Commission Regulation (EC) No 865/2006 of  4 May 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
Date: 2006-05-04
Institutions: European Commission
Subjects: export licence, import licence, marketing, protected species, protection of animal life, protection of plant life, technical regulations

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I

(Acts whose publication is obligatory)

COMMISSION REGULATION (EC) No 865/2006

of 4 May 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

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Commu-
nity,

Having regard to Council Regulation (EC) No 338/97 of
9 December 1996 on the protection of species of wild fauna
and flora by regulating trade therein (1) and in particular
Article 19 (1), (2) and (4) thereof,

Whereas:

(1)

(2)

(3)

(4)

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 Endangered
Species of Wild Fauna and Flora (CITES), hereinafter ‘the
Convention’.

In order
to ensure the uniform implementation of
Regulation (EC) No 338/97, it is necessary to lay down
detailed conditions and criteria for the consideration of
permit and certificate applications and for the issue, validity
and use of such documents. It is therefore appropriate to lay
down models to which those documents must correspond.

It is further necessary to lay down detailed provisions
relating to the conditions and criteria for the treatment of
specimens of animal species that are born and bred in
captivity and of specimens of plant species that are
artificially propagated in order to ensure the common
implementation of
the derogations applicable to such
specimens.

The derogations for specimens that are personal and
household effects provided for in Article 7(3) of Regulation
(EC) No 338/97 require that provisions be specified to
ensure compliance with paragraph 3 of Article VII of the
Convention.

(5)

(6)

(7)

(8)

In order to ensure that general derogations from the
internal trade prohibitions contained in Article 8(1) of
it is
Regulation (EC) No 338/97 are uniformly applied,
necessary to lay down conditions and criteria with regard to
their definition.

It is necessary to establish procedures for the marking of
certain specimens of species in order to facilitate their
identification and ensure enforcement of the provisions of
Regulation (EC) No 338/97.

Provisions should be laid down regarding the contents,
form and submission of the periodic reports provided for in
Regulation (EC) No 338/97.

for

future amendments to the Annexes

In order
to
Regulation (EC) No 338/97 to be considered all relevant
information should be available, particularly on the
biological and trade status of species, their use and methods
of controlling trade.

(9) At the 12th session of the Conference of the Parties to
the Convention, held in Santiago (Chile)
from 3 to
15 November 2002, a number of Resolutions were adopted
concerning; inter alia; simplified procedures for the issue of
permits and certificates, a special certificate to facilitate the
movement of certain categories of specimens that are part
of a travelling exhibition, additional derogations regarding
personal
regarding the
labelling of containers of caviar, and other measures of a
routine and technical nature, including the alteration of the
codes used in permits and certificates and amendments to
the list of standard references used for determining the
names of
to the
Convention, and it is therefore necessary to take those
Resolutions into account.

effects, updated requirements

listed in the Appendices

species

(1) OJ L 61, 3.3.1997, p. 1. Regulation as last amended by Commission

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

(10)

In view of
the administrative burden entailed by the
regulation of the export and import of live captive born
and bred and personally owned animals and of personally

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owned animals introduced into the Community before
Regulation (EC) No 338/97, 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 (1) or national
legislation implementing the Convention became applic-
able, and of the fact that such exports and imports do not
pose an obstacle to the protection of species of fauna in the
wild, a special certificate should be created for those
purposes.

(11) Commission Regulation (EC) No 1808/2001 of 30 August
2001 laying down detailed rules concerning the imple-
mentation of Council Regulation (EC) No 338/97 on the
protection of species of wild fauna and flora by regulating
trade
substantially
amended. In view of the scope of those amendments and
in the interests of clarity, that Regulation should be replaced
in its entirety.

therefore needs

therein (2)

to be

(12) The measures provided for

in this Regulation are in
accordance with the opinion of the Committee on Trade in
Wild Fauna and Flora,

HAS ADOPTED THIS REGULATION:

CHAPTER I

DEFINITIONS

Article 1

Definitions

For the purposes of this Regulation, in addition to the definitions
laid down in Article 2 of Regulation (EC) No 338/97, the
following definitions shall apply:

(1)

(2)

‘date of acquisition’ means the date on which a specimen
was taken from the wild, born in captivity or artificially
propagated;

‘second-generation offspring (F2)’ and ‘subsequent genera-
tion offspring (F3, F4, and so on)’ means specimens
produced in a controlled environment from parents that
were also produced in a controlled environment, as distinct
from specimens produced in a controlled environment
from parents at least one of which was conceived in or
taken from the wild (first-generation offspring (F1));

(3)

‘breeding stock’ means all
operation that are used for reproduction;

the animals in a breeding

(4)

(5)

(6)

(7)

‘controlled environment’ means an environment that is
manipulated for the purpose of producing animals of a
particular species, that has boundaries designed to prevent
animals, eggs or gametes of the species from entering or
leaving, and the general characteristics of which may
include but are not limited to artificial housing, waste
removal, health care, protection from predators and the
artificial supply of food;

‘a person normally residing in the Community’ means a
person who lives in the Community for at least 185 days in
each calendar year because of occupational ties, or, in the
case of a person with no occupational ties, because of
personal ties which show close links between that person
and the place where he is living;

‘travelling exhibition’ means a sample collection, travelling
is used for
circus, menagerie, or plant exhibition that
commercial display for the public;

‘transaction-specific certificates’ means certificates issued in
accordance with Article 48 that are valid for specified
transactions only within the territory of the issuing Member
State;

(8)

‘specimen-specific certificates’ means certificates issued in
accordance with Article 48, other than transaction-specific
certificates.

CHAPTER II

FORMS AND TECHNICAL REQUIREMENTS

Article 2

Forms

1. The forms on which import permits, export permits, re-
export certificates, personal ownership certificates and applica-
tions for such documents are drawn up shall conform, except as
regards spaces reserved for national use, to the model set out in
Annex I.

2. The forms on which import notifications are drawn up shall
conform, except as regards spaces reserved for national use, to
the model set out in Annex II. They may contain a serial number.

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
set out in Annex III.

(1) OJ L 384, 31.12.1982, p. 1. Regulation as last amended by
Commission Regulation (EC) No 2727/95 (OJ L 284, 28.11.1995,
p. 3).

(2) OJ L 250, 19.9.2001, p. 1.

4. The forms on which continuation sheets for personal
ownership certificates and for travelling exhibition certificates are
drawn up shall conform to the model set out in Annex IV.

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5. The forms on which the certificates provided for in Articles 5
(2)(b), 5(3), 5(4), 8(3) and 9(2)(b) of Regulation (EC) No 338/97
and applications for such certificates are drawn up shall conform,
except as regards spaces reserved for national use, to the model
set out in Annex V to this Regulation.

Member States may, however, provide that, instead of the pre-
printed text, boxes 18 and 19 are to contain only the relevant
certification and/or authorisation.

5. The colour of the paper used for the forms referred to in
Article 2(3) and 2(5) shall be as follows:

(a)

yellow for form 1, the original, with a guilloche pattern
background, printed in grey on the front, so as to reveal any
falsification by mechanical or chemical means;

(b)

pink for form 2, the copy for the issuing management
authority;

6. The form of
the labels referred to in Article 7(4) of
Regulation (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 and
labels referred to in Article 2(4) and 2(6) respectively shall be
white.

Technical specifications with regard to forms

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/m2.

2. The size of the forms referred to in Article 2(1) to (5) shall
be 210 x 297 mm (A4) with a maximum tolerance as to length
of 18 mm less and 8 mm more.

3. The colour of the paper used for the forms referred to in
Article 2(1) shall be as follows:

(a) white for form 1, the original, with a guilloche pattern
background, printed in grey on the front, so as to reveal any
falsification by mechanical or chemical means;

(b)

yellow for form 2, the copy for the holder;

(c)

pale green for form 3, the copy for the exporting or re-
exporting country in the case of an import permit, or the
copy for return by customs to the issuing management
authority in the case of an export permit or re-export
certificate;

(d)

pink for form 4, the copy for the issuing management
authority;

(e) white for form 5, the application.

4. The colour of the paper used for the forms referred to in
Article 2(2) shall be as follows:

(a) white for form 1, the original;

(b)

yellow for form 2, the copy for the importer.

7. The forms referred to in Article 2 shall be printed and
the official Community languages as
completed in one of
specified by the management authorities of each Member State.
their
They shall, where necessary, contain a translation of
contents in one of
the
Convention.

the official working languages of

8. Member States shall be responsible for the printing of the
forms referred to in Article 2, which, in the case of the forms
referred to in Article 2(1) to (5) may be part of a computerised
permit/certificate issuing process.

Article 4

Completion of forms

1.

Forms shall be completed in typescript.

However, applications for import and export permits, for re-
export certificates, for the certificates provided for in Articles 5
(2)(b), 5(3), 5(4), 8(3) and 9(2)(b) of Regulation (EC) No 338/97,
for personal ownership certificates and for travelling exhibition
certificates, as well as import notifications, continuation sheets
and labels, may be completed in manuscript, provided that this is
done legibly, in ink and in block capitals.

2.
Forms 1 to 4 of Annex I, forms 1 and 2 of Annex II, forms 1
and 2 of Annex III, forms 1 and 2 of Annex V, the continuation
sheets referred to in Article 2(4) and the labels referred to in
Article 2(6) may not contain any erasures or alterations, unless
those erasures or alterations have been authenticated by the
stamp and signature of the issuing management authority. In the
case of the import notifications as referred to in Article 2(2) and
the continuation sheets referred to in Article 2(4), erasures or
alterations may also be authenticated by the stamp and signature
of the customs office of introduction.

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Article 5

Contents of permits, certificates and applications for the
issue of such documents

Information and references in permits and certificates, as well as
in applications for the issue of such documents, shall comply
with the following requirements:

(1)

the description of specimens must, where it is provided for,
include one of the codes contained in Annex VII;

(2)

for the indication of units of quantity and net mass, those
contained in Annex VII must be used;

(3)

the taxa to which the specimens belong must be indicated
to species level except where the species is differentiated to
subspecies
to
Regulation (EC) No 338/97 or where the Conference of
the Parties to the Convention has decided that differentia-
tion to a higher taxonomic level is sufficient;

in accordance with the Annexes

level

(4)

the standard references for nomenclature contained in
Annex VIII to this Regulation must be used to indicate the
scientific names of taxa;

(5) where required, the purpose of a transaction must be
indicated using one of the codes contained in point 1 of
Annex IX to this Regulation;

(6)

the source of specimens must be indicated using one of the
codes contained in point 2 of Annex IX to this Regulation.

Where the use of the codes referred to in point (6) is subject to
compliance with the criteria laid down in Regulation (EC)
No 338/97 or in this Regulation, they must comply with those
criteria.

Article 6

Annexes to forms

of this Article, shall, for each species in the shipment, reproduce
boxes 8 to 22 of the form concerned as well as the spaces
for ‘quantity/net mass actually
contained in box 27 thereof
imported or (re-)exported’ and, where appropriate,
‘number of
animals dead on arrival’.

3. Where the forms referred to in Article 2(3) are used for
more than one species, an annex shall be attached which, in
addition to the information required under paragraph 1 of this
Article, shall, for each species, reproduce boxes 8 to 18 of the
form concerned.

4. Where the forms referred to in Article 2(5) are used for
more than one species, an annex shall be attached which, in
addition to the information required under paragraph 1 of this
Article, shall, for each species, reproduce boxes 4 to 18 of the
form concerned.

Article 7

Permits and certificates issued by third countries

1. Article 4(1) and (2), Article 5(3), (4) and (5) and Article 6
shall apply in the case of decisions on the acceptability of permits
and certificates issued by third countries for specimens to be
introduced into the Community.

2. Where the permits and certificates referred to in paragraph 1
concern specimens of species that are subject to voluntarily fixed
export quotas or export quotas allocated by the Conference of
the Parties to the Convention, they shall be accepted only if they
specify the total number of specimens already exported in the
current year, including those covered by the permit in question,
and the quota for the species concerned.

3. Re-export certificates issued by third countries shall be
accepted only if they specify the country of origin and the
number and date of issue of the relevant export permit and,
where applicable, the country of last re-export and the number
and date of issue of the relevant re-export certificate, or if they
contain a satisfactory justification for the omission of such
information.

If an annex attached to any of the forms referred to in
1.
Article 2 is an integral part of that form, that fact and the
number of pages shall be clearly indicated on the permit or
certificate concerned and each page of the annex shall include
the following:

CHAPTER III

ISSUE, USE AND VALIDITY OF DOCUMENTS

(a)

the number of the permit or certificate and its date of issue;

Article 8

(b)

the signature and the stamp or seal of the management
authority which issued the permit or certificate.

Issue and use of documents

2. Where the forms referred to in Article 2(1) are used for
more than one species in a shipment, an annex shall be attached
which, in addition to the information required under paragraph 1

1. Documents shall be issued and used in accordance with the
provisions and under the conditions laid down in this Regulation
and in Regulation (EC) No 338/97, and in particular in Article 11
(1) to (4) of the latter Regulation.

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In order to ensure compliance with those Regulations and with
the provisions of national law adopted for their implementation,
the issuing management authority may impose stipulations,
conditions and requirements, which shall be set out in the
documents concerned.

5. Travelling exhibition certificates or personal ownership
certificates shall cease to be valid if the specimen is sold, lost,
destroyed or stolen, or if ownership of the specimen is otherwise
transferred, or, in the case of a live specimen, if it has died,
escaped or been released to the wild.

2. The use of documents shall be without prejudice to any
other formalities relating to the movement of goods within the
Community, to the introduction of goods into the Community
or to their export or re-export therefrom, or to the issue of the
documents used for such formalities.

6. The holder shall, without undue delay, return to the issuing
management authority the original and all copies of any import
permit, export permit, re-export certificate, travelling exhibition
certificate or personal ownership certificate which has expired or
which is unused or no longer valid.

3. Management authorities shall decide on the issue of permits
and certificates within one month of the date of submission of a
complete application.

Article 11

However, where the issuing management authority consults third
parties, such a decision may be taken only after the satisfactory
completion of such consultation. Applicants shall be notified of
significant delays in processing their applications.

Article 9

Shipments of specimens

A separate import permit, import notification, export permit or
re-export certificate shall be issued for each shipment of
specimens shipped together as part of one load.

Validity of used import permits and of the certificates
referred to in Articles 47, 48, 49, 60 and 63

1. Copies for the holder of used import permits shall cease to
be valid in the following cases:

(a) where live specimens referred to therein have died;

(b) where live animals referred to therein have escaped or have

been released to the wild;

(c) where specimens referred to therein have been destroyed;

(d) where any of the entries in boxes 3, 6 or 8 no longer

reflects the actual situation.

Article 10

2. The certificates referred to in Articles 47, 48, 49 and 63 shall
cease to be valid in the following cases:

Validity of import and export permits, re-export
certificates, travelling exhibition certificates, and personal
ownership certificates

(a) where live specimens referred to therein have died;

1. The period of validity of
issued in
accordance with Articles 20 and 21 shall not exceed 12 months.
An import permit shall, however, not be valid in the absence of a
valid corresponding document from the country of export or re-
export.

import permits

2. The period of validity of export permits and re-export
certificates issued in accordance with Article 26 shall not exceed
six months.

