50 CFR 23 - current regulations

Pt. 23

50 CFR Ch. I (10–1–10 Edition)

such birds may be taken by firearms,
traps, or other suitable means except
by poison or from aircraft.
(b) Any person exercising any of the
privileges granted by this subpart D
must permit all reasonable times, including during actual operations, any
Service agent, or other game law enforcement officer free and unrestricted
access over the premises on which such
operations have been or are being conducted; and shall furnish promptly to
such officer whatever information he
may require concerning such operations.
(c) The authority to take golden eagles under a depredations control order
issued pursuant to this subpart D only
authorizes the taking of golden eagles
when necessary to seasonally protect
domesticated flocks and herds, and all
such birds taken must be reported and
turned over to a local Bureau Agent.

PART 23—CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA
AND FLORA (CITES)
Subpart A—Introduction
Sec.
23.1 What are the purposes of these regulations and CITES?
23.2 How do I decide if these regulations
apply to my shipment or me?
23.3 What other wildlife and plant regulations may apply?
23.4 What are Appendices I, II, and III?
23.5 How are the terms used in these regulations defined?
23.6 What are the roles of the Management
and Scientific Authorities?
23.7 What office do I contact for CITES information?
23.8 What are the information collection requirements?

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Subpart B—Prohibitions, Exemptions, and
Requirements
23.13 What is prohibited?
23.14 [Reserved]
23.15 How may I travel internationally with
my personal or household effects, including tourist souvenirs?
23.16 What are the U.S. CITES requirements
for urine, feces, and synthetically derived DNA?
23.17 What are the requirements for CITES
specimens traded internationally by diplomatic, consular, military, and other

persons exempt from customs duties or
inspections?
23.18 What CITES documents are required
to export Appendix-I wildlife?
23.19 What CITES documents are required
to export Appendix-I plants?
23.20 What CITES documents are required
for international trade?
23.21 What happens if a country enters a
reservation for a species?
23.22 What are the requirements for in-transit shipments?
23.23 What information is required on U.S.
and foreign CITES documents?
23.24 What code is used to show the source
of the specimen?
23.25 What additional information is required on a non-Party CITES document?
23.26 When is a U.S. or foreign CITES document valid?
23.27 What CITES documents do I present at
the port?

Subpart C—Application Procedures,
Criteria, and Conditions
23.32 How do I apply for a U.S. CITES document?
23.33 How is the decision made to issue or
deny a request for a U.S. CITES document?
23.34 What kinds of records may I use to
show the origin of a specimen when I
apply for a U.S. CITES document?
23.35 What are the requirements for an import permit?
23.36 What are the requirements for an export permit?
23.37 What are the requirements for a re-export certificate?
23.38 What are the requirements for a certificate of origin?
23.39 What are the requirements for an introduction-from-the-sea certificate?
23.40 What are the requirements for a certificate
for
artificially
propagated
plants?
23.41 What are the requirements for a bredin-captivity certificate?
23.42 What are the requirements for a plant
hybrid?
23.43 What are the requirements for a wildlife hybrid?
23.44 What are the requirements to travel
internationally with my personally
owned live wildlife?
23.45 What are the requirements for a preConvention specimen?
23.46 What are the requirements for registering a commercial breeding operation
for Appendix-I wildlife and commercially
exporting specimens?
23.47 What are the requirements for export
of an Appendix-I plant artificially propagated for commercial purposes?
23.48 What are the requirements for a registered scientific institution?

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U.S. Fish and Wildlife Serv., Interior

§ 23.1

23.49 What are the requirements for an exhibition traveling internationally?
23.50 What are the requirements for a sample collection covered by an ATA carnet?
23.51 What are the requirements for issuing
a partially completed CITES document?
23.52 What are the requirements for replacing a lost, damaged, stolen, or accidentally destroyed CITES document?
23.53 What are the requirements for obtaining a retrospective CITES document?
23.54 How long is a U.S. or foreign CITES
document valid?
23.55 How may I use a CITES specimen after
import into the United States?
23.56 What U.S. CITES document conditions
do I need to follow?

Subpart D—Factors Considered in Making
Certain Findings
23.60 What factors are considered in making
a legal acquisition finding?
23.61 What factors are considered in making
a non-detriment finding?
23.62 What factors are considered in making
a finding of not for primarily commercial
purposes?
23.63 What factors are considered in making
a finding that an animal is bred in captivity?
23.64 What factors are considered in making
a finding that a plant is artificially propagated?
23.65 What factors are considered in making
a finding that an applicant is suitably
equipped to house and care for a live
specimen?

Subpart E—International Trade in Certain
Specimens
23.68 How can I trade internationally in
roots of American ginseng?
23.69 How can I trade internationally in fur
skins and fur skin products of bobcat,
river otter, Canada lynx, gray wolf, and
brown bear?
23.70 How can I trade internationally in
American alligator and other crocodilian
skins, parts, and products?
23.71 How can I trade internationally in
sturgeon caviar?
23.72 How can I trade internationally in
plants?
23.73 How can I trade internationally in
timber?
23.74 How can I trade internationally in personal sport-hunted trophies?

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Subpart F—Disposal of Confiscated Wildlife
and Plants
23.78 What happens to confiscated wildlife
and plants?
23.79 How may I participate in the Plant
Rescue Center Program?

Subpart G—CITES Administration
23.84 What are the roles of the Secretariat
and the committees?
23.85 What is a meeting of the Conference of
the Parties (CoP)?
23.86 How can I obtain information on a
CoP?
23.87 How does the United States develop
documents and negotiating positions for
a CoP?
23.88 What are the resolutions and decisions
of the CoP?

Subpart H—Lists of Species
23.89 What are the criteria for listing species in Appendix I or II?
23.90 What are the criteria for listing species in Appendix III?
23.91 How do I find out if a species is listed?
23.92 Are any wildlife or plants, and their
parts, products, or derivatives, exempt?
AUTHORITY: Convention on International
Trade in Endangered Species of Wild Fauna
and Flora (March 3, 1973), 27 U.S.T. 1087; and
Endangered Species Act of 1973, as amended,
16 U.S.C. 1531 et seq.
SOURCE: 72 FR 48448, Aug. 23, 2007, unless
otherwise noted.

Subpart A—Introduction
§ 23.1 What are the purposes of these
regulations and CITES?
(a) Treaty. The regulations in this
part implement the Convention on
International Trade in Endangered
Species of Wild Fauna and Flora, also
known as CITES, the Convention, the
Treaty, or the Washington Convention,
TIAS (Treaties and Other International
Acts Series) 8249.
(b) Purpose. The aim of CITES is to
regulate international trade in wildlife
and plants, including parts, products,
and derivatives, to ensure it is legal
and does not threaten the survival of
species in the wild. Parties, recognize
that:
(1) Wildlife and plants are an irreplaceable part of the natural systems
of the earth and must be protected for
this and future generations.
(2) The value of wildlife and plants is
ever-growing from the viewpoints of
aesthetics, science, culture, recreation,
and economics.
(3) Although countries should be the
best protectors of their own wildlife
and plants, international cooperation
is essential to protect wildlife and

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§ 23.2

50 CFR Ch. I (10–1–10 Edition)

plant species from over-exploitation
through international trade.
(4) It is urgent that countries take
appropriate measures to prevent illegal
trade and ensure that any use of wildlife and plants is sustainable.
(c) National legislation. We, the U.S.
Fish and Wildlife Service (FWS), im-

plement CITES through the Endangered Species Act (ESA).
§ 23.2 How do I decide if these regulations apply to my shipment or me?
Answer the following questions to decide if the regulations in this part
apply to your proposed activity:

Question on proposed activity

Answer and action

(a) Is the wildlife or plant species (including parts, products,
derivatives, whether wild-collected, or born or propagated in
a controlled environment) listed in Appendix I, II, or III of
CITES (see § 23.91)?

(1) YES. Continue to paragraph (b) of this section.
(2) NO. The regulations in this part do not apply.

(b) Is the wildlife or plant specimen exempted from CITES
(see § 23.92)?

(1) YES. The regulations in this part do not apply.
(2) NO. Continue to paragraph (c) of this section.

(c) Do you want to import, export, re-export, engage in international trade, or introduce from the sea?

(1) YES. The regulations in this part apply.
(2) NO. Continue to paragraph (d) of this section.

(d) Was the specimen that you possess or want to enter into
intrastate or interstate commerce unlawfully acquired, illegally traded, or otherwise subject to conditions set out on a
CITES document that authorized import?

(1) YES. The regulations in this part apply. See § 23.13(c)
and (d) and sections 9(c)(1) and 11(a) and (b) of the ESA
(16 U.S.C. 1538(c)(1) and 1540(a) and (b)).
(2) NO. The regulations in this part do not apply.

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§ 23.3 What other wildlife and plant
regulations may apply?
(a) You may need to comply with
other regulations in this subchapter
that require a permit or have additional restrictions. Many CITES species are also covered by one or more
parts of this subchapter or title and
have additional requirements:
(1) Part 15 (exotic birds).
(2) Part 16 (injurious wildlife).
(3) Parts 17 of this subchapter and
222, 223, and 224 of this title (endangered and threatened species).
(4) Parts 18 of this subchapter and 216
of this title (marine mammals).
(5) Part 20 (migratory bird hunting).
(6) Part 21 (migratory birds).
(7) Part 22 (bald and golden eagles).
(b) If you are applying for a permit,
you must comply with the general permit procedures in part 13 of this subchapter. Definitions and a list of birds
protected under the Migratory Bird
Treaty Act can be found in part 10 of
this subchapter.
(c) If you are importing (including introduction from the sea), exporting, or
re-exporting wildlife or plants, you
must comply with the regulations in
part 14 of this subchapter for wildlife
or part 24 of this subchapter for plants.
Activities with plants are also regulated by the U.S. Department of Agri-

culture, Animal and Plant Health Inspection Service (APHIS) and Department of Homeland Security, U.S. Customs and Border Protection (CBP), in 7
CFR parts 319, 355, and 356.
(d) You may also need to comply
with other Federal, State, tribal, or
local requirements.
§ 23.4 What are Appendices I, II, and
III?
Species are listed by the Parties in
one of three Appendices to the Treaty
(see subpart H of this part), each of
which provides a different level of protection and is subject to different requirements. Parties regulate trade in
specimens of Appendix-I, -II, and -III
species and their parts, products, and
derivatives through a system of permits and certificates (CITES documents). Such documents enable Parties
to monitor the effects of the volume
and type of trade to ensure trade is
legal and not detrimental to the survival of the species.
(a) Appendix I includes species threatened with extinction that are or may
be affected by trade. Trade in Appendix-I specimens may take place only in
exceptional circumstances.
(b) Appendix II includes species that
are not presently threatened with extinction, but may become so if their
trade is not regulated. It also includes

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§ 23.5

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species that need to be regulated so
that trade in certain other Appendix-I
or -II species may be effectively controlled; these species are most commonly listed due to their similarity of
appearance to other related CITES species.
(c) Appendix III includes species listed unilaterally by a range country to
obtain international cooperation in
controlling trade.
§ 23.5 How are the terms used in these
regulations defined?
In addition to the definitions contained in part 10 of this subchapter,
and unless the context otherwise requires, in this part:
Affected by trade means that either a
species is known to be in trade and the
trade has or may have a detrimental
impact on the status of the species, or
a species is suspected to be in trade or
there is demonstrable potential international demand for the species that
may be detrimental to the survival of
the species in the wild.
Annotation means an official footnote
to the listing of a species in the CITES
Appendices. A reference annotation
provides information that further explains the listing (such as ‘‘p.e.’’ for
possibly extinct). A substantive annotation is an integral part of a species
listing. It designates whether the listing includes or excludes a geographically separate population, subspecies,
species, group of species, or higher
taxon, and the types of specimens included in or excluded from the listing,
such as certain parts, products, or derivatives. A substantive annotation
may designate export quotas adopted
by the CoP. For species transferred
from Appendix I to II subject to an annotation relating to specified types of
specimens, other types of specimens
that are not specifically included in
the annotation are treated as if they
are Appendix-I specimens.
Appropriate and acceptable destination,
when used in an Appendix-II listing annotation for the export of, or international trade in, live animals, means
that the Management Authority of the
importing country has certified, based
on advice from the Scientific Authority of that country, that the proposed
recipient is suitably equipped to house

and care for the animal (see criteria in
§ 23.65). Such certification must be provided before a CITES document is
issued by the Management Authority
of the exporting or re-exporting country.
Artificially propagated means a cultivated plant that meets the criteria in
§ 23.64.
ATA carnet means a type of international
customs
document
(see
§ 23.50). ATA is a combination of the
French and English words ‘‘Admission
Temporaire/Temporary Admission.’’
Bred for commercial purposes means
any specimen of an Appendix-I wildlife
species bred in captivity for commercial purposes. Any Appendix-I specimen
that does not meet the definition of
‘‘bred for noncommercial purposes’’ is
considered to be bred for commercial
purposes.
Bred
for
noncommercial
purposes
means any specimen of an Appendix-I
wildlife species bred in captivity for
noncommercial purposes, where each
donation, exchange, or loan of the specimen is noncommercial and is conducted between facilities that are involved in a cooperative conservation
program.
Bred in captivity means wildlife that
is captive-bred and meets the criteria
in § 23.63.
Captive-bred means wildlife that is
the offspring (first (F1) or subsequent
generations) of parents that either
mated or otherwise transferred egg and
sperm under controlled conditions if
reproduction is sexual, or of a parent
that was maintained under controlled
conditions when development of the
offspring began if reproduction is asexual, but does not meet the bred-in-captivity criteria (see § 23.63).
Certificate means a CITES document
or CITES exemption document that
identifies on its face the type of certificate it is, including re-export certificate, introduction-from-the-sea certificate, and certificate of origin.
CITES document or CITES exemption
document means any certificate, permit, or other document issued by a
Management Authority of a Party or a
competent authority of a non-Party
whose name and address is on file with

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§ 23.5

50 CFR Ch. I (10–1–10 Edition)

the Secretariat to authorize the international movement of CITES specimens.
Commercial means related to an activity, including actual or intended import, export, re-export, sale, offer for
sale, purchase, transfer, donation, exchange, or provision of a service, that
is reasonably likely to result in economic use, gain, or benefit, including,
but not limited to, profit (whether in
cash or in kind).
Cooperative
conservation
program
means a program in which participating captive- breeding facilities
produce Appendix-I specimens bred for
noncommercial purposes and participate in or support a recovery activity
for that species in cooperation with
one or more of the species’ range countries.
Coral (dead) means pieces of coral in
which the skeletons of the individual
polyps are still intact, but which contain no living coral tissue.
Coral fragments, including coral gravel and coral rubble, means loose pieces
of broken finger-like coral between 2
and 30 mm in diameter that contain no
living coral tissue (see § 23.92 for exemptions).
Coral (live) means pieces of coral that
are alive.
Coral rock means hard consolidated
material greater than 30 mm in diameter that consists of pieces of coral and
possibly also cemented sand, coralline
algae, or other sedimentary rocks that
contain no living coral tissue. Coral
rock includes live rock and substrate,
which are terms for pieces of coral rock
to which are attached live specimens of
other invertebrate species or coralline
algae that are not listed in the CITES
Appendices.
Coral sand means material that consists entirely, or in part, of finely
crushed coral no larger than 2 mm in
diameter and that contains no living
coral tissue (see § 23.92 for exemptions).
Country of origin means the country
where the wildlife or plant was taken
from the wild or was born or propagated in a controlled environment, except in the case of a plant specimen
that qualified for an exemption under
the provisions of CITES, the country of
origin is the country in which the spec-

imen ceased to qualify for the exemption.
Cultivar means a horticulturally derived plant variety that has been selected for specific morphological, physiological, or other characteristics, such
as color, a large flower, or disease resistance.
Cultivated means a plant grown or
tended by humans for human use. A
cultivated plant can be treated as artificially propagated under CITES only if
it meets the criteria in § 23.64.
Export means to send, ship, or carry a
specimen out of a country (for export
from the United States, see part 14 of
this subchapter).
Flasked means plant material obtained in vitro, in solid or liquid media,
transported in sterile containers.
Household effect means a dead wildlife
or plant specimen that is part of a
household move and meets the criteria
in § 23.15.
Hybrid means any wildlife or plant
that results from a cross of genetic material between two separate taxa when
one or both are listed in Appendix I, II,
or III. See § 23.42 for plant hybrids and
§ 23.43 for wildlife hybrids.
Import means to bring, ship, or carry
a specimen into a country (for import
into the United States, see part 14 of
this subchapter).
International trade means the import,
introduction from the sea, export, or
re-export across jurisdictional or international boundaries for any purpose
whether commercial or noncommercial.
In-transit shipment means the transshipment of any wildlife or plant
through an intermediary country when
the specimen remains under customs
control and either the shipment meets
the requirements of § 23.22 or the sample collection covered by an ATA
carnet meets the requirements of
§ 23.50.
Introduction from the sea means transportation into a country of specimens
of any species that were taken in the
marine environment not under the jurisdiction of any country.
ISO country code means the two-letter country code developed by the
International Organization for Standardization (ISO) to represent the name
of a country and its subdivisions.

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U.S. Fish and Wildlife Serv., Interior

§ 23.5

Live rock see the definition for coral
rock.
Management Authority means a governmental agency officially designated
by, and under the supervision of, either
a Party to implement CITES, or a nonParty to serve in the role of a Management Authority, including the issuance
of CITES documents on behalf of that
country.
Noncommercial means related to an
activity that is not commercial. Noncommercial includes, but is not limited
to, personal use.
Non-Party means a country that has
not deposited an instrument of ratification, acceptance, approval, or accession to CITES with the Depositary
Government (Switzerland), or a country that was a Party but subsequently
notified the Depositary Government of
its denunciation of CITES and the denunciation is in effect.
Offspring of first generation (F1) means
a wildlife specimen produced in a controlled environment from parents at
least one of which was conceived in or
taken from the wild.
Offspring of second generation (F2) or
subsequent generations means a wildlife
specimen produced in a controlled environment from parents that were also
produced in a controlled environment.
Parental stock means the original
breeding or propagating specimens that
produced the subsequent generations of
captive or cultivated specimens.
Party means a country that has given
its consent to be bound by the provisions of CITES by depositing an instrument of ratification, acceptance, approval, or accession with the Depositary Government (Switzerland), and for
which such consent is in effect.
Permit means a CITES document that
identifies on its face import permit or
export permit.
Personal effect means a dead wildlife
or plant specimen, including a tourist
souvenir, that is worn as clothing or
accessories or is contained in accompanying baggage and meets the criteria
in § 23.15.
Personal use means use that is not
commercial and is for an individual’s
own consumption or enjoyment.
Precautionary measures means the actions taken that will be in the best interest of the conservation of the spe-

cies when there is uncertainty about
the status of a species or the impact of
trade on the conservation of a species.
Pre-Convention means a specimen
that was acquired (removed from the
wild or born or propagated in a controlled environment) before the date
the provisions of the Convention first
applied to the species and that meets
the criteria in § 23.45, and any product
(including a manufactured item) or derivative made from such specimen.
Primarily commercial purposes means
an activity whose noncommercial aspects do not clearly predominate (see
§ 23.62).
Propagule means a structure, such as
a cutting, seed, or spore, which is capable of propagating a plant.
Readily recognizable means any specimen that appears from a visual, physical, scientific, or forensic examination
or test; an accompanying document,
packaging, mark, or label; or any other
circumstances to be a part, product, or
derivative of any CITES wildlife or
plant, unless such part, product, or derivative is specifically exempt from the
provisions of CITES or this part.
Re-export means to send, ship, or
carry out of a country any specimen
previously imported into that country,
whether or not the specimen has been
altered since import.
Reservation means the action taken
by a Party to inform the Secretariat
that it is not bound by the effect of a
specific listing (see § 23.21).
Scientific Authority means a governmental or independent scientific institution or entity officially designated
by either a Party to implement CITES,
or a non-Party to serve the role of a
Scientific Authority, including making
scientific findings.
Secretariat means the entity designated by the Treaty to perform certain administrative functions (see
§ 23.84).
Shipment means any CITES specimen
in international trade whether for commercial or noncommercial use, including any personal item.
Species means any species, subspecies,
hybrid, variety, cultivar, color or morphological variant, or geographically
separate population of that species.

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50 CFR Ch. I (10–1–10 Edition)

Specimen means any wildlife or plant,
whether live or dead. This term includes any readily recognizable part,
product, or derivative unless otherwise
annotated in the Appendices.
Sustainable use means the use of a
species in a manner and at a level that
maintains wild populations at biologically viable levels for the long
term. Such use involves a determination of the productive capacity of the
species and its ecosystem to ensure
that utilization does not exceed those
capacities or the ability of the population to reproduce, maintain itself,
and perform its role or function in its
ecosystem.
Trade means the same as international trade.
Transit see the definition for in-transit shipment.
Traveling exhibition means a display
of live or dead wildlife or plants for entertainment, educational, cultural, or
other display purposes that is temporarily moving internationally.

§ 23.6 What are the roles of the Management and Scientific Authorities?
Under Article IX of the Treaty, each
Party must designate a Management
and Scientific Authority to implement
CITES for that country. If a non-Party
wants to trade with a Party, it must
also designate such Authorities. The
names and addresses of these offices
must be sent to the Secretariat to be
included in the Directory. In the
United States, different offices within
the FWS have been designated the Scientific Authority and Management Authority, which for purposes of this section includes FWS Law Enforcement.
When offices share activities, the Management Authority is responsible for
dealing primarily with management
and regulatory issues and the Scientific Authority is responsible for
dealing
primarily
with
scientific
issues. The offices do the following:

U.S.
Scientific
Authority

Roles

(a) Provide scientific advice and recommendations, including advice on biological findings for applications
for certain CITES documents, registrations, and export program approvals. Evaluate the conservation status of species to determine if a species listing or change in a listing is warranted. Interpret listings and review nomenclatural issues.

x

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(b) Review applications for CITES documents and issue or deny them based on findings required by
CITES.

x

(c) Communicate with the Secretariat and other countries on scientific, administrative, and enforcement
issues.

x

(d) Ensure that export of Appendix-II specimens is at a level that maintains a species throughout its range
at a level consistent with its role in the ecosystems in which it occurs and well above the level at which it
might become eligible for inclusion in Appendix I.

x

x

(e) Monitor trade in all CITES species and produce annual reports on CITES trade.

x

(f) Collect the cancelled foreign export permit or re-export certificate and any corresponding import permit
presented for import of any CITES specimen. Collect a copy of the validated U.S. export permit or re-export certificate presented for export or re-export of any CITES specimen.

x

(g) Produce biennial reports on legislative, regulatory, and administrative measures taken by the United
States to enforce the provisions of CITES.

x

(h) Coordinate with State and tribal governments and other Federal agencies on CITES issues, such as the
status of native species, development of policies, negotiating positions, and law enforcement activities.

x

x

(i) Communicate with the scientific community, the public, and media about CITES issues. Conduct public
meetings and publish notices to gather input from the public on the administration of CITES and the conservation and trade status of domestic and foreign species traded internationally.

x

x

(j) Represent the United States at the meetings of the CoP, on committees (see subpart G of this part), and
on CITES working groups. Consult with other countries on CITES issues and the conservation status of
species. Prepare discussion papers and proposals for new or amended resolutions and species listings
for consideration at the CoP.

x

x

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§ 23.7
U.S.
Scientific
Authority

U.S.
Management
Authority

(k) Provide assistance to APHIS and CBP for the enforcement of CITES. Cooperate with enforcement officials to facilitate the exchange of information between enforcement bodies and for training purposes.

x

x

(l) Provide financial and technical assistance to other governmental agencies and CITES officials of other
countries.

x

x

Roles

§ 23.7

What office do I contact for CITES information?

Contact the following offices to receive information about CITES:

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Type of information

Office to contact

(a) CITES administrative and management issues:
(1) CITES documents, including application forms and
procedures; lists of registered scientific institutions
and operations breeding Appendix-I wildlife for commercial purposes; and reservations
(2) Information on the CoP
(3) List of CITES species
(4) Names and addresses of other countries’ Management and Scientific Authority offices
(5) Notifications, resolutions, and decisions
(6) Standing Committee documents and issues
(7) State and tribal export programs

U.S. Management Authority
U.S. Fish and Wildlife Service
4401 North Fairfax Drive, Room 700
Arlington, Virginia 22203
Toll Free: (800) 358-2104/permit questions
Tel: (703) 358-2095/other questions
Fax: (703) 358-2281/permits
Fax: (703) 358-2298/other issues
E-mail: [email protected]
Website:
http://www.fws.gov/international
www.fws.gov/permits

(b) Scientific issues:
(1) Animals and Plants Committees documents and
issues
(2) Findings of non-detriment and suitability of facilities, and other scientific findings
(3) Listing of species in the Appendices and relevant
resolutions
(4) Names and addresses of other countries’ Scientific
Authority offices and scientists involved with CITESrelated issues
(5) Nomenclatural issues

U.S. Scientific Authority
U.S. Fish and Wildlife Service
4401 North Fairfax Drive, Room 750
Arlington, Virginia 22203
Tel: (703) 358-1708
Fax: (703) 358-2276
E-mail: [email protected]
Website: http://www.fws.gov/international

(c) Wildlife clearance procedures:
(1) CITES replacement tags
(2) Information about wildlife port office locations
(3) Information bulletins
(4) Inspection and clearance of wildlife shipments involving import, introduction from the sea, export,
and re-export, and filing a Declaration of Importation
or Exportation of Fish or Wildlife (Form 3–177)
(5) Validation, certification, or cancellation of CITES
wildlife documents

Law Enforcement
U.S. Fish and Wildlife Service
4401 North Fairfax Drive, Mail Stop LE–3000
Arlington, Virginia 22203
Tel: (703) 358-1949
Fax: (703) 358-2271
Website: http://www.fws.gov/le

(d) APHIS plant clearance procedures:
(1) Information about plant port office locations
(2) Inspection and clearance of plant shipments involving:
(i) Import and introduction from the sea of living plants
(ii) Export and re-export of living and nonliving plants
(3) Validation or cancellation of CITES plant documents for the type of shipments listed in paragraph
(d)(2) of this section

U.S. Department of Agriculture APHIS/PPQ
4700 River Road
Riverdale, Maryland 20737–1236
Toll Free: (877) 770-5990/permit questions
Tel: (301) 734-8891/other CITES issues
Fax: (301) 734-5786/permit questions
Fax: (301) 734-5276/other CITES issues
Website: http://www.aphis.usda.gov/plantlhealth

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§ 23.8

50 CFR Ch. I (10–1–10 Edition)
Type of information

Office to contact

(e) CBP plant clearance procedures:
(1) Inspection and clearance of plant shipments involving:
(i) Import and introduction from the sea of
nonliving plants
(ii) Import of living plants from Canada at
designated border ports (7 CFR 319.37–
14(b) and 50 CFR 24.12(d))
(2) Cancellation of CITES plant documents for the
type of shipments listed in paragraph (e)(1) of this
section

Department of Homeland Security
U.S. Customs and Border Protection
Office of Field Operations
Agriculture Programs and Liaison
1300 Pennsylvania Avenue, NW, Room 2.5 B
Washington, DC 20229
Tel: (202) 344-3298
Fax: (202) 344-1442

(f) General information on CITES:
(1) CITES export quota information
(2) CITES’Guidelines for transport and preparation for
shipment of live wild animals and plants
(3) Information about the Secretariat
(4) Names and addresses of other countries’ Management and Scientific Authority offices
(5) Official documents, including resolutions, decisions, notifications, CoP documents, and committee
documents
(6) Official list of CITES species and species database
(7) Text of the Convention

CITES Secretariat
Website: http://www.cites.org

§ 23.8 What are the information collection requirements?
The Office of Management and Budget approved the information collection
requirements for application forms and
reports contained in this part and assigned OMB Control Numbers 1018–0093
and 1018–0137. We cannot collect or
sponsor a collection of information and
you are not required to provide information unless it displays a currently
valid OMB control number.

