2015.

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

Done at …,

For the European Parliament For the Council

The President The President

ANNEX I

Methods for monitoring and reporting greenhouse gas emissions and other climate relevant information

A.  CALCULATIon of FUEL CONSUMPTION (Article 9)

For the purposes of calculating fuel consumption companies shall respect the following formula:

Fuel consumption x Emission factor

Fuel consumption shall include fuel consumed by main engines, auxiliary engines, boilers and inert gas generators.

Fuel consumption within ports at berth shall be calculated separately.

In principle, default values for emission factors of fuels shall be used unless the company decides using data on fuel quality set out in the Bunker Fuel Delivery Notes and used for demonstrating compliance with applicable regulations of sulphur emissions.

Default emission factors shall be based on latest available IPCC values. They can be derived from Annex VI to Commission Regulation (EU) No 601/2012(21).

Appropriate emission factors shall be applied in respect of biofuels and alternative non-fossil fuel fuels.

B.  METHODS FOR DETERMINING EMISSIONS

The company shall define in the monitoring plan which monitoring methodology is used to calculate fuel consumption for each ship type under its responsibility and ensure that once it has been chosen, is consistently applied.

In selecting a monitoring methodology, the improvements from greater accuracy shall be balanced against the additional costs.

Actual fuel consumption for each voyage shall be used and be calculated using one of the following methods:

(a)  Bunker Fuel Delivery Note (BDN) and periodic stocktakes of fuel tanks;

(b)  Bunker fuel tank monitoring on board;

(c)  Flow meters for applicable combustion processes;

(d)  Direct emissions measurements;

(da)  Modelling with ship movement information (AIS) and ship specific data. [Am. 83]

Any combination of the above methods, approved by the verifier may be used if it enhances the overall accuracy of the measurement. [Am. 84]

1.  Method A: BDN (Bunker Delivery Notes) and periodic stock-takes of fuel tanks

This method is based on the quantity and type of fuel as defined on the BDN combined with periodic stock-takes of fuel tanks based on tank readings. The fuel at the beginning of the period, plus deliveries, minus fuel available at the end of the period and de-bunkered fuel between the beginning of the period and the end of the period together constitute the fuel consumed over the period.

The period includes time between two port calls or time within a port. For the fuel used during a period, the fuel type and the sulphur content need to be specified.

This approach shall not be used when BDN Where BDNs are not available on board of ships, especially when cargo is used as a fuel, for example, liquefied natural gas (LNG) boil-off, only the stock takes of fuel tanks and bunker fuel tank readings shall be used. [Am. 85]

The BDN is mandated under existing MARPOL Annex VI Regulations and relevant records are retained on board for 3 years after the delivery of the bunker fuel and be readily available. The periodic stock-take of fuel tanks on-board is based on fuel tank readings. It uses tank tables relevant to each fuel tank to determine the volume at the time of the fuel tank reading. The uncertainty associated with the BDN shall be specified in the monitoring plan referred to in Article 6. Fuel tank readings shall be carried out by appropriate methods such as automated systems, soundings and dip tapes. The method for tank sounding and uncertainty associated shall be specified in the monitoring plan referred to in Article 6.

Where BDNs are not available on board ships, especially when cargo is used as a fuel, for example, liquefied natural gas (LNG) boil-off, only the stock takes of fuel tanks and bunker fuel tank readings shall be used. [Am. 86]

Where the amount of fuel uplift or the amount of fuel remaining in the tanks is determined in units of volume, expressed in litres, the company shall convert that amount from volume to mass by using actual density values. The company shall determine the actual density by using one of the following:

(a)  on-board measurement systems;

(b)  the density measured by the fuel supplier at fuel uplift and recorded on the fuel invoice or delivery note.

The actual density shall be expressed in kg/litre and determined for the applicable temperature for a specific measurement. In cases for which actual density values are not available, a standard density factor for the relevant fuel type shall be applied upon approval by the verifier.