3. The period of validity of the travelling exhibition certificates
and personal ownership certificates issued in accordance with in
Articles 30 and 37 respectively shall not exceed three years.

4. After their expiry, the permits and certificates referred to in
paragraphs 1, 2 and 3 shall be considered as void.

(b) where live animals referred to therein have escaped or have

been released to the wild;

(c) where specimens referred to therein have been destroyed;

(d) where any of the entries in boxes 2 and 4 no longer reflects

the actual situation.

3. Certificates issued in accordance with Articles 48 and 63
shall be transaction-specific unless the specimens covered by
such certificates are uniquely and permanently marked.

The management authority of the Member State in which the
specimen is located may also, in consultation with the relevant
scientific authority, decide to issue transaction‑specific certifi-
cates where it is considered that there are other factors relating to
the conservation of the species that militate against the issuance
of a specimen-specific certificate.

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4. The certificates referred to in Article 48(1)(d) and Article 60
shall cease to be valid where the entry in box 1 no longer reflects
the actual situation.

Such documents shall, without undue delay, be returned to the
issuing management authority which, where appropriate, may
issue a certificate reflecting the required changes in accordance
with Article 51.

However, certificates of origin for specimens of species listed in
Annex C to Regulation (EC) No 338/97 may be used for the
introduction of specimens into the Community until 12 months
from their date of issue and travelling exhibition certificates and
personal ownership certificates may be used for the introduction
of specimens into the Community and for the purpose of
applying for respective certificates in accordance with Articles 30
and 37 of this Regulation until three years from their date of
issue.

Article 12

Article 15

Documents cancelled, lost, stolen, destroyed or expired

Retrospective issue of certain documents

1. Where a permit or certificate is issued to replace a document
that has been cancelled, lost, stolen or destroyed, or that, in the
case of a permit or re-export certificate, has expired, the number
of the replaced document and the reason for the replacement
shall be indicated in the box for ‘special conditions’.

2. Where an export permit or re-export certificate has been
cancelled,
lost, stolen or destroyed, the issuing management
authority shall inform the management authority of the country
of destination and the Secretariat of the Convention thereof.

Article 13

Time of application for import and (re)-export documents
and assignation to a customs procedure

1.
Import permits, export permits and re-export certificates
shall, taking account of Article 8(3), be applied for in sufficient
time to allow their issue prior to the introduction of specimens
into or their export or re-export from the Community.

2. The assignation of specimens to a customs procedure shall
not be authorised until after presentation of
the requisite
documents.

1. By way of derogation from Article 13(1) and Article 14 of
this Regulation, and provided that the importer or (re-)exporter
informs the competent management authority on arrival or
before departure of the shipment of the reasons why the required
documents are not available, documents for specimens of species
listed in Annex B or C to Regulation (EC) No 338/97, as well as
for specimens of species listed in Annex A to that Regulation and
referred to in Article 4(5) thereof, may exceptionally be issued
retrospectively.

2. The derogation provided for in paragraph 1 shall apply
where the competent management authority of the Member
State, in consultation with the competent authorities of a third
country where appropriate,
is satisfied that any irregularities
which have occurred are not attributable to the importer or the
(re-)exporter, and that the import or (re-)export of the specimens
concerned is otherwise in compliance with Regulation (EC)
No 338/97, the Convention and the relevant legislation of the
third country.

3. Documents issued pursuant to paragraph 1 shall clearly
indicate that
they have been issued retrospectively and the
reasons for such issue.

In the case of Community import permits, Community export
permits and Community re-export certificates, that information
shall be indicated in box 23.

4. The Secretariat of the Convention shall be notified of export
permits and re-export certificates issued in accordance with
paragraphs 1, 2 and 3.

Article 14

Validity of documents from third countries

Article 16

specimens

the introduction of

into the
In the case of
Community, the requisite documents from third countries shall
be considered valid only where they have been issued for export
or re-export from that country and used for that purpose prior
to their last day of validity and are used for introduction of
specimens into the Community no later than six months from
their date of issue.

Specimens in transit through the Community

Articles 14 and 15 of this Regulation shall apply mutatis mutandis
to specimens of species listed in Annexes A and B to Regulation
(EC) No 338/97 which are in transit through the Community
where that transit is otherwise in accordance with the latter
Regulation.

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Article 17

Phytosanitary certificates

(c) Member States must authorise registered persons or bodies
to enter specific information on the face of the permit or
certificate where the management authority of the relevant
Member State has included the following items in box 23,
or in an equivalent place, or in an annex to the permit or
certificate:

1.
In the case of artificially propagated plants of the species
listed in Annexes B and C to Regulation (EC) No 338/97 and of
artificially propagated hybrids produced from the unannotated
species listed in Annex A thereto, the following shall apply:

(i)

a list of the boxes that registered persons or bodies are
authorised to complete for each shipment;

(a) Member States may decide that a phytosanitary certificate is

to be issued instead of an export permit;

(ii)

a place for the signature of the person who completed
the document.

(b)

phytosanitary certificates issued by third countries shall be
accepted instead of an export permit.

If the list referred to in point (c)(i) includes scientific names,
the management authority shall include an inventory of
approved species on the face of the permit or certificate or
in an annex thereto.

a phytosanitary certificate

2. Where
referred to in
paragraph 1 is issued, it shall include the scientific name at the
species level or, if this is impossible for those taxa included by
family in the Annexes to Regulation (EC) No 338/97, at the
generic level.

as

listed in
However, artificially propagated orchids and cacti
Annex B to Regulation (EC) No 338/97 may be referred to as
such.

Persons and bodies may be entered in the register for a
2.
particular species only after a competent scientific authority has
advised in accordance with Articles 4(1)(a), 4(2)(a), 5(2)(a) and 5
(4) of Regulation (EC) No 338/97 that multiple transactions
involving the biological samples listed in Annex XI to this
Regulation will not have a harmful effect on the conservation
status of the species in question.

Phytosanitary certificates shall also include the type and quantity
of specimens and bear a stamp, seal or other specific indication
stating that ‘the specimens are artificially propagated as defined
by CITES’.

3. The container in which biological samples referred to in
paragraph 1 are shipped shall bear a label that specifies ‘Muestras
biológicas CITES’, or ‘CITES Biological Samples’, or ‘Échantillons
biologiques CITES’, as well as the number of the document issued
in accordance with the Convention.

Article 18

Article 19

Simplified procedures with regard to certain trade in
biological samples

Simplified procedures with regard to export or re-export of
dead specimens

In the case of

trade that will have no impact on the
1.
conservation of
the species concerned or only a negligible
impact, simplified procedures on the basis of pre‑issued permits
and certificates may be used for biological samples of the type
and size specified in Annex XI, where those samples are urgently
required to be used in the manner specified in that Annex and
provided that the following conditions are satisfied:

In the case of the export or re-export of dead specimens of
1.
species,
listed in
including any parts or derivatives thereof,
Annexes B and C to Regulation (EC) No 338/97, Member States
may provide for the use of simplified procedures on the basis of
pre-issued export permits or re-export certificates, provided that
the following conditions are satisfied:

(a)

each Member State must establish and maintain a register of
the persons and bodies that may benefit from simplified
procedures, hereinafter ‘registered persons and bodies’, as
well as of the species that they may trade under such
procedures, and must ensure that the register is reviewed by
the management authority every five years;

(a)

(b)

(b) Member States must provide registered persons and bodies

with partially completed permits and certificates;

a competent scientific authority must advise that such
export or re-export will have no detrimental impact on the
conservation of the species concerned;

each Member State must establish and maintain a register of
the persons and bodies that may benefit from simplified
procedures, hereinafter ‘registered persons and bodies’, as
well as of the species that they may trade under such
procedures, and must ensure that the register is reviewed by
the management authority every five years;

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(c) Member States must provide registered persons and bodies
with partially completed export permits and re-export
certificates;

For import permits concerning the specimens referred to in
4.
Article 64(1)(a) to (f), the applicant shall satisfy the management
authority that the marking requirements laid down in Article 66
have been fulfilled.

(d) Member States must authorise registered persons or bodies
to enter specific information in boxes 3, 5, 8 and 9 or 10 of
the permit or certificate provided that they comply with the
following requirements:

(i)

they sign the completed permit or certificate in box
23;

(ii)

they immediately send a copy of
certificate to the issuing management authority;

the permit or

(iii)

they maintain a record which they produce to the
competent management authority on request and
which contains details of the specimens sold, includ-
ing the species name, the type of specimen, the source
of the specimen, the dates of sale and the names and
addresses of the persons to whom they were sold.

2. The export or re-export referred to in paragraph 1 shall
otherwise be in accordance with Article 5(4) and (5) of
Regulation (EC) No 338/97.

CHAPTER IV

IMPORT PERMITS

Article 20

Applications

1. The applicant for an import permit shall, where appropriate,
complete boxes 1, 3 to 6 and 8 to 23 of the application form and
boxes 1, 3, 4, 5 and 8 to 22 of the original and all copies.
Member States may, however, provide that only an application
form is to be completed, in which case such an application may
relate to more than one shipment.

2. The duly completed form shall be submitted to the
management authority of the Member State of destination and
shall contain the information and be accompanied by the
documentary evidence that the authority deems necessary in
order to enable it to determine whether, on the basis of Article 4
of Regulation (EC) No 338/97, a permit should be issued.

Article 21

Import permits issued for specimens of species included in
Appendix I to the Convention and listed in Annex A to
Regulation (EC) No 338/97

In the case of an import permit issued for specimens of species
included in Appendix I to the Convention and listed in Annex A
to Regulation (EC) No 338/97, the copy for the exporting or re-
exporting country may be returned to the applicant
for
submission to the management authority of the country of
export or re-export, for the purposes of the issue of an export
import
permit or re-export certificate. The original of
permit shall,
that
Regulation, be withheld pending presentation of the correspond-
ing export permit or re-export certificate.

in accordance with Article 4(1)(b)(ii) of

that

Where the copy for the exporting or re-exporting country is not
returned to the applicant, the latter shall be given a written
statement that an import permit will be issued and on what
conditions.

Article 22

Documents to be surrendered by the importer to the
customs office

Without prejudice to Article 53, the importer or his authorised
representative shall surrender all the following documents to the
border customs office at the point of introduction into the
Community, designated in accordance with Article 12(1) of
Regulation (EC) No 338/97:

(1)

the original import permit (form 1);

(2)

the ‘copy for the holder’ (form 2);

(3) where specified in the import permit, any documentation

from the country of export or re-export.

Where appropriate, the importer or his authorised representative
shall indicate in box 26 the number of the bill of lading or air
waybill.

Article 23

The omission of
justified.

information from the application must be

Handling by the customs office

3. Where an application is made for an import permit relating
to specimens for which such an application has previously been
rejected, the applicant shall inform the management authority of
that fact.

The customs office referred to in Article 22, or, where applicable,
Article 53(1), shall, after completing box 27 of the original
import permit (form 1) and the ‘copy for the holder’ (form 2),
to his authorised
to the importer or
return the latter
representative.

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The original import permit (form 1) and any documentation
from the country of export or re‑export shall be forwarded in
accordance with Article 45.

CHAPTER V

IMPORT NOTIFICATIONS

Article 24

Documents to be surrendered by the importer to the
customs office

1. The importer or his authorised representative shall, where
appropriate, complete boxes 1 to 13 of the original
import
notification (form 1) and the ‘copy for the importer’ (form 2)
and, without prejudice to Article 25, surrender them together
with any documentation from the country of export or re-export
to the border customs office at the point of introduction into the
Community designated in accordance with Article 12(1) of
Regulation (EC) No 338/97.

2.
In the case of import notifications that relate to specimens
of species listed in Annex C to Regulation (EC) No 338/97,
customs offices may, where necessary, retain such specimens
the accompanying
pending verification of
documents
that
Regulation.

the validity of
referred to in Article 4(3)(a) and (b) of

Article 25

Handling by the customs office

The customs office referred to in Article 24, or, where applicable,
Article 53(1), shall, after completing box 14 of the original
import notification (form 1) and the ‘copy for the importer’
(form 2), return the latter to the importer or to his authorised
representative.

The original import notification (form 1) and any documenta-
tion from the country of export or re-export shall be forwarded
in accordance with Article 45.

CHAPTER VI

EXPORT PERMITS AND RE-EXPORT CERTIFICATES

Article 26

Applications

1. The applicant for an export permit or re-export certificate
shall, where appropriate, complete boxes 1, 3, 4, 5 and 8 to 23 of
the application form and boxes 1, 3, 4 and 5 and 8 to 22 of the
original and all copies. Member States may, however, provide
that only an application form is to be completed, in which case
such an application may relate to more than one shipment.

2. The duly completed form shall be submitted to the
management authority of the Member State in whose territory
the specimens are located and shall contain the information and
be accompanied by the documentary evidence that the authority
deems necessary to enable it to determine whether, on the basis
of Article 5 of Regulation (EC) No 338/97, a permit/certificate
should be issued.

The omission of
justified.

information from the application must be

3. When an application is made for an export permit or a re-
export certificate relating to specimens for which such an
application has previously been rejected, the applicant shall
inform the management authority of that fact.

For export permits and re-export certificates concerning
4.
specimens referred to in Article 65, the applicant shall satisfy the
management authority that the marking requirements laid down
in Article 66 have been fulfilled.

5. Where in support of an application for a re-export
certificate, a ‘copy for the holder’ of an import permit, or a
‘copy for the importer’ of an import notification, or a certificate
issued on the basis thereof is presented, such documents shall be
returned to the applicant only after amendment of the number of
specimens for which the document remains valid.

Such a document shall not be returned to the applicant if the re-
export certificate is granted for the total number of specimens
for which the document is valid, or where the document is
replaced in accordance with Article 51.

6. The management authority shall establish the validity of any
supporting documents, where necessary in consultation with a
management authority of another Member State.

Paragraphs 5 and 6 shall apply where a certificate is

7.
presented in support of an application for an export permit.

8. Where, under the supervision of a management authority of
a Member State, specimens have been individually marked so as
to allow an easy reference to the documents referred to in
paragraphs 5 and 7, those documents shall not be required to be
physically presented together with the application, provided that
their number is included in the application.

In the absence of the supporting evidence referred to in
9.
paragraphs 5 to 8, the management authority shall establish the
legal introduction into or acquisition in the Community of the
specimens to be (re-)exported, where necessary in consultation
with a management authority of another Member State.

for

10. Where,
the purposes of paragraphs 3 to 9, a
management authority consults a management authority of
another Member State, the latter shall respond within a period of
one week.

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Article 27

CHAPTER VII

Documents to be surrendered by the (re-)exporter to the
customs office

TRAVELLING EXHIBITION CERTIFICATES

The (re-)exporter or his authorised representative shall surrender
the original export permit or re-export certificate (form 1), the
copy for the holder (form 2) and the copy for return to the
issuing management authority (form 3) to a customs office
designated in accordance with Article 12(1) of Regulation (EC)
No 338/97.

Where appropriate, the (re-)exporter or his authorised represen-
tative shall indicate in box 26 the number of the bill of lading or
air waybill.

Article 28

Handling by the customs office

The customs office referred to in Article 27 shall, after
completing box 27, return the original export permit or re-
export certificate (form 1) and the copy for the holder (form 2)
to the (re‑)exporter or to his authorised representative.

The copy for return to the issuing management authority (form
3) of the export permit or re‑export certificate shall be forwarded
in accordance with Article 45.

