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7.9.2012 Official
Journal
of
the
European
Union L
242/13
COMMISSION IMPLEMENTING REGULATION (EU) No 792/2012
of 23 August 2012
laying down rules for the design of permits, certificates and other documents provided for in
Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by
regulating trade therein and amending Commission Regulation (EC) No 865/2006
THE EUROPEAN COMMISSION,
Member States of the Commission’s exercise of imple
menting powers ( 3 ). It is therefore necessary that they
are included in an Implementing Regulation that is
Having regard to the Treaty on the Functioning of the European
distinct from Regulation (EC) No 865/2006.
Union,
(6) Regulation
(EC)
No
865/2006
should
therefore
be
Having regard to Council Regulation (EC) No 338/97 of
amended accordingly.
9 December 1996 on the protection of species of wild fauna
and flora by regulating trade therein ( 1 ), and in particular
Article 19(1) thereof,
(7) The
measures
provided
for
in
this
Regulation
are
in
accordance with the opinion of the Committee on
Trade in Wild Fauna and Flora,
Whereas:
HAS ADOPTED THIS REGULATION:
(1) Provisions
are
required
to
implement
Regulation
(EC)
No
338/97 and to ensure full compliance with the
provisions of the Convention on International Trade in
Article 1
Endangered Species of Wild Fauna and Flora (CITES),
hereinafter ‘the Convention’.
General provision
The design and technical specifications with regard to forms for
(2) In
order
to
ensure
the
uniform
implementation
of
Regu
permits, certificates and other documents provided for in Regu
lation (EC) No 338/97 and Commission Regulation (EC)
lation (EC) No 338/97 and Regulation (EC) No 865/2006 are
No 865/2006 of 4 May 2006 laying down detailed rules
described in this Regulation. The design and technical specifi
concerning the implementation of Council Regulation
cations are specified for the following documents:
(EC) No 338/97 on the protection of species of wild
fauna and flora by regulating trade therein ( 2 ), it is
(1) import
permits;
necessary to lay down models to which permits,
certificates and other documents foreseen in those Regu
lations must correspond.
(2) export
permits;
(3)
At the 15th session of the Conference of the Parties to
(3) re-export
certificates;
the Convention, held in Doha (Qatar) from 13 to
25 March 2010, a number of Resolutions were
modified concerning, inter alia, the harmonisation in
(4) personal
ownership
certificates;
permits and certificates and amendments of source
codes. It is therefore necessary to take those Resolutions
into account and amend the models accordingly.
(5) sample
collection
certificates;
Changes are also required in order to render those
documents clearer for their users and national adminis
(6) import
notifications;
trations.
(7) travelling
exhibition
certificates;
(4) Uniform
conditions
for
the
use
of
those
forms
therefore
need to be defined through models, instructions and
explanations, to be used in conjunction with Regulation
(8) continuation
sheets
for
personal
ownership
certificates
and
(EC) No 865/2006.
for travelling exhibition certificates;
(5) Those uniform conditions should be adopted in
(9) certificates provided for in paragraphs 2(b), 3 and 4 of
accordance with the examination procedure provided
Article 5 of Regulation (EC) No 338/97, and in Articles
for in Article 5 of Regulation (EU) No 182/2011 of
8(3) and 9(2)(b) thereof;
the European Parliament and of the Council of
16 February 2011 laying down the rules and general
principles concerning mechanisms for control by
(10) labels referred to in Article 7(4) of Regulation (EC) No
338/97.
( 1 ) OJ L 61, 3.3.1997, p. 1.
( 2 ) OJ L 166, 19.6.2006, p. 1.
( 3 ) OJ L 55, 28.2.2011, p. 13.

