50 CFR Part 23 — Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES)

PART 23—CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA (CITES) 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. (b) Purpose. (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 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. § 23.2 How do I decide if these regulations apply to my shipment or me? If you are engaging in activities with specimens of CITES-listed species these regulations apply to you. [79 FR 30419, May 27, 2014] § 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 Agriculture, 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 (b) Appendix II (c) Appendix III § 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 Annotation Appropriate and acceptable destination Artificially propagated Assisted production ATA carnet Bred for commercial purposes Bred for noncommercial purposes Bred in captivity Captive-bred Certificate CITES document or CITES exemption document Commercial Coral (dead) Coral fragments, Coral (live) Coral rock live rock substrate Coral sand Coral (stony) Country of origin Cultivar Cultivated Export Flasked in vitro Household effect Hybrid Import International trade In-transit shipment Introduction from the sea ISO country code Live rock coral rock. Management Authority Noncommercial Non-Party Offspring of first generation (F1) Offspring of second generation (F2) or subsequent generations Parental stock Party Permit Personal effect Personal use Precautionary measures Pre-Convention Primarily commercial purposes Propagule Ranched wildlife Readily recognizable Re-export Reservation Scientific Authority Secretariat Shipment Species Specimen Sustainable us Trade Transit in-transit shipment. Traveling exhibition [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30419, May 27, 2014; 87 FR 10079, Feb. 23, 2022] § 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: Roles U.S. U.S. Management (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 (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 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 (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 periodic Article VIII, paragraph 7(b) 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 (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 [72 FR 48448, Aug. 23, 2007, as amended at 87 FR 10079, Feb. 23, 2022] § 23.7 What office do I contact for CITES information? Contact the following offices to receive information about CITES: Type of information Office to contact (a) CITES administrative and management issues: U.S. Management Authority, U.S. Fish and Wildlife Service Headquarters, MS: IA, 5275 Leesburg Pike, Falls Church, VA 22041-3803, Toll Free: (800) 358-2104/permit questions, Tel: (703) 358-2095/other questions, Fax: (703) 358-2281/permits, Fax: (703) 358-2298/other issues, Email: managementauthority@fws.gov http://www.fws.gov/international http://www.fws.gov/permits. (b) Scientific issues: U.S. Scientific Authority, U.S. Fish and Wildlife Service Headquarters, MS: IA, 5275 Leesburg Pike, Falls Church, VA 22041-3803, Tel: (703) 358-1708, Fax: (703) 358-2276, Email: scientificauthority@fws.gov http://www.fws.gov/international. (c) Wildlife clearance procedures: Law Enforcement, U.S. Fish and Wildlife Service Headquarters, MS: OLE, 5275 Leesburg Pike, Falls Church, VA 22041-3803, Tel: (703) 358-1949, Fax: (703) 358-2271, Web site: http://www.fws.gov/le. (d) APHIS plant clearance procedures: 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/plant_health (e) CBP plant clearance procedures: 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: CITES Guidelines for the non-air transport of live wild animals and plants CITES Secretariat, Website: http://www.cites.org [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014; 79 FR 43966, July 29, 2014; 87 FR 10079, Feb. 23, 2022] § 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 Number 1018-0093. 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] § 23.9 Incorporation by reference. Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at U.S. Fish and Wildlife Service, International Affairs, Division of Management Authority, 703-358-2104 and is available from the sources listed elsewhere in this section. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email fr.inspection@nara.gov www.archives.gov/federal-register/cfr/ibr-locations.html. (a) International Air Transport Association (IATA), 800 Place Victoria, P.O. Box 113, Montreal, Quebec, Canada H4Z 1M1, 1-800-716-6326, www.iata.org. (1) Live Animals Regulations (LAR) 48th edition, (2) Perishable Cargo Regulations (PCR) 21st edition, (b) CITES Secretariat: Palais des Nations, Avenue de la Paix 8-14, 1211 Genève 10, Switzerland; telephone +41-(0)22-917-81-39/40; email info@cites.org, www.cites.org. (1) CITES Guidelines for the non-air transport of live wild animals and plants, (i) https://cites.org/eng/resources/transport/index.php (ii) https://www.fws.gov/international/travel-and-trade/live-animal-transport.html (2) [Reserved] [87 FR 10079, Feb. 23, 2022] Subpart B—Prohibitions, Exemptions, and Requirements § 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) Use any specimen of a species listed in Appendix I, II, or III of CITES for any purpose contrary to what is allowed under § 23.55. (e) Violate any other provisions of this part. (f) Attempt to commit, solicit another to commit, or cause to be committed any of the activities described in paragraphs (a) through (e) of this section. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] § 23.14 [Reserved] § 23.15 How may I travel internationally with my personal or household effects, including tourist souvenirs? (a) Purpose. (b) Stricter national measures. (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. (1) The Management Authority of the importing, exporting, or re-exporting country requires a CITES document. (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. (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: Major group Species (Appendix II only) Type of specimen Quantity 1 Fishes (i) Acipenseriformes (sturgeon, including paddlefish) Sturgeon caviar (see § 23.71) 125 gm Fishes (ii) Hippocampus 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 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 (d) Personal effects. (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. (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. Loxodonta africana (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.) (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 (5) When you return, you are able to provide records, receipts, or other documents to show that the ivory is pre-Convention 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] § 23.16 What are the U.S. CITES requirements for urine, feces, and synthetically derived DNA? (a) CITES documents. (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. (c) DNA. (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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] § 23.19 What CITES documents are required to export Appendix-I plants? 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] § 23.20 What CITES documents are required for international trade? (a) Purpose. (b) Stricter national measures. (c) CITES documents. (d) CITES exemption documents. Type of specimen or activity 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 certificate with CITES 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) (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 (12) Personally owned live wildlife for multiple cross-border movements I, II, or III CITES certificate of ownership 2 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 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 2 3 4 (e) Import permits, export permits, re-export certificates, and certificates of origin. Appendix 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. § 23.21 What happens if a country enters a reservation for a species? (a) Purpose. (b) General provision. (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. (d) Required CITES documents. 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 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 No CITES document is required. 2 1 2 (e) Reservations taken by countries. § 23.22 What are the requirements for in-transit shipments? (a) Purpose. (b) Document requirements. (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 importer 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. (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. (2) At any time during transit, an in-transit 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. (e) Specimen protected by other regulations. § 23.23 What information is required on U.S. and foreign CITES documents? (a) Purpose. (b) CITES form. (c) Required information. 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). For products that contain or consist of more than one CITES species, the Appendix in which each species is listed must be indicated on the CITES document. (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 (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. (7) Humane transport of live specimens If the CITES document authorizes the export or re-export of live specimens, a statement that the document is valid only if the transport conditions comply with the International Air Transport Association Live Animals Regulations International Air Transport Association Perishable Cargo Regulations Live Animals Regulations Perishable Cargo Regulations, Guidelines for the non-air transport of wild animals and plants International Air Transport Association Live Animals Regulations International Air Transport Association Perishable Cargo Regulations Live Animals Regulations Perishable Cargo Regulations, Guidelines for the non-air transport of wild animals and plants. (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. For products that contain or consist of more than one CITES species, the quantity of each species must be indicated on the CITES document. Guidelines for the preparation and submission of CITES annual reports (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. For products that contain or consist of more than one CITES species, the scientific name of each species must be indicated on the CITES document. Scientific names must be in the 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 Tupinambis Tupinambis (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 or signature stamp 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 products that contain or consist of more than one CITES species, the source code of each species must be indicated on the CITES document. 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): (21) Validation or certification Except as provided for replacement (§ 23.52(f)) or retrospective (§ 23.53(f)) CITES documents, the actual quantity of specimens exported or re-exported: (d) Purpose of transaction. Code Purpose of transaction B Breeding in captivity or artificial propagation E Education G Botanical garden H Hunting trophy L Law enforcement/judicial/forensic M Medical research (including biomedical research) N Reintroduction or introduction into the wild P Personal Q Circus and traveling exhibition S Scientific T Commercial Z Zoo (e) Additional required information. 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. (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. (5) Export permit with a quota Number of specimens, such as 500/1,000, that were: (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: (8) Partially completed documents (see § 23.51) (i) A list of the blocks that must be completed by the permit holder. (9) Pre-Convention document (see § 23.45) (i) An indication on the face of the CITES document that the specimen is pre-Convention. (10) Re-export certificate (see § 23.37) (i) The country of origin, the export permit number, and the date of issue. (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. (f) Phytosanitary certificate. (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 treat hybrids as Appendix-I specimens. (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). [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014; 79 FR 32677, June 6, 2014; 87 FR 10080, Feb. 23, 2022] § 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 may be used in conjunction with another code: Source of specimen Code (a) Artificially propagated plant (see § 23.40): A (b) Bred-in-captivity wildlife (see § 23.41): C (c) Bred in captivity or artificially propagated for commercial purposes (see §§ 23.46 and 23.47): D (d) Captive-bred wildlife (§ 23.36) F (e) Confiscated or seized specimen (see § 23.78). I (f) Pre-Convention specimen (see § 23.45) O (g) Ranched wildlife see § 23.5 R (h) Source unknown U (i) Specimen taken from the wild: W (j) Specimens taken in the marine environment not under the jurisdiction of any country (see § 23.39) X (k) Assisted production plant (see § 23.5) Y [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30423, May 27, 2014; 87 FR 10080, Feb. 23, 2022] § 23.25 What additional information is required on a non-Party CITES document? (a) Purpose. (b) Additional certifications. 