Article 29

Pre-issued permits for nurseries

Where,
in compliance with the guidelines adopted by the
Conference of the Parties to the Convention, a Member State
registers nurseries which export artificially propagated specimens
of species included in Annex A to Regulation (EC) No 338/97, it
may make pre‑issued export permits for species listed in
Annexes A or B to that Regulation available to the nurseries
concerned.

Article 30

Issue

1. Member States may issue travelling exhibition certificates in
respect of
legally acquired specimens which form part of a
travelling exhibition and which meet either of the following
criteria:

(a)

(b)

they were born and bred in captivity in accordance with
Articles 54 and 55, or artificially propagated in accordance
with Article 56;

they were acquired in, or introduced into, the Community
before the provisions relating to species listed in Appen-
dices I, II or III to the Convention, or in Annex C to
Regulation (EEC) No 3626/82, or in Annexes A, B and C to
Regulation (EC) No 338/97 became applicable to them.

In the case of live animals, a travelling exhibition certificate

2.
shall cover only one specimen.

3. A continuation sheet shall be attached to the travelling
exhibition certificate, for use in accordance with Article 35.

4.
the
In the case of specimens other than live animals,
management authority shall attach to the travelling exhibition
certificate an inventory sheet displaying,
in respect of each
specimen, all the information required by boxes 8 to 18 of the
model form set out in Annex III.

Article 31

Use

A travelling exhibition certificate may be used as follows:

(1)

as an import permit,
Regulation (EC) No 338/97;

in accordance with Article 4 of

In box 23 of those pre-issued export permits, the registration
number of the nursery shall be indicated, as well as the following
statement:

(2)

as an export permit or re-export certificate, in accordance
with Article 5 of Regulation (EC) No 338/97;

‘Permit valid only for artificially propagated plants as defined by
CITES Resolution Conf. 11.11 (Rev. CoP13). Valid only for the
following taxa: …’.

(3)

as a certificate,
Regulation (EC) No 338/97,
allowing the specimens to be displayed to the public.

in accordance with Article 8(3) of
the sole purpose of

for

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Article 32

Issuing authority

Article 34

Applications

1. Where the travelling exhibition originates in the Commu-
nity, the issuing authority for a travelling exhibition certificate
shall be the management authority of the Member State in which
the travelling exhibition originates.

2. Where the travelling exhibition originates in a third country,
the issuing authority for a travelling exhibition certificate shall be
the management authority of
first
destination and the issue of that certificate shall be based on
the provision of an equivalent certificate, issued by that third
country.

the Member State of

3. Where, during a stay in a Member State, an animal covered
by a travelling exhibition certificate gives birth, the management
authority of that Member State shall be notified and shall issue a
permit or certificate as appropriate.

Article 33

Requirement for specimens

1. The applicant for a travelling exhibition certificate shall,
where appropriate, complete boxes 3 and 9 to 18 of
the
application form (form 3) and boxes 3 and 9 to 18 of the original
and all copies.

Member States may, however, provide that only an application
form is to be completed, in which case such an application may
be for more than one certificate.

2. The duly completed form shall be submitted to the
management authority of
the Member State in which the
specimens are located, or in the case referred to in Article 32(2),
first
to the management authority of
destination, together with the necessary information and the
documentary evidence that that authority deems necessary so as
to enable it to determine whether a certificate should be issued.

the Member State of

The omission of
justified.

information from the application must be

3. Where an application is made for a certificate relating to
specimens for which such an application has previously been
rejected, the applicant shall inform the management authority of
that fact.

Article 35

1. Where a specimen is covered by a travelling exhibition
certificate, all the following requirements shall be met:

Documents to be surrendered to the customs office by the
holder

(a)

the specimen must be registered by the issuing manage-
ment authority;

(b)

(c)

the specimen must be returned to the Member State in
which it is registered before the date of expiry of the
certificate;

the specimen must be uniquely and permanently marked,
in accordance with Article 66 in the case of live animals, or
otherwise identified in such a way that the authorities of
each Member State into which the specimen enters can
verify that the certificate corresponds to the specimen being
imported or exported.

2.
In the case of travelling exhibition certificates issued in
accordance with Article 32(2), points (a) and (b) of paragraph 1
of this Article shall not apply. In such cases, the certificate shall
include the following text in box 20:

‘This certificate is not valid unless accompanied by an original
travelling exhibition certificate issued by a third country.’

1.
In the case of a travelling exhibition certificate issued in
accordance with Article 32(1), the holder or his authorised
for verification purposes, surrender the
representative shall,
original of that certificate (form 1), and the original and a copy of
the continuation sheet,
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,
return the original documents to the holder or his authorised
representative, endorse the copy of the continuation sheet and
forward that endorsed copy to the relevant management
authority in accordance with Article 45.

2.
In the case of a travelling exhibition certificate issued in
accordance with Article 32(2), paragraph 1 of this Article shall
apply, except that the holder or his authorised representative
shall also submit the original certificate and the continuation
sheet issued by the third country for verification purposes.

The customs office shall, after completing both continuation
sheets, return the original travelling exhibition certificates and
continuation sheets to the importer or his authorised represen-
tative and forward an endorsed copy of the continuation sheet of
the certificate issued by the Member State's management
authority to that authority in accordance with Article 45.

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Article 36

Replacement

(2)

as an export permit or re-export certificate in accordance
with Article 5 of Regulation (EC) No 338/97, where the
country of destination so agrees.

A travelling exhibition certificate that has been lost, stolen or
destroyed may be replaced only by the authority which issued it.

The replacement shall bear the same number, if possible, and the
same date of validity as the original document, and shall include,
in box 20, the following statement:

‘This certificate is a true copy of the original.’

CHAPTER VIII

PERSONAL OWNERSHIP CERTIFICATE

Article 37

Issue

1. Member States may issue personal ownership certificates to
the legal owner of legally acquired live animals, held for personal
non-commercial purposes, which meet either of the following
criteria:

Article 39

Issuing authority

1. Where the specimen originates within the Community, the
issuing authority for a personal ownership certificate shall be the
management authority of the Member State in whose territory
the specimen is located.

2. Where the specimen is introduced from a third country, the
issuing authority for a personal ownership certificate shall be the
management authority of the Member State of first destination
and the issue of that certificate shall be based on the provision of
an equivalent document, issued by that third country.

3. The personal ownership certificate
the
following text in box 23 or in an appropriate annex to the
certificate:

include

shall

(a)

they were born and bred in captivity in accordance with
Articles 54 and 55;

‘Valid for multiple cross-border movements where the specimen
is accompanied by its owner. Legal owner to retain original form.

(b)

they were acquired in, or introduced into, the Community
before the provisions relating to species listed in Appen-
dices I, II or III to the Convention, or in Annex C to
Regulation (EEC) No 3626/82, or in Annexes A, B and C to
Regulation (EC) No 338/97 became applicable to them.

2. A personal ownership certificate shall cover only one
specimen.

3. A continuation sheet shall be attached to the certificate for
use in accordance with Article 42.

Article 38

Use

Provided that the specimen covered by a personal ownership
certificate is accompanied by its legal owner, the certificate may
be used as follows:

(1)

as an import permit
Regulation (EC) No 338/97;

in accordance with Article 4 of

The specimen covered by this certificate may not be sold or
otherwise transferred except in accordance with Article 43 of
Commission Regulation (EC) No 865/2006. This certificate is
non-transferable. If the specimen dies, is stolen, destroyed or lost,
or if it is sold or if ownership of the specimen is otherwise
transferred, this certificate must be immediately returned to the
issuing management authority.

This certificate is not valid unless accompanied by a continuation
sheet, which must be stamped and signed by a customs official at
each border crossing.

This certificate shall in no way affect the right to adopt stricter
national measures regarding restrictions or conditions for the
holding/keeping of live animals.’

4. Where, during a stay in a Member State, an animal covered
by a personal ownership certificate gives birth, the management
authority of that State shall be notified and shall issue a permit or
certificate as appropriate.

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Article 40

The omission of
justified.

information from the application must be

Requirements for specimens

1. Where a specimen is covered by a personal ownership
certificate, the following requirements shall be met:

Where an application is made for a certificate relating to
specimens for which such an application has previously been
rejected, the applicant shall inform the management authority of
that fact.

the specimen must be registered by the management
authority of the Member State in which the owner has his
usual residence;

Article 42

Documents to be surrendered by the holder to the customs
office

(a)

(b)

the specimen must be returned to the Member State in
which it is registered before the date of expiry of the
certificate;

(c)

the specimen may not be used for commercial purposes
except subject to the conditions provided for in Article 43;

(d)

the specimen must be uniquely and permanently marked in
accordance with Article 66.

In the case of personal ownership certificates issued in
2.
accordance with Article 39(2), points (a) and (b) of paragraph 1
of this Article shall not apply.

In such cases, the certificate shall include the following text in
box 23:

‘This certificate is not valid unless accompanied by an original
personal ownership certificate issued by a third country and
unless the specimen to which it relates is accompanied by its
owner.’

Article 41

Applications

1. The applicant for a personal ownership certificate shall,
where appropriate, complete boxes 1, 4 and 6 to 23 of the
application form and boxes 1, 4 and 6 to 22 of the original and
all copies.

Member States may, however, provide that only an application
form is to be completed, in which case such an application may
be for more than one certificate.

2. The duly completed form shall be submitted to a manage-
ment authority of the Member State in which the specimens are
located, or in the case referred to in Article 39(2), to the
management authority of the Member State of first destination,
together with the necessary information and the documentary
evidence that that authority deems necessary so as to enable it to
determine whether a certificate should be issued.

1.
In the case of the import, export or re-export of a specimen
covered by a personal ownership certificate issued in accordance
for
with Article 39(1),
verification purposes, surrender the original of that certificate
(form 1) and the original and a copy of the continuation sheet to
a customs office designated in accordance with Article 12(1) of
Regulation (EC) No 338/97.

the certificate shall,

the holder of

The customs office shall, after completing the continuation sheet,
return the original documents to the holder, endorse the copy of
the continuation sheet and forward that endorsed copy to the
relevant management authority in accordance with Article 45 of
this Regulation.

2.
In the case of a personal ownership certificate issued in
accordance with Article 39(2), paragraph 1 of this Article shall
apply, except that the holder shall also submit for verification
purposes the original certificate issued by the third country.

The customs office shall, after completing both continuation
sheets, return the original documents to the holder and forward
an endorsed copy of the continuation sheet of the certificate
issued by the Member State's management authority to that
authority in accordance with Article 45.

Article 43

Sales of specimens covered

Where the holder of a personal ownership certificate issued in
accordance with Article 39(1) of this Regulation wishes to sell
the specimen, he shall first surrender the certificate to the issuing
management authority and, where the specimen belongs to a
species listed in Annex A to Regulation (EC) No 338/97, shall
apply to the competent authority for a certificate in accordance
with Article 8(3) of that Regulation.

Article 44

Replacement

A personal ownership certificate that has been lost, stolen or
destroyed may be replaced only by the authority which issued it.

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The replacement shall bear the same number, if possible, and the
same date of validity as the original document, and shall include,
in box 20, the following statement:

Article 47

‘This certificate is a true copy of the original.’

Certificates provided for in Article 5(2)(b), (3) and (4) of
Regulation (EC) No 338/97 (certificates required for export
or re-export)

CHAPTER IX

CUSTOMS PROCEDURE

Article 45

Forwarding of documents presented to customs offices

1. Customs offices shall without delay forward to the relevant
management authority of their Member State all documents
which have been presented to them in accordance with
Regulation (EC) No 338/97 and this Regulation.

Management authorities receiving such documents shall without
delay forward those issued by other Member States to the
relevant management authorities, together with any supporting
documents issued in accordance with the Convention.

2. By way of derogation from paragraph 1, customs offices may
confirm the presentation of documents issued by the manage-
ment authority of their Member State in electronic form.

The certificates provided for in Article 5(2)(b), (3) and (4) of
Regulation (EC) No 338/97 shall indicate which of the following
statements apply in the case of the specimens covered:

(1)

they were taken from the wild in accordance with the
legislation of the Member State of origin;

(2)

they were abandoned or had escaped and were recovered in
accordance with the legislation of the Member State where
the recovery took place;

(3)

they were acquired in, or introduced into the Community,
in accordance with Regulation (EC) No 338/97;

(4)

they were acquired in, or introduced into the Community,
before 1 June 1997 in accordance with Regulation (EEC)
No 3626/82;

(5)

they were acquired in, or introduced into, the Community
before 1 January 1984 in accordance with the Convention;

(6)

they were acquired in, or introduced into, the territory of a
Member State before the Regulations referred to in points
(3) or (4) or the Convention became applicable to them, or
became applicable in that Member State.

CHAPTER X

Article 48

CERTIFICATES PROVIDED FOR IN ARTICLES 5(2)(b),
5(3), 5(4), 8(3) AND 9(2)(b) OF REGULATION
(EC) No 338/97

Certificate provided for in Article 8(3) of Regulation (EC)
No 338/97 (certificate for commercial use)

Article 46

Issuing authority

1. A certificate for the purposes of Article 8(3) of Regulation
(EC) No 338/97 shall state that specimens of species listed in
Annex A thereto are exempted from one or more of
the
prohibitions laid down in Article 8(1) of that Regulation for any
of the following reasons:

Certificates provided for in Articles 5(2)(b), 5(3), 5(4), 8(3) and 9
(2)(b) of Regulation (EC) No 338/97 may be issued by the
management authority of
the Member State in which the
specimens are located, on receiving an application in accordance
with Article 50 of this Regulation.

(a)

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

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(b)

they originate in a Member State and were taken from the
wild in accordance with the legislation of that Member
State;

(c)

they are, or are parts of, or are derived from animals born
and bred in captivity;

(d)

they are authorised to be used for one of the purposes
referred to in Article 8(3)(c) and (e) to (g) of Regulation (EC)
No 338/97.

2. The competent management authority of a Member State
may deem an import permit acceptable as a certificate for the
purposes of Article 8(3) of Regulation (EC) No 338/97 upon
presentation of, the ‘copy for the holder’ (form 2), if that form
states that, as provided for in Article 8(3) thereof, the specimens
are exempted from one or more of the prohibitions laid down in
Article 8(1) of that Regulation.

Article 49

Certificate provided for in Article 9(2)(b) of Regulation (EC)
No 338/97 (certificate for movement of live specimens)

A certificate for the purposes of Article 9(2)(b) of Regulation (EC)
No 338/97 shall state that the movement of live specimens of a
species listed in Annex A thereto, from the prescribed location
indicated in the import permit, or in a previously issued
certificate, is authorised.

2. The duly completed form shall be submitted to a manage-
ment authority of the Member State in which the specimens are
located,
together with the necessary information and the
documentary evidence that that authority deems necessary so
as to enable it to determine whether a certificate should be
issued.

The omission of
justified.

information from the application must be

Where an application is made for a certificate relating to
specimens for which such an application has previously been
rejected, the applicant shall inform the management authority of
that fact.

Article 51

Amendments to permits, notifications and certificates

1. Where a shipment, covered by a ‘copy for the holder’ (form
2) of an import permit, or a ‘copy for the importer’ (form 2) of
an import notification, or a certificate, is split or where, for other
reasons, the entries in those documents no longer reflect the
actual situation, the management authority may take either of
the following actions:

(a)

it may make
documents in accordance with Article 4(2).

the necessary amendments

to those

(b)

it may issue one or more corresponding certificates for the
purposes referred to in Articles 47 and 48.