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L 242/14
EN
Official Journal of the European Union
7.9.2012
Article 2
(a) white for form 1, the original, with a guilloche pattern
background, printed in grey on the front, so as to reveal
Forms
any falsification by mechanical or chemical means;
1. The
forms
on
which
import
permits,
export
permits,
re-
export certificates, personal ownership certificates and sample
collection certificates and applications for such documents are
(b) yellow for form 2, the copy for the holder;
drawn up shall conform, except as regards spaces reserved for
national use, to the model set out in Annex I.
(c) pale green for form 3, the copy for the exporting or re-
exporting country in the case of an import permit, or the
2. The
forms
on
which
import
notifications
are
drawn
up
copy for return by customs to the issuing management
shall conform, except as regards spaces reserved for national
authority in the case of an export permit or re-export
use, to the model set out in Annex II. They may contain a
certificate;
serial number.
(d) pink for form 4, the copy for the issuing management
authority;
3. The
forms
on
which
travelling
exhibition
certificates
and
applications for such documents are drawn up shall conform,
except as regards spaces reserved for national use, to the model
(e) white for form 5, the application.
set out in Annex III.
4. The colour of the paper used for the forms referred to in
4. The
forms
on
which
continuation
sheets
for
personal Article 2(2) shall be as follows:
ownership certificates and for travelling exhibition certificates
are drawn up shall conform to the model set out in Annex IV.
(a) white for form 1, the original;
5. The
forms
on
which
the
certificates
provided
for
in
para
(b) yellow for form 2, the copy for the importer.
graphs 2(b), 3 and 4 of Article 5 of Regulation (EC) No 338/97
and in Articles 8(3) and 9(2)(b) thereof and applications for
such certificates are drawn up shall conform to the model set
out in Annex V to this Regulation, except as regards spaces
5. The colour of the paper used for the forms referred to in
reserved for national use.
Article 2(3) and (5) shall be as follows:
(a) yellow for form 1, the original, with a guilloche pattern
Member States may, however, provide that, instead of the pre-
background, printed in grey on the front, so as to reveal
printed text, boxes 18 and 19 are to contain only the relevant
any falsification by mechanical or chemical means;
certification or authorisation, or both.
(b) pink for form 2, the copy for the issuing management
6. The form of the labels referred to in Article 7(4) of Regu
authority;
lation (EC) No 338/97 shall conform to the model set out in
Annex VI to this Regulation.
(c) white for form 3, the application.
Article 3
6. The colour of the paper used for the continuation sheets
Technical specifications with regard to forms
and labels referred to in Article 2(4) and (6) respectively shall be
white.
1. The
paper
used
for
the
forms
referred
to
in
Article
2
shall
be free of mechanical pulp and dressed for writing purposes,
and shall weigh at least 55 g/m 2 .
7. The
forms
referred
to
in
Article
2
shall
be
printed
and
completed in one of the official Union languages as specified by
the management authorities of each Member State. They shall,
2. The size of the forms referred to in Article 2(1) to (5)
where necessary, contain a translation of their contents in one
shall be 210 x 297 mm (A4) with a maximum tolerance as to
of the official working languages of the Convention.
length of 18 mm less and 8 mm more.
8. Member
States
shall
be
responsible
for
the
printing
of
the
forms referred to in Article 2, which, in the case of the forms
3. The colour of the paper used for the forms referred to in
referred to in Article 2(1) to (5), may be part of a computerised
Article 2(1) shall be as follows:
permit/certificate issuing process.

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/15
Article 4
Article 5
Regulation (EC) No 865/2006 is amended as follows:
This Regulation shall enter into force on the twentieth day
following that of its publication in the Official Journal of the
(1) Articles 2 and 3 are deleted;
European Union.
(2) Annexes I to VI are deleted.
It shall apply from 27 September 2012.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 23 August 2012.
For the Commission
The President
José Manuel BARROSO

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L 242/16
EN
Official Journal of the European Union
7.9.2012
ANNEX I

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/17
Instructions and explanations
1.
Full name and address of the actual (re-)exporter, not of an agent. In the case of a personal ownership
certificate, the full name and address of the legal owner.
2.
The period of validity of an export permit or re-export certificate shall not exceed six months and of an
import permit 12 months. The period of validity of a personal ownership certificate shall not exceed three
years. After its last day of validity, this document is void and the original and all copies must be returned by
the holder to the issuing management authority without undue delay. An import permit is not valid where
the corresponding CITES document from the (re-)exporting country was used for (re-)export after its last day
of validity or if the date of introduction into the Union is more than six months from its date of issue.
3.
Full name and address of the actual importer, not of an agent. To be left blank in the case of a personal
ownership certificate.
5.
To be left blank in the case of a personal ownership certificate.
6. For
live
specimens
of
Annex
A
species
other
than
captive
bred
or
artificially
propagated
specimens,
the
issuing authority may prescribe the location at which they are to be kept by including details thereof in this
box. Any movement, except for urgent veterinary treatment and provided the specimens are returned directly
to their authorised location, then requires prior authorisation from the competent management authority.
8.
Description must be as precise as possible and include a three-letter code in accordance with Annex VII to
Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regu
lation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
9/10.
Use the units of quantity and/or net mass in accordance with those contained in Annex VII to Regulation (EC)
No 865/2006.
11.
Enter the number of the CITES Appendix (I, II or III) in which the species is listed at the date of issue of the
permit/certificate.
12.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the
date of issue of the permit/certificate.
13. Use
one
of
the
following
codes
to
indicate
the
source:
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild,
where they would otherwise have had a very low probability of surviving to adulthood
D Annex A animals bred in captivity for commercial purposes in operations included in the Register of the
CITES Secretariat, in accordance with Resolution Conf. 12.10 (Rev. CoP15), and Annex A plants
artificially propagated for commercial purposes in accordance with Chapter XIII of Regulation (EC)
No 865/2006, as well as parts and derivatives thereof
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants
artificially propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
F Animals born in captivity, but for which the criteria of Chapter XIII of Regulation (EC) No 865/2006 are
not met, as well as parts and derivatives thereof
I Confiscated
or
seized
specimens
( 1 )
O Pre-convention
( 1 )
U Source
unknown
(must
be
justified)
( 1 ) To be used only in conjunction with another source code.