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. (2) Import For Appendix-I specimens, the import will be for purposes that are not detrimental to the survival of the species. § 23.26 When is a U.S. or foreign CITES document valid? (a) Purpose. (b) Original CITES documents. (c) Acceptance of CITES documents. Key phrase 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 the International Air Transport Association Live Animals Regulations International Air Transport Association Perishable Cargo Regulations Live Animals Regulations Perishable Cargo Regulations, Guidelines for the non-air transport of live wild animals and plants (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. (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. (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. (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) The CITES document includes a species for which the Secretariat has published an annotated quota. (5) We have reasonable grounds to believe that the document is fraudulent, contains false information, or has unauthorized changes. (6) 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. (7) We know or have reasonable grounds to believe that an Appendix-I specimen was not bred at a facility registered with the CITES Secretariat and that the purpose of the import is commercial. (8) 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. (9) For a retrospectively issued CITES document, both the importing and exporting or re-exporting countries' Management Authorities have not agreed to the issuance of the document. (10) For a replacement CITES document, we need clarification of the reason the document was issued. (11) The export permit or re-export certificate does not contain validation or certification by an inspecting official at the time of export of the actual quantity exported or re-exported. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30423, May 27, 2014; 87 FR 10080, Feb. 23, 2022] § 23.27 What CITES documents do I present at the port? (a) Purpose. (b) U.S. port requirements. (c) General validation or certification process. (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. Type of CITES document Present original for export or re-export validation or certification Surrender copy upon Surrender original upon Bred-in-captivity certificate Required Required Required Certificate for artificially propagated plants Required Required Required Certificate of origin Required Required Required Certificate of ownership Required Required Not required; submit copy 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 (d) Customs declaration labels. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014] Subpart C—Application Procedures, Criteria, and Conditions § 23.32 How do I apply for a U.S. CITES document? (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 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 (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: (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) Grown from 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. (5) Pre-Convention Records that show the specimen was acquired before the date the provisions of the Convention first applied to it, such as: (6) Ranched wildlife (i) Records, such as permits, licenses, and tags, that demonstrate that the specimen was legally removed from the wild under relevant Federal, tribal, State, or local wildlife conservation laws or regulations: (7) 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). (8) 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. (9) 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: 1 (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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014] § 23.35 What are the requirements for an import permit? (a) Purpose. (b) U.S. application forms. Type of application for an import permit for an Appendix-I specimen Form no. (1) CITES: (2) Endangered Species Act and CITES: (3) Marine Mammal Protection Act and CITES: (4) Wild Bird Conservation Act and CITES: (c) Criteria. Criteria for an import permit for an Appendix-I specimen Section (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. (e) Prior issuance of an import permit. (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. (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. (b) U.S. application forms. Type of application for an export permit Form no. (1) CITES: American Ginseng 3-200-34 Appendix-I Plants Artificially Propagated for Commercial Purposes 3-200-33 Biological Specimens 3-200-29 Captive-born Raptors 3-200-25 Captive-born Wildlife (except raptors) 3-200-24 Caviar/Live Eggs/Meat of Paddlefish or Sturgeon, From an Aquaculture Facility 3-200-80 Caviar/Meat of Paddlefish or Sturgeon, Removed from the Wild 3-200-76 Export of Skins of Bobcat, Canada Lynx, River Otter, Brown Bear, Gray Wolf, and American Alligator Taken under an Approved State or Tribal Program 3-200-26 Master File for the Export of Live Animals Bred in Captivity 3-200-85 Personal Pets, One-time Export 3-200-46 Plants 3-200-32 Registration of a Native Species Production Facility 3-200-75 Single-use Permits under a Master File or an Annual Program File 3-200-74 Trophies by Hunters or Taxidermists 3-200-28 Wildlife, Removed from the Wild (Live Animals/Samples/Parts/Products) 3-200-27 (2) Endangered Species Act and CITES: ESA Plants 3-200-36 ESA Wildlife 3-200-37 (3) Marine Mammal Protection Act and CITES: Biological Samples 3-200-29 