Subpart B—Prohibitions,
Exemptions, and Requirements

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§ 23.13

What is prohibited?

Except as provided in § 23.92, it is unlawful for any person subject to the jurisdiction of the United States to conduct any of the following activities unless they meet the requirements of this
part:
(a) Import, export, re-export, or engage in international trade with any
specimen of a species listed in Appendix I, II, or III of CITES.
(b) Introduce from the sea any specimen of a species listed in Appendix I or
II of CITES.
(c) Possess any specimen of a species
listed in Appendix I, II, or III of CITES
imported, exported, re-exported, introduced from the sea, or traded contrary
to the provisions of CITES, the ESA, or
this part.

(d) Attempt to commit, solicit another to commit, or cause to be committed any of the activities described
in paragraphs (a) through (c) of this
section.
§ 23.14

[Reserved]

§ 23.15 How may I travel internationally with my personal or household
effects, including tourist souvenirs?
(a) Purpose. Article VII(3) of the
Treaty recognizes a limited exemption
for the international movement of personal and household effects.
(b) Stricter national measures. The exemption for personal and household effects does not apply if a country prohibits or restricts the import, export,
or re-export of the item.
(1) You or your shipment must be accompanied by any document required
by a country under its stricter national
measures.
(2) In the United States, you must
obtain any permission needed under
other regulations in this subchapter
(see § 23.3).
(c) Required CITES documents. You
must obtain a CITES document for personal or household effects and meet the
requirements of this part if one of the
following applies:
(1) The Management Authority of the
importing, exporting, or re-exporting
country requires a CITES document.

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U.S. Fish and Wildlife Serv., Interior

§ 23.15

(2) You or your shipment does not
meet all of the conditions for an exemption as provided in paragraphs (d)
through (f) of this section.
Major group

Species (Appendix II only)

(3) The personal or household effect
for the following species exceeds the
quantity
indicated
in
paragraphs
(c)(3)(i) through (vi) in the table below:
Quantity 1

Type of specimen

Fishes

(i) Acipenseriformes (sturgeon, including paddlefish)

Sturgeon caviar (see § 23.71)

125 gm

Fishes

(ii) Hippocampus spp. (seahorses)

Dead specimens, parts, products
(including manufactured items),
and derivatives

4

Reptiles

(iii)
Crocodylia
(alligators,
caimans, crocodiles, gavial)

Dead specimens, parts, products
(including manufactured items),
and derivatives

4

Molluscs

(iv) Strombus gigas (queen conch)

Shells

3

Molluscs

(v) Tridacnidae (giant clams)

Shells, each of which may be one
intact shell or two matching
halves

3 shells, total not exceeding 3 kg

Plants

(vi) Cactaceae (cacti)

Rainsticks

3

1 To

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import, export, or re-export more than the quantity listed in the table, you must have a valid CITES document for the entire quantity.

(d) Personal effects. You do not need a
CITES document to import, export, or
re-export any legally acquired specimen of a CITES species to or from the
United States if all of the following
conditions are met:
(1) No live wildlife or plant (including
eggs or non-exempt seeds) is included.
(2) No specimen from an Appendix-I
species is included, except for certain
worked African elephant ivory as provided in paragraph (f) of this section.
(3) The specimen and quantity of
specimens are reasonably necessary or
appropriate for the nature of your trip
or stay and, if the type of specimen is
one listed in paragraph (c)(3) of this
section, the quantity does not exceed
the quantity given in the table.
(4) You own and possess the specimen
for personal use, including any specimen intended as a personal gift.
(5) You are either wearing the specimen as clothing or an accessory or taking it as part of your personal baggage,
which is being carried by you or
checked as baggage on the same plane,
boat, vehicle, or train as you.
(6) The specimen was not mailed or
shipped separately.
(e) Household effects. You do not need
a CITES document to import, export,
or re-export any legally acquired specimen of a CITES species that is part of
a shipment of your household effects

when moving your residence to or from
the United States, if all of the following conditions are met:
(1) The provisions of paragraphs (d)(1)
through (3) of this section are met.
(2) You own the specimen and are
moving it for personal use.
(3) You import or export your household effects within 1 year of changing
your residence from one country to another.
(4) The shipment, or shipments if you
cannot move all of your household effects at one time, contains only specimens purchased, inherited, or otherwise acquired before you changed your
residence.
(f) African elephant worked ivory. You
may export or re-export from the
United States worked African elephant
(Loxodonta africana) ivory and then reimport it without a CITES document if
all of the following conditions are met:
(1) The worked ivory is a personal or
household effect that meets the requirements of paragraphs (c) through
(e) of this section and you are a U.S.
resident who owned the worked ivory
before leaving the United States and
intend to bring the item back to the
United States.
(2) The ivory is pre-Convention (see
§ 23.45). (The African elephant was first
listed in CITES on February 26, 1976.)

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§ 23.16

50 CFR Ch. I (10–1–10 Edition)

(3) You may not sell or transfer the
ivory while outside the United States.
(4) The ivory is substantially worked
and is not raw. Raw ivory means an African elephant tusk, or any piece of
tusk, the surface of which, polished or
unpolished, is unaltered or minimally
carved, including ivory mounted on a
stand or part of a trophy.
(5) When you return, you are able to
provide records, receipts, or other documents to show that the ivory is preConvention and that you owned and
registered it before you left the United
States. To register such an item you
must obtain one of the following documents:
(i) U.S. CITES pre-Convention certificate.
(ii) FWS Declaration of Importation
or Exportation of Fish or Wildlife
(Form 3–177).
(iii) Customs and Border Protection
Certificate of Registration for Personal
Effects Taken Abroad (Form 4457).
[72 FR 48448, Aug. 23, 2007, as amended at 73
FR 40986, July 17, 2008]

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§ 23.16 What are the U.S. CITES requirements for urine, feces, and
synthetically derived DNA?
(a) CITES documents. We do not require CITES documents to trade in
urine, feces, or synthetically derived
DNA.
(1) You must obtain any collection
permit and CITES document required
by the foreign country.
(2) If the foreign country requires
you to have a U.S. CITES document for
these kinds of samples, you must apply
for a CITES document and meet the requirements of this part.
(b) Urine and feces. Except as provided in paragraph (a) of this section,

we consider urine and feces to be wildlife byproducts, rather than parts,
products, or derivatives, and exempt
them from the requirements of CITES
and this part.
(c) DNA. We differentiate between
DNA directly extracted from blood and
tissue and DNA synthetically derived
as follows:
(1) A DNA sample directly derived
from wildlife or plant tissue is regulated by CITES and this part.
(2) A DNA sample synthetically derived that does not contain any part of
the original template is exempt from
the requirements of CITES and this
part.
§ 23.17 What are the requirements for
CITES specimens traded internationally by diplomatic, consular,
military, and other persons exempt
from customs duties or inspections?
A specimen of a CITES species imported, introduced from the sea, exported, or re-exported by a person receiving duty-free or inspection exemption privileges under customs laws
must meet the requirements of CITES
and the regulations in this part.
§ 23.18 What CITES documents are required to export Appendix-I wildlife?
Answer the questions in the following decision tree to find the section
in this part that applies to the type of
CITES document you need to export
Appendix-I wildlife. See § 23.20(d) for
CITES exemption documents or § 23.92
for specimens that are exempt from the
requirements of CITES and do not need
CITES documents.

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U.S. Fish and Wildlife Serv., Interior

§ 23.19

50 CFR Ch. I (10–1–10 Edition)

§ 23.19 What CITES documents are required to export Appendix-I plants?

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Answer the questions in the following decision tree to find the section
in this part that applies to the type of

CITES document you need to export
Appendix-I plants. See § 23.20(d) for
CITES exemption documents or § 23.92
for specimens that are exempt from the
requirements of CITES and do not need
CITES documents.

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§ 23.20

§ 23.20 What CITES documents are required for international trade?
(a) Purpose. Articles III, IV, and V of
the Treaty give the types of standard

CITES documents that must accompany an Appendix-I, -II, or -III specimen in international trade. Articles

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U.S. Fish and Wildlife Serv., Interior

§ 23.20

50 CFR Ch. I (10–1–10 Edition)

VII and XIV recognize some exemptions and provide that a CITES document must accompany most exempt
specimens.
(b) Stricter national measures. Before
importing, introducing from the sea,
exporting, or re-exporting a specimen,
check with the Management Authorities of all countries concerned to obtain any documentation required under
stricter national measures.
(c) CITES documents. Except as provided in the regulations in this part,
you must have a valid CITES document
to engage in international trade in any
CITES specimen.
(d) CITES exemption documents. The
following table lists the CITES exemp-

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Type of specimen or activity

tion document that you must obtain
before conducting a proposed activity
with an exempt specimen (other than
specimens exempted under § 23.92). If
one of the exemptions does not apply
to the specimen, you must obtain a
CITES document as provided in paragraph (e) of this section. The first column in the following table alphabetically lists the type of specimen or activity that may qualify for a CITES exemption document. The last column indicates the section of this part that
contains information on the application procedures, provisions, criteria,
and conditions specific to each CITES
exemption document, as follows:

Appendix

CITES exemption document

Section

(1) Artificially propagated plant (see
paragraph (d)(4) of this section for an
Appendix-I plant propagated for commercial purposes)

I, II, or III

CITES document with source code ‘‘A’’1

23.40

(2) Artificially propagated plant from a
country that has provided copies of the
certificates, stamps, and seals to the
Secretariat

II or III

Phytosanitary
statement 1

23.23(f)

(3) Bred-in-captivity wildlife (see paragraph (d)(5) of this section for Appendix-I wildlife bred in captivity for commercial purposes)

I, II, or III

CITES document with source code ‘‘C’’1

23.41

(4) Commercially propagated Appendix-I
plant

I

CITES document with source code ‘‘D’’1

23.47

(5) Commercially bred Appendix-I wildlife
from a breeding operation registered
with the CITES Secretariat

I

CITES document with source code ‘‘D’’1

23.46

(6) Export of certain marine specimens
protected under a pre-existing treaty,
convention, or international agreement
for that species

II

CITES document indicating that the
specimen was taken in accordance
with provisions of the applicable treaty, convention, or international agreement

23.36(e)
23.39(e)

(7) Hybrid plants

I, II, or III

CITES document unless the specimen
qualifies as an exempt plant hybrid

23.42

(8) Hybrid wildlife

I, II, or III

CITES document unless the specimen
qualifies as an exempt wildlife hybrid

23.43

(9) In-transit shipment (see paragraph
(d)(14) of this section for sample collections covered by an ATA carnet)

I, II, or III

CITES document designating importer
and country of final destination

23.22

(10) Introduction from the sea under a
pre-existing treaty, convention, or
international agreement for that species

II

Document required by applicable treaty,
convention, or international agreement, if appropriate

23.39(d)

(11) Noncommercial loan, donation, or
exchange of specimens between scientific institutions registered with the
CITES Secretariat

I, II, or III

A label indicating CITES and the registration codes of both institutions
and, in the United States, a CITES
certificate of scientific exchange that
registers the institution 3

23.48

certificate

with

CITES

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U.S. Fish and Wildlife Serv., Interior
Type of specimen or activity

§ 23.21

Appendix

CITES exemption document

Section

(12) Personally owned live wildlife for
multiple cross-border movements

I, II, or III

CITES certificate of ownership2

23.44

(13) Pre-Convention specimen

I, II, or III

CITES document indicating pre-Convention status 1

23.45

(14) Sample collection covered by an
ATA carnet

I 4, II, or III

CITES document indicating sample collection 2

23.50

(15) Traveling exhibition

I, II, or III

CITES document indicating specimens
qualify as pre-Convention, bred in
captivity, or artificially propagated 2

23.49

1 Issued

by the Management Authority in the exporting or re-exporting country.
by the Management Authority in the owner’s country of usual residence.
codes assigned by the Management Authorities in both exporting and importing countries.
4 Appendix-I species bred in captivity or artificially propagated for commercial purposes (see §§ 23.46 and 23.47).
2 Issued

3 Registration

(e) Import permits, export permits, reexport certificates, and certificates of origin. Unless one of the exemptions under
paragraph (d) of this section or § 23.92

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Appendix

applies, you must obtain the following
CITES documents before conducting
the proposed activity:
Type of CITES document(s) required

I

Import permit (§ 23.35) and either an export permit (§ 23.36) or re-export certificate (§ 23.37)

II

Export permit (§ 23.36) or re-export certificate (§ 23.37)

III

Export permit (§ 23.36) if the specimen originated in a country that listed the species; certificate of origin (§ 23.38) if the specimen originated in a country other than the listing country,
unless the listing annotation indicates otherwise; or re-export certificate for all re-exports
(§ 23.37)

(f) Introduction-from-the-sea certificates. For introduction from the sea of
Appendix-I or Appendix-II specimens,
you must obtain an introduction-fromthe-sea certificate before conducting
the proposed activity, unless the exemption in paragraph (d)(10) of this
section applies (see § 23.39). The export
of a specimen that was previously introduced from the sea will be treated
as an export (see § 23.36 for export,
§ 23.36(e) and § 23.39(e) for export of exempt specimens, or § 23.37 for re-export). Although an Appendix-III specimen does not require a CITES document to be introduced from the sea,
the subsequent international trade of
the specimen would be considered an
export. For export of an Appendix-III
specimen that was introduced from the
sea you must obtain an export permit
(§ 23.36) if the export is from the country that listed the species in Appendix
III, a certificate of origin (§ 23.38) if the
export is from a country other than the
listing country, or a re-export certificate for all re-exports (§ 23.37).

§ 23.21 What happens if a country enters a reservation for a species?
(a) Purpose. CITES is not subject to
general reservations. Articles XV, XVI,
and XXIII of the Treaty allow a Party
to enter a specific reservation on a species listed in Appendix I, II, or III, or
on parts, products, or derivatives of a
species listed in Appendix III.
(b) General provision. A Party can
enter a reservation in one of the following ways:
(1) A Party must provide written notification to the Depositary Government (Switzerland) on a specific new or
amended listing in the Appendices
within 90 days after the CoP that
adopted the listing, or at any time for
Appendix-III species.
(2) A country must provide written
notification on a specific species listing when the country ratifies, accepts,
approves, or accedes to CITES.
(c) Requesting the United States take a
reservation. You may submit information relevant to the issue of whether
the United States should take a reservation on a species listing to the U.S.

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50 CFR Ch. I (10–1–10 Edition)

Management Authority. The request
must be submitted within 30 calendar
days after the last day of the CoP
where a new or amended listing of a
species in Appendix I or II occurs, or at
any time for a species (or its parts,
products, or derivatives) listed in Appendix III.
(d) Required CITES documents. Except
as provided in paragraph (d)(2) of this

section, Parties treat a reserving Party
as if it were a non-Party for trade in
the species concerned (including parts,
products, and derivatives, as appropriate). The following table indicates
when CITES documents must accompany a shipment and which Appendix
should appear on the face of the document:

If

Then

(1) The shipment is between a Party and a reserving Party, or
the shipment is from a non-Party to a reserving Party and is
in transit through a Party

The shipment must be accompanied by a valid CITES document(s) (see § 23.26) that indicates the CITES Appendix in
which the species is listed.

(2) The shipment is from a reserving Party to another reserving
Party 1 or non-Party and is in transit through a Party

The shipment must be accompanied by a valid CITES document(s) (see § 23.26) that indicates the CITES Appendix in
which the species is listed. 2

(3) The shipment is between a reserving Party and another reserving Party 1 or non-Party and is not in transit through a
Party

No CITES document is required. 2

1 Both reserving Parties must have a reservation for the same species, and if the species is listed in Appendix III, a reservation
for the same parts, products, and derivatives.
2 CITES recommends that reserving Parties treat Appendix-I species as if listed in Appendix II and issue CITES documents
based on Appendix-II permit criteria (see § 23.36). However, the CITES document must show the specimen as listed in Appendix
I. If the United States entered a reservation, such a CITES document would be required.

(e) Reservations taken by countries.
You may consult the CITES website or
contact us (see § 23.7) for a list of countries that have taken reservations and
the species involved.

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§ 23.22 What are the requirements for
in-transit shipments?
(a) Purpose. Article VII(1) of the
Treaty allows for a shipment to transit
an intermediary country that is a
Party before reaching its final destination without the need for the intermediary Party to issue CITES documents. To control any illegal trade,
Parties are to inspect, to the extent
possible under their national legislation, specimens in transit through
their territory to verify the presence of
valid documentation. See § 23.50 for intransit shipment of sample collections
covered by an ATA carnet.
(b) Document requirements. An in-transit shipment does not require a CITES
document from an intermediary country, but must be accompanied by all of
the following documents:
(1) Unless the specimen qualifies for
an exemption under § 23.92, a valid
original CITES document, or a copy of
the valid original CITES document,
that designates the name of the im-

porter in the country of final destination and is issued by the Management
Authority of the exporting or re-exporting country. A copy of a CITES
document is subject to verification.
(2) For shipment of an Appendix-I
specimen, a copy of a valid import permit that designates the name of the
importer in the country of final destination, unless the CITES document
in paragraph (b)(1) of this section is a
CITES
exemption
document
(see
§ 23.20(d)).
(3) Transportation and routing documents that show the shipment has been
consigned to the same importer and
country of final destination as designated on the CITES document.
(c) Shipment requirements. An in-transit shipment, including items in an onboard store, must meet the following:
(1) When in an intermediary country,
an in-transit shipment must stay only
for the time needed to immediately
transfer the specimen to the mode of
transport used to continue to the final
destination and remain under customs
control. Other than during immediate
transfer, the specimen may not be
stored in a duty-free, bonded, or other
kind of warehouse or a free trade zone.

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U.S. Fish and Wildlife Serv., Interior

§ 23.23

(2) At any time during transit, an intransit shipment must not be sold, manipulated, or split unless authorized by
the Management Authority of the
intermediary country for inspection or
enforcement purposes.
(d) Reserving Party or non-Party. All
the requirements of this section apply
to shipments to or from a reserving
Party or non-Party that are being
transshipped through a Party. The
CITES document must treat the specimen as listed in the Appendix as provided in § 23.21(d).
(e) Specimen protected by other regulations. Shipment of a specimen that is
also listed as a migratory bird (part 10
of this subchapter), injurious wildlife
(part 16 of this subchapter), endangered
or threatened species (parts 17 of this
subchapter and 222–224 of this title),
marine mammal (parts 18 of this subchapter and 216 of this title), or bald or
golden eagle (part 22 of this subchapter), and is moving through the
United States is considered an import,
and cannot be treated as an in-transit
shipment (see § 23.3).
§ 23.23 What information is required
on U.S. and foreign CITES documents?
(a) Purpose. Article VI of the Treaty
provides standard information that
must be on a permit and certificate
issued under Articles III, IV, and V. To
identify a false or invalid document,

any CITES document, including a
CITES exemption document issued
under Article VII, must contain standardized information to allow a Party to
verify that the specimen being shipped
is the one listed on the document and
that the trade is consistent with the
provisions of the Treaty.
(b) CITES form. A CITES document
issued by a Party must be on a form
printed in one or more of the three
working languages of CITES (English,
Spanish, or French). A CITES document from a non-Party may be in the
form of a permit or certificate, letter,
or any other form that clearly indicates the nature of the document and
includes the information in paragraphs
(c) through (e) of this section and the
additional information in § 23.25.
(c) Required information. Except for a
phytosanitary certificate used as a
CITES certificate for artificially propagated plants in paragraph (f) of this
section, or a customs declaration label
used to identify specimens being moved
between registered scientific institutions (§ 23.48(e)(5)), a CITES document
issued by a Party or non-Party must
contain the information set out in this
paragraph (listed alphabetically). Specific types of CITES documents must
also contain the additional information identified in paragraph (e) of this
section. A CITES document is valid
only when it contains the following information:

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Required information

Description

(1) Appendix

The CITES Appendix in which the species, subspecies, or population is listed (see § 23.21
when a Party has taken a reservation on a listing).

(2) Applicant’s signature

The applicant’s signature if the CITES document includes a place for it.

(3) Bill of lading, air waybill, or
flight number

As applicable for export or re-export: (i) by ocean or air cargo, the bill of lading or air waybill
number or (ii) in accompanying baggage, the flight number, as recorded on the CITES document by the inspecting official at the port, if known at the time of validation or certification.

(4) Dates

Date of issue and date of expiration (‘‘valid until’’ date on the standardized CITES form), which
is midnight of the date on the CITES document. See § 23.54 for the length of validity for different types of CITES documents.

(5) Description of the specimen

A complete description of the specimen, including whether live or the type of goods. The sex
and age of a live specimen should be recorded, if possible. Such information must be in
English, Spanish, or French on a CITES document from a Party. If a code is used to indicate the type of specimen, it must agree with the Guidelines for preparation and submission
of CITES annual reports available from the CITES website or us (see § 23.7).

(6) Document number

A unique control number. We use a unique 12-character number. The first two characters are
the last two digits of the year of issuance, the next two are the two-letter ISO country code,
followed by a six-digit serial number, and two digits or letters used for national informational
purposes.

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50 CFR Ch. I (10–1–10 Edition)

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Required information

Description

(7) Humane transport of live
wildlife

If the CITES document authorizes the export or re-export of live wildlife, a statement that the
document is valid only if the transport conditions comply with CITES’ Guidelines for transport and preparation for shipment of live wild animals and plants, or in the case of air transport of wildlife, with the International Air Transport Association Live Animals Regulations.
The shipment must comply with the requirements of CITES’ Guidelines for transport and
preparation for shipment of live wild animals and plants, adopted by the Parties in 1979 and
revised in 1981, or, in the case of air transport of wildlife, the Live Animals Regulations
(LAR), 33rd edition, October 1, 2006, by the International Air Transport Association (IATA),
Reference Number: 9105-33, ISBN 92-9195-818-2. The incorporation by reference of these
documents was approved by the Director of the Office of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of CITES’ Guidelines for transport and
preparation for shipment of live wild animals and plants may be obtained from the CITES
Secretariat, International Environment House, Chemin des Ane´mones, CH-1219, Chaˆtelaine,
Geneva, Switzerland, or through the Internet at http://www.cites.org/eng/resources/transport/
E-TranspGuide.pdf. Copies of the IATA LAR may be obtained from IATA, 800 Place Victoria, P.O. Box 113, Montreal, Quebec, Canada H4Z 1M1, by calling 1-800-716-6326, or ordering through the Internet at http://www.iata.org. Copies of these documents may be inspected at the U.S. Management Authority, Fish and Wildlife Service, 4401 N. Fairfax Dr.,
Arlington, VA 22203 or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federallregister/codeloflfederallregulations/ibrllocations.html.

(8) Identification of the specimen

Any unique identification number or mark (such as a tag, band, ring, microchip, label, or serial
number), including any mark required under these regulations or a CITES listing annotation.
For a microchip, the microchip code, trademark of the transponder manufacturer and, where
possible, the location of the microchip in the specimen. If a microchip is used, we may, if
necessary, ask the importer, exporter, or re-exporter to have equipment on hand to read the
microchip at the time of import, export, or re-export.

(9) Management Authority

The complete name and address of the issuing Management Authority as included in the
CITES directory, which is available from the CITES website or us (see § 23.7).

(10) Name and address

The complete name and address, including country, of the exporter and importer.

(11) Purpose of transaction

The purpose of the transaction identified either through a written description of the purpose of
the transaction or by using one of the codes given in paragraph (d) of this section. The code
is determined by the issuing Management Authority through information submitted with an
application. This is not required for a certificate of origin.

(12) Quantity

The quantity of specimens authorized in the shipment and, if appropriate, the unit of measurement using the metric system:
(i) The unit of measurement should be appropriate to the type of specimen and agree with the
Guidelines for the preparation and submission of CITES annual reports available from the
CITES website or us (see § 23.7). General descriptions such as ‘‘one case’’ or ‘‘one batch’’
are not acceptable.
(ii) Weight should be in kilograms. If weight is used, net weight (weight of the specimen alone)
must be stated, not gross weight that includes the weight of the container or packaging.
(iii) Volume should be in cubic meters for logs and sawn wood and either square meters or
cubic meters for veneer and plywood.
(iv) For re-export, if the type of good has not changed since being imported, the same unit of
measurement as on the export permit must be used, except to change to units that are to
be used in the CITES annual report.

(13) Scientific name

The scientific name of the species, including the subspecies when needed to determine the
level of protection of the specimen under CITES, using standard nomenclature as it appears
in the CITES Appendices or the references adopted by the CoP. A list of current references
is available from the CITES website or us (see § 23.7). A CITES document may contain
higher-taxon names in lieu of the species name only under one of the following circumstances:
(i) The CoP has agreed that the use of a higher-taxon name is acceptable for use on CITES
documents.
(A) If the genus cannot be readily determined for coral rock, the scientific name to be
used is the order Scleractinia.
(B) Live and dead coral must be identified to the level of species except where the CoP
has agreed that identification to genus is acceptable. A current list of coral taxa identifiable to genus is available from the CITES website or us (see § 23.7).
(C) Re-export of worked skins or pieces of Tupinambis species that were imported before
August 1, 2000, may indicate Tupinambis spp.
(ii) The issuing Party can show the use of a higher-taxon name is well justified and has communicated the justification to the Secretariat.
(iii) The item is a pre-Convention manufactured product containing a specimen that cannot be
identified to the species level.