Article 50

For the purposes of point (b), the management authority must
first establish the validity of the document to be replaced, where
necessary in consultation with the management authority of
another Member State.

Application for the certificates provided for in Articles 5(2)
(b), 5(3), 5(4), 8(3) and 9(2)(b) of Regulation (EC) No 338/97

1. The applicant for the certificates provided for in Articles 5(2)
(b), 5(3), 5(4), 8(3) and 9(2)(b) of Regulation (EC) No 338/97
shall, where appropriate, complete boxes 1, 2 and 4 to 19 of the
application form and boxes 1 and 4 to 18 of the original and all
copies.

2. Where certificates are issued to replace a ‘copy for the
holder’ (form 2) of an import permit, or a ‘copy for the importer’
(form 2) of an import notification, or a previously issued
certificate, that document shall be retained by the management
authority issuing the certificate.

3. A permit, notification or certificate that has been lost, stolen
or destroyed may be replaced only by the authority which issued
it.

Member States may, however, provide that only an application
form is to be completed, in which case such an application may
be for more than one certificate.

4. Where, for the purposes of paragraph 1, a management
authority consults a management authority of another Member
State, the latter shall respond within a period of one week.

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CHAPTER XI

LABELS

Article 52

Use of labels

1. The labels referred to in Article 2(6) shall be used only for
the movement between duly registered scientists and scientific
institutions of non-commercial loans, donations and exchanges
of herbarium specimens, preserved, dried or embedded museum
specimens and live plant material for scientific study.

2. A registration number shall be attributed to the scientists
and scientific institutions referred to in paragraph 1 by the
management authority of the Member State in which they are
located.

presentation of the ‘copy for the holder’ (form 2) of an import
permit, completed in accordance with Article 23 of
this
Regulation, or the ‘copy for the importer’ (form 2) of an import
notification, completed in accordance with Article 24 of this
Regulation, and may carry out any checks it deems necessary in
order to establish compliance with Regulation (EC) No 338/97
and this Regulation.

CHAPTER XIII

SPECIMENS BORN AND BRED IN CAPTIVITY AND
ARTIFICIALLY PROPAGATED SPECIMENS

Article 54

Specimens born and bred in captivity of animal species

That registration number shall contain five digits, the first two of
which shall be the two-letter ISO country code for the Member
State concerned and the last three a unique number assigned to
each institution by the competent management authority.

Without prejudice to Article 55, a specimen of an animal species
shall be considered to be born and bred in captivity only if a
competent management authority,
in consultation with a
competent scientific authority of the Member State concerned,
is satisfied that the following criteria are met:

3. The scientists and scientific institutions concerned shall
complete boxes 1 to 5 of the label and, by the return of the part
of the label provided for that purpose, immediately inform the
management authority with which they are registered of all
details about the use of every label.

(1)

the specimen is, or is derived from, the offspring born or
otherwise produced in a controlled environment of either
of the following:

CHAPTER XII

DEROGATIONS FROM CUSTOMS PROCEDURES AS
REFERRED TO IN ARTICLE 4(7) OF REGULATION (EC)
No 338/97

Article 53

Customs offices other than the border customs office at the
point of introduction

1. Where a shipment to be introduced into the Community
arrives at a border customs office by sea, air or rail for dispatch
intermediate
by the same mode of
storage, to another customs office in the Community designated
in accordance with Article 12(1) of Regulation (EC) No 338/97,
the completion of checks and the presentation of
import
documents shall take place at the latter.

transport, and without

(2)

(3)

2. Where a shipment has been checked at a customs office
designated in accordance with Article 12(1) of Regulation (EC)
No 338/97 and is dispatched to another customs office for any
require
subsequent

customs procedure,

latter

shall

the

(a)

(b)

parents
that mated or had gametes otherwise
transferred in a controlled environment, if reproduc-
tion is sexual;

parents that were in a controlled environment when
development of the offspring began, if reproduction is
asexual;

the breeding stock was established in accordance with the
legal provisions applicable to it at the time of acquisition
and in a manner not detrimental to the survival of the
species concerned in the wild;

the breeding stock is maintained without the introduction
of specimens from the wild, except for the occasional
addition, in accordance with the legal provisions applicable
and in a manner not detrimental to the survival of the
species concerned in the wild, of animals, eggs or gametes
exclusively for one or more of the following purposes:

(a)

to prevent or alleviate deleterious inbreeding,
the
magnitude of such addition being determined by the
need for new genetic material;

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(b)

to dispose of confiscated animals in accordance with
Article 16(3) of Regulation (EC) No 338/97;

2. Timber taken from trees grown in monospecific plantations
shall be considered to be artificially propagated in accordance
with paragraph 1.

(c)

exceptionally, for use as breeding stock;

(4)

the breeding stock has itself produced second or subsequent
generation offspring (F2, F3 and so on) in a controlled
environment, or is managed in a manner that has been
demonstrated to be capable of reliably producing second-
generation offspring in a controlled environment.

CHAPTER XIV

PERSONAL AND HOUSEHOLD EFFECTS

Article 57

Article 55

Establishment of ancestry

Introduction and reintroduction into the Community of
personal and household effects

Where,
for the purposes of Articles 54, 62(1) or 63(1), a
competent authority considers it necessary to establish the
ancestry of an animal through the analysis of blood or other
tissue, such analysis or the necessary samples shall be made
available in a manner established by that authority.

1. The derogation from Article 4 of Regulation (EC) No 338/97
for personal or household effects, provided for in Article 7(3) of
that Regulation,
shall not apply to specimens used for
commercial gain, sold, displayed for commercial purposes, kept
for sale, offered for sale or transported for sale.

Article 56

That derogation shall only apply to specimens, including hunting
trophies, if they meet one of the following conditions:

Artificially propagated specimens of plant species

1. A specimen of a plant species shall be considered to be
artificially propagated only if
competent management
authority, in consultation with a competent scientific authority
of the Member State concerned, is satisfied that the following
criteria are met:

a

(a)

(b)

the specimen is, or is derived from, plants grown from
seeds, cuttings, divisions, callus tissues or other plant
tissues,
spores or other propagules under controlled
conditions;

the cultivated parental stock was established in accordance
with the legal provisions applicable to it on the date of
acquisition and is maintained in a manner not detrimental
to the survival of the species in the wild;

(c)

the cultivated parental stock is managed in such a way that
its long-term maintenance is guaranteed;

(d)

in the case of grafted plants, both the root stock and the
graft have been artificially propagated in accordance with
points (a), (b) and (c).

For the purposes of point (a), controlled conditions refers to a
non-natural environment
is intensively manipulated by
human intervention, which may include but is not limited to
tillage, fertilisation, weed control, irrigation, or nursery opera-
tions such as potting, bedding and protecting from weather.

that

(a)

they are contained in the personal
coming from a third country;

luggage of travellers

(b)

they are contained in the personal property of a natural
person transferring his normal place of residence from a
third country to the Community;

(c)

they are hunting trophies taken by a traveller and imported
at a later date.

2. The derogation from Article 4 of Regulation (EC) No 338/97
for personal or household effects, provided for in Article 7(3) of
that Regulation, shall not apply to specimens of species listed in
Annex A thereto where they are introduced into the Community
for the first time by a person normally residing in, or taking up
residence in, the Community.

3. The first introduction into the Community of personal or
household effects,
including hunting trophies, by a person
normally residing in the Community and involving specimens of
species listed in Annex B to Regulation (EC) No 338/97 shall not
require the presentation to customs of an import permit,
provided that the original of a (re-)export document and a copy
thereof are presented.

Customs shall forward the original in accordance with Article 45
of this Regulation and return the stamped copy to the holder.

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4. The reintroduction into the Community, by a person
normally residing in the Community, of personal or household
effects, including hunting trophies, that are specimens of species
listed in Annex A or B to Regulation (EC) No 338/97 shall not
require the presentation to customs of an import permit,
provided that one of the following is presented:

(a)

the customs-endorsed ‘copy for the holder’ (form 2) of a
previously used Community import or export permit;

(b)

the copy of
paragraph 3;

(c)

proof
that
Community.

the (re-)export document

referred to in

the specimens were acquired within the

the
5. By way of derogation from paragraphs 3 and 4,
introduction or re-introduction into the Community of
the
following items listed in Annex B to Regulation (EC) No 338/97
shall not require the presentation of a (re-)export document or an
import permit:

In the case of export, the derogation from Article 5 of
2.
Regulation (EC) No 338/97 for personal or household effects,
provided for in Article 7(3) of that Regulation, shall not apply to
specimens of species listed in Annexes A or B to that Regulation.

3. The re-export, by a person normally residing in the
Community, of personal or household effects, including personal
hunting trophies,
listed in
that are specimens of
Annexes A or B to Regulation (EC) No 338/97 shall not require
the presentation to customs of a re-export certificate, provided
that one of the following is presented:

species

(a)

the customs-endorsed ‘copy for the holder’ (form 2) of a
previously used Community import or export permit;

(b)

the copy of
Article 57(3) of this Regulation;

the (re-)export document

referred to in

(c)

proof
that
Community.

the specimens were acquired within the

(a)

caviar of sturgeon species (Acipenseriformes spp.), up to a
maximum of 250 grams per person;

4. By way of derogation from paragraphs 2 and 3, the export
or re-export of the items listed in points (a) to (d) of Article 57(5)
shall not require the presentation of a (re‑)export document.

(b)

rainsticks of Cactaceae spp., up to three per person;

CHAPTER XV

(c)

dead worked specimens of Crocodylia spp., excluding meat
and hunting trophies, up to four per person;

EXEMPTIONS AND DEROGATIONS

(d)

shells of Strombus gigas, up to three per person.

Article 59

Article 58

Export and re-export from the Community of personal and
household effects

1. The derogation from Article 5 of Regulation (EC) No 338/97
for personal or household effects, provided for in Article 7(3) of
shall not apply to specimens used for
that Regulation,
commercial gain, sold, displayed for commercial purposes, kept
for sale, offered for sale or transported for sale.

That derogation shall apply to specimens only if they meet one
of the following conditions:

(a)

they are contained in the personal
going to a third country;

luggage of travellers

(b)

they are contained in the personal property of a natural
person transferring his normal place of residence from the
Community to a third country.

Exemptions from Article 8(1) of Regulation (EC) No 338/97
as provided for in Article 8(3) thereof

1. The exemption for specimens referred to in Article 8(3)(a),
(b) and (c) of Regulation (EC) No 338/97 shall be granted only if
the applicant has satisfied the competent management authority
that the conditions referred to therein and in Article 48 of this
Regulation are met.

2. The exemption for specimens referred to in Article 8(3)(d) of
Regulation (EC) No 338/97 shall be granted only if the applicant
has satisfied the competent management authority, the latter
having consulted a competent scientific authority,
the
conditions referred to in Article 48 of this Regulation are met
and that
the specimens concerned were born and bred in
captivity or artificially propagated in accordance with Articles 54,
55 and 56 of this Regulation.

that

3. The exemption for specimens referred to in Article 8(3)(e),
(f) and (g) of Regulation (EC) No 338/97 shall be granted only if
the applicant has satisfied the competent management authority,
the latter having consulted with a competent scientific authority,
that the conditions referred to therein and in Article 48 of this
Regulation are met.

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4. The exemption for specimens referred to in Article 8(3)(h) of
Regulation (EC) No 338/97 shall be granted only if the applicant
has satisfied the competent management authority that
the
specimens concerned were taken from the wild in a Member
State in compliance with its legislation.

5. An exemption provided for in Article 8(3) of Regulation
(EC) No 338/97 shall be granted with regard to live vertebrates
only if the applicant has satisfied the competent management
authority that the relevant provisions of Article 66 of
this
Regulation have been met.

Article 60

Derogation from Article 8(1) of Regulation (EC) No 338/97
for the benefit of scientific institutions

Without prejudice to Article 9 of Regulation (EC) No 338/97 a
derogation from the prohibition laid down in Article 8(1) thereof
may be granted to scientific institutions, approved by a
management authority in consultation with a scientific authority,
by the issue of a certificate covering all specimens in their
collection of species listed in Annex A to that Regulation, that
are intended for either of the following:

(1)

captive breeding or artificial propagation from which
conservation benefits will accrue to the species concerned;

(2)

research or education aimed at
conservation of the species concerned.

the preservation or

Any sale of specimens covered by such a certificate may be made
only to other scientific institutions holding such a certificate.

(2)

they are covered by one of the general exemptions provided
for in Article 62 of this Regulation.

Article 62

General exemptions from Article 8(1) and (3) of Regulation
(EC) No 338/97

The provision laid down in Article 8(3) of Regulation (EC)
No 338/97, to the effect that exemptions from the prohibitions
in Article 8(1) are to be granted by the issue of a certificate on a
case-by-case basis, shall not apply to, and no certificate shall be
required for, the following:

(1)

specimens of captive born and bred animals of the species
listed in Annex X to this Regulation, and hybrids thereof,
provided that specimens of annotated species are marked in
accordance with Article 66(1) of this Regulation;

(2)

artificially propagated specimens of plant species;

(3) worked specimens that were acquired more than 50 years
previously as defined in Article 2(w) of Regulation (EC)
No 338/97.

Article 63

Pre-issued certificates under Article 8(3) of Regulation (EC)
No 338/97

1.
For the purposes of Article 8(3)(d) of Regulation (EC)
No 338/97, a Member State may make pre-issued certificates
available to breeders approved for that purpose by a manage-
ment authority, provided that they maintain breeding records
and that
to the
they produce those records, on request,
competent management authority.

Article 61

Such certificates
statement:

shall,

in box 20,

include the following

Exemptions from Article 8(1) and (3) of Regulation (EC)
No 338/97

‘Certificate only valid for the following taxon/taxa: …’

Without prejudice to Article 9 of Regulation (EC) No 338/97,
neither the prohibition laid down in Article 8(1) thereof of the
purchase, offer of purchase, or acquisition of specimens of
species listed in Annex A thereto for commercial purposes nor
the provision laid down in Article 8(3) thereof, to the effect that
exemptions from those prohibitions are to be granted by the
issue of a certificate on a case-by-case basis, shall apply where the
specimens involved meet either of the following criteria:

(1)

they are covered by one of the specimen-specific certificates
provided for in Article 48 of this Regulation;

2.
For the purposes of Article 8(3)(d) and (h) of Regulation (EC)
No 338/97, a Member State may make pre-issued certificates
available to persons who have been approved by a management
authority to sell on the basis of such certificates dead captive-
bred specimens and/or small numbers of dead specimens legally
taken from the wild within the Community, provided that any
such person meets the following requirements:

(a)

he maintains a record, which is produced on request to the
competent management authority and which contains
details of specimens/species sold, the cause of death if
known, the persons from whom specimens were acquired
and the persons to whom they were sold;

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(b)

he submits an annual report to the competent management
authority which contains details of sales during that year,
the type and number of specimens, the species concerned
and how the specimens were acquired.