Live Captive-held Marine Mammals 3-200-53 Take from the Wild for Export 3-200-43 (c) Criteria. Criteria for an export permit Appendix of the specimen Section I II III (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 - (d) Export of certain exempt marine specimens. (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. (f) U.S. application for export of exempt specimens. (g) Criteria for certain exempt marine specimens. (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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014] § 23.37 What are the requirements for a re-export certificate? (a) Purposes. (b) U.S. application forms. Type of application for a re-export certificate Form no. (1) CITES: (2) Endangered Species Act and CITES: (3) Marine Mammal Protection Act and CITES: (c) Criteria. Criteria for a re-export certificate Appendix of the specimen Section I II III (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 re-export is for noncommercial purposes. Yes n/a n/a - § 23.38 What are the requirements for a certificate of origin? (a) Purpose. (b) U.S. application forms. (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. (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. (b) U.S. application form. (c) Criteria. Criteria for an introduction-from-the-sea certificate Appendix of the 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. (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. (f) Appendix III. § 23.40 What are the requirements for a certificate for artificially propagated plants? (a) Purpose. (b) U.S. and foreign general provisions. (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. (d) Criteria. Criteria for a certificate for artificially propagated plants Appendix of the Section I II III (1) The plant was artificially propagated. Yes Yes Yes 23.64 (2) The plant specimen is one of the following: 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. (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 or spore, except for plants grown from exempt plant materials that qualify as artificially propagated. (2) You may not export an Appendix-I 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 treat hybrids as Appendix-I specimens. (See § 23.47.) (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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.41 What are the requirements for a bred-in-captivity certificate? (a) Purpose. (b) U.S. and foreign general provisions. (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. (d) Criteria. Criteria for a bred-in-captivity certificate Appendix of the Section I II III (1) The wildlife was bred in captivity. Yes Yes Yes 23.63 (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 [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.42 What are the requirements for a plant hybrid? General provisions. 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. NO. (b) Is one or more of the Appendix-I species or taxa in paragraph (a) of this section annotated to treat hybrids as Appendix-I specimens? (1) YES. NO. (c) Is the specimen a hybrid that includes two or more CITES species or taxa in its lineage? (1) YES. NO. (d) Is the specimen a hybrid that includes one CITES species or taxon in its lineage? (1) YES. NO. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.43 What are the requirements for a wildlife hybrid? (a) Definition. (b) U.S. and foreign general provisions. (c) CITES documents. If at least one specimen in the recent lineage is listed in: Then the specimen is (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. (e) Criteria. (f) 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 specimens in the previous four generations of its ancestry. If you are unable to clearly demonstrate this, you must obtain CITES documents. The information you provide must clearly identify the specimen and demonstrate its recent lineage. Such information may include, but is not limited to, the following: (i) Records that identify the name and address of the breeder and identify the specimen by birth or hatch date and by sex, band number, microchip number, or other mark. (ii) A certified pedigree issued by an internationally recognized association that contains scientific names of the animals in the specimen's recent lineage and clearly illustrates its genetic history. If the pedigree contains codes, you must provide a key or guide that explains the meaning of the codes. (3) Although a CITES document is not required for an exempt wildlife hybrid, you must follow the clearance requirements for wildlife in part 14 of this subchapter, including the prior notification requirements for live wildlife. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.44 What are the requirements for traveling internationally with my personally owned live wildlife? (a) Purpose. (b) U.S. and foreign general provisions. (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. (d) 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. (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. (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. (7) You must return the wildlife to the United States before the certificate expires. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.45 What are the requirements for a pre-Convention specimen? (a) Purpose. (b) U.S. and foreign general provisions. (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. (d) 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. (b) U.S. and foreign general provisions. (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 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 allow a further 30 days for resolution of the identified problems. (4) If the objection is not withdrawn or the identified problems are not resolved within the 30-day period, the Secretariat will submit the application to the Standing Committee at its next regular meeting. The Standing Committee will determine whether the objection is justified and decide whether to accept the application. (5) When the Secretariat is satisfied that the operation meets the registration requirements, it will include the operation in its register. (6) Operations are assigned an identification number and listed in the official register. Registration is not final until the Secretariat notifies all Parties. (7) 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 to the Standing Committee that the operation be deleted from the register. At its following meeting, the Standing Committee will consider the concerns raised by the objecting Party, and any comments from the registering Party and the Secretariat, and determine whether the operation should be deleted from the register. Once an operation has been deleted, it must re-apply and meet the registration requirements to be reinstated. (8) 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. In the United States, we will monitor registered operations, in part, by requiring each operation to apply for renewal and demonstrate that it continues to qualify for registration at least once every 5 years. (See paragraphs (e)(4) and (f) of this section.) 