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L 242/18
EN
Official Journal of the European Union
7.9.2012
14.
Use one of the following codes to indicate the purpose for which the specimens are to be (re-)exported/
imported:
B Breeding
in
captivity
or
artificial
propagation
E Educational
G Botanical
gardens
H Hunting trophies
L Law
enforcement/judicial/forensic
M Medical (including bio-medical research)
N Reintroduction
or
introduction
into the
wild
P Personal
Q Circuses and travelling exhibitions
S Scientific
T Commercial
Z Zoos
15 to 17. The country of origin is the country where the specimens were taken from the wild, born and bred in
captivity or artificially propagated. Where this is a third country, boxes 16 and 17 must contain details of the
relevant permit. Where specimens originating in a Member State of the Union are exported from another,
only the name of the Member State of origin must be mentioned in box 15.
18 to 20. The country of last re-export is, in the case of a re-export certificate, the re-exporting third country from
which the specimens were imported before being re-exported from the Union. In the case of an import
permit, it is the re-exporting third country from which the specimens are to be imported. Boxes 19 and 20
must contain details of the relevant re-export certificate.
21.
The scientific name must be in accordance with the standard references for nomenclature referred to in
Annex VIII to Regulation (EC) No 865/2006.
23 to 25. For official use only.
26.
The importer/(re)exporter or his agent must, where appropriate, indicate the number of the bill of lading or
air waybill.
27.
To be completed by the customs office of introduction into the Union or that of (re-)export as appropriate. In
the case of introduction, the original (form 1) must be returned to the management authority of the Member
State concerned and the copy for the holder (form 2) to the importer In the case of (re-)export, the copy for
return by customs to the issuing authority (form 3) must be returned to the management authority of the
Member State concerned and the original (form 1) and the copy for the holder (form 2) to the (re-)exporter.

---

EN
7.9.2012 Official
Journal
of
the
European
Union L
242/19

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L 242/20
EN
Official Journal of the European Union
7.9.2012
Instructions and explanations
1.
Full name and address of the actual (re-)exporter, not of an agent. In the case of a personal ownership
certificate, the full name and address of the legal owner.
2.
The period of validity of an export permit or re-export certificate shall not exceed six months and of an
import permit 12 months. The period of validity of a personal ownership certificate shall not exceed three
years. After its last day of validity, this document is void and the original and all copies must be returned by
the holder to the issuing management authority without undue delay. An import permit is not valid where
the corresponding CITES document from the (re-)exporting country was used for (re-)export after its last day
of validity or if the date of introduction into the Union is more than six months from its date of issue.
3.
Full name and address of the actual importer, not of an agent. To be left blank in the case of a personal
ownership certificate.
5.
To be left blank in the case of a personal ownership certificate.
6. For
live
specimens
of
Annex
A
species
other
than
captive
bred
or
artificially
propagated
specimens,
the
issuing authority may prescribe the location at which they are to be kept by including details thereof in this
box. Any movement, except for urgent veterinary treatment and provided the specimens are returned directly
to their authorised location, then requires prior authorisation from the competent management authority.
8.
Description must be as precise as possible and include a three-letter code in accordance with Annex VII to
Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regu
lation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
9/10.
Use the units of quantity and/or net mass in accordance with those contained in Annex VII to Regulation (EC)
No 865/2006.
11.
Enter the number of the CITES Appendix (I, II or III) in which the species is listed at the date of issue of the
permit/certificate.
12.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the
date of issue of the permit/certificate.
13. Use
one
of
the
following
codes
to
indicate
the
source:
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild,
where they would otherwise have had a very low probability of surviving to adulthood
D Annex A animals bred in captivity for commercial purposes in operations included in the Register of the
CITES Secretariat, in accordance with Resolution Conf. 12.10 (Rev. CoP15), and Annex A plants
artificially propagated for commercial purposes in accordance with Chapter XIII of Regulation (EC)
No 865/2006, as well as parts and derivatives thereof
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants
artificially propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
F Animals born in captivity, but for which the criteria of Chapter XIII of Regulation (EC) No 865/2006 are
not met, as well as parts and derivatives thereof
I Confiscated
or
seized
specimens
( 1 )
O Pre-convention
( 1 )
U Source
unknown
(must
be
justified)
( 1 ) To be used only in conjunction with another source code.