CHAPTER XVI

MARKING REQUIREMENTS

Article 64

Marking of specimens for the purpose of imports and
commercial activities within the Community

1.
Import permits for the following items shall be issued only if
the applicant has satisfied the competent management authority
that the specimens have been individually marked in accordance
with Article 66(6):

specimens that derive from a captive breeding operation
that was approved by the Conference of the Parties to the
Convention;

specimens that derive from a ranching operation that was
approved by the Conference of
to the
Convention;

the Parties

specimens
listed in
from a population of a species
Appendix I to the Convention for which an export quota
has been approved by the Conference of the Parties to the
Convention;

Article 65

Marking of specimens for the purpose of export and re-
export

1. Re-export certificates for specimens referred to in Article 64
(1)(a) to (d) and (f) that were not substantially modified shall be
issued only if
the applicant has satisfied the management
authority that the original marks are intact.

2. Re-export certificates for entire raw, tanned, and/or finished
crocodilian skins and flanks shall be issued only if the applicant
has satisfied the management authority that the original tags are
intact or, where the original tags have been lost or removed, the
specimens have been marked with a re-export tag.

3.
Export permits and re-export certificates for any container
of caviar as specified in point (g) of Article 64(1) shall be issued
only if the container is marked in accordance with Article 66(6).

Export permits shall be issued with regard to live vertebrates
4.
of species listed in Annex A to Regulation (EC) No 338/97 only if
the applicant has satisfied the competent management authority
that the relevant requirements laid down in Article 66 of this
Regulation have been met.

Article 66

Marking methods

raw tusks of African elephant and cut pieces thereof that
are both 20 cm or more in length and 1 kg or more in
weight;

For the purposes of Articles 33(1), 40(1), 59(5), and 65(4),

1.
paragraphs 2 and 3 of this Article shall apply.

raw, tanned and/or finished crocodilian skins, flanks, tails,
throats, feet, backstrips and other parts thereof that are
exported to the Community, and entire raw, tanned, or
finished crocodilian skins and flanks that are re-exported to
the Community;

(f)

live vertebrates of species listed in Annex A to Regulation
(EC) No 338/97 that belong to a travelling exhibition;

2. Captive born and bred birds shall be marked in accordance
with paragraph 8, or, where the competent management
authority is satisfied that this method is not appropriate because
of the physical or behavioural properties of the animal, by means
of a uniquely numbered, unalterable microchip transponder
conforming to ISO Standards 11784: 1996 (E) and 11785: 1996
(E).

(g)

any container of caviar of Acipenseriformes spp., including
tins, jars or boxes into which such caviar is directly packed.

2.
For the purposes of Article 8(5) of Regulation (EC) No 338/
97, all containers of caviar as specified in point (g) of paragraph 1
of this Article shall be marked in accordance with Article 66(6)
of this Regulation, subject to the additional requirements set out
in Article 66(7) thereof.

3.
Live vertebrates other than captive born and bred birds shall
be marked by means of a uniquely numbered unalterable
microchip transponder conforming to ISO Standards 11784:
1996 (E) and 11785: 1996 (E), or, where the competent
management authority is satisfied that
this method is not
appropriate because of the physical or behavioural properties of
the specimen/species, the specimens concerned shall be marked
by means of uniquely numbered rings, bands, tags, tattoos or
similar means, or be made identifiable by any other appropriate
means.

(a)

(b)

(c)

(d)

(e)

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4. Articles 33(1), 40(1), 48(2), 59(5) and 65(4) shall not apply
where the competent management authority is satisfied that, at
the time of
the physical
properties of the specimens involved do not allow the safe
application of any marking method.

the relevant certificate,

issue of

A seamlessly closed leg-ring refers to a ring or band in a
continuous circle, without any break or join, which has not been
tampered with in any way, of a size which cannot be removed
from the bird when its leg is fully grown after having been
applied in the first days of the bird's life and which has been
commercially manufactured for that purpose.

Where that is the case, the management authority concerned
shall issue a transaction‑specific certificate and shall record that
fact in box 20 of the certificate, or, where a marking method can
be safely applied at a later date, shall include the appropriate
stipulations therein.

Article 67

Humane marking methods

Specimen-specific certificates, travelling exhibition certificates
and personal ownership certificates shall not be issued in respect
of such specimens.

5.
Specimens marked by means of a microchip transponder
other than one conforming to ISO Standards 11784: 1996 (E)
and 11785: 1996 (E) before 1 January 2002, or by means of one
of the methods referred to in paragraph 3 before 1 June 1997, or
in compliance with paragraph 6 before their introduction into
the Community, shall be deemed to have been marked in
compliance with paragraphs 2 and 3.

6. The specimens referred to in Articles 64(1) and 65 shall be
marked in accordance with the method approved or recom-
mended by the Conference of the Parties to the Convention for
the specimens concerned and, in particular, the containers of
caviar referred to in Article 64(1)(g), 64(2) and 65(3) shall be
individually marked by means of non-reusable labels affixed to
each primary container.

7. Only those (re-)packaging plants that are licensed by the
management authority of a Member State shall be entitled to
process and package or re-package caviar for export, re-export or
intra-Community trade.

Licensed (re-)packaging plants shall be required to maintain
adequate records of the quantities of caviar imported, exported,
re-exported, produced in situ or stored, as appropriate. These
records must be available for inspection by the management
authority in the relevant Member State.

A unique registration code shall be attributed to each such (re-)
packaging plant by that management authority.

Where, in the territory of the Community, the marking of live
animals requires the attachment of a tag, band, ring or other
device, or the marking of a part of the animal's anatomy, or the
implantation of microchip transponders, this shall be undertaken
with due regard to humane care, well-being and natural
behaviour of the specimen concerned.

Article 68

Mutual recognition of marking methods

the Member States shall
1. The competent authorities of
recognise marking methods
competent
authorities of other Member States that comply with Article 66.

approved by the

2. Where a permit or certificate is required pursuant to this
Regulation, full details of the marking of the specimen shall be
provided on such a document.

CHAPTER XVII

REPORTS AND INFORMATION

Article 69

Reports on imports, exports and re-exports

1. Member States shall collect data on imports into and exports
and re-exports from the Community that have taken place on the
basis of permits and certificates issued by their management
authorities, irrespective of the actual place of introduction or
(re‑)export.

in compliance with Article 15(4)(a) of
Member States shall,
Regulation (EC) No 338/97, report that information to the
Commission, relating to a calendar year, in accordance with the
time schedule set out in paragraph 4 of this Article, for species
listed in Annexes A, B and C to that Regulation,
in a
computerised form and in accordance with the Guidelines for
the preparation and submission of CITES annual reports issued
by the Secretariat of the Convention.

8. Captive born and bred birds, as well as other birds born in a
controlled environment shall be marked by means of a uniquely
marked seamlessly closed leg-ring.

The reports shall include information on seized and confiscated
shipments.

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2. The information referred to in paragraph 1 shall be
presented in two separate parts, as follows:

(b)

the uses to which specimens of such species are put;

a part on imports, exports and re-exports of specimens of
species listed in the Appendices to the Convention;

(c) methods of controlling specimens in trade.

(a)

(b)

a part on imports, exports and re-exports of specimens of
other species listed in Annexes A, B and C to Regulation
(EC) No 338/97 and on the introduction into the
Community of specimens of species listed in Annex D
thereto.

shipments containing live
3. With regard to imports of
animals, Member States shall, where possible, maintain records
of the percentage of specimens of species listed in Annexes A
and B to Regulation (EC) No 338/97 which were dead at the time
of introduction into the Community.

4. The information referred to in paragraphs 1, 2 and 3 shall be
communicated to the Commission for each calendar year before
15 June of the following year on a species-by-species basis and
per country of (re-)export.

5. The information referred to in Article 15(4)(c) of Regulation
(EC) No 338/97 shall include details on legislative, regulatory and
administrative measures taken to implement and enforce the
provisions of Regulation (EC) No 338/97 and of this Regulation.

In addition, Member States shall report on the following aspects:

2. Any draft amendments to Annexes B or D to Regulation
(EC) No 338/97 pursuant to Article 3(2)(c) or (d), or Article 3(4)
(a) of that Regulation shall be submitted by the Commission to
the Scientific Review Group, referred to in Article 17 of that
Regulation,
for advice before they are submitted to the
Committee.

CHAPTER XVIII

FINAL PROVISIONS

Article 71

Rejection of applications for import permits

(a)

(b)

(c)

(d)

(e)

persons and bodies registered in accordance with Articles 18
and 19 of this Regulation;

scientific institutions registered in accordance with Arti-
cle 60 of this Regulation;

1.
Immediately on the establishment of a restriction in
accordance with Article 4(6) of Regulation (EC) No 338/97
and until such time as it is lifted, Member States shall reject
applications for import permits concerning specimens exported
from the affected country or countries of origin.

breeders approved in accordance with Article 63 of this
Regulation;

caviar (re-)packaging plants licensed in accordance with
Article 66(7) of this Regulation;

their use of phytosanitary certificates in accordance with
Article 17 of this Regulation.

2. By way of derogation from paragraph 1, an import permit
may be issued where an application for an import permit was
submitted prior to the establishment of the restriction, and the
the Member State is
competent management authority of
satisfied that a contract or order exists for which payment has
been made or as a result of which the specimens have already
been shipped.

Article 70

3. The period of validity of an import permit issued under
paragraph 2 shall not exceed one month.

Amendments to the Annexes to Regulation (EC) No 338/97

1. With a view to the preparation of amendments
to
Regulation (EC) No 338/97 pursuant to Article 15(5) of that
Regulation, Member States shall, with regard to species already
listed in the Annexes to that Regulation and those that may be
eligible for listing,
information to the
forward all relevant
Commission relating to the following aspects:

(a)

their biological and trade status;

Save where otherwise provided, the restrictions referred to

4.
in paragraph 1 shall not apply to the following specimens:

(a)

specimens born and bred in captivity in accordance with
Articles 54 and 55, or artificially propagated in accordance
with Article 56;

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(b)

(c)

specimens being imported for the purposes specified in
Article 8(3)(e), (f) or (g) of Regulation (EC) No 338/97;

specimens, alive or dead, that are part of the household
possessions of persons moving into the Community to take
up residence there.

Article 72

Transitional measures

1. Certificates
issued in accordance with Article 11 of
Regulation (EEC) No 3626/82 and Article 22 of Commission
Regulation (EEC) No 3418/83 (1) may continue to be used for the
purposes of Articles 5(2)(b), 5(3)(b), (c) and (d), Article 5(4), and
Article 8(3)(a) and (d) to (h) of Regulation (EC) No 338/97.

2.
Exemptions granted from the prohibitions laid down in
Article 6(1) of Regulation (EEC) No 3626/82 shall remain valid
until their last day of validity, where specified.

3. Member States may continue to issue import and export
permits, re-export certificates, travelling exhibition and personal
ownership certificates in the form laid out
to
Regulation (EC) No 1808/2001 for one year after the entry into
force of this Regulation.

in Annex I

Article 73

Notification of implementing provisions

Each Member State shall notify to the Commission and the
Secretariat to the Convention the provisions which it adopts
specifically for the application of this Regulation and all legal
instruments used and measures taken for the application and
enforcement thereof. The Commission shall communicate this
information to the other Member States.

Article 74

Repeal

Regulation (EC) No 1808/2001 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 XII.

Article 75

Entry into force

This Regulation shall enter into force on the 20th day following
its publication in the Official Journal of the European Union.

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

Done at Brussels, 4 May 2006.

For the Commission
Stavros DIMAS
Member of the Commission

(1) OJ L 344, 7.12.1983, p. 1.

ANNEX I

Instructions and explanations

Full name and address of the actual (re-)exporter, not of an agent. In the case of

1.
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 Community is more than six months from its date of issue.

Full name and address of the actual importer, not of an agent. To be left blank

3.
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 Regulation (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

R

D

A

C

Specimens taken from the wild

Specimens originating from a ranching operation

Annex A animals bred in captivity for commercial purposes 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

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

F

I

O

U

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
Confiscated or seized specimens (1)
Pre-convention (1)
Source unknown (must be justified)

14. Use one of
specimens are to be (re-)exported/imported:

the following codes to indicate the purpose for which the

B

E

G

H

L

M

N

P

Q

S

T

Z

Breeding in captivity or artificial propagation

Educational

Botanical gardens

Hunting trophies

Law enforcement/judicial/forensic

Medical (including bio-medical research)

Reintroduction or introduction into the wild

Personal

Circuses and travelling exhibitions

Scientific

Commercial

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 Community 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 Community. 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 Community 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.

(1) To be used only in conjunction with another source code.

Instructions and explanations

Full name and address of the actual (re-)exporter, not of an agent. In the case of

1.
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 Community is more than six months from its date of issue.

Full name and address of the actual importer, not of an agent. To be left blank

3.
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 Regulation (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.

Enter the number of the CITES Appendix (I, II or III) in which the species is

11.
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

R

D

A

C

Specimens taken from the wild

Specimens originating from a ranching operation

Annex A animals bred in captivity for commercial purposes 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

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

F

I

O

U

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
Confiscated or seized specimens (1)
Pre-convention (1)
Source unknown (must be justified)

14. Use one of
specimens are to be (re-)exported/imported:

the following codes to indicate the purpose for which the

B

E

G

H

L

M

N

P

Q

S

T

Z

Breeding in captivity or artificial propagation

Educational

Botanical gardens

Hunting trophies

Law enforcement/judicial/forensic

Medical (including bio-medical research)

Reintroduction or introduction into the wild

Personal

Circuses and travelling exhibitions

Scientific

Commercial

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 Community 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 Community. 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 Community 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.

(1) To be used only in conjunction with another source code.

Instructions and explanations

Full name and address of the actual (re-)exporter, not of an agent. In the case of

1.
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 Community is more than six months from its date of issue.

Full name and address of the actual importer, not of an agent. To be left blank

3.
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 Regulation (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

R

D

A

C

Specimens taken from the wild

Specimens originating from a ranching operation

Annex A animals bred in captivity for commercial purposes 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

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

F

I

O

U

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
Confiscated or seized specimens (1)
Pre-convention (1)
Source unknown (must be justified)

14. Use one of
specimens are to be (re-)exported/imported:

the following codes to indicate the purpose for which the

B

E

G

H

L

M

N

P

Q

S

T

Z

Breeding in captivity or artificial propagation

Educational

Botanical gardens

Hunting trophies

Law enforcement/judicial/forensic

Medical (including bio-medical research)

Reintroduction or introduction into the wild

Personal

Circuses and travelling exhibitions

Scientific

Commercial

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 Community 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 Community. 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 Community 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.

(1) To be used only in conjunction with another source code.

Instructions and explanations

Full name and address of the actual (re-)exporter, not of an agent. In the case of

1.
a personal ownership certificate, the full name and address of the legal owner.

2. Not applicable.

Full name and address of the actual importer, not of an agent. To be left blank

3.
in the case of a personal ownership certificate.

5.

To be left blank in the case of a personal ownership certificate.

To be completed only on the application form in the case of live specimens of

6.
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 Regulation (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 application.

13. Use one of the following codes to indicate the source:

W

R

D

A

C

Specimens taken from the wild

Specimens originating from a ranching operation

Annex A animals bred in captivity for commercial purposes 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

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

F

I

O

U

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
Confiscated or seized specimens (1)
Pre-convention (1)
Source unknown (must be justified)

14. Use one of
specimens are to be (re-)exported/imported:

the following codes to indicate the purpose for which the

B

E

G

H

L

M

N

P

Q

S

T

Z

Breeding in captivity or artificial propagation

Educational

Botanical gardens

Hunting trophies

Law enforcement/judicial/forensic

Medical (including bio-medical research)

Reintroduction or introduction into the wild

Personal

Circuses and travelling exhibitions

Scientific

Commercial

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 Community 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 Community. 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.