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. (9) A Party may unilaterally request the removal of a registered operation within its jurisdiction by notifying the Secretariat. (10) 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 in captivity (see § 23.63). (c) U.S. application to register. (d) Criteria. 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. - (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. (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 allow our agents to enter the premises at any reasonable hour to inspect wildlife held or to inspect, audit, or copy applicable records. (4) Registrations will be valid for a period not to exceed 5 years. Registrants who wish to remain registered must request renewal before the end of the period of validity of the registration. (f) U.S. application to renew a registration. (g) Criteria for renewal of U.S. registrations. (h) U.S. and foreign general provisions for export of specimens that originated in a registered breeding operation. (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. (i) U.S. application form. (j) Criteria. 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 [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.47 What are the requirements for export of an Appendix-I plant artificially propagated for commercial purposes? (a) Purpose. (b) U.S. and foreign general provisions. (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. (d) 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.48 What are the requirements for a registered scientific institution? (a) Purpose. (b) U.S. and foreign general provisions. (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 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. (d) 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. (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 registered scientific institution for future scientific reference. § 23.49 What are the requirements for an exhibition traveling internationally? (a) Purpose. (b) U.S. and foreign general provisions. (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 pre-Convention 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 re-export of the specimen from the Management Authority of that country. (8) Upon returning home, the exhibitor may apply for a traveling-exhibition certificate for wildlife born overseas or for wildlife or plants acquired overseas. (c) U.S. application form. (d) 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. (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. (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. § 23.50 What are the requirements for a sample collection covered by an ATA carnet? (a) Purpose. (b) Definition. sample collection (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. (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 re-export 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. (e) Criteria. (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. (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. (b) U.S. and foreign general provisions. (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. (d) Criteria. (1) The use of partially completed documents benefits both the permit holder and the issuing Management Authority. (2) The proposed activity will have a negligible impact or no impact upon the conservation of the species. (e) U.S. standard conditions. (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. (b) U.S. and foreign general provisions. (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. (6) In the United States, you may not use an original single-use CITES document issued under a CITES master file or CITES annual program as a replacement document for a shipment that has already left the country. (c) U.S. application procedures. (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): If Then (i) The shipment has already occurred Provide copies of: (ii) The original CITES document no longer exists Submit a signed, dated, and notarized statement that: (iii) An original CITES document exists but has been damaged Submit the original damaged CITES document and a signed, dated, and notarized statement that: (d) Criteria. (1) 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: (i) The circumstances for the lost, damaged, stolen, or accidentally destroyed CITES document are reasonable. (ii) 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. (iii) The specimens were presented to the appropriate official for inspection at the time of import and a request for a replacement CITES document was made at that time. (2) For acceptance of foreign CITES replacement documents in the United States, you must provide sufficient information for us to find that your proposed activity meets all of the following criteria: (i) The specimens were presented to the appropriate official for inspection at the time of import and a request for a replacement CITES document was made at that time. (ii) The importer or the importer's agent submitted a signed, dated, and notarized statement at the time of import that describes the circumstances that resulted in the CITES document being lost, damaged, stolen, or accidentally destroyed. (iii) The importer or the importer's agent provided a copy of the original lost, stolen, or accidentally destroyed document at the time of import showing that the document met the requirements in §§ 23.23, 23.24, and 