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/21
14.
Use one of the following codes to indicate the purpose for which the specimens are to be (re-)exported/
imported:
B Breeding
in
captivity
or
artificial
propagation
E Educational
G Botanical
gardens
H Hunting trophies
L Law
enforcement/judicial/forensic
M Medical (including bio-medical research)
N Reintroduction
or
introduction
into the
wild
P Personal
Q Circuses and travelling exhibitions
S Scientific
T Commercial
Z Zoos
15 to 17. The country of origin is the country where the specimens were taken from the wild, born and bred in
captivity or artificially propagated. Where this is a third country, boxes 16 and 17 must contain details of the
relevant permit. Where specimens originating in a Member State of the Union are exported from another,
only the name of the Member State of origin must be mentioned in box 15.
18 to 20. The country of last re-export is, in the case of a re-export certificate, the re-exporting third country from
which the specimens were imported before being re-exported from the Union. In the case of an import
permit, it is the re-exporting third country from which the specimens are to be imported. Boxes 19 and 20
must contain details of the relevant re-export certificate.
21.
The scientific name must be in accordance with the standard references for nomenclature referred to in
Annex VIII to Regulation (EC) No 865/2006.
23 to 25. For official use only.
26.
The importer/(re)exporter or his agent must, where appropriate, indicate the number of the bill of lading or
air waybill.
27.
To be completed by the customs office of introduction into the Union or that of (re-)export as appropriate. In
the case of introduction, the original (form 1) must be returned to the management authority of the Member
State concerned and the copy for the holder (form 2) to the importer In the case of (re-)export, the copy for
return by customs to the issuing authority (form 3) must be returned to the management authority of the
Member State concerned and the original (form 1) and the copy for the holder (form 2) to the (re-)exporter.

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L 242/22
EN
Official Journal of the European Union
7.9.2012

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/23
Instructions and explanations
1.
Full name and address of the actual (re-)exporter, not of an agent. In the case of a personal ownership
certificate, the full name and address of the legal owner.
2.
The period of validity of an export permit or re-export certificate shall not exceed six months and of an
import permit 12 months. The period of validity of a personal ownership certificate shall not exceed three
years. After its last day of validity, this document is void and the original and all copies must be returned by
the holder to the issuing management authority without undue delay. An import permit is not valid where
the corresponding CITES document from the (re-)exporting country was used for (re-)export after its last day
of validity or if the date of introduction into the Union is more than six months from its date of issue.
3.
Full name and address of the actual importer, not of an agent. To be left blank in the case of a personal
ownership certificate.
5.
To be left blank in the case of a personal ownership certificate.
6. For
live
specimens
of
Annex
A
species
other
than
captive
bred
or
artificially
propagated
specimens,
the
issuing authority may prescribe the location at which they are to be kept by including details thereof in this
box. Any movement, except for urgent veterinary treatment and provided the specimens are returned directly
to their authorised location, then requires prior authorisation from the competent management authority.
8.
Description must be as precise as possible and include a three-letter code in accordance with Annex VII to
Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regu
lation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
9/10.
Use the units of quantity and/or net mass in accordance with those contained in Annex VII to Regulation (EC)
No 865/2006.
11.
Enter the number of the CITES Appendix (I, II or III) in which the species is listed at the date of issue of the
permit/certificate.
12.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the
date of issue of the permit/certificate.
13. Use
one
of
the
following
codes
to
indicate
the
source:
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild,
where they would otherwise have had a very low probability of surviving to adulthood
D Annex A animals bred in captivity for commercial purposes in operations included in the Register of the
CITES Secretariat, in accordance with Resolution Conf. 12.10 (Rev. CoP15), and Annex A plants
artificially propagated for commercial purposes in accordance with Chapter XIII of Regulation (EC)
No 865/2006, as well as parts and derivatives thereof
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants
artificially propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
F Animals born in captivity, but for which the criteria of Chapter XIII of Regulation (EC) No 865/2006 are
not met, as well as parts and derivatives thereof
I Confiscated
or
seized
specimens
( 1 )
O Pre-convention
( 1 )
U Source
unknown
(must
be
justified)
( 1 ) To be used only in conjunction with another source code.