2.  Method B: Bunker fuel tank monitoring on-board

This method is based on fuel tank readings for all fuel tanks on-board. The tank readings shall occur daily when the ship is at sea and each time the ship is bunkering or de-bunkering.

The cumulative variations of the fuel tank level between two readings constitute the fuel consumed over the period.

The period means time between two port calls or time within a port. For the fuel used during a period, the fuel type and the sulphur content need to be specified.

Fuel tank readings shall be carried out by appropriate methods such as automated systems, soundings and dip tapes. The method for tank sounding and uncertainty associated shall be specified in the monitoring plan referred to in Article 6.

Where the amount of fuel uplift or the amount of fuel remaining in the tanks is determined in units of volume, expressed in litres, the company shall convert that amount from volume to mass by using actual density values. The company shall determine the actual density by using one of the following:

(a)  on-board measurement systems;

(b)  the density measured by the fuel supplier at fuel uplift and recorded on the fuel invoice or delivery note;

(ba)  the density measured in a test analysis conducted in an accredited fuel test laboratory, where available. [Am. 87]

The actual density shall be expressed in kg/litre and determined for the applicable temperature for a specific measurement. In cases for which actual density values are not available, a standard density factor for the relevant fuel type shall be applied upon approval by the verifier.

3.  Method C: Flow meters for applicable combustion processes

This method is based on measured fuel flows on-board. The data from all flow meters linked to relevant emission sources shall be combined to determine all fuel consumption for a specific period.

The period means time between two port calls or time within a port. For the fuel used during a period, the fuel type and the sulphur content need to be monitored.

The calibration methods applied and the uncertainty associated with flow meters used shall be specified in the monitoring plan referred to in Article 6.

Where the amount of fuel consumed is determined in units of volume, expressed in litres, the company shall convert that amount from volume to mass by using actual density values. The company shall determine the actual density by using one of the following:

(a)  on-board measurement systems;

(b)  the density measured by the fuel supplier at fuel uplift and recorded on the fuel invoice or delivery note.

The actual density shall be expressed in kg/litre and determined for the applicable temperature for a specific measurement. In cases for which actual density values are not available, a standard density factor for the relevant fuel type shall be applied upon approval by the verifier.

4.  Method D: Direct emissions measurement

The direct emissions measurements may be used for voyages within the scope of this regulation and for emissions occurring in ports located in a Member State's jurisdiction. CO2 emitted shall include CO2 emitted by main engines, auxiliary engines, boilers and inert gas generators. For ships on which reporting is based on this method, the fuel consumption shall be calculated using the measured CO2 emissions and the applicable emission factor of the relevant fuels.

This method is based on the determination of CO2 emission flows in exhaust gas stacks (funnels) by multiplying the CO2 concentration of the exhaust gas with the exhaust gas flow.

The calibration methods applied and the uncertainty associated with the devices used shall be specified in the monitoring plan referred to in Article 6.

4a.  Method Da: Modelling with ship movement information (AIS) and ship specific data

The agency in charge of the modelling system makes a written agreement with the ship-owner of the ship in question. At the end of the monitoring period, the calculated CO2 emissions are compared to the ship oil record book and BDNs in order to find and correct any discrepancies. [Am. 90]

ANNEX II

Monitoring of other climate-relevant information

A.  Monitoring on a per voyage basis (Article 9)

For the purposes of monitoring other climate-relevant information on a per-voyage basis (Article 9), companies shall respect the following rules:

The date and hour of departure and arrival shall be considered using Greenwich Mean Time (GMT). The time spent at sea shall be calculated based on port departure and arrival information and shall exlude ankering.

The distance travelled can be the distance of the most direct route between the port of departure and the port of arrival or the real distance travelled. In the event of the use of the distance of the most direct route between the port of departure and the port of arrival, conservative correction factor should be taken into account to ensure that the distance travelled is not significantly underestimated. The monitoring plan referred to in Article 6 shall specify which distance calculation is used and, if necessary, the correction factor used. The distance travelled shall be expressed in nautical-miles.