23.25. (e) U.S. standard conditions. (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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.53 What are the requirements for obtaining a retrospective CITES document? (a) Retrospective CITES documents may be issued and accepted in certain limited situations after an export or re-export has occurred, but before the shipment is cleared for import. When specific conditions are met, a retrospective CITES document may be issued to authorize trade that has taken place without a CITES document or to correct certain technical errors in a CITES document after the authorized activity has occurred. (b) U.S. and foreign general provisions. (1) A retrospective document may not be issued for Appendix-I specimens except for certain specimens for personal 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. (8) In the United States, you may not use a U.S. CITES document issued under a CITES master file or CITES annual program as a retrospective CITES document. (c) U.S. application. (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. (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 Appendix-II 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 re-exporter 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 re-exporter 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 made a technical error when issuing the CITES document that was not prompted by information provided by the applicant. (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 as defined in § 23.5. (ii) Live Appendix-II or -III specimens or live pre-Convention Appendix-I 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. (f) Validation. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.54 How long is a U.S. or foreign CITES document valid? (a) Purpose. (b) Period of validity. (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, introduction-from-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. § 23.55 How may I use a CITES specimen after import into the United States? In addition to the provisions in § 23.3, you may only use CITES specimens after import into the United States for the following purposes: If the species is listed in Allowed use within the United States (a) Appendix I, except for specimens imported with a CITES exemption document listed in paragraph (d) of this section. The specimen may be used only for noncommercial purposes (see § 23.5). Exception: (d) Appendix I, and imported with a CITES exemption document as follows: The specimen may be used for any lawful 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.56 What U.S. CITES document conditions do I need to follow? (a) General conditions. (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 the International Air Transport Association Live Animals Regulations International Air Transport Association Perishable Cargo Regulations Live Animals Regulations Perishable Cargo Regulations, CITES Guidelines for the non-air transport of live wild animals and plants (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 Appendix-I 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. (b) Standard conditions. (c) Special conditions. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014; 87 FR 10080, Feb. 23, 2022] Subpart D—Factors Considered in Making Certain Findings § 23.60 What factors are considered in making a legal acquisition finding? (a) Purpose. (b) Types of legal acquisition. (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. (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. (1) Status of the species (2) Origin of the specimen (3) Source of the propagule used to grow the plant (4) Origin of the species (5) Volume of illegal trade (6) Type of trade (7) Trade by range countries (8) Occurrence of the species in a controlled environment in the United States (9) Ability of the species to be bred or propagated readily in a controlled environment (10) Genetic status of the specimen (e) Captive-bred wildlife or a cultivated plant. (f) Confiscated specimen. (g) Donated specimen of unknown origin. (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. (i) Personal use. (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. (k) Wild-collected in the United States. § 23.61 What factors are considered in making a non-detriment finding? (a) Purpose. (b) Types of detriment. (c) General factors. (1) Biological and management information demonstrates that the proposed activity represents sustainable use. (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. (e) Additional factors for Appendix-I species. (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. (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. (1) Status of the species (2) Origin of the specimen (3) Source of the propagule used to grow the plant (4) Origin of the species (5) Volume of legal trade (6) Volume of illegal trade (7) Type of trade (8) Genetic status of the specimen (9) Risk of disease transmission (10) Basis for listing (h) Quotas for Appendix-I species. § 23.62 What factors are considered in making a finding of not for primarily commercial purposes? (a) Purpose. (b) How we make our findings. (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 anticipated 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. (1) Personal use. (2) Scientific purposes. (3) Conservation, education, or training. (4) Biomedical industry. (5) Captive-breeding or artificial propagation programs. (6) Professional dealers. (d) Risk assessment. (1) Type of importer (2) Ability of the proposed uses to generate revenue (3) Appeal of the species (4) Occurrence of the species in the United States (5) Intended use of offspring (e) Analysis of anticipated revenues and other economic value. (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, 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. § 23.63 What factors are considered in making a finding that an animal is bred in captivity? (a) Purpose. (b) Definitions. (1) A controlled environment (2) Breeding stock (c) Bred-in-captivity criteria. (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. (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. (b) Definition (1) Controlled conditions (2) Cultivated parental stock (c) Artificially propagated 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. (e) Grafted plant. (f) Timber. (g) Exception for certain plant specimens grown from wild-collected seeds or spores. (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 or spores 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 Appendix-I 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 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. (b) General principles. (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. (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 appropriate, 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. (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. (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. (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. (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. 