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L 242/24
EN
Official Journal of the European Union
7.9.2012
14.
Use one of the following codes to indicate the purpose for which the specimens are to be (re-)exported/
imported:
B Breeding
in
captivity
or
artificial
propagation
E Educational
G Botanical
gardens
H Hunting trophies
L Law
enforcement/judicial/forensic
M Medical (including bio-medical research)
N Reintroduction
or
introduction
into the
wild
P Personal
Q Circuses and travelling exhibitions
S Scientific
T Commercial
Z Zoos
15 to 17. The country of origin is the country where the specimens were taken from the wild, born and bred in
captivity or artificially propagated. Where this is a third country, boxes 16 and 17 must contain details of the
relevant permit. Where specimens originating in a Member State of the Union are exported from another,
only the name of the Member State of origin must be mentioned in box 15.
18 to 20. The country of last re-export is, in the case of a re-export certificate, the re-exporting third country from
which the specimens were imported before being re-exported from the Union. In the case of an import
permit, it is the re-exporting third country from which the specimens are to be imported. Boxes 19 and 20
must contain details of the relevant re-export certificate.
21.
The scientific name must be in accordance with the standard references for nomenclature referred to in
Annex VIII to Regulation (EC) No 865/2006.
23 to 25. For official use only.
26.
The importer/(re)exporter or his agent must, where appropriate, indicate the number of the bill of lading or
air waybill.
27.
To be completed by the customs office of introduction into the Union or that of (re-)export as appropriate. In
the case of introduction, the original (form 1) must be returned to the management authority of the Member
State concerned and the copy for the holder (form 2) to the importer In the case of (re-)export, the copy for
return by customs to the issuing authority (form 3) must be returned to the management authority of the
Member State concerned and the original (form 1) and the copy for the holder (form 2) to the (re-)exporter.

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/25

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L 242/26
EN
Official Journal of the European Union
7.9.2012

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/27
Instructions and explanations
1.
Full name and address of the actual (re-)exporter, not of an agent. In the case of a personal ownership
certificate, the full name and address of the legal owner.
2. Not
applicable.
3.
Full name and address of the actual importer, not of an agent. To be left blank in the case of a personal
ownership certificate.
5.
To be left blank in the case of a personal ownership certificate.
6.
To be completed only on the application form in the case of live specimens of Annex A species other than
captive bred or artificially propagated specimens.
8.
Description must be as precise as possible and include a 3-letter code in accordance with Annex VII to
Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regu
lation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
9/10.
Use the units of quantity and/or net mass in accordance with those contained in Annex VII to Regulation (EC)
No 865/2006.
11.
Enter the number of the CITES Appendix (I, II or III) in which the species is listed at the date of application
for the permit/certificate.
12.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the
date of application.
13. Use
one
of
the
following
codes
to
indicate
the
source:
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild,
where they would otherwise have had a very low probability of surviving to adulthood
D Annex A animals bred in captivity for commercial purposes in operations included in the Register of the
CITES Secretariat, in accordance with Resolution Conf. 12.10 (Rev. CoP15), and Annex A plants
artificially propagated for commercial purposes in accordance with Chapter XIII of Regulation (EC)
No 865/2006, as well as parts and derivatives thereof
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants
artificially propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
F Animals born in captivity, but for which the criteria of Chapter XIII of Regulation (EC) No 865/2006 are
not met, as well as parts and derivatives thereof
I Confiscated
or
seized
specimens
( 1 )
O Pre-convention
( 1 )
U Source
unknown
(must
be
justified)
14.
Use one of the following codes to indicate the purpose for which the specimens are to be (re-)exported/
imported:
B Breeding
in
captivity
or
artificial
propagation
E Educational
G Botanical
gardens
( 1 ) To be used only in conjunction with another source code.

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L 242/28
EN
Official Journal of the European Union
7.9.2012
H Hunting trophies
L Law
enforcement/judicial/forensic
M Medical (including bio-medical research)
N Reintroduction
or
introduction
into the
wild
P Personal
Q Circuses and travelling exhibitions
S Scientific
T Commercial
Z Zoos
15 to 17. The country of origin is the country where the specimens were taken form the wild, born and bred in
captivity or artificially propagated. Where this is a third country, boxes 16 and 17 must contain details of the
relevant permit. Where specimens originating in a Member State of the Union are exported from another,
only the name of the Member State of origin must be mentioned in box 15.
18 to 20. The country of last re-export is, in the case of a re-export certificate, the re-exporting third country from
which the specimens were imported before being re-exported from the Union. In the case of an import
permit, it is the re-exporting third country from which the specimens are to be imported. Boxes 19 and 20
must contain details of the relevant re-export certificate.
21.
The scientific name must be in accordance with the standard references for nomenclature referred to in
Annex VIII to Regulation (EC) No 865/2006.
23. Provide
as
many
details
as
possible
and
justify
any
omissions
to
the
information
required
above.