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U.S. Fish and Wildlife Serv., Interior

§ 23.23

Required information

Description

(14) Seal or stamp

The embossed seal or ink stamp of the issuing Management Authority.

(15) Security stamp

If a Party uses a security stamp, the stamp must be canceled by an authorized signature and
a stamp or seal, preferably embossed. The number of the stamp must also be recorded on
the CITES document.

(16) Signature

An original handwritten signature of a person authorized to sign CITES documents for the
issuing Management Authority. The signature must be on file with the Secretariat.

(17) Signature name

The name of the person who signed the CITES document.

(18) Source

The source of the specimen. For re-export, unless there is information to indicate otherwise,
the source code on the CITES document used for import of the specimen must be used.
See § 23.24 for a list of codes.

(19) Treaty name

Either the full name or acronym of the Treaty, or the CITES logo.

(20) Type of CITES document

The type of CITES document (import, export, re-export, or other):
(i) If marked ‘‘other,’’ the CITES document must indicate the type of document, such as certificate for artificially propagated plants, certificate for wildlife bred in captivity, certificate of origin, certificate of ownership, introduction-from-the-sea certificate, pre-Convention certificate,
sample collection covered by an ATA carnet, scientific exchange certificate, or traveling-exhibition certificate.
(ii) If multiple types are authorized on one CITES document, the type that applies to each
specimen must be clearly indicated.

(21) Validation or certification

The actual quantity of specimens exported or re-exported:
(i) Using the same units of measurement as those on the CITES document.
(ii) Validated or certified by the stamp or seal and signature of the inspecting authority at the
time of export or re-export.

(d) Purpose of transaction. If the purpose is not identified by a written description, the CITES document must contain one of the following codes:
Code

Purpose of transaction

Code

B ................
E ................
G ...............
H ...............
L ................
M ...............

Breeding in captivity or artificial propagation
Education
Botanical garden
Hunting trophy
Law enforcement/judicial/forensic
Medical research (including biomedical research)

N ...............
P ................
Q ...............
S ................
T ................
Z ................

Purpose of transaction
Reintroduction or introduction into the wild
Personal
Circus and traveling exhibition
Scientific
Commercial
Zoo

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(e) Additional required information. The following describes the additional information that is required for specific types of documents (listed alphabetically):
Type of document

Additional required information

(1) Annex (such as an attached
inventory, conditions, or continuation pages of a CITES
document)

The page number, document number, and date of issue on each page of an annex that is attached as an integral part of a CITES document. An authorized signature and ink stamp or
seal, preferably embossed, of the Management Authority issuing the CITES document must
also be included on each page of the annex. The CITES document must indicate an attached annex and the total number of pages.

(2) Certificate of origin (see
§ 23.38)

A statement that the specimen originated in the country that issued the certificate.

(3) Copy when used in place of
the original CITES document

(i) Information required in paragraph (e)(7) of this section when the document authorizes export or re-export.
(ii) A statement by the Management Authority on the face of the document authorizing the use
of a copy when the document authorizes import.

(4) Export permit for a registered commercial breeding
operation or nursery for Appendix-I specimens (see
§ 23.46)

The registration number of the operation or nursery assigned by the Secretariat, and if the exporter is not the registered operation or nursery, the name of the registered operation or
nursery.

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§ 23.24

50 CFR Ch. I (10–1–10 Edition)

Type of document

Additional required information

(5) Export permit with a quota

Number of specimens, such as 500/1,000, that were:
(i) Exported thus far in the current calendar year, including those covered by the current permit
(such as 500), and
(ii) Included in the current annual quota (such as 1,000).

(6) Import permit (Appendix-I
specimen) (see § 23.35)

A certification that the specimen will not be used for primarily commercial purposes and, for a
live specimen, that the recipient has suitable facilities and expertise to house and care for it.

(7) Replacement CITES document (see § 23.52)

When a CITES document replaces an already issued CITES document that was lost, damaged, stolen, or accidentally destroyed:
(i) If a newly issued CITES document, indication it is a ‘‘replacement,’’ the number and date of
issuance of the CITES document that was replaced, and reason for replacement.
(ii) If a copy of the original CITES document, indication it is a ‘‘replacement’’ and a ‘‘true copy
of the original,’’ a new original signature of a person authorized to sign CITES documents
for the issuing Management Authority, the date signed, and reason for replacement.

(8) Partially completed documents (see § 23.51)

(i) A list of the blocks that must be completed by the permit holder.
(ii) If the list includes scientific names, an inventory of approved species must be included on
the face of the CITES document or in an attached annex.
(iii) A signature of the permit holder, which acts as a certification that the information entered
is true and accurate.

(9) Pre-Convention document
(see § 23.45)

(i) An indication on the face of the CITES document that the specimen is pre-Convention.
(ii) A date that shows the specimen was acquired before the date the Convention first applied
to it.

(10) Re-export certificate (see
§ 23.37)

(i) The country of origin, the export permit number, and the date of issue.
(ii) If previously re-exported, the country of last re-export, the re-export certificate number, and
the date of issue.
(iii) If all or part of this information is not known, a justification must be given.

(11) Retrospective CITES document (see § 23.53)

A clear statement that the CITES document is issued retrospectively and the reason for
issuance.

(12) Sample collection covered
by an ATA carnet (see
§ 23.50)

(i) A statement that the document covers a sample collection and is invalid unless accompanied by a valid ATA carnet.
(ii) The number of the accompanying ATA carnet recorded by the Management Authority, customs, or other responsible CITES inspecting official.

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(f) Phytosanitary certificate. A Party
may use a phytosanitary certificate as
a CITES document under the following
conditions:
(1) The Party has provided copies of
the certificate, stamps, and seals to the
Secretariat.
(2) The certificate is used only when
all the following conditions are met:
(i) The plants are being exported, not
re-exported.
(ii) The plants are Appendix-II species, or are hybrids of one or more Appendix-I species or taxa that are not
annotated to include hybrids.
(iii) The plants were artificially propagated in the exporting country.
(3) The certificate contains the following information:
(i) The scientific name of the species,
including the subspecies when needed

to determine the level of protection of
the specimen under CITES, using
standard nomenclature as it appears in
the CITES Appendices or the references
adopted by the CoP.
(ii) The type (such as live plant or
bulb) and quantity of the specimens authorized in the shipment.
(iii) A stamp, seal, or other specific
indication stating that the specimen is
artificially propagated (see § 23.64).
§ 23.24 What code is used to show the
source of the specimen?
The Management Authority must indicate on the CITES document the
source of the specimen using one of the
following codes, except the code ‘‘O’’
for pre-Convention, which should be
used in conjunction with another code:

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U.S. Fish and Wildlife Serv., Interior

§ 23.26

Source of specimen

Code

(a) Artificially propagated plant (see § 23.40):
(1) An Appendix-II or -III artificially propagated specimen.
(2) An Appendix-I plant specimen artificially propagated for noncommercial purposes or certain Appendix-I
hybrids (see § 23.42) propagated for commercial purposes.

A

(b) Bred-in-captivity wildlife (see § 23.41):
(1) An Appendix-II or -III specimen bred in captivity. (See paragraph (d)(1) of this section for wildlife that
does not qualify as bred in captivity.)
(2) An Appendix-I specimen bred for noncommercial purposes. (See paragraph (c)(1) of this section for an
Appendix-I specimen bred for commercial purposes.)

C

(c) Bred in captivity or artificially propagated for commercial purposes (see §§ 23.46 and 23.47):
(1) An Appendix-I wildlife specimen bred in captivity for commercial purposes at an operation registered
with the Secretariat.
(2) An Appendix-I plant specimen artificially propagated for commercial purposes at a nursery that is registered with the Secretariat or a commercial propagating operation that meets the requirements of
§ 23.47.

D

(d) Captive-bred wildlife (§ 23.36):
(1) An Appendix-II or -III wildlife species that is captive-bred.
(2) An Appendix-I wildlife species that is one of the following:
(i) Captive-bred.
(ii) Bred for commercial purposes, but the commercial breeding operation is not registered with the
Secretariat.
(iii) Bred for noncommercial purposes, but the facility does not meet the definition in § 23.5 because it is not involved in a cooperative conservation program.

F

(e) Confiscated or seized specimen (see § 23.78).

I

(f) Pre-Convention specimen (see § 23.45) (code to be used in conjunction with another code).

O

(g) Ranched wildlife (wildlife that originated from a ranching operation).

R

(h) Source unknown (must be justified on the face of the CITES document).

U

(i) Specimen taken from the wild:
(1) For wildlife, this includes a specimen born in captivity from an egg collected from the wild or from wildlife
that mated or exchanged genetic material in the wild.
(2) For a plant, it includes a specimen propagated from a propagule collected from a wild plant, except as
provided in § 23.64.

W

§ 23.25 What additional information is
required on a non-Party CITES document?
(a) Purpose. Under Article X of the
Treaty, a Party may accept a CITES
document issued by a competent authority of a non-Party only if the docu-

ment substantially conforms to the requirements of the Treaty.
(b) Additional certifications. In addition to the information in § 23.23(c)
through (e), a CITES document issued
by a non-Party must contain the following certifications on the face of the
document:

Activity by a non-Party

Certification

(1) Export

(i) For Appendix-I and -II specimens, the Scientific Authority has advised that the export will
not be detrimental to the survival of the species.
(ii) The Management Authority is satisfied that the specimen was legally acquired.

(2) Import

For Appendix-I specimens, the import will be for purposes that are not detrimental to the survival of the species.

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§ 23.26 When is a U.S. or foreign CITES
document valid?
(a) Purpose. Article VIII of the Treaty
provides that Parties take appropriate
measures to enforce the Convention to

prevent illegal trafficking in wildlife
and plants.
(b) Original CITES documents. A separate original or a true copy of a CITES
document must be issued before the

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§ 23.26

50 CFR Ch. I (10–1–10 Edition)

import, introduction from the sea, export, or re-export occurs, and the document must accompany each shipment.
No copy may be used in place of an
original
except
as
provided
in
§ 23.23(e)(3) or when a shipment is in
transit (see § 23.22). Fax or electronic
copies are not acceptable.

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Key phrase

(c) Acceptance of CITES documents. We
will accept a CITES document as valid
for import, introduction from the sea,
export, or re-export only if the document meets the requirements of this
section, §§ 23.23 through 23.25, and the
following conditions:

Conditions for an acceptable CITES document

(1) Altered or modified CITES
document

The CITES document has not been altered (including by rubbing or scratching out), added to,
or modified in any way unless the change is validated on the document by the stamp and
authorized signature of the issuing Management Authority, or if the document was issued as
a partially completed document, the Management Authority lists on the face of the document
which blocks must be completed by the permit holder.

(2) Annual reports

The Party issuing the CITES document has submitted annual reports and is not subject to any
action under Article VIII paragraph 7(a) that would not allow trade in CITES species.

(3) CITES document

U.S. and foreign CITES documents must meet the general provisions and criteria in subparts
C and E.

(4) Conditions

All conditions on the CITES document are met.

(5) Convention implementation

The Party issuing the CITES document is not subject to any action under Article VIII or Article
XIII paragraph 3 that would not allow trade in the species.

(6) Extension of validity

The validity of a CITES document may not be extended except as provided in § 23.73 for certain timber species.

(7) Fraudulent CITES document or CITES document
containing false information

The CITES document is authentic and does not contain erroneous or misleading information.

(8) Humane transport

Live wildlife or plants were transported in compliance with CITES’ Guidelines for transport and
preparation for shipment of live wild animals and plantsor, in the case of air transport of
wildlife, the International Air Transport Association Live Animals Regulations. (See
§ 23.23(c)(7).)

(9) Legal acquisition

The Party or non-Party issuing the CITES document has made the required legal acquisition
finding.

(10) Management Authority and
Scientific Authority

The CITES document was issued by a Party or non-Party that has designated a Management
Authority and Scientific Authority and has provided information on these authorities to the
Secretariat.

(11) Name of importer and exporter

A CITES document is specific to the name on the face of the document and may not be transferred or assigned to another person.

(12) Non-detriment

The Party or non-Party issuing the CITES document has made the required non-detriment
finding.

(13) Phytosanitary certificate

A phytosanitary certificate may be used to export artificially propagated plants only if the
issuing Party has provided copies of the certificates, stamps, and seals to the Secretariat.

(14) Quota

For species with a quota on file with the Secretariat, the quantity exported from a country does
not exceed the quota.

(15) Registered commercial
breeding operation for Appendix-I wildlife

(i) The operation is included in the Secretariat’s register.
(ii) Each specimen is specifically marked, and the mark is described on the CITES document.

(16) Registered commercial
nursery for Appendix-I plants

The operation is included in the Secretariat’s register.

(17) Retrospective CITES documents

A CITES document was not issued retrospectively except as provided in § 23.53.

(18) Shipment contents

The contents of the shipment match the description of specimens provided on the CITES document, including the units and species. A shipment cannot contain more or different specimens or species than certified or validated on the CITES document at the time of export or
re-export; the quantity of specimens validated or certified may be less, but not more, than
the quantity stated at the time of issuance.

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U.S. Fish and Wildlife Serv., Interior
Key phrase

§ 23.27
Conditions for an acceptable CITES document

(19) Wild-collected specimen

A wild-collected specimen (indicated on the CITES document with a source code of ‘‘W’’) is
not coming from a country that is outside the range of the species, unless we have information indicating that the species has been established in the wild in that country through accidental introduction or other means.

(d) Verification of a CITES document.
We may request verification of a
CITES document from the Secretariat
or a foreign Management Authority before deciding whether to accept it
under some circumstances, including,
but not limited to, the following:
(1) We receive reliable information
that indicates the need for CITES document verification.
(2) We have reasonable grounds to believe that a CITES document is not
valid or authentic because the species
is being traded in a manner detrimental to the survival of the species or
in violation of foreign wildlife or plant
laws, or any applicable Management or
Scientific Authority finding has not
been made.
(3) The re-export certificate refers to
an export permit that does not exist or
is not valid.
(4) We have reasonable grounds to believe that the document is fraudulent,
contains false information, or has unauthorized changes.
(5) We have reasonable grounds to believe that the specimen identified as
bred in captivity or artificially propagated is a wild specimen, was produced
from illegally acquired parental stock,
or otherwise does not qualify for these
exemptions.
(6) The import of a specimen designated as bred in captivity or artificially propagated is from a non-Party.
For an Appendix-I specimen, we must
consult with the Secretariat.
(7) For a retrospectively issued
CITES document, both the importing
and exporting or re-exporting countries’ Management Authorities have

§ 23.27 What CITES documents do I
present at the port?
(a) Purpose. Article VIII of the Treaty
provides that Parties establish an inspection process that takes place at a
port of exit and entry. Inspecting officials must verify that valid CITES documents accompany shipments and take
enforcement action when shipments do
not comply with the Convention.
(b) U.S. port requirements. In the
United States, you must follow the
clearance requirements for wildlife in
part 14 of this subchapter and for
plants in part 24 of this subchapter and
7 CFR parts 319, 352, and 355, and the
specific requirement in paragraphs (c)
and (d) of this section.
(c) General validation or certification
process. Officials in each country inspect the shipment and validate or certify the CITES document. The table in
this paragraph (c) provides information
on:
(1) The types of original CITES documents you must present to be validated
or certified by the inspecting official to
export or re-export from a country.
(2) When you need to surrender a
copy of the original CITES document
to the inspecting official at the time of
export or re-export.
(3) When you need to surrender the
original CITES document to the inspecting official at the time of import
or introduction from the sea.

Present original for export or re-export validation or certification

Type of CITES document

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not agreed to the issuance of the document.
(8) For a replacement CITES document, we need clarification of the reason the document was issued.

Surrender copy upon
export or re-export

Surrender original upon
import or
introductionfrom the sea

Bred-in-captivity certificate

Required

Required

Required

Certificate for artificially propagated plants

Required

Required

Required

Certificate of origin

Required

Required

Required

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§ 23.32

50 CFR Ch. I (10–1–10 Edition)
Present original for export or re-export validation or certification

Type of CITES document

Required

Surrender original upon
import or
introductionfrom the sea

Certificate of ownership

Required

Export permit

Required

Required

Required

Import permit

Not required

Required

Required

Introduction-from-the-sea certificate

Not applicable

Not applicable

Required

Multiple-use document

Required 1

Required

Not required; submit
copy

Phytosanitary certificate

Required

Required

Not required; submit
copy

Pre-Convention document

Required

Required

Required

Re-export certificate

Required

Required

Required

Registered Appendix-I commercial breeding operation, export permit

Required

Required

Required

Registered Appendix-I nursery, export permit

Required

Required

Required

Replacement document where a shipment has
been made and is in a foreign country

Not required

Not required

Required

Replacement document where a shipment has
not left the United States

Required

Required

Required

Retrospective document

Not required

Not required

Required

Sample collection covered by an ATA carnet,
CITES document

Required

Required

Not required; submit
copy

Traveling-exhibition certificate

Required

Required

Not required; submit
copy

1 Original

Not required; submit
copy

must be available for inspection, but permit conditions will indicate whether an original or copy is to be validated.

(d) Customs declaration labels. The customs declaration label used to identify
specimens being moved between registered scientific institutions (§ 23.48)
must be affixed to the shipping container. The label does not require export or re-export validation or certification at the port.

Subpart C—Application Procedures, Criteria, and Conditions
§ 23.32 How do I apply for a U.S.
CITES document?

wwoods2 on DSK1DXX6B1PROD with CFR

Surrender copy upon
export or re-export

(a) To apply for a U.S. CITES document, you must complete a standard
application form and submit it to the
appropriate office shown on the top of
the form.
(b) To determine the type of CITES
document needed for your shipment, go
to §§ 23.18 through 23.20 for further
guidance.

(c) If a species is also regulated under
another part of this subchapter (such
as endangered or threatened species,
see § 23.3), the requirements of all parts
must be met. You may submit a single
application that contains all the information needed to meet the requirements of CITES and other applicable
parts.
(d) You must also follow the general
permit procedures in part 13 of this
subchapter.
(e) You should review the criteria in
all applicable regulations in this subchapter that apply to the type of permit you are seeking before completing
the application form.
(f) We will review your application to
assess whether it contains the information needed to make the required findings.
(1) Based on available information,
we will decide if any of the exemptions

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U.S. Fish and Wildlife Serv., Interior

§ 23.34

apply and what type of CITES document you need.
(2) If we need additional information,
we will contact you. If you do not provide the information within 45 calendar
days, we will abandon your application.
If your application is abandoned and
you wish to apply for a permit at a
later time, you must submit a new application.
§ 23.33 How is the decision made to
issue or deny a request for a U.S.
CITES document?
(a) Upon receiving a complete application, we will decide whether to issue
a CITES document by considering:
(1) The general criteria in § 13.21(b) of
this subchapter and, if the species is
protected under a separate law or treaty, criteria in any other applicable
parts.
(2) The CITES issuance criteria provided in this subpart (see subpart D of
this part for factors we consider in
making certain findings).
(b) As needed, the U.S. Management
Authority, including FWS Law Enforcement, will forward a copy of the
application to the U.S. Scientific Authority; State, tribal, or other Federal
government agencies; or other applicable experts. We may also query the
Secretariat and foreign Management
and Scientific Authorities for information to use in making the required
findings.

(c) You must provide sufficient information to satisfy us that all criteria
specific to the proposed activity are
met before we can issue a CITES document.
(d) We will base our decision on
whether to issue or deny the application on the best available information.
§ 23.34 What kinds of records may I
use to show the origin of a specimen when I apply for a U.S. CITES
document?
(a) When you apply for a U.S. CITES
document, you will be asked to provide
information on the origin of the specimen that will be covered by the CITES
document.
(1) You need to provide sufficient information for us to determine if the
issuance criteria in this part are met
(see the sections in this subpart for
each type of CITES document).
(2) We require less detailed information when the import, introduction
from the sea, export, or re-export poses
a low risk to a species in the wild and
more detailed information when the
proposed activity poses greater risk to
a species in the wild (see Subpart D of
this part for factors we consider in
making certain findings).
(b) Information you may want to provide in a permit application includes,
but is not limited to, the following:

Source of specimen

Types of records

wwoods2 on DSK1DXX6B1PROD with CFR

(1) Captive-bred or cultivated 1

(i) Records that identify the breeder or propagator of the specimens
that have been identified by birth, hatch, or propagation date and
for wildlife by sex, size, band number, or other mark, or for plants
by size or other identifying feature:
(A) Signed and dated statement by the breeder or propagator
that the specimen was bred or propagated under controlled
conditions.
(B) Name and address of the breeder or propagator as shown by
documents such as an International Species Information System (ISIS) record, veterinary certificate, or plant nursery license.
(ii) Records that document the breeding or propagating of specimens
at the facility:
(A) Number of wildlife (by sex and age- or size-class) or plants at
the facility.
(B) How long the facility has been breeding or propagating the
species.
(C) Annual production and mortalities.
(D) Number of specimens sold or transferred annually.
(E) Number of specimens added from other sources annually.
(F) Transaction records with the date, species, quantity of specimens, and name and address of seller.
(G) Marking system, if applicable.
(H) Photographs or video of facility, including for wildlife any activities during nesting and production and rearing of young, and
for plants, different stages of growth.

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§ 23.35

50 CFR Ch. I (10–1–10 Edition)
Source of specimen

Types of records

(2) Confiscated or seized

Copy of remission decision, legal settlement, or disposal action after
forfeiture or abandonment, which demonstrates the applicant’s legal
possession.

(3) Exempt plant material

Records that document how you obtained the exempt plant material,
including the name and address of the person from whom you received the plant material.

(4) Imported previously

(i) A copy of the cancelled CITES document that accompanied the
shipment into the United States.
(ii) For wildlife, copies of cleared Declarations for Importation or Exportation of Fish or Wildlife (Form 3–177) associated with each
specimen.

(5) Pre-Convention

Records that show the specimen was acquired before the date the
provisions of the Convention first applied to it, such as:
(i) Receipt or invoice.
(ii) Catalog, inventory list, photograph, or art book.
(iii) Statement from a qualified appraiser attesting to the age of a
manufactured product.
(iv) CBP (formerly U.S. Customs Service) import documents.
(v) Phytosanitary certificate.
(vi) Veterinary document or breeding or propagation logs.

(6) Sequential ownership or purchase

(i) Records that specifically identify the specimen, give the name and
address of the owner, and show the specimen’s origin (pre-Convention, previously imported, wild-collected, or born or propagated in a
controlled environment in the United States).
(ii) Records that document the history of all transfers in ownership
(generally not required for pre-Convention specimens).

(7) Unknown origin, for noncommercial purposes

A complete description of the circumstances under which the specimen was acquired (where, when, and from whom the specimen
was acquired), including efforts made to obtain information on the
origin of the specimen.

(8) Wild-collected

Records, such as permits, licenses, and tags, that demonstrate the
specimen or the parental stock was legally removed from the wild
under relevant foreign, Federal, tribal, State, or local wildlife or plant
conservation laws or regulations:
(i) If taken on private or tribal land, permission of the landowner if
required under applicable law.
(ii) If taken in a national, State, or local park, refuge, or other protected area, permission from the applicable agency, if required.

1 If the wildlife was born in captivity from an egg collected from the wild or from parents that mated or exchanged genetic material in the wild, or the plant was propagated from a non-exempt propagule collected from a wild plant, see paragraph (b)(8) of
this section.

(c) If you intend to engage in international trade with a CITES specimen
in the future, you should keep sufficient records to establish your eligibility for a CITES document for as long
as you possess the specimen, and if you
sell, donate, or transfer ownership of
the specimen, you should provide such
records on the origin of the specimen
to the new owner.

§ 23.35 What are the requirements for
an import permit?
(a) Purpose. Article III(3) of the Treaty sets out the conditions under which
a Management Authority can issue an
import permit.
(b) U.S. application forms. Complete
the appropriate form for the proposed
activity and submit it to the U.S. Management Authority:

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Type of application for an import permit for an Appendix-I specimen

Form no.

(1) CITES:
Southern African Leopard, African Elephant, and Namibian Southern White Rhinoceros Sport-hunted
Trophies
Appendix-I Plants
Appendix-I Wildlife
Appendix-I Biological Samples

3–200–19
3–200–35
3–200–37
3–200–29

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U.S. Fish and Wildlife Serv., Interior

§ 23.36

Type of application for an import permit for an Appendix-I specimen

Form no.

(2) Endangered Species Act and CITES:
ESA Plants
ESA Sport-hunted Trophies
ESA Wildlife

3–200–36
3–200–20
3–200–37

(3) Marine Mammal Protection Act and CITES:
Marine Mammals

3–200–43

(4) Wild Bird Conservation Act and CITES:
Personal Pet Bird
Under an Approved Cooperative Breeding Program
Scientific Research or Zoological Breeding/Display

3–200–46
3–200–48
3–200–47

(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign import
permits. When applying for a U.S. im-

port permit, you must provide sufficient information for us to find that
your proposed activity meets all of the
following criteria:

Criteria for an import permit for an Appendix-I specimen
(1) The proposed import would be for purposes that are not detrimental to the survival of the species.

23.61

(2) The specimen will not be used for primarily commercial purposes.

23.62

(3) The recipients are suitably equipped to house and care for any live wildlife or plant to be imported.

23.65

(4) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references
adopted by the CoP.

23.23

(d) U.S. standard conditions. You must
meet all of the provisions on use after
import in § 23.55 and the standard conditions in § 23.56.
(e) Prior issuance of an import permit.
For Appendix-I specimens, the Management Authority of the exporting country may:
(1) Issue an export permit for live or
dead specimens or a re-export certificate for live specimens only after the
Management Authority of the importing country has either issued an import
permit or confirmed in writing that an
import permit will be issued.
(2) Accept oral confirmation from the
Management Authority of the importing country that an import permit will
be issued in an emergency situation
where the life or health of the specimen is threatened and no means of
written communication is possible.

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Section

(3) Issue a re-export certificate for a
dead specimen without confirmation
that the import permit has been issued.
§ 23.36 What are the requirements for
an export permit?
(a) Purposes. Articles III, IV, and V of
the Treaty set out the conditions under
which a Management Authority may
issue an export permit for an AppendixI, -II, or -III specimen. Article XIV sets
out the conditions under which a Management Authority may issue a document for export of certain Appendix-II
marine specimens protected under a
pre-existing treaty, convention, or
international agreement.
(b) U.S. application forms. Complete
the appropriate form for the proposed
activity and submit it to the U.S. Management Authority. Form 3–200–26 may
also be submitted to FWS Law Enforcement at certain ports or regional offices:

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§ 23.36

50 CFR Ch. I (10–1–10 Edition)
Type of application for an export permit

Form no.