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. Panax quinquefolius (b) Export approval of State and tribal programs. (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. (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. (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. § 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 harvested in the United States? (a) U.S. and foreign general provisions. Lynx rufus Lontra canadensis Lynx canadensis Canis lupus Ursus arctos (b) Export approval of State and tribal programs. (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 population 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. (1) The tag must be inserted through the skin and permanently locked in 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 without a CITES tag permanently attached may not be exported or re-exported. If the CITES tag has been inadvertently removed, damaged, or lost you may obtain a replacement tag. 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 inadvertently removed, damaged, or lost, 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 has been inadvertently removed or damaged, you must give us the tag. If the tag is lost, 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, FWS-REPL, and a unique serial number. (4) Tags are not required on fur skin products. (d) Documentation requirements. (e) U.S. application process. (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 or to export products made from fur skins, complete Form 3-200-27 and submit it to the U.S. Management Authority. (3) To re-export fur skins or products made from 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.70 How can I trade internationally in American alligator and other crocodilian skins, parts, and products? (a) U.S. and foreign general provisions. crocodilian Alligator mississippiensis (b) Definitions. (1) Crocodilian skins (2) Crocodilian parts (c) Export approval of State and tribal programs for American alligator. (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. (1) Except as provided for a replacement tag in paragraph (d)(3)(ii) of this section, the tag must: (i) Be tamper-resistant, 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 Web site; see § 23.7), and for specimens of species from populations that have been transferred from Appendix I to Appendix II for ranching, the year of skin production or harvest. For American alligator, the export tags include the US-CITES logo, an abbreviation for the State or Tribe of harvest, a standard species code (MIS = Alligator mississippiensis (iii) If the year of skin production or harvest and serial number appear next to each other on a tag, the information should be separated by a hyphen. (2) Skins, flanks, and chalecos must be individually tagged. (3) Skins without a non-reusable tag permanently attached may not be exported or re-exported. 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 inadvertently removed, damaged, or lost, 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 has been inadvertently removed or damaged, you must give us the tag. If the tag is lost, 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 skin 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. (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 State-licensed processor or packer. (2) Each American alligator skull must be marked as required by State or tribal law or regulation. (f) Tagging or labeling of crocodilian parts other than meat and skulls. (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. (h) U.S. application process. (1) To export American alligator specimens taken under an approved State or tribal program, except for products made from American alligators, complete Form 3-200-26 and submit it to either FWS Law Enforcement or the U.S. Management Authority. (2) To export American alligator specimens that are not from an approved program or to export products made from American alligators,, complete Form 3-200-27 and submit it to the U.S. Management Authority. (3) To re-export crocodilian specimens, complete Form 3-200-73 and submit it to either 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. (i) Conditions for import, export, or re-export. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30427, May 27, 2014] § 23.71 How can I trade internationally in sturgeon caviar? (a) U.S. and foreign provisions. sturgeon caviar caviar (b) Labeling. (1) The following definitions apply to caviar labeling: (i) Non-reusable label (ii) Primary container (iii) Secondary container (iv) Processing plant (v) Repackaging plant (vi) Lot identification number (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. This is either the calendar year in which caviar was harvested or, for caviar imported from shared stocks subject to quotas, the quota year in which it was harvested. (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, for caviar that is being re-exported, the CITES document number under which it was imported may be used in place of the lot identification 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. (d) Export quotas. (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 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. (f) Pre-Convention. (g) Mixed caviar. (h) U.S. application forms. (i) CITES register of exporters and of processing and repackaging plants. [72 FR 48448, Aug. 23, 2007, as amended at 73 FR 