(1) To be used only in conjunction with another source code.

ANNEX II

Enter full name and address of importer or authorised representative.

Instructions and explanations

The country of origin is the country where the specimens were taken from the wild, born and bred in captivity or
artificially propagated.

Only applies where the country from which the specimens are imported is not the country of origin.

Description must be as precise as possible.

The scientific name must be the name used in Annex C or D to Regulation (EC) No 338/97.

1.

4.

5.

6.

9.

10.

Enter III for species listed in Appendix III to CITES.

12.

Enter the letter (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 Community.

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.

Enter full name and address of importer or authorised representative.

Instructions and explanations

The country of origin is the country where the specimens were taken from the wild, born and bred in captivity or
artificially propagated.

Only applies where the country from which the specimens are imported is not the country of origin.

Description must be as precise as possible.

The scientific name must be the name used in Annex C or D to Regulation (EC) No 338/97.

1.

4.

5.

6.

9.

10.

Enter III for species listed in Appendix III to CITES.

12.

Enter the letter (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 Community.

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.

ANNEX III

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.

The name, address and country of the issuing management authority should

4.
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.

This block has been pre-printed to indicate that cross-border movement is

6.
permitted to any country accepting this certificate as a matter of national law.

This block has been pre-printed with the code Q for circuses and travelling

7.
exhibitions.

8. Where appropriate, indicate the number of the security stamp affixed in block
19.

The scientific name must be in accordance with the standard references for
9.
nomenclature referred to in Annex VIII to Regulation 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.

Indicate the total number of specimens. In the case of live animals it should

11.
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 permit or 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 permit or 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 Community 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

R

Specimens taken from the wild

Specimens originating from a ranching operation

A

C

F

U

O

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

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

Source unknown (must be justified)

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 Community 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 Community 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 23 of
Regulation 865/2006.

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 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.

Indicate the total number of specimens. In the case of live animals it should

11.
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.

R

A

C

F

U

O

Specimens originating from a ranching operation

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

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

Source unknown (must be justified)

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 Community are exported
from another, only the name of the Member State of origin must be mentioned in
box 15.

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.

17. This block must contain the exhibition registration number.

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 Community 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

18. Enter the date of acquisition only for specimens which were acquired in, or
were introduced into, the Community 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.

ANNEX IV

ANNEX V

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 authorized location, from the location indicated shall
then be subject to prior authorization 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 Regulation (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.

Enter the number of the CITES Appendix (I, II or III) in which the species is

7.
listed at the date of issue of the permit/certificate.

Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in

8.
which the species is listed at the date of issue of the permit/certificate.

9. Use one of the following codes to indicate the source:

W

R

Specimens taken from the wild

Specimens originating from a ranching operation

D

A

C

F

I

O

U

Annex A animals bred in captivity for commercial purposes 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

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

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

Confiscated or seized specimens (1)

Pre-convention (1)

Source unknown (must be justified)

10 to 12.
form the wild, born and bred in captivity, or artificially propagated.

The country of origin is the country where the specimens were taken

13 to 15.
having issued the import permit for the specimens concerned.

The Member State of import is, where applicable, the Member State

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.

Instructions and explanations

1.

Full name and address of the applicant for the certificate, not of an agent.

To be completed only on the application form in the case of live specimens of

2.
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 Regulation (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.

Enter the number of the CITES Appendix (I, II or III) in which the species is

7.
listed at the date of application.

Enter the letter of the Annex to Regulation (EC) No 338/97 (A, B or C) in

8.
which the species is listed at the date application.

9. Use one of the following codes to indicate the source:

W

R

D

Specimens taken from the wild

Specimens originating from a ranching operation

Annex A animals bred in captivity for commercial purposes 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

C

F

I

O

U

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

Annex A animals bred in captivity for non-commercial purposes and
Annexes B and C animals bred in captivity in accordance with
Chapter XIII of Regulation (EC) No 865/2006, as well as parts and
derivatives thereof

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
Confiscated or seized specimens (1)
Pre-convention (1)
Source unknown (must be justified)

10 to 12.
from the wild, born and bred in captivity, or artificially propagated.

The country of origin is the country where the specimens were taken

13 to 15.
having issued the import permit for the specimens concerned.

The Member State of import is, where applicable, the Member State

16. The scientific name must be in accordance with the standard references for
nomenclature referred to in Annex VII 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.

ANNEX VI

L 166/54

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Official Journal of the European Union

19.6.2006

Codes to be included in the description of specimens and units of measure to be used in permits and certificates pursuant to
Article 5(1) and (2)

ANNEX VII

Description

Code

Preferred units

Alternative units

Explanation

Bark

Body

Bone

Calipee

BAR

kg

BOD

Number

kg

Tree bark (raw, dried or powdered;
unprocessed)

Substantially whole dead animals, includ-
ing fresh or processed fish, stuffed turtles,
preserved butterflies, reptiles in alcohol,
whole stuffed hunting trophies, etc.

BON

CAL

kg

kg

Number

Bones, including jaws

Carapace

CAP

Number

Carving

CAR

kg

Caviar

CAV

Chips

Claw

CHP

CLA

kg

kg

Number

Cloth

CLO

m2

kg

m3

kg

kg

Coral (raw)

COR

kg

Number

Culture

CUL

Number of
flasks, etc.

Derivatives

DER

kg/l

Dried plant

Ear

Egg

DPL

EAR

EGG

Number

Number

Calipee or calipash (turtle cartilage for
soup)

Raw or unworked whole shells of Testudi-
nata species

Carvings (including wood, and including
finished wood products such as furniture,
musical instruments and handicrafts). NB:
there are some species from which more
than one type of product may be carved
(e.g. horn and bone); where necessary, the
description should therefore indicate the
type of product (e.g. horn carving)

Unfertilised dead processed eggs from all
species of Acipenseriformes; also known as
roe

Chips of
malaccensis and Pterocarpus santalinus

especially Aquilaria

timber,

Claws — e.g. of Felidae, Ursidae or
Crocodylia (NB:
‘turtle claws’ are usually
scales and not real claws)

Cloth — If the cloth is not made entirely
from the hair of a CITES species,
the
weight of hair of the species concerned
should instead,
if possible, be recorded
under ‘HAI’

Dead coral and coral rock, NB: the trade
should be recorded by number of pieces
only if the coral specimens are transported
in water.

Cultures of artificially propagated plants

Derivatives (other
elsewhere in this table)

than those included

Dried plants — e.g. herbarium specimens

Ears — Usually elephant

Number

kg

Whole dead or blown eggs,
caviar)

(see also

19.6.2006

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Official Journal of the European Union

L 166/55

Description

Code

Preferred units

Alternative units

Explanation

Egg (live)

Eggshell

Extract

Feather

Fibre

Fin

Fingerlings

Flower

Flower pot

Frogs' legs

Fruit

Foot

Gall

Gall bladder

Garment

Genitalia

Graft rootstock

Hair

Horn

Leather product
(small)

Leather product
(large)

Live

EGL

SHE

EXT

FEA

FIB

FIN

FIG

FLO

FPT

LEG

FRU

FOO

GAL

GAB

GAR

GEN

GRS

HAI

HOR

LPS

LPL

LIV

Number

kg

Live eggs — usually birds and reptiles but
includes fish and invertebrates

g/kg

kg

Raw or unworked eggshell except whole
eggs

L

Extract — usually plant extracts

kg/Number of
wings

Number

Feathers — in the case of objects (e.g.
pictures) made of
record the
number of objects

feathers,

kg

kg

kg

kg

Number

kg

kg

Number

kg

M

Fibres — e.g. plant
strings of tennis rackets

fibre but

includes

Fresh, frozen or dried fins and parts of fins

Number

Juvenile fish of one or two years of age for
the aquarium trade, hatcheries or
for
release operations

Flowers

Flower pots made from parts of a plant,
e.g. treefern fibres (NB: live plants traded
in so-called ‘community pots’ should be
recorded as ‘live plants’, not as flower
pots)

Frog legs

Fruit

Feet — e.g. elephant, rhinoceros, hippo-
potamus, lion, crocodile, etc.

Gall

Number

kg

Gall bladder

Number

Garments — including gloves and hats but
not shoes. Includes trimming or decora-
tion on garments

kg

Number

Castrates and dried penes

G

kg

Number

kg

Number

Number

Number

Number

Graft rootstocks (without the grafts)

Hair — includes all animal hair, e.g. of
elephant, yak, vicuña, guanaco

Horns — includes antlers

Small manufactured products of leather,
e.g. belts, braces, bicycle saddles, cheque
book or credit card holders, earrings,
handbags, key fobs, notebooks, purses,
shoes tobacco pouches, wallets, watch-
straps

Large manufactured products of leather —
e.g. briefcases, furniture, suitcases, travel
trunks

Live animals and plants. Specimens of live
coral
should be
transported in water
recorded by number of pieces only.

L 166/56

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19.6.2006

Description

Code

Preferred units

Alternative units

Explanation

Leaf

Logs

Meat

Medicine

Musk

Oil

Piece — bone

Piece — horn

LVS

LOG

MEA

MED

MUS

OIL

BOP

HOP

Piece — ivory

IVP

Plate

Powder

Root

Sawn wood

Scale

Seed

Shell

Side

Skeleton

Skin

Skin piece

Skull

Soup

PLA

POW

ROO

SAW

SCA

SEE

SHE

SID

SKE

SKI

SKP

SKU

SOU

Number

kg

Leaves

m3

kg

kg/l

g

kg

kg

kg

kg

m2

kg

All wood in the rough, whether or not
stripped of bark or sapwood, or roughly
squared, for processing notably into sawn
wood, pulpwood or veneer sheets. NB:
trade in logs of special purpose timbers
traded by weight
lignum vitae,
Guaiacum spp.) should be recorded in kg.

(e.g.

Meat, includes flesh of fish if not whole,
(see ‘body’)

Medicine

Musk

L

Oil — e.g. from turtles, seals, whales, fish,
various plants

Pieces of bone, not manufactured

Pieces of horn, not manufactured —
includes scrap

Ivory pieces, not manufactured — includes
scrap

Plates of fur-skins — includes rugs if made
of several skins

Powder

Number

kg

Roots, bulbs, corms or tubers

m3

kg

kg

Wood simply sawn lengthwise or pro-
duced by a profile-chipping process;
normally exceeds 6 mm in thickness. NB:
trade in sawn wood of special purpose
timbers traded by weight
lignum
vitae, Guaiacum spp.) should be recorded
in kg.

(e.g.

Scale — e.g. of turtle, other reptiles, fish,
pangolins

Seeds

Number

kg

Raw or unworked shell of molluscs

Number

Number

Number

Number

Number

Sides or flanks of skins; does not include
crocodilian Tinga frames (see under ‘skin’)

Substantially whole skeletons

Substantially whole skins, raw or tanned,
including crocodilian Tinga frames

Skin pieces — includes scraps, raw or
tanned

Skulls

kg

L

Soup — e.g. of turtle

19.6.2006

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Official Journal of the European Union

L 166/57

Description

Code

Preferred units

Alternative units

Explanation

Specimen (scien-
tific)

SPE

kg/l/ml

Scientific specimens — includes blood,
tissue, (e.g. kidney, spleen, etc.) histological
preparations, etc.

Stem

Swim bladder

Tail

Tooth

Timber

STE

SWI

TAI

TEE

TIM

Number

kg

Plant stems

kg

Number

Number

m3

kg

kg

kg

Hydrostatic organ,
sturgeon glue

including isinglass/

Tails — e.g. of caiman (for leather) or fox
(for garment trimming, collars, boas, etc.)

Teeth — e.g. of whale,
mus, crocodile, etc.

lion, hippopota-

Raw timber except saw-logs and sawn
wood

Trophy — all the trophy parts of one
animal if they are exported together: e.g.
horns (2), skull, cape, backskin, tail and
feet
(i.e. 10 specimens) constitute one
trophy. But if, for example, the skull and
horns are the only specimens of an animal
that
items
together should be recorded as one trophy.
Otherwise the items should be recorded
stuffed body is
separately. A whole
recorded under ‘BOD’. A skin alone is
recorded under ‘SKI’.

then these

exported,

are

Substantially whole tusks, whether or not
worked. Includes tusks of elephant, hippo-
potamus, walrus, narwhal, but not other
teeth.

Thin layers or sheets of wood of uniform
in
thickness, usually 6 mm or
thickness, usually peeled (rotary veneer)
or sliced (sliced veneer), for use in making
plywood, for veneering furniture, veneer
containers, etc.

less

Wax, includes ambergris

Number

Entire animal or plant (dead or alive)

Trophy

TRO

Number

Tusk

TUS

Number

kg

Veneer sheets
— rotary veneer
— slices veneer

VEN

m3, m2

kg

Wax

Whole

WAX

WHO

kg

kg

Key to units (equivalent non-metric measurements may be used)

g

kg

l
cm3
ml

= grams

= kilograms

= litres

= cubic centimetres

= millilitres

= metres

= square metres

m
m2
m3
= cubic metres
Number = number of specimens

L 166/58

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Official Journal of the European Union

19.6.2006

Standard references for nomenclature to be used pursuant to Article 5(4) to indicate scientific names of species in permits
and certificates

ANNEX VIII

(a) Mammalia

Wilson, D. E and Reeder, D. M. 1993. Mammal Species of the World: a Taxonomic and Geographic Reference. Second
edition. Smithsonian Institution Press, Washington. [for all mammals — with the exception of the recognition of the
following names for wild forms of species (in preference to names for domestic forms): Bos gaurus, Bos mutus, Bubalus
arnee, Equus africanus, Equus przewalskii, Ovis orientalis ophion]

Alperin, R. 1993. Callithrix argentata (Linnaeus, 1771): taxonomic observations and description of a new subspecies.
Boletim do Museu Paraense Emilio Goeldi, Serie Zoologia 9: 317-328. [for Callithrix marcai]

Dalebout, M. L., Mead, J. G., Baker, C. S., Baker, A. N. and van Helden, A. L. 2002. A new species of beaked whale
Mesoplodon perrini sp. n. (Cetacea: Ziphiidae) discovered through phylogenetic analyses of mitochondrial DNA
sequences. Marine Mammal Science 18: 577-608. [for Mesoplodon perrini]

Ferrari, S. F. and Lopes, M. A. 1992. A new species of marmoset, genus Callithrix Erxleben 1777 (Callitrichidae,
Primates) from western Brazilian Amazonia. Goeldiana Zoologia 12: 1-13. [for Callithrix nigriceps]

Flannery, T. F. and Groves, C. P. 1998. A revision of the genus Zaglossus (Monotremata, Tachyglossidae), with
description of new species and subspecies. Mammalia 62: 367-396. [for Zaglossus attenboroughi]

Groves, C. P. 2000. The genus Cheirogaleus: unrecognised biodiversity in dwarf
Primatology 21: 943-962. [for Cheirogaleus minusculus & Cheirogaleus ravus]

lemurs.