(1) CITES:
American Ginseng
Appendix-I Plants Artificially Propagated for Commercial Purposes
Biological Specimens
Captive-born Raptors
Captive-born Wildlife (except raptors)
Caviar/Meat of Paddlefish or Sturgeon, Removed from the Wild
Export of Skins/Products of Bobcat, Canada Lynx, River Otter, Brown Bear, Gray Wolf, and American
Alligator Taken under an Approved State or Tribal Program
Personal Pets, One-time Export
Plants
Registration of a Native Species Production Facility
Single-use Permits under a Master File or an Annual Program File
Trophies by Taxidermists
Wildlife, Removed from the Wild

3–200–34
3–200–33
3–200–29
3–200–25
3–200–24
3–200–76
3–200–26
3–200–46
3–200–32
3–200–75
3–200–74
3–200–28
3–200–27

(2) Endangered Species Act and CITES:
ESA Plants
ESA Wildlife

3–200–36
3–200–37

(3) Marine Mammal Protection Act and CITES:
Biological Samples
Live Captive-held Marine Mammals
Take from the Wild for Export

3–200–29
3–200–53
3–200–43

(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign export permits except as provided for certain marine specimens in paragraph (d) of this

section. When applying for a U.S. permit or certificate, you must provide
sufficient information for us to find
that your proposed activity meets all
of the following criteria:
Appendix of the specimen
I

II

III

Section

(1) The wildlife or plant was legally acquired.

Yes

Yes

Yes

23.60

(2) The proposed export would not be detrimental to the
survival of the species.

Yes

Yes

n/a

23.61

(3) An import permit has already been issued or the Management Authority of the importing country has confirmed that it will be issued.

Yes

n/a

n/a

23.35

(4) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references
adopted by the CoP.

Yes

Yes

Yes

23.23

(5) Live wildlife or plants will be prepared and shipped so
as to minimize risk of injury, damage to health, or cruel
treatment of the specimen.

Yes

Yes

Yes

23.23

(6) The specimen originated in a country that listed the
species.

n/a

n/a

Yes

23.20

(7) For wildlife with the source code ‘‘W’’ or ‘‘F,’’ the export is for noncommercial purposes. (See § 23.46 for
the export of specimens that originated at a commercial
breeding operation for Appendix-I wildlife that is registered with the Secretariat.)

Yes

n/a

n/a

–

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Criteria for an export permit

(d) Export of certain exempt marine
specimens. Article XIV(4) and (5) of the
Treaty provide a limited exemption for
Appendix-II marine species that are
protected under another treaty, convention, or international agreement

that was in force at the time CITES entered into force. When all of the following conditions are met, export of
exempt Appendix-II marine wildlife or
plants requires only that the shipment
is accompanied by a document issued

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U.S. Fish and Wildlife Serv., Interior

§ 23.37

by the Management Authority of the
exporting country indicating that the
specimens were taken in accordance
with the provisions of the other international treaty, convention, or agreement:
(1) The exporting country is a CITES
Party and is a party to an international treaty, convention, or agreement that affords protection to the
species and was in force on July 1, 1975.
(2) The ship that harvested the specimen is registered in the exporting
country.
(3) The specimen was taken within
waters under the jurisdiction of the exporting country or in the marine environment not under the jurisdiction of
any country.
(4) The specimen was taken in accordance with the other international
treaty, convention, or agreement, including any quotas.
(5) The shipment is accompanied by
any official document required under
the other international treaty, convention, or agreement or otherwise required by law.
(e) Export of exempt specimens from the
United States. To export a specimen exempted under paragraph (d) of this section, you must obtain a CITES document from the U.S. Management Authority that indicates the specimen
was taken in accordance with the provisions of another international treaty,
convention, or agreement that was in
force on July 1, 1975.
(f) U.S. application for export of exempt
specimens. To apply for a CITES exemption document under paragraph (e) of
this section, complete the appropriate
form for your activity and submit it to
the U.S. Management Authority.

(g) Criteria for certain exempt marine
specimens. The criteria in this paragraph (g) apply to the issuance and acceptance of U.S. and foreign export
documents. To obtain a U.S. CITES
document for export of specimens exempted under paragraph (d) of this section you must provide sufficient information for us to find that your proposed export meets all of the following
issuance criteria:
(1) The specimen was taken in accordance with the provisions of an applicable international treaty, convention, or agreement that was in force on
July 1, 1975.
(2) The scientific name of the CITES
species is in the standard nomenclature
in the CITES Appendices or references
adopted by the CoP (see § 23.23).
(3) The ship that harvested the specimen is registered in the exporting
country.
(4) The specimen was taken within
waters under the jurisdiction of the exporting country or in the marine environment not under the jurisdiction of
any country.
§ 23.37 What are the requirements for
a re-export certificate?
(a) Purposes. Articles III, IV, and V of
the Treaty set out the conditions under
which a Management Authority may
issue a re-export certificate for an Appendix-I, -II, or -III specimen.
(b) U.S. application forms. Complete
the appropriate form for the proposed
activity and submit it to the U.S. Management Authority. Form 3–200–73 may
also be submitted to Law Enforcement
at certain ports or regional offices:

wwoods2 on DSK1DXX6B1PROD with CFR

Type of application for a re-export certificate

Form no.

(1) CITES:
Biological Specimens
Plants
Single-use Permits under a Master File or an Annual Program File
Trophies by Taxidermists
Wildlife

3–200–29
3–200–32
3–200–74
3–200–28
3–200–73

(2) Endangered Species Act and CITES:
ESA Plants
ESA Wildlife

3–200–36
3–200–37

(3) Marine Mammal Protection Act and CITES:
Biological Samples
Live Captive-held Marine Mammals

3–200–29
3–200–53

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§ 23.38

50 CFR Ch. I (10–1–10 Edition)

(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign re-export
certificates. When applying for a U.S.

certificate, you must provide sufficient
information for us to find that your
proposed activity meets all of the following criteria:
Appendix of the specimen
I

II

III

Section

(1) The wildlife or plant was legally acquired.

Yes

Yes

Yes

23.60

(2) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references
adopted by the CoP.

Yes

Yes

Yes

23.23

(3) For a live specimen, an import permit has already
been issued or the Management Authority of the importing country has confirmed that it will be issued. This criterion does not apply to a specimen with the source
code ‘‘D.’’

Yes

n/a

n/a

23.35

(4) Live wildlife or plants will be prepared and shipped so
as to minimize risk of injury, damage to health, or cruel
treatment of the specimen.

Yes

Yes

Yes

23.23

(5) For re-export of a confiscated specimen, the proposed
re-export would not be detrimental to the survival of the
species.

Yes

Yes

n/a

23.61

(6) For wildlife with the source code ‘‘W’’ or ‘‘F,’’ the reexport is for noncommercial purposes.

Yes

n/a

n/a

–

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Criteria for a re-export certificate

§ 23.38 What are the requirements for
a certificate of origin?
(a) Purpose. Article V(3) of the Treaty
requires that a shipment of AppendixIII specimens be accompanied by a certificate of origin when the shipment is
not from a country that listed the species in Appendix III and is not a re-export.
(b) U.S. application forms. For a certificate of origin, complete one of the
following forms and submit it to the
U.S. Management Authority:
(1) Form 3–200–27 for wildlife removed
from the wild.
(2) Form 3–200–24 for captive-born
wildlife.
(3) Form 3–200–32 for plants.
(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign certificates of origin. When applying for a
U.S. certificate, you must provide sufficient information for us to find that
your proposed activity meets all of the
following criteria:
(1) The specimen originated in the
country of export, which is not a country that listed the species in Appendix
III. In the case of a listing that is annotated to cover only a certain population, no CITES document is required

if the listed population does not occur
in the country of export. For U.S. applicants, the country of origin must be
the United States.
(2) The scientific name of the species
is the standard nomenclature in the
CITES Appendices or the references
adopted by the CoP (see § 23.23).
(3) Live wildlife or plants will be prepared and shipped so as to minimize
risk of injury, damage to health, or
cruel treatment of the specimen (see
§ 23.23).
§ 23.39 What are the requirements for
an introduction-from-the-sea certificate?
(a) Purpose. Articles III(5), IV(6), and
IV(7) of the Treaty set out the conditions under which a Management Authority may issue an introductionfrom-the-sea certificate.
(b) U.S. application form. Complete
Form 3–200–31 and submit it to the U.S.
Management Authority.
(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. certificates. You must
provide sufficient information for us to
find that your proposed activity meets
all of the following criteria:

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U.S. Fish and Wildlife Serv., Interior

§ 23.40
Appendix of the
specimen

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Criteria for an introduction-from-the-sea certificate

Section

I

II

(1) The specimen was taken in the marine environment not under the
jurisdiction of any country.

Yes

Yes

–

(2) The proposed introduction from the sea would not be detrimental
to the survival of the species.

Yes

Yes

23.61

(3) The specimen will not be used for primarily commercial purposes.

Yes

n/a

23.62

(4) The recipients are suitably equipped to house and care for live
wildlife or plants.

Yes

n/a

23.65

(5) The scientific name of the species is the standard nomenclature in
the CITES Appendices or the references adopted by the CoP.

Yes

Yes

23.23

(6) Live wildlife or plants will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of the specimen.

Yes

Yes

23.23

(d) Exemption. As allowed under Article XIV(4) and (5) of the Treaty, you
may directly introduce into the United
States any Appendix-II wildlife or
plant taken in the marine environment
that is not under the jurisdiction of
any country without a CITES document when all of the following conditions are met:
(1) The United States is a party to an
international treaty, convention, or
agreement that affords protection to
the species and was in force on July 1,
1975.
(2) The ship that harvested the specimen is registered in the United States.
(3) The specimen was taken in accordance with the other international
treaty, convention, or agreement, including any quotas.
(4) The shipment is accompanied by
any official document required under
the other international treaty, convention, or agreement or otherwise required by U.S. law.
(e) Export of exempt specimens. To export a specimen exempted under paragraph (d) of this section, you must obtain a CITES document from the U.S.
Management Authority that indicates
the specimen was taken in accordance
with the provisions of the other international treaty, convention, or agreement that was in force on July 1, 1975.
See requirements in § 23.36 (e) through
(g).
(f) Appendix III. Appendix-III species
introduced from the sea do not require
introduction-from-the-sea certificates.
However, the subsequent international

trade of an Appendix-III specimen introduced from the sea would be considered an export requiring a CITES document (see § 23.20(f)).
§ 23.40 What are the requirements for
a certificate for artificially propagated plants?
(a) Purpose. Article VII(5) of the
Treaty grants an exemption to plants
that are artificially propagated when a
Management Authority issues a certificate.
(b) U.S. and foreign general provisions.
The following provisions apply to the
issuance and acceptance of a certificate for artificially propagated Appendix-I, -II, or -III plants:
(1) The certificate for artificially
propagated plants and any subsequent
re-export certificate must show the
source code as ‘‘A’’ for artificially
propagated.
(2) For an Appendix-I specimen that
satisfies the requirements of this section, no CITES import permit is required.
(c) U.S. application form. Complete
Form 3–200–33 and submit it to the U.S.
Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that your proposed activity meets all of the following criteria:

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§ 23.41

50 CFR Ch. I (10–1–10 Edition)
Appendix of the
specimen

Criteria for a certificate for artificially propagated
plants

II

III

(1) The plant was artificially propagated.

Yes

Yes

Yes

(2) The plant specimen is one of the following:
(i) Was propagated for noncommercial
purposes.
(ii) Is part of a traveling exhibition.
(iii) Is a hybrid of one or more Appendix-I
species or taxa that is not annotated to
include hybrids in the listing and was
propagated for commercial or noncommercial purposes.

Yes

n/a

n/a

(3) The scientific name of the species is the standard nomenclature in the CITES Appendices or
the references adopted by the CoP.

Yes

Yes

Yes

23.23

(4) The live plant will be prepared and shipped so
as to minimize risk of injury, damage to health,
or cruel treatment of the specimen.

Yes

Yes

Yes

23.23

(e) U.S. standard conditions. In addition to the conditions in § 23.56, you
must meet all of the following conditions:
(1) You may not export or re-export a
plant (including its parts, products, or
derivatives) under this certificate if
the plant was removed from the wild or
grown directly from a wild seed, except
for plants grown from exempt plant
materials that qualify as artificially
propagated.
(2) You may not export an AppendixI species that was propagated for commercial purposes under this certificate,
except for hybrids of one or more Appendix-I species or taxa that are not
annotated to include hybrids in the
listing.
(3) You may export a native plant
under this certificate only when specifically approved for export and listed
on the certificate, inventory sheet, or
an approved species list.
(4) You may export a specimen under
a higher-taxon name only if you identified the taxon in your application and
we approved it on this certificate.

Appendix of the
specimen

(1) The wildlife was bred in captivity.

Section

I

II

III

Yes

Yes

Yes

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23.64

§ 23.41 What are the requirements for
a bred-in-captivity certificate?
(a) Purpose. Article VII(5) of the
Treaty grants an exemption to wildlife
that is bred in captivity when a Management Authority issues a certificate.
(b) U.S. and foreign general provisions.
The following provisions apply to the
issuance and acceptance of a certificate for Appendix-I, -II, or -III wildlife
that was bred in captivity:
(1) The certificate and any subsequent re-export certificate must show
the source code as ‘‘C’’ for bred in captivity.
(2) For an Appendix-I specimen that
satisfies the requirements of this section, no CITES import permit is required.
(c) U.S. application form. Complete
Form 3–200–24 and submit it to the U.S.
Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that your proposed activity meets all of the following criteria:

Criteria for a bred-in-captivity certificate

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23.63

U.S. Fish and Wildlife Serv., Interior

§ 23.43
Appendix of the
specimen

Criteria for a bred-in-captivity certificate

Section

I

II

III

(2) The wildlife specimen was bred for noncommercial purposes or
is part of a traveling exhibition.

Yes

n/a

n/a

23.5

(3) The scientific name of the species is the standard nomenclature
in the CITES Appendices or the references adopted by the CoP.

Yes

Yes

Yes

23.23

(4) Live wildlife will be prepared and shipped so as to minimize risk
of injury, damage to health, or cruel treatment of the specimen.

Yes

Yes

Yes

23.23

§ 23.42 What are the requirements for
a plant hybrid?
General provisions. Except as provided
in § 23.92, the export, re-export, or im-

port of a plant hybrid of a CITES species must be accompanied by a valid
CITES document that shows the Appendix of the specimen as follows:

Question on a plant hybrid

Answer and status of specimen

(a) Is the specimen an artificially propagated hybrid of one or
more Appendix-I species or taxa?

(1) YES. Continue to paragraph (b) of this section.
(2) NO. Continue to paragraph (c) of this section.

(b) Is one or more of the Appendix-I species or taxa in paragraph (a) of this section annotated to include hybrids?

(1) YES. The hybrid is listed in Appendix I.
(2) NO. The hybrid is listed in Appendix I, but may be granted
a certificate for artificially propagated plants even if propagated for commercial purposes.

(c) Is the specimen a hybrid that includes two or more CITES
species or taxa in its lineage?

(1) YES. Consider the specimen to be listed in the more restrictive Appendix, with Appendix I being the most restrictive
and Appendix III the least.
(2) NO. Continue to paragraph (d) of this section.

(d) Is the specimen a hybrid that includes one CITES species
or taxon in its lineage?

(1) YES. Consider the specimen to be listed in the Appendix in
which the species or taxon is listed in the CITES Appendices.
(2) NO. The hybrid is not regulated by CITES.

§ 23.43 What are the requirements for
a wildlife hybrid?
(a) Definition. For the purposes of
this section, recent lineage means the
last four generations of a specimen’s
ancestry (direct line of descent).
(b) U.S. and foreign general provisions.
Except as provided in paragraph (f) of

this section, the import, export, or reexport of a hybrid CITES wildlife specimen must be accompanied by a valid
CITES document.
(c) CITES documents. All CITES documents must show the wildlife hybrid
listed in the following Appendix:
Then the specimen is
listed in:

If at least one specimen in the recent lineage is listed in:

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(1) Appendix I

Appendix I

(2) Appendix II, and an Appendix-I species is not included in the recent lineage

Appendix II

(3) Appendix III, and an Appendix-I or -II species is not included in the recent lineage

Appendix III

(d) U.S. application for wildlife hybrid.
To apply for a CITES document, complete the appropriate form for the proposed activity (see §§ 23.18 through
23.20) and submit it to the U.S. Management Authority.

(e) Criteria. For export of a hybrid
that contains a CITES species in its recent lineage, you must meet the requirements of § 23.36.

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50 CFR Ch. I (10–1–10 Edition)

(f) Exempt wildlife hybrids. The following provisions apply to import, export, or re-export of exempt wildlife
hybrids:
(1) A hybrid between a CITES species
and a non-CITES species may be exempt from CITES document requirements if there are no purebred CITES
species in the previous four generations
of the specimen’s ancestry (direct line
of descent). Under this section, a hybrid between two CITES species is not
exempt.
(2) For import, export, or re-export of
an exempt wildlife hybrid without
CITES documents, you must provide
information at the time of import or
export to clearly demonstrate that
your specimen has no purebred CITES
species in the previous four generations
of its ancestry. Although a CITES document is not required, you must follow
the clearance requirements for wildlife
in part 14 of this subchapter, including
the prior notification requirements for
live wildlife.

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§ 23.44 What are the requirements to
travel internationally with my personally owned live wildlife?
(a) Purpose. A Management Authority may use the exemption in Article
VII(3) of the Treaty to issue a certificate of ownership that authorizes frequent cross-border movements of personally owned live wildlife for personal
use.
(b) U.S. and foreign general provisions.
The following provisions apply to the
issuance and acceptance of a certificate of ownership for frequent international travel with live wildlife for
personal use:
(1) The certificate must be obtained
from the Management Authority in the
country of the owner’s primary residence.
(2) Parties should treat the certificate like a passport for import to and
export or re-export from each country
and should not collect the original certificate at the border.
(3) If offspring are born or an additional specimen is acquired while the
owner is outside his or her country of
primary residence, the owner must obtain the appropriate CITES document
for the export or re-export of the wildlife, not a certificate of ownership,

from the Management Authority of
that country.
(4) Upon returning home, the owner
may apply for a certificate of ownership for wildlife born or acquired overseas.
(c) U.S. application form. Complete
Form 3–200–64 and submit it to the U.S.
Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that your proposed activity meets all of the following criteria:
(1) The traveler owns the live wildlife
and it will accompany the owner.
(2) The cross-border movement will
be frequent and for personal use, including, but not limited to, companionship or use in a noncommercial competition such as falconry.
(3) To apply for a U.S. certificate, the
owner resides in the United States.
(4) The wildlife was legally acquired
(see § 23.60).
(5) The owner does not intend to sell,
donate, or transfer the wildlife while
traveling internationally.
(6) The scientific name of the species
is the standard nomenclature in the
CITES Appendices or the references
adopted by the CoP (see § 23.23).
(7) The Management Authority of the
country of import has agreed to the
cross-border movement.
(8) The wildlife is securely marked or
uniquely identified in such a manner
that the border official can verify that
the specimen and CITES document correspond.
(9) The wildlife is transported and
cared for in a way that minimizes risk
of injury, damage to health, or cruel
treatment of the specimen (see § 23.23).
(e) U.S. standard conditions. In addition to the conditions in § 23.56, all of
the following conditions must be met:
(1) You must accompany the wildlife
during any cross-border movement.
(2) You must transport the wildlife
for personal use only.
(3) You must not sell, donate, or
transfer the specimen while traveling
internationally.

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§ 23.46

(4) You must present the certificate
to the official for validation at each
border crossing.
(5) If the certificate is lost, stolen, or
accidentally destroyed, you must obtain a replacement certificate from the
issuing Management Authority.
(6) If you no longer own the live wildlife, you must immediately return the
original document to the issuing Management Authority and report on the
disposition of the wildlife, such as
death, sale, or transfer.

wwoods2 on DSK1DXX6B1PROD with CFR

§ 23.45 What are the requirements for
a pre-Convention specimen?
(a) Purpose. Article VII(2) of the
Treaty exempts a pre-Convention specimen from standard permitting requirements in Articles III, IV, and V of
the Treaty when the exporting or reexporting country is satisfied that the
specimen was acquired before the provisions of CITES applied to it and
issues a CITES document to that effect.
(b) U.S. and foreign general provisions.
The following general provisions apply
to the issuance and acceptance of preConvention documents:
(1) Trade in a specimen under the
pre-Convention exemption is allowed
only if the importing country will accept a pre-Convention certificate.
(2) The pre-Convention date is the
date the species was first listed under
CITES regardless of whether the species has subsequently been transferred
from one Appendix to another.
(3) For a pre-Convention Appendix-I
specimen, no CITES import permit is
required.
(4) The pre-Convention exemption
does not apply to offspring or cell lines
of any wildlife or plant born or propagated after the date the species was
first listed under CITES.
(c) U.S. application form. Complete
Form 3–200–23 (wildlife) or Form 3–200–
32 (plants) and submit it to the U.S.
Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that the specimen
meets all of the following criteria:

(1) The specimen was removed from
the wild or born or propagated in a
controlled environment before the date
CITES first applied to it, or is a product (including a manufactured item) or
derivative made from such specimen.
(2) The scientific name of the species
is the standard nomenclature in the
CITES Appendices or the references
adopted by the CoP (see § 23.23).
(3) Live wildlife or plants will be prepared and shipped so as to minimize
risk of injury, damage to health, or
cruel treatment of the specimen.
(4) For the re-export of a pre-Convention specimen previously imported
under a CITES document, the wildlife
or plant was legally imported.
§ 23.46 What are the requirements for
registering a commercial breeding
operation for Appendix-I wildlife
and commercially exporting specimens?
(a) Purpose. Article VII(4) of the
Treaty provides that Appendix-I specimens that are bred in captivity for
commercial purposes shall be deemed
to be listed in Appendix II. This means
that an Appendix-I specimen originating from a commercial breeding operation that is registered with the
CITES Secretariat may be traded
under an export permit or re-export
certificate based on Appendix-II criteria. The specimen is still listed in
Appendix I and is not eligible for any
exemption granted to an Appendix-II
species or taxon, including any exemption granted by an annotation (see
§ 23.92).
(b) U.S. and foreign general provisions.
The following provisions apply to the
registration of U.S. and foreign commercial breeding operations for Appendix-I wildlife:
(1) If the Management Authority is
satisfied that the operation in its country meets the conditions for registration in paragraph (d) of this section, it
will send the request to register a
breeding operation to the Secretariat.
(2) The Secretariat will verify that
the application is complete and notify
the Parties of the request.
(3) If any Party objects to or expresses concern about the registration
within 90 days from the date of the
Secretariat’s notification, the Secretariat will refer the application to the

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50 CFR Ch. I (10–1–10 Edition)

Animals Committee. The Committee
has 60 days to respond to objections.
The Secretariat will provide the recommendations of the Committee to the
Management Authority of the Party
that submitted the application and the
Party that objected to the registration,
and will facilitate a dialogue for resolution of the identified problems within 60 days.
(4) If the objection is not withdrawn
or the identified problems are not resolved, approval of the registration will
require a two-thirds majority vote by
the Parties at the next CoP or by a
postal vote.
(5) If other operations have already
been registered for the species, the Secretariat may send the request to appropriate experts for advice only if significant new information is available or if
there are other reasons for concern.
(6) If the Secretariat is not satisfied
that the operation meets the conditions for registration, it will provide
the Management Authority that submitted the registration request with a
full explanation of the reasons for rejection and indicate the specific conditions that must be met before the registration can be resubmitted for further consideration.
(7) When the Secretariat is satisfied
that the operation meets the registration requirements, it will include the
operation in its register.
(8) Operations are assigned an identification number and listed in the official register. Registration is not final
until the Secretariat notifies all Parties.
(9) If a Party believes that a registered operation does not meet the
bred-in-captivity requirements, it may,
after consultation with the Secretariat
and the Party concerned, propose that

the CoP delete the operation from the
register by a two-thirds vote of the
Parties. Once an operation has been deleted, it must re-apply and meet the
registration requirements to be reinstated.
(10) The Management Authority, in
collaboration with the Scientific Authority, of a country where any registered operation is located must monitor the operation to ensure that it
continues to meet the registration requirements. The Management Authority will advise the Secretariat of any
major change in the nature of the operation or in the types of products being
produced for export, and the Animals
Committee will review the operation to
determine whether it should remain
registered.
(11) A Party may unilaterally request
the removal of a registered operation
within its jurisdiction by notifying the
Secretariat.
(12) An Appendix-I specimen may not
be imported for purposes of establishing or augmenting a commercial
breeding operation, unless the specimen is pre-Convention (see § 23.45) or
was bred at a commercial breeding operation that is registered with the
CITES Secretariat as provided in this
section.
(c) U.S. application to register. Complete Form 3–200–65 and submit it to
the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the registration of
U.S. and foreign commercial breeding
operations for Appendix-I wildlife. For
your breeding operation to be registered in the United States, you must
provide sufficient information for us to
find that your proposed activity meets
all of the following criteria:

wwoods2 on DSK1DXX6B1PROD with CFR

Criteria for registering a commercial breeding operation for Appendix-I wildlife

Section

(1) The operation breeds wildlife for commercial purposes.

23.5

(2) The parental stock was legally acquired.

23.60

(3) The wildlife meets bred-in-captivity criteria.

23.63

(4) Where the establishment of a breeding operation involves the removal of animals from the wild (allowable only
under exceptional circumstances and only for native species), the operation must demonstrate to the satisfaction of
the Management Authority, on advice of the Scientific Authority and of the Secretariat, that the removal is or was
not detrimental to the conservation of the species.

–

(5) The potential escape of specimens or pathogens from the facility does not pose a risk to the ecosystem and native species.

–

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§ 23.47

Criteria for registering a commercial breeding operation for Appendix-I wildlife

Section

(6) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references
adopted by the CoP.

23.23

(7) The breeding operation will make a continuing, meaningful contribution to the conservation of the species according to the conservation needs of the species.

–

(8) The operation will be carried out at all stages in a humane (non-cruel) manner.