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/29
ANNEX II

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L 242/30
EN
Official Journal of the European Union
7.9.2012
Instructions and explanations
1. Enter full name and address of importer or authorised representative.
4. The country of origin is the country where the specimens were taken from the wild, born and bred in captivity or
artificially propagated.
5. Only applies where the country from which the specimens are imported is not the country of origin.
6. Description must be as precise as possible.
9. The scientific name must be the name used in Annexes C or D to Regulation (EC) No 338/97.
10. Enter III for species listed in Appendix III to CITES.
12. Enter the letters (C or D) of the Annex to Regulation (EC) No 338/97 in which the species is listed.
13. The importer has to submit the signed original (form 1) and ‘copy for the importer’ (form 2), where appropriate
together with CITES Appendix III documents from the (re-)exporting country to the customs office of introduction
into the Union.
14. The customs office shall send the stamped original (form 1) to the management authority of his country and return
the stamped ‘copy for the importer’ (form 2) to the importer or his authorised representative.

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/31

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L 242/32
EN
Official Journal of the European Union
7.9.2012
Instructions and explanations
1. Enter full name and address of importer or authorised representative.
4. The country of origin is the country where the specimens were taken from the wild, born and bred in captivity or
artificially propagated.
5. Only applies where the country from which the specimens are imported is not the country of origin.
6. Description must be as precise as possible.
9. The scientific name must be the name used in Annexes C or D to Regulation (EC) No 338/97.
10. Enter III for species listed in Appendix III to CITES.
12. Enter the letters (C or D) of the Annex to Regulation (EC) No 338/97 in which the species is listed.
13. The importer has to submit the signed original (form 1) and ‘copy for the importer’ (form 2), where appropriate
together with CITES Appendix III documents from the (re-)exporting country to the customs office of introduction
into the Union.
14. The customs office shall send the stamped original (form 1) to the management authority of his country and return
the stamped ‘copy for the importer’ (form 2) to the importer or his authorised representative.

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/33
ANNEX III

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L 242/34
EN
Official Journal of the European Union
7.9.2012
Instructions and explanations
1.
A unique number should be generated by the issuing management authority for the certificate.
2.
The date of expiry of the document may not be more than three years after the date of issuance. Where the
travelling exhibition originates from a third country the expiry date shall be no later than that indicated on the
equivalent certificate from that country.
3.
Complete the full name, permanent address and country of the owner of the specimen covered by the certificate.
Absence of the signature of the owner renders the certificate invalid.
4.
The name, address and country of the issuing management authority should already be pre-printed on the form.
5.
This block has been pre-printed to indicate the validity of the certificate for multiple cross-border movements of
the specimen with its exhibition for exhibition purposes only, allowing the specimens to be displayed to the
public in accordance with Article 8(3) of Regulation (EC) No 338/97 and to clarify that the certificate is not to be
collected but is to remain with the specimen/owner. This block also can be used to justify the omission of certain
information.
6.
This block has been pre-printed to indicate that cross-border movement is permitted to any country accepting
this certificate as a matter of national law.
7. This
block
has
been
pre-printed
with
the
code
Q
for
circuses
and
travelling
exhibitions.
8. Where
appropriate,
indicate
the
number
of
the
security
stamp
affixed
in
block
19.
9.
The scientific name must be in accordance with the standard references for nomenclature referred to in Annex
VIII to Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council
Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
10.
Describe, as precisely as possible, the specimen covered by the certificate, including identifying marks (tags, rings,
unique markings, etc.) sufficient to permit the authorities of the country into which the exhibition enters to verify
that the certificate corresponds to the specimen covered. The sex and age, at the time of the issuance of the
certificate, should be recorded, where possible.
11.
Indicate the total number of specimens. In the case of live animals it should normally be one. If more than one
specimen, state ‘see attached inventory’.
12.
Enter the number of the Appendix to the Convention (I, II or III) in which the species is listed at the time of
issuance of the certificate.
13.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the time
of issuance of the certificate.
14.
Use the codes below to indicate the source. This certificate may not be used for specimens with source code W,
R, F or U unless they were acquired in, or were introduced into, the Union before the provisions relating to
species listed in Appendices I, II or III to the Convention or Annex C to Regulation (EEC) No 3626/82 or
Annexes A, B and C to Regulation (EC) No 338/97 became applicable to them and the code O is also used.
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild, where
they would otherwise have had a very low probability of surviving to adulthood
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants artificially
propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as parts
and derivatives thereof
F Animals
born
in
captivity,
but
for
which
the
criteria
of
Chapter
XIII
of
Regulation
(EC)
No
865/2006
are
not met, as well as parts and derivatives thereof