40986, July 17, 2008; 79 fr 30428, May 27, 2014] § 23.72 How can I trade internationally in plants? (a) U.S. and foreign general provisions (b) Seeds. (c) A plant propagated from exempt plant material. (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. salvaged plant (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 (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 (iv) Any salvaged Appendix-I plant will not be sold or used to establish a commercial operation for artificial propagation after import. § 23.73 How can I trade internationally in timber? (a) U.S. and foreign general provisions (b) Definitions. (1) Logs (2) Sawn wood (3) Veneer sheets (4) Plywood means (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. (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 re-export. (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. (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. § 23.74 How can I trade internationally in personal sport-hunted trophies? (a) U.S. and foreign general provisions. (b) Sport-hunted trophy (1) Is raw, processed, or manufactured; (2) Was legally obtained by the hunter through hunting for his or her personal use; (3) Is being imported, exported, or re-exported by or on behalf of the hunter as part of the transfer from its country of origin ultimately to the hunter's country of usual residence; and (4) Includes worked, manufactured, or handicraft items made from the sport-hunted animal only when: (i) Such items are contained in the same shipment as raw or tanned parts of the sport-hunted animal and are for the personal use of the hunter; (ii) The quantity of such items is no more than could reasonably be expected given the number of animals taken by the hunter as shown on the license or other documentation of the authorized hunt accompanying the shipment; and (iii) The accompanying CITES documents (export document and, if appropriate, import permit) contain a complete itemization and description of all items included in the shipment. (c) Use after import. (d) Quantity. (1) No more than two leopard ( Panthera pardus (2) No more than one markhor ( Capra falconeri (3) No more than one black rhinoceros ( Diceros bicornis (e) Marking or tagging. (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. (iii) Crocodilians: See marking requirements in § 23.70. (iv) 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. (2) African elephant ( Loxodonta africana [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30428, May 27, 2014] § 23.75 How can I trade internationally in vicuña ( Vicugna vicugna (a) U.S. and foreign general provisions. (b) Vicuña Convention (c) Vicuña logotype (d) Country of origin (e) Wool sheared from live vicuñas, cloth from such wool, and products manufactured from such wool or cloth (f) Labeling requirements. [79 FR 30428, May 27, 2014] Subpart F—Disposal of Confiscated Wildlife and Plants § 23.78 What happens to confiscated wildlife and plants? (a) Purpose. (b) Disposal options. (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. (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. (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. § 23.79 How may I participate in the Plant Rescue Center Program? (a) Purpose. (b) Criteria. (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. Subpart G—CITES Administration § 23.84 What are the roles of the Secretariat and the committees? (a) Secretariat. (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. (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. (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 develop and maintain 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. (iii) The CoP appoints a specialist in zoological nomenclature to the Animals Committee and a specialist in botanical nomenclature to the Plants Committee. These specialists are ex officio and non-voting, and are 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30429, May 27, 2014] § 23.85 What is a meeting of the Conference of the Parties (CoP)? (a) Purpose. (b) CoP locations and dates. (c) Attendance at a CoP. (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 (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: (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 (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. (b) Effective date. Subpart H—Lists of Species § 23.89 What are the criteria for listing species in Appendix I or II? (a) Purpose. (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. (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 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. (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. (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. (f) Precautionary measures. (g) Proposal. (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. (b) General procedure. (c) Criteria for listing. (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 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. (e) U.S. procedure. (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 (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 (f) Removing a species from Appendix III. (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. § 23.91 How do I find out if a species is listed? (a) CITES list. (b) Effective date. (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 paragraphs (b) and (c) of this section. (b) The following are exempt from the requirements of CITES. 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 Appendix-II or -III plants. (ii) Where an annotation designates what is covered by the Treaty, all parts, products, or derivatives that are not designated. (2) Plant hybrids. (c) The following are exempt from CITES document requirements when certain criteria are met. (1) Plant hybrids. (2) Flasked seedlings of Appendix-I orchids. (3) Marine specimens listed in Appendix II that are protected under another treaty, convention, or international agreement which was in force on July 1, 1975 (4) Coral sand and coral fragments (5) Personal and household effects (6) Urine, feces, and synthetically derived DNA (7) Certain wildlife hybrids [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30429, May 27, 2014]

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