–

(e) Standard conditions of the registration. In addition to the conditions in
§ 23.56, you must meet all of the following conditions:
(1) You must uniquely mark all specimens from the breeding operation in
the manner proposed at the time of
registration. Birds may be marked
with closed bands, although other
methods may be used.
(2) You may not import Appendix-I
specimens for primarily commercial
purposes (such as to establish a commercial captive-breeding operation) except from breeding operations registered for that species.
(3) You must provide information to
the Management Authority each year
on the year’s production and your current breeding stock. You may provide
the information by mail, fax, or e-mail.
(4) You must allow our agents to
enter the premises at any reasonable
hour to inspect wildlife held or to inspect, audit, or copy applicable records.
(f) U.S. and foreign general provisions
for export of specimens that originated in
a registered breeding operation. The following provisions apply to the issuance
and acceptance of export permits for
Appendix-I specimens bred at an operation registered with the CITES Secretariat:

(1) An export permit may be issued to
the registered operation or to persons
who have purchased a specimen that
originated at the registered operation
if the specimen has the unique mark
applied by the operation. If a
microchip is used, we may, if necessary, ask the importer, exporter, or
re-exporter to have equipment on hand
to read the microchip at the time of
import, export, or re-export.
(2) The export permit, and any subsequent re-export certificate, must show
the specimen as listed in Appendix I
and the source code as ‘‘D,’’ and give
the identification number of the registered breeding operation where the
specimen originated.
(3) No CITES import permit is required for a qualifying specimen.
(g) U.S. application form. Complete
Form 3–200–24 and submit it to the U.S.
Management Authority.
(h) Criteria. The criteria in this paragraph (h) apply to the issuance and acceptance of U.S. and foreign export permits. When applying for a U.S. permit,
you must provide sufficient information for us to find that your proposed
activity meets all of the following criteria:

wwoods2 on DSK1DXX6B1PROD with CFR

Criteria for an export permit

Section

(1) The specimen was bred at a commercial operation for Appendix-I wildlife that is registered with the CITES Secretariat.

23.46

(2) The proposed export would not be detrimental to the survival of the species.

23.61

(3) Live wildlife will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of
the specimen.

23.23

§ 23.47 What are the requirements for
export of an Appendix-I plant artificially propagated for commercial
purposes?
(a) Purpose. Article VII(4) of the
Treaty provides that Appendix-I plants

artificially propagated for commercial
purposes shall be deemed to be listed in
Appendix II. This means that an Appendix-I specimen originating from a
commercial nursery that is registered
with the CITES Secretariat or that

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50 CFR Ch. I (10–1–10 Edition)

meets the requirements of this section
may be traded under an export permit
or re-export certificate based on Appendix-II criteria. The specimen is still
listed in Appendix I and is not eligible
for any exemption granted to an Appendix-II species or taxon, including
any exemption granted by an annotation.
(b) U.S. and foreign general provisions.
The following provisions apply to the
issuance and acceptance of export permits for Appendix-I specimens artificially propagated for commercial purposes:
(1) An Appendix-I specimen may not
be imported for purposes of establishing or augmenting a nursery or
commercial propagating operation, unless the specimen is pre-Convention
(see § 23.45) or was propagated at a
nursery that is registered with the
CITES Secretariat or a commercial
propagating operation that qualifies
under paragraph (d) of this section, and
the CITES document indicates the
source code as ‘‘D.’’
(2) An export permit may be issued to
a CITES-registered nursery, to a commercial propagating operation that

qualifies under paragraph (d) of this
section, or to persons who have acquired a specimen that originated at
such a nursery or operation. No CITES
import permit is required for a qualifying specimen.
(3) The export permit, and any subsequent re-export certificate, must show
the specimen as listed in Appendix I
and the source code as ‘‘D,’’ and if from
a nursery registered with the Secretariat, give the identification number
of the registered nursery where the
specimen originated.
(c) U.S. application form. Complete
Form 3–200–33 or Form 3–200–74 (for additional single-use permits under a
master file or an annual export program file). Complete Form 3–200–32 for
one-time export. Submit the completed
form to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign export permits. When applying for a U.S. permit,
you must provide sufficient information for us to find that your proposed
activity meets all of the following criteria:

Criteria for an export permit

Section

(1) The specimen was propagated for commercial purposes.

23.5

(2) The parental stock was legally acquired.

23.60

(3) The proposed export would not be detrimental to the survival of the species.

23.61

(4) The plant was artificially propagated.

23.64

(5) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references
adopted by the CoP.

23.23

(6) The live plant will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment
of the specimen.

23.23

(e) Nursery registration. [Reserved]

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§ 23.48 What are the requirements for
a registered scientific institution?
(a) Purpose. Article VII(6) of the
Treaty grants an exemption that allows international trade in certain
specimens for noncommercial loan, donation, or exchange between registered
scientific institutions.
(b) U.S. and foreign general provisions.
The following provisions apply to the
registration of scientific institutions

and acceptance of shipments from registered scientific institutions:
(1) The receiving and sending scientific institutions must be registered
with the Management Authority in
their country. Scientists who wish to
use this exemption must be affiliated
with a registered scientific institution.
(i) When a Management Authority is
satisfied that a scientific institution
has met the criteria for registration, it

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U.S. Fish and Wildlife Serv., Interior

§ 23.48

will assign the institution a five-character code consisting of the ISO country code and a unique three-digit number. In the case of a non-Party, the
Secretariat will ensure that the institution meets the standards and assign
it a unique code.
(ii) The Management Authority must
communicate the name, address, and
assigned code to the Secretariat, which
maintains a register of scientific institutions and provides that information
to all Parties.
(2) A registered scientific institution
does not need separate CITES documents for the noncommercial loan, donation, or exchange of preserved, frozen, dried, or embedded museum specimens, herbarium specimens, or live
plant material with another registered
institution. The shipment must have
an external label that contains information specified in paragraph (e)(5) of
this section.
(c) U.S. application to register as a scientific institution. To register, complete
Form 3–200–39 and submit it to the U.S.
Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the registration of
U.S. and foreign institutions for scientific exchange. To be issued a certificate of scientific exchange as a registered U.S. scientific institution, you
must provide sufficient information for
us to find that your institution meets
all of the following criteria:
(1) Collections of wildlife or plant
specimens are permanently housed and
professionally
curated,
and
corresponding records are kept.
(2) Specimens are accessible to all
qualified users, including those from
other institutions.
(3)
Specimens
are
properly
accessioned in a permanent catalog.
(4) Records are permanently maintained for loans and transfers to and
from other institutions.
(5) Specimens are acquired primarily
for research that is to be reported in
scientific publications, and CITES
specimens are not used for commercial
purposes or as decorations.
(6) Collections are prepared and arranged in a way that ensures their accessibility to researchers.
(7) Specimen labels, permanent catalogs, and other records are accurate.

(8) Specimens are legally acquired
and lawfully possessed under a country’s wildlife and plant laws.
(9) Appendix-I specimens are permanently and centrally housed under the
direct control of the institution.
(e) U.S. standard conditions. In addition to the conditions in § 23.56, any activity conducted under a certificate of
scientific exchange must meet all of
the following conditions:
(1) Both scientific institutions involved in the exchange must be registered by the applicable Management
Authorities (or the Secretariat in the
case of a non-Party), and be included in
the Secretariat’s register of scientific
institutions.
(2) An institution may send and receive only preserved, frozen, dried, or
embedded museum specimens, herbarium specimens, or live plant materials that have been permanently and
accurately recorded by one of the institutions involved in the exchange and
that are traded as a noncommercial
loan, donation, or exchange.
(3) An institution may use specimens
acquired under a certificate of scientific exchange and their offspring
only for scientific research or educational display at a scientific institution and may not use specimens for
commercial purposes.
(4) The institution must keep records
to show that the specimens were legally acquired.
(5) A customs declaration label must
be affixed to the outside of each shipping container or package that contains all of the following:
(i) The acronym ‘‘CITES.’’
(ii) A description of the contents
(such as ‘‘herbarium specimens’’).
(iii) The names and addresses of the
sending and receiving registered institutions.
(iv) The signature of a responsible officer of the sending registered scientific institution.
(v) The scientific institution codes of
both registered scientific institutions
involved in the loan, donation, or exchange.
(6) A registered institution may destroy samples during analysis, provided
that a portion of the sample is maintained and permanently recorded at a

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50 CFR Ch. I (10–1–10 Edition)

registered scientific institution for future scientific reference.

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§ 23.49 What are the requirements for
an exhibition traveling internationally?
(a) Purpose. Article VII(7) of the
Treaty grants an exemption for specimens that qualify as bred in captivity,
artificially propagated, or pre-Convention and are part of a traveling exhibition.
(b) U.S. and foreign general provisions.
The following general provisions apply
to the issuance and acceptance of a certificate for live wildlife and plants, or
their parts, products, or derivatives in
an exhibition that travels internationally:
(1) The Management Authority in the
country of the exhibitor’s primary
place of business must have determined
that the specimens are bred in captivity, artificially propagated, or preConvention and issued a traveling-exhibition certificate.
(2) The certificate must indicate that
the wildlife or plant is part of a traveling exhibition.
(3) A separate certificate must be
issued for each live wildlife specimen; a
CITES document may be issued for
more than one specimen for a traveling
exhibition of live plants and dead
parts, products, or derivatives of wildlife and plants.
(4) The certificate is not transferable.
(5) Parties should treat the certificate like a passport for import and export or re-export from each country,
and should not collect the original certificate at the border.
(6) Parties should check specimens
closely to determine that each specimen matches the certificate and ensure
that each live specimen is being transported and cared for in a manner that
minimizes the risk of injury, damage
to health, or cruel treatment of the
specimen.
(7) If offspring are born or a new specimen is acquired while the traveling
exhibition is in another country, the
exhibitor must obtain the appropriate
CITES document for the export or reexport of the specimen from the Management Authority of that country.
(8) Upon returning home, the exhibitor may apply for a traveling-exhi-

bition certificate for wildlife born overseas or for wildlife or plants acquired
overseas.
(c) U.S. application form. Complete
Form 3–200–30 for wildlife and Form 3–
200–32 for plants, and submit it to the
U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that your proposed activity meets all of the following criteria:
(1) The traveling exhibition makes
multiple cross-border movements, and
will return to the country in which the
exhibition is based before the certificate expires.
(2) The cross-border movement must
be for exhibition, and not for breeding,
propagating, or activities other than
exhibition.
(3) The traveling exhibition is based
in the country that issued the certificate.
(4) The specimen meets the criteria
for a bred-in-captivity certificate, certificate for artificially propagated
plants, or pre-Convention certificate.
(5) The exhibitor does not intend to
sell or otherwise transfer the wildlife
or plant while traveling internationally.
(6) The wildlife or plant is securely
marked or identified in such a way
that border officials can verify that the
certificate and specimen correspond. If
a microchip is used, we may, if necessary, ask the importer, exporter, or
re-exporter to have equipment on hand
to read the microchip at the time of
import, export, or re-export.
(e) U.S. standard conditions. In addition to the conditions in § 23.56, you
must meet all of the following conditions:
(1) The certificate may be used by
you, and you must not transfer or assign it to another person or traveling
exhibition.
(2) You must transport the specimen
internationally only for exhibition, not
for breeding, propagating, or activities
other than exhibition.
(3) You must present the certificate
to the official for validation at each
border crossing.

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(4)For live plants, the quantity of
plants must be reasonable for the purpose of the traveling exhibition.
(5) You must not sell or otherwise
transfer the specimen, or any offspring
born to such specimen, while traveling
internationally.
(6) If the certificate is lost, stolen, or
accidentally destroyed, you may obtain
a replacement certificate only from the
U.S. Management Authority.
(7) If you no longer own the wildlife
or plants, or no longer plan to travel as
a traveling exhibition, the original certificate must be immediately returned
to the U.S. Management Authority.
(8) You must return the traveling exhibition to the United States before
the certificate expires.

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§ 23.50 What are the requirements for
a sample collection covered by an
ATA carnet?
(a) Purpose. Article VII(1) of the
Treaty allows for the transit of specimens through or within a Party country while the specimens remain under
customs control.
(b) Definition. For purposes of this
section, sample collection means a set of
legally acquired parts, products, or derivatives of Appendix-II or -III species,
or Appendix-I species bred in captivity
or artificially propagated for commercial purposes, that will:
(1) Cross international borders only
for temporary exhibition or display
purposes and return to the originating
country.
(2) Be accompanied by a valid ATA
carnet and remain under customs control.
(3) Not be sold or otherwise transferred while traveling internationally.
(c) U.S. and foreign general provisions.
The following general provisions apply
to the issuance and acceptance of a
CITES document for the movement of
sample collections:
(1) The Management Authority in the
country where the sample collection
originated must issue a CITES document that:
(i) Clearly specifies that the document was issued for a ‘‘sample collection.’’
(ii) Includes the condition in block 5,
or an equivalent place, of the document
that it is valid only if the shipment is

accompanied by a valid ATA carnet
and that the specimens must not be
sold, donated, or otherwise transferred
while outside the originating country.
(2) The number of the accompanying
ATA carnet must be recorded on the
CITES document, and if this number is
not recorded by the Management Authority, it must be entered by a customs or other CITES enforcement official responsible for the original endorsement of the CITES document.
(3) The name and address of the exporter or re-exporter and importer
must be identical, and the names of the
countries to be visited must be indicated in block 5 or an equivalent place.
(4) The date of validity must not be
later than that of the ATA carnet and
the period of validity must not exceed
6 months from the date of issuance.
(5) At each border crossing, Parties
must verify the presence of the CITES
document, but allow it to remain with
the shipment, and ensure that the ATA
carnet is properly endorsed with an authorized stamp and signature by a customs official.
(6) The exporter or re-exporter must
return the sample collection to the
originating country prior to the expiration of the CITES document.
(7) Parties should check the CITES
document and sample collection closely at the time of first export or re-export and upon its return to ensure that
the contents of the sample collection
have not been changed.
(8) For import into and export or reexport from the United States, the
shipment must comply with the requirements for wildlife in part 14 of
this subchapter and for plants in part
24 of this subchapter and 7 CFR parts
319, 352, and 355.
(d) U.S. application form. Complete
Form 3–200–29 for wildlife and Form 3–
200–32 for plants, and submit it to the
U.S. Management Authority.
(e) Criteria. The criteria in this paragraph (e) apply to the issuance and acceptance of U.S. and foreign documents. When applying for a U.S. document, you must provide sufficient information for us to find that your proposed activity meets all of the following criteria:

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(1) The specimens meet the definition
of a sample collection as provided in
paragraph (b) of this section.
(2) The wildlife or plant specimens
must be securely marked or identified
in such a way that border officials can
verify that the CITES document, ATA
carnet, and specimens correspond.
(f) U.S. standard conditions. In addition to the conditions in § 23.56, you
must meet all of the following conditions:
(1) You must transport the sample
collection only for temporary exhibition or display purposes.
(2) You must not transfer or assign
the CITES document to another person.
(3) You must not sell, donate, or
transfer specimens while traveling
internationally.
(4) You must present the CITES document and the ATA carnet to the official for validation at each border crossing.
(5) You must return the sample collection to the United States prior to
the expiration of the CITES document.
(6) If the CITES document is lost,
stolen, or accidentally destroyed, you
may obtain a replacement certificate
only from the U.S. Management Authority.
(7) If you no longer own the sample
collection, or no longer plan to travel
with the sample collection, you must
immediately return the original document to the U.S. Management Authority.
§ 23.51 What are the requirements for
issuing a partially completed CITES
document?
(a) Purpose. Under Article VIII(3),
Parties are to ensure that CITES specimens are traded with a minimum of
delay.
(b) U.S. and foreign general provisions.
The following provisions apply to the
issuance and acceptance of partially
completed CITES documents.
(1) A Management Authority may
issue partially completed CITES documents only when:
(i) The permitted trade will have a
negligible impact or no impact on the
conservation of the species.
(ii) All provisions of CITES have been
met.

(iii) The specimens are one of the following:
(A) Biological samples.
(B) Pre-Convention specimens.
(C) Specimens that qualify as bred in
captivity or artificially propagated.
(D) Appendix-I specimens from registered commercial breeding operations.
(E) Appendix-I plants artificially
propagated for commercial purposes.
(F) Other specimens that the Management Authority determines qualify
for partially completed documents.
(2) A Management Authority may
register applicants for species that
may be traded under partially completed documents.
(3) Partially completed CITES documents require the permit holder to:
(i) Enter specific information on the
CITES document or its annex as conditioned on the face of the CITES document.
(ii) Enter scientific names on the
CITES document only if the Management Authority included an inventory
of approved species on the face of the
CITES document or an attached annex.
(iii) Sign the CITES document, which
acts as a certification that the information entered is true and accurate.
(4) CITES documents issued for biological samples may be validated at
the time of issuance provided that
upon export the container is labeled
with the CITES document number and
indicates it contains CITES biological
samples.
(c) U.S. application form. Complete the
appropriate form for the proposed activity (see §§ 23.18 through 23.20) and
submit it to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign CITES
documents. When applying for a U.S.
CITES document, you must provide
sufficient information for us to find
that your proposed activity meets the
criteria in subpart C for the appropriate CITES document and the following criteria:
(1) The use of partially completed
documents benefits both the permit
holder and the issuing Management
Authority.

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§ 23.52

(2) The proposed activity will have a
negligible impact or no impact upon
the conservation of the species.
(e) U.S. standard conditions. In addition to the conditions in § 23.56 and any
standard conditions in this part that
apply to the specific CITES document,
the following conditions must be met:
(1) You must enter the information
specified in block 5, either on the face
of the CITES document or in an annex
to the document.
(2) You may not alter or enter any information on the face of the CITES
document or in an annex to the document that is not authorized in block 5
or an equivalent place.
(3) If you are authorized to enter a
scientific name, it must be for a species authorized in block 5 or an equivalent place, or in an attached annex of
the CITES document.
(4) You must sign the CITES document to certify that all information
entered by you is true and correct.
§ 23.52 What are the requirements for
replacing a lost, damaged, stolen, or
accidentally destroyed CITES document?
(a) Purpose. A Management Authority may issue a duplicate document, either a copy of the original or a reissued original, when a CITES document has been lost, damaged, stolen, or
accidentally destroyed. These provisions do not apply to a document that
has expired or that requires amendment. To amend or renew a CITES document, see part 13 of this subchapter.
(b) U.S. and foreign general provisions.
The following provisions apply to the

issuance and acceptance of a replacement CITES document:
(1) The permittee must notify the
issuing Management Authority that
the document was lost, damaged, stolen, or accidentally destroyed.
(2) The issuing Management Authority must be satisfied that the CITES
document was lost, damaged, stolen, or
accidentally destroyed.
(3) The issuing Management Authority should immediately inform the
Management Authority in the country
of destination and, for commercial
shipments, the Secretariat.
(4) If the replacement CITES document is a copy, it must indicate that it
is a ‘‘replacement’’ and a ‘‘true copy of
the original,’’ contain a new dated
original signature of a person authorized to sign CITES documents for the
issuing Management Authority, and
give the reason for replacement.
(5) If the replacement CITES document is a newly issued original document, it must indicate that it is a ‘‘replacement,’’ include the number and
date of issuance of the document being
replaced, and give the reason for replacement.
(c) U.S. application procedures. To
apply for a replacement CITES document, you must do all of the following:
(1) Complete application Form 3–200–
66 and submit it to the U.S. Management Authority.
(2) Consult the list to find the types
of information you need to provide
(more than one circumstance may
apply to you):

wwoods2 on DSK1DXX6B1PROD with CFR

If

Then

(i) The shipment has already
occurred

Provide copies of:
(A) Any correspondence you have had with the shipper or importing country’s Management Authority concerning the shipment.
(B) For wildlife, the validated CITES document and cleared Declaration for Importation or
Exportation of Fish or Wildlife (Form 3–177).
(C) For plants, the validated CITES document.

(ii) The original CITES document no longer exists

Submit a signed, dated, and notarized statement that:
(A) Provides the CITES document number and describes the circumstances that resulted
in the loss or destruction of the original CITES document.
(B) States whether the shipment has already occurred.
(C) Requests a replacement U.S. CITES document.

(iii) An original CITES document exists but has been
damaged

Submit the original damaged CITES document and a signed, dated, and notarized statement
that:
(A) Describes the circumstances that resulted in the CITES document being damaged.
(B) States whether the shipment has already occurred.
(C) Requests a replacement U.S. CITES document.

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(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S and foreign documents.
When applying for a U.S. replacement
document, you must provide sufficient
information for us to find that your
proposed activity meets all of the following criteria:
(1) The circumstances for the lost,
damaged, stolen, or accidentally destroyed CITES document are reasonable.
(2) If the shipment has already been
made, the wildlife or plant was legally
exported or re-exported, and the Management Authority of the importing
country has indicated it will accept the
replacement CITES document.
(e) U.S. standard conditions. In addition to the conditions in § 23.56, the following conditions apply:
(1) If the original CITES document is
found, you must return it to the U.S.
Management Authority.
(2) A CITES document issued for a
shipment that has already occurred
does not require validation.
(f) Validation. For an export or re-export that has not left the United
States, follow the procedures in § 23.27.
If the shipment has left the United
States and is in a foreign country, submit
the
unvalidated
replacement
CITES document to the appropriate
foreign authorities. We will not validate the replacement CITES document
for a shipment that has already been
shipped to a foreign country. We do not
require validation on replacement documents issued by foreign Management
Authorities.

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§ 23.53 What are the requirements for
obtaining a retrospective CITES
document?
(a) Purpose. Retrospective CITES
documents may be issued and accepted
in certain limited situations to authorize an export or re-export after that activity has occurred, but before the
shipment is cleared for import.
(b) U.S. and foreign general provisions.
The following provisions apply to the
issuance and acceptance of a retrospective CITES document:
(1) A retrospective document may
not be issued for Appendix-I specimens
except for certain specimens for per-

sonal use as specified in paragraph
(d)(7) of this section.
(2) The exporter or re-exporter must
notify the Management Authority in
the exporting or re-exporting country
of the irregularities that have occurred.
(3) A retrospective document may be
one of the following:
(i) An amended CITES document
where it can be shown that the issuing
Management Authority made a technical error that was not prompted by
the applicant.
(ii) A newly issued CITES document
where it can be shown that the applicant was misinformed by CITES officials or the circumstances in (d)(7) of
this section apply and a shipment has
occurred without a document.
(4) Retrospective documents can only
be issued after consultation between
the Management Authorities in both
the exporting or re-exporting country
and the importing country, including a
thorough
investigation
of
circumstances and agreement between
them that criteria in paragraph (d) of
this section have been met.
(5) The issuing Management Authority must provide all of the following information on any retrospective CITES
document:
(i) A statement that it was issued
retrospectively.
(ii) A statement specifying the reason for the issuance.
(iii) In the case of a document issued
for personal use, a condition restricting sale of the specimen within 6
months following the import of the
specimen.
(6) The issuing Management Authority must send a copy of the retrospective CITES document to the Secretariat.
(7) In general, except when the exporter or re-exporter and importer
have demonstrated they were not responsible for the irregularities, any
person who has been issued a CITES
document in the past will not be eligible to receive a retrospective document.
(c) U.S. application. Complete application Form 3–200–58 and submit it to the
U.S. Management Authority. In addition, submit one of the following:

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§ 23.54

(1) For a shipment that occurred
under a document containing a technical error, the faulty CITES document.
(2) For a shipment that occurred
without a CITES document, a completed application form for the type of
activity you conducted (see §§ 23.18
through 23.20).
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign documents. When applying for a U.S. document, you must provide sufficient information for us to find that your activity meets all of the following criteria:
(1) The specimens were exported or
re-exported without a CITES document
or with a CITES document that contained technical errors as provided in
paragraph (d)(6)(ii) of this section.
(2) The specimens were presented to
the appropriate official for inspection
at the time of import and a request for
a retrospective CITES document was
made at that time.
(3) The export or re-export and import of the specimens was otherwise in
compliance with CITES and the relevant national legislation of the countries involved.
(4) The importing Management Authority has agreed to accept the retrospectively issued CITES document.
(5) The specimens must be AppendixII or -III wildlife or plants, except as
provided in paragraph (d)(7) of this section.
(6) Except as provided in paragraph
(d)(7) of this section, the exporter or reexporter and importer were not responsible for the irregularities that occurred and have demonstrated one of
the following:
(i) The Management Authority or officials designated to clear CITES shipments misinformed the exporter or reexporter or the importer about the
CITES requirements. In the United
States, this would be an employee of
the FWS (for any species) or APHIS or
CBP (for plants).
(ii) The Management Authority unintentionally made a technical error that
was not prompted by information provided by the applicant when issuing the
CITES document.

(7) In the case of specimens for personal use, you must either show that
you qualify under paragraph (d)(6) of
this section, or that a genuine error
was made and that there was no attempt to deceive. The following specimens for personal use may qualify for
issuance of a retrospective document:
(i) Personal or household effects.
(ii) Live Appendix-II or -III specimens or live pre-Convention AppendixI specimens that you own for your personal use, accompanied you, and number no more than two.
(iii) Parts, products, or derivatives of
an Appendix-I species that qualify as
pre-Convention when the following
conditions are met:
(A) You own and possess the specimen for personal use.
(B) You either wore the specimen as
clothing or an accessory or took it as
part of your personal baggage, which
was carried by you or checked as baggage on the same plane, boat, car, or
train as you.
(C) The quantity is reasonably necessary or appropriate for the nature of
your trip or stay.
(e) U.S. standard conditions. In addition to the conditions in § 23.56, the following condition applies: A CITES document issued for a shipment that has
already occurred does not require validation.
(f) Validation. Submit the original
unvalidated retrospective CITES document to the appropriate foreign authority. We will not validate the retrospective CITES document for a shipment that has already been shipped to
a foreign country, and we do not require validation on retrospective documents issued by foreign Management
Authorities.
§ 23.54 How long is a U.S. or foreign
CITES document valid?
(a) Purpose. Article VI(2) of the Treaty sets the time period within which an
export permit is valid. Validity periods
for other CITES documents are prescribed in this section.
(b) Period of validity. CITES documents are valid only if presented for
import or introduction from the sea
within the period of validity (before
midnight on the expiration date) noted
on the face of the document.

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(1) An export permit and re-export
certificate will be valid for no longer
than 6 months from the issuance date.
(2) An import permit, introductionfrom-the-sea certificate, and certificate of origin will be valid for no
longer than 12 months from the
issuance date.
(3) A traveling-exhibition certificate
and certificate of ownership will be
valid for no longer than 3 years from
the issuance date.
(4) Other CITES documents will state
the period of their validity, but no U.S.
CITES document will be valid for

longer than 3 years from the issuance
date.
(c) Extension of validity. The validity
of a CITES document may not be extended beyond the expiration date on
the face of the document, except under
limited circumstances for certain timber species as outlined in § 23.73.
§ 23.55 How may I use a CITES specimen after import into the United
States?
You may use CITES specimens after
import into the United States for the
following purposes:

If the species is listed in

Allowed use after import

(a) Appendix I, except for specimens imported with a CITES
exemption document listed in paragraph (d) of this section.
(b) Appendix II with an annotation for noncommercial purposes
where other specimens of that species are treated as if listed
in Appendix I.
(c) Appendix II and threatened under the ESA, except as provided in a special rule in §§ 17.40 through 17.48 or under a
permit granted under §§ 17.32 or 17.52.