For passenger ships, the number of passengers shall be used to express cargo carried. For all other categories of ships, the amount of cargo carried shall be expressed as metric tonnes and cubic meters of cargo. [Am. 91]

Transport work shall be determined by multiplying the distance travelled with the amount of cargo carried. [Am. 92]

B.  Monitoring on a yearly basis (Article 10)

For the purposes of monitoring other climate-relevant information on a yearly basis, companies shall respect the following rules:

The values to be monitored according to Article 10 should be determined by aggregation of the respective per voyage data.

Average energy efficiency shall be monitored by using at least four two indicators, fuel consumption per distance, the fuel consumption per transport work, and the CO2 emissions per distance and the CO2 emissions per transport work, which shall be calculated as follows:

Fuel consumption per distance = total annual fuel consumption / total distance travelled

Fuel consumption per transport work = total annual fuel consumption / total transport work

CO2 emissions per distance = total annual CO2 emissions / total distance travelled.

CO2 emissions per transport work = total annual CO2 emissions / total transport work [Am. 93]

(1) OJ C 67, 6.3.2014, p. 170.
(2)OJ C 67, 6.3.2014, p. 170.
(3)OJ C , , p. .
(4) Position of the European Parliament of 16 April 2014.
(5)Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community’s greenhouse gas emission reduction commitments up to 2020 (OJ L 140, 5.6.2009, p. 136) and Directive 2009/29/EC of the European Parliament and of the Council of 23 April 2009 amending Directive 2003/87/EC so as to improve and extend the greenhouse gas emission allowance trading scheme of the Community (OJ L 140, 5.6.2009, p. 63).
(6)Commission Decision 2012/504/EU of 17 September 2012 on Eurostat (OJ L 251, 18.9.2012, p. 49).
(7)Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 (OJ L 218, 13.8.2008, p. 30).
(8)Directive 2009/21/EC of the European Parliament and of the Council of 23 April 2009 on compliance with flag State requirements (OJ L 131, 28.5.2009, p. 132).
(9)Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (OJ L 131, 28.5.2009, p. 57).
(10)Regulation (EU) No 525/2013 of the European Parliament and of the Council of 21 May 2013 on a mechanism for monitoring and reporting greenhouse gas emissions and for reporting other information at national and Union level relevant to climate change and repealing Decision No 280/2004/EC (OJ L 165,18.6.2013, p. 13).
(11)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 the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(12)Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).
(13)Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and of the free movement of such data (OJ L 8, 12.1.2001, p. 1).
(14) Directive 2003/4/EC of the European Parliament and of the Council of 28 January 2003 on public access to environmental information and repealing Council Directive 90/313/EEC (OJ L 41, 14.2.2003, p. 26).
(15)Regulation (EC) No 1406/2002 of the European Parliament and of the Council of 27 June 2002 establishing a European Maritime Safety Agency (OJ L 208, 5.8.2002, p. 1).
(16) Date of entry into force of this Regulation.
(17) Council Decision 93/389/EEC of 24 June 1993 for a monitoring mechanism of Community CO2 and other greenhouse gas emissions (OJ L 167, 9.7.1993, p. 31).
(18) + Number and reference of this Regulation.
(19)++ Number of this Regulation.
(20)+ OJ: please insert number of this Regulation.
(21)Commission Regulation (EU) No 601/2012 of 21 June 2012 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council (OJ L 181, 12.7.2012, p. 30).