International Journal of

van Helden, A. L., Baker, A. N., Dalebout, M. L., Reyes, J. C., van Waerebeek, K. and Baker, C. S. 2002. Resurrection of
Mesoplodon traversii (Gray, 1874), senior synonym of M. bahamondi Reyes, van Waerebeek, Cárdenas and Yáñez, 1995
(Cetacea: Ziphiidae). Marine Mammal Science 18: 609-621. [for Mesoplodon traversii]

Honess, P. E. and Bearder, S. K. 1997. Descriptions of the dwarf galago species of Tanzania. African Primates 2: 75-79.
[for Galagoides rondoensis & Galagoides udzungwensis]

Kingdon, J. 1997. The Kingdon fieldguide to African mammals. London, Academic Press. [for Miopithecus ogouensis]

Kobayashi, S. and Langguth, A. 1999. A new species of titi monkey, Callicebus Thomas, from north-eastern Brazil
(Primates, Cebidae). Revista Brasileira de Zoologia 16: 531-551. [for Callicebus coimbrai]

Mittermeier, R. A., Schwarz, M. and Ayres, J. M. 1992. A new species of marmoset, genus Callithrix Erxleben, 1777
(Callitrichidae, Primates) from the Rio Maues Region, State of Amazonas, central Brazilian Amazonia. Goeldiana
Zoologia 14: 1-17. [for Callithrix mauesi]

Rasoloarison, R. M., Goodman, S. M. and Ganzhorn, J. U. 2000. Taxonomic revision of mouse lemurs (Microcebus) in
Journal of Primatology 21: 963-1019. [for Microcebus berthae,
the western portions of Madagascar.
Microcebus sambiranensis & Microcebus tavaratra]

International

Rice, D. W. 1998. Marine Mammals of the World. Systematics and distribution. Special Publication Number 4: i-ix, 1-231.
The Society for Marine Mammals. [for Balaenoptera]

Richards, G. C. and Hall, L. S. 2002. A new flying-fox of the genus Pteropus (Chiroptera: Pteropodidae) from Torres
Strait, Australia. Australian Zoologist 32: 69-75. [for Pteropus banakrisi]

van Roosmalen, M. G. M., van Roosmalen, T., Mittermeier, R. A. and Rylands, A. B. 2000. Two new species of
marmoset, genus Callithrix Erxleben, 1777 (Callitrichidae, Primates), from the Tapajós/Madeira interfluvium, south
Central Amazonia, Brazil. Neotropical Primates 10 (Suppl.): 2-18. [for Callicebus bernhardi & Callicebus stephennashi]

van Roosmalen, M. G. M, van Roosmalen, T., Mittermeier, R. A. and da Fonseca, G. A. B. 1998. A new and distinctive
species of marmoset (Callitrichidae, Primates) from the lower Rio Aripuana, State of Amazonas, central Brazilian
Amazonia. Goeldiana Zoologia 22: 1-27. [for Callithrix humilis]

van Roosmalen, M. G. M., van Roosmalen, T., Mittermeier, R. A. and Rylands, A. B. 2000. Two new species of
marmoset, genus Callithrix Erxleben, 1777 (Callitrichidae, Primates), from the Tapajós/Madeira interfluvium, south
Central Amazonia, Brazil. Neotropical Primates 8: 2-18. [for Callithrix acariensis & Callithrix manicorensis]

19.6.2006

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L 166/59

Schwartz, J. H. 1996. Pseudopotto martini: a new genus and species of extant lorisiform primate. Anthropological Papers
of the American Museum of Natural History 78: 1-14. [for Pseudopotto martini]

Silva Jr, J. and Noronha, M. 1996. Discovery of a new species of marmoset in the Brazilian Amazon. Neotropical
Primates 4: 58-59. [for Callithrix saterei]

Thalmann, U. and Geissmann, T. 2000. Distributions and geographic variation in the western woolly lemur (Avahi
occidentalis) with description of a new species (A. unicolor). International Journal of Primatology 21: 915-941. [for Avahi
unicolor]

Wang, J. Y., Chou, L.-S. & White, B. N. 1999. Molecular Ecology 8: 1603-1612. [for Tursiops aduncus]

Zimmerman, E., Cepok, S., Rakotoarison, N., Zietemann, V. and Radespiel, U. 1998. Sympatric mouse lemurs in north
west Madagascar: a new rufous mouse lemur species (Microcebus ravelobensis). Folia Primatologica 69: 106-114. [for
Microcebus ravelobensis]

(b) Aves

Morony, J. J., Bock, W. J. and Farrand, J., Jr. 1975. A Reference List of the Birds of the World. American Museum of Natural
History. [for order- and family-level names for birds]

Sibley, C. G. and Monroe, B. L., Jr. 1990. Distribution and Taxonomy of Birds of the World. Yale University Press, New
Haven. Sibley, C. G. and Monroe, B. L., Jr. 1993. Supplement to the Distribution and Taxonomy of Birds of the World. Yale
University Press, New Haven. [for bird species, except for Psittaciformes & Trochilidae]

Collar, N. J. 1997. Family Psittacidae (Parrots). Pp. 280-477 in del Hoyo, J., Elliot, A. and Sargatal, J. eds. Handbook of the
Birds of the World. Vol. 4. Sandgrouse to Cuckoos. Lynx Edicions, Barcelona. [for Psittacidae]

Gaban-Lima, R., Raposo, M. A. and Hofling, E. 2002. Description of a new species of Pionopsitta (Aves: Psittacidae)
endemic to Brazil. Auk 119: 815-819. [for Pionopsitta aurantiocephala]

Howell, S. N. G. and Robbins, M. B. 1995. Species limits of the Least Pygmy-Owl (Glaucidium minutissimum) complex.
Wilson Bulletin 107: 7-25. [for Glaucidium parkeri]

Lafontaine, R. M. and Moulaert, N. 1998. A new species of scops owl (Otus: Aves): taxonomy and conservation status.
Journal of African Zoology 112: 163-169. [for Otus moheliensis]

Lambert, F. R. and Rasmussen, P. C. 1998. A new scops owl from Sangihe Island, Indonesia. Bulletin of the British
Ornithologists' Club 204-217. [for Otus collari]

Olsen, J., Wink, M., Sauer-Gürth, H. and Trost, S. 2002. A new Ninox owl from Sumba, Indonesia. Emu 102: 223-231.
[for Ninoxsumbaensis]

Rasmussen, P. C. 1998. A new scops-owl from Great Nicobar Island. Bulletin of the British Ornithologists' Club 118: 141-
153. [for Otus alius]

Rasmussen, P. C. 1999. A new species of hawk-owl Ninox from North Sulawesi, Indonesia. Wilson Bulletin 111: 457-
464. [for Ninox ios]

Robbins, M. B. and Stiles, F. G. 1999. A new species of pygmy-owl (Strigidae: Glaucidium) from the Pacific slope of the
northern Andes. Auk 116: 305-315. [for Glaucidium nubicola]

Rowley, I. 1997. Family Cacatuidae (Cockatoos). Pp. 246-279 in del Hoyo, J., Elliot, A. and Sargatal, J. eds. Handbook of
the Birds of the World. Vol. 4. Sandgrouse to Cuckoos. Lynx Edicions, Barcelona. [for Cacatuidae=Psittacidae]

Schuchmann, K. L. 1999. Family Trochilidae (Hummingbirds). Pp. 468-680 in del Hoyo, J., Elliot, A. and Sargatal, J.
eds. Handbook of the Birds of the World. Vol. 5. Barn-owls to Hummingbirds. Lynx Edicions, Barcelona. [for Trochilidae]

da Silva, J. M. C., Coelho, G. and Gonzaga, P. 2002. Discovered on the brink of extinction: a new species of pygmy-owl
(Strigidae: Glaucidium) from Atlantic forest of northeastern Brazil. Ararajuba 10 (2): 123-130 [for Glaucidium
mooreorum]

Whittaker, A. 2002. A new species of forest-falcon (Falconidae: Micrastur) from southeastern Amazonia and the
Atlantic rainforests of Brazil. Wilson Bulletin 114 (4): 421-445. [for Micrastur mintoni]

L 166/60

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(c) Reptilia

Andreone, F., Mattioli, F., Jesu, R. and Randrianirina, J. E. 2001. Two new chameleons of the genus Calumma from
north-east Madagascar, with observations on hemipenial morphology in the Calumma furcifer group (Reptilia,
Squamata, Chamaeleonidae). Herpetological Journal 11: 53-68. [for Calumma vatosoa & Calumma vencesi]

Avila Pires, T. C. S. 1995. Lizards of Brazilian Amazonia. Zool. Verh. 299: 706 pp. [for Tupinambis]

Böhme, W. 1997. Eine neue Chamäleon art aus der Calumma gastrotaenia — Verwandtschaft Ost-Madagaskars.
Herpetofauna (Weinstadt) 19 (107): 5-10. [for Calumma glawi]

Böhme, W. 2003. Checklist of the living monitor lizards of the world (family Varanidae). Zoologische Verhandelingen.
Leiden 341: 1-43. [for Varanidae]

Broadley, D. G. 2002. CITES Standard reference for the species of Cordylus (Cordylidae, Reptilia) prepared at the request
of the CITES Nomenclature Committee. CoP12 Inf. 14. [for Cordylus]

Cei, J. M. 1993. Reptiles del noroeste, nordeste y este de la Argentina — herpetofauna de las selvas subtropicales, puna y
pampa. Monografie XIV, Museo Regionale di Scienze Naturali. [for Tupinambis]

Colli, G. R., Péres, A. K. and da Cunha, H. J. 1998. A new species of Tupinambis (Squamata: Teiidae) from central Brazil, with
an analysis of morphological and genetic variation in the genus. Herpetologica 54: 477-492. [for Tupinambis cerradensis]

Dirksen, L. 2002. Anakondas. NTV Wissenschaft. [for Eunectes beniensis]

Hallmann, G., Krüger, J. and Trautmann, G. 1997. Faszinierende Taggeckos — Die Gattung Phelsuma: 1-229 — Natur &
Tier-Verlag. ISBN 3-931587-10-X. [for the genus Phelsuma]

Harvey, M. B., Barker, D. B., Ammerman, L. K. and Chippindale, P. T. 2000. Systematics of pythons of the Morelia
amethistina complex (Serpentes: Boidae) with the description of three new species. Herpetological Monographs 14: 139-185.
[for Morelia clastolepis, Morelia nauta & Morelia tracyae, and elevation to species level of Morelia kinghorni]

Hedges, B. S., Estrada, A. R. and Diaz, L. M. 1999. New snake (Tropidophis) from western Cuba. Copeia 1999(2): 376-
381. [for Tropidophis celiae]

Hedges, B. S. and Garrido, O. 1999. A new snake of the genus Tropidophis (Tropidophiidae) from central Cuba. Journal of
Herpetology 33: 436-441. [for Tropidophis spiritus]

Hedges, B. S., Garrido, O. and Diaz, L. M. 2001. A new banded snake of the genus Tropidophis (Tropidophiidae) from
north-central Cuba. Journal of Herpetology 35: 615-617. [for Tropidophis morenoi]

Hedges, B. S. and Garrido, O. 2002. Journal of Herpetology 36: 157-161. [for Tropidophis hendersoni]

Jacobs, H. J. 2003. A further new emerald tree monitor lizard of the Varanus prasinus species group from Waigeo, West
Irian (Squamata: Sauria: Varanidae). Salamandra 39(2): 65-74. [for Varanus boehmei]

Jesu, R., Mattioli, F. and Schimenti, G. 1999. On the discovery of a new large chameleon inhabiting the limestone
outcrops of western Madagascar: Furcifer nicosiai sp. nov. (Reptilia, Chamaeleonidae). Doriana 7(311): 1-14. [for Furcifer
nicosiai]

Karl, H.-V. and Tichy, G. 1999. Mauritiana 17: 277-284. [for turtles and tortoises]

Keogh, J. S., Barker, D. G. and Shine, R. 2001. Heavily exploited but poorly known: systematics and biogeography of
commercially harvested pythons (Python curtus group) in Southeast Asia. Biological Journal of the Linnean Society 73:
113-129. [for Python breitensteini & Python brongersmai]

Klaver, C. J. J. and Böhme, W. 1997. Chamaeleonidae. Das Tierreich 112: 85 pp. [for Bradypodion, Brookesia, Calumma,
Chamaeleo & Furcifer — except for the recognition of Calumma andringitaensis, C. guillaumeti, C. hilleniusi & C.
marojezensis as valid species]

Manzani, P. R. and Abe, A. S. 1997. A new species of Tupinambis Daudin, 1802 (Squamata, Teiidae) from central Brazil.
Boletim do Museu Nacional Nov. Ser. Zool. 382: 1-10. [for Tupinambis quadrilineatus]

Manzani, P. R. and Abe, A. S. 2002. Arquivos do Museu Nacional, Rio de Janeiro 60(4): 295-302. [for Tupinambis
palustris]

19.6.2006

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Official Journal of the European Union

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Massary, J.-C. de and Hoogmoed, M. 2001. The valid name for Crocodilurus lacertinus auctorum (nec Daudin, 1802)
(Squamata: Teiidae). Journal of Herpetology 35: 353-357. [for Crocodilurus amazonicus]

McCord, W. P., Iverson, J. B., Spinks, P. Q. and Shaffer, H. B. 2000. A new genus of Geoemydid turtle from Asia.
Hamadryad 25: 86-90. [for Leucocephalon]

McCord, W. P. and Pritchard, P. C. H. 2002. A review of the softshell turtles of the genus Chitra, with the description of
new taxa from Myanmar and Indonesia (Java). Hamadryad 27 (1): 11-56. [for Chitra vandijki]

McDiarmid, R. W., Campbell, J. A. and Touré, T. A. 1999. Snake Species of the World. A Taxonomic and Geographic
Reference. Volume 1. The Herpetologists’ League, Washington, DC. [for Loxocemidae, Pythonidae, Boidae, Bolyeriidae,
Tropidophiidae & Viperidae — except for the retention of the genera Acrantophis, Sanzinia, Calabaria & Lichanura and
the recognition of Epicrates maurus as a valid species]

Nussbaum, R. A., Raxworthy, C. J., Raselimanana, A. P. and Ramanamanjato, J. B. 2000. New species of day gecko,
Phelsuma Gray (Reptilia: Squamata: Gekkonidae),
from the Reserve Naturelle Integrale d'Andohahela, south
Madagascar. Copeia 2000: 763-770. [for Phelsuma malamakibo]

Perälä, J. 2001. A new species of Testudo (Testudines: Testudinidae) from the Middle East, with implications for
conservation. Journal of Herpetology 35: 567-582. [for Testudo werneri]

Pough, F. H., Andrews, R. M., Cadle, J. E., Crump, M. L., Savitzky, A. H. and Wells, K. D. 1998. Herpetology. [for
delimitation of families within the Sauria]

Rösler, H., Obst, F. J. and Seipp, R. 2001. Eine neue Taggecko-Art von Westmadagaskar: Phelsuma hielscheri sp. n.
(Reptilia: Sauria: Gekkonidae). Zool. Abhandl. Staatl. Mus. Tierk. Dresden 51: 51-60. [for Phelsuma hielscheri]

Slowinski, J. B. and Wüster, W. 2000. A new cobra (Elapidae: Naja) from Myanmar (Burma). Herpetologica 56: 257-
270. [for Naja mandalayensis]

Tilbury, C. 1998. Two new chameleons (Sauria: Chamaeleonidae) from isolated Afromontane forests in Sudan and
Ethiopia. Bonner Zoologische Beiträge 47: 293-299. [for Chamaeleo balebicornutus & Chamaeleo conirostratus]

Webb, R. G. 2002. Observations on the Giant Softshell Turtle, Pelochelys cantorii, with description of a new species.
Hamadryad 27 (1): 99-107. [for Pelochelys signifera]

Wermuth, H. and Mertens, R. 1996 (reprint). Schildkröte, Krokodile, Brückenechsen. Gustav Fischer Verlag, Jena. [for
Crocodylia, Testudinata & Rhynchocephalia]

Wilms, T. 2001. Dornschwanzagamen: Lebensweise, Pflege, Zucht: 1-142 — Herpeton Verlag, ISBN 3-9806214-7-2. [for
the genus Uromastyx]

Wüster, W. 1996. Taxonomic change and toxinology: systematic revisions of the Asiatic cobras Naja naja species
complex. Toxicon 34: 339-406. [for Naja atra, Naja kaouthia, Naja oxiana, Naja philippinensis, Naja sagittifera, Naja
samarensis, Naja siamensis, Naja sputatrix & Naja sumatrana]

(d) Amphibia

Frost, D. R., ed. 2002. Amphibian Species of the World: a taxonomic and geographic reference. http://research.amnh.org/
herpetology/amphibia/index.html as of 23 August 2002.