The specimen may be used, including a transfer, donation, or
exchange, only for noncommercial purposes.

(d) Appendix I, and imported with a CITES exemption document as follows:
(1) U.S-issued certificate for personally owned wildlife.
(2) Pre-Convention certificate.
(3) Export permit or re-export certificate for wildlife
from a registered commercial breeding operation.
(4) Export permit or re-export certificate for a plant
from a registered nursery or under a permit with a
source code of ‘‘D.’’
(5) U.S.-issued traveling-exhibition certificate.
(e) Appendix II, other than those in paragraphs (b) and (c) of
this section.
(f) Appendix III.

The specimen may be used for any purpose, except if the regulations in this part or other parts of this subchapter or a
permit condition allowed the import only for noncommercial
purposes, then the import and subsequent use must be only
for noncommercial purposes.

§ 23.56 What U.S. CITES document
conditions do I need to follow?

Air Transport Association Live Animals
Regulations.
(3) You must return the original
CITES document to the issuing office if
you do not use it, it expires, or you request renewal or amendment.
(4) When appropriate, a Management
Authority may require that you identify Appendix-II and -III wildlife or
plants with a mark. All live AppendixI wildlife must be securely marked or
uniquely identified. Such mark or identification must be made in a way that
the border official can verify that the
specimen and CITES document correspond. If a microchip is used, we
may, if necessary, ask the importer,
exporter, or re-exporter to have equipment on hand to read the microchip at
the time of import, export, or re-export.

(a) General conditions. The following
general conditions apply to all U.S.
CITES documents:
(1) You must comply with the provisions of part 13 of this subchapter as
conditions of the document, as well as
other applicable regulations in this
subchapter, including, but not limited
to, any that require permits. You must
comply with all applicable local, State,
Federal, tribal, and foreign wildlife or
plant conservation laws.
(2) For export and re-export of live
wildlife and plants, transport conditions
must
comply
with
CITES’Guidelines for transport and preparation for shipment of live wild animals
and plantsor, in the case of air transport of live wildlife, with International

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§ 23.60

(b) Standard conditions. You must
comply with the standard conditions
provided in this part for specific types
of CITES documents.
(c) Special conditions. We may place
special conditions on a CITES document based on the needs of the species
or the proposed activity. You must
comply with any special conditions
contained in or attached to a CITES
document.

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Subpart D—Factors Considered in
Making Certain Findings
§ 23.60 What factors are considered in
making a legal acquisition finding?
(a) Purpose. Articles III, IV, and V of
the Treaty require a Management Authority to make a legal acquisition
finding before issuing export permits
and re-export certificates. The Parties
have agreed that a legal acquisition
finding must also be made before
issuing certain CITES exemption documents.
(b) Types of legal acquisition. Legal acquisition refers to whether the specimen and its parental stock were:
(1) Obtained in accordance with the
provisions of national laws for the protection of wildlife and plants. In the
United States, these laws include all
applicable local, State, Federal, tribal,
and foreign laws; and
(2) If previously traded, traded internationally in accordance with the provisions of CITES.
(c) How we make our findings. We
make a finding that a specimen was legally acquired in the following way:
(1) The applicant must provide sufficient information (see § 23.34) for us to
make a legal acquisition finding.
(2) We make this finding after considering all available information.
(3) The amount of information we
need to make the finding is based on
our review of general factors described
in paragraph (d) of this section and additional specific factors described in
paragraphs (e) through (k) of this section.
(4) As necessary, we consult with foreign Management and Scientific Authorities, the CITES Secretariat, State
conservation agencies, Tribes, FWS
Law Enforcement, APHIS or CBP, and
other appropriate experts.

(d) Risk assessment. We review the
general factors listed in this paragraph
and additional specific factors in paragraphs (e) through (k) of this section to
assess the level of scrutiny and amount
of information we need to make a finding of legal acquisition. We give less
scrutiny and require less-detailed information when there is a low risk that
specimens to be exported or re-exported were not legally acquired, and
give more scrutiny and require more
detailed information when the proposed activity poses greater risk. We
consider the cumulative risks, recognizing that each aspect of the international trade has a continuum of risk
from high to low associated with it as
follows:
(1) Status of the species: From Appendix I to Appendix III.
(2) Origin of the specimen: From wildcollected to born or propagated in a
controlled environment to bred in captivity or artificially propagated.
(3) Source of the propagule used to grow
the plant: From documentation that
the plant was grown from a non-exempt seed or seedling to documentation that the plant was grown from an
exempt seed or seedling.
(4) Origin of the species: From species
native to the United States or its bordering countries of Mexico or Canada
to nonnative species from other countries.
(5) Volume of illegal trade: From high
to low occurrence of illegal trade.
(6) Type of trade: From commercial to
noncommercial.
(7) Trade by range countries: From
range countries that do not allow commercial export, or allow only limited
noncommercial export of the species,
to range countries that allow commercial export in high volumes.
(8) Occurrence of the species in a controlled environment in the United States:
From uncommon to common in a controlled environment in the United
States.
(9) Ability of the species to be bred or
propagated readily in a controlled environment: From no documentation that
the species can be bred or propagated
readily in a controlled environment to
widely accepted information that the
species is commonly bred or propagated.

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§ 23.61

50 CFR Ch. I (10–1–10 Edition)

(10) Genetic status of the specimen:
From a purebred species to a hybrid.
(e) Captive-bred wildlife or a cultivated
plant. For a specimen that is captivebred or cultivated, we may consider
whether the parental stock was legally
acquired.
(f) Confiscated specimen. For a confiscated Appendix-II or -III specimen,
we consider whether information shows
that the transfer of the confiscated
specimen or its offspring met the conditions of the remission decision, legal
settlement, or disposal action after forfeiture or abandonment.
(g) Donated specimen of unknown origin. For an unsolicited specimen of unknown origin donated to a public institution (see § 10.12 of this subchapter),
we consider whether:
(1) The public institution follows
standard recordkeeping practices and
has made reasonable efforts to obtain
supporting information on the origin of
the specimen.
(2) The public institution provides
sufficient information to show it made
a reasonable effort to find a suitable
recipient in the United States.
(3) The export will provide a conservation benefit to the species.
(4) No persuasive information exists
on illegal transactions involving the
specimen.
(5) The export is noncommercial,
with no money or barter exchanged except for shipping costs.
(6) The institution has no history of
receiving a series of rare and valuable
specimens or a large quantity of wildlife or plants of unknown origin.
(h) Imported previously. For a specimen that was previously imported into
the United States, we consider any reliable, relevant information we receive
concerning the validity of a CITES
document, regardless of whether the
shipment was cleared by FWS, APHIS,
or CBP.
(i) Personal use. For a wildlife or
plant specimen that is being exported
or re-exported for personal use by the
applicant, we consider whether:
(1) The specimen was acquired in the
United States and possessed for strictly personal use.
(2) The number of specimens is reasonably appropriate for the nature of

your export or re-export as personal
use.
(3) No persuasive evidence exists on
illegal transactions involving the specimen.
(j) Sequential ownership. For a specimen that was previously possessed by
someone other than the applicant, we
may consider the history of ownership
for a specimen and its parental stock,
breeding stock, or cultivated parental
stock.
(k) Wild-collected in the United States.
For a specimen collected from the wild
in the United States, we consider the
site where the specimen was collected,
whether the species is known to occur
at that site, the abundance of the species at that site, and, if necessary,
whether permission of the appropriate
management agency or landowner was
obtained to collect the specimen.
§ 23.61 What factors are considered in
making a non-detriment finding?
(a) Purpose. Articles III and IV of the
Treaty require that, before we issue a
CITES document, we find that a proposed export or introduction from the
sea of Appendix-I or -II specimens is
not detrimental to the survival of the
species and that a proposed import of
an Appendix-I specimen is for purposes
that would not be detrimental to the
survival of the species.
(b) Types of detriment. Detrimental
activities, depending on the species,
could include, among other things,
unsustainable use and any activities
that would pose a net harm to the status of the species in the wild. For Appendix-I species, it also includes use or
removal from the wild that results in
habitat loss or destruction, interference with recovery efforts for a species, or stimulation of further trade.
(c) General factors. The applicant
must provide sufficient information for
us to make a finding of non-detriment.
In addition to factors in paragraphs (d)
and (e) of this section, we will consider
whether:
(1) Biological and management information demonstrates that the proposed
activity represents sustainable use.

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(2) The removal of the animal or
plant from the wild is part of a biologically based sustainable-use management plan that is designed to eliminate over-utilization of the species.
(3) If no sustainable-use management
plan has been established, the removal
of the animal or plant from the wild
would not contribute to the over-utilization of the species, considering both
domestic and international uses.
(4) The proposed activity, including
the methods used to acquire the specimen, would pose no net harm to the
status of the species in the wild.
(5) The proposed activity would not
lead to long-term declines that would
place the viability of the affected population in question.
(6) The proposed activity would not
lead to significant habitat or range loss
or restriction.
(d) Additional factor for Appendix-II
species. In addition to the general factors in paragraph (c) of this section, we
will consider whether the intended export of an Appendix-II species would
cause a significant risk that the species would qualify for inclusion in Appendix I.
(e) Additional factors for Appendix-I
species. In addition to the general factors in paragraph (c) of this section, we
will consider whether the proposed activity:
(1) Would not cause an increased risk
of extinction for either the species as a
whole or the population from which the
specimen was obtained.
(2) Would not interfere with the recovery of the species.
(3) Would not stimulate additional
trade in the species. If the proposed activity does stimulate trade, we will
consider whether the anticipated increase in trade would lead to the decline of the species.
(f) How we make our findings. We base
the non-detriment finding on the best
available biological information. We
also consider trade information, including trade demand, and other scientific management information. We
make a non-detriment finding in the
following way:
(1) We consult with the States,
Tribes, other Federal agencies, scientists, other experts, and the range
countries of the species.

(2) We consult with the Secretariat
and other Parties to monitor the level
of trade that is occurring in the species.
(3) Based on the factors in paragraphs
(c) through (e) of this section, we
evaluate the biological impact of the
proposed activity.
(4) In cases where insufficient information is available or the factors
above are not satisfactorily addressed,
we take precautionary measures and
would be unable to make the required
finding of non-detriment.
(g) Risk assessment. We review the status of the species in the wild and the
degree of risk the proposed activity
poses to the species to determine the
level of scrutiny needed to make a
finding. We give greater scrutiny and
require more detailed information for
activities that pose a greater risk to a
species in the wild. We consider the cumulative risks, recognizing that each
aspect of international trade has a continuum of risk (from high to low) associated with it as follows:
(1) Status of the species: From Appendix I to Appendix II.
(2) Origin of the specimen: From wildcollected to born or propagated in a
controlled environment to bred in captivity or artificially propagated.
(3) Source of the propagule used to grow
the plant: From documentation that
the plant was grown from a non-exempt seed or seedling to documentation that the plant was grown from an
exempt seed or seedling.
(4) Origin of the species: From native
species to nonnative species.
(5) Volume of legal trade: From high to
low occurrence of legal trade.
(6) Volume of illegal trade: From high
to low occurrence of illegal trade.
(7) Type of trade: From commercial to
noncommercial.
(8) Genetic status of the specimen:
From a purebred species to a hybrid.
(9) Risk of disease transmission: From
high to limited risk of disease transmission.
(10) Basis for listing: From listed
under Article II(1) or II(2)(a) of the
Treaty to listed under Article II(2)(b).
(h) Quotas for Appendix-I species.
When an export quota has been set by
the CoP for an Appendix-I species, we

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50 CFR Ch. I (10–1–10 Edition)

will consider the scientific and management basis of the quota together
with the best available biological information when we make our non-detriment finding. We will contact the
Scientific and Management Authorities of the exporting country for further information if needed.

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§ 23.62 What factors are considered in
making a finding of not for primarily commercial purposes?
(a) Purpose. Under Article III(3(c))
and (5(c)) of the Treaty, an import permit or an introduction-from-the-sea
certificate for Appendix-I species can
be issued only if the Management Authority is satisfied that the specimen is
not to be used for primarily commercial purposes. Trade in Appendix-I species must be subject to particularly
strict regulation and authorized only
in exceptional circumstances.
(b) How we make our findings. We
must find that the intended use of the
Appendix-I specimen is not for primarily commercial purposes before we
can issue a CITES document.
(1) We will make this decision on a
case-by-case basis considering all
available information.
(2) The applicant must provide sufficient information to satisfy us that the
intended use is not for primarily commercial purposes.
(3) The definitions of ‘‘commercial’’
and ‘‘primarily commercial purposes’’
in § 23.5 apply.
(4) We will look at all aspects of the
intended use of the specimen. If the
noncommercial aspects do not clearly
predominate, we will consider the import or introduction from the sea to be
for primarily commercial purposes.
(5) While the nature of the transaction between the owner in the country of export and the recipient in the
country of import or introduction from
the sea may have some commercial aspects, such as the exchange of money
to cover the costs of shipment and care
of specimens during transport, it is the
intended use of the specimen, including
the purpose of the export, that must
not be for primarily commercial purposes.
(6) We will conduct an assessment of
factors listed in paragraph (d) of this
section. For activities involving an an-

ticipated measurable increase in revenue and other economic value associated with the intended use, we will
conduct an analysis as described in
paragraph (e) of this section.
(7) All net profits generated in the
United States from activities associated with the import of an Appendix-I
species must be used for conservation
of that species.
(c) Examples. The following are examples of types of transactions in which
the noncommercial aspects of the intended use of the specimen may predominate depending on the facts of
each situation. The discussions of each
example provide further guidance in
assessing
the
actual
degree
of
commerciality on a case-by-case basis.
These examples outline circumstances
commonly encountered and do not
cover all situations where import or introduction from the sea could be found
to be not for primarily commercial
purposes.
(1) Personal use. Import or introduction from the sea of an Appendix-I
specimen for personal use generally is
considered to be not for primarily commercial purposes. An example is the
import of a personal sport-hunted trophy by the person who hunted the wildlife for display in his or her own home.
(2) Scientific purposes. The import or
introduction from the sea of an Appendix-I specimen by a scientist or scientific institution may be permitted in
situations where resale, commercial
exchange, or exhibit of the specimen
for economic benefit is not the primary
intended use.
(3) Conservation, education, or training.
Generally an Appendix-I specimen may
be imported or introduced from the sea
by government agencies or nonprofit
institutions for purposes of conservation, education, or training. For example, a specimen could be imported or
introduced from the sea primarily to
train customs staff in effective CITES
control, such as for identification of
certain types of specimens.
(4) Biomedical industry. Import or introduction from the sea of an Appendix-I specimen by an institution or
company in the biomedical industry is
initially presumed to be commercial
since specimens are typically imported
or introduced from the sea to develop

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and sell products that promote public
health for profit. However, if the importer clearly shows that the sale of
products is only incidental to public
health research and not for the primary purpose of economic benefit or
profit, then such an import or introduction from the sea could be considered as scientific research under paragraph (c)(2) of this section if the principles of paragraph (b) of this section
are met.
(5) Captive-breeding or artificial propagation programs. The import of an Appendix-I specimen for purposes of establishing a commercial operation for
breeding or artificial propagation is
considered to be for primarily commercial purposes. As a general rule, import
or introduction from the sea of an Appendix-I specimen for a captive-breeding or artificial propagation program
must have as a priority the long-term
protection and recovery of the species
in the wild. The captive-breeding or artificial propagation program must be
part of a program aimed at the recovery of the species in the wild and be undertaken with the support of a country
within the species’ native range. Any
profit gained must be used to support
this recovery program. If a captivebreeding or artificial propagation operation plans to sell surplus specimens to
help offset the costs of its program, import or introduction from the sea
would be allowed only if any profit
would be used to support the captivebreeding or artificial propagation program to the benefit of the Appendix-I
species, not for the personal economic
benefit of a private individual or shareholder.
(6) Professional dealers. Import or introduction from the sea by a professional dealer who states a general intention to eventually sell the specimen
or its offspring to an undetermined recipient would be considered to be for
primarily commercial purposes. However, import or introduction from the
sea through a professional dealer by a
qualified applicant may be acceptable
if the ultimate intended use would be
for one of the purposes set out in paragraphs (c)(2), (3), and (5) of this section
and where a binding contract, conditioned on the issuing of permits, is in
place.

(d) Risk assessment. We review the factors listed in this paragraph (d) to assess the level of scrutiny and amount
of information we need to make a finding of whether the intended use of the
specimen is not for primarily commercial purposes. We give less scrutiny and
require less detailed information when
the import or introduction from the
sea poses a low risk of being primarily
commercial, and give more scrutiny
and require more detailed information
when the proposed activity poses greater risk. We consider the cumulative
risks, recognizing that each aspect of
the international trade has a continuum of risk from high to low associated with it as follows:
(1) Type of importer: From for-profit
entity to private individual to nonprofit entity.
(2) Ability of the proposed uses to generate revenue: From the ability to generate measurable increases in revenue
or other economic value to no anticipated increases in revenue or other
economic value.
(3) Appeal of the species: From high
public appeal to low public appeal.
(4) Occurrence of the species in the
United States: From uncommon to common in a controlled environment in the
United States.
(5) Intended use of offspring: From
commercial to noncommercial.
(e) Analysis of anticipated revenues and
other economic value. We will analyze
revenues and other economic value anticipated to result from the use of the
specimen for activities with a high risk
of being primarily commercial.
(1) We will examine the proposed use
of any net profits generated in the
United States. We consider net profit
to include all funds or other valuable
considerations (including enhanced
value of common stock shares) received or attained by you or those affiliated with you as a result of the import or introduction from the sea, to
the extent that such funds or other valuable considerations exceed the reasonable expenses that are properly attributable to the proposed activity.
(2) We will consider any conservation
project to be funded and, if the species
was or is to be taken from the wild,
how the project benefits the species in
its native range, including agreements,

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timeframes for accomplishing tasks,
and anticipated benefits to the species.
(3) We will consider any plans to
monitor
a
proposed
conservation
project, including expenditure of funds
or completion of tasks.
(4) In rare cases involving unusually
high net profits, we will require the applicant to provide a detailed analysis
of expected revenue (both direct and
indirect) and expenses to show anticipated net profit, and a statement from
a licensed, independent certified public
accountant that the internal accounting system is sufficient to account for
and track funds generated by the proposed activities.

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§ 23.63 What factors are considered in
making a finding that an animal is
bred in captivity?
(a) Purpose. Article VII(4) and (5) of
the Treaty provide exemptions that
allow for the special treatment of wildlife that was bred in captivity (see
§§ 23.41 and 23.46).
(b) Definitions. The following terms
apply when determining whether specimens qualify as ‘‘bred in captivity’’:
(1) A controlled environment means
one that is actively manipulated for
the purpose of producing specimens of
a particular species; that has boundaries designed to prevent specimens,
including eggs or gametes, from entering or leaving the controlled environment; and has general characteristics
that may include artificial housing,
waste removal, provision of veterinary
care, protection from predators, and
artificially supplied food.
(2) Breeding stock means an ensemble
of captive wildlife used for reproduction.
(c) Bred-in-captivity criteria. For a
specimen to qualify as bred in captivity, we must be satisfied that all the
following criteria are met:
(1) If reproduction is sexual, the specimen was born to parents that either
mated or transferred gametes in a controlled environment.
(2) If reproduction is asexual, the parent was in a controlled environment
when development of the offspring
began.
(3) The breeding stock meets all of
the following criteria:

(i) Was established in accordance
with the provisions of CITES and relevant national laws.
(ii) Was established in a manner not
detrimental to the survival of the species in the wild.
(iii) Is maintained with only occasional introduction of wild specimens
as provided in paragraph (d) of this section.
(iv) Has consistently produced offspring of second or subsequent generations in a controlled environment, or is
managed in a way that has been demonstrated to be capable of reliably producing second-generation offspring and
has produced first-generation offspring.
(d) Addition of wild specimens. A very
limited number of wild specimens (including eggs or gametes) may be introduced into a breeding stock if all of the
following conditions are met (for Appendix-I
specimens
see
also
§ 23.46(b)(12)):
(1) The specimens were acquired in
accordance with the provisions of
CITES and relevant national laws.
(2) The specimens were acquired in a
manner not detrimental to the survival
of the species in the wild.
(3) The specimens were added either
to prevent or alleviate deleterious inbreeding, with the number of specimens added as determined by the need
for new genetic material, or to dispose
of confiscated animals.
§ 23.64 What factors are considered in
making a finding that a plant is artificially propagated?
(a) Purpose. Article VII(4) and (5) of
the Treaty provide exemptions that
allow for special treatment of plants
that were artificially propagated (see
§§ 23.40 and 23.47).
(b) Definitions. The following terms
apply when determining whether specimens qualify as ‘‘artificially propagated’’:
(1) Controlled conditions means a nonnatural environment that is intensively manipulated by human intervention for the purpose of plant production. General characteristics of controlled conditions may include, but are
not limited to, tillage, fertilization,
weed and pest control, irrigation, or
nursery operations such as potting,
bedding, or protection from weather.

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(2) Cultivated parental stock means the
ensemble of plants grown under controlled conditions that are used for reproduction.
(c) Artificially propagated criteria. Except as provided in paragraphs (f) and
(g) of this section, for a plant specimen
to qualify as artificially propagated,
we must be satisfied that the plant
specimen was grown under controlled
conditions from a seed, cutting, division, callus tissue, other plant tissue,
spore, or other propagule that either is
exempt from the provisions of CITES
or has been derived from cultivated parental stock. The cultivated parental
stock must meet all of the following
criteria:
(1) Was established in accordance
with the provisions of CITES and relevant national laws.
(2) Was established in a manner not
detrimental to the survival of the species in the wild.
(3) Is maintained in sufficient quantities for propagation so as to minimize
or eliminate the need for augmentation
from the wild, with such augmentation
occurring only as an exception and limited to the amount necessary to maintain the vigor and productivity of the
cultivated parental stock.
(d) Cutting or division. A plant grown
from a cutting or division is considered
to be artificially propagated only if the
traded specimen does not contain any
material collected from the wild.
(e) Grafted plant. A grafted plant is
artificially propagated only when both
the rootstock and the material grafted
to it have been taken from specimens
that were artificially propagated in accordance with paragraph (c) of this section. A grafted specimen that consists
of taxa from different Appendices is
treated as a specimen of the taxon listed in the more restrictive Appendix.
(f) Timber. Timber taken from trees
planted and grown in a monospecific
plantation is considered artificially
propagated if the seeds or other
propagules from which the trees are
grown were legally acquired and obtained in a non-detrimental manner.
(g) Exception for certain plant specimens grown from wild-collected seeds or
spores. Plant specimens grown from
wild-collected seeds or spores may be
considered artificially propagated only

when all of the following conditions
have been met:
(1) Establishment of a cultivated parental stock for the taxon presents significant difficulties because specimens
take a long time to reach reproductive
age.
(2) The seeds or spores are collected
from the wild and grown under controlled conditions within a range country, which must also be the country of
origin of the seeds or spores.
(3) The Management Authority of the
range country has determined that the
collection of seeds or spores was legal
and consistent with relevant national
laws for the protection and conservation of the species.
(4) The Scientific Authority of the
range country has determined that collection of the seeds or spores was not
detrimental to the survival of the species in the wild, and allowing trade in
such specimens has a positive effect on
the conservation of wild populations.
In making these determinations, all of
the following conditions must be met:
(i) The collection of seeds or spores
for this purpose must be limited in
such a manner as to allow regeneration
of the wild population.
(ii) A portion of the plants produced
must be used to establish plantations
to serve as cultivated parental stock in
the future and become an additional
source of seeds or spores and thus reduce or eliminate the need to collect
seeds from the wild.
(iii) A portion of the plants produced
must be used for replanting in the wild,
to enhance recovery of existing populations or to re-establish populations
that have been extirpated.
(5) Operations propagating AppendixI species for commercial purposes must
be registered with the CITES Secretariat in accordance with the Guidelines for the registration of nurseries
exporting artificially propagated specimens of Appendix-I species.
§ 23.65 What factors are considered in
making a finding that an applicant
is suitably equipped to house and
care for a live specimen?
(a) Purpose. Under Article III(3)(b)
and (5)(b) of the Treaty, an import permit or introduction-from-the-sea certificate for live Appendix-I specimens

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50 CFR Ch. I (10–1–10 Edition)

can be issued only if we are satisfied
that the recipients are suitably
equipped to house and care for them.
(b) General principles. We will follow
these general principles in making a
decision on whether an applicant has
facilities that would provide proper
housing to maintain the specimens for
the intended purpose and the expertise
to provide proper care and husbandry
or horticultural practices.
(1) All persons who would be receiving a specimen must be identified in an
application and their facilities approved by us, including persons who
are likely to receive a specimen within
1 year after it arrives in the United
States.
(2) The applicant must provide sufficient information for us to make a
finding, including, but not limited to, a
description of the facility, photographs, or construction plans, and resumes of the recipient or staff who will
care for the specimen.
(3) We use the best available information on the requirements of the species
in making a decision and will consult
with experts and other Federal and
State agencies, as necessary and appropriate.
(4) The degree of scrutiny that we
give an application is based on the biological and husbandry or horticultural
needs of the species.
(c) Specific factors considered for wildlife. In addition to the general provisions in paragraph (e) of this section,
we consider the following factors in
evaluating suitable housing and care
for wildlife:
(1) Enclosures constructed and maintained so as to provide sufficient space
to allow each animal to make normal
postural and social adjustments with
adequate freedom of movement. Inadequate space may be indicated by evidence of malnutrition, poor condition,
debility, stress, or abnormal behavior
patterns.
(2) Appropriate forms of environmental enrichment, such as nesting
material, perches, climbing apparatus,
ground substrate, or other species-specific materials or objects.
(3) If the wildlife is on public display,
an off-exhibit area, consisting of indoor
and outdoor accommodations, as ap-

propriate, that can house the wildlife
on a long-term basis if necessary.
(4) Provision of water and nutritious
food of a nature and in a way that are
appropriate for the species.
(5) Staff who are trained and experienced in providing proper daily care
and maintenance for the species being
imported or introduced from the sea, or
for a closely related species.
(6) Readily available veterinary care
or veterinary staff experienced with
the species or a closely related species,
including emergency care.
(d) Specific factors considered for
plants. In addition to the general provisions in paragraph (e) of the section,
we consider the following factors in
evaluating suitable housing and care
for plants:
(1) Sufficient space, appropriate
lighting, and other environmental conditions that will ensure proper growth.
(2) Ability to provide appropriate culture, such as water, fertilizer, and pest
and disease control.
(3) Staff with experience with the imported species or related species with
similar horticultural requirements.
(e) General factors considered for wildlife and plants. In addition to the specific provisions in paragraphs (c) or (d)
of this section, we will consider the following factors in evaluating suitable
housing and care for wildlife and
plants:
(1) Adequate enclosures or holding
areas to prevent escape or unplanned
exchange of genetic material with
specimens of the same or different species outside the facility.
(2) Appropriate security to prevent
theft of specimens and measures taken
to rectify any previous theft or security problem.
(3) A reasonable survival rate of
specimens of the same species or, alternatively, closely related species at the
facility, mortalities for the previous 3
years, significant injuries to wildlife or
damage to plants, occurrence of significant disease outbreaks during the previous 3 years, and measures taken to
prevent similar mortalities, injuries,
damage, or diseases. Significant injuries, damage, or disease outbreaks are
those that are permanently debilitating or re-occurring.