Invasive alien species ***I
PDF 195kWORD 72k
Resolution
Text
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council on the prevention and management of the introduction and spread of invasive alien species (COM(2013)0620 – C7-0264/2013 – 2013/0307(COD))
P7_TA(2014)0425A7-0088/2014

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0620),

–  having regard to Article 294(2) and Article 192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0264/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Austrian Bundesrat, asserting that the draft legislative act does not comply with the principle of subsidiarity,

–  having regard to the opinion of the European Economic and Social Committee of 22 January 2014(1),

–  after consulting the Committee of the Regions,

–  having regard to the undertaking given by the Council representative by letter of 19 March 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on International Trade and the Committee on Fisheries (A7-0088/2014),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the prevention and management of the introduction and spread of invasive alien species

P7_TC1-COD(2013)0307


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1143/2014.)

(1)Not yet published in the Official Journal.


Technical implementation of the Kyoto Protocol to the UN Framework Convention on Climate Change ***I
PDF 196kWORD 37k
Resolution
Text
European Parliament legislative resolution of 16 April 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 525/2013 as regards the technical implementation of the Kyoto Protocol to the United Nations Framework Convention on Climate Change (COM(2013)0769 – C7-0393/2013 – 2013/0377(COD))
P7_TA(2014)0426A7-0171/2014

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2013)0769),

–  having regard to Article 294(2) and Article 192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7–0393/2013),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the opinion of the European Economic and Social Committee of 26 February 2014(1),

–  after consulting the Committee of the Regions,

–  having regard to the undertaking given by the Council representative by letter of 19 March 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 55 of its Rules of Procedure,

–  having regard to the report of the Committee on the Environment, Public Health and Food Safety (A7-0171/2014),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EU) No 525/2013 as regards the technical implementation of the Kyoto Protocol to the United Nations Framework Convention on Climate Change

P7_TC1-COD(2013)0377


(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 662/2014.)

(1) Not yet published in the Official Journal.


Fight against fraud to the Union's financial interests by means of criminal law ***I
PDF 435kWORD 86k
Resolution
Consolidated text
European Parliament legislative resolution of 16 April 2014 on the proposal for a directive of the European Parliament and of the Council on the fight against fraud to the Union's financial interests by means of criminal law (COM(2012)0363 – C7-0192/2012 – 2012/0193(COD))
P7_TA(2014)0427A7-0251/2014

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2012)0363),

–  having regard to Article 294(2) and Article 325(4) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7‑0192/2012),

–  having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis,

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

–  having regard the opinion of the Court of Auditors of 15 November 2012(1),

–  having regard to the opinion of the Committee of the Regions of 10 October 2012(2),

–  having regard to Rules 55 and 37 of its Rules of Procedure,

–  having regard to the joint deliberations of the Committee on Budgetary Control and the Committee on Civil Liberties, Justice and Home Affairs under Rule 51 of the Rules of Procedure,

–  having regard to the report of the Committee on Budgetary Control and the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Legal Affairs (A7-0251/2014),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend its proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Position of the European Parliament adopted at first reading on 16 April 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the fight against fraud to the Union's financial interests by means of criminal law

P7_TC1-COD(2012)0193


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 325 (4) 83(2) thereof, [Am. 1]

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 Court of Auditors(3),

Having regard to the opinion of the Committee of the Regions(4),

Acting in accordance with the ordinary legislative procedure(5),

Whereas:

(1)  The protection of the Union's financial interests concerns not only the management of budget appropriations, but extends to all measures negatively affecting or threatening to negatively affect its assets, and those of the Member States to the extent they are designated to support or stabilise the economy or public finances of Member States with relevance to Union policies.

(2)  In order to ensure effective, proportionate and dissuasive protection of the Union's financial interests, criminal law in the Member States should continue to complement the protection under administrative and civil law for against the most serious types of fraud-related conduct in this field, and to ensure that the Union’s financial interests are optimally protected, measures adopted under administrative and civil law should be complemented by legislation under criminal law in the Member States, whilst avoiding inconsistencies, both within and among these areas of law. [Am. 2]

(3)  The protection of the Union's financial interests calls for a common definition of fraud covering fraudulent conduct with respect to expenditure and, revenues, assets and liabilities at the expense of the EU Union budget, including borrowing and lending activities. [Am. 3]

(4)  Fraud affecting Value Added Tax (VAT) diminishes tax receipts of Member States and subsequently the application of a uniform rate to Member States' VAT assessment base. As confirmed by the case-law(6) of the Court of Justice of the European Union, there is a direct link between the collection of VAT revenue in compliance with the Union law applicable and the availability to the Union budget of the corresponding resources, since any lacuna in the collection of the first potentially causes a reduction in the second. The Directive therefore covers revenue resulting from VAT receipts in the Member States.