(e)

Elasmobranchii, Actinopterygii & Sarcopterygii

Eschmeier, W. N. 1998. Catalog of Fishes. 3 vols. California Academy of Sciences. [for all fishes]

Horne, M. L., 2001. A new seahorse species (Syngnathidae: Hippocampus) from the Great Barrier Reef — Records of the
Australian Museum 53: 243-246. [for Hippocampus]

Kuiter, R. H., 2001. Revision of the Australian seahorses of the genus Hippocampus (Syngnathiformes: Syngnathidae)
with a description of nine new species — Records of the Australian Museum 53: 293-340. [for Hippocampus]

Kuiter, R. H., 2003. A new pygmy seahorse (Pisces: Syngnathidae: Hippocampus) from Lord Howe Island — Records of
the Australian Museum 55: 113-116. [for Hippocampus]

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Lourie, S. A., and J. E. Randall, 2003. A new pygmy seahorse, Hippocampusdenise (Teleostei: Syngnathidae), from the
Indo-Pacific — Zoological Studies 42: 284-291. [for Hippocampus]

Lourie, S. A., A. C. J. Vincent and H. J. Hall, 1999. Seahorses. An identification guide to the world’s species and their
conservation. Project Seahorse, ISBN 0 9534693 0 1 (Second edition available on CD-ROM). [for Hippocampus]

(f) Arachnida

Lourenço, W. R. and Cloudsley-Thompson, J. C. 1996. Recognition and distribution of the scorpions of the genus
Pandinus Thorell, 1876 accorded protection by the Washington Convention. Biogeographica 72(3): 133-143. [for
scorpions of the genus Pandinus]

Platnick, N. I. 2004 and updates. The World Spider Catalog. Online edition at the following URL: http://research.
amnh.org/entomology/spiders/catalog/THERAPHOSIDAE.html. [for spiders of the genus Brachypelma]

(g)

Insecta

Matsuka, H. 2001. Natural History of Birdwing Butterflies: 1-367. Matsuka Shuppan, Tokyo. ISBN 4-9900697-0-6. [for
birdwing butterflies of the genera Ornithoptera, Trogonoptera and Troides]

FLORA

The Plant-Book, second edition, [D. J. Mabberley, 1997, Cambridge University Press (reprinted with corrections 1998) [for the
generic names of all plants included in the Appendices to the Convention, unless they are superseded by standard checklists
adopted by the Conference of the Parties].

A Dictionary of Flowering Plants and Ferns, 8th edition, (J. C. Willis, revised by H. K. Airy Shaw, 1973, Cambridge University
Press) [for generic synonyms not mentioned in The Plant-Book, unless they are superseded by standard checklists adopted by
the Conference of the Parties as referenced in the remaining paragraphs below].

A World List of Cycads (D. W. Stevenson, R. Osborne and K. D. Hill, 1995; In: P. Vorster (Ed.), Proceedings of the Third
International Conference on Cycad Biology, pp. 55-64, Cycad Society of South Africa, Stellenbosch) and its updates accepted
by the Nomenclature Committee, as a guideline when making reference to names of species of Cycadaceae, Stangeriaceae &
Zamiaceae.

CITES Bulb Checklist (A. P. Davis et al., 1999, compiled by the Royal Botanic Gardens, Kew, United Kingdom of Great Britain
and Northern Ireland) and its updates accepted by the Nomenclature Committee, as a guideline when making reference to
the names of species of Cyclamen (Primulaceae) & Galanthus & Sternbergia (Liliaceae).

CITES Cactaceae Checklist, second edition, (1999, compiled by D. Hunt, Royal Botanic Gardens, Kew, United Kingdom of
Great Britain and Northern Ireland) and its updates accepted by the Nomenclature Committee, as a guideline when making
reference to names of species of Cactaceae.

CITES Carnivorous Plant Checklist, second edition, (B. von Arx et al., 2001, Royal Botanic Gardens, Kew, United Kingdom of
Great Britain and Northern Ireland) and its updates accepted by the Nomenclature Committee, as a guideline when making
reference to names of species of Dionaea, Nepenthes & Sarracenia.

CITES Aloe and Pachypodium Checklist
(U. Eggli et al., 2001, compiled by Städtische Sukkulenten-Sammlung, Zurich,
Switzerland, in collaboration with Royal Botanic Gardens, Kew, United Kingdom of Great Britain and Northern Ireland) and
its updates accepted by the Nomenclature Committee, as a guideline when making reference to the names of species of Aloe
& Pachypodium.

World Checklist and Bibliography of Conifers (A. Farjon, 2001) and the updates accepted by the Nomenclature Committee, as a
guideline when making reference to the names of species of Taxus.

CITES Orchid Checklist, (compiled by the Royal Botanic Gardens, Kew, United Kingdom of Great Britain and Northern
Ireland) and the updates accepted by the Nomenclature Committee, as a guideline when making reference to the names of
species of Cattleya, Cypripedium, Laelia, Paphiopedilum, Phalaenopsis, Phragmipedium, Pleione and Sophronitis (Volume 1, 1995);
Cymbidium, Dendrobium, Disa, Dracula & Encyclia (Volume 2, 1997); & Aerangis, Angraecum, Ascocentrum, Bletilla, Brassavola,
Calanthe, Catasetum, Miltonia, Miltonioides & Miltoniopsis, Renanthera, Renantherella, Rhynchostylis, Rossioglossum, Vanda &
Vandopsis (Volume 3, 2001).

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The CITES Checklist of Succulent Euphorbia Taxa (Euphorbiaceae), Second edition (S. Carter and U. Eggli, 2003, published by the
Federal Agency for Nature Conservation, Bonn, Germany) following notification of its publication and comments from the
Parties, and the updates accepted by the Nomenclature Committee, as a guideline when making reference to the names of
species of succulent euphorbias.

Dicksonia species of the Americas (2003, compiled by Bonn Botanic Garden and the Federal Agency for Nature Conservation,
Bonn, Germany) following notification of its publication and comments from the Parties and the updates accepted by the
Nomenclature Committee, as a guideline when making reference to the names of species of Dicksonia.

The Checklist of CITES species (2005 and its updates) published by UNEP -WCMC may be used as an informal overview of the
scientific names that were adopted by the Conference of the Parties for the animal species that are listed in the Appendices
to the Convention, and as an informal summary of information contained in the standard references that were adopted for
CITES nomenclature.

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ANNEX IX

1.

Codes for the indication in permits and certificates of the purpose
of a transaction, referred to in Article 5(5)

2.

Codes for the indication in permits and certificates of the source of
specimens, referred to in Article 5(6)

W Specimens taken from the wild
R
D

Specimens originating from a ranching operation
Annex A animals bred in captivity for commercial purposes
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
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
Annex A animals bred in captivity for non-commercial
purposes and Annexes B and C animals bred in captivity in
accordance with Chapter XIII of Regulation (EC) No 865/
2006, as well as parts and derivatives thereof
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
Confiscated or seized specimens (1)
Pre-Convention (1)
Source unknown (must be justified)

A

C

F

I
O
U

B

E

G

H

L

M

N

P

Q

S

T

Z

Breeding in captivity or artificial propagation

Educational

Botanical gardens

Hunting trophies

Law enforcement/judicial/forensic

Medical (including bio-medical research)

Reintroduction or introduction into the wild

Personal

Circuses and travelling exhibitions

Scientific

Commercial

Zoos

(1) To be used only in conjunction with another source code.

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ANNEX X

ANIMAL SPECIES REFERRED TO IN ARTICLE 62(1)

Aves

ANSERIFORMES

Anatidae

Anas laysanensis

Anas querquedula

Aythya nyroca

Branta ruficollis

Branta sandvicensis

Oxyura leucocephala

GALLIFORMES

Phasianidae

Catreus wallichi

Colinus virginianus ridgwayi

Crossoptilon crossoptilon

Crossoptilon mantchuricum

Lophophurus impejanus

Lophura edwardsi

Lophura swinhoii

Polyplectron emphanum

Syrmaticus ellioti

Syrmaticus humiae

Syrmaticus mikado

COLUMBIFORMES

Columbidae

Columba livia

PSITTACIFORMES

Psittacidae

Cyanoramphus novaezelandiae

Psephotus dissimilis

PASSERIFORMES

Fringillidae

Carduelis cucullata

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ANNEX XI

Types of biological samples referred to in Article 18 and their use

Type of sample

Typical size of sample

Use of sample

Blood, liquid

Blood, dry (smear)

Drops or 5 ml of whole blood in
a tube with anticoagulant; may
deteriorate in 36 hours

Haematology and standard biochemical tests to
diagnose disease; taxonomic research; biome-
dical research

A drop of blood spread on a
microscope slide, usually fixed
with chemical fixative

Blood counts and screening for disease parasites

Blood, clotted (serum)

5 ml of blood in tube with or
without a blood clot

Serology and detection of antibodies for
evidence of disease; biomedical research

Tissues, fixed

5 mm3 pieces of tissues in a
fixative

Histology and electron microscopy to detect
signs of disease; taxonomic research; biomedi-
cal research

Tissues, fresh (excluding ova,
sperm and embryos)

5 mm3 pieces of tissues, some-
times frozen

Swabs

Hair, skin, feathers, scales

Tiny pieces of tissue in a tube on
a swab

Small, sometimes tiny pieces of
skin surface in a tube (up to 10
ml in volume) with or without
fixative

Cell lines and tissue cultures

No limitation of sample size

Microbiology and toxicology to detect organ-
isms and poisons; taxonomic research; biome-
dical research

Growing bacteria, fungi, etc. to diagnose disease

Genetic and forensic tests and detection of
parasites and pathogens and other tests

Cell lines are artificial products cultured either
as primary or continuous cell lines that are used
extensively in testing the production of vaccines
or other medical products and taxonomic
research (e.g. chromosome studies and extrac-
tion of DNA)

DNA

Small amounts of blood (up to 5
ml), hair, feather follicle, muscle
and organ tissue (e.g. liver, heart,
etc.), purified DNA, etc.

Sex determination; identification; forensic
investigations; taxonomic research; biomedical
research

Secretions, (saliva, venom, milk)

1-5 ml in vials

Phylogenetic research, production of anti-
venom, biomedical research

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ANNEX XII

Correlation Table

Regulation (EC) No 1808/2001

This Regulation

Article 1 (a) and (b)

Article 1 (c)

Article 1 (d), (e) and (f)

—

Article 2(1) and (2)

—

Article 2(3) and (4)

Article 3

Article 4(1) and (2)

Article 4(3) (a) and (b)

—

Article 1 (1) and (2)

—

Article 1 (3), (4) and (5)

Article 1 (6), (7) and (8)

Article 2(1) and (2)

Article 2(3) and (4)

Article 2(5) and (6)

Article 3

Article 4(1) and (2)

Article 5, first paragraph, (1) and (2)

Article 5, first paragraph, (3)

Article 4(3) (c), (d) and (e)

Article 5, first paragraph, (4), (5) and (6)

Article 4(4)

Article 4(5)

Article 5

Article 6

Article 7(1)

Article 7(2)

Article 7(3) and (4)

Article 8(1)

Article 8(2)

Article 8(3)

Article 8(4)

Article 8(5)

Article 8(6) and (7)

—

Article 9

Article 10

Article 11

Article 12

Article 13

Article 6

Article 7

Article 8

Article 9

Article 10

Article 11

Article 12

Article 13

Article 14

Article 15(1) and (2)

Article 15(3) and (4)

Article 16

Article 17

Article 18-19

Article 20

Article 21

Article 22

Article 23

Article 24

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Regulation (EC) No 1808/2001

This Regulation

Article 14

Article 15

Article 16

Article 17

Article 18

—

Article 19

Article 20(1)

Article 20(2)

Article 25

Article 26

Article 27

Article 28

Article 29

Articles 30-44

Article 45

Article 46

Article 47

Article 20(3) (a) and (b)

Article 48(1) (a) and (b)

Article 20(3) (c)

—

Article 20(3) (d) and (e)

Article 48(1) (c) and (d)

Article 20(4)

Article 20(5) and (6)

Article 49

Article 50(1) and (2)

Article 21

Article 22

Article 23

Article 24

Article 25

Article 26

Article 51

Article 52

Article 53

Article 54

Article 55

Article 56

Article 27(1) first and second indents and subsequent text

Article 57(1) (a), (b) and (c)

Article 27(2), (3) and (4)

Article 57(2), (3) and (4)

Article 27(5) (a) and (b)

—

Article 57(5) (a) and (b)

Article 57(5) (c) and (d)

Article 28(1), first and second indents

Article 58(1) (a) and (b)

Article 28(2) and (3)

Article 58(2) and (3)

Article 28(4) (a) and (b)

Article 58(4)

Article 29

Article 30

Article 31

Article 32

Article 33

Article 34(1)

Article 59

Article 60

Article 61

Article 62

Article 63

—

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Regulation (EC) No 1808/2001

This Regulation

Article 34(2) (a) to (f)

Article 34(2) (g) and (h)

Article 35(1) and (2)

Article 35(3) (a) and (b)

—

Article 36(1)

Article 36(2)

Article 36(3) and (4)

—

Article 36(5)

Article 37

Article 38

Article 39

Article 40

Article 41

Article 42

Article 43

Article 44

Article 45

Annex I

Annex II

—

—

Annex III

Annex IV

Annex V

Annex VI

Annex VII

Annex VIII

—

—

Article 64(1) (a) to (f)

Article 64(2)

Article 65(1) and (2)

Article 65(3)

Article 65(4)

Article 66(1), (2) and (3)

Article 66(4)

Article 66(5) and (6)

Article 66(7)

Article 66(8)

Article 67

Article 68

Article 69

Article 70

Article 71

Article 74

Article 72

Article 73

Article 75

Annex I

Annex II

Annex III

Annex IV

Annex V

Annex VI

Annex VII

Annex VIII

Annex IX

Annex X

Annex XI

Annex XII