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(4) Sufficient funding on a long-term
basis to cover the cost of maintaining
the facility and the specimens imported.
(f) Incomplete facilities or insufficient
staff. For applications submitted to us
before the facilities to hold the specimen are completed or the staff is identified or properly trained, we will:
(1) Review all available information,
including construction plans or intended staffing, and make a finding
based on this information.
(2) Place a condition on any permit
that the import cannot occur until the
facility has been completed or the staff
hired and trained, and approved by us.

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Subpart E—International Trade in
Certain Specimens
§ 23.68 How can I trade internationally
in roots of American ginseng?
(a) U.S. and foreign general provisions.
Whole plants and roots (whole, sliced,
and parts, excluding manufactured
parts, products, and derivatives, such
as powders, pills, extracts, tonics, teas,
and confectionery) of American ginseng (Panax quinquefolius), whether
wild or artificially propagated, are included in Appendix II. Cultivated
American ginseng that does not meet
the requirements of artificially propagated will be considered wild for export
and re-export purposes. The import, export, or re-export of ginseng roots must
meet the requirements of this section
and other requirements of this part
(see subparts B and C for prohibitions
and application procedures). For specimens that were harvested from a State
or Tribe without an approved CITES
export program, see § 23.36 for export
permits and § 23.37 for re-export certificates.
(b) Export approval of State and tribal
programs. States and Tribes set up and
maintain ginseng management and
harvest programs designed to monitor
and protect American ginseng from
over-harvest. When a State or Tribe
with a management program provides
us with the necessary information, we
make programmatic findings and have
specific requirements that allow export
under CITES. For wild ginseng, a State
or Tribe must provide sufficient information for us to determine that its

management program and harvest controls are appropriate to ensure that
ginseng harvested within its jurisdiction is legally acquired and that export
will not be detrimental to the survival
of the species in the wild. For artificially propagated ginseng, a State or
Tribe must provide sufficient information for us to determine that ginseng
grown within its jurisdiction meets the
definition of artificially propagated
and the State or Tribe must have procedures in place to minimize the risk
that the roots of wild-collected plants
would be claimed as artificially propagated.
(1) A State or Tribe seeking initial
CITES export program approval for
wild or artificially propagated American ginseng must submit the following
information on the adoption and implementation of regulatory measures to
the U.S. Management Authority:
(i) Laws or regulations mandating licensing or registration of persons buying and selling ginseng in that State or
on tribal lands.
(ii) A requirement that ginseng dealers maintain records and provide copies
of those records to the appropriate
State or tribal management agency
upon request. Dealer records must contain: the name and address of the ginseng seller, date of transaction, whether the ginseng is wild or artificially
propagated and dried or green at time
of transaction, weight of roots, State
or Tribe of origin of roots, and identification numbers of the State or tribal
certificates used to ship ginseng from
the State or Tribe of origin.
(iii) A requirement that State or
tribal personnel will inspect roots, ensure legal harvest, and have the ability
to determine the age of roots of all
wild-collected ginseng harvested in the
State or on tribal lands. State or tribal
personnel may accept a declaration
statement by the licensed or registered
dealer or grower that the ginseng roots
are artificially propagated.
(iv) A requirement that State or tribal personnel will weigh ginseng roots
unsold by March 31 of the year after
harvest and give a weight receipt to
the owner of the roots. Future export
certification of this stock must be
issued against the weight receipt.

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(v) A requirement that State or tribal personnel will issue certificates for
wild and artificially propagated ginseng. These certificates must contain
at a minimum:
(A) State of origin.
(B) Serial number of certificate.
(C) Dealer’s State or tribal license or
registration number.
(D) Dealer’s shipment number for
that harvest season.
(E) Year of harvest of ginseng being
certified.
(F) Designation as wild or artificially
propagated.
(G) Designation as dried or fresh
(green) roots.
(H) Weight of roots.
(I) Statement of State or tribal certifying official verifying that the ginseng was obtained in that State or on
those tribal lands in accordance with
all relevant laws for that harvest year.
(J) Name and title of State or tribal
certifying official.
(2) In addition, a State or Tribe seeking initial CITES export program approval for wild American ginseng must
submit the following information to
the U.S. Management Authority:
(i) An assessment of the condition of
the population and trends, including a
description of the types of information
on which the assessment is based, such
as an analysis of population demographics; population models; or analysis of past harvest levels or indices of
abundance independent of harvest information, such as field surveys.
(ii) Historic, present, and potential
distribution of wild ginseng on a county-by-county basis.
(iii) Phenology of ginseng, including
flowering and fruiting periods.
(iv) Habitat evaluation.
(v) If available, copies of any ginseng
management or monitoring plans or
other relevant reports that the State
or Tribe has prepared as part of its existing management program.
(3) A State or Tribe with an approved
CITES export program must complete
Form 3–200–61 and submit it to the U.S.
Management Authority by May 31 of
each year to provide information on
the previous harvest season.
(c) U.S. application process. Application forms and a list of States and
Tribes with approved ginseng programs

can be obtained from our website or by
contacting us (see § 23.7).
(1) To export wild or artificially
propagated ginseng harvested under an
approved State or tribal program, complete Form 3–200–34 or Form 3-200-74 for
additional single-use permits under an
annual program file.
(2) To export wild ginseng harvested
from a State or Tribe that does not
have an approved program, complete
Form 3–200–32. To export artificially
propagated ginseng from a State or
Tribe that does not have an approved
program, complete Form 3–200–33.
(3) To re-export ginseng, complete
Form 3–200–32.
(4) For information on issuance criteria for CITES documents, see § 23.36
for export permits, § 23.37 for re-export
certificates, and § 23.40 for certificates
for artificially propagated plants.
(d) Conditions for export. Upon export,
roots must be accompanied by a State
or tribal certificate containing the information
specified
in
paragraph
(b)(1)(v) of this section.
§ 23.69 How can I trade internationally
in fur skins and fur skin products
of bobcat, river otter, Canada lynx,
gray wolf, and brown bear?
(a) U.S. and foreign general provisions.
For purposes of this section, CITES
furbearers means bobcat (Lynx rufus),
river otter (Lontra canadensis), and
Canada lynx (Lynx canadensis), and the
Alaskan populations of gray wolf
(Canis lupus), and brown bear (Ursus
arctos). These species are included in
Appendix II based on Article II(2)(b) of
the Treaty (see § 23.89). The import, export, or re-export of fur skins and fur
skin products must meet the requirements of this section and the other requirements of this part (see subparts B
and C for prohibitions and application
procedures). For specimens that were
harvested from a State or Tribe without an approved CITES export program, see § 23.36 for export permits and
§ 23.37 for re-export certificates.
(b) Export approval of State and tribal
programs. States and Tribes set up and
maintain management and harvest programs designed to monitor and protect
CITES furbearers from over-harvest.
When a State or Tribe with a management program provides us with the

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necessary information, we make programmatic findings and have specific
requirements that allow export under
CITES. A State or Tribe must provide
sufficient information for us to determine that its management program
and harvest controls are appropriate to
ensure that CITES furbearers harvested within its jurisdiction are legally acquired and that export will not
be detrimental to the survival of the
species in the wild.
(1) A State or Tribe seeking initial
CITES export program approval must
submit the following information to
the U.S. Management Authority, except as provided in paragraph (b)(2) of
this section:
(i) An assessment of the condition of
the population and a description of the
types of information on which the assessment is based, such as an analysis
of carcass demographics, population
models, analysis of past harvest levels
as a function of fur prices or trapper effort, or indices of abundance independent of harvest information, such
as scent station surveys, archer surveys, camera traps, track or scat surveys, or road kill counts.
(ii) Current harvest control measures, including laws regulating harvest
seasons and methods.
(iii) Total allowable harvest of the
species.
(iv) Distribution of harvest.
(v) Indication of how frequently harvest levels are evaluated.
(vi) Tagging or marking requirements for fur skins.
(vii) Habitat evaluation.
(viii) If available, copies of any
furbearer management plans or other
relevant reports that the State or
Tribe has prepared as part of its existing management program.
(2) If the U.S. Scientific Authority
has made a range-wide non-detriment
finding for a species, a State or Tribe
seeking initial approval for a CITES
export program for that species need
only submit the information in
(b)(1)(ii) and (vi) of this section.
(3) A State or Tribe with an approved
CITES export program must submit a
CITES furbearer activity report to the
U.S. Management Authority by October 31 of each year that provides information as to whether or not the popu-

lation status or management of the
species has changed within the State or
tribal lands. This report may reference
information provided in previous years
if the information has not changed. Except as provided in paragraph (b)(4) of
this section, a furbearer activity report
should include, at a minimum, the following:
(i) For each species, the number of
specimens taken and the number of
animals tagged, if different.
(ii) An assessment of the condition of
the population, including trends, and a
description of the types of information
on which the assessment is based. If
population levels are decreasing, the
activity report should include the
State or Tribe’s professional assessment of the reason for the decline and
any steps being taken to address it.
(iii) Information on, and a copy of,
any changes in laws or regulations affecting these species.
(iv) If available, copies of relevant reports that the State or Tribe has prepared during the year in question as
part of its existing management programs for CITES furbearers.
(4) When the U.S. Scientific Authority has made a range-wide non-detriment finding for a species, the annual
furbearer activity report from a State
or Tribe with an approved export program for that species should include, at
a minimum, a statement indicating
whether or not the status of the species
has changed and the information in
paragraph (b)(3)(iii) and (iv) of this section. Range-wide non-detriment findings will be re-evaluated at least every
5 years, or sooner if information indicates that there has been a change in
the status or management of the species that might lead to different treatment of the species. When a range-wide
non-detriment finding is re-evaluated,
States and Tribes with an approved export program for the species must submit information that allows us to determine whether our finding remains
valid.
(c) CITES tags. Unless an alternative
method has been approved, each CITES
fur skin to be exported or re-exported
must have a U.S. CITES tag permanently attached.
(1) The tag must be inserted through
the skin and permanently locked in

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50 CFR Ch. I (10–1–10 Edition)

place using the locking mechanism of
the tag.
(2) The legend on the CITES tag must
include the US-CITES logo, an abbreviation for the State or Tribe of harvest, a standard species code assigned
by the Management Authority, and a
unique serial number.
(3) Fur skins with broken, cut, or
missing tags may not be exported. Replacement tags must be obtained before the furs are presented for export or
re-export. To obtain a replacement tag,
either from the State or Tribe that
issued the original tag or from us, you
must provide information to show that
the fur was legally acquired.
(i) When a tag is broken, cut, or missing, you may contact the State or
Tribe of harvest for a replacement tag.
If the State or Tribe cannot replace it,
you may apply to FWS Law Enforcement for a replacement tag. If the tag
is broken or cut, you must give us the
tag. If the tag is missing, you must
provide details concerning how the tag
was lost. If we are satisfied that the fur
was legally acquired, we will provide a
CITES replacement tag.
(ii) A replacement tag must meet all
of the requirements in paragraph (c) of
this section, except the legend will include only the US-CITES logo, FWSREPL, and a unique serial number.
(4) Tags are not required on fur skin
products.
(d) Documentation requirements. The
U.S. CITES export permit or an annex
attached to the permit must contain
all information that is given on the
tag.
(e) U.S. application process. Application forms and a list of States and
Tribes with approved furbearer programs can be obtained from our
website or by contacting us (see § 23.7).
(1) To export fur skins taken under
an approved State or tribal program,
complete Form 3–200–26 and submit it
to either FWS Law Enforcement or the
U.S. Management Authority.
(2) To export fur skins that were not
harvested under an approved program,
complete Form 3–200–27 and submit it
to the U.S. Management Authority.
(3) To re-export fur skins, complete
Form 3-200-73 and submit it either to
FWS Law Enforcement or the U.S.
Management Authority.

(4) For information on issuance criteria for CITES documents, see § 23.36
for export permits and § 23.37 for re-export certificates.
(f) Conditions for export. Upon export,
each fur skin, other than a fur skin
product, must be clearly identified in
accordance with paragraph (c) of this
section.
§ 23.70 How can I trade internationally
in American alligator and other
crocodilian skins, parts, and products?
(a) U.S. and foreign general provisions.
For the purposes of this section, crocodilian means all species of alligator,
caiman, crocodile, and gavial of the
order Crocodylia. The import, export,
or re-export of any crocodilian skins,
parts, or products must meet the requirements of this section and the
other requirements of this part (see
subparts B and C for prohibitions and
application procedures). For American
alligator
(Alligator
mississippiensis)
specimens harvested from a State or
Tribe without an approved CITES export program, see § 23.36 for export permits and § 23.37 for re-export certificates.
(b) Definitions. Terms used in this
section are defined as follows:
(1) Crocodilian skins means whole or
partial skins, flanks, chalecos, and bellies (including those that are salted,
crusted, tanned, partially tanned, or
otherwise processed), including skins of
sport-hunted trophies.
(2) Crocodilian parts means body parts
with or without skin attached (including tails, throats, feet, meat, skulls,
and other parts) and small cut skin
pieces.
(c) Export approval of State and tribal
programs for American alligator. States
and Tribes set up and maintain management and harvest programs designed to monitor and protect American alligators from over-harvest.
When a State or Tribe with a management program provides us with the
necessary information, we make programmatic findings and have specific
requirements that allow export under
CITES. A State or Tribe must provide
sufficient information for us to determine that its management program
and harvest controls are appropriate to

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ensure that alligators harvested within
its jurisdiction are legally acquired
and that the export will not be detrimental to the survival of the species in
the wild.
(1) A State or Tribe seeking initial
CITES export program approval must
submit the following to the U.S. Management Authority:
(i) An assessment of the condition of
the wild population and a description
of the types of information on which
the assessment is based, such as an
analysis of carcass demographics, population models, analysis of past harvest levels as a function of skin prices
or harvester effort, or indices of abundance independent of harvest information, such as nest surveys, spotlighting
surveys, or nuisance complaints.
(ii) Current harvest control measures, including laws regulating harvest
seasons and methods.
(iii) Total allowable harvest of the
species.
(iv) Distribution of harvest.
(v) Indication of how frequently harvest levels are evaluated.
(vi) Tagging or marking requirements for skins and parts.
(vii) Habitat evaluation.
(viii) Information on nuisance alligator management programs.
(ix) Information on alligator farming
programs, including whether collecting
and rearing of eggs or hatchlings is allowed, what factors are used to set harvest levels, and whether any alligators
are returned to the wild.
(x) If available, copies of any alligator management plans or other relevant reports for American alligator
that the State or Tribe has prepared as
part of its existing management program.
(2) A State or Tribe with an approved
CITES export program must submit an
American alligator activity report to
the U.S. Management Authority by
July 1 of each year to provide information regarding harvests during the previous year. This report may reference
information provided in previous years
if the information has not changed. An
American alligator activity report, at
a minimum, should include the following:

(i) The total number of skins from
wild or farmed alligators that were
tagged by the State or Tribe.
(ii) An assessment of the status of
the alligator population with an indication of whether the population is stable, increasing, or decreasing, and at
what rate (if known). If population levels are decreasing, activity reports
should include the State or Tribe’s professional assessment of the reason for
the decline and any steps being taken
to address it.
(iii) For wild alligators, information
on harvest, including harvest of nuisance alligators, methods used to determine harvest levels, demographics
of the harvest, and methods used to determine the total number and population trends of alligators in the wild.
(iv) For farmed alligators, information on whether collecting and rearing
of eggs or hatchlings is allowed, what
factors are used to set harvest levels,
and whether any alligators are returned to the wild.
(v) Information on, and a copy of,
any changes in laws or regulations affecting the American alligator.
(vi) If available, copies of relevant reports that the State or Tribe has prepared during the reporting period as
part of its existing management program for the American alligator.
(3) We provide CITES export tags to
States and Tribes with approved CITES
export programs. American alligator
skins and parts must meet the marking
and tagging requirements of paragraphs (d), (e), and (f) of this section.
(d) Tagging of crocodilian skins. You
may import, export, or re-export any
crocodilian skin only if a non-reusable
tag is inserted though the skin and
locked in place using the locking
mechanism of the tag. A mounted
sport-hunted trophy must be accompanied by the tag from the skin used to
make the mount.
(1) Except as provided for a replacement tag in paragraph (d)(3)(ii) of this
section, the tag must:
(i) Be self-locking, heat resistant,
and inert to chemical and mechanical
processes.
(ii) Be permanently stamped with the
two-letter ISO code for the country of
origin, a unique serial number, a standardized species code (available on our

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website; see § 23.7), and the year of production or harvest. For American alligator, the export tags include the USCITES logo, an abbreviation for the
State or Tribe of harvest, a standard
species
code
(MIS
=
Alligator
mississippiensis), the year of taking, and
a unique serial number.
(iii) If the year of production or harvest and serial number appear next to
each other on a tag, the information
should be separated by a hyphen.
(2) Skins and flanks must be individually tagged, and chalecos must have a
tag attached to each flank.
(3) Skins with broken, cut, or missing
tags may not be exported. Replacement
tags must be obtained before the skins
are presented for import, export, or reexport. To obtain a replacement tag,
either from the State or Tribe of harvest (for American alligator) or from
us, you must provide information to
show that the skin was legally acquired.
(i) In the United States, when an
American alligator tag is broken, cut,
or missing, you may contact the State
or Tribe of harvest for a replacement
tag. If the State or Tribe cannot replace it, you may apply to FWS Law
Enforcement for a replacement tag. To
obtain replacement tags for crocodilian
skins other than American alligator in
the United States, contact FWS Law
Enforcement. If the tag is broken or
cut, you must give us the tag. If the
tag is missing, you must provide details concerning how the tag was lost.
If we are satisfied that the skin was legally acquired, we will provide a CITES
replacement tag.
(ii) A replacement tag must meet all
of the requirements in paragraph (d)(1)
of this section except that the species
code and year of production or harvest
will not be required, and for re-exports
the country of re-export must be shown
in place of the country of origin. In the
United States, the legend will include
the US-CITES logo, FWS-REPL, and a
unique serial number.
(e) Meat and skulls. Except for American alligator, you may import, export,
or re-export crocodilian meat and
skulls without tags or markings.
American alligator meat and skulls
may be imported, exported, or re-exported if packaged and marked or

tagged in accordance with State or
tribal laws as follows:
(1) Meat from legally harvested and
tagged alligators must be packed in
permanently sealed containers and labeled as required by State or tribal
laws or regulations. Bulk meat containers must be marked with any required State or tribal parts tag or bulk
meat tag permanently attached and indicating, at a minimum, State or Tribe
of origin, year of take, species, original
U.S. CITES tag number for the corresponding skin, weight of meat in the
container, and identification of Statelicensed processor or packer.
(2) Each American alligator skull
must be marked as required by State
or tribal law or regulation. This marking must include, at a minimum, reference to the corresponding U.S.
CITES tag number on the skin.
(f) Tagging or labeling of crocodilian
parts other than meat and skulls. You
may import, export, or re-export crocodilian parts other than meat and skulls
when the following conditions are met:
(1) Parts must be packed in transparent sealed containers.
(2) Containers must be clearly
marked with a non-reusable parts tag
or label that includes all of the information in paragraph (d)(1)(ii) of this
section and a description of the contents, the total weight (contents and
container), and the number of the
CITES document.
(3) Tags are not required on crocodilian products.
(4) Tags are not required on scientific
specimens except as required in paragraphs (d) and (e) of this section.
(g) Documentation requirements. The
CITES document or an annex attached
to the document must contain all information that is given on the tag or
label.
(h) U.S. application process. Application forms and a list of States and
Tribes with approved American alligator programs can be obtained from
our website or by contacting us (see
§ 23.7).
(1) To export American alligator
specimens taken under an approved
State or tribal program, complete
Form 3–200–26 and submit it to either
FWS Law Enforcement or the U.S.
Management Authority.

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(2) To export American alligator
specimens that are not from an approved program, complete Form 3–200–
27 and submit it to the U.S. Management Authority.
(3) For information on issuance criteria for CITES documents, see § 23.36
for export permits and § 23.37 for re-export certificates.
(i) Conditions for import, export, or reexport. Upon import, export, or re-export, each crocodilian specimen must
meet the applicable tagging requirements in paragraphs (d), (e), and (f) of
this section.
§ 23.71 How can I trade internationally
in sturgeon caviar?
(a) U.S. and foreign general provisions.
For the purposes of this section, sturgeon caviar means the processed roe of
any species of sturgeon, including
paddlefish (Order Acipenseriformes).
The import, export, or re-export of
sturgeon caviar must meet the requirements of this section and the other requirements of this part (see subparts B
and C for prohibitions and application
procedures).
(b) Labeling. You may import, export,
or re-export sturgeon caviar only if labels are affixed to containers prior to
export or re-export in accordance with
this paragraph.
(1) The following definitions apply to
caviar labeling:
(i) Non-reusable label means any label
or mark that cannot be removed without being damaged or transferred to
another container.
(ii) Primary container means any container in direct contact with the caviar.
(iii) Secondary container means the receptacle into which primary containers
are placed.
(iv) Processing plant means a facility
in the country of origin responsible for
the first packaging of caviar into a primary container.
(v) Repackaging plant means a facility
responsible for receiving and repackaging caviar into new primary containers.
(vi) Lot identification number means a
number that corresponds to information related to the caviar tracking system used by the processing plant or repackaging plant.

(2) The caviar-processing plant in the
country of origin must affix a non-reusable label on the primary container
that includes all of the following information:
(i) Standardized species code; for hybrids, the species code for the male is
followed by the code for the female and
the codes are separated by an ‘‘x’’
(codes are available on our website; see
§ 23.7).
(ii) Source code.
(iii) Two-letter ISO code of the country of origin.
(iv) Year of harvest.
(v) Processing plant code and lot
identification number.
(3) If caviar is repackaged before export or re-export, the repackaging
plant must affix a non-reusable label to
the primary container that includes all
of the following information:
(i) The standardized species code,
source code, and two-letter ISO code of
the country of origin.
(ii) Year of repackaging and the repackaging plant code, which incorporates the two-letter ISO code for the
repackaging country if different from
the country of origin.
(iii) Lot identification number or
CITES document number.
(4) The exact quantity of caviar must
be indicated on any secondary container along with a description of the
contents in accordance with international customs regulations.
(c) Documentation requirements. Unless
the sturgeon caviar qualifies as a personal or household effect under § 23.15,
the CITES document or an annex attached to the document must contain
all information that is given on the
label. The exact quantity of each species of caviar must be indicated on the
CITES document.
(d) Export quotas. Commercial shipments of sturgeon caviar from stocks
shared between different countries may
be imported only if all of the following
conditions have been met:
(1) The relevant countries have established annual export quotas for the
shared stocks that were derived from
catch quotas agreed among the countries. The quotas are based on an appropriate regional conservation strategy and monitoring regime and are not

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detrimental to the survival of the species in the wild.
(2) The quotas have been communicated to the CITES Secretariat and
the Secretariat has communicated the
annual export quotas to CITES Parties.
(3) The caviar is exported during the
quota year (March 1 – last day of February) in which it was harvested and
processed.
(e) Re-exports. Any re-export of sturgeon caviar must occur within 18
months from the date of issuance of
the original export permit.
(f) Pre-Convention. Sturgeon caviar
may not be imported, exported, or reexported under a pre-Convention certificate.
(g) Mixed caviar. Caviar and caviar
products that consist of roe from more
than one species may only be imported
into or exported from the United
States if the exact quantity of roe from
each species is known and is indicated
on the CITES document.
(h) U.S. application forms. Application
forms can be obtained from our website
or by contacting us (see § 23.7). For
CITES document requirements, see
§ 23.36 for export permits and § 23.37 for
re-export certificates. For export, complete Form 3–200–76 and submit it to
the U.S. Management Authority. For
re-export, complete Form 3–200–73 and
submit it to FWS Law Enforcement.
[72 FR 48448, Aug. 23, 2007, as amended at 73
FR 40986, July 17, 2008]

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§ 23.72 How can I trade internationally
in plants?
(a) U.S. and foreign general provisions:
In addition to the requirements of this
section, the import, export, or re-export of CITES plant specimens must
meet the other requirements of this
part (see subparts B and C for prohibitions and application procedures).
(b) Seeds. International shipments of
seeds of any species listed in Appendix
I, except for seeds of certain artificially propagated hybrids (see § 23.92),
or seeds of species listed in Appendix II
or III with an annotation that includes
seeds, must be accompanied by a valid
CITES document. International shipments of CITES seeds that are artificially propagated also must be accompanied by a valid CITES document.

(c) A plant propagated from exempt
plant material. A plant grown from exempt plant material is regulated by
CITES.
(1) The proposed shipment of the
specimen is treated as an export even if
the exempt plant material from which
it was derived was previously imported.
The country of origin is the country in
which the specimen ceased to qualify
for the exemption.
(2) Plants grown from exempt plant
material qualify as artificially propagated provided they are grown under
controlled conditions.
(3) To export plants grown from exempt plant material under controlled
conditions, complete Form 3–200–33 for
a certificate for artificially propagated
plants.
(d) Salvaged plants.
(1) For purposes of this section,
salvaged plant means a plant taken
from the wild as a result of some environmental modification in a country
where a Party has done all of the following:
(i) Ensured that the environmental
modification program does not threaten the survival of CITES plant species,
and that protection of Appendix-I species in situ is considered a national and
international obligation.
(ii) Established salvaged specimens
in cultivation after concerted attempts
have failed to ensure that the environmental modification program would
not put at risk wild populations of
CITES species.
(2) International trade in salvaged
Appendix-I plants, and Appendix-II
plants whose entry into trade might
otherwise have been considered detrimental to the survival of the species in
the wild, may be permitted only when
all the following conditions are met:
(i) Such trade would clearly benefit
the survival of the species in the wild
or in cultivation.
(ii) Import is for the purposes of care
and propagation.
(iii) Import is by a bona fide botanic
garden or scientific institution.
(iv) Any salvaged Appendix-I plant
will not be sold or used to establish a
commercial operation for artificial
propagation after import.