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/35
U Source
unknown
(must
be
justified)
O Pre-Convention
(may
be
used
in
conjunction
with
any
other
code).
15/16. The country of origin is the country where the specimens were taken from the wild, born and bred in captivity
or artificially propagated. Where this is a third country, box 16 must contain details of the relevant permit.
Where specimens originating in a Member State of the Union are exported from another, only the name of the
Member State of origin must be mentioned in box 15.
17. This
block
must
contain
the
exhibition
registration
number.
18.
Enter the date of acquisition only for specimens which were acquired in or were introduced into, the Union
before the provisions relating to species listed in Appendices I, II or III to the Convention or Annex C to
Regulation (EEC) No 3626/82 or Annexes A, B and C to Regulation (EC) No 338/97 applied to them.
19.
To be completed by the official who issues the certificate. A certificate may only be issued by the management
authority of the country where an exhibition is based and only when the owner of the exhibition has registered
full details of the specimen with that management authority. In the case of an exhibition originating in a third
country, a certificate may only be issued by the management authority of the country of first destination. The
name of the issuing official must be written in full. The seal, signature and, where appropriate, security stamp
number, should be clearly legible.
20. This
block
may
be
used
to
refer
to
national
legislation
or
additional
special
conditions
placed
on
the
cross-border
movement by the issuing management authority.
21.
This block has been pre-printed to refer to the attached continuation sheet, which should indicate all cross-border
movements.
Subject to point 5, upon expiration, this document must be returned to the issuing management authority.
The holder or his authorised representative shall surrender the original of this certificate (form 1) — and, where
applicable, the travelling exhibition certificate issued by a third country — for verification purposes and submit the
accompanying continuation sheet or (where the certificate is issued on the basis of an equivalent certificate from a third
country) the two continuation sheets and copies thereof to a customs office designated in accordance with Article 12(1)
of Regulation (EC) No 338/97. The customs office shall, after completing the continuation sheet or sheets, return the
original of this certificate (form 1), the original certificate issued by a third country (where applicable) — and the
continuation sheet or sheets — to the holder or to his authorised representative and forward an endorsed copy of
the continuation sheet of the certificate issued by Member State’s management authority to the relevant management
authority in accordance with Article 45 of Regulation (EC) No 865/2006.

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L 242/36
EN
Official Journal of the European Union
7.9.2012

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/37

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L 242/38
EN
Official Journal of the European Union
7.9.2012
Instructions and explanations
3.
Complete the full name, permanent address and country of the owner of the specimen covered by the certificate
(not of an agent). Absence of the signature of the owner renders the certificate invalid.
8. Where
appropriate,
indicate
the
number
of
the
security
stamp
affixed
in
block
19.
9.
The scientific name must be in accordance with the standard references for nomenclature referred to in Annex
VIII to Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council
Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
10.
Describe, as precisely as possible, the specimen covered by the certificate, including identifying marks (tags, rings,
unique markings, etc.) sufficient to permit the authorities of the country into which the exhibition enters to verify
that the certificate corresponds to the specimen covered. The sex and age, at the time of the issuance of the
certificate, should be recorded, where possible.
11.
Indicate the total number of specimens. In the case of live animals it should normally be one. If more than one
specimen, state ‘see attached inventory’.
12.
Enter the number of the Appendix to the Convention (I, II or III) in which the species is listed at the time of
application.
13.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the time
of application.
14.
Use the codes below to indicate the source. This certificate may not be used for specimens with source code W,
R, F or U unless they were acquired in, or were introduced into, the Union before the provisions relating to
species listed in Appendices I, II or III to the Convention or Annex C to Regulation (EEC) No 3626/82 or
Annexes A, B and C to Regulation (EC) No 338/97 became applicable to them and the code O is also used.
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild, where
they would otherwise have had a very low probability of surviving to adulthood
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants artificially
propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as parts
and derivatives thereof
F Animals
born
in
captivity,
but
for
which
the
criteria
of
Chapter
XIII
of
Regulation
(EC)
No
865/2006
are
not met, as well as parts and derivatives thereof
U Source
unknown
(must
be
justified)
O Pre-Convention
(may
be
used
in
conjunction
with
any
other
code).
15/16. The country of origin is the country where the specimens were taken from the wild, born and bred in captivity,
or artificially propagated. Where this is a third country (i.e. a non-EU country), box 16 must contain details of
the relevant permit. Where specimens originating in a Member State of the Union are exported from another,
only the name of the Member State of origin must be mentioned in box 15.
17. This
block
must
contain
the
exhibition
registration
number.
18.
Enter the date of acquisition only for specimens which were acquired in, or were introduced into, the Union
before the provisions relating to species listed in Appendices I, II or III to the Convention or Annex C to
Regulation (EEC) No 3626/82 or Annexes A, B and C to Regulation (EC) No 338/97 applied to them.
19.
Provide as many details as possible and justify any omissions to the information required above.