(5)  The consideration of the substantial impact on the EU's financial interests resulting from the illegal diminution of the VAT-based own resource and application of thresholds contained in this Directive shall be read in line with the principle of proportionality, given the specific nature and methodology used for calculating that own resource, including differentiated treatment of Member States.

(6)  The Union's financial interests can be negatively affected where individual tenderers provide information to contracting or grant awarding authorities based on information unduly illegally obtained directly or indirectly from the tendering body, with the aim of circumventing or skewing violating rules applicable to a public procurement or grant procedure. Such conduct is very similar to fraud, but does not necessarily need to constitute bear all the hallmarks of a full fraud offence on the side of the tenderer, since the provided bid may be completely in line with all requirements meet all the necessary criteria. Bid-rigging behaviour between tenderers violates Union competition rules and equivalent national laws; it is subject to public enforcement action and sanctions throughout the Union and should remain outside the scope of this Directive. [Am. 4]

(7)  The Union money laundering legislation is fully applicable to laundering the proceeds of the criminal offences referred to in this Directive. A reference made to that legislation should insure that the sanction regime introduced by this Directive applies to all criminal offences against the Union's financial interest.

(8)  Corruption constitutes a particularly serious threat against the Union's financial interests, which can in many cases also be linked to fraudulent conduct. A particular criminalisation in this area is therefore needed. It must be ensured that the relevant offences are covered by the definition irrespective of whether conduct is in breach of official duties or not. As regards the offences of passive corruption and misappropriation, there is a need to include a definition of public officials covering all relevant officials, whether appointed, elected or employed on the basis of a contract, or holding a formal office, as well as persons exercising the function of providing service from government and other public bodies to citizens, or for the public interest in general, without holding in the Union, in the Member States or in third countries. Private persons are increasingly involved in the management of Union funds. In order to adequately protect Union funds from corruption and misappropriation, the definition of 'public official' for the purposes of this Directive therefore needs to cover also persons who do not hold a formal office, but who are none the less assigned, and who exercise, in a similar manner, a public-service function in relation to Union funds, such as contractors involved in the management of EU such funds. [Am. 5]

(9)  The Union's financial interests can be negatively affected by certain types of conduct of a public official which aim at misappropriating funds or assets contrary to the purpose foreseen, and with the intention to damage the Union's financial interests. There is therefore a need to introduce a precise and unambiguous definition of offences covering such conduct. [Am. 6]

(9a)  With regard to the criminal offences committed by natural persons as defined in this Directive, it is necessary to establish intent in respect of all the elements comprised in those offences. Offences committed by natural persons which do not require intent are not covered by this Directive. [Am. 7]

(10)  Some offences against the Union's financial interests are in practice often closely related to the offences covered by Article 83(1) of the Treaty on the Functioning of the European Union (TFEU) and Union legislation based on that Article. Coherence with such legislation should therefore be ensured in the wording of the provisions.

(11)  In as much as the Union's financial interests can also be damaged or threatened by conduct attributable to legal persons, they should be liable for the criminal offences, as defined in this Directive, committed on their behalf.

(12)  In order to protect the Union's financial interests equivalently through measures which should act as a deterrent throughout the Union, Member States should further foresee certain minimum types and levels of sanctions when the criminal offences defined in this Directive are committed. The levels of sanctions should not go beyond what is proportionate for the offen