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§ 23.73 How can I trade internationally
in timber?
(a) U.S. and foreign general provisions:
In addition to the requirements of this
section, the import, export, or re-export of timber species listed under
CITES must meet the other requirements of this part (see subparts B and
C for prohibitions and application procedures).
(b) Definitions. The following definitions apply to parts, products, and derivatives that appear in the annotations to certain timber species in the
CITES Appendices. These definitions
are based on the tariff classifications
of the Harmonized System of the World
Customs Organization.
(1) Logs means 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.
(2) Sawn wood means wood simply
sawn lengthwise or produced by a profile-chipping process. Sawn wood normally exceeds 6 mm in thickness.
(3) Veneer sheets means thin layers or
sheets of wood of uniform thickness,
usually 6 mm or less, usually peeled or
sliced, for use in making plywood, veneer furniture, veneer containers, or
similar products.
(4) Plywood means wood material consisting of three or more sheets of wood
glued and pressed one on the other and
generally disposed so that the grains of
successive layers are at an angle.
(c) The following exceptions apply to
Appendix-II or -III timber species that
have a substantive annotation that
designates either logs, sawn wood, and
veneer sheets, or logs, sawn wood, veneer sheets, and plywood:
(1) Change in destination. When a shipment of timber destined for one country is redirected to another, the Management Authority in the country of
import may change the name and address of the importer indicated on the
CITES document under the following
conditions:
(i) The quantity imported is the same
as the quantity certified by a stamp or
seal and authorized signature of the
Management Authority on the CITES
document at the time of export or reexport.

(ii) The number of the bill of lading
for the shipment is on the CITES document, and the bill of lading is presented at the time of import.
(iii) The import takes place before
the CITES document expires, and the
period of validity has not been extended.
(iv) The Management Authority of
the importing country includes the following statement in block 5, or an
equivalent place, of the CITES document: ‘‘Import into [name of country]
permitted in accordance with [cite the
appropriate section number from the
current permit and certificate resolution] on [date].’’ The modification is
certified with an official stamp and signature.
(v) The Management Authority sends
a copy of the amended CITES document to the country of export or re-export and the Secretariat.
(2) Extension of CITES document validity. A Management Authority in the
country of import may extend the validity of an export permit or re-export
certificate beyond the normal maximum of 6 months after the date of
issue under the following conditions:
(i) The shipment has arrived in the
port of final destination before the
CITES document expires, is being held
in customs bond, and is not considered
imported.
(ii) The time extension does not exceed 6 months from the date of expiration of the CITES document and no
previous extension has been issued.
(iii) The Management Authority has
included in block 5, or an equivalent
place, of the CITES document the date
of arrival and the new date of expiration on the document, and certified the
modification with an official stamp
and signature.
(iv) The shipment is imported into
the country from the port where the
Management Authority issued the extension and before the amended CITES
document expires.
(v) The Management Authority sends
a copy of the amended CITES document to the country of export or re-export and to the Secretariat.

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§ 23.74

50 CFR Ch. I (10–1–10 Edition)

§ 23.74 How can I trade internationally
in personal sport-hunted trophies?
(a) U.S. and foreign general provisions.
Except as provided for personal and
household effects in § 23.15, the import,
export, or re-export of sport-hunted
trophies of species listed under CITES
must meet the requirements of this
section and the other requirements of
this part (see subparts B and C for prohibitions and application procedures).
(b) Sport-hunted trophy means raw or
tanned parts of a specimen that was
taken by a hunter, who is also the importer, exporter, or re-exporter, during
a sport hunt for personal use. It may
include the bones, claws, hair, head,
hide, hooves, horns, meat, skull, teeth,
tusks, or any taxidermied part, including, but not limited to, a rug or
taxidermied head, shoulder, or full
mount. It does not include articles
made from a trophy, such as worked,
manufactured, or handicraft items for
use as clothing, curios, ornamentation,
jewelry, or other utilitarian items.
(c) Use after import. You may use your
sport-hunted trophy after import into
the United States as provided in § 23.55.
(d) Quantity and tagging. The following provisions apply to the issuance
and acceptance of U.S. and foreign
CITES documents:
(1) The number of trophies that one
hunter may import in any calendar
year for the following species is:
(i) No more than two leopard
(Panthera pardus) trophies.
(ii) No more than one markhor
(Capra falconeri) trophy.
(iii) No more than one black rhinoceros (Diceros bicornis) trophy.
(2) Each trophy imported, exported,
or re-exported must be marked or
tagged in the following manner:
(i) Leopard and markhor: Each raw
or tanned skin must have a self-locking
tag inserted through the skin and permanently locked in place using the
locking mechanism of the tag. The tag
must indicate the country of origin,
the number of the specimen in relation
to the annual quota, and the calendar
year in which the specimen was taken
in the wild. A mounted sport-hunted
trophy must be accompanied by the tag
from the skin used to make the mount.
(ii) Black rhinoceros: Parts of the
trophy, including, but not limited to,

skin, skull, or horns, whether mounted
or loose, should be individually marked
with reference to the country of origin,
species, the number of the specimen in
relation to the annual quota, and the
year of export.
(3) The export permit or re-export
certificate or an annex attached to the
permit or certificate must contain all
the information that is given on the
tag.

Subpart F—Disposal of
Confiscated Wildlife and Plants
§ 23.78 What happens to confiscated
wildlife and plants?
(a) Purpose. Article VIII of the Treaty
provides for confiscation or return to
the country of export of specimens that
are traded in violation of CITES.
(b) Disposal options. Part 12 of this
subchapter provides the options we
have for disposing of forfeited and
abandoned live and dead wildlife and
plants. These include maintenance in
captivity either in the United States or
in the country of export, return to the
wild under limited circumstances, and
sale of certain Appendix-II or -III specimens. Under some conditions, euthanasia or destruction may be necessary.
(1) We use a plant rescue center program to dispose of confiscated live
plants. Participants in this program
may also assist APHIS, CBP, and FWS
Law Enforcement in holding seized
specimens as evidence pending any
legal decisions.
(2) We dispose of confiscated live
wildlife on a case-by-case basis at the
time of seizure and forfeiture, and consider the quantity, protection level,
and husbandry needs of the wildlife.
(c) Re-export. We may issue a re-export certificate for a CITES specimen
that was forfeited or abandoned when
the certificate indicates the specimen
was confiscated and when the re-export
meets one of the following purposes:
(1) For any CITES species, the return
of a live specimen to the Management
Authority of the country of export,
placement of a live specimen in a rescue center, or use of the specimen for
law enforcement, judicial, or forensic
purposes.

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(2) For an Appendix-II or -III species,
the disposal of the specimen in an appropriate manner that benefits enforcement and administration of the Convention.
(d) Consultation process. FWS and
APHIS may consult with the Management Authority in the country of export or re-export and other relevant
governmental and nongovernmental
experts before making a decision on
the disposal of confiscated live specimens that have been forfeited or abandoned to the FWS, APHIS, or CBP.
§ 23.79 How may I participate in the
Plant Rescue Center Program?
(a) Purpose. We have established the
Plant Rescue Center Program to place
confiscated live plants quickly to prevent physical damage to the plants.
(b) Criteria. Institutions interested in
participating in this program must be:
(1) Nonprofit, open to the public, and
have the expertise and facilities to care
for confiscated exotic plant specimens.
A participating institution may be a
botanical garden, arboretum, zoological park, research institution, or other
qualifying institution.
(2) Willing to transfer confiscated
plants from the port where they were
confiscated to their facilities at their
own expense.
(3) Willing to return the plants to the
U.S. Government if the country of export has requested their return. The
U.S. Government will then coordinate
the plants’ return to the country of export.
(4) Willing to accept and maintain a
plant shipment as a unit until it has
received authorization from us to incorporate the shipment into its permanent collection or transfer a portion of
it to another participating institution.
(c) Participation. Institutions wishing
to participate in the Plant Rescue Center Program should contact the U.S.
Management Authority (see § 23.7).
They must provide a brief description
of the greenhouse or display facilities,
the names and telephone numbers of
any individuals authorized to accept
plants on behalf of the institution, and
the mailing address where the plants
should be sent. In addition, interested
institutions must indicate if they are
limited with regard to the type of

plants they are able to maintain or the
quantities of plants they can handle at
one time.

Subpart G—CITES Administration
§ 23.84 What are the roles of the Secretariat and the committees?
(a) Secretariat. The Secretariat is
headed by the Secretary-General. Its
functions are listed in Article XII of
the Treaty and include:
(1) Arranging and staffing meetings
of the Parties.
(2) Performing functions as requested
in relation to listings in the Appendices.
(3) Undertaking scientific and technical studies, as authorized by the CoP,
to contribute to implementation of the
Convention.
(4) Studying reports of the Parties
and requesting additional information
as appropriate to ensure effective implementation of the Convention.
(5) Bringing to the attention of the
Parties matters relevant to the Convention.
(6) Periodically publishing and distributing to the Parties current editions of the Appendices as well as information on the identification of
specimens of species listed in the Appendices.
(7) Preparing annual reports to the
Parties on its work and on the implementation of the Convention.
(8) Making recommendations for the
implementation of the aims and provisions of the Convention, including the
exchange of scientific and technical information.
(9) Performing other functions entrusted to it by the Parties.
(b) Committees. The Parties have established four committees to provide
administrative and technical support
to the Parties and to the Secretariat.
The CoP may charge any of these committees with tasks.
(1) The Standing Committee steers
the work and performance of the Convention between CoPs.
(i) This committee oversees development and execution of the Secretariat’s budget, advises other committees,
appoints working groups, and carries
out activities on behalf of the Parties
between CoPs.

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(ii) Regional representatives are
countries that are elected by their respective geographic regions at the CoP.
(2) The Animals Committee and the
Plants Committee provide advice and
guidance to the CoP, the other committees, working groups, and the Secretariat on all matters relevant to
international trade in species included
in the Appendices.
(i) These committees also assist the
Nomenclature Committee in the development and maintenance of a standardized list of species names; provide assistance with regard to identification
of species listed in the Appendices; cooperate with the Secretariat to assist
Scientific Authorities; compile and
evaluate data on Appendix-II species
that are considered significantly affected by trade; periodically review the
status of wildlife and plant species listed in the Appendices; advise range
countries on management techniques
when requested; draft resolutions on
wildlife and plant matters for consideration by the Parties; deal with issues
related to the transport of live specimens; and report to the CoP and the
Standing Committee.
(ii) Regional representatives are individuals, who are elected by their respective geographic regions at the CoP.
(3) The Nomenclature Committee is
responsible for developing or identifying standard nomenclature references for wildlife and plant taxa and
making recommendations on nomenclature to Parties, the CoP, other committees, working groups, and the Secretariat. The Nomenclature Committee
is made up of one zoologist and one
botanist, who are appointed by the
CoP.
§ 23.85 What is a meeting of the Conference of the Parties (CoP)?
(a) Purpose. Article XI of the Treaty
provides general guidelines for meetings of the countries that have ratified,
accepted, approved, or acceded to
CITES. The Parties currently meet for
2 weeks every 3 years. At these meetings, the Parties consider amendments
to the Appendices and resolutions and
decisions to improve the implementation of CITES. The Parties adopt
amendments to the lists of species in
Appendix I and II and resolutions by a

two-thirds majority of Parties present
and voting. The Secretariat or any
Party may also submit reports on wildlife and plant trade for consideration.
(b) CoP locations and dates. At a CoP,
Parties interested in hosting the next
meeting notify the Secretariat. The
Parties vote to select the location of
the next CoP. Once a country has been
chosen, it works with the Secretariat
to set the date and specific venue. The
Secretariat then notifies the Parties of
the date for the next CoP.
(c) Attendance at a CoP. All Parties
may participate and vote at a CoP.
Non-Party countries may participate,
but may not vote. Organizations technically qualified in protection, conservation, or management of wildlife
or plants may participate in a CoP as
observers if they are approved, but
they are not eligible to vote.
(1) International organizations must
apply to the CITES Secretariat for approval to attend a CoP as an observer.
(2) National organizations must
apply to the Management Authority of
the country where they are located for
approval to attend a CoP as an observer.
§ 23.86 How can I obtain information
on a CoP?
As we receive information on an upcoming CoP from the CITES Secretariat, we will notify the public either
through published notices in the FEDERAL REGISTER or postings on our
website (see § 23.7). We will provide:
(a) A summary of the information we
have received with an invitation for
the public to comment and provide information on the agenda, proposed
amendments to the Appendices, and
proposed resolutions that they believe
the United States should submit for
consideration at the CoP.
(b) Information on times, dates, and
locations of public meetings.
(c) Information on how international
and national organizations may apply
to participate as observers.
§ 23.87 How does the United States develop documents and negotiating
positions for a CoP?
(a) In developing documents and negotiating positions for a CoP, we:

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§ 23.89

(1) Will provide for at least one public meeting.
(2) Consult with appropriate Federal,
State, and tribal agencies; foreign governmental agencies; scientists; experts;
and others.
(3) Seek public comment through
published FEDERAL REGISTER notices or
postings on our website that:
(i) Solicit recommendations on potential proposals to amend the Appendices, draft resolutions, and other documents for U.S. submission to the CoP.
(ii) Announce proposals to amend the
Appendices, draft resolutions, and
other documents that the United
States is considering submitting to the
CoP.
(iii) Provide the CoP agenda and a
list of the amendments to the Appendices proposed for the CoP, a summary
of our proposed negotiating positions
on these items, and the reasons for our
proposed positions.
(4) Consider comments received in response to notices or postings provided
in paragraph (a)(3) of this section.
(b) We submit the following documents to the Secretariat for consideration at the CoP:
(1) Draft resolutions and other documents at least 150 days before the CoP.
(2) Proposals to amend the Appendices at least 150 days before the CoP if
we have consulted all range countries,
or 330 days before the CoP if we have
not consulted the range countries. For
the latter, the additional time allows
for the range countries to be consulted
through the Secretariat.
(c) The Director may modify or suspend any of these procedures if they
would interfere with the timely or appropriate development of documents
for submission to the CoP and U.S. negotiating positions.
(d) We may receive additional information at a CoP or circumstances may
develop that have an impact on our
tentative negotiating positions. As a
result, the U.S. representatives to a
CoP may find it necessary to modify,
reverse, or otherwise change any of
those positions when to do so would be
in the best interests of the United
States or the conservation of the species.

§ 23.88 What are the resolutions and
decisions of the CoP?
(a) Purpose. Under Article XI of the
Treaty, the Parties agree to resolutions and decisions that clarify and interpret the Convention to improve its
effectiveness. Resolutions are generally intended to provide long-standing guidance, whereas decisions typically contain instructions to a specific
committee, Parties, or the Secretariat.
Decisions are often intended to be implemented by a specific date, and then
they expire.
(b) Effective date. A resolution or decision adopted by the Parties becomes
effective 90 days after the last day of
the meeting at which it was adopted,
unless otherwise specified in the resolution or decision.

Subpart H—Lists of Species
§ 23.89 What are the criteria for listing
species in Appendix I or II?
(a) Purpose. Article XV of the Treaty
sets out the procedures for amending
CITES Appendices I and II. A species
must meet trade and biological criteria
listed in the CITES resolution for
amendment of Appendices I and II.
When determining whether a species
qualifies for inclusion in or removal
from Appendix I or II, or transfer from
one Appendix to another, we will:
(1) Consult with States, Tribes, range
countries, relevant experts, other Federal agencies, and the general public.
(2) Utilize the best available biological information.
(3) Evaluate that information against
the criteria in paragraphs (b) through
(f) of this section.
(b) Listing a species in Appendix I. Any
species qualifies for inclusion in Appendix I if it is or may be affected by
trade and meets, or is likely to meet,
at least one biological criterion for Appendix I.
(1) These criteria are:
(i) The size of the wild population is
small.
(ii) Area of distribution is restricted.
(iii) There is an observed, inferred, or
projected marked decline in the population size in the wild.
(2) Factors to be considered include,
but are not limited to, population and

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§ 23.90

50 CFR Ch. I (10–1–10 Edition)

range fragmentation; habitat availability or quality; area of distribution;
taxon-specific vulnerabilities due to
life history, behavior, or other intrinsic factors, such as migration; population structure and niche requirements; threats from extrinsic factors
such as the form of exploitation, introduced species, habitat degradation and
destruction, and stochastic events; or
decreases in recruitment.
(c) Listing a species in Appendix II due
to actual or potential threats. Any species qualifies for inclusion in Appendix
II if it is or may be affected by trade
and meets at least one of the criteria
for listing in Appendix II based on actual or potential threats to that species. These criteria are:
(1) It is known, or can be inferred or
projected, that the regulation of trade
is necessary to avoid the species becoming eligible for inclusion in Appendix I in the near future.
(2) It is known, or can be inferred or
projected, that the regulation of trade
in the species is required to ensure that
the harvest of specimens from the wild
is not reducing the wild population to
a level at which its survival might be
threatened by continued harvest or
other influences.
(d) Listing a species in Appendix II due
to similarity of appearance or other factors. Any species qualifies for inclusion
in Appendix II if it meets either of the
criteria for listing in Appendix II due
to similarity of appearance or other
factors. These criteria are:
(1) The specimens of the species in
the form in which they are traded resemble specimens of a species listed in
Appendix II due to criteria in paragraph (c) of this section or in Appendix
I, such that enforcement officers who
encounter specimens of such similar
CITES species are unlikely to be able
to distinguish between them.
(2) There are compelling reasons
other than those in paragraph (d)(1) of
this section to ensure that effective
control of trade in currently listed species is achieved.
(e) Other issues. We will evaluate any
potential changes to the Appendices,
taking into consideration other issues,
including but not limited to, split-listing, annotation, listings of higher taxa
and hybrids, and specific listing issues

related to plants and commercially exploited aquatic species.
(f) Precautionary measures. We will
evaluate any potential transfers from
Appendix I to II or removal of species
from the Appendices in the context of
precautionary measures.
(g) Proposal. If a Party determines
that a taxon qualifies for inclusion in
or removal from Appendix I or II, or
transfer from one Appendix to another,
a proposal may be submitted to the
Secretariat for consideration by the
CoP.
(1) The proposal should indicate the
intent of the specific action (such as
inclusion in Appendix I or II); be specific and accurate as to the parts and
derivatives to be included in the listing; ensure that any proposed annotation is consistent with existing annotations; state the criteria against which
the proposal is to be judged; and provide a justification for the basis on
which the species meets the relevant
criteria.
(2) The proposal must be in a prescribed format. Contact the U.S. Scientific Authority for a copy (see § 23.7).
§ 23.90 What are the criteria for listing
species in Appendix III?
(a) Purpose. Article XVI of the Treaty
sets out the procedures for amending
Appendix III.
(b) General procedure. A Party may
unilaterally, at any time, submit a request to list a species in Appendix III
to the CITES Secretariat. The listing
will become effective 90 days after the
Secretariat notifies the Parties of the
request.
(c) Criteria for listing. For a Party to
list a species in Appendix III, all of the
following criteria must be met:
(1) The species must be native to the
country listing the species.
(2) The species must be protected
under that country’s laws or regulations to prevent or restrict exploitation and control trade, and the laws
or regulations are being implemented.
(3) The species is in international
trade, and there are indications that
the cooperation of other Parties would
help to control illegal trade.
(4) The listing Party must inform the
Management Authorities of other

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U.S. Fish and Wildlife Serv., Interior

§ 23.92

range countries, the known major importing countries, the Secretariat, and
the Animals Committee or the Plants
Committee that it is considering the
listing and seek their opinions on the
potential effects of the listing.
(d) Annotation. The listing Party may
annotate the Appendix-III listing to include only specific parts, products, derivatives, or life stages, as long as the
Secretariat is notified of the annotation.
(e) U.S. procedure. The procedure to
list a species native to the United
States in Appendix III is as follows:
(1) We will consult with and solicit
comments from all States and Tribes
where the species occurs and all other
range countries.
(2) We will publish a proposed rule in
the FEDERAL REGISTER to solicit comments from the public.
(3) If after evaluating the comments
received and available information we
determine the species should be listed
in Appendix III, we will publish a final
rule in the FEDERAL REGISTER and notify the Secretariat of the listing.
(f) Removing a species from Appendix
III. We will monitor the international
trade in Appendix-III species listed by
us and periodically evaluate whether
each species continues to meet the listing criteria in paragraph (c) of this section. We will remove a species from Appendix III provided all of the following
criteria are met:
(1) International trade in the species
is very limited. As a general guide, we
will consider removal when exports involve fewer than 5 shipments per year
or fewer than 100 individual animals or
plants.
(2) Legal and illegal trade in the species, including international trade or
interstate commerce, is determined
not to be a concern.
(g) Transferring a species from Appendix III to Appendix I or II. If, after monitoring the trade and evaluating the
status of an Appendix-III species we
listed, we determine that the species
meets the criteria in § 23.89(b) through
(d) of this section for listing in Appendix I or II, we will consider whether to
submit a proposal to amend the listing
at the next CoP.

§ 23.91 How do I find out if a species is
listed?
(a) CITES list. The official CITES list
includes species of wildlife and plants
placed in Appendix I, II, and III in accordance with the provisions of Articles XV and XVI of the Treaty. This
list is maintained by the CITES Secretariat based on decisions of the Parties. You may access the official list
from the CITES website (see § 23.7).
(b) Effective date. Amendments to the
CITES list are effective as follows:
(1) Appendix-I and -II species listings
adopted at the CoP are effective 90
days after the last day of the CoP, unless otherwise specified in the proposal.
(2) Appendix-I and -II species listings
adopted between CoPs by postal procedures are effective 120 days after the
Secretariat has communicated comments and recommendations on the
listing to the Parties if the Secretariat
does not receive an objection to the
proposed amendment from a Party.
(3) Appendix-III species listings are
effective 90 days after the date the Secretariat has communicated such listings to the Parties. A listing Party
may withdraw a species from the list
at any time by notifying the Secretariat. The withdrawal is effective 30
days after the Secretariat has communicated the withdrawal to the Parties.
§ 23.92 Are any wildlife or plants, and
their parts, products, or derivatives, exempt?
(a) All living or dead wildlife and
plants in Appendix I, II, and III and all
their readily recognizable parts, products, and derivatives must meet the requirements of CITES and this part, except as indicated in paragraph (b) of
this section.
(b) The following are exempt from
the requirements of CITES and do not
need CITES documents. You may be required to demonstrate that your specimen qualifies as exempt under this section. For specimens that are exempt
from CITES requirements, you must
still follow the clearance requirements
for wildlife in part 14 of this subchapter
and for plants in part 24 of this subchapter and 7 CFR parts 319, 352, and
355.
(1) Appendix-III wildlife and AppendixII or -III plants. (i) Where an annotation

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Pt. 24

50 CFR Ch. I (10–1–10 Edition)

designates what is excluded from
CITES requirements, any part, product, or derivative that is specifically
excluded.
(ii) Where an annotation designates
what is covered by the Treaty, all
parts, products, or derivatives that are
not designated.
(2) Plant hybrids. (i) Seeds and pollen
(including pollinia), cut flowers, and
flasked seedlings or tissue cultures of
hybrids that qualify as artificially
propagated (see § 23.64) and that were
produced from one or more Appendix-I
species or taxa that are not annotated
to specifically include hybrids in the
CITES list.
(ii) Specimens of an Appendix-II or
-III plant taxon with an annotation
that specifically excludes hybrids.
(3) Flasked seedlings of Appendix-I orchids. Flasked seedlings of an Appendix-I orchid species that qualify as artificially propagated (see § 23.64).
(4) Marine specimens listed in Appendix
II that are protected under another treaty, convention, or international agreement
which was in force on July 1, 1975 as provided in § 23.39(d).
(5) Coral sand and coral fragments as
defined in § 23.5.
(6) Personal and household effects as
provided in § 23.15.
(7) Urine, feces, and synthetically derived DNA as provided in § 23.16.
(8) Certain wildlife hybrids as provided
in § 23.43.

PART 24—IMPORTATION AND
EXPORTATION OF PLANTS

Sec.
24.1 Purpose of regulations.
24.2 Scope of regulations.

Subpart B—Importation and Exportation at
Designated Ports

wwoods2 on DSK1DXX6B1PROD with CFR

§ 24.1 Purpose of regulations.
The regulations contained in this
part are for the purpose of establishing
ports for the importation, exportation
and reexportation of plants.
§ 24.2 Scope of regulations.
The provisions in this part are in addition to, and do not supersede, other
regulations in this chapter. Also, the
U.S. Department of Agriculture administers the Plant Quarantine Act, as
amended (7 U.S.C. 151 et seq.), the Federal Plant Pest Act, as amended (7
U.S.C. 150aa et seq.), and the Federal
Noxious Weed Act of 1974 (7 U.S.C. 2801
et seq.), which contain authority for additional prohibitions and restrictions,
including additional port of entry requirements, for the importation or exportation of plants (See 7 CFR chapter
III for regulations containing prohibitions and restrictions under these authorities).

Subpart B—Importation and
Exportation at Designated Ports
§ 24.11 General restrictions.
No person shall import, export, or reexport plants at any place other than
at a port designated in 24.12 (hereinafter ‘‘designated port’’) in accordance
with the provisions of this part, unless
otherwise specifically authorized by
the Service at a nondesignated port in
accordance with section 9(f)(1) of the
Endangered Species Act of 1973, as
amended.
§ 24.12 Designated ports.
(a) The following U.S. Department of
Agriculture ports are designated ports
for the importation, exportation, or reexportation of plants which are listed
in 50 CFR 17.12 and/or 23.23 and which
are required to be accompanied by documentation under 50 CFR part 17 and/
or 23:

Subpart A—Introduction

24.11
24.12

Subpart A—Introduction

General restrictions.
Designated ports.

AUTHORITY: Secs. 9(f)(1), 11(f), Pub. L. 93–
205, 87 Stat 893, 897 (16 U.S.C. 1538(f)(1),
1540(f)).
SOURCE: 49 FR 42941, Oct. 25, 1984, unless
otherwise noted.

Nogales, Arizona
Los Angeles, California
San Diego, California
San Francisco, California
Miami, Florida
Orlando, Florida
Honolulu, Hawaii
New Orleans, Louisiana

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