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/39
ANNEX IV

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L 242/40
EN
Official Journal of the European Union
7.9.2012
ANNEX V

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/41
Instructions and explanations
1.
Full name and address of the holder of the certificate, not of an agent.
2.
Only to be completed in case the import permit for the specimens concerned prescribes the location at which
they are to be kept, or where specimens that were taken from the wild in a Member State shall be required to
be kept at an authorised address.
Any movement, except for urgent veterinary treatment and provided the specimens are returned directly to
their authorised location, from the location indicated shall then be subject to prior authorisation from the
competent management authority (see box 19).
4.
Description must be as precise as possible and include a three-letter code in accordance with Annex VII to
Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regu
lation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
5/6.
Use the units of quantity and/or net mass in accordance with those contained in Annex VII to Regulation (EC)
No 865/2006.
7.
Enter the number of the CITES Appendix (I, II or III) in which the species is listed at the date of issue of the
certificate.
8.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the
date of issue of the certificate.
9. Use
one
of
the
following
codes
to
indicate
the
source:
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild,
where they would otherwise have had a very low probability of surviving to adulthood
D Annex A animals bred in captivity for commercial purposes in operations included in the Register of the
CITES Secretariat, in accordance with Resolution Conf. 12.10 (Rev. CoP15), and Annex A plants
artificially propagated for commercial purposes in accordance with Chapter XIII of Regulation (EC)
No 865/2006, as well as parts and derivatives thereof
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants
artificially propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
F Animals born in captivity, but for which the criteria of Chapter XIII of Regulation (EC) No 865/2006 are
not met, as well as parts and derivatives thereof
I Confiscated
or
seized
specimens
( 1 )
O Pre-convention
( 1 )
U Source
unknown
(must
be
justified)
10 to 12. The country of origin is the country where the specimens were taken form the wild, born and bred in
captivity, or artificially propagated.
13 to 15. The Member State of import is, where applicable, the Member State having issued the import permit for the
specimens concerned.
16.
The scientific name must be in accordance with the standard references for nomenclature referred to in
Annex VIII to Regulation (EC) No 865/2006.
( 1 ) To be used only in conjunction with another source code.

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L 242/42
EN
Official Journal of the European Union
7.9.2012

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EN
7.9.2012 Official
Journal
of
the
European
Union L
242/43

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L 242/44
EN
Official Journal of the European Union
7.9.2012
Instructions and explanations
1. Full
name
and
address
of
the
applicant
for
the
certificate,
not
of
an
agent.
2.
To be completed only on the application form in the case of live specimens of Annex A species other than
captive bred or artificially propagated specimens.
4.
Description must be as precise as possible and include a three-letter code in accordance with Annex VII to
Regulation (EC) No 865/2006 laying down detailed rules concerning the implementation of Council Regu
lation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein.
5/6.
Use the units of quantity and/or net mass in accordance with those contained in Annex VII to Regulation (EC)
No 865/2006.
7.
Enter the number of the CITES Appendix (I, II or III) in which the species is listed at the date of application.
8.
Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in which the species is listed at the
date application.
9. Use
one
of
the
following
codes
to
indicate
the
source:
W Specimens
taken
from
the
wild
R Specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild,
where they would otherwise have had a very low probability of surviving to adulthood
D Annex A animals bred in captivity for commercial purposes in operations included in the Register of the
CITES Secretariat, in accordance with Resolution Conf. 12.10 (Rev. CoP15), and Annex A plants
artificially propagated for commercial purposes in accordance with Chapter XIII of Regulation (EC)
No 865/2006, as well as parts and derivatives thereof
A Annex A plants artificially propagated for non-commercial purposes and Annexes B and C plants
artificially propagated in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
C Animals bred in captivity in accordance with Chapter XIII of Regulation (EC) No 865/2006, as well as
parts and derivatives thereof
F Animals born in captivity, but for which the criteria of Chapter XIII of Regulation (EC) No 865/2006 are
not met, as well as parts and derivatives thereof
I Confiscated
or
seized
specimens
( 1 )
O Pre-convention
( 1 )
U Source
unknown
(must
be
justified)
10 to 12. The country of origin is the country where the specimens were taken from the wild, born and bred in
captivity, or artificially propagated.
13 to 15. The Member State of import is, where applicable, the Member State having issued the import permit for the
specimens concerned.
16.
The scientific name must be in accordance with the standard references for nomenclature referred to in
Annex VIII to Regulation (EC) No 865/2006.
18. Provide
as
many
details
as
possible
and
justify
any
omissions
to
the
information
required
above.
( 1 ) To be used only in conjunction with another source code.

---

EN
7.9.2012 Official
Journal
of
the
European
Union L
242/45
ANNEX VI

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Document Outline

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